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[ "安全理事会主席的声明", "安全理事会主席在2011年7月13日安全理事会第6582次会议上，就安理会审议的题为“接纳新会员国”的项目，代表安理会发表声明如下：", "“安全理事会决定建议大会接纳南苏丹共和国为联合国会员国。在此历史性时刻，我谨代表安全理事会成员，向南苏丹共和国表示祝贺。", "“安理会非常满意地注意到，南苏丹共和国庄严承诺维护《联合国宪章》的宗旨和原则，履行《宪章》载列的所有义务。", "“我们期待南苏丹共和国加入我们，成为联合国会员国，并期待同南苏丹共和国代表密切合作。”" ]

[ "Statement by the President of the Security Council", "At the 6582nd meeting of the Security Council, held on 13 July 2011, in connection with the Council’s consideration of the item entitled “Admission of new Members”, the President of the Security Council made the following statement on behalf of the Council:", "“The Security Council has decided to recommend to the General Assembly that the Republic of South Sudan be admitted as a Member of the United Nations. On behalf of the members of the Security Council, I wish to extend my congratulations to the Republic of South Sudan on this historic occasion.", "“The Council notes with great satisfaction the Republic of South Sudan’s solemn commitment to uphold the purposes and principles of the Charter of the United Nations and to fulfil all the obligations contained therein.", "“We look forward to the Republic of South Sudan joining us as a Member of the United Nations and to working closely with its representatives.”" ]

[ "Statement by the President of the Security Council", "At the 6582nd meeting of the Security Council, held on 13 July 2011, the President of the Security Council made the following statement on behalf of the Council on the item entitled “Inclusion of new Member States”.", "“The Security Council decides to recommend to the General Assembly the admission of the Republic of South Sudan to the United Nations. At this historic moment, I congratulate the Republic of South Sudan on behalf of the members of the Security Council.", "“The Council notes with great satisfaction the solemn commitment of the Republic of South Sudan to uphold the purposes and principles of the Charter of the United Nations and to fulfil all the obligations contained in the Charter.", "“We look forward to the accession of the Republic of South Sudan to us as a Member of the United Nations and look forward to working closely with the representative of the Republic of South Sudan”." ]

[ "第六十六届会议", "暂定项目表^(*) 项目99(o)、(r)和(x)", "^(*) A/66/50。", "全面彻底裁军：核裁军", "减少核危险", "国际法院关于“以核武器进行", "威胁或使用核武器的合法性”的咨询意见的后续行动", "秘书长的报告", "目录", "页次\n1.导言 2\n2.意见 2\n3.从各国政府收到的资料 5\n古巴 5\n伊拉克 6\n牙买加 7\n日本 8\n哈萨克斯坦 10\n黎巴嫩 11\n墨西哥 11\n土库曼斯坦 13\n委内瑞拉 14", "一. 导言", "1. 本报告依照大会第65/56号、第65/60号和第65/76号决议提交。", "2. 大会第65/56号决议第22段请秘书长向大会第六十六届会议提交一份关于该决议执行情况的报告。", "3. 大会第65/60号决议第5段请秘书长加紧努力并支持有助于充分执行裁军事项咨询委员会报告中提出的大幅减少核战争危险的七项建议的行动(见A/56/400，第3段)，并且继续鼓励会员国考虑依照《联合国千年宣言》 的建议(大会第55/2号决议)，召开一次国际会议以找出消除核危险的办法，并就此向大会第六十六届会议提出报告。", "4. 大会第65/76号决议第3段请所有国家将其为执行该决议和进行核裁军所作的努力和采取的措施通知秘书长，并请秘书长向大会第六十六届会议通报这些情况。", "二. 意见", "5. 2010年上半年在实现无核武器世界的目标方面取得了一些进展。但是，旨在制订有关消除核武器的新国际法的各个论坛，包括裁军谈判会议和联合国裁军审议委员会，都仍未能取得共识协议。与此同时，一些国家政府和民间社会组织发起了旨在制订创新解决方案的新努力：", "(a) 2010年9月22日，澳大利亚和日本在纽约利用大会会期间隙共同举办了关于核裁军和不扩散问题的部长级会议，有十个国家参加了会议，它们是澳大利亚、加拿大、智利、德国、日本、墨西哥、荷兰、波兰、土耳其和阿拉伯联合酋长国。该次会议的主要目的是贯彻执行国际核不扩散和裁军委员会的建议。2011年4月30日，德国在柏林召开了这批国家的第二次部长级会议。它们在会上同意，除其他外，就《不扩散核武器条约》(《不扩散条约》)缔约国2010年审议大会通过的《行动计划》中关键要素采取行动步骤；", "(b) 继努力推动把8月29日定为“禁止核试验国际日”之后，哈萨克斯坦于2011年2月与东西方研究所合作启动了“核讨论论坛”，其中包括2011年2月至7月的六次会议，目的是促进深入讨论核不扩散、裁军和安全问题论述过程中的当前事件；", "(c) 推动了秘书长核裁军五点建议的非正式核心之友小组一些成员，最近由乌拉圭与和平市长会议合作牵头，继续努力为就彻底消除核武器的路线图建立国际共识寻找具有创意的新办法，其中包括一份国际法律文书。", "6. 民间社会和其他国际行为体致力于为核裁军建立有力的国际政治势头，其中包括下列一些主要事例：", "(a) 2011年6月20日，美国市长会议通过一项决议，其中特别呼吁世界各国领导人执行秘书长核裁军五点建议，以期不迟于2020年商定一项核武器公约或由一批相辅相成法律文书构成的独立框架；", "(b) 2011年6月25日，国际废除核武器运动领头在25个国家开展了纪念废除核武器日的国际活动；", "(c) 2011年，全球零点运动在哥伦比亚特区华盛顿和伦敦召集政府高级官员和政治、军事及民间社会重要领导人开会，讨论消除核武器问题；", "(d) 继美利坚合众国一批前政治家2007年在《华尔街日报》发表文章后，俄罗斯联邦一批前政治家也发表了一篇社论，支持建立一个无核武器的世界。", "7．核武器国家继续采取相关步骤，减少它们所部署核弹头的库存总量、加强透明和问责并推进履行它们的核裁军承诺：", "(a) 2011年6月30日至7月1日，核武器国家在巴黎举行了关于为实现核裁军和不扩散而采取建立信任措施的第二次会议，以贯彻执行它们在《不扩散核武器条约》缔约国2010年审议大会上，以及在2009年9月在关于为实现核裁军而采取建立信任措施的伦敦会议上作出的承诺。核武器国家发表了一份联合声明，其中特别指出，它们开会是因为决心共同努力，寻求根据该《条约》第六条实现核裁军，包括就行动5中所述步骤展开互动协作，以及提出报告和作出《不扩散条约》2010年审议大会《行动计划》所要求的其他努力；说明了在争取拟订一份关键核术语定义的商定词汇表方面取得的进展，并报告说它们已设立了一个负责继续这项工作的专门工作组；讨论了与核查在实现裁军和确保不扩散方面取得的进一步进展有关的具体政治和技术挑战，并保证今年晚些时候在伦敦的一次专家级会议上继续这一讨论；还表示它们将为这些讨论采取后续行动，在《不扩散条约》2015年审议大会筹备委员会第一届会议中举行第三次会议；", "(b) 2011年2月5日，《俄罗斯联邦和美利坚合众国关于进一步削减和限制进攻性战略武器措施条约》经俄国和美国之间互换批准文书而生效。根据该《条约》设立的双边协商委员会于2011年3月开始工作。双方还开始定期根据《条约》发布有关其拥有核弹头总量的公共信息；", "(c) 2010年11月19日，在里斯本首脑会议上，北大西洋公约组织(北约)国家元首和政府首脑通过了一项新的战略概念，不再那么强调核武器的政治和军事意义，赞同进一步与俄罗斯联邦进行削减核武器和军备控制谈判，并首次讨论了无核武器世界的目标；", "(d) 2010年10月19日，联合王国公布了其《战略防御与安全审查》，其中特别保证，该国不会对《不扩散核武器条约》的非核武器缔约国使用或威胁使用核武器，并宣布削减其核弹头库存。", "8. 尽管采取了这些步骤，这些国家武库中核武器的数量仍然成千上万，其中包括数以千计保持高度戒备状态并能在做出决定后几分钟内发射的核弹头。数个核武器国家仍执着于以考虑首先使用核武器为基础的核威慑理论。核武器国家在继续规划和实施旨在使其核武库、其运载系统及其相关研发基础设施现代化的重大方案，并在继续研究、发展和部署具备新军事能力的新型核武器。", "9. 尽管《全面禁止核试验条约》仍然没有足够数量的批准使其生效，但最近一个会员国的批准还是一个值得欢迎的动态。促进《全面禁止核试验条约》生效的第五次部长级会议于2010年9月23日召开并发表了一份《部长宣言》，其中呼吁所有尚未这么做的国家批准该《条约》。", "10. 裁军谈判会议2011年届会仍无法达成商定的工作方案启动实质性工作。这种情况已引起人们越发关切这一多边裁军机制的现状和裁军谈判会议的关联性，并促使一些国家开始考虑替代办法。为打破裁军谈判会议的僵局，2010年9月24日，秘书长召开了一次主题为“振兴裁军谈判会议的工作和推进多边谈判”的高级别会议。在这次讨论之后，秘书长特别请他的裁军事项咨询委员会对这次高级别会议上提出的问题进行一次彻底审查，并建议大会在全体会议和在第一委员会都对此事项采取后续行动。第一委员会在其第六十五届会议上讨论了这一事项，使大会通过了第65/93号决议。大会在2011年7月27日召开的全体会议上讨论了这一事项。", "11. 联合国裁军审议委员会在2011年4月召开其三年周期第三部分会议，但无法就与其下列三个议程项目有关的实质性事项达成共识：促进实现核裁军和不扩散核武器目标的建议；宣布2010年代为第四个裁军十年的草案内容；常规武器领域的实际建立信任措施。该委员会一直无法就其实质性工作达成共识，已再次引起人们关切其工作方法，以及其在联合国裁军机制背景中更广泛作用的问题。", "12. 秘书长和裁军事务高级代表继续通过与政府、民间社会、公民领袖和国会议员的直接互动、宣传和其他外联活动，努力在全球推动核裁军和不扩散。特别是，2010年8月，秘书长访问日本，参加了广岛和长崎原子弹轰炸65周年纪念活动。此外，秘书长还对一些相关活动发表了致辞，其中包括：第五十九次帕格沃希科学与世界事务会议；日本反对原子弹氢弹委员会在广岛、长崎和东京组织的集会，这些集会的目的是发起一场征集签名运动，以推动为一项禁止核武器的公约开始谈判；为实现核裁军和不扩散而采取建立信任措施的第二次核武器国家会议。2011年5月，秘书长发表了一篇署名评论，呼吁裁军谈判会议各成员抓住时机推进裁军目标。秘书长还出席了一些相关会议并发表讲话，其中包括：裁军谈判会议2011年届会开幕式；日本、波兰和土耳其三国常驻联合国代表团组织的主题为“推动核不扩散和裁军全球文书：联合国与核挑战”的会议；关于“振兴裁军谈判会议的工作和推进多边谈判”高级别会议后续行动的大会全体会议。", "三. 从各国政府收到的资料", "13. 2011年3月9日的普通照会请所有会员国不迟于2011年5月31日向秘书长通报，它们为执行有关国际法院关于“以核武器进行威胁或使用核武器的合法性”的咨询意见的后续行动的第65/76号决议而作出的努力和采取的措施。迄今为止，已收到古巴、伊拉克、牙买加、日本、哈萨克斯坦、黎巴嫩、墨西哥、土库曼斯坦和委内瑞拉玻利瓦尔共和国的答复，答复案文转载如下。从会员国收到的更多答复将作为本报告增编印发。", "古巴", "[原件：西班牙文] [2011年6月7日]", "国际法院1996年7月8日对“以核武器进行威胁或使用核武器的合法性”发表的咨询意见，无疑是核裁军领域里的历史性文件，成为一个法律先例，需要采取适当的后续行动。", "《不扩散核武器条约》第六条规定，核武器国家与该《条约》缔约国一道，有义务继续为实现核裁军进行谈判。", "目前约有12 000件核武器，其中22 600件可立即使用。这些武器和所谓核威慑理论造成了全球不稳定和不安全气氛。避免进一步核灾难的唯一方法，是彻底消除和永久禁止核武器。", "古巴认为，俄罗斯联邦政府和美利坚合众国政府之间根据2011年2月5日起生效的《第三阶段裁武条约》而做出的削减战略核武器的承诺，是一种积极迹象。古巴认为这种承诺不应产生普遍的满足情绪，或使注意力偏离我们的最终目标，即通过具法律约束力的国际协定，规定不可逆转和国际上可核查的措施，在特定时限内消除和禁止核武器。", "古巴还欢迎在第八届缔约国审议大会上采取的微小步骤。但所达成的协议离此时此刻所需要的目标仍然很远，因为最后的成果文件非常清楚地指出，一些核武器国家一再重复的言辞和良好愿望，与它们实际上愿意做出的承诺和采取的实际措施之间，仍然有很大的差距。", "古巴回顾，作为该《条约》缔约国的不结盟国家提议，采用一个到2025年彻底消除核武器的分阶段方案，其中包括通过一项关于核武器的公约。", "国际法院关于“以核武器进行威胁或使用核武器的合法性”的咨询意见E段指出，“以核武器相威胁或使用核武器,一般是违反适用于武装冲突的国际法规则,特别是人道主义法的原则和规则”。", "因此，在彻底消除核武器之前，必须优先达成一项具有法律约束力的国际文书，使核武器国家保证不对无核武器国家使用或威胁使用核武器。裁军谈判会议是商谈和通过这样一项文书的适当论坛。", "同样，古巴赞成开始在裁军谈判会议上进行谈判，讨论一项非歧视性、多边和可有效核查的条约，禁止生产用于核武器或其他核爆炸装置的裂变材料。该条约应标志着实现彻底消除核武器目标的一个新步骤，因此应包含核不扩散和核裁军的措施。", "伊拉克", "[原件：阿拉伯文] [2011年3月31日]", "1. 伊拉克政府坚决恪守其尊重和执行所有裁军和不扩散文书的责任。我国政府不仅承诺执行这些文书，而且还承诺落实与裁军、军控和防扩散有关的国际安排。为此，《伊拉克宪法》第九条(e)款规定，伊拉克政府应遵守和履行伊拉克在防扩散、不发展、不生产和不使用核生化武器方面的国际义务，并应禁止相关设备、材料、技术和运载系统用于发展、制造、生产和使用此类武器。", "2. 伊拉克政府设立的国家监督局草拟了一条法律，旨在建立一个统一永久性的国家制度，使伊拉克能够履行其根据各项文书所做的关于不扩散化学和生物武器及其运载系统的承诺。该法将适用于所有和平活动，包括那些有关材料、设备和技术的活动，以及涉及生产、拥有、使用、储存、进口、出口，运输、处置的活动和其他活动，以确保它们不被转用于被禁止的活动，并将规定处罚。该法还将设立机制，按照依据《不扩散条约》签署的《保障监督协定》、化学武器核查制度和《生物武器公约》提出申报、发放许可证和追踪两用物质。", "3. 伊拉克于1969年加入《不扩散核武器条约》，并于2008年10月9日签署了《保障监督协定附加议定书》。该《附加议定书》目前已提交国民议会批准。伊拉克已正式通知国际原子能机构(原子能机构)，它已于2010年2月17日开始依照《附加议定书》第17条的规定，自愿实行该文书。在这方面，伊拉克于2010年7月16日提交了其初始申报。伊拉克还于2009年2月批准《化学武器公约》，于2008年8月19日签署了《全面禁止核试验条约》，并于1991年加入《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》。", "4. 伊拉克政府强调，必须落实1995年审议大会通过的关于无限期延长《条约》的决定，以及2000年审议大会通过的13项实际步骤，这些步骤构成了提高《条约》及审查过程本身的信誉的行动方案。", "5. 伊拉克全力支持裁军谈判会议2009年会议通过的工作方案。该方案打下良好基础，有助于就一项禁止生产核武器或其他核爆炸装置所用裂变材料条约开展的谈判取得进展，以及为实现核裁军采取切实可行的措施，获得消极安全保证，以及防止外层空间军备竞赛。", "6. 伊拉克于2010年8月11日签署了《海牙行为守则》，从而成为其第131个签署国，并将在2011年提交其初始申报。", "7. 尽管国际上最近出现了积极动态，但核武器国家继续维持其大部分核武库，并发展新型核武器和相关运载系统，局势仍然令人关切。必须就缔结一项具有约束力的国际法律文书的必要性达成共识，以向无核武器国家做出保证，即核武器国家不会对其使用或威胁使用这种武器，并提供可为此目的取得进展的方法。消极安全保证是朝着这一方向迈出的重要一步。除此之外，它也是无核武器国家的一项合法和公正要求，因为这些国家成为《不扩散条约》的缔约国，自愿放弃了核军事选择。虽然向无核武器国家提供这种保证的有效措施和安排，可能会对核不扩散做出积极贡献，但无法取代彻底核裁军。", "8. 逐步消除核武器将在《不扩散条约》缔约国之间建立互信，并为非缔约国提供一个加入该条约的动力。此举还将减轻与某些核武器国家的能力和安全学说造成的忧虑。在这方面，伊拉克强调我们对1996年7月8日国际法院对“以核武器相威胁或使用核武器的合法性”提出的咨询意见的承诺，该意见认定以核武器相威胁或使用核武器一般是违反适用于武装冲突的国际法规则，而且各国有义务完成谈判，以便在严格和有效的国际控制下实现所有方面的核裁军。", "9. 伊拉克认识到，无核武器区的建立将推动核裁军的努力，加强有关国家的安全，并使我们更接近实现和维护国际和平与安全的最终目标。因此，我国支持和参加了在世界各区域、特别是包括中东区域建立无核武器区的努力。在这方面，伊拉克要强调安理会第487(1981)和第687(1991)号决议的意义。任何在中东建立无核武器区的努力，都必须首先采取基本步骤，其中包括以色列的核裁军、其加入《不扩散条约》并将其核设施置于原子能机构的全面保障监督之下。伊拉克支持在2012年召开一次关于建立无核武器及其它大规模毁灭性武器区的国际会议。该区域各国都应该参加这次会议，会议应将1995年的决议作为其职权范围。", "牙买加", "[原件：英文]", "[2011年5月31日]", "牙买加政府不制造也不拥有核武器。", "牙买加继续支持根据《不扩散核武器条约》第四条的规定，为实现核裁军和促进和平利用核能源和核技术的国际合作所作的国际努力。", "牙买加对裁军和不扩散进程的贡献，表现在牙买加对实现普遍遵守多边裁军条约的努力给予的支持。因此，牙买加拥护主要核武器条约的宗旨，并已批准这些条约。牙买加长期以来是关于第一个无核核武器区的《特拉特洛尔科条约》（拉加禁核组织）的缔约方。", "日本", "[原件：英文]", "[2011年5月27日]", "作为唯一遭受原子弹轰炸的恐怖后果的国家，日本坚信，必须加紧努力，保持和加强目前建立无核武器世界的势头。日本继续发挥领导作用，建议并采取务实的渐进措施，确保稳步实施这些措施。", "以下是日本近期为推进核裁军所作的部分努力和采取的措施。", "1. 向联合国大会提出核裁军决议", "自1994年以来，日本政府每年都向大会提出核裁军决议。", "2010年，日本考虑到近年来核裁军与核不扩散领域的国际形势，再度向联合国大会提交核裁军决议草案。2010年12月8日，联合国大会全体会议以173票赞成的绝大多数通过了决议草案。", "尽管核裁军形势仍面临挑战，为了顺应国际社会大多数成员以通过这项决议的方式表达的政治意愿，日本打算继续作出各种外交努力，维持并加强基于《不扩散核武器条约》(《不扩散条约》)的国际裁军与不扩散制度。", "2. 努力推动《全面禁止核试验条约》（《全面禁试条约》）早日生效", "日本高度重视《全面禁试条约》早日生效，认为这项《条约》是不扩散制度的主要支柱之一。在各种双边会议和国际论坛上，日本一直呼吁尚未签署或批准《条约》的国家尽早这么做。2010年9月23日，《全面禁试条约》之友(澳大利亚、加拿大、芬兰、日本和荷兰）和第十四条协调员（法国和摩洛哥）在纽约共同主办了第五次全面禁试条约部长级会议。会上，时任日本外交大臣的前原诚司先生呼吁剩余的附件二国家的政治领导人发挥领导作用，为早日签署和批准《条约》采取果断行动。", "日本利用其先进的地震观测技术，向发展中国家提供技术援助，支持建立国际监测系统，同时促进更广泛地遵守《全面禁试条约》，以便这些国家执行《条约》规定的必要措施。具体而言，2011年1月至3月，日本邀请来自不同国家的10位可能将在核试验全球地震网方面发挥作用的行政官员参加日本举办的全球地震观测培训课程，使得他们有机会掌握全球地震观测的知识和先进技术。", "3. 为重振裁军谈判会议和开始裂变材料禁产条约谈判作出努力", "近年来，裁军谈判会议处于瘫痪状态。尽管在2009年商定了工作方案，裁军谈判会议无法就如何执行工作方案达成共识，因此继续处于停滞状态。为了摆脱瘫痪状态，日本政府支持并积极参与秘书长在2010年9月举行的关于重振裁军谈判会议工作的高级别会议。在会上，时任日本外交大臣的前原诚司先生对裁军谈判会议的职能处于瘫痪状态表示遗憾，呼吁裁军谈判会议立即开始工作，并推进其核心议程项目。此外，前原诚司先生呼吁为裁军谈判会议的讨论规定最后期限，并建议探讨为在出现无法取得进展的情况下采用的其他途径。在高级别会议结束后，日本还与持同样看法的国家在日内瓦和纽约举行后续讨论。", "日本认为《裂变材料禁产条约》是为建成“无核武器世界”所应立即采取的具体步骤，并与其他持同样看法的国家一道，牵头开展国际努力，以在裁军谈判会议范围内把早日承诺进行裂变材料禁产条约谈判作为优先事项。例如，日本和澳大利亚两国政府最近在日内瓦共同主办一系列关于《裂变材料禁产条约》的专家会外活动，并向所有裁军谈判会议成员国和观察员国开放，以推动就条约开展实质性讨论。日本和澳大利亚打算以主席身份向裁军谈判会议报告会外活动讨论的成果，并希望这将进一步深化技术性讨论，从而有助于裁军谈判会议今后的谈判。日本还在核裁军和不扩散问题外交部长会议的框架范围内努力推动《裂变材料禁产条约》谈判，这次会议是日本与澳大利亚等国在去年9月举办的（见第5节）。", "4. 执行不扩散核武器条约缔约国2010年审议大会《最后文件》的《行动计划》", "不扩散核武器条约缔约国2010年审议大会通过一项全面、具有前瞻性的《最后文件》，其中包括作为《条约》所有三大支柱制定的《行动计划》。", "日本和澳大利亚两国政府于2010年9月与8个持同样看法的国家（加拿大、智利、德国、墨西哥、荷兰、波兰、土耳其和阿拉伯联合酋长国）共同主办核裁军和不扩散会议。会议旨在推进不扩散核武器条约缔约国2010年审议大会的共识成果，共同推动核裁军和不扩散议程，将其作为相辅相成的两个进程。从短期和中期的角度来看，会议着重于在建立“无核武器世界”的道路上为减少核危险采取的措施。与会各国一致通过《外交部长联合声明》。各国部长在声明中承诺共同制定实现这些目标的切实措施。", "4月30日，第二次核裁军和不扩散问题外交部长会议在柏林举行。与会各方一致通过《柏林声明》，其中载列了核裁军和不扩散领域的若干优先事项，例如尽早开始《裂变材料禁产条约》谈判，以及核武器国采取的提高透明度措施。十国集团(现称“防扩散和裁军倡议”)决定采取具体行动，降低核风险，特别是侧重于《柏林声明》载列的的优先项目。", "5. 为俄罗斯无核化开展合作", "在2002年6月卡纳纳斯基斯首脑会议上，八国集团领导人宣布，将成立八国集团防止大规模毁灭性武器和材料扩散的全球伙伴计划，以处理防扩散、裁军、反恐和核安全问题。日本政府承诺向伙伴计划提供超过2亿美元的捐助，其中1亿美元将用于处置俄罗斯多余的武器级钚，其余款项用于拆除俄罗斯退役核潜艇的项目。此后，日本向俄罗斯提供合作，完成了6艘退役核潜艇的拆除工作。日本还将根据2006年作出的决定，提供3套设备，用于在2011年年底之前合作建成拉兹伏伊尼克湾反应堆舱长期储存设施。", "6. 努力推动裁军和不扩散教育", "自1983年以来，日本政府共邀请联合国裁军研究金方案的700多名学员前往日本长崎和广岛等市。这让今后承担裁军外交责任的青年官员有机会亲眼目睹原子弹造成的长期、可怕后果。日本将继续为研究金方案做出贡献。", "日本认为，国际社会应充分了解核武器的毁灭性影响。按照日本人民关于核武器从此不再使用的愿望，日本政府多次支持地方政府和非政府组织在外国举办原子弹展览。2010年8月，在琦玉举行联合国裁军谈判会议期间，与著名教育家共同举行了以“无核武器世界”为主题的会议。", "2010年5月3日，即在不扩散条约缔约国2010年审议大会的第一天，日本与联合国裁军事务厅共同举办招待会和音乐会，款待1945年日本原子弹爆炸幸存者，并表彰他们为提高对核武器危险的认识与青年人开展的工作。", "日本与联合国大学向不扩散条约缔约国2010年审议大会共同提交题为“推动与民间社会合作，建立无核武器世界”的联合工作文件，其中的建议包括举办民间社会和各国政府共同参加的裁军与不扩散教育全球论坛，以及采用现代数码技术记录原子弹爆炸幸存者的证言并流传后世。在这方面，日本在不扩散条约2010年审议大会第一主要委员会上，代表42个国家发表了关于裁军与不扩散教育的联合声明。", "日本已开始任命原子弹爆炸幸存者担任“建立无核武器世界特别宣传员”，请他们把遭受核武器的使用所造成的悲惨后果的亲身经历告知世人和子孙后代。", "哈萨克斯坦", "[原件：俄文] [2011年6月7日]", "哈萨克斯坦共和国支持尽快缔结一项核武器公约，同时已提议通过一项关于无核武器世界的世界宣言。这项宣言将有助于促进无核武器世界的观念，并且是朝着核武器公约获得通过和大会有关决议得到执行的一项新步骤。", "黎巴嫩", "[原件：阿拉伯文] [2011年5月2日]", "黎巴嫩确认如下：", "黎巴嫩不拥有也不制造大规模毁灭性武器，它遵守联合国在这方面的决议，反对威胁使用或使用这种武器的合法性；", "黎巴嫩欢迎和支持所有旨在实现全面和彻底裁军的倡议，特别是在中东地区的倡议，并强调该地区应当是一个无大规模毁灭性武器区。然而，它担心以色列不遵守国际法，维持核武库，不断威胁该地区所有国家，进而对国际和平与安全构成威胁；", "阿拉伯国家应继续要求在中东地区建立无大规模毁灭性武器区，因为这是唯一能应对以色列核军备和其他大规模毁灭性武器对国际和平与阿拉伯国家安全的威胁；", "应继续在国际上呼吁该地区所有国家(包括以色列)签署不扩散大规模毁灭性武器和核武器条约；", "应统一阿拉伯国家的立场，加强阿拉伯国家联盟的作用，并采取行动确保获得防止大规模毁灭性武器的必要科学知识和设备；同时，应继续努力强调指出，以色列是一个不加入有关国际公约的国家；", "黎巴嫩呼吁在各领域为和平目的引进和发展核技术，以促进可持续发展，同时考虑到阿拉伯各国的不同需求。", "墨西哥", "[原件：西班牙文] [2011年6月3日]", "墨西哥认为，国际法院关于以核武器进行威胁或使用核武器的合法性的咨询意见仍然完全有效，并呼吁警惕核武器带来的严重威胁，重申各国有法律义务真诚地开展和完成实现所有方面核裁军的谈判。", "为此，墨西哥坚定不移地致力于国际和平、裁军和安全。因此，其国内法律框架包括以下条款：", "• 《墨西哥合众国政治宪法》", "第27条", "[……]核能应只用于和平目的。", "第89条", "总统应具有以下权力和义务：", "[……]", "十. 指导外交政策[……]。在指导外交政策时，总统应遵循以下的规范性原则：[……]和平解决争端，禁止在国际关系中威胁使用武力或使用武力；[……]，并努力实现国际和平与安全[……]。", "• 《拉丁美洲和加勒比禁止核武器条约》(《特拉特洛尔科条约》)", "第1条", "1. 缔约国特此承诺将在其管辖范围内的核材料和核设施完全用于和平目的，并在各自领土内禁止和防止：", "(a) 缔约国本身直接或间接、代表任何人或以任何其他方式试验、使用、制造、生产或取得任何核武器，", "(b) 缔约国本身直接或间接、代表任何人或以任何其他方式接受、储存、安装、部署和拥有任何核武器。", "2. 缔约国还承诺不得直接或间接鼓励或授权，或以任何方式参与任何核武器试验、使用、制造、生产、拥有或控制。", "• 《不扩散核武器条约》", "第二条", "每个无核武器的缔约国承诺不直接或间接从任何让与国接受核武器或其他核爆炸装置或对这种武器或爆炸装置的控制权的转让；不制造或以其他方式取得核武器或其他核爆炸装置；也不寻求或接受在制造核武器或其他核爆炸装置方面的任何协助。", "此外，墨西哥已在国际上表示同意受《全面禁止核试验条约》的约束，并希望该《条约》(在1999年10月获得批准)能尽快生效。", "第一条 基本义务", "1. 缔约国承诺不进行任何核武器试验爆炸或任何其他核爆炸，并承诺在其管辖或控制下的任何地方禁止和防止任何此种核爆炸。", "2. 缔约国还承诺不导致、鼓励或以任何方式参与进行任何核武器试验爆炸或任何其他核爆炸。", "在2009年6月举行的国际刑事法院罗马规约缔约国大会上，墨西哥对该文书提出一项拟订修正案，其中规定在国际武装冲突中使用核武器应被视为战争罪。这反映了墨西哥的信念，即使用这种武器无论如何均构成严重违反国际人道主义法罪行。", "这项建议是基于一些国际条约、大会决议、1996年7月8日国际法院关于“以核武器进行威胁或使用核武器的合法性”的咨询意见，以及国际习惯法。墨西哥的提案目前由成立于2009年11月的缔约国大会关于《规约》修正案工作组加以审议。", "在多边领域，墨西哥继续推动在裁军谈判会议上，并与其新议程联盟合作伙伴，以及在不扩散和裁军倡议框架内开始实质性谈判。", "土库曼斯坦", "[原件：俄文] [2011年4月27日]", "根据大会有关国际法院关于“以核武器进行威胁或使用核武器的合法性”的咨询意见的后续行动的第65/76号决议提供的资料", "土库曼斯坦《宪法》第6条(2008年9月26日)", "作为国际社会的正式成员，土库曼斯坦奉行的外交政策是基于永久中立、不干涉别国内政、不使用武力、不参加军事集团或联盟，以及推动发展与本地区和世界各国的和平、友好和互利关系等原则。", "土库曼斯坦承认普遍接受的国际法规则的优先地位。如土库曼斯坦国内立法确定的规则与其参加的国际条约的规定不同，将适用国际条约的规定。", "《关于土库曼斯坦永久中立的宪政法》第6条(1995年12月27日)", "土库曼斯坦将不拥有核、化学、细菌或其他种类的大规模毁灭性武器，也不参与扩散这些武器，也不在其领土上设立外国军事基地。", "土库曼斯坦作为中立国的外交政策学说(1995年12月27日)", "土库曼斯坦将不拥有、生产或传播核、化学、细菌或其他类型的大规模毁灭性武器，也不协助创造新型的这类武器或技术进行生产。土库曼斯坦是所有确保建立集体安全体系的主要国际法律文书的缔约国。", "按照中立国的国际行为义务，土库曼斯坦拒绝在冲突双方或允许在其境内的外国军事基地的位置。", "独立和永久中立的土库曼斯坦的军事学说(2009年1月21日)", "土库曼斯坦承诺不拥有、生产、传播或通过其领土运输核生化武器或其他类型的大规模毁灭性武器。", "土库曼斯坦是下列反恐怖主义的国际法律文书的缔约国：", "《制止恐怖主义爆炸的国际公约》(1997年12月15日，纽约)；", "《关于在航空器内的犯罪和犯有某些其他行为的公约》(1963年9月14日，东京)；", "《关于制止危害民用航空安全的非法行为的公约》(1971年9月23日，蒙特利尔)；", "《关于制止非法劫持航空器的公约》(1970年12月16日，海牙)；", "《制止危及大陆架固定平台安全非法行为议定书》(1988年3月10日，罗马)；", "《制止危及海上航行安全非法行为公约》(1988年3月10日，罗马)；", "《关于防止和惩处侵害应受国际保护人员包括外交代表的罪行的公约》(1973年12月14日，纽约)；", "《反对劫持人质国际公约》(1979年12月17日，纽约)；", "补充《关于制止危害民用航空安全的非法行为的公约》的《制止在为国际民用航空服务的机场上的非法暴力行为的议定书》(1988年2月24日，蒙特利尔)；", "《核材料实物保护公约》(1980年3月3日，维也纳)；", "《关于在可塑炸药中添加识别剂以便侦测的公约》(1991年3月1日，蒙特利尔)；", "《制止向恐怖主义提供资助的国际公约》(1999年12月9日，纽约)；", "《制止核恐怖主义行为国际公约》(2005年4月13日，纽约)；", "2005年9月20日，土库曼斯坦成为《核材料实物保护公约》修正案(2005年7月8日，维也纳)的缔约国。", "委内瑞拉", "[原件：西班牙文] [2011年4月18日]", "在1996年7月8日发表的关于“以核武器进行威胁或使用核武器的合法性”的咨询意见中，国际法院承认，在时空方面均不能遏制核武器的毁灭性威力。这些武器具有摧毁所有文明和地球上整个生态系统的潜力。国际法院还指出，有义务举行谈判，以便在严格和有效的国际控制下实现所有方面的核裁军。", "有鉴于此，委内瑞拉玻利瓦尔共和国一直参加各种多边论坛所做的努力，以达成一项具有法律约束力和可核查的文书，禁止开发、生产、试验、部署、储存、转让、威胁使用或使用核武器，并规定消除这类武器。遗憾的是，这些努力迄今尚未取得结果。只要某些国家缺乏政治意愿来修改它们的国防政策，以便有利于世界和平与安全，人类则需要继续等待这一重要的国际条约。" ]

[ "Sixty-sixth session", "* A/66/50.", "Items 99 (o), (r) and (x) of the preliminary list*", "General and complete disarmament", "Nuclear disarmament", "Reducing nuclear danger", "Follow-up to the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons", "Report of the Secretary-General", "Contents", "Page\nI.Introduction 2\nII.Observations 2III.Information 5 received from \nGovernments \nCuba 6\nIraq 7\nJamaica 9\nJapan 9\nKazakhstan 12\nLebanon 13\nMexico 13\nTurkmenistan 15Venezuela 17 (Bolivarian Republic \n of)", "I. Introduction", "1. The present report is submitted pursuant to requests contained in General Assembly resolutions 65/56, 65/60 and 65/76.", "2. In paragraph 22 of resolution 65/56, the General Assembly requested the Secretary-General to submit to the General Assembly at its sixty-sixth session a report on the implementation of the resolution.", "3. In paragraph 5 of resolution 65/60, the General Assembly requested the Secretary-General to intensify efforts and support initiatives that would contribute towards the full implementation of the seven recommendations identified in the report of the Advisory Board on Disarmament Matters that would significantly reduce the risk of nuclear war (see A/56/400, para. 3), and also to continue to encourage Member States to consider the convening of an international conference, as proposed in the United Nations Millennium Declaration (General Assembly resolution 55/2), to identify ways of eliminating nuclear dangers, and to report thereon to the General Assembly at its sixty-sixth session.", "4. In paragraph 3 of resolution 65/76, the General Assembly requested all States to inform the Secretary-General of the efforts and measures they have taken on the implementation of the resolution and nuclear disarmament, and requested the Secretary-General to apprise the General Assembly of that information at its sixty-sixth session.", "II. Observations", "5. Some progress was achieved in the first half of 2010 towards the objective of a world free of nuclear weapons. Yet, consensus agreements have continued to elude the forums for the development of new international law relating to the elimination of nuclear weapons, including in the Conference on Disarmament and the United Nations Disarmament Commission. At the same time, some Governments and civil society organizations have initiated new efforts aimed at elaborating innovative solutions:", "(a) On 22 September 2010, Australia and Japan co-hosted a ministerial meeting on nuclear disarmament and non-proliferation in New York on the sidelines of the General Assembly. Ten countries, including Australia, Canada, Chile, Germany, Japan, Mexico, Netherlands, Poland, Turkey and United Arab Emirates, participated in the meeting, the purpose of which was, inter alia, to follow up on the recommendations of the International Commission on Nuclear Non-proliferation and Disarmament. On 30 April 2011, Germany convened a second ministerial meeting of the group in Berlin, at which they agreed, inter alia, on steps for action on key elements of the Action Plan adopted at the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT);", "(b) Following from its efforts to promote 29 August as the International Day against Nuclear Tests, in February 2011 Kazakhstan, in partnership with the EastWest Institute launched the “Nuclear Discussion Forum”, which included six meetings between February and July 2011 aimed at facilitating in-depth discussions on current events in the discourse on nuclear non-proliferation, disarmament, and security;", "(c) Members of the informal core group of friends that promoted the Secretary-General’s five-point proposal for nuclear disarmament, most recently led by Uruguay in partnership with Mayors for Peace, have continued their efforts to pursue new and innovative means for building international consensus on a road map for the complete elimination of nuclear weapons, including by means of a universal, legal instrument.", "6. Civil society and other international actors worked to build significant international political momentum for nuclear disarmament, including the non‑exhaustive list of notable examples as follows:", "(a) On 20 June 2011, the United States Conference of Mayors adopted a resolution, inter alia, calling on all world leaders to implement the Secretary-General’s five-point proposal for nuclear disarmament, so that a nuclear weapons convention or a separate framework of mutually reinforcing legal instruments can be agreed upon by 2020;", "(b) On 25 June 2011, the International Campaign to Abolish Nuclear Weapons spearheaded international events in 25 countries to commemorate nuclear abolition day;", "(c) The Global Zero campaign held meetings in 2011 in Washington, D.C. and London, bringing together high-level Government officials with prominent political, military and civil society leaders to discuss the elimination of nuclear weapons;", "(d) Following from the 2007 article published in The Wall Street Journal by former statesmen from the United States of America, an editorial in support of a world free of nuclear weapons was published by former statesmen from the Russian Federation.", "7. Nuclear-weapon States continued to take steps related to reducing their overall stockpiles of deployed nuclear warheads, increase transparency and accountability, and advance the implementation of their nuclear disarmament commitments:", "(a) From 30 June to 1 July 2011, the nuclear-weapon States met in Paris for the second Conference on confidence-building measures towards nuclear disarmament and non-proliferation, to follow up on their commitments made at the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and the London Conference on Confidence-Building Measures towards Nuclear Disarmament in September 2009. The nuclear-weapon States issued a joint statement, in which they, inter alia, reported that they had met with determination to work together in pursuit of nuclear disarmament under article VI of the Treaty, including engagement on the steps outlined in Action 5, as well as reporting and other efforts called for in the 2010 NPT Review Conference Action Plan; described progress made towards the elaboration of an agreed glossary of definitions for key nuclear terms and reported that they had established a dedicated working group to continue this work; discussed particular political and technical challenges associated with verification in achieving further progress towards disarmament and ensuring non-proliferation, and pledged to continue this discussion later this year at an expert-level meeting in London; and indicated that they will follow on their discussions and hold a third Conference in the context of the first session of the Preparatory Committee for the 2015 NPT Review Conference;", "(b) On 5 February 2011, the Treaty between the Russian Federation and the United States of America on Measures for the Further Reduction and Limitation of Strategic Offensive Arms entered into force with the exchange of instruments of ratification between Russia and the United States. The Bilateral Consultative Commission established pursuant to the Treaty began work in March 2011, and the parties also initiated the regular release of public information pertaining to their aggregate holdings of nuclear warheads accountable under the Treaty;", "(c) On 19 November 2010, at the Lisbon Summit, the Heads of State and Government of the North Atlantic Treaty Organization (NATO) adopted a new strategic concept that placed less emphasis on the political and military significance of nuclear weapons, endorsed further nuclear arms reductions and arms control negotiations with the Russian Federation, and for the first time addressed the goal of a nuclear-weapon-free world;", "(d) On 19 October 2010, the United Kingdom released its Strategic Defence and Security Review, in which it, inter alia, provided assurances that it will not use or threaten to use nuclear weapons against non-nuclear-weapon States parties to the Treaty on the Non-Proliferation of Nuclear Weapons and announced reductions in its stockpile of nuclear warheads.", "8. Despite these steps, the number of nuclear weapons in national arsenals remains in the many thousands, including thousands of warheads maintained on high-alert status and capable of launch within minutes of a decision to do so. Several nuclear-weapon States remain committed to the doctrine of nuclear deterrence based on the contemplated first use of nuclear weapons. Nuclear-weapon States have continued to plan and implement major new programmes aimed at modernizing their nuclear arsenals, their delivery systems and their related research and development infrastructure and have continued to research, develop and deploy new nuclear weapons with new military capabilities.", "9. While the Comprehensive Nuclear-Test-Ban Treaty continues to lack the necessary ratifications for its entry into force, the recent ratification by one Member State is a welcome development. The fifth ministerial meeting for promoting the entry into force of the Comprehensive Nuclear-Test-Ban Treaty convened on 23 September 2010 and issued a Ministerial Declaration, in which it called upon all States that have not yet done so to ratify the Treaty.", "10. The Conference on Disarmament, at its 2011 session, has continued to be unable to start substantive work on the basis of an agreed programme of work. This situation has given rise to increasing concern regarding the current status of the multilateral disarmament machinery and the relevance of the Conference on Disarmament, prompting some States to begin the consideration of alternative options. Towards breaking the impasse in the Conference on Disarmament, on 24 September 2010, the Secretary-General convened a high-level meeting on the theme, “Revitalizing the work of the Conference on Disarmament and taking forward multilateral negotiations”. Following from the discussion, the Secretary-General, inter alia, asked his Advisory Board on Disarmament Matters to carry out a thorough review of the issues raised in the high-level meeting, and proposed that the General Assembly follow up on the matter, both in the plenary and in the First Committee. The First Committee discussed the matter at its sixty-fifth session, leading to the adoption by the General Assembly of resolution 65/93. The General Assembly discussed the matter at a plenary session convened on 27 July 2011.", "11. The United Nations Disarmament Commission, convening in April 2011 for the third part of its three-year cycle, was unable to reach consensus on substantive matters pertaining to its three agenda items: recommendations for achieving the objective of nuclear disarmament and non-proliferation of nuclear weapons; elements of a draft declaration of the 2010s as the fourth disarmament decade; and practical confidence-building measures in the field of conventional weapons. The persistent inability of the Commission to reach consensus on its substantive work has given rise to new concerns regarding its working methods and questions regarding its broader role within the context of the United Nations disarmament machinery.", "12. The Secretary-General and the High Representative for Disarmament Affairs have continued their efforts to promote nuclear disarmament and non-proliferation globally through direct interaction with Governments, civil society, civic leaders and parliamentarians, advocacy and other outreach activities. In particular, in August 2010, the Secretary-General visited Japan to participate in commemorations marking the sixty-fifth anniversary of the atomic bombings of Hiroshima and Nagasaki. In addition, messages by the Secretary-General were delivered to, inter alia, the fifty-ninth Pugwash Conference on Science and World Affairs; meetings in Hiroshima, Nagasaki and Tokyo organized by the Japan Council against Atomic and Hydrogen Bombs to launch a signature campaign for the start of negotiations for a convention banning nuclear weapons; and the second Conference of the Nuclear-Weapon States on confidence-building measures towards nuclear disarmament and non-proliferation. In May 2011, the Secretary-General published an op-ed, in which he urged the Members of the Conference on Disarmament to seize the moment and advance disarmament goals. The Secretary-General also attended and delivered statements at, inter alia, the opening meeting of the 2011 session of the Conference on Disarmament; the conference held on the theme “Promoting the Global Instruments of Non-proliferation and Disarmament: The United Nations and the Nuclear Challenge”, organized by the Permanent Missions of Japan, Poland and Turkey to the United Nations; and the plenary session of the General Assembly on the follow-up to the high-level meeting on revitalizing the work of the Conference on Disarmament and taking forward multilateral negotiations.", "III. Information received from Governments", "13. By a note verbale dated 9 March 2011, all Member States were invited to inform the Secretary-General by 31 May 2011 of the efforts and measures they had taken with regard to the implementation of resolution 65/76, concerning the follow-up to the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons. To date, Cuba, Iraq, Jamaica, Japan, Kazakhstan, Lebanon, Mexico, Turkmenistan and Venezuela (Bolivarian Republic of) have sent replies, the texts of which are reproduced below. Additional replies received from Member States will be issued as addenda to the present report.", "Cuba", "[Original: Spanish]", "[7 June 2011]", "The advisory opinion of the International Court of Justice of 8 July 1996 on the legality of the threat or use of nuclear weapons is unquestionably a historic document in the field of nuclear disarmament and constitutes a legal precedent which requires appropriate follow-up.", "Under article VI of the Treaty on the Non-Proliferation of Nuclear Weapons, the nuclear-weapon States, along with the other States parties to the Treaty, are obliged to pursue negotiations with a view to nuclear disarmament.", "At present there are some 22,600 nuclear weapons, 12,000 of which are ready for immediate use. These weapons and the so-called doctrines of nuclear deterrence create a global climate of instability and insecurity. The only way to prevent further nuclear catastrophes is to completely eliminate and permanently ban nuclear weapons.", "Cuba sees the commitments regarding the reduction of strategic nuclear weapons under START III, which entered into force on 5 February 2011 between the Government of the Russian Federation and the Government of the United States of America, as a positive sign. It considers that those commitments should not give rise to a generalized sense of complacency or divert attention away from our ultimate goal of eliminating and banning nuclear weapons within a specific time frame through a legally binding international agreement providing for irreversible and internationally verifiable measures.", "Cuba also welcomes the modest steps taken at the eighth Review Conference of the Parties to the Treaty. The agreements reached nonetheless remain far from what is required at this point in time, since the final outcome made it very plain that there is still a wide gap between the rhetoric and good intentions repeated time and again by some nuclear-weapon States and the commitments and practical measures they are actually willing to undertake.", "Cuba recalls that the non-aligned countries that are parties to the Treaty have proposed the adoption of a phased programme leading to the total elimination of nuclear weapons by 2025, which would include the adoption of a nuclear weapons convention.", "Paragraph E of the advisory opinion of the International Court of Justice on the legality of the threat or use of nuclear weapons states that “the threat or use of nuclear weapons would generally be contrary to the rules of international law applicable in armed conflict, and in particular the principles and rules of humanitarian law”.", "Thus, pending the total elimination of nuclear weapons, a legally binding international instrument must be concluded, as a matter of priority, whereby nuclear-weapon States would undertake not to use or threaten to use such weapons against non-nuclear-weapon States. The Conference on Disarmament is the appropriate forum for the negotiation and adoption of such an instrument.", "Likewise, Cuba is in favour of beginning negotiations in the Conference on Disarmament on a non-discriminatory, multilateral and effectively verifiable treaty banning the production of fissile material for nuclear weapons or other nuclear explosive devices. This treaty should represent a new step towards achieving the objective of the total elimination of nuclear weapons and, accordingly, should contain both non-proliferation and nuclear disarmament measures.", "Iraq", "[Original: Arabic]", "[31 March 2011]", "1. The Government of Iraq is firmly committed to its responsibility to respect and implement disarmament and non-proliferation instruments. The Government is committed not only to those instruments but also to international arrangements relating to disarmament, arms control and non-proliferation. In that connection, article 9 (e) of the Iraqi Constitution provides that the Iraqi Government shall respect and implement Iraq’s international obligations regarding the non‑proliferation, non-development, non-production and non-use of nuclear, chemical, and biological weapons, and shall prohibit associated equipment, materiel, technologies, and delivery systems for use in the development, manufacture, production and use of such weapons.", "2. The National Monitoring Directorate established by the Iraqi Government has drafted a law that would lead to the creation of a permanent, unified national system that will enable Iraq to fulfil its commitments under instruments concerning the non‑proliferation of chemical and biological weapons and their delivery systems. That law would apply to all peaceful activities, including those related to material, equipment and technology, and related production, possession, use, storage, import, export, transport, disposal and other activities, in order to ensure that they are not diverted to prohibited activities, and would prescribe penalties. It would also put in place mechanisms for submitting declarations, issuing permits and tracing dual-use substances, in accordance with the Safeguards Agreement pursuant to the Non‑Proliferation Treaty, the chemical weapons verification regime and the Biological Weapons Convention.", "3. Iraq acceded to the Non-Proliferation Treaty in 1969 and signed the Protocol Additional to the Safeguards Agreement on 9 October 2008. The Additional Protocol is currently before the Council of Representatives for ratification. Iraq formally notified the International Atomic Energy Agency (IAEA) that, on 17 February 2010, it had begun to apply voluntarily the Additional Protocol, in accordance with its article 17. In that connection, Iraq submitted its initial declaration on 16 July 2010. Iraq also ratified the Chemical Weapons Convention in February 2009, signed the Comprehensive Nuclear-Test-Ban Treaty on 19 August 2008 and became a party to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction in 1991.", "4. The Government of Iraq stresses the importance of implementing the decisions that were adopted at the 1995 Review Conference upon the indefinite extension of the Treaty and the 13 practical steps that were adopted by the 2000 Review Conference, which constitute a programme of action to enhance the credibility of the Treaty and the review process itself.", "5. Iraq lent its full support to the programme of work adopted by the Conference on Disarmament at its 2009 session. That programme is the best basis for making progress towards negotiations on a treaty prohibiting the production of fissile material for nuclear weapons or other nuclear explosive devices, as well as for taking practical measures towards nuclear disarmament, obtaining negative security assurances and preventing an arms race in outer space.", "6. On 11 August 2010, Iraq signed the Hague Code of Conduct, thereby becoming the 131st subscribing State, and will submit its initial declaration in 2011.", "7. Despite recent positive developments at the international level, nuclear-weapon States continue to maintain most of their nuclear arsenals and to develop new types of nuclear weapons and related delivery systems, and the situation continues to be a cause of concern. Agreement must be reached on the need to conclude a binding international legal instrument that would provide non-nuclear-weapon States with assurances that nuclear-weapon States will not use or threaten to use such weapons against them, as well as the means by which progress can be made towards that aim. Negative security assurances are a major step along that road, quite apart from being a legitimate and just demand on the part of non‑nuclear-weapon States, which have voluntarily renounced any military nuclear options by becoming parties to the Non-Proliferation Treaty. While effective measures and arrangements to provide non-nuclear-weapon States with such assurances can make a positive contribution to nuclear non-proliferation, they are no substitute for complete nuclear disarmament.", "8. The gradual elimination of nuclear weapons will build trust between States parties to the Non-Proliferation Treaty and will provide States non-parties with an incentive to become parties thereto. It will also allay apprehensions arising from the capabilities and security doctrines of certain nuclear-weapon States. In that connection, we stress our commitment to the 8 July 1996 International Court of Justice advisory opinion on the legality of the threat or use of nuclear weapons, which affirmed that the threat or use of nuclear weapons would generally be contrary to the rules of international law applicable in armed conflict, and that States have an obligation to bring to a conclusion negotiations leading to nuclear disarmament in all its aspects under strict and effective international control.", "9. Iraq appreciates that the establishment of nuclear-weapon-free zones would give impetus to nuclear disarmament efforts, enhance the security of the States involved and bring us closer to the ultimate goal of achieving and maintaining international peace and security. It has therefore supported and participated in efforts to establish nuclear-weapon-free zones in every region of the world, including, in particular, in the Middle East. In that connection, Iraq would like to emphasize the relevance of Security Council resolutions 487 (1981) and 687 (1991). Any effort to establish a nuclear-weapon-free zone in the Middle East must begin with basic steps that include the nuclear disarmament of Israel, its accession to the Non-Proliferation Treaty and placement of its nuclear installations under IAEA comprehensive safeguards. Iraq supports the convening in 2012 of an international conference on the establishment of zone free of nuclear and other weapons of mass destruction. All States in the region should participate in such a conference, which should take the 1995 resolution as its terms of reference.", "Jamaica", "[Original: English]", "[31 May 2011]", "The Government of Jamaica does not manufacture nor possess nuclear weapons.", "Jamaica remains supportive of international efforts to achieve nuclear disarmament and promote international cooperation on the peaceful uses of nuclear energy and technology as outlined in article IV of the Treaty on the Non‑Proliferation of Nuclear Weapons.", "Jamaica’s contribution to the disarmament and non-proliferation process is reflected in its support of efforts to attain universal adherence to multilateral disarmament treaties. It is for this reason Jamaica supports the tenets of and has ratified the major nuclear weapons treaties; and is a long-standing party to the first nuclear-weapon-free zone — the Treaty of Tlatelolco (OPANAL).", "Japan", "[Original: English]", "[27 May 2011]", "Being the only country to have suffered the horrific effects of atomic bombings, Japan firmly believes that it is essential to intensify efforts to maintain and enhance current momentum towards the realization of a world without nuclear weapons, and continues to exercise its leadership by proposing and taking practical and incremental measures and ensuring their steady implementation.", "The following are some of the recent efforts and measures that Japan has taken in order to take forward nuclear disarmament.", "1. Submission of resolutions on nuclear disarmament to the United Nations General Assembly", "Every year since 1994, the Government of Japan has submitted its resolutions on nuclear disarmament to the United Nations General Assembly.", "In 2010, taking into consideration the recent international situation surrounding nuclear disarmament and non-proliferation, Japan once again submitted its draft resolution on nuclear disarmament to the United Nations General Assembly. On 8 December 2010, the draft resolution was adopted at the plenary session of the United Nations General Assembly by an overwhelming majority of 173 votes in favour.", "Although the situation surrounding nuclear disarmament remains challenging, in response to the political will of a large majority of the international community, which was expressed through the adoption of this resolution, Japan intends to pursue its various diplomatic efforts to maintain and reinforce the international disarmament and non-proliferation regime based on the Treaty on the Non‑Proliferation of Nuclear Weapons (NPT).", "2. Efforts for the early entry into force of the Comprehensive Nuclear-Test-Ban Treaty (CTBT)", "Japan attaches great importance to the early entry into force of the CTBT, which constitutes one of the major pillars of the NPT regime. At bilateral meetings and international forums Japan has been calling for States that have not yet signed or ratified the Treaty to do so at an early stage. On 23 September 2010, the Friends of the CTBT (Australia, Canada, Finland, Japan and the Netherlands) and the Article XIV Coordinators (France and Morocco), co-hosted the fifth ministerial meeting on the CTBT in New York. At the meeting the then Minister for Foreign Affairs of Japan, Mr. Seiji Maehara, appealed to the political leaders of those remaining Annex 2 States for their leadership to act decisively for early signature and ratification of the Treaty.", "Through its advanced seismological observation technology, Japan has provided technical assistance to developing countries in order to support the development of the International Monitoring System, and at the same time, to facilitate broader adherence to the CTBT by making it easier for these countries to implement necessary measures required under the Treaty. Specifically, from January to March 2011, Japan invited 10 administrative officers from various countries, who are expected to play a role in a global seismological network for nuclear tests, to attend its global seismological observation training course in order to have opportunities to acquire knowledge and advanced techniques of global seismological observation.", "3. Efforts for revitalization of the Conference on Disarmament and for the commencement of fissile material cut-off treaty negotiations", "The Conference on Disarmament has been paralysed over the recent years. Despite the agreement reached on a programme of work in 2009, the Conference on Disarmament could not reach an agreement on implementing the programme of work and remains in stagnation. In order to break the paralysis, the Government of Japan supported and actively participated in the high-level meeting on revitalizing the work of the Conference on Disarmament in September 2010, convened by the Secretary-General. At the meeting the then Japanese Minister for Foreign Affairs, Mr. Maehara, expressed regret for the paralysis of function of the Conference on Disarmament and appealed for immediate commencement of its work and advancement of its core agenda items. Furthermore, Mr. Maehara called for placing a deadline on the discussions in the Conference on Disarmament and proposed to explore alternative paths in case of failure in making progress. Japan has also actively taken part in the follow-up discussions with like-minded countries in Geneva and New York after the high-level meeting.", "Japan regards a fissile material cut-off treaty as a concrete and immediate step to be undertaken to achieve “a world without nuclear weapons”, and has been leading, with other like-minded countries, the international efforts for early commitment of its negotiations as a matter of highest priority within the Conference on Disarmament. For example, the Governments of Japan and Australia have recently co-hosted a series of expert side events on a fissile material cut-off treaty in Geneva, which is open to all Conference on Disarmament members and observer States, for the purpose of advancing substantive discussions on the treaty. Japan and Australia intend to report the outcome of the discussions at the event to the Conference on Disarmament in the capacity of the Chair, hoping that it would contribute to the future negotiations in the Conference on Disarmament by further deepening technical discussions. Japan also makes efforts for fissile material cut-off treaty negotiations in the framework of the foreign ministers’ meeting on nuclear disarmament and non-proliferation, which Japan launched together with Australia and other countries last September (see sect. 5).", "4. Implementation of the Action Plan in the Final Document of the 2010 NPT Review Conference", "The 2010 NPT Review Conference adopted a comprehensive and forward-looking Final Document that included an Action Plan for all the three pillars of the Treaty.", "The Government of Japan and the Government of Australia hosted a ministerial meeting on nuclear disarmament and non-proliferation together with eight other like-minded countries (Canada, Chile, Germany, Mexico, the Netherlands, Poland, Turkey and the United Arab Emirates) in September 2010. The objectives of the meeting were to take forward the consensus outcomes of the 2010 NPT Review Conference and to jointly advance the nuclear disarmament and non‑proliferation agendas as mutually reinforcing processes. From short and midterm perspectives, it focused on measures to reduce nuclear risks on the path towards “a world without nuclear weapons”. The participants unanimously adopted the Joint Statement by Foreign Ministers. In this statement, the ministers committed to work together on practical measures for realizing these objectives.", "On 30 April, the second foreign ministers’ meeting on nuclear disarmament and non-proliferation took place in Berlin. The participants unanimously adopted the Berlin Statement, which lists several priority items in nuclear disarmament and non-proliferation fields such as an early commencement of fissile material cut-off treaty negotiations and increased transparency measures by nuclear-weapon States. The group of 10 States, now named the “Non-Proliferation and Disarmament Initiative”, decided to take concrete actions to reduce nuclear risks, especially focusing on priority items listed in the Berlin Statement.", "5. Cooperation for denuclearization in Russia", "At the Kananaskis Summit in June 2002, the Group of Eight (G-8) leaders announced the G-8 Global Partnership against the Spread of Weapons and Materials of Mass Destruction to address non-proliferation, disarmament, counter-terrorism and nuclear safety issues. The Government of Japan committed itself, for the purpose of the Partnership, to make a contribution amounting to over US$ 200 million, out of which $100 million was to be allocated to the G-8 disposition programme of Russian surplus weapons-grade plutonium and the rest to projects for dismantling decommissioned Russian nuclear submarines. Since then Japan has extended cooperation to Russia and completed the dismantlement of six decommissioned nuclear submarines. Furthermore, based on the decision in 2006, Japan will provide three equipments for cooperation for the construction of the long-term storage facility for reactor compartment units at Razboynik Bay by the end of 2011.", "6. Efforts to promote disarmament and non-proliferation education", "Since 1983, Japan has invited more than 700 participants in the United Nations disarmament fellowship programme to Japan, including the cities of Hiroshima and Nagasaki. This has provided these young officials, who will be responsible for future disarmament diplomacy, with an opportunity to witness the horrendous and long-lasting consequences caused by atomic bombs. Japan will continue to contribute to this programme.", "Japan believes that the international community should be well informed of the destructive effects of nuclear weapons. In accordance with the wish of the people of Japan that such weapons never be used again, the Government of Japan has supported, on a number of occasions, the efforts of local governments and NGOs in foreign countries to organize exhibitions relating to atomic bombs. Within the United Nations Conference on Disarmament in Saitama, the session on the theme “A Nuclear-Weapon-Free World” was held with prominent educators in August 2010.", "Japan hosted a reception and concert together with the Office for Disarmament Affairs of the United Nations on 3 May 2010, the first day of the 2010 NPT Review Conference, in honour of the Hibakusha (people who survived the 1945 atomic bombings of Japan) and their work with young people to raise awareness of the dangers of nuclear weapons.", "Japan submitted a joint working paper with the United Nations University, entitled “Disarmament and non-proliferation education: promoting cooperation with civil society towards a world without nuclear weapons” for the 2010 NPT Review Conference, which included proposals such as holding a global forum on disarmament and non-proliferation education that would bring together civil society and Governments and employing modern technologies to digitally record Hibakusha’s testimonies and to disseminate them to future generations. In this context, Japan delivered a joint statement on disarmament and non-proliferation education on behalf of 42 countries at the 2010 NPT Review Conference Main Committee I.", "Japan has started to appoint Hibakusha, atomic bombs survivors, as “Special Communicators for a World without Nuclear Weapons” to ask them to pass on their first-hand experience of the tragic consequences of the use of nuclear weapons to the world and to future generations.", "Kazakhstan", "[Original: Russian]", "[7 June 2011]", "The Republic of Kazakhstan, while supporting the speedy conclusion of a nuclear weapons convention, has also proposed the adoption of a universal declaration on a nuclear-free world. Such a declaration would help to advance the idea of a nuclear-free world and would represent a new step towards the adoption of a nuclear weapons convention and the implementation of the relevant General Assembly resolutions.", "Lebanon", "[Original: Arabic]", "[2 May 2011]", "Lebanon affirms the following:", "– Lebanon does not possess or produce weapons of mass destruction; it complies with the United Nations resolutions in that regard and is opposed to the legality of the threat or use of such weapons;", "– It welcomes and supports all initiatives aimed at bringing about general and complete disarmament, especially in the Middle East region, and emphasizes that the region should be free of weapons of mass destruction; it is apprehensive, however, about Israel’s failure to adhere to international legitimacy, in view of its maintenance of a nuclear arsenal that constitutes a constant threat to all the countries of the region, and consequently to international peace and security;", "– It is essential for the Arab States to continue to call for the establishment of a region free of weapons of mass destruction in the Middle East because that is the only available option for coping with the dangers which Israel’s nuclear armament and other Israeli weapons of mass destruction represent for international peace and Arab national security;", "– Attention continues to be called at the international level to the need for all the States of the region to sign the treaties on the non-proliferation of weapons of mass destruction and nuclear weapons (including Israel);", "– It is essential to unify the Arab position, step up the role of the League of Arab States and take action to acquire scientific knowledge and secure the necessary equipment for protection against weapons of mass destruction; it is also vital to continue the efforts to highlight that Israel is a State which is not a party to the international conventions;", "– Lebanon calls for the introduction and development of the use of peaceful nuclear technologies in all fields that serve sustainable development and the taking into account of the various needs of the different Arab countries.", "Mexico", "[Original: Spanish]", "[3 June 2011]", "Mexico believes that the advisory opinion of the International Court of Justice on the legality of the threat or use of nuclear weapons remains fully in force and calls attention to the grave danger that nuclear weapons represent, and reaffirms the existence of a legal obligation of States to pursue in good faith and bring to a conclusion negotiations leading to nuclear disarmament in all its aspects.", "In this connection, Mexico is strongly and steadfastly committed to international peace, disarmament and security. Accordingly, its domestic legal framework includes the following provisions:", "• Political Constitution of the United Mexican States", "Article 27", "[…] Nuclear energy shall be used only for peaceful purposes.", "Article 89", "The President shall have the following powers and duties:", "[…]", "X. To direct foreign policy […]. In directing foreign policy, the President shall be guided by the following normative principles: […] the peaceful settlement of disputes; the prohibition of the threat or use of force in international relations; […] and the effort to achieve international peace and security […].", "• Treaty for the Prohibition of Nuclear Weapons in Latin America and the Caribbean (Treaty of Tlatelolco)", "Article 1", "1. The Contracting Parties hereby undertake to use exclusively for peaceful purposes the nuclear material and facilities which are under their jurisdiction, and to prohibit and prevent in their respective territories:", "(a) The testing, use, manufacture, production or acquisition by any means whatsoever of any nuclear weapons, by the Parties themselves, directly or indirectly, on behalf of anyone else or in any other way, and", "(b) The receipt, storage, installation, deployment and any form of possession of any nuclear weapons, directly or indirectly, by the Parties themselves, by anyone on their behalf or in any other way.", "2. The Contracting Parties also undertake to refrain from engaging in, encouraging or authorizing, directly or indirectly, or in any way participating in the testing, use, manufacture, production, possession or control of any nuclear weapon.", "• Treaty on the Non-Proliferation of Nuclear Weapons", "Article II", "Each non-nuclear-weapon State Party to the Treaty undertakes not to receive the transfer from any transferor whatsoever of nuclear weapons or other nuclear explosive devices or of control over such weapons or explosive devices directly, or indirectly; not to manufacture or otherwise acquire nuclear weapons or other nuclear explosive devices; and not to seek or receive any assistance in the manufacture of nuclear weapons or other nuclear explosive devices.", "In addition, Mexico has expressed, at the international level, its consent to be bound by the Comprehensive Nuclear-Test-Ban Treaty, and hopes that the Treaty will soon enter into force (having ratified it in October 1999).", "Article I. Basic obligations", "1. Each State Party undertakes not to carry out any nuclear weapon test explosion or any other nuclear explosion, and to prohibit and prevent any such nuclear explosion at any place under its jurisdiction or control.", "2. Each State Party undertakes, furthermore, to refrain from causing, encouraging, or in any way participating in the carrying out of any nuclear weapon test explosion or any other nuclear explosion.", "In the framework of the Assembly of States Parties to the Rome Statute of the International Criminal Court, in June 2009 Mexico presented a proposed amendment to that instrument under which the use of nuclear weapons in an international armed conflict would be characterized as a war crime. This reflects Mexico’s conviction that the use of such weapons constitutes, by any measure, a grave violation of international humanitarian law.", "The proposal is based on a number of international treaties, General Assembly resolutions, the 8 July 1996 advisory opinion of the International Court of Justice on the legality of the threat or use of nuclear weapons, and customary international law. The Mexican proposal is currently being considered by the Assembly of States Parties Working Group on Amendments to the Statute, established in November 2009.", "In the multilateral sphere, Mexico continues to promote the commencement of substantive negotiations in the Conference on Disarmament, as well as with its New Agenda Coalition partners and in the context of the Non-Proliferation and Disarmament Initiative.", "Turkmenistan", "[Original: Russian]", "[27 April 2011]", "Information provided pursuant to General Assembly resolution 65/76 on follow-up to the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons", "Article 6 of the Constitution of Turkmenistan (26 September 2008)", "Turkmenistan, as a fully fledged member of the international community, maintains a foreign policy based on the principles of permanent neutrality, non‑interference in the internal affairs of other countries, renunciation of the use of force and of participation in military blocs and unions and promotion of the development of peaceful, friendly and mutually advantageous relations with the countries of the region and States throughout the world.", "Turkmenistan recognizes the priority of the generally recognized rules of international law. If an international treaty to which Turkmenistan is a party stipulates rules different from those established in domestic legislation, those in the international treaty are applied.", "Article 6 of the Constitutional Law of Turkmenistan on the permanent neutrality of Turkmenistan (27 December 1995)", "Turkmenistan shall not possess, produce or distribute nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor shall it allow the placement on its territory of military bases of foreign States.", "Foreign policy doctrine of Turkmenistan as a neutral State (27 December 1995)", "Turkmenistan shall not possess, produce or distribute nuclear, chemical, bacteriological or other types of weapons of mass destruction, or help to create new types of such weapons or technologies for their production. Turkmenistan is a party to all the main international legal instruments providing guarantees for the creation of a system of collective security.", "In the context of the obligations governing the international behaviour of a neutral State, Turkmenistan refuses to take sides in a conflict or to allow the placement on its territory of military bases of foreign States.", "The military doctrine of an independent and permanently neutral Turkmenistan (21 January 2009)", "Turkmenistan undertakes not to possess, produce, distribute or transport through its territory nuclear, chemical, biological or other types of weapons of mass destruction.", "Turkmenistan is a party to the following international legal instruments on counter-terrorism:", "International Convention for the Suppression of Terrorist Bombings (New York, 15 December 1997);", "Convention on Offences and Certain Other Acts Committed on Board Aircraft (Tokyo, 14 September 1963);", "Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation (Montreal, 23 September 1971);", "Convention for the Suppression of Unlawful Seizure of Aircraft (The Hague, 16 December 1970);", "Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms Located on the Continental Shelf (Rome, 10 March 1988);", "Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation (Rome, 10 March 1988);", "Convention on the Prevention and Punishment of Crimes against Internationally Protected Persons, including Diplomatic Agents (New York, 14 December 1973);", "International Convention against the Taking of Hostages (New York, 17 December 1979);", "Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, supplementary to the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation (Montreal, 24 February 1988);", "Convention on the Physical Protection of Nuclear Material (Vienna, 3 March 1980);", "Convention on the Marking of Plastic Explosives for the Purpose of Detection (Montreal, 1 March 1991);", "International Convention for the Suppression of the Financing of Terrorism (New York, 9 December 1999);", "International Convention for the Suppression of Acts of Nuclear Terrorism (New York, 13 April 2005);", "On 20 September 2005 Turkmenistan became a party to the Amendment (Vienna, 8 July 2005) to the Convention on the Physical Protection of Nuclear Material.", "Venezuela", "[Original: Spanish]", "[18 April 2011]", "In the advisory opinion of the International Court of Justice issued on 8 July 1996 on the legality of the threat or use of nuclear weapons, the Court recognizes that nuclear weapons have a destructive power that cannot be contained in either space or time and that they have the potential to destroy all civilization and the entire ecosystem of the planet. It is also stated that there exists an obligation to pursue negotiations leading to nuclear disarmament in all its aspects under strict and effective international control.", "Mindful of the above, the Bolivarian Republic of Venezuela has always joined the efforts made in various multilateral forums to achieve a legally binding and verifiable instrument that prohibits the development, production, testing, deployment, stockpiling, transfer, threat or use of nuclear weapons and provides for the elimination of such weapons. Unfortunately, those efforts have been fruitless thus far. As long as certain States lack the political will to modify their national defence policies in favour of world peace and security, humanity will continue to wait for this important international treaty." ]

[ "Sixty-sixth session", "Item 99 (o), (r) and (x) of the preliminary project", "∗ A/66/50.", "General and complete disarmament: nuclear disarmament", "Reducing nuclear danger", "International Court of Justice", "Follow-up to the advisory opinion on the Legality of Threats or Use of Nuclear Weapons", "Report of the Secretary-General", "Contents", "Paragraphs Page", "Introduction", "The present report is submitted pursuant to General Assembly resolutions 65/56, 65/60 and 65/76.", "In paragraph 22 of its resolution 65/56, the General Assembly requested the Secretary-General to submit to it at its sixty-sixth session a report on the implementation of the resolution.", "In paragraph 5 of its resolution 65/60, the General Assembly requested the Secretary-General to intensify his efforts and support actions that would contribute to the full implementation of the seven recommendations made in the report of the Advisory Committee on Disarmament Matters that significantly reduce the risk of nuclear war (see A/56/400, para.", "In paragraph 3 of its resolution 65/76, the General Assembly requested all States to inform the Secretary-General of their efforts and measures taken to implement the resolution and nuclear disarmament, and requested the Secretary-General to inform it at its sixty-sixth session.", "Observations", "In the first half of 2010, some progress was made towards achieving the goal of a world free of nuclear weapons. However, forums aimed at developing new international law on the elimination of nuclear weapons, including the Conference on Disarmament and the United Nations Disarmament Commission, have not yet been able to reach consensus agreements. At the same time, a number of Governments and civil society organizations have launched new efforts to develop innovative solutions:", "(a) On 22 September 2010, Australia and Japan jointly organized a ministerial conference on nuclear disarmament and non-proliferation during the Conference in New York, with 10 States participating in the Conference, namely Australia, Canada, Chile, Germany, Japan, Mexico, the Netherlands, Poland, Turkey and the United Arab Emirates. The main purpose of the meeting was to follow up on the recommendations of the International Commission on Nuclear Non-Proliferation and Disarmament. On 30 April 2011, Germany held its second ministerial meeting in Dublin. At that meeting, they agreed to take steps, inter alia, on key elements of the Plan of Action adopted at the 2010 Review Conference of the States Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT);", "(b) Following efforts to promote the designation of 29 August as the International Day for the Prohibition of Nuclear test, Kazakhstan launched the Nuclear Discussion Forum in February 2011 in cooperation with the Institute of Oriental Studies, which included six meetings from February to July 2011, with the aim of facilitating in-depth discussions on current events in the context of nuclear non-proliferation, disarmament and security discussions;", "(c) Some members of the informal core group of friends that have contributed to the Secretary-General's five-point proposal for nuclear disarmament, recently led by Uruguay and the Conference of Mayors for Peace, continue to work towards a creative new approach to international consensus on the road map for the total elimination of nuclear weapons, including an international legal instrument.", "Civil society and other international actors are committed to building strong international political momentum for nuclear disarmament, including the following key examples:", "(a) On 20 June 2011, the Conference of Mayors of the United States adopted a resolution, in particular calling on world leaders to implement the Secretary-General's five-point proposal for nuclear disarmament, with a view to agreeing no later than 2020 on a nuclear-weapon convention or an independent framework composed of a complementary legal instrument;", "(b) On 25 June 2011, the leader of the International Campaign for the Abolition of Nuclear Weapons launched an international event to mark the abolition of nuclear weapons Day in 25 countries;", "(c) In 2011, the Global Zero Point Movement convened meetings of senior government officials and political, military and civil society leaders in Washington, D.C., and London to discuss the elimination of nuclear weapons;", "(d) Following the publication by the United States of America of a former political home in 2007 of the Warsaw Street Day, the Russian Federation's former political family also issued a public argument to support the establishment of a nuclear-weapon-free world.", "The nuclear-weapon States continued to take steps to reduce the total stock of their nuclear warheads deployed, enhance transparency and accountability and advance their nuclear disarmament commitments:", "(a) From 30 June to 1 July 2011, the nuclear-weapon States held their second meeting on confidence-building measures for nuclear disarmament and non-proliferation in Paris to follow up on their commitments made at the 2010 Review Conference of the States Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and at the London Conference on confidence-building measures for nuclear disarmament in September 2009. Nuclear-weapon States issued a joint statement, in particular that they met because of their determination to work together to seek to achieve nuclear disarmament in accordance with article VI of the Treaty, including through the interaction on the steps described in Action 5 and to report and make other efforts required by the 2010 Review Conference of the Parties to the Treaty; to indicate progress made towards the elaboration of an agreed glossary for the definition of key nuclear terms and to report that they had established a dedicated working group responsible for the continuation of that work; to discuss specific political and technical challenges related to verification of further progress towards disarmament and non-proliferation and to ensure follow-up to the Third Review Conference of the Treaty at a later this year;", "(b) On 5 February 2011, the Treaty on Further Reduction and Limitation of Strategic Offensive Arms of the Russian Federation and the United States of America entered into force with the instrument of mutual ratification between Russia and the United States. The bilateral consultative committee established under the Treaty started its work in March 2011. Both parties also started to publish, on a regular basis, public information on their total nuclear warheads in accordance with the Treaty;", "(c) At the Lisbon summit on 19 November 2010, at which the Heads of State and Government of the North Atlantic Treaty Organization (NATO) adopted a new strategic concept that would no longer emphasize the political and military significance of nuclear weapons, agreeing to further negotiations with the Russian Federation on the reduction of nuclear weapons and arms control and to discuss, for the first time, the goal of a world free of nuclear weapons;", "(d) On 19 October 2010, the United Kingdom published its Strategic Defence and Security Review, which guarantees in particular that it will not use or threaten to use nuclear weapons against non-nuclear-weapon States parties to the Treaty on the Non-Proliferation of Nuclear Weapons and declare a reduction in their nuclear warheadshead stockpiles.", "Despite these steps, the number of nuclear weapons in their arsenals remains tens of thousands, including thousands of nuclear warheads that can be launched within minutes of the decision. Several nuclear-weapon States still operate doctrines of nuclear deterrence based on the consideration of the first use of nuclear weapons. Nuclear-weapon States continued to plan and implement major programmes aimed at modernizing their nuclear arsenals, their delivery systems and their associated R&D infrastructure and to continue to study, develop and deploy new types of nuclear weapons with new military capabilities.", "Although the Comprehensive Nuclear-Test-Ban Treaty still has a sufficient number of ratifications to bring its entry into force, the recent ratification by a Member State is also a welcome development. The Fifth Ministerial Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty was held on 23 September 2010 and issued a Ministerial Declaration, which called on all States that have not yet done so to ratify the Treaty.", "The Conference on Disarmament, at its 2011 session, remained unable to reach an agreed programme of work to start substantive work. This situation has raised concerns about the current status of multilateral disarmament mechanisms and the relevance of the Conference on Disarmament, and has led some States to start considering alternatives. In order to break the stalemate of the Conference on Disarmament, on 24 September 2010, the Secretary-General convened a high-level meeting on the theme “Renewing the work of the Conference on Disarmament and advancing multilateral negotiations”. Following this discussion, the Secretary-General requested his Advisory Committee on Disarmament Matters to conduct a thorough review of the issues raised at this high-level meeting and recommended that the General Assembly follow up on the matter in plenary meetings and in the First Committee. At its sixty-fifth session, the First Committee discussed this matter and adopted resolution 65/93 by the General Assembly. The General Assembly discussed this matter at its plenary meeting on 27 July 2011.", "The United Nations Disarmament Commission convened its third part of its three-year cycle in April 2011, but it was not possible to reach consensus on substantive matters related to its three agenda items: recommendations to promote nuclear disarmament and non-proliferation of nuclear weapons objectives; to declare the draft elements for the fourth decade of disarmament in the 2010s; and practical confidence-building measures in the field of conventional arms. The Committee has been unable to reach consensus on its substantive work and has again raised concerns about its working methods and its wider role in the context of the United Nations disarmament mechanisms.", "The Secretary-General and the High Representative for Disarmament Affairs continue to work on nuclear disarmament and non-proliferation globally through direct interaction, advocacy and other outreach activities with Governments, civil society, civil leaders and parliamentarians. In particular, in August 2010, the Secretary-General visited Japan to participate in the commemoration of the 65th anniversary of the bombing of atomic bombardment by Hiroshima and Nagasaki. In addition, the Secretary-General has made statements on a number of related activities, including the 59th Pagwahi Conference on Science and World Affairs; Japan's opposition to the meetings organized by the Honduran, Nagasaki and Tokyo for the purpose of launching a campaign of signatures to facilitate negotiations for a convention banning nuclear weapons; and the second nuclear-weapon States meeting on confidence-building measures to achieve nuclear disarmament and non-proliferation. In May 2011, the Secretary-General issued a letter calling on the members of the Conference on Disarmament to seize the opportunity to advance disarmament objectives. The Secretary-General also participated in a number of relevant meetings and made statements, including the opening of the 2011 session of the Conference on Disarmament; the organization of the Permanent Missions of Japan, Poland and Turkey to the United Nations on the theme “Towards a global instrument on nuclear non-proliferation and disarmament: United Nations and nuclear challenges”; and the plenary meeting of the General Assembly on follow-up to the high-level conference on “Renewing the work of the Conference on Disarmament and advancing multilateral negotiations”.", "Information received from Governments", "Note verbale dated 9 March 2011 invited all Member States to brief the Secretary-General no later than 31 May 2011 on their efforts and measures taken to implement resolution 65/76 on follow-up to the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons. To date, replies have been received from Cuba, Iraq, Jamaica, Japan, Kazakhstan, Lebanon, Mexico, Turkmenistan and the Bolivarian Republic of Venezuela, which are reproduced below. More responses received from Member States will be issued as addenda to the present report.", "Cuba", "[Original: Spanish]", "The advisory opinion of the International Court of Justice of 8 July 1996 on the Legality of the Threat or Use of Nuclear Weapons was undoubtedly a historic document in the field of nuclear disarmament, which is a legal precedent and requires appropriate follow-up.", "Article VI of the Treaty on the Non-Proliferation of Nuclear Weapons stipulates that nuclear-weapon States, together with the States parties to the Treaty, are obliged to continue negotiations on nuclear disarmament.", "There are about 12,000 nuclear weapons, of which 22,600 could be used immediately. These weapons and so-called doctrines of nuclear deterrence have created a global climate of instability and insecurity. The only way to avoid further nuclear catastrophe is the complete elimination and permanent prohibition of nuclear weapons.", "Cuba believes that the commitment of the Government of the Russian Federation and the Government of the United States of America to reduce strategic nuclear weapons, in accordance with the START Treaty, which entered into force on 5 February 2011, is a positive sign. Cuba believes that such a commitment should not result in a universal response or divert attention from our ultimate goal, namely, the adoption of legally binding international agreements that provide irreversible and internationally verifiable measures to eliminate and prohibit nuclear weapons within a specified time frame.", "Cuba also welcomes the small steps taken at the 8th Review Conference of the States Parties. However, the agreements reached were still far from the targets required at that time, since the final outcome document was very clear that the repeated restatements and good desires of some nuclear-weapon States remained a significant gap between their commitment and practical measures that they were actually willing to make.", "Cuba recalled that, as a State party to the Treaty, it had proposed a phased programme for the total elimination of nuclear weapons by 2025, including the adoption of a convention on nuclear weapons.", "In paragraph E of the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons, the International Court of Justice stated that “the threat or use of nuclear weapons is generally in violation of the rules of international law applicable to armed conflict, in particular humanitarian law”.", "Therefore, before the total elimination of nuclear weapons, a legally binding international instrument must be put in place to assure nuclear-weapon States against the use or threat of use of nuclear weapons against non-nuclear-weapon States. The Conference on Disarmament is the appropriate forum for negotiating and adopting such an instrument.", "Similarly, Cuba favoured the commencement of negotiations at the Conference on Disarmament to discuss a non-discriminatory, multilateral and effectively verifiable treaty banning the production of fissile material for nuclear weapons or other nuclear explosive devices. The Treaty should mark a new step towards achieving the goal of the total elimination of nuclear weapons and should therefore include measures for nuclear non-proliferation and nuclear disarmament.", "Iraq", "[Original: Arabic]", "The Government of Iraq firmly adheres to its responsibility to respect and implement all disarmament and non-proliferation instruments. My Government is committed not only to the implementation of these instruments but also to the implementation of international arrangements related to disarmament, arms control and non-proliferation. To that end, article 9, paragraph (e), of the Iraqi Constitution stipulates that the Government of Iraq shall respect and fulfil Iraq's international obligations in the area of non-proliferation, development, non-production and non-use of nuclear, chemical or biological weapons and shall prohibit the relevant equipment, materials, technology and delivery systems for the development, manufacture, production and use of such weapons.", "The National Monitoring Bureau established by the Government of Iraq drafted a law aimed at establishing a permanent national system that would enable Iraq to fulfil its commitments under the various instruments to non-proliferation of chemical and biological weapons and their delivery systems. The Act will apply to all peace activities, including those relating to materials, equipment and technology, as well as activities related to production, possession, use, storage, import, export, transport, disposal and other activities to ensure that they are not diverted from prohibited activities and that sanctions are imposed. The Act will also establish mechanisms for the declaration, licensing and tracing of dual-use substances in accordance with the Safeguards Agreement signed under the NPT, the Chemical Weapons Verification System and the Biological Weapons Convention.", "Iraq acceded to the Treaty on the Non-Proliferation of Nuclear Weapons in 1969 and signed the Additional Protocol to the Safeguards Agreement on 9 October 2008. The Additional Protocol is currently before the National Assembly for approval. Iraq officially informed the International Atomic Energy Agency (IAEA) that it had voluntarily applied the instrument in accordance with article 17 of the Additional Protocol on 17 February 2010. In that regard, Iraq submitted its initial declaration on 16 July 2010. Iraq also ratified the Chemical Weapons Convention in February 2009 and signed the Comprehensive Nuclear-Test-Ban Treaty on 19 August 2008, and acceded to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction in 1991.", "The Government of Iraq stresses the importance of implementing the decisions adopted at the 1995 Review Conference on the indefinite extension of the Treaty and the 13 practical steps adopted at the 2000 Review Conference, which constitute a programme of action to enhance the credibility of the Treaty and the review process itself.", "Iraq fully supports the programme of work adopted by the Conference on Disarmament in 2009. The programme builds a good foundation for progress in negotiations on a fissile material treaty banning the production of nuclear weapons or other nuclear explosive devices, as well as practical measures to achieve nuclear disarmament, negative security assurances and the prevention of an arms race in outer space.", "Iraq signed the Hague Code of Conduct on 11 August 2010, thereby becoming a signatory to its 131 and will submit its initial declaration in 2011.", "Despite the recent positive developments at the international level, the situation remains a matter of concern for nuclear-weapon States to continue to maintain most of their nuclear arsenals and to develop new nuclear and related delivery systems. There must be consensus on the need for a binding international legal instrument to assure non-nuclear-weapon States that nuclear-weapon States will not use or threaten to use such weapons and provide ways to make progress towards that end. Negative security assurances are an important step in that direction. In addition, it is a legitimate and impartial requirement for non-nuclear-weapon States, which become parties to the NPT and voluntarily renounce nuclear military options. While effective measures and arrangements to provide such assurances to non-nuclear-weapon States may make a positive contribution to nuclear non-proliferation, it is not possible to replace complete nuclear disarmament.", "The progressive elimination of nuclear weapons will establish mutual trust among the States parties to the NPT and provide an incentive for non-State parties to accede to the Treaty. This will also mitigate concerns arising from the capacity and safety of certain nuclear-weapon States. In that regard, Iraq stresses its commitment to the advisory opinion of the International Court of Justice of 8 July 1996 on the Legality of the Threat or Use of Nuclear Weapons, which determines that the threat or use of nuclear weapons is generally a violation of the rules of international law applicable to armed conflict and that States have an obligation to conclude negotiations in order to achieve nuclear disarmament in all its aspects under strict and effective international control.", "Iraq recognizes that the establishment of a nuclear-weapon-free zone will contribute to nuclear disarmament efforts, strengthen the security of the States concerned and bring us closer to the ultimate goal of achieving and maintaining international peace and security. Therefore, my country supports and participates in efforts to establish nuclear-weapon-free zones in all regions of the world, in particular in the Middle East region. In that regard, Iraq would like to highlight the significance of Security Council resolutions 487 (1981) and 687 (1991). Any effort to establish a nuclear-weapon-free zone in the Middle East must first take the basic steps, including Israel's nuclear disarmament, its accession to the NPT and the placement of its nuclear facilities under IAEA comprehensive safeguards. Iraq supports the convening of an international conference on the establishment of a nuclear-weapon-free zone and its weapons of mass destruction area in 2012. All countries in the region should participate in the Conference, which should serve as its mandate the 1995 resolution.", "Jamaica", "[Original: English]", "[31 May 2011]", "The Government of Jamaica does not manufacture or possess nuclear weapons.", "Jamaica continues to support international efforts to achieve nuclear disarmament and to promote international cooperation in the peaceful uses of nuclear energy sources and nuclear technology, in accordance with article IV of the Treaty on the Non-Proliferation of Nuclear Weapons.", "Jamaica's contribution to the disarmament and non-proliferation process is reflected in Jamaica's support for efforts to achieve universal adherence to multilateral disarmament treaties. Jamaica therefore embraces the purposes of the major nuclear weapons treaties and has ratified them. Jamaica has long been a party to the Treaty of Tlatelolco (Latin Nuclear Organization) concerning the first nuclear-weapon-free zone.", "Japan", "[Original: English]", "[27 May 2011]", "As the only country affected by the bombing of atomic bombardment, Japan firmly believes that it is essential to intensify its efforts to maintain and strengthen the momentum that is currently building a world free of nuclear weapons. Japan continues to play a leading role in recommending and taking practical and progressive measures to ensure the steady implementation of these measures.", "The following are part of Japan's recent efforts and measures to advance nuclear disarmament.", "Resolution on nuclear disarmament to the General Assembly", "Since 1994, the Government of Japan has submitted annual nuclear disarmament resolutions to the General Assembly.", "In 2010, Japan renewed its draft resolution on nuclear disarmament to the United Nations General Assembly, taking into account the international situation in the field of nuclear disarmament and nuclear non-proliferation in recent years. On 8 December 2010, the plenary of the United Nations General Assembly adopted the draft resolution by a great majority of 173 votes in favour.", "Despite the challenges faced by the nuclear disarmament situation and in order to respond to the political will expressed by the majority of members of the international community in adopting the resolution, Japan intends to continue its diplomatic efforts to maintain and strengthen the international disarmament and non-proliferation regime based on the Treaty on the Non-Proliferation of Nuclear Weapons (NPT).", "Efforts to promote the early entry into force of the Comprehensive Nuclear-Test-Ban Treaty (CTBT)", "Japan attaches great importance to the early entry into force of the CTBT, which is one of the main pillars of the non-proliferation regime. At various bilateral and international forums, Japan has called on States that have not yet signed or ratified the Treaty to do so as soon as possible. On 23 September 2010, the Friends of the CTBT (Australia, Canada, Finland, Japan and the Netherlands) and the Coordinator of Article 14 (France and Morocco) co-hosted the Fifth CTBT Ministerial Conference in New York. At that meeting, Mr. former Horizon, Minister for Foreign Affairs of Japan, called on the political leaders of the remaining Annex II countries to take decisive action towards early signature and ratification of the Treaty.", "Japan uses its advanced seismic observation technology to provide technical assistance to developing countries to support the establishment of an international monitoring system and to promote wider adherence to the CTBT in order to implement the necessary measures under the Treaty. In particular, from January to March 2011, Japan invited 10 administrative officials from different countries that could play a role in nuclear test global seismic observation training courses in Japan to provide them with the opportunity to have knowledge and advanced technologies for global earthquake observation.", "Efforts to revitalize the Conference on Disarmament and commence negotiations on a fissile material cut-off treaty", "In recent years, the Conference on Disarmament has been paralysed. Despite the agreed programme of work in 2009 and the inability of the Conference on Disarmament to reach consensus on how to implement its programme of work, it continues to be stagnant. In order to overcome paralysis, the Government of Japan supports and actively participates in the high-level meeting of the Secretary-General on the revitalization of the work of the Conference on Disarmament, held in September 2010. At that meeting, Mr. former Horizon, Minister for Foreign Affairs of Japan, regretted the paralysis of the functions of the Conference on Disarmament and called on the Conference on Disarmament to begin its work immediately and advance its core agenda item. In addition, Mr. former Horizon called for a deadline for the discussions at the Conference on Disarmament and recommended that other avenues be explored to be used in cases where progress could not be made. Following the high-level segment, Japan also held follow-up discussions with the same viewing countries in Geneva and New York.", "Japan believes that the fissile material cut-off treaty is a concrete step that should be taken immediately to build a “nuclear-weapon-free world” and, together with other interested States, lead international efforts to prioritize early commitments to FMCT negotiations within the Conference on Disarmament. For example, the Governments of Japan and Australia recently co-hosted a series of expert side events on the fissile material cut-off treaty in Geneva and open to all member States and observer States of the Conference on Disarmament to facilitate substantive discussions on the Treaty. Japan and Australia intend to report to the Conference on Disarmament, in their capacity as President, on the outcome of the side event discussions and hope that this will further deepen technical discussions, thereby contributing to future negotiations of the Conference on Disarmament. Japan also strives to facilitate negotiations on a fissile material cut-off treaty within the framework of the Conference of Foreign Ministers on Nuclear Disarmament and Disarmament, which was held in September last year by Japan and Australia (see sect.", "Implementation of the Plan of Action of the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons", "The 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons adopted a comprehensive and forward-looking Final Document, including the Action Plan, developed as all three pillars of the Treaty.", "The Governments of Japan and Australia co-hosted the nuclear disarmament and non-proliferation conference in September 2010 with eight same-minded States (Canada, Chile, Germany, Mexico, the Netherlands, Poland, Turkey and the United Arab Emirates). The meeting was aimed at advancing the consensus outcome of the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and promoting the nuclear disarmament and non-proliferation agenda as a mutually reinforcing process. From a short and medium-term perspective, the Conference focused on measures taken to reduce nuclear dangers on the way to establish a nuclear-weapon-free world. The States participating in the Conference unanimously adopted the Joint Statement of Foreign Ministers. In his statement, ministers committed themselves to working together to develop practical measures to achieve these goals.", "On 30 April, the Second Conference of Foreign Ministers on Nuclear Disarmament and Disarmament was held in Berlin. The participants unanimously adopted the Berlin Declaration containing a number of priorities in the field of nuclear disarmament and non-proliferation, such as the early commencement of negotiations on a fissile material cut-off treaty and transparency measures taken by nuclear-weapon States. The Group of Ten (now the Non-Proliferation and Disarmament Initiative) decided to take concrete action to reduce nuclear risks, in particular the priority items contained in the Berlin Declaration.", "Cooperation for the non-nuclearization of Russia", "At the Carnaskis Summit in June 2002, the leaders of the Group of Eight announced that a global partnership plan for the prevention of the proliferation of weapons of mass destruction and materials would be established by the Group of Eight to address non-proliferation, disarmament, counter-terrorism and nuclear safety issues. The Government of Japan pledged to contribute more than $200 million to partners' plans, of which $100 million would be used to dispose of Russian surplus weapons-grade plutonium and the remainder to dismantle Russian decommissioned nuclear submarines. Japan has since cooperated with Russia to complete the removal of six decommissioned nuclear submarines. Japan will also provide three sets of equipment for the establishment of a long-term storage facility in Lazvoinik Bay reactor at the end of 2011.", "Efforts to promote disarmament and non-proliferation education", "Since 1983, the Government of Japan has invited more than 700 trainees of the United Nations Disarmament Fellowship Programme to travel to cities such as Nagasaki and Hiroshima. This gives young officials who will assume responsibility for disarmament diplomacy an opportunity to witness the long-term, horrible consequences of thetomic bombs. Japan will continue to contribute to the fellowship programme.", "Japan believes that the international community should be fully aware of the devastating effects of nuclear weapons. In accordance with the wishes of the people of Japan regarding the non-use of nuclear weapons, the Government of Japan has repeatedly supported local governments and non-governmental organizations in organizing atomic bomb exhibition in foreign countries. In August 2010, during the United Nations Conference on Disarmament, held in Chiangi, a conference was held with prominent educators on the theme “A world free of nuclear weapons”.", "On 3 May 2010, on the first day of the 2010 Review Conference of the States Parties to the NPT, Japan co-hosted a conference and concert with the United Nations Office for Disarmament Affairs, which was to be held in Japan in 1945 and to recognize their work in raising awareness of the dangers of nuclear weapons and young people.", "Japan, in conjunction with the 2010 Review Conference of the Parties to the NPT, submitted a joint working paper entitled “Promoting cooperation with civil society and establishing a world free of nuclear weapons”, which included the organization of a global forum on disarmament and non-proliferation education, which was co-sponsored by civil society and Governments, and the use of modern digital technology to record the testimony and circulation of the spoilers of atomic bomber. In this regard, Japan issued a joint statement on disarmament and non-proliferation education on behalf of 42 countries at the first Main Committee of the 2010 NPT Review Conference.", "Japan has started the appointment of atomic bomber survivors as a “special advocate for a world free of nuclear weapons” and invited them to communicate their experiences of the tragic consequences of the use of nuclear weapons to their grandchildren and future generations.", "Kazakhstan", "[Original: Russian]", "The Republic of Kazakhstan supports the conclusion of a nuclear-weapon convention as soon as possible, and has proposed a world declaration on a world free of nuclear weapons. This declaration will contribute to the idea of a world free of nuclear weapons and is a new step towards the adoption of nuclear weapons conventions and the implementation of relevant General Assembly resolutions.", "Lebanon", "[Original: Arabic]", "Lebanon recognizes the following:", "Lebanon does not possess or manufacture weapons of mass destruction and abides by United Nations resolutions in this regard and rejects the legitimacy of the use or use of such weapons;", "Lebanon welcomes and supports all initiatives aimed at achieving comprehensive and complete disarmament, particularly in the Middle East, and stresses that the region should be a zone free of weapons of mass destruction. However, it fears Israel's non-compliance with international law, the maintenance of its nuclear arsenals and the constant threat to all States in the region and thus pose a threat to international peace and security;", "Arab States should continue to call for the establishment of a zone free of weapons of mass destruction in the Middle East, as it is the only threat to the security of international peace and the Arab States by Israel's nuclear arms and other weapons of mass destruction;", "It should continue to call on all States in the region, including Israel, to sign treaties on the non-proliferation of weapons of mass destruction and nuclear weapons;", "The position of Arab States, strengthening the role of the League of Arab States and taking action to ensure access to the scientific knowledge and equipment necessary for the prevention of weapons of mass destruction, should be harmonized, while continuing efforts should be made to emphasize that Israel is a State not party to the relevant international conventions;", "Lebanon calls for the introduction and development of nuclear technology for peaceful purposes in all areas to promote sustainable development, taking into account the different needs of Arab States.", "Mexico", "[Original: Spanish]", "Mexico believes that the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons remains fully effective and calls for vigilance against the serious threat posed by nuclear weapons, and reiterates the legal obligation of States to pursue in good faith and to complete negotiations on nuclear disarmament in all its aspects.", "To that end, Mexico is committed to international peace, disarmament and security. Thus, its domestic legal framework includes the following provisions:", "• The National Political Constitution of Mexico", "Article 27", "[...] Nuclear energy shall be used only for peaceful purposes.", "Article 89", "The President shall have the following powers and obligations:", "[]", "Guidance on foreign policy [...]. In guiding foreign policy, the President shall be guided by the following normative principles: [...] the peaceful settlement of disputes, the prohibition of the use of force or the use of force in international relations; [...] and efforts to achieve international peace and security [...].", "• Treaty on the Prohibition of Nuclear Weapons in Latin America and the Caribbean (Treaty of Tlatelolco)", "Article 1", "In particular, the State party undertakes to fully use nuclear material and nuclear facilities within its jurisdiction for peaceful purposes and to prohibit and prevent in its respective territories:", "(a) The State party itself, directly or indirectly, by any person or by any other means, test, use, manufacture, production or acquisition of any nuclear weapon;", "(b) The State party itself accepts, stores, installs, deploys and possesses any nuclear weapons directly or indirectly, on behalf of any person or by any other means.", "The State party also undertakes not to encourage or authorize, directly or indirectly, or in any way engage in any nuclear weapon test, use, manufacture, production, possession or control.", "• Non-Proliferation Treaty", "Article 2", "Each non-nuclear-weapon State Party undertakes not to accept, directly or indirectly, any transfers of nuclear weapons or other nuclear explosive devices or control over such weapons or explosive devices; to refrain from manufacture or otherwise acquire nuclear weapons or other nuclear explosive devices; nor to seek or receive any assistance in the manufacture of nuclear weapons or other nuclear explosive devices.", "Furthermore, Mexico has internationally expressed its consent to be bound by the Comprehensive Nuclear-Test-Ban Treaty and hopes that the Treaty (ratified in October 1999) will enter into force as soon as possible.", "Article 1 Basic obligations", "The State party undertakes not to carry out any nuclear weapon test explosion or any other nuclear explosion and undertakes to prohibit and prevent any such nuclear explosion in any place under its jurisdiction or control.", "The State party also undertakes not to cause, encourage or engage in any nuclear weapon test explosion or any other nuclear explosion.", "At the General Assembly of States parties to the Rome Statute of the International Criminal Court, held in June 2009, Mexico proposed an amendment to that instrument, which provided that the use of nuclear weapons in international armed conflict should be considered a war crime. This reflects Mexico's belief that the use of such weapons constitutes, in any event, serious violations of international humanitarian law.", "This recommendation is based on international treaties, General Assembly resolutions, advisory opinion of the International Court of Justice of 8 July 1996 on the Legality of the Threat or Use of Nuclear Weapons, and international customary law. Mexico's proposal is currently being considered by the Working Group on Amendments to the Statute, established in November 2009.", "In the multilateral sphere, Mexico continues to promote substantive negotiations at the Conference on Disarmament and with its partners in the New Agenda Coalition and within the framework of the non-proliferation and disarmament initiatives.", "Turkmenistan", "[Original: Russian]", "Information provided pursuant to General Assembly resolution 65/76 on follow-up to the advisory opinion of the International Court of Justice on the Legality of the Threat or Use of Nuclear Weapons", "Article 6 of the Constitution of Turkmenistan (26 September 2008)", "As an official member of the international community, the foreign policy pursued by Turkmenistan is based on the principle of permanent neutrality, non-interference in the internal affairs of other States, the non-use of force, non-participation of military groups or alliances, and the promotion of the development of peace, friendship and mutual benefit relations with the region and throughout the world.", "Turkmenistan recognizes the primacy of the universally accepted rules of international law. The provisions of international treaties would apply if the rules established in Turkmenistan's domestic legislation differ from those of international treaties to which it is a party.", "Article 6 of the Constitutional Act on the permanent neutrality of Turkmenistan (27 December 1995)", "Turkmenistan will not possess nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor participate in the proliferation of such weapons, nor establish foreign military bases in its territory.", "Turkmenistan's foreign policy statement as a neutral State (27 December 1995)", "Turkmenistan will not possess, produce or disseminate nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor contribute to the creation of new types of such weapons or technologies for production. Turkmenistan is a party to all major international legal instruments to ensure the establishment of a collective security system.", "In accordance with the international obligations of the neutral State, Turkmenistan rejects the place of the parties to the conflict or allows foreign military bases in its territory.", "Military doctrine of Turkmenistan independent and permanently neutral (21 January 2009)", "Turkmenistan is committed not to possessing, producing, disseminating or transporting nuclear, chemical or biological weapons or other types of weapons of mass destruction through its territory.", "Turkmenistan is a party to the following international legal instruments against terrorism:", "International Convention for the Suppression of Terrorist Bombings (New York, 15 December 1997);", "Convention on Offences and Certain Other Acts Committed in the Aeronautics (CA) On 14 September 1963, Tokyo;", "Convention on the Suppression of Unlawful Acts against the Safety of Civil Aviation (Montreal, 23 September 1971);", "Convention on the Suppression of Unlawful Seizure of Aircraft (The Hague, 16 December 1970);", "Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms of the Continental Shelf (Rome, 10 March 1988);", "Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation Rome, 10 March 1988;", "Convention on the Prevention and Punishment of Crimes against Internationally Protected Persons, including Diplomatic Agents New York, 14 December 1973;", "International Convention against the Taking of Hostages (New York, 17 December 1979);", "Protocol for the Suppression of Unlawful Acts against the Safety of Civil Aviation, supplementing the Convention on the Suppression of Unlawful Acts of Violence at Airports serving International Civil Aviation (ICC) Montreal, 24 February 1988;", "Convention on the Physical Protection of Nuclear Material (Vienna, 3 March 1980);", "Convention on the Marking of Plastic Explosives for the Purpose of Detection Montreal, 1 March 1991;", "International Convention for the Suppression of the Financing of Terrorism (New York, 9 December 1999);", "International Convention for the Suppression of Acts of Nuclear Terrorism (New York, 13 April 2005);", "On 20 September 2005, Turkmenistan became a party to the amendment to the Convention on the Physical Protection of Nuclear Material (Vienna, 8 July 2005).", "Venezuela", "[Original: Spanish]", "In its advisory opinion on the Legality of the Threat or Use of Nuclear Weapons, issued on 8 July 1996, the International Court of Justice acknowledged that the destructive strength of nuclear weapons cannot be curbed in the airtime. These weapons have the potential to destroy all civilization and Earth-wide ecosystems. The International Court of Justice also noted the obligation to hold negotiations to achieve nuclear disarmament in all its aspects under strict and effective international control.", "In this context, the Bolivarian Republic of Venezuela has been participating in various multilateral forums in order to reach a legally binding and verifiable instrument prohibiting the development, production, testing, deployment, stockpiling, transfer, threat or use of nuclear weapons and providing for their elimination. Regrettably, these efforts have not yet been achieved. As long as certain States lack political will to modify their defence policies in order to facilitate world peace and security, humankind needs to continue to await this important international treaty." ]

[ "第六十六届会议", "临时议程[1]项目83", "国内和国际的法治", "加强和协调联合国法治活动", "秘书长的报告", "摘要", "秘书长的这份报告是第三次关于加强和协调联合国法治活动的年度报告，这些活动对于本组织来说是一个持续不断和非常重要的进程。本报告是根据大会第65/32号决议提交。", "由常务副秘书长任主席、由法治股提供支助的法治协调和资源小组继续推动联合国提供更为战略性和更为有效的法治援助，保证全面提高联合国所作参与的质量、协调性和一致性。", "本报告说明了过去一年在加强国内和国际的法治方面取得的主要成就和遇到的主要挑战，着重指出联合国在以更全面、更协调的方法支持国家优先事项和计划方面取得的进展，并提出了下一步措施。", "目录", "页次\n1.导言 3\n2.促进国际法治 4\nA.国际规范和标准框架的编纂、发展、宣传和执行 4\nB.国际和混合法院和法庭 5\nC.非司法机制 6\n3.联合国促进国内法治的方法 7\nA.用以加强法治的框架 7\nB.克服冲突和冲突后社会中的重要挑战 11\n4.全面协调一致 13\nA.提供指导和执行联合战略计划 13\nB.联络全系统 14\nC.衡量效力和评价影响 15\nD.衡量效力和评价影响 16\nE.加强联合国内的法治 17\nF.扩大伙伴关系 17\n5.促成法治下的公正、安全与和平的世界 18 \n 附件 \n会员国发表的意见 20", "一. 导言", "1. 由于民众呼吁增加问责、透明度和法治，中东和北非发生了深刻的政治变化。这凸显了联合国在不断促进国内和国际法治的过程中所作参与的重要性。本报告提供了一个机会来跟踪在落实这一广泛和目标远大的议程方面取得的进展，并思考当前的各种挑战。这一进展的基础，是迄今在这一进程中达到的各个里程碑：《千年宣言》(第55/2号决议)；秘书长关于冲突和冲突后社会中法治和过渡时期司法的报告(S/2004/616)；《2005年世界首脑会议成果文件》(大会第60/1号决议)；秘书长关于加强联合国对法治的支持的报告(A/61/636-S/2006/980和Corr.1)；确立新的全联合国系统安排，其中包括由秘书长办公厅法治股提供支助的法治协调和资源小组以及一个由各法治分部门的非唯一牵头机构组成的系统；联合国法治活动清单(A/63/64)；秘书长关于加强和协调联合国法治活动的报告(A/63/226)；秘书长第一次和第二次关于这个主题的年度报告(A/64/298和A/65/318)。", "2. 联合国正在遍及世界每个区域的150个会员国提供法治援助。举办这些活动的环境各种各样，包括发展、脆弱、冲突和建设和平环境。在至少70个国家中，有三个或更多联合国实体参与法治活动，而有五个或更多联合国实体参与这些活动的国家则超过35个。证据表明，开展活动的主要法治实体当中出现了采取联合及综合举措的趋势，在冲突和冲突后局势中尤其如此，现在有17个和平行动的任务规定中包括法治。", "3. 法治协调和资源小组由常务副秘书长任主席，由法治股提供支助，继续在实现联合国所作参与的全系统战略性协调一致方面取得进展。取得进展的方面包括：精简政策和指导；支持在各国采取一致行动；扩大伙伴关系，以便从国家视角出发提供法治援助。", "4. 然而，联合国仍然在提供有效的法治援助方面遇到挑战。这些挑战包括需要培养必要的政治意愿和领导能力，以使法治成为国家优先事项和推动改革努力，并包括有关国家和国际行为体之间缺乏全面协调。必须正视这些挑战，以消除国际规范和标准与它们在国家一级的落实情况之间的差距。", "5. 本报告是根据大会第65/32号决议提交，大会在该决议中请秘书长提交关于联合国的法治活动的年度报告，特别是报告法治协调和资源小组以及法治股为增进这些活动的协调、一致性和效力所进行的工作。本报告附件载有各会员国就冲突和冲突后局势中的法治和过渡时期司法问题向秘书长提交的意见。考虑到这个分主题的范围很广，本报告按照该决议在全文各处提供了有关信息。", "二. 促进国际法治", "A. 国际规范和标准框架的编纂、发展、宣传和执行", "6. 国际法治是《联合国宪章》的最根本基础。为了争取实现这一理想，联合国争取创造条件，使各项条约和其他国际法来源所规定的司法正义和义务得到尊重。2011年5月，秘书长发布了《关于联合国国际法治援助方法的指导说明》。《说明》为在国家之间关系、国家与国际组织之间关系和国际组织之间关系当中促进法治提供了指导原则和框架。《说明》指明了指导联合国行动的主要法律文书，并说明如何在具体的国际法治援助领域中运用这些文书所载原则。《说明》确定，联合国在促进国际法治方面的参与植根于这一认识：为克服全世界所面临的各种挑战和威胁，必须有一个以国际法为基础的有效的多边制度。", "7. 解决无国籍问题是联合国为加强法治所作努力当中的一个基本和固有的组成部分。全世界估计有1 200万人无国籍。拥有国籍对于充分参加社会生活和享有基本人权来说必不可少。1961年《减少无国籍状态公约》和1954年《关于无国籍人地位的公约》的缔约国太少，而这两项公约是保护无国籍人士以及防止出现和减少无国籍状态的主要法律文书。大会为联合国难民事务高级专员办事处(难民署)规定了查明、防止出现和减少无国籍状态以及保护无国籍人士的任务，在1961年《公约》五十周年之际，难民署进行了加倍的努力来促使各国加入和执行这两项主要的无国籍问题公约。法律事务厅(法律厅)组织的2011年联合国条约活动为会员国提供了一个机会来批准或加入这两项公约。为了把联合国向会员国提供的支助集中于防止和减少无国籍状态，秘书长于2011年6月发布了《关于联合国与无国籍状态的指导说明》。《说明》强调，获得国籍是解决无国籍问题的主要办法，同时鼓励各国在国籍法中保证性别平等，并保证落实这些法律，以防止出现无国籍状态。有效解决无国籍问题对于预防冲突的努力来说同样必不可少，并支持社会和经济发展，但需要包括各国、联合国系统和受影响社区在内的所有利益攸关方增加努力。", "8. 本报告所述期间，联合国继续协助制定和执行与法治有关的国际规范和标准。制定了刑事司法领域的新标准，包括经过修订的《在预防犯罪和刑事司法领域中消除对妇女的暴力行为的示范战略和实际措施》(大会第65/228号决议，附件)以及联合国关于女性囚犯待遇和女性罪犯非拘禁措施的规则(曼谷规则)(大会第65/229号决议，附件)。大会举行了一次高级别会议，纪念《联合国打击跨国有组织犯罪公约》十周年，并举行了一次特别的条约签署活动，导致更多国家批准、加入或接受该公约：《公约》本身：8个国家；贩运人口问题议定书：9个国家；走私移民问题议定书：6个国家；火器走私问题议定书：9个国家。联合国打击跨国有组织犯罪公约缔约国会议除了举办一个试点项目之外，还成立了关于审查联合国打击跨国有组织犯罪公约及其议定书执行情况的可能机制的不限成员名额政府间工作组。今后建立的任何审查机制都应使参加国能够交流运用《公约》方面的专门知识和最佳做法，并有助于确定所需技术援助，从而确保更好地选定援助方案的对象。", "9. 在裁军领域，重要事件包括联合国于2010年5月主办的不扩散核武器条约缔约国审议大会取得成功。这次会议导致为执行该条约通过一项有64个要点的行动计划，并责成秘书长于2012年组织一次关于建立中东无大规模毁灭性武器区的会议。其他重要事件包括《集束弹药公约》于2010年8月1日生效，该公约对于消除包括儿童在内的平民由于这些武器广泛遭受的苦难来说至关重要。秘书长还于2010年9月召开了一次高级别会议，以使裁军谈判会议恢复工作，该会议是世界上唯一的多边裁军谈判论坛，但在过去12年中没有开展活动。", "10. 在国际投资和自由贸易协定领域，联合国国际贸易法委员会(贸易法委员会)正在制定关于投资者与国家之间基于条约的争端解决办法的透明度的法律标准。", "B. 国际和混合法院和法庭", "11. 国际法院继续为国际法治作出贡献，接受新的案件。当前，国际法院面前有14个诉讼案件和一项咨询意见请求。2011年7月，法院根据关于解释1962年6月15日在“柏威夏寺案(柬埔寨诉泰国)”中所作判决的请求，作出临时措施裁决。这个案件表明了国际法院在和平解决造成国家之间关系紧张的法律争端方面发挥的作用。法律事务厅采取了举措来加强国际法院的作用，包括在2010和2011年的年度条约活动中，并在纽约的一次有各国外交部法律顾问以及国际法院院长和其他法官参加的研讨会上鼓励各国发表声明，承认国际法院的强制管辖权。", "12. 逮捕拉特科·姆拉迪奇和戈兰·哈季奇是前南斯拉夫问题国际法庭历史上的两个里程碑。然而，在卢旺达问题国际刑事法庭，仍有9个被告在逃。这两个法庭都在执行其《完成工作战略》方面取得进展，包括针对各国司法机关开展外联活动，例如通过前南斯拉夫问题国际法庭、欧洲安全与合作组织(欧安组织)和联合国区域间犯罪和司法研究所(犯罪司法所)战争罪司法项目开展这些活动。安全理事会第1966(2010)号决议建立了一个余留机制，并在阿鲁沙为卢旺达和在海牙为前南斯拉夫各设一个分支机构，这两个分支机构分别定于2012年7月1日和2013年7月1日开始运作。余留机制将继续行使这两个法庭的管辖权，发挥其必要的余留职能，包括审判在逃罪犯、持续进行证人保护、监测监禁判决的执行情况和进行档案管理。同样，联合国与塞拉利昂政府签署协定设立了塞拉利昂余留事项特别法庭，该法庭将在查尔斯·泰勒案件结案后发挥塞拉利昂问题特别法庭的余留职能。", "13. 柬埔寨法院特别法庭使得受害者能够发挥强有力和重要的作用。一项独立研究显示，大多数参加诉讼的受害者看来都对该法庭和2010年7月对杜奇的判决感到满意。第二轮审判正在进行当中，受审的是四个仍然在世的红色高棉最高领导人：农谢、英萨利、乔森潘和英蒂迪。黎巴嫩问题特别法庭是最近设立的由联合国支持的法庭，于2011年6月30日将一份与2005年杀害前总理哈里里和其他人有关的起诉书和相关的逮捕令转交黎巴嫩当局。这是朝着执行该法庭的独特任务，即审判被定为对国际和平与安全的威胁之一的恐怖主义罪行，迈出的重要一步。", "14. 国际刑事法院是第一个常设国际刑事法庭，现有116个成员国。联合国坚持对该法院的承诺，继续予以合作，为该法院的外地行动提供后勤支持，并向检察官和辩护律师提交文件。国际刑事法院已在鲁班加案件中完成其第一次审判，预计将于2011年末作出判决。在安全理事会依照第1970(2011)号决议把阿拉伯利比亚民众国局势移交国际刑事法院后，检察官已发起调查，该法院为危害人类罪发出了对穆阿迈尔·卡扎菲、他的儿子赛义夫·伊斯兰·卡扎菲和阿卜杜拉·赛努西的逮捕令。检察官还寻求授权，以根据阿拉萨内·瓦塔拉总统的请求，开始调查在2010年11月科特迪瓦选举之后犯下的严重罪行。各国为执行国际刑事法院的逮捕令所给予的合作仍很成问题：在对其发出逮捕令或传票的26人中，10人仍未到案。下一年，国际刑事法院将发生变化，重新选举18个法官中的三分之一，并任命一个新的检察官。", "C. 非司法机制", "15. 在结束有罪不罚局面的努力中，派遣可信、独立、侧重于追究责任和发表公开报告的国际调查委员会或真相委员会是一个重要的催化因素。这些委员会有助于突出揭示妇女和儿童遭受的侵害，例如核实冲突期间发生的性暴力和性别暴力罪行，这些罪行往往没有得到充分的报告，并被排除在司法和补救措施之外。2011年6月，人权理事会收到关于阿拉伯利比亚民众国和科特迪瓦的两个国际调查委员会的报告(分别为A/HRC/17/44和A/HRC/17/48)。为了确保充分注意性暴力和性别暴力问题，联合国借调了一个专家到后一个委员会工作。2011年4月，秘书长关于在斯里兰卡追究罪责问题的专家小组得出结论认为，可信的指控显示，在冲突的最后阶段，政府军和泰米尔猛虎组织都广泛实施了严重违反国际法的行为。2011年4月，人权理事会请联合国人权事务高级专员办事处(人权高专办)紧急向阿拉伯叙利亚共和国派遣一个调查团，调查所有关于违反国际人权法的指控，并核实这些违反行为和所犯罪行的事实和情况(第S-16/1号决议)。应进行更多努力，确保这些委员会能够及时收集必要的信息，并确保对其建议采取后续行动。", "16. 推动遵守国际规范和标准的非司法机制包括关于武装冲突局势中严重侵犯儿童行为的监测和报告机制，这个机制是安全理事会第1612(2005)号决议建立的，于2010年在13个受冲突影响的国家中实施。这一集中的国际压力产生了效果，除其他外，从尼泊尔的毛主义营地释放了2 973个未成年人，在斯里兰卡使568个儿童，包括201个女孩，与家人团聚。安全理事会第1960(2010)号决议采用这一模式，请求秘书长做出监测、分析和报告安排，以之作为联合国针对与冲突有关的性暴力所采取措施的一部分。由于这些安排，应能够把可信地被怀疑实施性暴力的人列入名单或从名单上除名，并有助于冲突各方承诺防止和处理这样的侵犯。", "17. 查明真相活动也证明有利于建立关于侵权行为的记录，有助于各国履行其调查和起诉义务，人权高专办的查明真相活动表明了这一点，记录了1993年3月至2003年6月期间在刚果民主共和国实施的严重侵犯人权和违反国际人道主义法的行为。查明真相活动的报告为适当的过渡期间司法机制拟订了各种备选办法，在此之后，刚果政府最近宣布，将建立特别法庭，并起草一项法律草案，供议会审议。", "三. 联合国促进国内法治的方法", "18. 联合国加强法治的方法除其他外，包括加强改革举措的国家自主权，向各国的改革者提供支持，根据对各国的实地评估制定战略方法，并与包括民间社会在内的主要利益攸关方结成伙伴关系，协调我们的活动(见A/63/226，第17-21段)。联合国参与法治部门活动的框架由下列工作构成：制定宪法、法律改革、选举援助和保障、司法和安全机构的能力建设、过渡时期司法进程和机制以及与民间社会的联系。", "A. 用以加强法治的框架", "1. 制定宪法", "19. 宪法或相当于宪法的文件是以法治立国的基础。制定宪法的进程如果设计得当而且具备包容性，可以在和平政治过渡和冲突后建设和平方面发挥重要作用，并通过确保边缘化群体的平等权利，在防止冲突方面发挥重要作用。在过去一年，联合国就不丹、印度尼西亚、吉尔吉斯斯坦、阿拉伯利比亚民众国、马达加斯加、马尔代夫、尼泊尔、索马里、南苏丹和津巴布韦的宪法问题提供了支持。在南苏丹，妇女署和联合国苏丹特派团(联苏特派团)确保妇女领袖参加《南苏丹过渡宪法》的起草工作，并向政府提供了咨询，以便为帮助防止和解决性暴力问题奠定强有力的基础。2010年8月，联合国支持开展的肯尼亚宪法审查过程最终导致颁布该国的新宪法。", "20. 中东和北非的政治变化使得宪法改革成为很多国家的优先事项。为了以强有力和一致的方式应请求提供援助，联合国需要更为一致地利用自己的经验教训和内部能力，例如政治事务部(政治部)的调解专家待命小组，并利用专业的外部专门知识。", "2. 国家法律框架", "21. 联合国继续支持各国把国际法律义务纳入国内法律，并发展司法和安全机构的治理、监督和问责制的法律基础。", "22. 刑事司法领域的成就包括协助中非共和国司法部起草新的刑法典和刑事诉讼法。在尼泊尔，联合国开发计划署(开发署)为起草刑法典、刑事诉讼法、民法典和民事诉讼法提供了支助。", "23. 马拉维、卢旺达、利比里亚、毛里塔尼亚、土库曼斯坦、巴基斯坦、巴布亚新几内亚、菲律宾、突尼斯、智利和哥伦比亚批准了新法律或经过修正的法律，其中纳入了儿童司法原则。联合国儿童基金会(儿基会)通过有针对性地进行宣传，提高了格鲁吉亚、哈萨克斯坦和玻利维亚的刑事责任最低年龄。儿基会最近关于青少年司法立法改革的指导文件应能为今后的努力提供指导。", "24. 联合国西非办事处(西非办)和人权高专办通过关于西非人口贩运问题的联合研究，产生了关于根据国际和区域人权规范和标准通过国内立法的指导准则。为了解决海盗问题，法律事务厅与联合国毒品和犯罪问题办公室(禁毒办)和国际海事组织一道制定了指导意见(见http://www.un.org/Depts/los/piracy/piracy.htm)，以供根据《联合国海洋法》和其他文书制定关于海盗问题的国内立法。", "3. 司法机构、治理、安全和人权", "25. 联合国的法治援助加强了为落实宪法保障、法律、政策和条例所必需的机构能力。例如，为了使公民对法治有信心，必须根据本国法律公正、不偏不倚和迅速地处理选举投诉。联合国在布隆迪、海地、吉尔吉斯斯坦、伊拉克和其他国家为加强选举争议解决机制提供了支持。", "26. 经验显示，必须以协调的方式来满足警察、司法和惩教机构的需要，以更好地提供司法正义和安全。采用了创新的方法来改善司法机构的业绩。例如，通过在刚果民主共和国建立起诉支持小组，帮助了对严重刑事案件的调查和起诉。在利比里亚，建立一个司法和安全中心的做法可以为在其他环境中进行类似的参与提供一个模式。在布隆迪，联合国通过开展辅导和其他能力建设努力，包括建立一支接受过法院行政管理培训的法院书记员和治安法官队伍，大幅度提高了司法进程的透明度和业绩。在塞拉利昂，开发署资助的流动法庭使治安法官进入南方省的三个新城镇。在东帝汶，开发署为一个法官视察员职位提供了支助，以帮助确保所提供服务的质量，与此同时，由于建立了一个新的综合案件管理系统，应能提高案件处理的效率。", "27. 联合国意识到非正式机制在加强司法救助方面的潜力，从而与非正式司法体系建立了联系，例如在阿富汗、孟加拉国、尼泊尔、巴勒斯坦被占领土、东帝汶、南苏丹、索马里和印度尼西亚建立这种联系。开发署、儿基会和妇女署联合发表了一项广泛的研究报告，其中指明了与非正式司法体系建立联系的切入点，建立这种联系是为了在今后的方案规划中更好地保护和实现人权，尤其是妇女和儿童的权利。在乌干达和南苏丹，为把习惯法编纂成文提供了支持，这样做的目的除其他外，包括确保在婚姻和继承方面保护妇女的财产权，并更好地解决性暴力和性别暴力问题。在达尔富尔、印度尼西亚和阿富汗，重点是提高宗教和非正式司法领袖们在妇女权利以及正式与非正式司法体系之间关系等问题上的法律意识。在索马里的索马里兰，建立了一个开发署支持的案件移交制度，使得部族长老们能够把性暴力和性别暴力案件移交正式法院审理，因此，2010年，移交正式法院的这些案件增加了44%。", "28. 禁毒办和儿基会继续推动从青少年司法到更广泛的儿童司法领域的概念和方案规划转变。儿基会的能力建设工作集中于30多个国家的警察和25个国家的法官。2010年，大约有遍布世界所有区域的45个国家采取了具体步骤，以执行联合国的儿童被害人和证人刑事司法事项导则。引人注目的进展包括把蒙古的青少年司法委员会推广到五个省份，以及加强基里巴斯社会工作者、警察和法院处理青少年罪犯的能力。在阿富汗，禁毒办帮助建立了一个分开的青少年司法制度。为了促进庭外处置和替代监禁的方法，儿基会推出了一个在线工具包，其中提供了明确、易于使用的指导意见和实际的工具。正在20多个国家实行庭外处置计划和替代方案，例如，2010年，苏丹有大约1 600个儿童受益于这些计划。", "29. 在这一年，建设警察处理性暴力问题的能力是一个主要的重点领域。妇女署和非洲联盟——联合国达尔富尔混合行动对500名苏丹女警察进行了性暴力案件调查技术的培训。在妇女署、联合国人口基金和儿基会提供的支持下，已把关于性别平等、性暴力和性别暴力以及儿童保护的内容纳入乌干达的国家警察培训课程。通过修建和装备办公场所，为刚果民主共和国的保护儿童和妇女特别警察提供了支助。开发署支持对尼加拉瓜公民安全方案规划所产生的影响进行了审查和分析，由此导致各种改革，包括在国家警察局妇女办公室建立流动社区小组，以处理性别引起的问题和家庭暴力。", "30. 联合国继续支持和主张把惩教列为优先事项，包括提供基础设施援助，开展能力建设和向和平行动部署更多的惩教干事。国际惩戒所及监狱协会为了表彰这些努力，向南苏丹监狱管理局和联苏特派团颁发了2010年管理和工作人员培训优秀奖。在海地，通过建立一个监狱数据库为追查逃犯提供了帮助。在刚果民主共和国和塞拉利昂，对狱警进行了基本人权和拘押管理方面的培训。在布隆迪，对该国的7个监狱进行了修复和装备，并制定了一项监狱安保计划。", "31. 消除危地马拉国内有罪不罚现象国际委员会继续同危地马拉的对口机构合作，对有组织暴力犯罪案件提出起诉。该委员会尽管面临着操作和安全方面的挑战，但公认通过起诉若干影响大的案件、采取审查措施和提供其他形式的技术援助，加强了危地马拉的司法机构。因此，该委员会正在引起更多的国际兴趣，特别是中美洲的兴趣。", "4. 过渡时期司法", "32. 过去一年，联合国继续在阿富汗、波斯尼亚和黑塞哥维那、布隆迪、哥伦比亚、科特迪瓦、危地马拉、刚果民主共和国、肯尼亚、利比里亚、尼泊尔、塞拉利昂、多哥、所罗门群岛和乌干达支持过渡时期司法进程。在中东和北非发生深刻的政治变化之后，预计即将开展更多这样的工作。为了实现可持续过渡，需要建立机制来结束有罪不罚的局面，并确保追究罪责、查明真相、进行赔偿和采取其他保证不再发生类似事件的措施。", "33. 为了确保过渡时期司法机制反映受影响社区的具体需要，必须开展全国协商。在布隆迪，人权高专办和联合国布隆迪办事处(联布办事处)支持的全国协商的最后报告得到了总统认可，已责成一个技术委员会来确定真相与和解委员会的工作范围。开发署管理的一个篮子基金将确保协调国际支持和汇集各方资源。在尼泊尔，人权高专办为受害者参加过渡时期司法对话提供了帮助，并就寻求真相法案举行了协商，以吸引全国各地受害者团体的参与。联合国塞拉利昂建设和平综合办事处向塞拉利昂人权委员会提供了支持，并与地方当局进行了接触，以落实真相与和解委员会的各项建议。此外，联合国科特迪瓦行动支持了科特迪瓦政府成立的对话、真相与和解委员会开展工作，以促进全国和解和社会凝聚力。", "34. 尽管哥伦比亚、危地马拉、尼泊尔、塞拉利昂、东帝汶和乌干达在规定为曾被侵犯人权的幸存者提供赔偿方面取得进展，但需要更多注意这些工作，以确保落实。技术援助侧重于设计和落实赔偿计划，以及支持受害者和民间社会参与赔偿讨论。在刚果民主共和国，人权高专办和联合国组织刚果民主共和国稳定特派团(联刚稳定团)协助国家主管部门和其他利益攸关方制定了各种向性暴力受害者提供赔偿的备选办法。在乌干达，人权高专办和乌干达人权委会在妇女署的支持下就性别暴力问题和赔偿问题进行了实地研究，已把研究结果提交政府、捐助者和民间社会。在哥伦比亚，妇女署参加了议会辩论，从而确保把性别视角纳入最近颁布的《受害者和土地归还法》，导致把被强奸后生下的子女列为法定受益人和其他成果。虽然保证为冲突相关暴力的受害者提供适当补救是国家在国际法之下承担的义务，但如果使赔偿与发展方案挂钩，可以加强前者的可持续性和带来转变的潜力，在涉及妇女的方面尤其如此。", "35. 根据国际规范和标准建立证人和受害者保护方案的工作在阿根廷、尼泊尔、肯尼亚、卢旺达、坦桑尼亚联合共和国和多哥得到支持。人权高专办-禁毒办与乌干达法律改革委员会合作，在乌干达组织了一次高级别专家研讨会，并在尼泊尔为南亚举办了一个区域研讨会，使得人们能够交流这方面的最佳做法。还在多哥为真相、正义与和解委员会组织了一次研讨会。为卢旺达司法和执法机构提供了关于证人保护和管理的培训，目的是建设接受从卢旺达问题国际刑事法庭移交的案件的国家能力。", "36. 儿童的观点和经验为过渡时期司法进程作出独特和重要的贡献。因此，各儿童保护行为体主张实行保护程序和法定保障措施，以使儿童能够在所有方面参与过渡时期司法。儿童与过渡时期司法主要原则(见A/65/219，第47-50段)阐明了关于儿童参与的全面考虑因素，并规定了以下方面的具体原则：司法机制；真相委员会和寻求真相机制；地方、传统和恢复性司法正义进程；对儿童的赔偿；机构改革。儿童基金会题为《儿童与真相委员会》的报告为这些举措提供了指导准则，以处理儿童在严重犯罪事件中既是受害者，也是证人的情况。", "5. 增强个人和民间社会的权能", "37. 与公众和民间社会的合作是联合国为加强法治所采用方法的一个主要组成部分。联合国提倡宣传合法权利，以提高公众意识，扶植法治文化。例如，在布隆迪，联布办事处协助把新的刑法典翻译成基隆迪文，确保其广泛分发。在格鲁吉亚，继开发署支持开展了一次宣传运动之后，对格鲁吉亚法律援助局提供的援助的需求大大增加，流离失所者和少数群体当中的需求尤其如此。", "38. 帮助更广泛地向弱势群体提供司法救助仍然是联合国法治方案规划的一个优先事项，在世界各地超过22个国家中开展了这些活动。例如，在索马里，开发署帮助强奸幸存者的求助于正式法院的诉讼，而在以前，部族长老的主导地位妨碍了这些诉讼。在阿富汗，联合国阿富汗援助团加强了司法部提供法律援助律师的能力。", "39. 民间社会组织在帮助克服经常使公民，尤其是最边缘化和最脆弱的公民，与国家机构隔绝的障碍方面发挥着强有力的作用。在印度尼西亚，开发署通过在三个省份提高法律意识和推动律师助理提供的服务，向基层民间社会提供了支持。通过与怀柔委员会结成的伙伴关系，在六个非洲国家的基层妇女组织之间建立了联系，以加强这些组织的在非正式司法体系内监测和保护妇女的土地权和继承权的能力。民间社会举措利用联合国民主基金提供的资金，帮助加蓬和危地马拉的边缘化群体获得法律身份证件，并在玻利维亚、加纳和尼泊尔推广了对宪法改革过程的参与。", "B. 克服冲突和冲突后社会中的重要挑战", "40. 冲突破坏法治，包括削弱司法和安全机构的能力。冲突在使有罪不罚的局面长期化、造成不稳定和推迟恢复方面起着重要作用。各机构经常缺乏基本的基础设施、行政体系、财务资源、熟练的人力资源以及监督和治理机制。司法和治安专业人员可能成为腐化或威胁目标，从而破坏机构的独立性和廉正。侵犯人权者逍遥法外的情况削弱了对政府领导人和机构的信任，从而妨碍创建一种尊重法治的文化。冲突和冲突后局势因此是联合国法治援助的一个主要重点，并带来特殊的挑战和优先事项。", "1. 及早取得显著成果", "41. 联合国的援助旨在逐渐恢复对法治的信心，特别是恢复往往在冲突中受影响最大的流离失所者和脆弱群体的信心。为此，联合国寻求满足对法律保护以及更多司法和治安服务的立即需要，以便及早取得显著成果，同时为长期改革和体制建设奠定基础。例如，在刚果民主共和国，联合国通过合作方式支持起诉引起广泛关注的性暴力和性别暴力案件，同时与国家主管部门合作，为长期的机构改革奠定基础。所采取的一个重要步骤是在维持和平行动部设立常备司法和惩教能力，该能力将帮助在外地行动中建立司法和/或惩教部分，或加强现有的这些部分。", "2. 制定全部门办法", "42. 如果向法治部门提供的财政支持和技术支持分配不均和不协调，会导致更大的系统机能障碍。例如，如果把援助集中于警察部门，会使司法和惩教机构负担过重，原因是更多的逮捕会导致更多和时间更长的审前羁押。因此，法院的待审清单上往往积压案件，监狱中则经常人满为患，导致个人卫生条件恶化、暴乱和越狱，从而构成严重的安全问题。", "43. 应该尽量采用全部门办法，并清楚说明为法治干预措施排序时的优先事项。在几内亚比绍，联合国加强了执法、起诉和司法部门之间的联系。这种办法促进了国家自主权和一致性，使司法和安全机构一道努力，实行一项全面的改革方案，从而加强所取得的改善的可持续性。在乌干达，由于采用了全部门办法，惩教部门有了显著的改进。相形之下，在利比里亚，由于没有采用全部门办法，资源在刑法链条的各个环节分配不均，使得惩教部门的需要得不到满足。", "3. 加强政治意愿和国家自主权", "44. 为了确保创造一个坚实的有利环境和为法治改革提供可持续的支持，政治意愿必不可少。然而，在很多冲突和冲突后局势中，人们对加强法治的努力漠不关心或充满怀疑。各国政府面对相互争夺资源的各种需求和巨大的挑战，很少把法治作为一个最优先事项。为了确保对法治给予必要的注意和政治空间，以使其切实发挥影响，联合国领导层、大会和安全理事会必须进行持续和一致的宣传倡导，与高级政府官员之间的高级别双边对话也必不可少。经过集中宣传和支助，新的海地政府已宣布把法治作为其四个最优先事项之一。关于刚果民主共和国内的性暴力问题，通过负责冲突中性暴力问题的秘书长特别代表进行的参与，再加上联刚稳定团、开发署和政府之间更多的政治对话与合作，导致安全部队中被定罪人数增加。", "45. 应该鼓励各国当局和民间社会在法治方案的设计和执行过程中发挥更大作用，以确保这些方案的成功与否与它们更加休戚相关。各国政府应该与捐助伙伴一道对法治方案投入财政资源，以显示自己的承诺。在肯尼亚，政府是一个全部门方案的最大资金来源。", "4. 确保在国家一级追究国际犯罪行为的责任", "46. 国际法要求各国建设和加强本国调查和起诉国际犯罪行为的能力。《国际刑事法院罗马公约》缔约国确认，应该彼此协助加强这项能力，国际组织需要支持这方面的工作。[2] 联合国一直参与建设若干国家的必要起诉能力，这些国家包括波斯尼亚和黑塞哥维那、哥伦比亚、刚果民主共和国、肯尼亚、科索沃、塞拉利昂、苏丹、东帝汶和乌干达。", "47. 然而，当前没有任何系统的方式来扶植必要的政治意愿，以使各国把《罗马规约》本国化，并在需要援助者与愿意资助和/或提供这种援助的国际行为体之间建立联系。为了开始弥补这个缺口，联合国支持召开了一次务虚会，这次会议是过渡时期司法国际中心组织的，目的是在包括联合国在内的来自国际刑事司法、发展和法律界的行为体之间发起讨论。今后的步骤将是在发展伙伴与国家利益攸关方之间促成更密切的联系，以制定一项能力建设行动计划，并使其与现有的举措，例如与开放社会司法倡议和欧洲联盟合作编制的工具包联系起来。", "5. 加强法治与恢复经济之间的联系", "48. 联合国在冲突和冲突后局势中采取的法治对策有很大一部分集中于初期关切的安全和安保问题。然而，法治也在恢复经济方面发挥重要作用。如果具备发挥作用的司法和安全机构以及基于国际规范和标准，包括基于国际贸易法的坚实可靠的立法框架，将促进相互信任和投资者的信心(见大会第65/21号决议)。为了解决与土地保有权或自然资源开采有关的复杂问题，常常需要进行法律改革和裁定关于法定权利的争端。时间过长的审前羁押在冲突后局势中特别常见，会给个人、家庭和社区带来深远的社会经济后果，破坏实现发展目标的全国努力。[3]", "49. 因此，联合国正在努力，以更加系统性地加强冲突后局势中法治与恢复经济之间的联系。例如，开发署在苏丹实行的早期恢复政策执行计划使“法治与司法救助”和“生计”成为其恢复方案的主要支柱。在刚果民主共和国，开发署举办了南北基伍性暴力和性别暴力妇女幸存者安全和重返社会经济生活项目，其目的是使生计丝丝入扣地配合司法救助。在伊拉克，贸易法委员会秘书处与联合国工业发展组织(工发组织)合作，帮助结合更广泛的私人部门发展方案制定关于公共采购和争端解决替代方法的新伊拉克立法。这些可望卓有成效的举措使法治与恢复经济和人类发展挂钩，应该在它们的基础上再接再厉，并酌情加以推广。", "四. 全面协调一致", "A. 提供指导和执行联合战略计划", "50. 按照法治协调和资源小组的2009-2011年联合战略计划，正继续努力增进法治政策和指导意见的一致性、质量和协调。对现有材料和计划发表的材料进行的年度审查显示，在指定指导意见方面取得了显著进展。通过加强伙伴关系，可以使实质性政策方法更为一致，在有很多实体单独或联合制定指导意见的领域，例如过渡时期司法、性暴力和性别暴力以及审前羁押和替代办法等领域，情况尤其如此。很少有进行中或计划进行的指导意见制定工作的领域，如制定法律、法律改革以及社会和经济司法领域，可能需要得到更多注意。如果在这个方面调查一下对指导意见的需要，将有助于确定轻重缓急，并确保指导意见制定工作符合实际工作人员的需要。", "51. 该小组有一个对具有全系统意义的材料进行认可的补充制度，已利用该制度认可了联合国法治指标和维持和平行动部的维和行动司法事务干事法治培训方案的教师手册。这项工作将有助于最大限度地利用全联合国系统的知识和最佳做法，同时对各种办法加以统一，并尽量减少努力的重叠。", "52. 该小组最近与联合国职员学院合作，试点进行了联合国统一的法治培训。这项全系统的方案补充了现有的更为集中的培训模块，将保证使有关工作人员理解联合国的统一法治方针，并在同会员国往来时宣传这些方针。今后的步骤是使这项培训制度化，这需要更多的资源，并需要所有伙伴的持续承诺。", "53. 联合战略计划的第二个目标是在尼泊尔和利比里亚落实联合国的法治援助共同方针。除了于2010年9月把利比里亚列入建设和平委员会的议程之外，还正在结合建设和平优先计划加强和统一关于法治的方案规划，该计划侧重于三个支柱，即司法、安全和全国和解。利比里亚政府利用联合国利比里亚特派团(联利特派团)和开发署的联合支持，提交了利比里亚建设和平方案，其中纳入了建设和平优先计划所述各国在司法、安全和全国和解方面的紧迫需要。在尼泊尔，一项捐助者与联合国联合开展的努力经过对现有国际评估报告、政府战略和正在提供的援助进行初步调查，正在确定各种备选办法，用以在中期内改进国际支持。", "54. 正如该小组的联合战略计划在第三项主要目标中所设想的那样，将在大会第六十七届会议的高级别部分举行一次高级别会议，讨论国家和国际法治问题(大会第65/32号决议，第13段)。将在大会第六十六届会议期间敲定这次活动的模式。为了在这次高级别活动之前引起会员国的注意，大会主席于2011年4月11日召开了一次关于法治和全球挑战问题的非正式专题辩论。秘书长将随时支持会员国为这次高级别活动制定一项具体产出，在其中确保继续把法治作为会员国议程上的优先事项。", "B. 联络全系统", "55. 在努力协调一致方面，重点之一仍然是与40多个参与法治活动的联合国行为体进行联络。第三次全系统年度会议使联合国系统聚在一起，探讨应该以何种方式加强关于法治的联合方案规划。与会者们审查了当前用来衡量法治发展情况和援助所产生影响的工具和做法。他们审议了妇女署题为“世界妇女的进步：追求正义”的报告，以探索如何在全系统落实报告中的建议。", "56. 联合国法治网站和文件中心(www.unrol.org)继续是了解联合国法治工作的中央门户，向工作人员和公众提供900多份文件，同时提供各种关于联合国法治活动的知识资源、新闻和文章。", "57. 联合国与世界银行之间关于法治的合作仍然是一个重要的优先事项。联合国法治行为体对世界银行的2011年《世界发展报告》提供了侧重于冲突、安全与发展的重要投入。该报告着重指出，必须提供司法正义、安全与工作机会，以打破妨碍发展的周而复始的暴力循环。", "58. 该报告还强调，必须解决社会和经济正义问题，以防止冲突和确保长期发展。对于联合国来说，为此需要更为一致地参与这个领域的工作。秘书长即将按照大会第64/215号决议的要求发表关于增进法律权能和减贫的报告，该报告应当进一步充实法治、司法救助和减贫之间的重要联系，并确定有希望在这个领域内收效的方法。", "C. 衡量效力和评价影响", "59. 联合国的法治伙伴关系继续在实地得到加强。这是由于大家共同认为，为了利用各参与行为体的相对优势，联合方案规划是一个有效办法。合作方式不拘一格，从而使国家和国际行为体有更大的灵活性。然而，为了进行更深入的合作，需要克服体制障碍并为联合方案规划订立全系统奖励措施。", "60. 过去一年，开发署国家办事处和维持和平特派团之间的联合方案规划活动无论在数目上和规模上都有所增加，并在海地、刚果民主共和国、南苏丹和乍得采取了新举措。例如，开发署与联合国警察扩大了在刚果民主共和国的伊图里省训练国家警察的合作。随着联合国中非共和国和乍得特派团进行缩编，以该特派团与开发署在加强司法救助方面的共同成就为基础，制定了一项联合移交战略。正在扩大开发署与维持和平行动部当前的法治合作，例如在东帝汶举办一个联合警务方案，以促进联合国东帝汶综合特派团于2012年结束之后的过渡。在利比里亚，联利特派团和开发署正在该国的领导下协调向利比里亚国家警察、惩教和改造局以及移民和归化局提供的支持。", "61. 在布隆迪，通过把维持和平行动部、人权高专办和开发署的工作人员并入一个联合司法部门，把其采取的干预措施并入单一的人权和司法方案，加强了作用和一致性。通过在四个管辖区进行关于法院行政管理的定向培训和举办一个这方面的试点项目，迅速改善了试点法院的司法业绩，使其获评为该国最佳业绩。双边伙伴已选择在另外四个管辖区推广这个项目。开发署和妇女署继续在尼泊尔、哥伦比亚和乌干达的冲突后局势中试点进行妇女司法救助方面的联合方案规划，同时就性别平等和赔偿问题与人权高专办密切合作。", "62. 由于日益认识到跨国犯罪对司法和安全造成的影响，在区域一级进行了更强有力和更有针对性的联合方案规划。在西非海岸倡仪中，西非办、维持和平行动部、禁毒办和国际刑警组织在几内亚比绍、塞拉利昂、科特迪瓦和利比里亚联合开展了执法和刑事司法改革方面的能力建设，以支持西非经共体的区域行动计划。在其中三个国家建立了打击跨国犯罪部门。禁毒办日益发展其区域方案，使之成为与国家、区域和多边伙伴一道采取行动的共同平台。通过建立一支由政治事务部和禁毒办任联合主席的新的跨机构工作队，扩大了联合国系统针对跨国有组织犯罪和毒品贩运采取的措施。为了确保一致性，该工作队将定期向法治协调和资源小组报告其与法治有关的举措。", "63. 根据安全理事会第1888(2009)号决议设立的冲突中的性暴力问题法治专家组表明了如何以统一的方式处理冲突中的性暴力问题。这个专家组的成员包括在负责冲突中性暴力问题的秘书长特别代表办公室任职的组长以及来自维持和平行动部、人权高专办和开发署的代表。例如，专家组已协助在刚果民主共和国制定方案，对武装部队进行培训，用性暴力问题专家充实起诉支助小组以及向该国东部地区部署治安法官。", "D. 衡量效力和评价影响", "64. 联合国必须把详尽的评估、基线数据以及不断的监测和评价作为其法治援助的基础。通过衡量援助的效力，将增加对成功方法的认识，并鼓励采用新的方法来取得更好的效果。", "65. 联合国在开发各种工具，以帮助各国政府收集用来指导改革努力的必要数据方面取得进展。于2011年7月正式发表了与维持和平行动部和人权高专办联合编制的联合国法治指标，这套指标是用于监测各国刑事司法机构的业绩和特点所发生变化的工具。在海地和利比里亚举办的一个试点项目证明，各国政府可在运用这项工具方面发挥领导作用。联合国希望采用这些指标的各国政府将继续运用它们，将其作为一个持续不断的监测机制。禁毒办和儿基会继续同各国合作，根据青少年司法指标计量手册来建立青少年司法数据收集系统。这些指标除其他外，为在几内亚比绍确定青少年司法改革的基线和在阿拉伯叙利亚共和国建立统一的青少年司法数据库提供了帮助。", "66. 联合国以这些经验为基础，正在努力更多地了解应该通过何种方式和在什么时候把关于进展情况的衡量结果纳入法治干预措施，开发署当前正在举办的制定一份用户指南，用以衡量司法状况的项目表明了这种努力。我们必须同会员国密切合作努力，采用共同的影响衡量机制。我们只有根据一套共同的目标和指标采取行动，使这些目标和指标显示在执行任务规定和实现操作性阶段目标方面取得的共同进展，才能够真正一体行动。在儿童司法方面，最近成立机构间儿童保护情况监测和评价咨商小组是一个可望取得成效的措施，有助于在保护儿童合作伙伴之间和专题领域之间协调监测和评价举措。必须利用这些举措，并加以调整，使其更广泛地适用于法治领域，以加强问责制，改善向会员国提供的援助。", "E. 加强联合国内的法治", "67. 内部司法制度继续执行其在联合国与工作人员之间捍卫法治的基本任务。工作人员现在可以诉诸一个分为两级的专业司法系统来对联合国行政决定提出权利主张。截至2011年6月17日，联合国争议法庭已发布416项判决，最近结束第四次开庭的联合国上诉法庭则作出了126项判决。", "68. 在基地组织制裁制度的程序公正和透明方面取得了进展。安全理事会第1989(2011)号决议纳入了两个所谓“日落”机制，因此，除非安全理事会第1267(1999)号决议所设委员会决定把某人的名字保留在名单上，否则将自动把申请人除名。其中一个机制包括2010年任命的监察员，其现在的任务之一，是就应该把申请人保留在名单上还是应该将其除名的问题向委员会提出建议。", "F. 扩大伙伴关系", "69. 联合国无法单枪匹马实现其目标。因此，联合国为实现协调一致所作努力的重要目标之一，是与所有利益攸关方建立切实的伙伴关系，以成功地促进法治和加强向会员国提供的援助。", "70. 各捐助者之间为加强法治提供资金的工作仍然高度各自为政，双边捐助以大比率超过多边援助。如以前所述(见A/64/298)，虽然申明对国家自主权作出承诺，但实际情况往往与此抵触，项目是由捐助者驱动，方案规划没有协调，从外国照搬解决办法，实施则是由捐助者在本国的关联伙伴负责。捐助者对同样的法治问题给予不同的名称，采用不同的方法。虽然有国家一级的协调机制，但几乎没有关于协调做法的比较分析，方法也很不一致。加强一致性的需要在受冲突影响的局势中最为明显，因为在这样的局势中有很多行为体参与援助。", "71. 为了盘点这个领域的各种做法和挑战，并推动就克服这些挑战的方法达成共识，联合国于2009年联合组织了一次会议，70多个来自双边捐助者、受援国、国际组织、区域组织和非政府组织的代表参加了会议。为了统一方法，会议得出结论认为，应该建立一个制度，使多边和双边捐助者以协调及合作的方式与伙伴国家和实际工作者一道工作，指导和管理为提高法治援助的效力所作努力。", "72. 另一个妨碍在这个领域取得进展的长期挑战，是高级别政策讨论相对缺乏国家利益攸关方和基层经验。为了帮助消除这一不平衡，秘书长在2008年建议为来自受援国的本国行为体建立一个论坛，供其就法治援助的效力问题发表观点(A/63/226，第78段)。法治股于2009和2010年召集了与来自13个国家的16个本国法治专家之间的协商，联合国实体和发展伙伴也参加了这些协商，通过协商，于2011年4月发表了一份题为“新的声音：关于法治援助的国家视角”的报告。[4] 一个共同的建议是，需要建立机制，以便在本国伙伴和捐助伙伴之间使法治援助方法更加切实地协调一致。", "73. 在这方面，大会于2011年4月11日举行的关于“法治与全球挑战”的非正式专题辩论着重指出，国际社会提供的支助，包括来自双边捐助者和援助提供者的支助，往往没有在国家一级产生预期的结果，必须努力确保关于法治援助的全球讨论更为系统地参考国家行为体的意见。", "74. 同样，世界银行的2011年《世界发展报告》着重指出，各国在获得外来的司法和安全援助方面遇到困难，而且援助各自为政，并强调必须采取更加协调的国际对策，在陷入脆弱性与冲突循环的国家满足司法和安全需要。", "75. 因此，迄今的记录强烈显示，需要为所有利益攸关方建立一个包容性的国际政策论坛，而这个论坛看来理所当然地应该设在联合国。该论坛将使捐助国和受援国政府、多边组织、非政府组织和包括基金会在内的相关私人部门行为体有机会进行战略协调，分享关于执行中项目的信息，并交流最佳做法以及国家知识和经验。这个论坛可以建立与其他全球举措之间的联系，后者的例子包括全球法律、司法与发展论坛，这是世界银行不久将发起的一个有多个成员的知识伙伴关系。", "五. 促成法治下的公正、安全与和平的世界", "76. 加强国家和国际法治是一项长期努力。过去的建议[5] 为法治协调和资源小组以及法治股的工作提供了重要的路线图。此外，在常务副秘书长领导下，该小组和该股将在2012-2014年联合战略计划的框架内寻求：", "(a) 在维持和平和特别政治特派团地区更多地利用联合方案规划，为此做出更大努力，争取从一开始便共同进行评估、规划和实施；", "(b) 加强联合国实体之间在无特派团环境中的合作，为此根据会员国的支助请求进行联合评估和规划；", "(c) 为联合方案规划制定全系统的奖励办法，以帮助克服体制障碍；", "(d) 加强联合国用以衡量法治援助效力的方法；", "(e) 继续和加强对联合国法治专业人员的联合培训；", "(f) 召集有关行为体的会议，以分享有关做法和支持有关政策，从而更好地协助会员国通过法治来追求社会和经济正义。", "77. 在世界首脑会议举行了七年之后，大会第65/32号决议责成于2012年在第六十七届会议开始时举办的关于法治问题的高级别活动将提供一个机会，来重申对普遍遵守和贯彻国家和国际法治作出的承诺，并总结取得的进展。鉴于这个重要的机会，我建议会员国：", "(a) 支持联合国如第76段所述，努力加强其援助的一致性、协调和效力；", "(b) 创造性地思考国际社会可以通过何种方式增进和更好地协调努力，以加强法治，包括建立一个包容性的国际法治政策论坛，该论坛看来理所当然地应该设在联合国。", "附件", "会员国发表的意见", "1. 大会第65/32号决议请秘书长在编写本报告之前征求会员国的意见。", "2. 秘书长于2011年2月7日向各国政府发出普通照会，请它们最迟于2011年4月22日就第六委员会的分专题“冲突和冲突后情况下的法治和过渡时期司法”提交意见。秘书长请会员国在编写提交的意见时，特别注意“打击有罪不罚现象和加强刑事司法、国内和国际过渡时期司法和问责机制的作用和未来、非正式司法制度等等”问题(A/C.6/63/L.23，第4段)。", "3. 秘书长收到下列国家发表的意见：澳大利亚(2011年4月21日)、奥地利(2011年5月5日)、捷克共和国(2011年4月23日)、丹麦(2011年5月31日)、芬兰(2011年4月21日)、肯尼亚(2011年5月3日)、新西兰(2011年5月12日)、阿曼(2011年4月8日)、卡塔尔(2011年5月19日)、斯洛文尼亚(2011年4月25日)、瑞典(2011年5月17日)、瑞士(2011年4月25日)、土库曼斯坦(2011年5月2日)和大不列颠及北爱尔兰联合王国(2011年5月5日)。这些意见列于下文。", "澳大利亚", "[原件：英文]", "澳大利亚欢迎联合国内各种机构和实体当前为在国家和国际一级，尤其是在冲突和冲突后局势中促进法治进行的大量工作。这些局势总是复杂的，需要周密的多层面对策，在其中提供全方位的援助，包括维持和平、推行政治和安全部门改革、运行过渡时期司法机制、开展能力建设和提供技术援助。澳大利亚认为，法治是任何建立稳定和繁荣社会的战略的根本要素，是实现千年发展目标的先决条件之一。正如2011年《世界发展报告》所述，在那些政府效力、法治和控制腐败措施薄弱的国家，发生内战的可能性会升高30%-45%，发生极端暴力犯罪的可能性也要高得多。近年来，澳大利亚为推动这项重要的议程投入了大量资源，与国际社会进行了大量合作。我国的报告详细说明了某些主要领域的活动。", "A. 在脆弱的冲突后环境中提供法治援助", "澳大利亚的司法和安全部门改革方针认识到，脆弱和冲突后国家面临着严峻的发展挑战，例如治理薄弱、行政能力有限、人道主义危机持续存在、社会长期紧张和暴力一再发生。澳大利亚采取了综合的司法改革方针。我们的干预措施旨在加强主要关键的正式司法机构(例如警察、监狱和法院)之间的联系。我们还认识到，基于社区的习惯法体系有时在冲突后局势中发挥重要作用，并认识到，必须使这些习惯法体系在人权框架内运作。澳大利亚对司法改革的支持平衡兼顾长期目标(例如国家政权建设和经济发展)和受不安全局势影响的人们的眼下需要。为了解决冲突和防止更多的冲突，必须消除冲突的动因，包括支持可以提供救助和在当地合法的司法体系，世界银行在2011年的《世界发展报告》中也强调了这一观点。", "澳大利亚的一个主要工作重点，是确保各国有适当的法律框架来打击腐败和有组织跨国犯罪，包括恐怖主义、洗钱、获取犯罪收入、网络犯罪、人口走私和人口贩运，并加强包括引渡和法律互助在内的国际法律合作的框架。然而，澳大利亚也意识到，必须在其他刑事司法领域，例如在判决和受害人保护立法领域，提供技术援助和进行能力建设。我们的能力建设项目包括：为法律、司法和执法官员举办讲习班和培训；主办法律交流活动；举办辅导和一帮一方案，以建设自然人的能力；制定法律框架和法律准则；与伙伴国家合作提供法律和政策咨询；协助颁布法律。", "最近的两个例子突出表明在这些领域取得的进展和这些伙伴关系发挥的效力。", "第一个例子是，2009年中期以来，澳大利亚机构一直在与新西兰的对口机构合作，通过与汤加之间的伙伴关系协助该国审查和改革其警察立法。经过这项援助，《汤加警察法》于2010年9月14日通过，于2011年2月2日生效。我们当前正与汤加一道制定条例和程序，以确保《警察法》得到切实执行。", "第二个例子是，2009年，在我们的“Strongim Gavman”，即“加强政府”方案下部署到巴布亚新几内亚的澳大利亚官员协助在检察官办公室内建立了犯罪所得和国际犯罪问题合作股，由此导致巴布亚新几内亚于2010年7月针对一起根据《犯罪所得法》起诉的案件发出该国第一项民事没收令。", "更普遍地讲，我国在东帝汶(联合国牵头)和所罗门群岛(所罗门群岛区域援助团牵头)以及最近在阿富汗进行的参与显示，澳大利亚支持各种脆弱局势中的司法和安全部门改革。澳大利亚还正在向南亚和东南亚国家(印度尼西亚和柬埔寨)、非洲和太平洋国家(巴布亚新几内亚、所罗门群岛、瓦鲁阿图、萨摩亚、汤加和瑙鲁)提供能力建设援助和技术性法律援助，以加强法治，确保国家的安全与稳定。", "本着援助效力原则，澳大利亚寻求鼓励司法部门改革方案的本地领导和本地自主，使我们的援助与伙伴政府的政策和体系相一致。在脆弱的国家中，澳大利亚支持那些促进自主，有更广泛的民众参与，并在政治上可行的情况下有边缘化群体参与的进程。", "澳大利亚在一系列局势中的经验突出表明，必须在捐助国之间，以及在各个参与其事的澳大利亚政府机构之间，就提供发展援助方面的具体司法和安全发展挑战形成共识。例如，澳大利亚向所罗门群岛区域援助团提供的支助是以澳大利亚各政府机构在总部和外地一级的密切的部门间对话、关于目标和排序的跨政府协议、共同的规划和监测框架以及实际的协调安排为特点。", "B. 过渡时期司法", "过渡时期司法机制在使经历了冲突的国家能够逐步实现持久和平方面发挥着必不可少的作用。特别重要的是，这些机制可以成为使公共机构重拾必要的合法性和公众信任，在促进安全与发展方面发挥关键作用。过渡时期司法机制包括多种多样的适合于冲突后社会的具体环境的司法和非司法对策。这些对策必须了解受害者，特别是边缘化群体中的受害者的看问题角度，考虑到冲突根源，并符合国际准则。这些对策还必须顾及在处理大规模侵犯人权引起的遗留问题时所面对的挑战，并顾及东道国政府及其军事或安全部门在冲突期间所起作用。", "重要的是，过渡时期司法没有一个“放之四海而皆准”的方法。在冲突后局势中，需要为专制后政权制定不同的管理战略和经济社会战略。每一个局势都与众不同，需要同受影响社区密切协商，量身定做最有效的对策(《世界发展报告》将此称为 “最因地制宜的”体制建设方法)。这可以包括结合运用以下方面的措施：刑事起诉、寻求真相过程、赔偿方案、性别公正、安全部门改革和努力以史为鉴。过去的经验显示，结合运用这些措施要比采取任何一项单独的措施有效得多。", "澳大利亚一贯坚定支持为使那些被指控犯下最可怕罪行的人不再逍遥法外所进行的努力。为此目的，澳大利亚长期以来一直支持国际刑事法院和其他国际法庭。", "一揽子赦免和免予起诉的做法一定不能妨碍追究那些应对这些罪行承担最大责任者的罪责。为实现国际社会结束最严重国际罪行有罪不罚局面的目标，关于前南斯拉夫和卢旺达的两个特设国际法庭以及塞拉利昂问题特别法庭做出了史无前例的贡献。这些法庭的判例丰富了我们对种族灭绝罪、危害人类罪和战争罪的理解，并丰富了国际刑事法的实践和程序。", "在可能的情况下，司法工作最好是在国家一级进行。国际法庭面对的挑战，是确保加强国家法律能力，以此作为自己留下的遗产。例如，前南斯拉夫问题国际法庭通过把基层被告的案件转给主管的国家司法管辖机关，促进了国家法院的发展。同样，柬埔寨法院特别法庭是国家法律体系的一部分，其各机关有本国人员参加，因此，人们希望这些特别法庭将有助于逐步建设国家司法和行政能力。", "上述各法庭通过开展外联活动，为公众参与讨论问责问题创造了空间，向人们展示，追求司法正义并不威胁和平。", "澳大利亚政府继续坚定支持国际法院和法庭进行的努力，包括提供资金，由我国国民提供出色的服务和在国际社会开展工作，以鼓励与这些机构的合作。", "同样重要的是，需要寻求真相过程或“传统”司法机制，因为它们通过促进基层的责任追究，成为司法机制的必要补充。这些过渡时期司法机制在设计上应该加强民主制度与社区内的和平，并与民间社会合作和增强其权能。应该建立具备适当监督机制的强有力的可持久体制、给予受害者和边缘化群体发言权的民间社会组织以及训练有素和受过教育的公务员队伍，这些都是从冲突后环境过渡到一个稳定未来的必要条件。", "C. 部署一个文职人员班子", "及早参与处理冲突和冲突后局势很重要。应该尽快采取步骤播下长期恢复的种子。需要常备能力，以便能够迅速向受冲突影响的环境部署必要的专业力量。为此目的，澳大利亚成立了一个快速部署文职专家小组，使其以必要的紧迫速度协助受冲突影响国家的稳定和恢复努力。", "澳大利亚文职人员工作队将补充我国向联合国特派团和其他特派团派遣的警察和军事人员。澳大利亚认识到，军事和警察干预或人道主义援助虽然必不可少，但仅靠它们无法取得持久的安全或发展成果。除了警察发挥的职能之外，文职人员发挥的职能对于建立和维护和平与稳定来说同样必不可少。在受冲突影响的国家，政府为本国公民提供安全和基本服务的能力有限。公共行政、安全部门改革和经济复苏必须同样成为优先事项，以支持提供基本服务，从而实现持久和平。", "澳大利亚文职人员工作队以综合的文职人员对策来解决冲突后局势引起的问题，由具备农业、法律和司法、教育行政、工程、财务管理、需要评估和捐助者协调专长的个人组成。这些专家可与各种利益攸关方，例如当地受益者、政府官员、其他捐助者或来自其他国家的文职专家合作，以随着安全和人道主义局势逐步好转，重点转向国家政权建设和重建而提供稳定化建议、技术援助和能力建设。澳大利亚认为，为了立即取得切实的实地效果，这样的对策可能是必要的。", "澳大利亚联邦警察局的国际部署小组管理澳大利亚警察的海外部署，把这些警察派往能力建设特派团、冲突后重建区域特派团和联合国维持和平特派团。部署到海外的该小组工作人员有时多达350人。此外，通过澳大利亚联邦警察局的国际网络提供的援助侧重于建设地方警察打击跨国犯罪的能力，包括支持警方之间的合作、为支持国际执法努力收集情报以及提供培训和其他技术援助。法证和数据中心在较小的规模上提供一系列专门援助。", "D. 保护平民", "保护平民是联合国和区域和平行动的一项核心职能，引起一些复杂的政策和操作问题，如果要使特派团成功地执行任务，就必须解决这些问题。联合国和非洲联邦已经在加强对平民的保护方面取得很大进展，但挑战仍然存在。", "最近的《起草联合国维持和平行动中全面保护平民战略的战略框架》草案是向前迈出的一大步，它使全特派团战略标准化，以最大限度地发挥特派团的能力来更好地保护平民，加强了特派团为执行规定任务所作努力的一致性，并加强了问责制和报告制度。", "澳大利亚认识到，维持和平和建设和平的努力在冲突和冲突后局势中具有根本性的重要意义，因此通过亚太军民合作高级研究中心和在“挑战”伙伴关系中的参与，以强调平民保护部分的方式致力于提高联合国在其维持和平行动中发挥的效力。", "2010年4月，该中心在澳大利亚主持了第三次和平行动挑战国际论坛，该论坛讨论了在多层面和平行动中保护平民的挑战。2011年2月，在澳大利亚共同主持的挑战论坛研讨会上发表了一份报告，其中概述了国际论坛的主要结论。", "尽管保护平民原则已在战略层面取得很大进展，但仍需要在操作层面进行更多工作，制定辅助的军事和警察行动战略。", "已在澳大利亚开始工作，为澳大利亚国防军制定一项保护平民原则。澳大利亚十分愿意随着这项工作的进展不断分享其成果，学习其他国家的经验，并为此目的主办一次高级别军民事务会议，议题是“加强和平行动中的平民保护：从政策到实践”(2011年5月24日至26日)。这次会议将盘点最近在战略和操作层面出现的各项发展，更为仔细地审查把妇女和儿童纳入保护平民议程的具体问题，并审议可能的培训措施。", "在我们更广泛的为提高维和人员保护平民的能力所作工作中，澳大利亚认识到，社会中的某些群体，即妇女和女孩，在冲突期间和冲突后仍然特别易受损害。澳大利亚支持按照关于妇女与和平与安全的安全理事会第1325(2000)号决议的规定，把妇女纳入所有预防冲突、解决冲突、复原和建设和平的努力。2010年，澳大利亚宣布将提供资金，用于就如何在冲突和冲突后局势中保护妇女，使其免于性暴力对联合国维和人员进行更多的部署前培训或国内培训。", "澳大利亚还认为，必须使妇女在冲突后重建过程中得到更为充分的代表，以保证和平的持续稳定。澳大利亚对第1325(2000)号决议的支持还包括增加妇女在建设和平和社区重建工作中的参与。我们在阿富汗选举进程中对妇女的支持突出表明了这一点。部署到所罗门群岛区域援助团的维和人员和工作人员也把第1325(2000)号决议视为使妇女更多参与决策过程的必要工具。需要进行更多的工作，澳大利亚正在制定一项贯彻第1325(2000)号决议的国家行动计划。", "这些举措显示，澳大利亚人坚定致力于同联合国和会员国一道努力，通过促进法制，确保所有人都得享公正、平等、问责和正义。这在冲突和冲突后社会中最为重要。在很多情况下，这将是一场长期努力，但为了确保持久和平与繁荣，也是一项必要努力。", "奥地利", "[原文：英文]", "奥地利重申对基于国际法、包括人权法的以联合国为核心的国际秩序和法治的坚定承诺。我们认为国际法和法治是国际制度的基础。明确和可以预见的规则、对这些规则的尊重和遵守以及预防和制裁违反规则行为的有效多边制度是持久国际和平与安全的先决条件。我们认为，必须要在所有方面，即在国家、国际组织和机构各级加强法治。", "近年来，国际社会对推进司法和法治，尤其是冲突和冲突后社会的司法和法治给予了越来越多的关注。这些经历使我们汲取了重要的经验教训，而这些经验教训应在过渡时期司法和法治领域为我们今后的活动，尤其是在联合国框架内的活动提供依据。核心是需要确保国际规范和标准具有共同基础和为对司法进行的投资筹集必要的资源。秘书长在其2004年关于冲突和冲突后社会的法治和过渡时期司法的报告(S/2004/616)中，就需要侧重的方面和如何精简我们的工作以获得成功提供了有益的指导。他提高了对在联合国各级以及与本组织以外的行为体进行协调与合作的必要性的认识。这些工作需要进一步开展。2004年报告中的建议仍然有效，需要得到充分执行。", "联合国在冲突和冲突后局势中加强法治的工作必须基于国家评估、国家参与和国家需要和愿望。尽管基本法律规范是普遍适用的，不容商量，但在脆弱的局势中没有一个放之四海而皆准的公式。我们的策略如果要行之有效，必须致力于提高国家自主权意识、支持国内改革的拥护者和适应实地的现实情况。", "如同2004年报告中强调的，对过渡时期司法必须采取全面和综合性的方法(见S/2004/616，第64(k)段)。我们必须特别关注受害者和民间社会的需求，并牢记各种过渡时期司法机制之间需要有互补性。联合国确保在冲突后局势中追究责任的战略必须扩大到国际法院和法庭以外的范围，包括为饱受冲突蹂躏社会实现正义、和解以及恢复持久和平与安全的各种现有过渡时期司法机制。", "联合国在脆弱和过渡社会的参与应立即侧重于根据国际标准加强负责任的安全和司法部门，以防止冲突再起。我们参与的目标，应是使饱受冲突蹂躏的社会提高复原力，促进对法治的理解和认识，并提供一个可持续和平的长期视角。为了产生效果，我们的参与必须加强民间社会的作用和促使妇女成为恢复过程的领导者。", "奥地利欢迎大会和安全理事会为加强法治提供越来越多的支助和开展越来越多的活动。在2005年世界国家元首和政府首脑会议上，各国元首和政府首脑确认需要在国内和国际上遵守和实行法治，并重申致力于基于法治和国际法的国际秩序。2006年，在列支敦士登和墨西哥的倡议下，大会在其议程中加入了题为“国内和国际的法治”的新项目。自那以后，秘书长每年编制关于法治的报告，由第六委员会讨论。", "奥地利坚决支持预计将在2012年9月第六十七届大会开始时召开的关于法治的高级别会议(第65/32号大会决议)。虽然本次会议的方式必须在第六十六届会议期间讨论敲定，但奥地利在第六十五届大会上高度赞扬大会主席约瑟夫·戴斯的倡议，即在2011年4月11日在大会上组织一个关于“法治和全球挑战”的大会互动专题辩论，以开始讨论这个问题，并使各会员国重新关注法治。这次辩论强调了法治对冲突局势以及发展的重要性，引起了各会员国极大的兴趣，并是筹备高级别会议的一个重要踏板。这次辩论的主旨发言人之一奥地利外交部长米夏埃尔·施平德埃格尔先生指出，尽管自2005年世界首脑会议以来联合国取得了很大进展，必须从最近发生的事件吸取教训，并应更加重视冲突预防、国家自主权和改善与所有法治活动有关的合作与协调。在这方面，他欢迎秘书长在联合国主持下推出一个新的关于法治的对话论坛的想法(完整的主旨发言见www.un.org/en/ga/president/65/initiatives/Rule%20of%20Law/Austria%20%20FM-P)。", "安理会也越来越重视法治。从2004年到2008年，奥地利举办了一系列小组讨论和专家务虚会，以分析安理会在加强以规则为基础的国际体系中的作用。2008年4月，印发了以该倡议为依据的最终报告(A/63/69-S/2008/270)，其中包含有关安理会如何能够在其活动的各个领域支持法治的17项建议。安理会举行了两次公开辩论，并分别在2006年和2010年通过了两份关于法治的主席声明。奥地利在作为安理会成员期间，与志同道合的国家一起，一贯致力于把促进法治纳入安全理事会及其附属机构的日常工作的主流以及加强安理会的工作方法。安理会通过了关于各个法治领域的重要决议，这些领域包括保护平民、武装冲突中的儿童和妇女以及和平与安全。其他例子包括第1267(1999)号决议所设委员会关于设立监察员的决议和联合国特设法庭的余留事项处理机制，以及为联合国特派团规定任务的各项决议。安理会的这些活动应该继续下去，因为其在恢复和尊重法治以及支持过渡时期司法机制方面发挥关键作用(见S/2004/616，第64(a)段)。", "A. 结束有罪不罚局面和加强刑事司法", "1. 国际法庭和混合法庭", "奥地利认为，国际一级结束有罪不罚局面和加强刑事司法的努力是法治的重要支柱，并大大有助于预防冲突和严重违反国际人道主义法的行为。因此，奥地利坚决支持国际刑事法院、特设和混合法庭以及其他国际刑事司法机制，因为它们是结束国际社会所关注的最严重罪行有罪不罚局面的措施。这些机制由于确保了追究罪责并保证了适当程序、程序性保障措施、受害者权利和性别公正，在法治和过渡时期司法方面发挥重要的作用，安理会应坚持与国际法庭和混合法庭充分合作，包括根据请求移交被告人(见S/2004/616，第64(j)段)。", "奥地利坚信，国际刑事法院是支持法治和结束有罪不罚局面的最有效的工具之一。在这方面，奥地利赞扬2011年5月31日至6月11日在乌干达政府的邀请下在坎帕拉举行的第一次罗马规约审查会议对国际刑事司法进行的审评。奥地利共同发起了对《罗马规约》第8条的修正，并支持关于侵略罪的修正。此外，奥地利以各种方式支持国际刑事法院；例如，奥地利是第一个与该法院就判决的执行问题缔结协议的国家。最近，它已与该法院就签署转移证人的备忘录开始了讨论。奥地利认识到需要向受害者作出赔偿，并已向该法院受害者信托基金作出大量捐款。在结束有罪不罚局面和加强刑事司法方面，还必须强调民间社会的重要作用。为鼓励民间社会在这方面的努力，每年奥地利向支持国际刑事法院联盟作出大量捐款。", "奥地利一直致力于支持联合国前南斯拉夫问题国际法庭和卢旺达问题国际法庭、塞拉利昂问题特别法庭、柬埔寨法院特别法庭和黎巴嫩问题特别法庭，这些法庭在其工作取得了重大进展，从而在加强国际刑事司法方面发挥重要作用。此外，奥地利支持波斯尼亚和黑塞哥维那为起诉战犯和有组织犯罪成立的法院。奥地利为起诉战犯指派了国际法官和检察官，并且指派国际顾问，就惩处腐败和有组织犯罪提供咨询意见。", "2. 国家司法系统", "虽然国际法院和法庭对国际刑法的发展发挥了决定性影响，并已成为法治的支柱，但我们的工作和资源不应该只集中于这类机构。在脆弱社会和过渡社会中，联合国举措必须加大对国家司法部门和国内改革拥护者的支持，并加强国家立法，同时顾及国际规范和标准。", "在这方面，奥地利在国家一级积极实施必要措施。奥地利已通过了有关与国际刑事法院合作的法律，包括国家法律中的司法合作和判决执行。奥地利刑法典已经包含惩治灭绝种族罪和所有构成危害人类罪或战争罪等罪行的规定，符合奥地利对法治和结束有罪不罚局面的承诺。然而，为明确满足《罗马规约》所载互补原则的要求，并依照法院的ICC-ASP/5/Res.3号决议，奥地利正在将属于国际刑院管辖范围的罪行明确纳入国内刑事法。奥地利在立法方面配合这项举措，明确将严重违反1949年日内瓦四公约及其附加议定书、《禁止酷刑公约》以及《保护所有人免遭强迫失踪国际公约》的行为纳入国内刑事法。该项目预计将于2011年底完成。", "B. 国家和国际过渡时期司法以及责任追究机制的作用和未来", "奥地利认为，除非适当和及时地关注正义、和解、复兴、重建和发展，危机不会得到持续解决。在这方面，国际社会的支持至关重要。我们必须确保将法治和过渡时期司法方面的考虑因素纳入联合国维持和平行动的战略和行动规划(见S/2004/616，第64(b)段)。任何正视和处理历史问题的做法都必须考虑到具体情况和背景以及各种正义与和解机制，包括起诉工作、真相与和解委员会、国家赔偿受害者方案、机构改革方案和传统的争端解决机制。在这方面，联合国应加大力度，推动起诉和文件记录方面的合作，加强民间社会，特别是受害者、目击证人和妇女这样的弱势群体在起诉中的作用，并通过真相调查促进和解。通常，在冲突后社会，听取倾诉的过程似乎比正式诉讼的司法结果更重要。尽管如此，冲突后局势中和解的基础是明确致力于消除严重违反国际人道主义法和人权法而不受惩罚的现象，特别是追究主要犯罪者的责任。有效解决冲突和长期和解取决于和平与正义这两个相辅相成的概念。而且，虽然大赦一些罪犯能推进和解进程，绝对不应赦免严重违反国际人道主义法和人权法的犯罪者。", "1. 预防", "国际社会促进法治的工作应更加侧重于预防。法治在预防冲突和大规模暴行、稳定冲突后社会和防止冲突再次发生方面具有重要作用。如秘书长在其2004年报告中所说，“在司法和法治问题上，如果事先为预防出力一分，其效力大大超过事后补救出力十分”(S/2004/616,第4段)。在此方面，奥地利支持负责收集现有资料，尤其是从联合国系统内部收集现有资料的防止灭绝种族问题特别顾问充当预警机制，并通过秘书长向安全理事会提出建议。这明确显示，不能忽视大规模和系统侵犯人权和对国际和平与安全的威胁之间的关系。奥地利认为，重要的是探索更多途径加强联合国预防灭绝种族的能力。", "联合国应加强努力，协助各国履行保护本国公民免遭种族灭绝、战争罪、种族清洗和危害人类罪之害的责任，并提高其预警能力。在2005年世界首脑会议上，所有会员国都接受了这一责任，并承诺据此采取行动。这一责任意味着通过适当、必要的手段，预防这类罪行的发生，包括预防煽动这类犯罪。奥地利支持秘书长在其关于执行保护责任的报告(A/63/677)中拟议的三大支柱战略。最近，安全理事会通过了第1973(2011)号决议，以采取果断行动保护武装冲突中的平民。", "我们认为，法治在履行保护责任方面至关重要。重要的是从法治角度审视保护责任，因为法治是这三个支柱的共有主题。奥地利充分支持秘书长的观点，即“法治是防止实施与保护责任有关的犯罪的根本”以及“联合国系统，通过捐助国的参与等途径，应加强对会员国的法治援助。目的应该是确保利用司法手段机会平等，改善司法、检察、刑法、执法服务，造福全民。这些步骤将使社会内部的争端更有可能通过法律手段而不是暴力手段得到解决。”(A/63/677,第47段)。", "2. 认识", "知识和教育是防止大规模暴行及其再次发生的关键。奥地利从其历史中吸取了教训。作为大屠杀教育、纪念和研究活动国际合作工作组的一个成员，奥地利积极致力于在学校、大学和社区推广有关大屠杀的教育，并在 2000年1月的《关于大屠杀的斯德哥尔摩国际论坛宣言》规定的其他机构中推广教育。尽管在不同文化中正视历史事件的方式不同，我们认为，关于大屠杀的知识因其独特的重要性和持久的影响，有助于更好地理解灭绝种族罪、战争罪、危害人类罪和其他大规模暴行的根源。此种认识将为其他冲突后社会正视自己的历史、为社区回应种族灭绝、为幸存者在惨痛经历之后继续生活奠定基础。认识是防止未来发生违反人权或国际人道主义法事件的重要前提。", "在此种承诺下，奥地利为2010年由萨尔茨堡世界讨论会举办的题为“全球防止种族灭绝：从大屠杀吸取教训”的国际会议作出了贡献，以期提供一个将教育、纪念和研究大屠杀的工作与世界各地的防止种族灭绝、种族清洗、种族主义、反犹太主义和仇外心理的当前工作联系起来的概念框架。预计萨尔斯堡全球研讨会、美国国家大屠杀纪念馆和奥地利联邦欧洲和国际事务部将于2012年夏季举办后续会议。本次会议的目标将是面向教育领域的决策者(政府官员和其他决策者)，提高对大屠杀教育和种族灭绝预防之间联系的认识。", "3. 保护平民", "在武装冲突中有效保护平民是预防工作的另一个关键要素。奥地利积极参与制定保护平民的全面标准这一国际努力。2009年11月，在奥地利担任安全理事会主席期间，安全理事会一致通过了关于武装冲突中保护平民的第1894(2009)号决议，就是很好的证明。虽然过去十年，在这方面取得重大进展，保护平民的国际规范和标准的制定并没有实地行动的充分配合，包括没有在饱受冲突蹂躏社会中充分加强法治。该决议承认，保护是一个广泛的概念，包含国际人道主义法和人权法，超越了人身保护的范围。因此，安理会授权维持和平行动在冲突中和冲突后协助各国营造一种环境，使所有行为体都对遵守公开发布、平等实行和独立裁决而且符合国际人权规范和标准的法律负责。在该决议第11段，安全理事会首次列出了全部过渡时期司法机制(起诉、查明真相、赔偿和机构改革)，并从而运用了一个通判方法来结束严重违反国际法、包括违反人权法和国际人道主义法的行为有罪不罚的局面。2010年11月22日的安理会主席声明(PRST/2010/25,第9段)中重申了这一点，安理会第1960(2010)号决议重申了解决以往侵犯人权的遗留问题和持久和平与安全之间的联系，其中安理会明确表明“发生冲突社会或摆脱冲突社会要正视身陷武装冲突平民以往遭受虐待的问题并在今后防止这种虐待，就必须消除有罪不罚现象”。在关于妇女、和平与安全的第1325(2000)号决议十周年之际，安全理事会制定了跟踪该决议执行情况，包括监测冲突后机构以及过渡时期司法、和解和重建进程的具体指标。", "为支持第1894(2009)号决议的执行工作并提高认识，奥地利支持编制一个有关保护武装冲突中平民的非洲专门课程。奥地利施兰灵和平与解决冲突学习中心与非洲培训机构合作，精心编制了此课程的课目纲要。此培训课程将由相关非洲培训中心、区域经济共同体和非洲联盟具有文职、警察和军事背景的专业人员采用和教授。", "4. 人权", "法治和过渡时期司法牢牢扎根于人权法和标准。侵犯人权行为的受害者得到有效补救的权利在任何时候都要确保。人权理事会为确保冲突和冲突后社会的法治发挥至关重要的作用。理事会通过其特别程序和独立专家协助监测和报告人权义务和法治原则的实地实施。人权事务高级专员办事处制定了关于过渡时期司法问题的有用法治工具，应该将其用于联合国的实地工作。在最近关于利比亚和科特迪瓦的特别会议上，理事会明确强调问责制的重要性和结束有罪不罚局面的必要性，强调需要追究袭击平民者的责任。需要考虑和进一步研究建立国际调查委员会，调查严重侵犯人权情况的做法。", "5. 遗留问题", "未来过渡时期司法和问责机制的重要作用之一，是保留其遗产和处理遗留问题，如监督和执行判决、赦免和提前释放、证人保护、判决复核以及管理和保存档案。司法不是一次性事件，并不随着法庭成立、逃犯被捕、判决做出而结束，而是一个过程，可能会持续几年乃至几十年。", "作为安理会国际法庭非正式工作组的2009年和2010年主席，奥地利主导了谈判，促成通过了关于建立刑事法庭余留事项国际处理机制的第1966(2010)号决议，这是国际刑事司法的一个里程碑。安理会决定设立有两个分支的余留机制，一个分支是为阿鲁沙的卢旺达问题国际法庭而设，另一个是为海牙的前南斯拉夫问题国际刑事法庭而设，分别将于2012年7月1日和2013年7月1日开始运作。余留机制的建立是安理会发出的结束有罪不罚局面的强烈讯息：这两个法庭起诉的高级逃犯定难逃法网。这两个法庭的管辖范围、权利和义务及基本职能将由余留机制继续下去。与此同时，决议向这两个法庭发出明确的信号，要求其采取一切可能的措施，在2014年12月31日之前尽快完成工作，为结束做准备，并确保平稳过渡到余留机制。", "C. 非正式机制", "为采用整体和全面的方法，在冲突后局势恢复法治，就需要更多与非正式司法体系合作，以更好地追究罪犯的责任，为受害者伸张正义。在正式问责机制不能完全实现和解，可持续恢复受冲突蹂躏的社会的和平与安全时，传统的解决争端机制可在正式司法体系之外有效作为补充。非正式机制往往更方便，可能有潜力提供快速、具有成本效益和适合文化背景的补救措施，可能更接近本地民众，而不仅限于处理级别最高的罪犯。联合国的努力在支持法治和改善正式司法机构的运作时，也应认识到非正式司法体系的潜力。奥地利赞扬人权事务高级专员办事处和联合国开发计划署在此方面制订标准，包括提供技术援助，以协助国家有关司法和安全部门的努力。", "不过，非正式司法体系绝不是通用的补救办法。尽管有其优势，在许多情况下，这样的体系无法实现过渡时期司法与和解的目标。非正式司法体系往往歧视妇女和弱势群体，并非总是遵守国际人权标准，有时会使侵犯人权的行为永久化。这些体系很容易受滥用权力的影响，有时缺乏独立性，个人运作者的技能和道德价值也影响司法质量。因此，联合国的举措应努力提高解决纠纷的质量，消除非正式司法体系中的弱点，以确保遵守国际人权标准。这些举措应是联合国过渡时期司法和法治方法的一环，其更广泛的目标是与正式机构和非正式司法体系协作，确保问责制和司法救助。", "D. 能力建设项目", "为在冲突和冲突后社会重新建立法治的能力建设和援助活动和项目是奥地利努力促进法治工作的一个主要环节。此外，奥地利发展合作方案在过渡时期提供协助，需要在这个时期开展的工作包括：战斗人员解除武装、复员和重返社会；安全系统改革；解决儿童兵等弱势群体的问题。", "例如，奥地利发展合作署支持过渡时期司法国际中心在乌干达北部前冲突地区加强关于过渡时期司法的辩论。该项目特别是为了加强民间社会和政府机构之间的对话，为此把真相调查、和解和记忆纳入对话，向相关司法和法律及治安部门提供必要能力，以便彻底处理执法、调查真相和遣返等问题。特别注意结合安全理事会第1325(2000)号决议满足妇女和其他弱势群体的具体需求。", "在乌干达北部，奥地利发展合作署还支持司法机关实施和平、恢复和发展计划，为此协助建立相关的基础设施(如法院)，开展过渡时期司法领域的活动，以及作出正式和非正式司法裁定。", "在波斯尼亚和黑塞哥维那，奥地利发展合作署支持1995年《代顿协议》设立的国家机构，处理过去的战争罪行。例如，奥地利发展合作署协助波斯尼亚和黑塞哥维那起诉战争罪犯和有组织犯罪的法院开展工作(见上文A.1节)。", "虽然不丹并非处于冲突后局势，但为预防冲突，奥地利发展合作署与瑞士发展合作署设立联合方案，支助不丹设立可持续和有效的司法体系，使其开放、透明、独立和高效，确保不歧视和法律面前人人平等的原则。提供的支助包括培训、考察访问和资助建立一个常设的司法培训学院。", "捷克共和国", "[原件：英文]", "A. 参加文职特派团", "捷克共和国定期派遣警察和法治及过渡时期司法问题法律专家参加欧洲联盟、联合国和欧洲安全与合作组织的文职特派团。为此，捷克共和国警察有一个高效的海外人员培训、装备和维持系统。国家预算拨出必要资源，确保捷克共和国充分履行国际条约规定和参加国际组织必须履行的承诺。", "捷克警察主要参加监测安全局势、开展能力建设、加强和支持当地安全部队以及协助加强法治的行动。在这种情况下，他们的任务范围广泛，包括担任观察员、联络官、顾问和教员以及直接提供警务服务。", "1999年，捷克警察第一次部署到特派团，派往联合国驻科索沃特派团(科索沃特派团)和联合国波斯尼亚和黑塞哥维那特派团。2003年，捷克共和国参加了欧洲联盟波斯尼亚和黑塞哥维那警察特派团。2003年12月至2005年9月，捷克警察参加了欧洲联盟驻前南斯拉夫的马其顿共和国特派团。2004年，他们开始在约旦国际警察培训中心培训约旦警察。该项目2006年结束。自2005年以来，捷克共和国一直参加欧洲联盟伊拉克法治综合特派团。2006年以来，捷克警察参加了在摩尔多瓦和乌克兰的欧洲联盟边境援助团。2007年，他们开始参加四个新特派团——联合国格鲁吉亚观察团(其任务2009年到期)、欧洲联盟格鲁吉亚观察团、欧洲联盟阿富汗警察特派团[6] 以及欧洲联盟巴勒斯坦警察支助协调办事处。2004年以来，捷克警察参加了联合国利比里亚特派团，[7] 目前计划派遣警察参加联合国黎巴嫩临时部队和联合国在中东的其他特派团(脱离接触观察员部队和联合国停战监督组织)。", "在2011年4月1日，共有35名捷克警察参与维持和平行动：在阿富汗8人(自2008年以来共有13人)，在波斯尼亚和黑塞哥维那1人(自2003年以来共2人)，在格鲁吉亚4人(2008年以来共6人)，在伊拉克1人(自2005年以来共2人)，在欧洲联盟科索沃法治特派团14人(自2008年以来共30人，自1999年以来参加科索沃特派团)，在利比里亚5人(自2004年以来共5人)，在欧洲联盟巴勒斯坦警察支助协调办事处1人(2007年以来共3人)，日内瓦意外事件联合预防和应对机制1人(2010年以来)。至2011年5月底，在国外服务的警察人数将增加至61人。", "自2010年10月1日以来，一名捷克检察官(经济犯罪专家)一直派驻科索沃法治特派团，在科索夫斯卡-米特罗维察北部工作。此外，捷克共和国积极支持欧安组织的实地行动，以促进民主，人权和法治，为此提供财政捐助及人员(向欧安组织的波斯尼亚和黑塞哥维那、阿尔巴尼亚和马其顿特派团派出专家)。", "B. 在捷克共和国召开的研讨会", "2010年秋季，洛加尔省(阿富汗)省级重建队为洛加尔省高级官员组织了一次为期十天的前往捷克共和国的考察访问，他们访问了检察官以及监狱、执法和安全机构的成员。司法部于2010年12月为东欧伙伴关系国家举办了司法改革、反腐败和保护人权研讨会。研讨会由欧洲联盟委员会共同出资。司法部计划在2011年6月为西巴尔干国家和土耳其举办一次类似的研讨会。", "C. 阿富汗洛加尔省级重建队", "捷克省级重建队是捷克共和国外交部和国防部的一个联合项目，自2008年3月以来，一直在洛加尔省工作，属于联合国安理会第1386(2001)号决议成立的由北约领导的国际安全援助部队。重建队包含外交部11位文职专家和261名捷克军人。", "重建队文职部分已实施若干能力建设项目，如建造一座省监狱设施，重建省法院大楼，建造一个阿富汗国家警察和阿富汗国民军训练基地。此外，捷克共和国还资助联合国开发计划署设立的阿富汗法律秩序信托基金。", "重建队军事部分自2009年以来一直培训阿富汗国家警察。起初，培训是临时举行的，如今，捷克训练队得到了重点地区发展计划的认证。训练课程包括关于警务工作法律法规及刑事法和宪法的基本指导教学。如重建队军事部分所建议，法律课程由当地具有刑事法经验的公共检察官教授。他们的参与是非常成功的创新——课程发挥了更大效力，培训后，警察更容易与检察官合作。训练队目前由捷克宪兵组成，仍是洛加尔省阿富汗国家警察的主要培训者之一。", "2010年，部署在欧洲联盟警察特派团，派往阿富汗不同地区的捷克警察到洛加尔省前沿基地Shank集中。这使欧洲联盟警察特派团能够参加重建队军事部分给阿富汗国家警察提供的训练，为阿富汗国家警察中层管理人员提供辅导，协助法治建设(Shank基地的警察团队包括一名法治专家)。Shank基地的警察队得到重建队军事部分的后勤支持。", "D. 捷克共和国在国际安全援助部队中的参与", "国际安全援助部队的一项目标是削弱叛乱分子的能力和意志，支持重建和发展，这说明法治和过渡时期司法问题与此行动相关。在国际安全援助部队指挥下，捷克军队训练阿富汗国家警察，这是其目前唯一直接关系到法治的任务。", "国际安全援助部队法治方案由美国陆军斯巴达特别行动队的法律顾问和宪兵执行，其中包括在洛加尔和瓦尔达克省的行动。斯巴达特别行动队和捷克军队第3特遣队之间开展非正式合作(后者在国际安全援助部队指挥下，包括一名法治专家)，以便同当地司法部门举行会议，协商如何使司法系统更有效，并培训当地警察。", "D. 其他活动", "捷克共和国积极参加欧洲联盟选举观察团，每年都派出几十名捷克选举观察员。在促进过渡计划下，支持捷克非营利组织在冲突后国家(伊拉克，格鲁吉亚，科索沃)举办项目，例如打击腐败、地方政府能力建设和加强民间社会项目。", "E. 捷克共和国在冲突和冲突后局势法治和过渡时期司法工作中取得的经验教训", "积极参与潜在风险领域的工作是必不可少的。专家们在冲突地区所做工作帮助稳定了区域安全形势，最终有利于捷克共和国的内部安全(减少来自冲突区域的移民流入，增加当地政府打击有组织犯罪的能力等)。", "参照在阿富汗取得的经验，捷克共和国认为，冲突和冲突后局势法治和过渡时期司法领域的目标之一，应是加强正式和非正式司法体系之间的联系，并根据最根本的国际标准加强国家自主权。", "捷克共和国支持通过任何措施来更好地在欧洲联盟各特派团(和负责特派团的机构)、负责联盟内部安全的机构(如欧洲刑警组织)和联合国特派团之间的信息、经验和专家交流。加强合作是提高效率，打击有组织犯罪、毒品走私和恐怖主义的途径之一。", "丹麦", "[原件：英文]", "^(a) 通过以下方面提供丹麦支持法治的战略框架：丹麦发展合作整体战略(2010年)，其中自由、民主和人权构成五个专题优先支柱之一；国际人权合作——政府方针的战略(2009年)；民主化和人权——丹麦支持善政的战略优先事项(2009年)。此外，确定促进包括法治在内的民主化、善政和人权是丹麦对待脆弱国家的优先事项(2010年)。", "促进法治、使人人得享司法救助和安全是丹麦发展合作的主要目标。^(a) 建立一个基于普世人权且运作良好的司法体系本身就是追求实现的目标。丹麦还认为，法治对于实现减贫和可持续发展具有重要价值，因为它促进和保护人们的社会和经济权利、生计、个人和财产权利。运作良好的司法体系也促使每个人能够主张自己的权利，并在其权利受到侵害时(向国家及他人)要求赔偿。这样的体系为管理和解决冲突和争端以及应对申诉提供各种机制，并提供终结有罪不罚现象的制度，从而有助于促进和平与安全。", "在此背景下，丹麦在其多数伙伴国家支持具有相当规模的长期方案，目的是促进得享司法救助的机会和法治。由于认识到其中许多国家的大多数纠纷是通过非正式司法体系和解决争端机制处理，这些方案往往涉及正式和非正式结构、机构和程序以及国家和非国家行为体。这些方案通常包括以下一个或若干内容：制订和实施部门或机构范围的战略和计划；宪法或法律改革；司法部门人员的培训；基础设施发展和现代化；法律和准法律援助；民间社会宣传；替代的和非正式的解决争端机制，包括传统和习惯法制度及其与正式司法体系的联系；国家人权机构和(或)民间社会组织对人权状况的监测、记录和报告。", "冲突中或正摆脱冲突的国家面临着一些具体的司法和安全挑战。摆脱暴力冲突的国家需解决过去的问题，为此启动国家和社区一级的和解进程，并以不同的方式应对战争罪、种族灭绝罪、危害人类罪和严重侵犯人权的行为。发现和记录“真相”、查明责任人、调解各对立集团以及就过去的侵权行为提供赔偿(过渡时期司法)等进程是复杂的，需要建立一些不同的反应机制。在某些情况下，具体的法律冲突和犯罪也会由于暴力冲突的直接或间接的后果而产生，如社区内暴力犯率罪上升，从而破坏社区的社会结构；土地纠纷将留在家园的个人和社区与流离失所者对立起来；原先的军事化团体转成有组织的犯罪和暴力集团。", "这些问题，加上恢复国家建设进程的任务往往艰巨，且需要启动人类和经济发展，都需要加以解决。按照法治原则重建国家司法和安全体系是国家建设议程必不可少的组成部分。", "丹麦支持处理有关以下方面问题的一些举措：过渡时期司法以及建立和加强坚持地方自主权和可持续性原则的国家司法和安全体系。", "此类参与的例子包括：对乌干达北部朱巴和平进程的支持，其中尤其注重传统司法，随着高等法院战争罪行分庭设立之后又制订了有关追究责任与和解的规定；消除危地马拉国内有罪不罚现象国际委员会处理非法保安部队和秘密安全组织所犯的罪行；将采取范围更广的新举措来满足社区一级的需要，并通过支持加强边境管理，包括海岸警卫队和区域维和部队，满足司法和安全部门的能力和体制建设的需要，以此加强阿富汗、南苏丹和索马里社区一级解决冲突的机制和伸张正义。", "丹麦支持并提倡加强联合国的参与和能力，以加强和支持民族和解进程和过渡时期司法机制以及国家司法和安全体系。这一点至关重要，因为在通常痛苦而艰难的建设和平和建设国家的进程中，法治、人权、司法和安全需摆在举足轻重的位置，以确保为人类发展和经济发展提供框架，而联合国往往是当地有能力对初步举措提供支持的第一个国际行为体。", "促使提高国内对国际刑事法院管辖下的罪行进行起诉的能力", "自国际刑事法院成立以来，丹麦一直是政治、经济和实际援助方面的强有力支持者。", "丹麦与南非是缔约国大会的协调中心，因此特别关注积极互补的题目，即合作提高(发展中)各国国内对国际刑院管辖下的罪行，包括种族灭绝罪、战争罪和危害人类罪，进行起诉的能力。", "由于国际刑院只起诉负最大责任者，因而有必要加强发展中国家的国内司法体系，从而使其有能力对国际刑院没有起诉的个人所犯下的种族灭绝罪、战争罪和危害人类罪进行调查和起诉。采取这种办法就必须支持全面加强司法体系。如各国自己能够对这些罪行进行起诉，就可避免潜在的国际刑院审判。丹麦认为，国际起诉机制和国家法律体系之间的这种联系是非常重要的，这从政治和经济角度来看都是有意义的。", "积极互补的工作已引起各国、各国际组织和区域组织以及民间社会很大的兴趣。联合国、欧盟和其他方面正在制订各种办法，在自身的发展工作中实施互补。", "芬兰", "[原件：英文]", "芬兰坚决致力于在国家和国际两级加强法治建设。尊重国际法、尤其是尊重人权是国际和平与安全的前提。在预防冲突方面以及在冲突和冲突后局势中，促进法治至关重要。缺乏国家司法能力不仅导致冲突，而且阻碍冲突的可持续解决。在冲突后局势下尤其如此，因为在这种局势下最需要司法，但司法机构却可能已经瘫痪或是失去了合法性。以独立法院和法律体系确保法律面前人人平等和对法律负责的法治文化及其运作和改革与以下方面相联系：安全可靠的环境和结束有罪不罚局面；和平协定的执行；解决争端的和平机制。芬兰强调法治在解决冲突和冲突后局势中作为一个跨领域主题的重要性，并在欧洲联盟和联合国的框架内积极参与建设和平行动中的恢复法治工作。", "国际刑院以及其他国际刑事法庭通过结束最严重国际犯罪的有罪不罚局面，在维护国际法治方面发挥重要作用。除其他外，芬兰强调普遍批准和全面执行国际刑事法院《罗马规约》以及与该法院有效合作的重要性。国际刑院管辖权是以互补为基础的。各国在国内对最严重的国际罪行的调查和起诉负有主要责任。努力加强国家法律制度在这方面的能力也有助于加强国家一级的法治。", "此外，我们绝不能忽视同样重要的传统司法机制。但司法不能只是惩罚性的，也必须起恢复作用。对于冲突或长期社会排斥的受害者来说，必须得有机会在与其他社会成员平等情况下诉说其经历或听到官方对所犯罪过的承认。法治观念的一个要素就是应听到受害者的声音。如受害者没有感到法律责任得到追究，法律得到公正适用，他们对法治的信任就会严重丧失。", "定向制裁引起了如何保证适当程序和法治方面的问题。芬兰强调有必要确保订立公正明确的程序，按此将个人和实体列入制裁名单及将其从名单中除名。", "联合国可以很好地帮助各国提高和加强国家法治能力。在其自身的发展合作中，芬兰将目标放在尽可能支持各国的部门范围战略，并鼓励为支持国家优先事项而调整援助。冲突中和冲突后局势下尤其需要这种帮助。对话和民间社会参与司法部门改革是这个进程成功的关键。联合国各不同行为体、联合国与世界银行以及与各双边行为体的协调一致至关重要。由法治股提供支助的联合国法治协调和资源小组提供了一个机制，使联合国各不同实体和机构的作用和责任可以得到有益的统筹和综合。", "卷入冲突的国家和社会有责任解决过渡时期司法的有关问题，包括和平与正义的问题。应该清楚的是，各项决定需要当地居民的支持。面临的挑战包括如何以平衡的方式把和平与正义结合起来。不能为实现和平而忘记侵犯人权的行为和国际罪行，如种族灭绝罪、战争罪和危害人类罪。对人权和问责的承诺以及具体的路线图应列入所有和平协定中。促进和支持脆弱国家的法治，以便促进国家建设和体制建设进程，这是至关重要的。冲突后局势给法治建设带来挑战，因为有如此多的问题要解决，如物资、机构和人力资源能力的损失、缺乏适当的法律框架、不安全的环境、侵犯人权和有罪不罚现象、司法独立和公正面临的威胁、对现有结构的不信任以及冲突的根源。冲突局势还需要冲突受害者提供赔偿。根据第1325(2000)号决议及其后的第1820(2008)、1888(2009)、1889(2009)和1960(2010)号决议，妇女的参与是所有和平进程必不可少的。", "法治对于任何国家的发展都至关重要。支持国家建设和体制建设进程对于脆弱国家来说非常必要。法治运作对于经济发展非常重要，因为它确保为经济活动提供法律依据，且实施的法律和规则也可指导当局的角色——包括防止腐败和专制。法治将确立民主参与的工具和手段，也为投诉当局的运作提供了机制。", "芬兰通过经常支助这一领域的活动，推动采取行动结束有罪不罚局面。我们支持国际刑院及其不同的支助组织如国际刑事法院联盟。芬兰是国际刑院受害者信托基金重要的捐助国。另外，芬兰还向其他国际法庭如塞拉利昂特别法庭和柬埔寨法院特别法庭提供财政支持。再者，芬兰支持消除危地马拉国内有罪不罚现象国际委员会以及民间社会组织努力结束有罪不罚局面。", "芬兰认为，法治领域的能力建设和援助是发展援助方面必不可少的领域，是对于从冲突中恢复的社会更是如此。受援国的需要应作为这些援助的基础。芬兰每年在这一领域提供的发展合作基金拨款超过3 000万欧元。", "肯尼亚", "[原件：英文]", "A. 背景", "无论是国际还是国内武装冲突，都对受害者和整个社会造成极大的痛苦。它造成没有法治的局面，人权不再受到尊重。尽管国际社会倡导并落实各种预防性努力，但武装冲突仍不可避免地发生，原因是政治不稳定以及围绕权力产生派别或纠纷，这证明仅靠预防措施是不够的。这种严峻的形势要求利用过渡时期司法，在冲突后局势中消除武装冲突的影响，从长远来看，这可以强化旨在防止武装冲突再度发生的各项措施。但由于各种因素，冲突后局势中的过渡时期司法在实施方面一直很成问题。最突出的是，各国倾向于对严重侵犯人权行为的实施者实行实用政治和大赦法，以换取政治稳定。追究严重侵犯人权者的罪责仍是在冲突后局势中实现正义与和平的主要因素。", "冲突并不是肯尼亚的新现象。发生了与1992年和1997年选举有关的暴力事件。根据选举后暴力事件调查委员会的报告，最近发生的2007/08年选举后暴力事件造成1 133人死亡，3 561人严重受伤，300 000多人在境内流离失所。", "我们在过去二十年的经验已清楚表明，除非人民相信可以通过和平解决纠纷和公正司法的合法机构伸冤，否则在冲突刚结束后期间巩固和平以及长期维持和平是不可能做到的。与此同时，少数族裔、妇女、儿童、囚犯和被拘留者、流离失所者、难民及其他人士的脆弱性增加，这一点在所有冲突和冲突后局势中显而易见，为至关重要的恢复法治工作增添了紧迫性。", "虽然过渡时期司法指的是开展有助于了解记忆中过去的不公正和暴行的一系列活动和进程，但宪法改革说明需要创建一个新的民主和回应人权的治理框架。《联合政府的伙伴关系原则协议》(俗称为民族协议)议程四规定的这两个进程目前在同时进行，从而结束选举后暴力行为。", "议程四列出一项长期民族和解和愈合创伤的进程，有助于深入了解国家的历史。其中还规定现任联合政府在下届大选前制定一部新的民主宪法，而且还要对包括安全部门和刑事司法机构在内各国家机构进行广泛的改革。", "为此，根据现行宪法，还要进行各项改革，以确保各机构得到加强，从而确保在任何时候都坚持法治。改革主要是在对于过渡时期司法以及促进和保护法治至关重要的领域进行，其中包括司法机构、安全部门、总检察长办公室和检察主任办公室。", "B. 肯尼亚的进展", "真相、正义与和解委员会", "政府2009年7月成立了真相、正义与和解委员会，推动有关说明真相、愈合创伤与和解的国家进程。该委员会可变成一个重要的机制，使国家能够持久地改变其有关人权的行为。", "该委员会正在收集和整理全国各地的人就涉及侵犯人权行为的经历提出的意见。", "司法机构", "独立司法机构的存在是司法体制完全按照国际标准保障人权的核心。每个国家都有义务确保司法机构是政府的独立部门。", "因此，该机构本身和司法人员必须自由履行专业职责，不受内外任何方面的干扰。必须在法律和实践中保护这种独立性。", "为此，肯尼亚根据现行宪法特许，正在司法改革中采取关键步骤。首先，已根据宪法第172条重建司法事务委员会。司法事务委员会是促进司法机关独立性和问责制以及司法切实有效和透明的机构。", "其次，正在着手任命一名新的首席大法官，在新的安排中，他还将兼任根据《宪法》第163条的规定新设立的宪制机构即最高法院的院长。宪法附表6确实规定，首席大法官是宪法颁布后六个月内必须离职的首位高层政府官员。这说明司法机构转变的紧迫性。此后已完成这项工作。还设立副首席法官办公室。", "第三，最近颁布的2011年第2号法令，即法官和治安官法审查法，旨在根据宪法附表6第23节建立有关法官和治安法官审查机制和程序。司法人员审查程序旨在加强司法机构，评估法官是否廉正，以确定其是否适合在司法部门任职。", "第四，2011年第1号法令即司法事务法给予司法机关必要的财政自主权，以便有效管理其事项和方案、惩治和开除司法人员以及设立负责制订有关司法政策任务的全国司法委员会。", "还在扩建法院。内罗毕Milimani新法院大楼是主要的扩建工程。各新法院提供自动化服务，以加快司法程序，确保为公民伸张正义。", "安全部门", "塞拉利昂和南非等冲突后过渡社会的经验表明，加强安全和治理有助于建立和平，并为重要的社会重建和发展创造其他适当的条件。", "选举后的危机明显暴露出肯尼亚安全部门的严重不足，一些安全部门人员的非法、无理行为严重玷污了安全部门的形象。据调查选举后暴力委员会指出，危机期间，安全部门大部分人员抛弃了任何职业精神伪装。肯尼亚政府设立了国家警察改革工作队，主要目的是研究警察改革。", "根据工作队和调查选举后暴力委员会的建议并依照《宪法》，肯尼亚政府将向议会提出五个法案，以改革警察部队：独立警察监督法案、警察改革方案、国家验尸部门法案、警察事务委员会法案和私营安保公司法案。", "肯尼亚警察征募工作也与警察改革保持一致。新征募的正规警察和行政警察将根据最近审查过的培训方案一起进行培训。根据经审查的培训方案，培训期也从六个月延至九个月。", "检察署", "根据《宪法》第157条设立检察署。旧宪法规定检察署隶属检察长办公室，但根据新规定，检察署是一个自治机构，可在任何法院对个人提起并进行刑事诉讼。检察署是促进法治的关键所在。", "此外，检察署下设证人保护局，向出庭作证者提供特别安保。证人保护局是根据《2006年证人保护法》(2010年修订)第3A条设立的，旨在处理肯尼亚对参与2007/08年选举后暴力和其他罪行者进行调查和起诉时遇到的困难。此举不仅在肯尼亚而且在非洲都是刑事司法制度中的里程碑，肯尼亚是继南非之后制定此类方案的第二个国家。", "非正式司法体系", "传统的非正式解决争端机制为处理过去在肯尼亚经常引起冲突的争端提供了宝贵途径。在不同族裔社区对土地及草原和水等自然资源的分配和使用有争执和冲突的地区，暴力容易发生。", "传统的非正式解决争端机制可以帮助尽早缓解紧张情形，使对立方在一起进行商讨，因而提供了取代暴力和武力的另一种途径。这些机制还可提供财政上更可承受的论坛，各方在这种论坛比在正式诉讼程序中感到更亲合。", "现行《宪法》接受传统的非正式解决争端机制，同时确保依照《权利法》公正使用这些机制。《宪法》第159(2)(c)条规定，作为行使司法权的一项指导原则，“应促进其他解决争端的形式，包括……传统解决争端机制”。此外，国家土地委员会任务规定第67条规定，该委员会鼓励在发生土地冲突时使用传统土地争端机制。虽然只是早期，但提供和承认这些机制是积极的事态发展。", "国际过渡时期司法", "多年来，过渡时期司法的领域已经扩大，不再局限于国家过渡时期司法机制。普遍认为各国都有义务：采取合理步骤防止侵犯人权；认真调查侵权行为；适当制裁应对侵权行为负责者；确保赔偿侵权受害人。", "各法院作出决定，明确申明这些原则；欧洲人权法院和人权事务委员会等联合国条约机构也在多项决定中认可这些原则。1998年设立国际刑事法院意义重大，因为该法院规约载有对消除有罪不罚现象和尊重受害人权利至关重要的国家义务。", "肯尼亚通过了《国际罪行法》，使国际刑事法院《罗马规约》适应本国国情。此外，《肯尼亚宪法》第2⑸条规定，习惯国际法是肯尼亚法律的组成部分。这意味着根据肯尼亚法律，灭绝种族罪、战争罪和危害人类罪自动成为罪行。", "因此，肯尼亚赞同需要国际过渡时期司法补充现行国家机制的观点。", "C. 结论", "肯尼亚在建立宪法、立法和体制框架方面作出了值得称道的努力，该框架将确保冲突后司法与和平。我们正在通过立法、建立机构并作出任命，这些是过渡时期司法及促进和保护法治的关键。", "新西兰", "［原件：英文］", "新西兰长期以来一直支持国际法和法治，现在仍然致力于在国家和国际层面加强法治，而且是率先通过立法确定律师有义务“支持法治”的国家之一。新西兰认为，在冲突中和冲突后，法治在过渡时期司法领域发挥关键作用。", "新西兰因此欢迎在第六委员会讨论这些问题，并愿就新西兰在根据历史上的《威坦哲条约》解决索赔案方面的经验发表以下评论，尤其是威坦哲法庭的作用，该法庭在推动赔偿历史上的违约行为方面发挥了关键作用。该法庭管辖权在新西兰独一无二，在全球也难与比拟。", "A. 威坦哲法庭背景", "1840年新西兰土著人毛利人同政府签署的《新西兰威坦哲条约》被视为新西兰宪法安排的创始文件之一。《条约》提供了政府与毛利人关系框架。", "但依照宪法原则，《威坦哲条约》对政府的约束仅限于在立法中颁布该条约。因此，在1975年设立威坦哲法庭之前，想要控告违反《条约》的毛利人争取补救的途径很少。", "根据1975年《威坦哲条约法》，新西兰议会设立威坦哲法庭，对调查毛利人条约索赔案的法律程序作出规定。1960年代和70年代，毛利人抗议不遵守《威坦哲条约》，该法庭是针对这一情况设立的。", "法庭调查程序有助于解决历史上的条约索赔案，从而推动调解毛利人和政府之间悬而未决的问题。法庭还调查当代条约索赔案。只能对作为《条约》缔约方的政府提出索赔。", "B. 威坦哲法庭在《条约》的索赔案解决过程中所起作用", "威坦哲法庭在《条约》下更广泛的毛利人和政府之间索赔案解决过程中发挥重要作用。索赔人可以选择与政府直接谈判(根据条约解决索赔案办公室是负责毛利人与政府通过谈判解决索赔案的政府机构)，也可以选择在进行谈判之前由法庭审理他们的索赔要求。一般而言，想要与政府直接谈判的一组索赔人必须停止积极向法庭提出索赔，尽管有例外(例如，在一份完整的报告对历史纪录很重要的情况下)。一俟商定解决《条约》下的解决办法，就由议会通过立法付诸实施。", "法庭的职能不是进行抗辩式诉讼，而是作为调查委员会，就索赔要求是否有根据提出调查结果，并概述《条约》的原则是否和如何遭到违反。这些调查结果在提交新西兰毛利人事务部长的正式报告中发表。法庭可向新西兰政府提出切实可行的建议，说明为赔偿索赔人(或多名索赔人)或消除索赔人受到的伤害或损害所能够采取的办法。法庭建议除了在某些情况下之外，不具约束力，但政府将考虑法庭的建议。为此，毛利人事务部长编写年度报告，审查政府在执行法庭建议方面的进展情况。重要的是，法庭能够就政府拥有的某些具有商业价值的资产(如森林和国有实体的财产等)提出具有约束力的建议。但政府和部落团体通常商定对这些资产的赔偿，避免需要进一步起诉。", "法庭将争取除了解决索赔案之外还带来更多价值，具体方式是积极调查，确定各当事方及其代表的身份，以澄清关键问题，尽可能解决争议要点，并向准备谈判的各方提出一项解决办法。审理程序也使索赔人有机会以列入正式记录的方式讲述自己的情况和表达冤情。因此，这一程序也被视为有助于帮助索赔人将心态从“陈冤”转向“解决”。", "C. 在威坦哲法庭提出索赔的实质", "法庭能够审查毛利个人或团体提出的任何索赔，他们可能受到政府自1840年以来有悖《威坦哲条约》原则的法规或行为、不行为、政策或做法的损害。", "索赔可是历史性的(例如，人们对过去拥有的土地提出索赔)或当代的(例如，索赔人称现政府的政策、行动或不行动违反了《条约》原则)。当代索赔是自1992年以来提出的索赔。虽然能够从1985年起提出历史索赔，但自2006年以来，必须在2008年9月1日之前向法庭提出基于历史不公正的索赔，原因有二：索赔可能在地理上重叠；法庭在进行调查时必须了解所有索赔情况(而且在通过谈判解决索赔案时，政府也须得到这一信息)。", "法庭将提出的索赔案归入不同审理过程，以便能够同时审理引起类似问题的索赔案。例如，索赔可能是“地区性”(例如，涉及特定土地或地点)或“一般性”(涉及国家重大事项，如移民政策)。", "D. 法治原则与威坦哲法庭", "法庭在工作中支持法治的核心原则，这对法庭在重要的索赔案解决过程中维持其合法性和作用至关重要。", "设立具有追溯性管辖权的特别法庭表明，政府承认有必要制订适当公布、非武断的原则办法，调查毛利人对历史上政府违反《条约》的情况所提索赔是否理由充分。", "分权。法庭是特别法庭，独立于行政机构。法庭的独立性使之能够公正、可靠地审查毛利人提出的各项索赔，从而强化了其合法性。新西兰司法部(通过威坦哲法庭股)负责提供必要支持和其他服务，使法庭能够开展工作。法庭还拥有新西兰法院所没有的管辖权：审查政府与毛利人达成的解决协议；审查立法，确保符合《威坦哲条约》的各项原则。", "参加决策。法庭法官包括毛利人和非毛利人，反映出《威坦哲条约》所固有的伙伴原则。根据自然公正原则，向索赔人和政府提供陈诉的机会。", "决策透明度。法庭的目标是通过公开、透明的程序进行调查。法庭的开庭审案对公众开放，任何人都可旁听。法庭所有开庭审案公告均发表在地方和地区报纸上。在大多数情况下，公众可以查阅索赔登记册及每项索赔调查纪录中的文件。法庭裁决最终发表在提交毛利人事务部长的正式报告中，公众可在法庭网站上查阅这些报告。", "程序的透明度和确定性。法庭诉讼程序发表在“威坦哲法庭惯例和程序指南”中。如果有必要(并且有助于诉讼程序)，法庭可不遵守该指南中概述的具体程序或惯例。", "E. 法庭是双重文化机构", "由于法庭的目的是调和毛利人与政府之间的不平，采取双重文化办法进行运作对法庭的合理性非常重要。因此，法庭由毛利人法官和非毛利人法官组成，每次开庭时必须有至少一名毛利人法官出席。如果可行，法庭会根据毛利人礼仪审查毛利人的证据和呈件。证据通常以te reo语(毛利语)提供，而且法庭予以鼓励，提供现场翻译服务。呈件也可使用te reo语。", "法庭是常设调查委员会而不是法院，这也使法庭具有相对灵活性。法庭诉讼程序偏重调查而不是抗辩，特别是法庭能够进行自己的调研。法庭的审案经常在marae(社区公共场所)进行，但也在公共大厅、学校、审判室或会议室进行。法庭既听取技术性作证，也听取tangata whenua(习惯法)作证。此外，还可调整法庭诉讼程序，以把重点放在集体或部落权利和利益上。", "阿曼", "［原件：阿拉伯文］", "阿曼政府感谢并赞赏联合国和各委员会努力在国家和国际层面宣传法治原则。阿曼政府愿借此机会申明，法治是国家首要优先事项之一。法治原则是现行立法的主要基石，对有关当局执法和有关司法机构起诉罪犯提供指导。在阿曼和所有其他国家一样，在国际上努力使法治成为阿曼与其他国家及区域和国际组织发展关系的原则之一。应指出，阿曼认为，依照《宪法》要求(《国家基本法》第75条)，作为国际法主要来源的国际文书一俟获得苏丹殿下批准，即具有法律效力。如果阿曼法律与正式批准的国际文书有冲突，则以后者为准，从而使此类文书仅次于《基本法》。", "阿曼支持一些国家呼吁普遍遵守法治并在国际和国家层面实施法治，无论是在冲突中还是在冲突后，因为法治对于实现国际社会渴望的稳定等崇高目标不可或缺，为经济增长、可持续发展、打击犯罪、消除贫穷、饥饿和疾病及减小其影响以及减小战争和武装冲突影响奠定了基础。阿曼认为，为了人人享有公正，法律面前必须人人平等。阿曼还认为，不得将法治用作政治勒索的工具，因为这肯定会造成有悖法治的后果。", "卡塔尔", "［原件：阿拉伯文］", "卡塔尔努力在联合国框架内并且通过与会员国进行双边或多边合作，在国家和国际层面促进法治。", "卡塔尔《宪法》和刑法中申明法治原则：主管法院也实施法治原则。在此方面，我们仅提请注意：", "申明法治原则的《宪法》条款", "第129条规定，法治是国家政府的基础。司法完整及法官公正和公平有助于保证各项权利和自由。", "第6条规定，国家应遵守各项国际宪章和公约，并努力执行卡塔尔成为缔约国的所有国际条约、宪章和公约。", "第34条规定，公共权利和责任面前公民一律平等。", "第35条规定，法律面前人人平等。不应有基于性别、种族、语言或宗教的歧视。", "第36条规定，应保证个人自由。不得逮捕、拘留或搜查任何人，也不得限制其居住和行动自由，除非依法行事。任何人都不遭受酷刑或有辱人格的待遇。酷刑应被视为可依法惩处的罪行。", "第39条规定，法庭在进行适当尊重个人辩护权的审判之后作出定罪，此前被告被推定无罪。", "第40条规定：应依法确定所有罪行和处罚，必须据此实施各项处罚。罪犯仅因其行为受罚。", "《刑法典》", "为执行《卡塔尔永久宪法》第40条，《刑法典》对罪行作出定义和分类，并规定了适当处罚。", "《刑事诉讼法》", "《刑事诉讼法》明确规定了刑事审判程序，保证被告权利，并向其提供一切辩护手段。根据《刑事诉讼法》，法院体制分为三级：初审法院、上诉法院和最高上诉法院。", "《刑事诉讼法》极为重视处罚问题，其中第323条规定，如果没有主管法院签发的判决书，不得对任何罪行实施法律规定的处罚或措施。", "国际司法合作", "《刑事诉讼法》第407条规定，在不损害卡塔尔现行国际文书的情况下，并在对等条件下，卡塔尔司法当局应依照该法的规定，就刑事事项与外国和国际法律当局进行合作。", "斯洛文尼亚", "[原件：英文]", "斯洛文尼亚大力支持联合国有关法治的辩论和活动，尤其支持法治协调和资源小组的工作。遵行法治是斯洛文尼亚开展国家和国际事务活动的基础。斯洛文尼亚以前曾提交一份报告给联合国，该报告已纳入秘书长的报告(A/65/318)。", "因此，本次答复侧重于法治对受冲突蹂躏社会和对过渡时期司法的重要意义。在冲突后局势的国家，各项活动遵行法治，对确保受冲突影响社会未来能和平共处，至关重要。必须确保司法程序公正不偏，对于过去严重侵犯人权的行为，要追究责任，因为只有正义才能会带来持久和平。《罗马规约》是用来起诉最严重罪行的最重要国际文书之一，斯洛文尼亚是这个规约的缔约国。斯洛文尼亚积极支持国际刑事法院的工作，并呼吁所有国家同国际刑事法院充分合作。由国际刑事法院与其他国际刑事法庭(前南问题国际法庭、卢旺达国际刑事法庭等)进行的工作证明，国际社会不会容忍严重违反国际人道主义法的行为不受惩罚的现象。斯洛文尼亚定期对这些法庭提供财政捐助，并作出额外的自愿捐款(例如提供给塞拉利昂特别法庭)。斯洛文尼亚特别重视国际罪行的受害者，是国际刑事法院受害者信托基金的10大捐助者之一，总共捐了51 500欧元。", "斯洛文尼亚深信，必须确保各级政府机构的活动实行法治，要由非政府组织加以有效监控。公共行政实行透明和公正的运作，是个别社会有效发展的基础。", "斯洛文尼亚认为，国际社会有义务按照受冲突影响社会的需要和要求，向它们提供援助。斯洛文尼亚大力支持国际组织的努力，实施援助受冲突影响社会的方案，这是朝着未来更美好世界迈出的重要一步。此外，斯洛文尼亚支持非政府组织的活动，非政府组织内有许多人努力在处于冲突后各个恢复阶段的受影响社会提供援助。斯洛文尼亚还努力通过其欧盟成员身份积极提供援助，并直接向受影响的国家提供双边援助。", "斯洛文尼亚在作出特别努力，在司法和内政领域向邻近的西巴尔干国家提供援助。", "关于实践中的欧洲联盟刑事司法工具是一个为期三年的欧盟项目，在这个项目的框架范围内，斯洛文尼亚司法部的司法教育中心与克罗地亚司法学院合作。有二十七位克罗地亚法官和检察官出席了在斯洛文尼亚举行的几个研讨会，以及由斯洛文尼亚司法教育中心在里耶卡和萨格勒布举办的两个关于欧洲司法协调机构和欧洲司法网络的讲习班。根据加入前援助工具在西巴尔干展开的保护知识产权区域项目，该中心还与欧洲专利局合作，为马其顿法官开办教育课程。斯洛文尼亚司法部和马其顿共和国签订了一个合作备忘录，其中包括司法教育的内容。2010年3月推出了斯洛文尼亚倡议的“布尔多进程”。除其他外，该倡议的目的是加强西巴尔干地区各国之间的刑事问题司法合作。", "斯洛文尼亚内政部在努力，通过实施机构间密切合作项目和双边技术援助方案，将欧盟和申根地区在移民、打击有组织犯罪和恐怖主义领域的标准转移到西巴尔干国家。由于西巴尔干国家已成为欧盟一体化进程的一部分，需要确保他们获得专业技术援助，以及技术诀窍和经验的转让。西巴尔干国家放宽签证条件进程圆满结束后，内政部和欧洲联盟委员会即开始在“布尔多进程”范围内继续在西巴尔干地区国家推动内政改革。因此，在加入欧盟的谈判开始前，这些国家将得到进行必要改革的明确指示，使每个国家的本国立法与欧盟立法达到更高层次的统一。每年将有两个评估团，其中将包括来自内政部和斯洛文尼亚警方的专家。第一个评估团预计将在2011年底执行任务。", "从更广泛的法治意义上说，斯洛文尼亚也支持向受冲突影响社会提供援助的机构的工作，特别是通过教育，确保建立安全与和平的生活环境。", "斯洛文尼亚政府、非政府组织斯洛文尼亚慈善总会和卢布尔雅那市在2002年成立了“同舟共济”基金会——儿童社会心理健康区域中心，目的是在受战争、武装冲突、恐怖袭击、自然灾害或技术事故影响的地区保护和改善儿童社会心理健康。基金会的使命是向该区域及其他地方的儿童提供更美好的未来，为和平与稳定作出贡献。基金会为此动员斯洛文尼亚和国际专家人才和物力资源。它所执行的方案正在成为公认和受欢迎的发展援助形式。基金会在东南欧、伊拉克、阿富汗、巴勒斯坦和北高加索地区实施方案。已为志愿者举办了多个国际会议、咨询会和国际训练营。基金会参与了这些国际会议和咨询会，发表了专业文章，提供了材料。它在专业刊物发表文章，并印发资料性出版物，这些文章和出版物已被翻译成外文。", "斯洛文尼亚政府于1998年3月决定成立波斯尼亚和黑塞哥维那排雷和援助地雷受害者国际信托基金，现在已整整十三年。它的主要目标是通过筹募资金，提供服务和管理排雷行动项目，协助实施《代顿协议》。随着时间的推移，该基金的活动范围已扩大到西巴尔干地区其他受地雷影响的国家，并协助在马其顿、黑山、阿尔巴尼亚和塞尔维亚圆满完成扫雷工作。在该地区的主要排雷行动项目仍在波斯尼亚和黑塞哥维那以及克罗地亚实施。在这方面，我们想指出的是，国际信托基金所促进和推动的西巴尔干地区的区域合作，已被证明是有关国家之间一个重要的建立信任措施。国际信托基金已成为排雷行动区域合作的一个英才中心。区域内各国取得好成绩鼓励人们进一步在世界其他地区开展工作。虽然巴尔干区域仍然是其工作的重点，不过国际信托基金也在其他地区开展排雷行动项目，包括在南高加索、中亚和中东。该基金自1998年成立以来，已安排在超过1亿平方米的土地上排雷，协助治疗超过1 000个地雷幸存者，在12个受地雷影响的国家支持国家和地方复原能力的发展。当然，没有国际捐助界的慷慨援助，这一切都没有可能。自1998年以来，捐助者的捐款超过3.30亿美元。美利坚合众国政府是最大的捐助国，捐助了超过1.41亿美元，斯洛文尼亚政府的捐款也超过了770万美元。", "斯洛文尼亚想特别提请注意一点。在许多局势中，国际社会提供法治领域的冲突后恢复援助，帮助设置新的法律制度。在这种情况下，国际专家进入该国，以促进社会的重建为目的，但往往这些国际专家所推荐法律的模型，都与有关国家的社会、文化和经济结构，尤其是其需要完全脱节。在这种情况下，法律没有与社会结合，法律是交与社会的，社会没有真正了解应如何实施。这可能是一个很好的短期解决方案，但长期来说，由于新法律没有得到充分理解，又与实施这些法律的社会环境脱节，这种方法通常会出问题。此外，人民群众可能要推迟到将来某个时候才有能力和权限去查明和在立法上解决社会上存在的问题，而到时国际社会已离开有关国家，后者只得自力救济。", "斯洛文尼亚将根据其能力，继续帮助国际社会努力协助受影响社会进行冲突后的恢复，特别是建立法治。", "瑞典", "[原件：英文]", "在武装冲突中，平民往往受到严重侵犯。有些时候，这些侵犯严重到被称为种族灭绝罪、危害人类罪或战争罪，犯罪者不能获得特赦，如国家法院无法或不愿意插手，国际刑事法院即可介入，以伸张正义。不过，大多数犯有侵犯罪的人都没有受到国际刑事法院起诉。他们往往逃脱一切形式的惩罚。由于缺乏政治意志，这种情况不少。原因也可能是国家司法系统不是独立的，或者是由于其他原因未能提起诉讼，无法把嫌疑犯送上法庭。犯罪者也可能获得特赦。", "有时需要作出一些决定，短期来说，可以视为以和平压倒公正，这种情况并非罕见。特赦问题就是这样一个例子。没有特赦，就可能没有和平协议。同时，也可以说为受害者伸张正义对可持续和平是重要的。毫无疑问的是，在武装冲突期间和之后往往出现有罪不罚现象，这种情况必须终止，社会才能够朝着可持续的民主方向发展。", "在冲突和冲突后局势中，瑞典都将促进司法公正。绝不能在和平与正义之间作选择——只有能满足双方面的解决方案才能与瑞典政策兼容。需要作出的选择是方法选择(国家法律、国际法律、混合法律等等)和时机选择。瑞典将：", "• 努力确保在冲突中犯下严重罪行的人被绳之以法，接受惩罚。如果因为会严重影响和平，在和解后不能立即这样做，就必须优先考虑在和平变得更加可持续的时候尽快执行。", "• 主张给予受影响国家机会，让它自己承担责任，为冲突期间罪行的受害者伸张正义，建立可行的和适当的过渡时期司法系统，两者都要完全符合国际标准，并按照赖以成立国际刑事法院的互补系统。国内司法机构应该是追究责任的一审法院。只有当国内刑事司法系统无法追究犯罪者的责任——不管是系统无能还是地方当局不愿意——国际社会才能介入。", "• 促进国际大力支持建立和加强国家司法系统，例如通过设立能够防止有关社会重新陷入冲突的过渡时期司法机制和常设司法机制。在这方面，国内民间社会组织可发挥重要作用。", "瑞典的发展政策", "瑞典近年来更加重视发展问题和冲突管理、建设和平和法治问题之间的关系。战争和武装冲突是发展和减少贫困的最大障碍。因此，瑞典国际发展合作在安全和发展方面提供支助的总体目标是促进持久和平，使发展成为可能。瑞典政府最近采取的“和平与安全促进发展”政策澄清了政府于2010-2014年针对冲突和冲突后局势推动发展合作的雄心。该政策适用于双边、区域和全球各级的举措。它也是瑞典在多边论坛的行动指南。优先采取行动的有三个重点领域：(a) 促进和平(包括法治机构，特别是过渡时期司法机构)；(b) 促进安全；(c) 和平红利。", "这项政策突出了建设和平与建国两者的重要意义，并查明冲突和冲突后国家发展合作所面临的特殊挑战。冲突之后，往往有需要，也有机会，为加强国家司法系统作出贡献。在这种情况下，建立一个司法系统，结束对严重罪行有罪不罚的局面，尤为重要。从长远来看，这样做也是为基于法治的运作正常的系统打好基础。", "对于一直被广泛侵害的社区，必须根据对主要受影响的人有广泛合法性的现有国际和国家司法问责框架，针对具体局势，建立适当机制。这些机制往往包括和解和建立信任的组成部分。这些机制在国际上称为“过渡时期司法”。", "法治行为人：瑞典国际开发合作署和福尔克·贝纳多特学院", "瑞典在法治领域进行发展合作的主要行为人是外交部下设的一个政府机构瑞典国际开发合作署。福尔克·贝纳多特学院是外交部下设的另一个政府机构，负责通过制定政策、研究、培训、以及实施该领域的项目，改进技术援助和能力建设的协调和连贯性。", "自2006年以来，公共行政中的法治是福尔克·贝纳多特学院法治课程一个显著的研究和政策领域。2008年，福尔克·贝纳多特学院发表了题为“公共行政中的法治：和平建设与发展的问题和前进方向”的报告。该报告参考了各种实地考察研究和与国际行为人进行的一系列咨询会议，总结指出，公共部门的改革很少从建设和平和管理危机的法治角度推行。这对重建工作，以及依靠行政当局遵守法律，以起码的法律确定性，透明地提供平等服务的个人和弱势群体产生不利影响。改善公共部门的法治，可保护个人的权利，推动重建、稳定与过渡，并可提高国际援助和支助的实效。在公共行政中的法治范围内，福尔克·贝纳多特学院也发起了关于危机社会的新宪法研究，特别强调对安全部队的控制。", "瑞典参与过渡时期司法和法治的举措", "瑞典广泛支持过渡时期司法和法治行为人。过渡时期司法国际中心是在过渡时期司法政策领域的一个领先的非政府国际组织。国际过渡时期司法中心在刚摆脱镇压统治或武装冲突的社会工作，以及在仍有许多遗留侵权问题没有得到解决的其他社会工作。国际过渡时期司法中心自成立以来，瑞典外交部一直提供核心支持。", "瑞典国际开发合作署一直支持许多国家的过渡时期司法进程，如危地马拉、萨尔瓦多、秘鲁、哥伦比亚、南非、卢旺达、刚果民主共和国、利比里亚、东帝汶和波斯尼亚和黑塞哥维那。这些支持包括各种各样的措施，如支持真相委员会、民间社会的过渡时期司法活动、司法机制，包括传统法/习惯法等等。^(a) 瑞典的专业人才也被借调到各真相委员会及法院服务，例如在南非。", "此外，瑞典根据共同安全与防务政策参加欧洲联盟的法治特派团及其工作，包括欧洲联盟驻阿富汗警察特派团，负责培训阿富汗国家警察，目的是协助建立可持续和有效的警务安排；欧洲联盟伊拉克综合法治特派团，通过培训高级管理和刑事调查的高中级官员，支持伊拉克的刑事司法系统；和欧洲联盟驻科索沃法治特派团，负责在法治领域监测、指导和建议科索沃当局，特别是在警务、司法和海关方面。瑞典法官、警察、政治顾问和法律专家参与了上述各特派团。", "经验教训：国家和国际过渡时期司法的作用和未来", "关于冲突和冲突后社会的法治和过渡时期司法举措，没有任何单一可行的模式。联合国已经认识到，预设解决方案是不明智的。必须考虑到国情以及与民间社会和受害者进行的全国咨询，针对具体冲突局势和要处理的罪行，确定量身定做的措施办法。其他国家的经验可以作为全国辩论和决策的出发点。然而经验证明，在制订国家和国际过渡时期司法进程时，应该考虑到下列各方面：", "(a) 过渡时期司法机制属国家领导和所有是至关重要的。一有受国际社会支配或控制的看法，就可能会影响公众接受委员会的工作，并损害其日后的形象；", "(b) 应以国家能力发展为重点。过渡时期司法是一个重要的国家过程，鉴于许多国家在冲突后人力资源薄弱，应努力在当地招聘人才；", "(c) 国家努力确保法治和良治，一反以前以侵犯人权和劣治为标志的做法，可促进和解。没有努力改变人民的物质条件的和解是不足够的；", "(d) 采用包容性/参与性办法是重要的。只专注于这个或哪个机构，或无视民间社会或被害人的做法，将不会有效。最成功的过渡时期司法经验很大部分要依靠数量多和质量高的公众和受害者咨询。进行当地咨询使人们能更好地了解过去的冲突、受害者的歧视模式和类型；", "(e) 过渡时期司法是一个昂贵的过程。不能采取不彻底的半拉子措施。应分配足够的资源，将各项举措贯彻到底，尤其是因为它们有助于巩固有关国家的和平。", "^(a) 瑞典国际开发合作署援助冲突和冲突后局势的全面概述见瑞典发展评价署下文：Sidas insatsberedning och uppföljning av stöd till rättsskipning i samband med försoningsprocesser,可查阅http://www.sadev.se/Documents/Publikationer%202010/SADEV%20Report%202010_1.pdf。", "瑞士", "[原件：英文]", "在促进和平和人类安全方面加强法治和过渡司法之间的联系一直是近年瑞士外交政策的重点。瑞士欢迎联合国秘书长2004年报告“冲突和冲突后社会过渡时期司法和法治”(S/2004/616)。", "自那时以来，瑞士参与了多项措施，以加强多边层面的过渡时期司法规范框架，并发展国家和区域一级过渡时期司法的能力和专长。", "有两个主要问题瑞士想突出说明：需要采取多边层面上的综合办法，需要制定这个领域现有规范和标准的实施战略。", "虽然范博芬制定的“赔偿原则”已由联合国大会批准，[8] 但儒瓦内/奥伦特里赫原则应同样得到联合国大会批准，以加强共同方法。", "在下面的评论中，瑞士简要介绍其在这方面的理论方法和自身活动。报告最后对该领域当前面临的一些挑战进行反思。", "A. 把结束有罪不罚局面的原则作为处理过去事件的框架[9]", "虽然没有处理过去事件的标准模式，但近几年通过联合国特别报告员和专家就赔偿、有罪不罚以及过渡时期司法最佳做法开展的工作，出现了进展。[10]", "2004年8月联合国秘书长关于法治和过渡时期司法的报告标志着这一发展进程中的一个分水岭。文件中，联合国秘书长认为，有效的过渡时期司法战略必须既覆盖全面，由具有包容性质，调动包括国家机构和非国家组织在内的所有相关行为者进行参与，以拟定“国家拥有和主导的单一战略计划”。[11] 报告进一步强调，过渡时期司法本身的操作性定义应扩大到包括“司法和非司法机制，有不同层次的国际参与(或根本没有国际参与)以及个人起诉、赔偿、真相调查、机构改革、人员审查和解雇，或兼而有之。”[12]", "最近，这些标准的具体内容有了进一步发展。2005年12月，联合国大会通过了“严重违反国际人权法和严重违反国际人道主义法行为受害人获得补救和赔偿的权利基本原则和导则”(第60/147号决议，附件)。值得注意的是，该文件概述了国家关于严重违反国际人权法和人道主义法的行为的义务，确定了“受害者”定义。一年后，大会批准了“保护所有人免遭强迫失踪国际公约”(第61/177号决议，附件)，其中规定了具有合法权益的各方，如家庭成员，获悉被强迫失踪受害者命运以及获得适当物质和精神损害赔偿的权利。此外，人权理事会过去几年在一系列决议中就获得真相的权利做出了规定，以加强这项权利，使之一项成为国际法原则。[13]", "在此背景下，瑞士决定使用“反对有罪不罚的原则”，作为处理过去事件的概念框架。", "反对有罪不罚的原则最初是由路易·儒瓦内在其1997年就有罪不罚问题向联合国防止歧视和保护少数小组委员会提交的最后报告中提出，并在2005年按照人权委员会的指示由奥伦特里赫修订。[14] “儒瓦内/奥伦特里赫”原则的重要性不仅是原则本身的拟定，而且在于其依据是国家对严重侵犯人权行为的个人受害者负有责任，而这些受害者享有获得纠正的固有权利。因此，反对有罪不罚的原则不引起新的国际或国内法律义务，而是需要确定执行国际人道主义法和国际人权法下现有法律义务的机制、方式和程序。[15]", "从规范和法律角度看，反对有罪不罚的原则提供了一个有用的框架，有助于把对过去事件的处理概念化。这些原则确定了克服有罪不罚现象工作的四个关键领域，这四个领域则为处理过去事件提供了一项全面规划：(a) 大会第60/147号决议附件所述知情权(受害人和整个社会有权了解真相；国家有责任保存记忆)；(b) 得享司法正义的权利(受害者有权获得公平有效的补救；国家有义务进行调查、起诉和应有惩罚)；(c) 获得赔偿的权利(受害人或其受益人有权获得赔偿；国家有义务提供满意解决)；(d) 保证历史不重演(受害者和社会有权不受更多侵害；国家有义务确保善政和法治)。", "B. 从整体角度处理过去事件：图解工具[16]", "在冲突后或其他暴力局势下，需求是多方面的，很难判断哪些需要最为优先。联合国秘书长的报告(S/2004/616)所确定的需求往往不是从整体角度出发，在处理这些需求时也不与任何方面和捐助者进行协调。很少事先计划持续地开展努力。此外，如国家处于脆弱状态，则过渡性措施在规划时不是从长期的法治角度出发，过渡举措成为永久性措施，取代了法治机构。", "面对这些困难，瑞士与瑞士和平基金会合作，设计了一个示意图(本文件后)，说明一些与上文提到的四项原则有关的主要机制和程序。", "该示意图从满足受害者需要的责任和追究最核心罪犯的责任出发，重点是处理过去事件的不同活动领域之间的联系，所依据的构想是，根据具体背景和情况，四个关键领域中的任何一个都可能是参与的切入点。", "示意图还力求说明处理过去事件过程的转化功能，指出它是冲突后社会长期民主化过程的一部分。在四个领域当中任何一个或更多领域取得重大进展，如成立真相调查委员会，以确保知情权，或成功改革安全部门，以保证历史不重演，都将令人满意，确保责任追究，并加强公众对国家机构的信任。", "例如，处理过去事件方面的进展将加强法治，最终有助于分裂社区之间的和解。这个过程中的一个关键因素是身份的转化。如果人们在处理过去事件的过程开始时主要把自己当作受害者或犯罪者，这会随着时间的推移逐步改变。受害者或犯罪者的身份可能仍是个人的体验，但社会和政治身份主要是建立在社会公民意识的基础上，新身份作为新社会契约的一部分，拥有公民的权利和义务。加强公民信任是过渡时期司法过程的关键目标之一。", "应该补充的是，处理过去事件的示意图也可作为一种分析工具，用以确定四个主要领域中的国际、国家和地方行为体的活动。视情况而定，对一个领域的分析，如关于知情权或得享司法正义的权利的分析，可能揭示不同层面的各种行为体，而其他领域，如获得赔偿的权利，几乎没有任何活动。因此，示意图不仅有益于评价，也是战略手段，可就处理过去事件方面的具体问题确定切入点和潜在合作伙伴。基于这种分析，可拟定处理过去事件的实际和全面的战略，在其中反映出政治背景、当地文化、所有权、排序和预算优先事项可能引起的各种情况。", "令人感兴趣的是，最近的《2011年世界发展报告：“冲突，安全与发展”》非常支持瑞士拟定的转化和综合办法。在这方面，该报告表明，这个方法不仅有益于建设和平和预防冲突，而且也为可持续发展创造有利的环境。它表明，应该支持把发展、外交、司法和安全手段结合起来的方法。", "C. 瑞士在法治和过渡时期司法领域的活动", "自2004年以来，瑞士从事了许多活动，以加强过渡时期司法的规范和法律标准，进一步发展本国机构能力和这方面的专业知识。", "1. 规范和法律标准", "联合国人权理事会。如上所述，联合国特别报告员和专家，特别是人权理事会和人权事务高级专员办事处长期进行的研究，有助于制定赔偿和反对有罪不罚领域中的基本原则，并归纳过渡时期司法的最佳做法。自2006年以来，瑞士与其他国家，特别是与阿根廷合作，经常在联合国人权理事会提出关于人权和过渡时期司法的决议，鼓励增加过渡时期司法的内容，如赔偿、真相委员会、档案和证人保护等。理事会最新决议要求人权事务高级专员办事处分析解除武装、复员和重返社会与过渡时期司法之间的关系。[17] 报告将在2011年9月公布。瑞士也协助起草了关于和平与司法的纽伦堡宣言。[18]", "处理过去事件和调解。现在人们普遍认同，和平、正义、人权和发展相互依存，相辅相成，需要按照国际人道主义法或国际刑事法等适用的国际法实现。但执行仍然是所有有关行为体的挑战。瑞士寻求弥补这一差距，倡导务实的态度。问题不在于和平进程中是否应包括过渡时期司法措施。相反，问题是如何以及何时以建设性方式将这些措施纳入进程。考虑到儒瓦内原则，这种做法应进一步发展，特别注意非司法措施。", "2. 体制能力和专业知识", "处理过去事件和防止大规模暴行特别工作组。作为加强过渡时期司法领域中期和长期机构能力的一种手段，瑞士成立了一个跨部门的处理过去事件和防止大规模暴行特别工作组，其中包括促进和平、正义和发展方面的专家，作为这些问题的国家联络点，增进政府的全盘工作方法。瑞士通过这一工作组，把重点锁定为处理过去的侵权行为与防止再次发生大规模暴行、种族灭绝罪、战争罪和反人类罪之间的联系。", "档案和处理过去事件中心。瑞士通过2011年5月成立的档案和处理过去事件中心，力求促进侵犯人权案情档案的保护。", "瑞士民间建设和平专家库。在过去几年，瑞士根据请求，越来越多地借调来自专家库的专家，到冲突和冲突后国家从事法治和过渡司法工作。请求各种各样，有的是请求借调法证专家，有的是请求为警察和海关官员提供法律顾问。此外，瑞士在我国驻一些冲突和冲突后国家的大使馆设立了建设和平顾问一职，任职者还负责处理过去事件战略，此外还设立了东欧地区处理过去事件顾问一职。", "处理过去事件课程。为确保中期能力建设，瑞士在处理过去事件中心为工作人员、瑞士专家库以及来自冲突和冲突后环境的政府机构、多边机构和民间社会组织高级专业人士开设了高级学习课程。", "司法快速反应。瑞士是司法快速反应协调小组(www.justicerapidresponse.org)成员，这是一个多边常备机制，可迅速部署受过国际调查训练的刑事司法和相关专业人员，为国家和国际机构服务。司法快速反应专家可迅速部署，以识别、收集和保存有关国际法下罪行和大规模侵犯人权罪行的最不易保存的信息，向请求提供这些信息的主管机关报告。如有要求，专家也可提出最合适的补救措施。这一举措还旨在弥补秘书长关于冲突结束后立即建设和平的报告(A/63/881-S/2009/304)和关于国际文职人员能力的后续报告(A/65/747-S/2011/85)指出的一个重要差距。", "D. 法治和过渡时期司法领域的当前挑战", "解除武装、复员和重返社会进程开始时，通常还没有制订用于处理以往或过渡时期司法的一致战略。复员士兵和战斗员提供的宝贵、关键的证词本可在之后的阶段为真相/调查委员会或法律诉讼提供帮助，但却被遗失。", "通常没有为重返社会做好准备，没有充分考虑到性别平等问题，可能因此导致重新动员的发生。大湖区和哥伦比亚的经历表明，这个问题可能会成为构成安全与和平的重大障碍。人权事务高级专员办事处将于2011年9月印发关于解除武装、复员和重返社会与过渡时期司法之间关系的分析，具有高度相关意义。", "自2004年以来，在获得司法正义的权利方面已经取得了相当大的进展。受害人获得公平、有效救济的权利也是这样，这意味着严重侵犯人权行为的受害人可以主张其权利并接受公平、有效的救济。同样，对严重侵犯人权行为的主要犯罪人提起刑事诉讼的工作也在推进：国际刑事法院已经开始相关情势的调查和案件诉讼，[19] 114个国家批准了《国际刑事法院罗马规约》，安全理事会将两项情势提交给国际刑事法院。瑞士从一开始就热诚、坚定地支持国际刑事法院。但是，该法院只能将罪魁祸首绳之以法，而且只有有限的管辖权和资源。国际刑事法院尚未得到普遍承认，在世界某些区域争取获得认可并建立公信力时很费力。鉴于存在这些局限，瑞士强调国家起诉的重要性。应当进一步强化《罗马规约》第十七条所载补充性原则，鼓励各国修改立法以便起诉灭绝种族罪、危害人类罪和战争罪这些核心罪行。", "应进一步推行普遍管辖权原则，将其作为结束有罪不罚局面的工具。各国应更加积极地运用普遍管辖权原则，《罗马规约》的缔约国尤其如此。瑞士在2011年修改了这方面的立法。[20] 许多国家也通过了相似的新法律，在扫除现存法律障碍以便根据国内法起诉国际犯罪方面取得了相当大的进展。这些障碍包括时效、大赦、引渡、一罪不二审原则、正当服从命令、本国国家元首的豁免权以及上级责任。", "虽说如此，但只有少数案件受到调查并在国内法院起诉。仅有少数国家真正为核心罪行而起诉其本国国民。即便发生诉讼，也通常是针对责任较轻的人员而非更高级别的官员。此外，多数国家的证人保护工作仍不令人满意。受害人诉诸法律的途径不足，通常缺乏与司法程序配套的赔偿和补偿措施。", "尽管混合法庭和国际法庭做了大量工作以起诉国际罪行主要犯罪人，但同时还有大量与余留事项处理机制有关的工作尚待处理，尤其是根据国际公平审理标准将未结案件移交给相关国家，保护证人和受害人以及安排档案和记录的存放地点、管理和保管工作。在将法庭记录翻译成相关国家语文、共享数据库以及将国际/混合法庭收集的资料用于审查程序和机构改革方面，也存在不足之处。", "还应处理双重标准和追究外部各方责任的问题，以加强结束有罪不罚局面的举措的公信力和合法性。", "这还不是前文提到的没有建立有关联系的唯一领域：国际司法机构的遗产通常被忽略，它们对国内司法改革计划和机构改革的支持和加强作用总体上微不足道。过渡时期国际司法机制在语言、民众接受程度、外联、对善治和法治举措的影响方面通常与相关国家的实际情况脱节，实际上确实太“过渡”了，留不下什么遗产。因此，甚至存在建立一个平行司法体系的危险，其运作标准和对司法的理解均与立足于当地体系的标准和理解不同。还存在过渡时期司法机制未能产生有效的国内司法制度的风险。从长远看，与冲突有关的犯罪可能会以有组织犯罪的形式重新出现。", "有罪不罚盛行通常导致以往暴行的犯罪人与有组织犯罪的实施者相互勾结。这可能导致非常危险且有害的局势，经常伴随着国内安全情况的严重恶化，危害可持续发展的前景。这是制订健全、稳固的过渡时期司法和法治战略的另一个原因。这些战略应当有助于强化国家主导下的体制架构，有助于一个有复原力的合法国家在国际行为体离开之后开展运作。消除危地马拉国内有罪不罚现象国际委员会是一个很好的例子，说明国际举措应如何与国内机构进行合作并协助体制改革。[21] 加强过渡时期司法机制与国内和国际机构之间在打击有组织犯罪方面的合作必不可少，至关重要。", "自2004年以来，对知情权和司法权十分重要的法医人类学也取得了进步。但是，尽管发起了许多国际倡议，[22] 但有大量人员失踪的国家通常缺乏本地能力，也未执行国际标准。瑞士签署了《保护所有人免遭强迫失踪国际公约》，支持在科索沃司法部和欧洲联盟驻科索沃法治特派团共同监督下运作的法医司在法医学领域内确定失踪人员下落等举措。", "在受害人获得赔偿的权利方面，可以改进补偿/赔偿方案与司法机制和真相委员会等其他过渡时期司法机制之间的协调。通常缺乏协商和参与机制，因此受害人觉得赔偿质量不高，没有产生本应具有的复原效果。国际移民组织的赔偿方案提供了有意思的例子，说明怎样赔偿才能提供更具有可持续性的支持。[23] 应更多思考这些补偿措施与发展合作之间的交叉，甚至是发展与优先赔偿事项之间可能存在的协同增效作用。以适当方式为赔偿方案提供资金至关重要：在一些情况下，法庭等其他过渡时期司法机制所收到的财务支持远高于受害人补偿方案。另一些情况下，前战斗员(其中包括曾犯下可怕罪行的人员)在解除武装、复员和重返社会进程中获得经济支持，而受害人却要等待多年才能收到赔偿方案提供的具体支持。这种不协调的先后次序对冲突转化进程有害，不能得到所涉人员的理解，可能还会妨碍实现过渡时期司法的整体目标。", "E. 结论和建议", "为发展法治和过渡时期司法进程的国家提供支持和建议的联合国机制", "自1990年代中期以来，法治和过渡时期司法的规范和标准已得到显著发展。但由于缺乏连贯一致的办法和协调努力，执行工作远不令人满意。寻求解答的方式必须要确保国家的主导地位。制定法治和过渡时期司法程序的国家可以从专门为发布这方面咨询意见而建立的联合国机制所提供的支持和引导中获益。", "大会核准反对有罪不罚的儒瓦内/奥伦特里赫原则", "就像赔偿原则得到大会核准那样，让大会核准打击有罪不罚的儒瓦内/奥伦特里赫原则也会有所助益。 这会对该领域内规范和标准的发展做出重要贡献。", "公民、政治、经济、社会和文化权利的相互依存", "哈吉·吉塞和路易·儒瓦内提出的第一份工作文件(E/CN.4/Sub.2/1992/18)考虑到了公民和政治权利与经济、社会和文化权利之间的相互依存关系。之后的文件(E/CN.4/Sub.2/1997/8)则主要局限于公民和政治权利。然而，全球法治和过渡时期司法的办法无法回避且必须考虑公民和政治权利与经济、社会和文化权利之间的相互依存关系。可以在今后几年中就此编写新的联合国报告，以有助于参与法治和冲突后局势过渡期司法的所有行为体、包括捐助方之间加强协作。", "受儒瓦内/奥伦特里赫原则启发制作的处理历史事件图示", "[]", "土库曼斯坦", "[原件：俄文]", "依据土库曼斯坦的彻底改革和转型计划，库尔班古力·别尔德穆哈梅多夫总统宣布，政府的一项优先任务是改进国家法律框架并让本国法律符合得到普遍认可的国际标准。更新土库曼斯坦相关立法的进程目前正在进展之中。", "为改善立法、监督国家立法框架并在土库曼斯坦国内法中纳入得到普遍认可的国际法标准，土库曼斯坦设立了特别委员会，通过该委员会的系统性努力，正积极把国家立法更新进程纳入改革国家法律体系的运动。", "此外，国家元首专门下令成立一个部门间委员会，以确保土库曼斯坦遵守其在人权领域内的国际承诺。该委员会正在努力协调各部门在遵循国际人权义务方面的工作，起草关于将国际标准和联合国条约机构的各项建议纳入国内法的建议。", "土库曼斯坦的制定法由一个精心设立的通过法律支持和保护《联合国宪章》及《世界人权宣言》所载人权和公民权的制度构成。", "土库曼斯坦批准了120多部国际文书，其中约40部与人权有关。", "目前，土库曼斯坦已经加入的国际文书清单中增加了下列条约：《反对在体育运动中使用兴奋剂国际公约》(2010年9月25日)、国际劳工组织(劳工组织)《禁止和立即行动消除最恶劣形式的童工劳动公约》（即劳工组织第182号公约）(2010年9月25日)、《残疾人权利公约任择议定书》(2010年9月25日)和世界卫生组织《烟草控制框架公约》(2011年3月26日)。", "土库曼斯坦正在履行其义务，将上述文书的基本原则和规定纳入国内法并严格监督执行。政府和公众始终将注意力集中在人权领域。", "2008年9月26日通过了新版《土库曼斯坦宪法》，其中载有各项国际人权条约和宣言中几乎所有的基本规定，包括与法治有关的规定。这可以证明政府坚守土库曼斯坦国际人权义务、全面保护人权的政策得到实施。", "1998年，土库曼斯坦通过了《政府主管部门、自愿社团、地方主管部门和公务人员违反公民宪法权和自由的行为(法院申诉)法》,该法为公民针对政府主管部门、自愿社团、地方主管部门和公务人员侵犯其宪法权利和自由的行为或决定向法院提起申诉的程序提供了法律依据，也规定了法院审理此类申诉的程序。 1999年1月14日，土库曼斯坦通过了《公民申诉(及其审议程序)法》，该法规定了土库曼斯坦公民针对国家、公共和其他主管部门、企业、组织和机构(无论是那种所有权形式)行使申诉权的各项安排，并规定了审议所涉公众提出的申诉的程序。 负责审议所涉公众针对法律执行机关活动提出申诉的国家委员会是一个常设机构，继续开展确保保护个人权利和自由的工作。", "近年来，作为正在进行的法律改革进程的一部分，土库曼斯坦通过了一些保护人权的法令文书。这些文书包括土库曼斯坦的下列法律：《法院法》（2009年8月15日）、《土库曼斯坦检察部门法》(2009年8月15日)、《土库曼斯坦公设辩护系统和公设辩护工作法》(2010年5月10日)、《刑事诉讼法》(2009年4月18日)、《土库曼斯坦劳动法》(2009年4月18日)、《土库曼斯坦刑法》(2010年5月10日)、《土库曼斯坦强制执行法》(2011年3月26日)和《外国人在土库曼斯坦法律地位法》(2011年3月26日)。", "根据《土库曼斯坦法院法》，土库曼斯坦公民有权获得司法保护，以对抗国家主管部门、自愿社团和公务人员的不法行为，荣誉和尊严不受冒犯，免遭对其生命和健康以及对《土库曼斯坦宪法》所载个人权利、政治权利、人权和公民权及自由的侵犯。对保护公民权利及合法利益的程序作任何更改，只能以土库曼斯坦法律为之。", "土库曼斯坦境内的外国公民和无国籍人享有的受法院保护的权利与土库曼斯坦公民根据本国法律和国际条约所享有的权利相同。关于外国人的新法律，即《外国人在土库曼斯坦法律地位法》更进一步将外国公民的权利扩展到在法院以及通过其他方式保护其利益方面。", "《土库曼斯坦检察部门法》第7条规定，检察人员履行职责时应确保遵守国家保证的人权、公民权利和自由，而不论族裔、种族、性别、出身、财富和官方职位、居住地、语言、宗教信仰、政治信念或党派。", "公民在权利和自由受到限制时，有权得到解释和信息，调查结束时有权了解与案件有关的材料。公民如认为自身权利、自由和合法利益受到检察人员行为的侵犯，有权向上级检察部门官员提出上诉。", "《土库曼斯坦宪法》保证，人人有权在法律程序的任何阶段得到合格律师的援助(第108条)。", "《土库曼斯坦公设辩护系统和公设辩护工作法》规定，公设辩护系统为专业律师协会，秉持自律原则，以促进公设辩护为宗旨，发挥民间社会法律机构的作用，并独立于国家执行和行政机构系统之外。国家致力于为全体公民提供必要的专业法律援助，保证土库曼斯坦境内所有个人和法律实体享有获得法律援助、关于援助性质与获得方式的信息以及免费法律援助的平等权利，并确保保护土库曼斯坦法律所规定案件中某些个人的权利。", "土库曼斯坦通过了新的《刑事执行法》，对本国监狱系统的法律事务进行管理，成为土库曼斯坦社会政治进步的一个重要里程碑。土库曼斯坦《刑事执行法》的基础是普世原则，如适当程序(法治)、人道主义、民主、被定罪者在法律面前的平等、量刑时区别对待和考虑个人情况、维护被剥夺自由者享有人道待遇的权利、尊重其固有的人的尊严等。", "《刑事执行法》有一章专门述及少年犯服刑的具体方面，适当考虑其年龄、心理和情感发展及其他特殊情况，并规定增加少年犯与外界的接触机会、以有利于他们进行改造和重新融入社会。", "《刑事执行法》还规定，被定罪者在刑满释放后应得到援助。", "土库曼斯坦已经批准多项基本国际人权文书，严格履行根据这些文书作出的国际承诺，并正在继续改革国家人权保护制度，全面和坚定地履行对国际社会承担的义务。", "目前，土库曼斯坦继续与国际组织积极开展富有成果的合作，坚定地履行各项国际义务。", "土库曼斯坦政府和联合国驻本国机构进行合作，进入了2010-2015年期间联合国发展援助框架的新阶段。合作领域包括经济和社会政策、法律部门和环境保护。已把加强民主与法治、促进人类发展以实现千年发展目标、推动可持续发展、加强和平与安全的前瞻性项目确定为最优先领域。", "目前，土库曼斯坦政府、欧洲联盟、联合国人权事务高级专员办事处和联合国开发计划署正在开展加强土库曼斯坦促进和保护人权国家能力联合项目(2009-2012年)，以期进一步加强人权对话，促进民主进程，推动及时编写国家报告。", "土库曼斯坦成立了一个跨机构委员会，以确保遵守本国在人权领域作出的国际承诺，该委员会迄今已根据经正式批准的时间表编写并向联合国条约机构提交了数份国家报告，说明土库曼斯坦执行《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约》、《消除对妇女一切形式歧视公约》、《消除一切形式种族歧视公约》的情况。", "土库曼斯坦正在大力推进国家元首提出的根本改革政策，这些政策正在推动本国法律现行制度以及公共、社会、经济和社会生活各领域的持续积极发展。", "大不列颠及北爱尔兰联合王国", "[原件：英文]", "法治是联合王国不成文宪法和外交政策的核心。我们认为，建设法治是国际关系和发展的一项重大原则。在国际方面，尊重法治是预防冲突和解决冲突的必备条件。在国家方面，重建和加强法治及相关机构是帮助创造和保持冲突后社会开展和平建设等活动的必要条件的关键。尊重法治和产权、包容所有人的经济权能以及适宜的政策和监管框架是实现公平、有效发展的必要条件。但是，国际法治和国家法治有很大不同，各有不同的目标和不同的行为体。", "联合王国认为，各国必须通过和平手段解决争端。但是，和平的解决手段应由当事各方商定，可能既包括司法手段，也包括非司法手段(如调停)。在国际方面，司法手段依然是和平解决争端、促进法制机制的一个重要组成部分。", "国际法院是国际机制中的最高机关，对和平解决争端和国际法的发展做出了深远的贡献。联合王国高兴地看到，近年来各国利用国际法院的情况不断增加。许多案件是因为当事方之间的具体条约或协定而诉诸国际法院。但是，成员国可以选择根据《国际法院规约》第36⑵条的规定接受国际法院的强制管辖。联合王国是安全理事会中接受国际法院普遍管辖的唯一常任理事国。我们呼吁联合国中尚未接受国际法院普遍管辖的其他会员国积极考虑采取类似步骤。", "联合王国并在各种国际刑事法院和法庭的核心工作方面发挥独特的作用，不论是作为《国际刑事法院罗马规约》的缔约国，作为安理会成员在处理有关前南问题国际法庭和卢旺达问题国际法庭的问题时，还是作为黎巴嫩问题特别法庭、塞拉利昂问题特别法庭、柬埔寨法院特别法庭的主要捐款国和管理委员会成员，都是如此。我们致力于确保这些法院和法庭得到安全理事会的全面支持，使其作为卓有成效和高效率的国际司法工具履行职责。", "联合王国在确保尽可能结束有罪不罚局面方面发挥主导作用。长期以来，我们主张改进作为打击恐怖分子和其他破坏国际司法标准者重要工具的列名和除名程序，我们高兴地看到制裁制度最近得到了改进。面对国民成为本国政府攻击对象而日益恶化的利比亚局势，联合王国积极参加安全理事会第1900(2011)号决议的起草工作，并把利比亚局势提交国际刑事法院审理。", "联合王国认为，过渡时期司法是民主转型社会采用的一整套机制。这一进程通常发生在(国家或国际)武装冲突或长期独裁侵犯人权和/或违反国际法或人道主义法之后。过渡时期司法旨在实现正义，并通过结束有罪不罚局面实现和解。可以采用司法机制或非司法机制，也可综合采用这两种机制，推动政治改革进程。", "最常见的过渡时期司法机制有：", "(a) 司法(国家司法机制和非传统司法机制)。采用的机制类型既有本国刑事审判——通过“普通”刑事司法制度或通过建立专门的分庭或法院调查起诉大规模暴行，也有混合型法庭和国际刑事法庭；", "(b) 真相(真相委员会、调查委员会和/或历史记忆委员会)。通常由(国家或国际)真相委员会、(地方、国家或国际)调查委员会和/或历史记忆小组开展工作。一些真相机制，如南非真相与和解委员会内的侵犯人权问题委员会，还具有对侵犯人权事件进行调查的重大权力；", "(c) 赔偿。可在国家或国际一级提供赔偿。可由法院通过民事或刑事诉讼命令提供赔偿，也可采取国家行政赔偿方案的形式；", "(d) 体制改革。指参与司法工作的警察和司法机构的改革以及包括国家宪法改革在内的法律改革。这一进程可能包括审查和筛查，根据其过去参与压制或腐败的程度对某些个人的廉正程度进行评估。这些程序的目标是把没有能力和缺乏道德的官员清除出公共机构。", "上述所有进程必须按照国际法的规定进行。", "过渡时期司法，不论通过国际援助还是通过国内资源加以支持，其实效在一定程度上都取决于诸多因素，如合法性和当地自主权、政府承诺、民间社会参与、对外联系、能力建设、适当时机以及各种机制的综合利用。", "联合王国认为，把过渡时期司法看作一个复杂和持续的变革进程是十分有益的。一般而言，冲突或压制时代不会在某个具体日子或以某个具体事件而结束。一个国家进入过渡时期的标志是，暴行不再发生，并进行了严肃的努力来处理大规模暴行的遗留问题，实现和平和走向未来。冲突期间也可能开展过渡时期司法进程。虽然这可能会使受害者的需求和苦难公之于众并迫使暴力责任者进入真正的和平进程，但民主化的收效不会太大。过渡时期的司法措施如经过长期发展并主要由国家自主，往往会加强国家的政治稳定。", "联合王国认为，同样重要的是，既应注重根据具体的冲突后局势和当地的意向提供不同搭配的过渡时期司法机制(如审判、大赦或真相委员会)，又必须确保任何这样的搭配不导致作用的相互重叠或矛盾。塞拉利昂的情况就是这样，一些犯罪者当时没有向真相与和解委员会坦陈实情，因为担心会被同时开展工作的塞拉利昂问题特别法庭起诉。", "联合王国鼓励国际支持的过渡时期司法机制让地方进行协商和参与，以确保所选机制符合当地的文化和具体情况。广泛和透明的地方协商有助于培育自主感和参与感，应能降低冲突再度爆发的风险。", "在国家一级，政府承诺并实行结构变革对于实现可持续和平和建设法治文化具有关键作用。但是，冲突社会产生的政府往往没有在良性的人权环境中工作的记录或经验。在这种情况下，为确保任何过渡时期司法机制取得成功，民间社会的作用都变得更加重要。联合王国认为，国际社会的工作伙伴不应局限于冲突后政府，也应包括民间社会，民间社会往往最了解本土文化和当地情况，因而能够确定最具有针对性的目标和项目设计。民间社会也处于最有利的地位，能够协助解决数据收集、公共协商、监督补救活动和受害者援助等问题。", "偏远农村地区群体、妇女和儿童既是受冲突影响最严重的受害者，也往往是国际社会最难接触到的群体。过渡时期司法机制要为上述群体提供某种补救，需要采取创新和适当的外联方法，而这种方法也许最好由民间社会加以执行。过渡时期司法机制要发挥持久作用，就必须做到对所有受害者公开和透明。", "把重建国家法治作为冲突后国家的一项重要工作具有重大意义。在理想的情况下，过渡时期司法机制应能促进国家法治。在过渡时期，普通的国家体制可能无法满足司法需求。这可能是因为，司法制度在冲突期间遭到浩劫，需要进行改革才能确保司法制度以公正、独立的方法进行运作。还可能因为，国家机制难以应对大量严重的犯罪和众多的受害者，卢旺达的情况就是如此。也可能缺乏对这种罪行进行调查和起诉的政治意愿，这将造成司法努力不足，而不会真正实现司法正义。作为加强国内司法能力和经验的手段，联合王国提供各种支持，例如对本国律师进行培训，以在种族灭绝审判中取代外来律师，或者通过引进犯罪嫌疑人享有得到自由公正审判和监狱关押人道待遇权利的概念，帮助建立起一种人权文化。", "在增进国家法治这一领域，国际社会的能力依然薄弱。应执行2009年秘书长关于冲突结束后立即建设和平的报告(A/63/881-S/2009/304)的各项建议，这是确保以更加有效、更加一致的国际做法开展建设和平工作的关键。我们需要在诸如法治这样的领域取得实实在在的改进。这需要提供更可预见的支助，在联合国与其他行为体之间进行更有效的协调。我们应让捐助者和东道国在一起努力，确保捐助机构为支持国家当局而进行战略协调。在这方面，进行民间社会能力调查十分重要，因为我们需要分清联合国各部门的作用与职责，需要确保编制综合规划。在不久的将来，联合国和国际社会将在南苏丹、刚果民主共和国和科特迪瓦等国面临这一领域中的严峻现实，联合王国认为国际社会必须着手进行规划，以便尽早以协调和有效的方式加以应对。", "联合王国认为，法治协调和资源小组以及法治股可以在促进国家法治方面发挥重要作用。我们不主张试图创建新的结构和机制，而是主张加强和建设在副秘书长强有力领导下的现有结构。犹如一个庞大复杂的机器，国际社会拥有正在这个领域运转的多个部件。联合王国认为，设计和制造更多的部件不能解决问题。我们更希望与联合国共同努力，让联合国系统中这些早已存在的部件的运转发挥出更大效力。", "[1] ^(*) A/66/150。", "[2] 第RC/Res.1号决议，审查会议于2010年6月8日通过。", "[3] Open Society Foundations and UNDP，The Socioeconomic Impact of Pretrial Detention，2011(载于www.soros.org)。", "[4] 见www.unrol.org/files/FINAL%20National%20Perspectives%20Report.pdf。", "[5] 见A/63/226，第76-78段和A/64/298，第97段。", "[6] 特派团的目的是协调阿富汗和国际社会的努力，确保阿富汗人民生活在一个基于法治、善治、人权和可持续经济和社会发展的社会中，享有和平、安保与安全。", "[7] 捷克共和国警察派出了5名警察，一年轮换一次，担任培训人员，与当地警察职位申请人分享作为警察的经验。", "[8] 见大会第60/147号决议、特奥·范博芬提交的报告(E/CN.4/Sub.2/1993/8，E/CN.4/Sub.2/ 1996/17，E/CN.4/1997/104)及Cherif Bassiouni关于赔偿问题的报告(E/CN.4/2000/62)。", "[9] 瑞士更多使用“处理过去事件”，而不是“过渡时期司法”，因为过渡时期司法常常只限于司法机制，而处理过去事件是个长期过程，不限于过渡时期。", "[10] 见特奥·范博芬提交的报告(E/CN.4/Sub.2/1993/8，E/CN.4/Sub.2/1996/17，E/CN.4/1997/　104)、Cherif Bassiouni关于赔偿问题的报告(E/CN.4/2000/62)。关于过渡时期司法最佳做法，见人权与过渡时期司法分析研究报告(A/HRC/12/18和A/HRC/12/18/Add.1),2009年人权高专办编写。关于有罪不罚的报告，见下文脚注g。", "[11] S/2004/616，第23段。", "[12] 同上，第8段。", "[13] 2006年和2007年,理事会欢迎人权事务高级专员办事处关于知情权作为法律标准和手段的两份研究报告(E/CN.4/2006/91和A/HRC/5/7)。2009年,更具体调查了档案和保护证人在实现知情权方面的作用(A/HRC/12/19)。", "[14] 分别为E/CN.4/Sub.2/1997/20/Rev.1和(E/CN.4/2005/102/Add.1)，奥伦特里赫修订版的重点是确定结束有罪不罚局面的最佳做法，原则本身没有重大改变。", "[15] 另见“基本原则和准则”的序言。", "[16] 瑞士绘制的处理过去事件示意图载于本文件最后。关于瑞士处理过去事件的方法和示意图的使用情况的更详细说明，见：Jonathan Sisson，“A coneptual framework for dealing with the past”，载于Mô Bleeker(ed.).Dealing with the Past，Politorbis，No.3，2010年，11-15页。", "[17] 见A/HRC/12/50,第一章，第12/11号决议，第21段。", "[18] www.peace-justice-conference.info/declaration.asp。", "[19] 国际刑事法院正在调查6项情势，并已正式开始审理12个案件。", "[20] 执行《罗马规约》的法律自2011年1月起生效，修改了瑞士刑法典中关于灭绝种族罪、战争罪和反人类罪的规定。新法律的法文本可见于http://www.admin.ch/ch/f/as/2010/4963.　pdf。", "[21] 见http://cicig.org/index.php?page=home-page。又见：Andrew Hudson和Alexandra W.　Taylor，“The International Commission against Impunity in Guatemal a new model for international criminal justice mechanisms”，Journal of International Criminal Justice，Vol.8，No.1，p.53-74。", "[22] 例如，失踪人员问题国际委员会：http://www.ic-mp.org/about-icmp/。", "[23] 见http://www.iom.int/jahia/Jahia/about-iom/organizational-structure/reparation- programmes/lang/en;jsessionid=2E0C3F182BB9A9F4E358BFD195849E04.worker02。" ]

[ "Sixty-sixth session", "Item 83 of the provisional agenda*", "* A/66/150.", "The rule of law at the national and international levels", "Strengthening and coordinating United Nations rule of law activities", "Report of the Secretary-General", "Summary This is the third annual report of the Secretary-General onstrengthening and coordinating United Nations rule of law activities,an ongoing and critical process for the Organization. It is submittedpursuant to General Assembly resolution 65/32. The Rule of Law Coordination and Resource Group, chaired by theDeputy Secretary-General and supported by the Rule of Law Unit,continues to drive the Organization towards more strategic andeffective rule of law assistance by ensuring greater overall quality,coordination and coherence of United Nations engagement. \nThe report illustrates key achievements and challenges instrengthening the rule of law at the national and internationallevels over the past year. It highlights continuing progress towardsa more comprehensive and coordinated United Nations approach insupport of national priorities and plans and identifies next steps.", "Contents", "Page\nI.Introduction 3II. Fostering 4 the rule of law at the international \nlevel A. Codification, 4 development, promotion and implementation of an international framework of norms and \nstandards B. International 5 and hybrid courts and \ntribunals C.Non-judicial 6 \nmechanisms III. United 7 Nations approach to the rule of law at the national \nlevel A. Framework 8 for strengthening the rule of \n law B.Addressing 12 critical challenges in conflict and post-conflict \nsocieties IV.Overall 15 coordination and \ncoherence A. Providing 15 guidance and implementing the joint strategic \n plan B.Reaching 16 out \nsystem-wide C. Strategic 16 and joint engagement at the country \nlevel D. Measuring 18 effectiveness and evaluating \nimpact E. Strengthening 18 the rule of law in the \nOrganization F. Expanding 19 \npartnerships V.Cultivating 20 a just, secure and peaceful world governed by the rule of \n law \nAnnex \nViewsexpressedbyMemberStates 22", "I. Introduction", "1. Profound political changes have occurred in the Middle East and North Africa in response to popular calls for greater accountability, transparency and the rule of law. This throws into sharp relief the importance of United Nations engagement in an ongoing process to promote the rule of law at the national and international levels. The present report provides an opportunity to track progress made towards the realization of this broad and ambitious agenda and to reflect on the current challenges. It builds on the landmarks reached in this process so far: the Millennium Declaration (General Assembly resolution 55/2); the report of the Secretary-General on the rule of law and transitional justice in conflict and post-conflict societies (S/2004/616); the 2005 World Summit Outcome (see General Assembly resolution 60/1); the report of the Secretary-General on enhancing United Nations support for the rule of law (A/61/636-S/2006/980 and Corr.1) and the establishment of new system-wide arrangements consisting of the Rule of Law Coordination and Resource Group, supported by the Rule of Law Unit of the Executive Office of the Secretary-General, and a system of non-exclusive lead entities for various rule of law subsectors; the inventory of United Nations rule of law activities (A/63/64); the report of the Secretary-General on strengthening and coordinating United Nations rule of law activities (A/63/226); and the first and second annual reports of the Secretary-General on the subject (A/64/298 and A/65/318).", "2. The United Nations is providing rule of law assistance in over 150 Member States spanning every region of the world. These activities take place in all contexts, including development, fragility, conflict and peacebuilding. Three or more United Nations entities engage in rule of law activities in at least 70 countries and five or more entities in over 35 countries. Evidence supports the trend towards more joint and comprehensive initiatives by key operational rule of law entities, particularly in conflict and post-conflict settings, where there are 17 peace operations with rule of law mandates.", "3. The Rule of Law Coordination and Resource Group, chaired by the Deputy Secretary-General and supported by the Rule of Law Unit, continues to make progress in system-wide strategic coordination and coherence of the Organization’s engagement. Advances have been made in streamlining policy and guidance, supporting coherent action in countries and expanding partnerships with a view to placing national perspectives at the centre of rule of law assistance.", "4. Yet, the United Nations continues to face challenges in providing effective rule of law assistance. They include the need to foster the political will and leadership necessary to make rule of law a national priority and advance reform efforts, and the lack of overall coordination among relevant national and international actors. It is necessary to meet these challenges in order to close the gap between international norms and standards and their effective implementation at the national level.", "5. The present report is submitted pursuant to General Assembly resolution 65/32, in which the Assembly requested the Secretary-General to submit his annual report on United Nations rule of law activities, in particular the work of the Group and the Unit, with special regard to improving the coordination, coherence and effectiveness of those activities. Annexed to the report are the views provided to the Secretary-General by Member States on the rule of law and transitional justice in conflict and post-conflict situations. Given the breadth of this subtopic, relevant information is provided throughout the report in accordance with the resolution.", "II. Fostering the rule of law at the international level", "A. Codification, development, promotion and implementation of an international framework of norms and standards", "6. Rule of law at the international level is the very foundation of the Charter of the United Nations. In pursuit of this ideal, the Organization aims to establish conditions under which justice and the obligations arising from treaties and other sources of international law are respected. In May 2011, the Secretary-General issued a guidance note on the United Nations approach to rule of law assistance at the international level. The note provides the guiding principles and framework for the promotion of the rule of law in the relations between States, between States and international organizations and between international organizations. The note identifies the major legal instruments that guide the Organization’s action. It describes how their principles operate in specific areas of rule of law assistance at the international level. The note establishes that the engagement of the United Nations in fostering the rule of law at the international level is rooted in the recognition that an effective multilateral system in accordance with international law is essential to addressing the challenges and threats confronting our world.", "7. Addressing statelessness is a fundamental and integral part of United Nations efforts to strengthen the rule of law. An estimated 12 million people worldwide are stateless. The possession of nationality is essential to full participation in society and the enjoyment of fundamental human rights. Too few States are parties to the 1961 Convention on the Reduction of Statelessness and the 1954 Convention relating to the Status of Stateless Persons, the key legal instruments in the protection of stateless persons and the prevention and reduction of statelessness. On the occasion of the fiftieth anniversary of the 1961 Convention, the Office of the United Nations High Commissioner for Refugees (UNHCR), entrusted by the General Assembly with a mandate for the identification, prevention and reduction of statelessness and protection of stateless persons, has redoubled efforts to promote accession to and implementation of the two key statelessness conventions. The 2011 United Nations treaty event, organized by the Office for Legal Affairs, provides Member States with an opportunity to ratify or accede to these conventions. To give focus to the Organization’s support to Member States in preventing and reducing statelessness, the Secretary-General issued a guidance note on the United Nations and statelessness in June 2011. The note emphasizes that the acquisition of nationality is the primary solution to statelessness and encourages States to guarantee gender equality in nationality laws and their implementation to prevent statelessness. Effectively addressing statelessness is also essential to conflict prevention efforts and supports social and economic development, but requires increased efforts by all stakeholders, including States, the United Nations system and affected communities.", "8. During the reporting period, the United Nations continued to assist in the development and implementation of international norms and standards related to the rule of law. New standards were developed in the area of criminal justice, including the updated Model Strategies and Practical Measures on the Elimination of Violence against Women in the Field of Crime Prevention and Criminal Justice (General Assembly resolution 65/228, annex) and the United Nations Rules for the Treatment of Women Prisoners and Non-custodial Measures for Women Offenders (the Bangkok Rules) (resolution 229, annex). The General Assembly held a high-level meeting marking the tenth anniversary of the United Nations Convention against Transnational Organized Crime and a special treaty-signing event, resulting in new ratifications, accessions or acceptances: eight for the Convention, nine for the trafficking in persons protocol, six for the smuggling of migrants protocol and nine for the trafficking in firearms protocol. Further to a pilot, the Conference of the Parties to the Convention created an open-ended intergovernmental working group on possible mechanisms to review implementation of the Convention and its Protocols. Any future review mechanism should enable participating countries to exchange expertise and best practices in the use of the Convention and help identify technical assistance needs to ensure that assistance programmes are better targeted.", "9. In the field of disarmament, highlights include the successful Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons, hosted by the United Nations in May 2010. It resulted in the adoption of a 64-point action plan for implementing the treaty and mandated the Secretary-General to organize a conference in 2012 on establishing a zone free of weapons of mass destruction in the Middle East. Other highlights include the entry into force, on 1 August 2010, of the Convention on Cluster Munitions, which is critical to countering the widespread suffering such weapons cause to civilians, including children. The Secretary-General also convened a high-level meeting in September 2010 to revitalize the work of the Conference on Disarmament, the world’s single multilateral disarmament negotiating forum, which has remained inactive during the last 12 years.", "10. In the field of international investment and free trade agreements, the United Nations Commission on International Trade Law (UNCITRAL) is developing a legal standard on transparency in treaty-based investor-State dispute resolution.", "B. International and hybrid courts and tribunals", "11. The International Court of Justice continued to contribute to rule of law at the international level, receiving new cases. Currently, 14 contentious cases and one request for an advisory opinion are pending. In July 2011, the Court delivered an order for provisional measures pursuant to the Request for Interpretation of the Judgment of 15 June 1962 in the case concerning the Temple of Preah Vihear (Cambodia v. Thailand). This case illustrates the role the Court plays in peacefully solving legal disputes that underlie tensions between States. Initiatives by the Office of Legal Affairs to strengthen the role of the Court included encouraging States to make declarations recognizing the Court’s compulsory jurisdiction at the 2010 and 2011 annual treaty events and a seminar on the Court’s contentious jurisdiction which brought legal advisers of foreign ministries together with the President and other members of the Court in New York.", "12. The arrests of Ratko Mladić and Goran Hadžić are milestones in the history of the International Tribunal for the Former Yugoslavia. At the International Criminal Tribunal for Rwanda, however, nine accused remain at large. The Tribunals progressed in their completion strategies, which include outreach to national judiciaries, for example through the War Crimes Justice Project jointly undertaken by the International Tribunal for the Former Yugoslavia, the Organization for Security and Cooperation in Europe and the United Nations Interregional Crime and Justice Research Institute. A residual mechanism was established by the Security Council in resolution 1966 (2010), with branches in Arusha for Rwanda and The Hague for the former Yugoslavia, opening on 1 July 2012 and 1 July 2013 respectively. It will continue the jurisdiction and essential residual functions of both tribunals, including the trial of fugitives, ongoing witness protection, monitoring the enforcement of prison sentences and archive management. Similarly, the Residual Special Court for Sierra Leone, established by an agreement between the United Nations and the Government of Sierra Leone, will carry out the residual functions of the Special Court for Sierra Leone after the Charles Taylor case is concluded.", "13. The Extraordinary Chambers in the Courts of Cambodia allows victims a robust, substantive role. An independent study showed that a majority of victims who participated in proceedings appeared satisfied with the court and the Duch verdict of July 2010. The second trial involving the top four surviving leaders of the Khmer Rouge, Nuon Chea, Ieng Sary, Khieu Samphan and Ieng Thirith, is ongoing. The Special Tribunal for Lebanon, the most recently created United Nations-supported tribunal, transmitted an indictment and accompanying arrest warrants regarding the 2005 killing of former Prime Minister Hariri and others to the Lebanese authorities on 30 June 2011. This is an important step towards fulfilling the Tribunal’s unique mandate of trying terrorist offences, defined as a threat to international peace and security.", "14. The International Criminal Court, the first permanent international criminal tribunal, now has 116 States parties. The United Nations remains committed to the Court and continued to cooperate by providing logistical support for the Court’s field operations and submitting documents to the Prosecutor and defence counsel. The Court completed its first trial in the Lubanga case; a verdict is expected by late 2011. Following a referral by the Security Council of the situation in the Libyan Arab Jamahiriya pursuant to resolution 1970 (2011), the Prosecutor opened an investigation and the Court issued arrest warrants against Muammar Al-Qadhafi, his son Saif Al-Islam Al-Qadhafi and Abdullah Al-Senussi for crimes against humanity. The Prosecutor also sought authorization to commence an investigation, further to the request of President Alassane Ouattara, into serious crimes committed following the elections in Côte d’Ivoire in November 2010. Cooperation of States in relation to the implementation of the Court’s arrest warrants remains problematic: of the 26 individuals subject to arrest warrants or summonses, 10 remain at large. In the year ahead, the Court will undergo change with the election of a third of its 18 judges and a new Prosecutor.", "C. Non-judicial mechanisms", "15. The dispatch of credible, independent, accountability-focused and publicly reporting international commissions of inquiry or fact-finding missions is an important catalyst in the efforts to combat impunity. They have been instrumental in highlighting violations suffered by women and children, for example by establishing the perpetration of sexual and gender-based violence crimes during conflict, which are often underreported and excluded from measures for justice and redress. In June 2011, the Human Rights Council received the reports of the international commissions of inquiry on the Libyan Arab Jamahiriya (A/HRC/17/44) and Côte d’Ivoire (A/HRC/17/48). To ensure adequate focus on sexual and gender-based violence, the United Nations seconded an expert to the latter commission. In April 2011, the Secretary-General’s Panel of Experts on accountability in Sri Lanka concluded that there were credible allegations of a wide range of serious violations of international law committed by both the Government forces and Tamil Tigers in the final stages of the conflict. In April 2011, the Human Rights Council requested the Office of the United Nations High Commissioner for Human Rights (OHCHR) to dispatch urgently a mission to the Syrian Arab Republic to investigate all alleged violations of international human rights law and to establish the facts and circumstances of such violations and of the crimes perpetrated (resolution S/16-1). More efforts should be made to ensure that these commissions can gather the necessary information in a timely manner and that their recommendations are followed up on.", "16. Non-judicial mechanisms promoting compliance with international norms and standards include the monitoring and reporting mechanism on grave violations against children in situations of armed conflict pursuant to Security Council resolution 1612 (2005), implemented in 13 conflict-affected countries in 2010. This focused international pressure has resulted, inter alia, in the release of 2,973 minors from Maoist cantonments in Nepal and the reunification of 568 children, including 201 girls, with their families in Sri Lanka. Following this model, the Security Council, in its resolution 1960 (2010), requested the Secretary-General to establish monitoring, analysis and reporting arrangements as part of the United Nations response to conflict-related sexual violence. This should allow for listing and de‑listing of parties credibly suspected of committing sexual violence and will facilitate commitments by parties to a conflict to prevent and address such violations.", "17. Mapping exercises have also proven useful in establishing a record of violations and helping States to meet their investigatory and prosecutorial obligations, as illustrated by the OHCHR mapping exercise which documented the most serious violations of human rights and international humanitarian law committed in the Democratic Republic of the Congo between March 1993 and June 2003. The report on the mapping exercise formulated options for appropriate transitional justice mechanisms, recently followed by the Government’s announcement on the creation of specialized chambers and the preparation of a draft law for consideration by Parliament.", "III. United Nations approach to the rule of law at the national level", "18. The United Nations approach to strengthening the rule of law involves, inter alia, strengthening national ownership of reform initiatives, providing support to national reform constituencies, developing strategic approaches aligned with in-country assessments and coordinating activities with key stakeholders including civil society (see A/63/226, paras. 17-21). The Organization’s framework for engagement in the rule of law sector comprises constitution-making, law reform, electoral assistance and guarantees, capacity-building of justice and security institutions, transitional justice processes and mechanisms and engagement with civil society.", "A. Framework for strengthening the rule of law", "1. Constitution-making", "19. Constitutions or their equivalent are the foundation for a State based on the rule of law. If properly designed and inclusive, the process of developing a constitution can play an important role in peaceful political transitions and post-conflict peacebuilding, as well as in preventing conflict by securing equal rights for marginalized groups. Over the past year, the United Nations has provided support on constitutional issues in Bhutan, Indonesia, Kyrgyzstan, the Libyan Arab Jamahiriya, Madagascar, Maldives, Nepal, Somalia, South Sudan and Zimbabwe. In South Sudan, UN-Women and the United Nations Mission in the Sudan (UNMIS) ensured the involvement of women leaders in the drafting of the South Sudan transitional constitution and the Government received advice on the inclusion of strong foundations to help prevent and address sexual violence. In August 2010, the constitutional review process in Kenya, supported by the United Nations, culminated in the promulgation of Kenya’s new Constitution.", "20. Political change in the Middle East and North Africa has made constitutional reform a priority for many nations. To respond to requests for assistance in a robust and coherent manner, the Organization needs to draw more consistently on its own lessons learned and internal capacities, such as the Standby Team of Mediation Experts in the Department of Political Affairs, as well as specialized external expertise.", "2. The national legal framework", "21. The United Nations continues to support States in the incorporation of international legal obligations into domestic law, as well as the development of legal foundations for the governance, oversight and accountability of justice and security institutions.", "22. Achievements in the field of criminal justice include assistance to the Ministry of Justice of the Central African Republic in drafting new criminal and criminal procedure codes. In Nepal, the United Nations Development Programme (UNDP) supported the drafting of the penal code, criminal procedure code, civil code and civil procedure code.", "23. New or amended legislation incorporating principles of justice for children was approved in Malawi, Rwanda, Liberia, Mauritania, Turkmenistan, Pakistan, Papua New Guinea, Philippines, Tunisia, Chile and Colombia. Through targeted advocacy, the United Nations Children’s Fund (UNICEF) achieved a raise of the minimum age of criminal responsibility in Georgia, Kazakhstan and Bolivia. A recent UNICEF guidance paper on juvenile justice legislative reform should guide future efforts.", "24. A joint study by the United Nations Office for West Africa (UNOWA) and OHCHR on trafficking of persons in West Africa resulted in guidelines for the adoption of domestic legislation in compliance with international and regional human rights norms and standards. To address piracy, the Office of Legal Affairs, together with the United Nations Office on Drugs and Crime (UNODC) and the International Maritime Organization, developed guidance for national legislation on piracy pursuant to the United Nations Convention on the Law of the Sea and other instruments (see www.un.org/Depts/los/piracy/piracy.htm).", "3. Institutions of justice, governance, security and human rights", "25. United Nations rule of law assistance strengthens the institutional capacity necessary to give force and meaning to constitutional guarantees, laws, policies and regulations. For example, for citizens to have confidence in the rule of law, electoral complaints must be handled fairly, impartially and expeditiously according to the laws of the country. The United Nations has provided support to strengthen electoral dispute mechanisms in Burundi, Haiti, Kyrgyzstan and Iraq, among other countries.", "26. Experience shows that the needs of policing, justice and corrections institutions must be addressed in a coordinated manner to improve the delivery of justice and safety. Innovative approaches seek to improve the performance of justice institutions. For example, the establishment of prosecution support cells in the Democratic Republic of the Congo facilitates the investigation and prosecution of serious criminal cases. In Liberia, the development of a justice and security hub could provide a model for similar engagement in other settings. In Burundi, United Nations mentoring and other capacity-building efforts, including the creation of a pool of court clerks and magistrates trained in court administration and management, led to substantially enhanced transparency and performance in judicial processes. In Sierra Leone, UNDP-funded mobile courts brought magistrates to three new towns in Southern Province. In Timor-Leste, UNDP supported the position of a judge inspector to help ensure the quality of services, while the establishment of a new integrated case management system should improve efficiency in processing cases.", "27. Recognizing the potential of informal mechanisms for strengthening access to justice, the Organization engaged with informal justice systems in, for example, Afghanistan, Bangladesh, Nepal, the Occupied Palestinian Territory, Timor-Leste, South Sudan, Somalia and Indonesia. UNDP, UNICEF and UN-Women jointly issued an extensive study identifying entry points for engagement with informal justice systems with a view to strengthening the protection and fulfilment of human rights, particularly women’s and children’s rights, in future programming. In Uganda and South Sudan, support was given to the codification of customary laws, in order, inter alia, to ensure the protection of women’s property rights in marriage and inheritance and better address sexual and gender-based violence. In Darfur, Indonesia and Afghanistan the focus was on increasing the awareness of religious and informal justice leaders of issues such as women’s rights and the relationship between formal and informal justice. In Somalia, a UNDP-supported referral system in Somaliland allowed clan elders to refer cases of sexual and gender-based violence to formal courts, resulting in 44 per cent more such cases reaching the formal courts in 2010.", "28. UNODC and UNICEF continued to facilitate the conceptual and programmatic shift from juvenile justice to the broader area of justice for children. UNICEF capacity-building focused on police in over 30 countries and judges in 25 countries. In 2010, approximately 45 countries from all regions of the world took concrete steps to implement the United Nations guidelines on justice in matters involving child victims and witnesses of crimes. Notable advancements include the replication of Mongolia’s juvenile justice committees in five provinces and strengthened capacity of social workers, police and courts in Kiribati to handle young offenders. In Afghanistan, UNODC was instrumental in developing a separate juvenile justice system. To promote diversion and alternatives to detention, UNICEF launched an online toolkit providing clear, user-friendly guidance and practical tools. Diversion schemes and alternative programmes are operating in over 20 countries, resulting, for example, in some 1,600 children benefiting from diversion schemes in the Sudan in 2010.", "29. Building police capacity to address sexual violence was a significant area of focus this year. UN-Women and the African Union-United Nations Hybrid Operation in Darfur trained 500 Sudanese female officers on investigation techniques in sexual violence cases. Support from UN-Women, the United Nations Population Fund and UNICEF resulted in the inclusion of content on gender, sexual and gender-based violence and child protection in the national police training curriculum in Uganda. The special police for the protection of children and women in the Democratic Republic of the Congo were assisted through the construction and equipping of offices. A UNDP-supported review and analysis of the impact of citizen security programming in Nicaragua led to reforms including the establishment of mobile community units in the women’s office of the national police to address gender issues and family violence.", "30. The Organization has continued to support and advocate for prioritizing corrections, including through infrastructure assistance, capacity development and increased deployment of corrections officers to peace operations. In recognition of these efforts, the South Sudan Prison Service and UNMIS received the 2010 International Corrections and Prisons Association management and staff training award for excellence. In Haiti, the development of a prison database helped identify escaped detainees. In the Democratic Republic of the Congo and Sierra Leone, corrections officers were trained in basic human rights and detention management. In Burundi, seven prisons in the country were rehabilitated and equipped and a prison security plan was developed.", "31. The International Commission against Impunity in Guatemala (CICIG) continues to work with Guatemalan counterparts to prosecute cases of violent organized crime. Despite facing operational and security challenges, the Commission is widely regarded as having strengthened Guatemalan justice institutions through prosecution of several high-impact cases, vetting initiatives and other forms of technical assistance. As a result, CICIG is attracting increased international interest, especially in Central America.", "4. Transitional justice", "32. Over the past year, United Nations support for transitional justice processes continued in Afghanistan, Bosnia and Herzegovina, Burundi, Colombia, Côte d’Ivoire, Guatemala, the Democratic Republic of the Congo, Kenya, Liberia, Nepal, Sierra Leone, Togo, Solomon Islands and Uganda. More is anticipated following the profound political changes in the Middle East and North Africa. Sustainable transitions will require mechanisms to end impunity and ensure criminal accountability, truth, reparations and other guarantees of non-recurrence.", "33. National consultations are critical to ensuring that transitional justice mechanisms reflect the specific needs of affected communities. In Burundi, the final report of the national consultations, supported by OHCHR and the United Nations Office in Burundi (BNUB), was endorsed by the President and a technical committee was tasked with setting the parameters for a truth and reconciliation commission. A UNDP-administered basket fund will ensure that international support is coordinated and resources are pooled. In Nepal, OHCHR facilitated victim participation in transitional justice dialogues and held consultations on truth-seeking bills designed to draw nationwide participation of victims groups. The United Nations Integrated Peacebuilding Office in Sierra Leone supported the Human Rights Commission of Sierra Leone and engaged local authorities in implementing the recommendations of the Truth and Reconciliation Commission. Further, the United Nations Operation in Côte d’Ivoire supported the work of the Dialogue, Truth and Reconciliation Commission established by the Government of Côte d’Ivoire to promote national reconciliation and social cohesion.", "34. While efforts to establish reparations for survivors of human rights abuses have progressed in Colombia, Guatemala, Nepal, Sierra Leone, Timor-Leste and Uganda, greater attention is needed to ensure implementation. Technical assistance focused on the design and implementation of reparations schemes and support to victim and civil society participation in reparations discussions. In the Democratic Republic of the Congo, OHCHR and the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO) helped national authorities and other relevant stakeholders develop options to provide reparations to victims of sexual violence. In Uganda, the findings of specialized field research on gender and reparations by OHCHR and the Uganda Human Rights Commission with the support of UN-Women were presented to the Government, donors and civil society. In Colombia, UN-Women’s participation in parliamentary debates ensured the incorporation of a gender perspective in the recently enacted Victims and Land Restitution Law, resulting, for example, in the inclusion of children born after rape as beneficiaries of the law. While ensuring adequate redress for victims of conflict-related violations is a State obligation under international law, creating linkages between reparations and development programmes can strengthen the sustainability and transformative potential of the former, particularly with regard to women.", "35. The establishment of witness and victim protection programmes in accordance with international norms and standards received support in Argentina, Nepal, Kenya, Rwanda, the United Republic of Tanzania and Togo. An OHCHR-UNODC high-level expert seminar in Uganda, organized in cooperation with the Ugandan Law Reform Commission, and a regional seminar for South Asia in Nepal, allowed for the exchange of best practices in this area. A seminar was also organized for the Truth, Justice and Reconciliation Commission in Togo. Training for the Rwandan judiciary and law enforcement agencies on witness protection and management aims to develop national capacity to receive referral cases from the International Criminal Tribunal for Rwanda.", "36. Children’s views and experiences provide unique and important contributions to transitional justice processes. Child protection actors thus advocate for protection procedures and legal safeguards to allow for the participation of children in all aspects of transitional justice. The key principles for children and transitional justice (see A/65/219, paras. 47-50) provide overarching considerations for children’s participation and specific precepts for judicial mechanisms, truth commissions and truth-seeking mechanisms, local, traditional and restorative justice processes, reparations for children and institutional reform. The UNICEF report Children and Truth Commissions offers guidelines for such initiatives, where children serve as both victims and witnesses in matters related to grave crimes.", "5. Empowering individuals and civil society", "37. Engagement with the public and civil society is a major component of the United Nations approach to strengthening the rule of law. The Organization promotes dissemination of information about legal rights to enhance public awareness and foster a rule-of-law culture. In Burundi, for example, BNUB assisted with the translation of the new criminal code into Kirundi and ensured its wide distribution. In Georgia, demand for assistance from the Georgian Legal Aid Service increased significantly, particularly among internally displaced persons and minorities, after a UNDP-supported awareness-raising campaign.", "38. Facilitating wider access to justice for vulnerable groups continues to be a priority of United Nations rule of law programming, with activities in over 22 countries across the world. For example, in Somalia, UNDP helped rape survivors obtain access to formal court proceedings, which was previously thwarted by the dominance of clan elders. In Afghanistan, the United Nations Assistance Mission in Afghanistan strengthened the capacity of the Ministry of Justice to provide legal aid lawyers.", "39. Civil society organizations play a powerful role in helping overcome barriers which often separate citizens, especially the most marginalized and vulnerable, from State institutions. In Indonesia, UNDP supported grass-roots civil society by promoting legal awareness and paralegal services in three provinces. In partnership with the Huairou Commission, linkages were created among grass-roots women’s organizations in six African countries to enhance their capacity to monitor and protect women’s land and inheritance rights in informal justice systems. Through funding from the United Nations Democracy Fund, civil society initiatives assisted marginalized groups in Gabon and Guatemala in obtaining legal identity papers and broadened participation in constitutional reform processes in Bolivia, Ghana and Nepal.", "B. Addressing critical challenges in conflict and post-conflict societies", "40. Conflict undermines the rule of law, including by weakening the capacity of justice and security institutions. This plays a significant role in perpetuating impunity, generating instability and delaying recovery. Institutions often lack basic infrastructure, administrative systems, financial and skilled human resources and oversight and governance mechanisms. Justice and security professionals may be subject to corruption or the target of threats, undermining institutional independence and integrity. Impunity of human rights abusers erodes trust in government leaders and institutions, and consequently impedes the creation of a culture of respect for the rule of law. Conflict and post-conflict situations are thus a major focus of United Nations rule of law assistance, with particular challenges and priorities.", "1. Achieving early and visible results", "41. United Nations assistance aims to gradually restore confidence in the rule of law, especially among displaced and vulnerable groups, often most affected by conflict. To do so, the United Nations seeks to achieve early and visible results by addressing immediate needs for legal protection and increased justice and security service delivery, while laying the foundations for long-term reforms and institutional strengthening. In the Democratic Republic of the Congo, for example, the United Nations has collaboratively supported the prosecution of individual high-profile cases of sexual and gender-based violence, while working with national authorities to lay the foundations for long-term institutional reform. An important step has been the establishment of the Justice and Corrections Standing Capacity in the Department of Peacekeeping Operations, which will help start up justice and/or corrections components and reinforce existing components in field operations.", "2. Developing sector-wide approaches", "42. Uneven and uncoordinated financial and technical support to the rule of law sector can result in systemic dysfunction. For example, the concentration of assistance on the policing sector can overburden justice and corrections institutions, as arrests lead to more and longer pretrial detention. Consequently, court dockets often overflow and overcrowded prisons result in worsening hygienic conditions, riots and escapes, posing serious security concerns.", "43. A sector-wide approach should be applied where possible, and priorities for sequencing rule of law interventions should be clearly articulated. In Guinea-Bissau, the United Nations has strengthened linkages between law enforcement, prosecutorial and judicial authorities. This approach facilitates national ownership and coherence, binding together justice and security institutions in an overall programme of reform enhancing the sustainability of improvements. In Uganda, a sector-wide approach is credited with measurable improvements to the corrections sector. In contrast, the lack of a sector-wide approach in, for example, Liberia has driven uneven resource allocations across the penal chain, and left the needs of the corrections sector unaddressed.", "3. Strengthening political will and national ownership", "44. Political will is critical to ensuring a strong enabling environment and sustainable support for rule of law reforms. Yet, in many conflict and post-conflict settings indifference or suspicion surrounds efforts to strengthen the rule of law. Faced with competing needs and daunting challenges, Governments rarely make rule of law a top priority. Sustained and coherent advocacy by United Nations leaders, the General Assembly and the Security Council, and high-level bilateral dialogue with senior Government officials are vital to ensuring that the rule of law is given the necessary attention and political space to gain traction. Following focused advocacy and support, the new Government of Haiti has declared the rule of law one of its four top priorities. With regard to sexual violence in the Democratic Republic of the Congo, the engagement of the Special Representative of the Secretary-General on Sexual Violence in Conflict combined with greater political dialogue and cooperation between MONUSCO, UNDP and the Government has led to increasing numbers of convictions within the security forces.", "45. National authorities and civil society should be encouraged to take an expanded role in the design and implementation of rule of law programmes to ensure their greater stake in success. National Governments can illustrate their commitment by joining donor partners in investing financial resources in rule of law programmes. In Kenya, the Government is the single largest funding source for a sector-wide programme.", "4. Ensuring accountability for international crimes at the national level", "46. International law requires States to develop and strengthen their national capacities to investigate and prosecute international crimes. States parties to the Rome Statute of the International Criminal Court have recognized the desirability of assisting each other in strengthening this capacity and the need for international organizations to support such work.[1] The United Nations has been engaged in developing the requisite prosecutorial capacity in a number of places, including Bosnia and Herzegovina, Colombia, the Democratic Republic of the Congo, Kenya, Kosovo, Sierra Leone, the Sudan, Timor-Leste and Uganda.", "47. There is currently, however, no systematic way to foster the political will necessary for States to domesticate the Rome Statute and bring those requiring assistance together with international actors willing to fund and/or provide such assistance. To start addressing this gap, the United Nations supported a retreat, organized by the International Center for Transitional Justice, to initiate discussions among relevant actors, including the United Nations, from the international criminal justice, development and legal communities. The next step will be to forge closer connections between development partners and national stakeholders to develop an action plan for capacity-building, which will link with existing initiatives such as the toolkit developed by the Open Society Justice Initiative in collaboration with the European Union.", "5. Strengthening the linkages between rule of law and economic recovery", "48. Much of the United Nations rule of law response in conflict and post-conflict settings focuses on initial safety and security concerns. Yet, the rule of law also plays a significant role in economic recovery. Mutual trust and investor confidence are facilitated by functioning justice and security institutions as well as a robust legislative framework based on international norms and standards, including international trade law (see General Assembly resolution 65/21). Solutions to complex issues relating to land tenure or natural resource extraction often require legal reform and the adjudication of disputes over legal rights. Excessive pre-trial detention, particularly common in post-conflict settings, can have far-reaching socio-economic consequences for individuals, families and communities and undermine national efforts to achieve development goals.[2]", "49. The Organization is thus working to strengthen more systematically the linkage between rule of law and economic recovery in post-conflict settings. For example, in the UNDP early recovery policy implementation plan for the Sudan, “rule of law and access to justice” and “livelihoods” are the main pillars of recovery programming. In the Democratic Republic of the Congo, the UNDP project for security and socio-economic reintegration of women survivors of sexual and gender-based violence in North and South Kivu is designed to dovetail livelihoods with access to justice. In Iraq, the UNCITRAL secretariat cooperated with the United Nations Industrial Development Organization (UNIDO) to support the preparation of new legislation on public procurement and alternative dispute resolution in the context of a broader private sector development programme. Such promising initiatives linking rule of law with economic recovery and human development should be built upon and replicated where appropriate.", "IV. Overall coordination and coherence", "A. Providing guidance and implementing the joint strategic plan", "50. In keeping with the 2009-2011 joint strategic plan of the Rule of Law Coordination and Resource Group, efforts continue to strengthen the coherence, quality and coordination of rule of law policy and guidance. The annual review of ongoing and planned materials shows notable progress in guidance development. Stronger partnerships could further align substantive policy approaches, especially in areas where many entities are individually or jointly developing guidance, such as transitional justice, sexual and gender-based violence and pre-trial detention and alternatives. Areas with little ongoing or planned guidance development, such as law-making, legal reform and social and economic justice, may require further focus. A survey of guidance needs in the field will help to establish priorities and ensure that guidance development meets the needs of practitioners.", "51. The Group’s complementary system of endorsement of material of system-wide relevance has been used to endorse the United Nations rule of law indicators and the instructor’s manual for the rule of law training programme of the Department of Peacekeeping Operations for judicial affairs officers in peacekeeping operations. This process will help maximize knowledge and best practices across the United Nations system, while harmonizing approaches and minimizing duplication of efforts.", "52. The Group has recently piloted the United Nations unified rule of law training programme in partnership with the United Nations Staff College in Turin. This system-wide programme, which complements existing, more focused modules, will ensure that relevant staff members understand the Organization’s unified approach to rule of law and promote it in their relations with Member States. The next step is to institutionalize the training, which will require additional resources and the continued commitment of all partners.", "53. The second objective of the joint strategic plan is to implement the Organization’s common approach to rule of law assistance at the national level in Nepal and Liberia. Further to Liberia’s addition to the agenda of the Peacebuilding Commission in September 2010, programming on rule of law is being strengthened and harmonized in the context of the peacebuilding priority plan, which focuses on three pillars: justice, security and national reconciliation. With the joint support of the United Nations Mission in Liberia (UNMIL) and UNDP, the Government of Liberia submitted a peacebuilding programme covering the country’s urgent needs in justice, security and national reconciliation as outlined in the peacebuilding priority plan. In Nepal, after an initial mapping of existing international assessments, Government strategies and ongoing assistance, a joint donor-United Nations effort is identifying options to improve international support over the medium term.", "54. As envisaged by the third principal objective of the Group’s joint strategic plan, a high-level meeting of the General Assembly on the rule of law at the national and international levels will be held during the high-level segment of the Assembly’s sixty-seventh session (General Assembly resolution 65/32, para. 13). The modalities of the event will be finalized during the sixty-sixth session. To focus Member States’ attention in anticipation of the high-level event, the President of the General Assembly convened an informal thematic debate on the rule of law and global challenges on 11 April 2011. The Secretary-General stands ready to support Member States in preparing a concrete output for the high-level event that will ensure that the rule of law remains high on Member States’ agenda.", "B. Reaching out system-wide", "55. A priority of coordination and coherence efforts continues to be reaching out to the over 40 United Nations actors involved in rule of law activities. The third annual system-wide meeting brought the United Nations system together to examine ways to strengthen joint programming on the rule of law. Participants reviewed current tools and practices for measuring rule of law development and the impact of assistance. They considered the UN-Women report Progress of the World’s Women: In Pursuit of Justice with a view to exploring system-wide implementation of its recommendations.", "56. The United Nations rule of law website and document repository (www.unrol.org) continues to be the central gateway to information on United Nations rule of law efforts, making over 900 documents available to staff and the public, along with a range of knowledge resources, news and articles on the United Nations rule of law activities.", "57. United Nations-World Bank cooperation on the rule of law remains an important priority. The United Nations rule of law actors have significantly contributed to the World Bank’s 2011 World Development Report focusing on conflict, security and development. The report highlights the importance of delivering justice, security and jobs to break recurring cycles of violence which impede development.", "58. The report also highlights the importance of addressing social and economic justice issues to prevent conflict and ensure long-term development. For the United Nations, this is an invitation to engage more coherently in this field. The upcoming report of the Secretary-General on legal empowerment and poverty reduction, requested by the General Assembly in its resolution 64/215, should further flesh out the important linkage between rule of law, access to justice and poverty reduction and identify promising approaches in this field.", "C. Strategic and joint engagement at the country level", "59. United Nations partnerships on rule of law have continued to strengthen on the ground, thanks to the shared view that joint programming is an effective way to capitalize on the comparative advantages of the actors involved. Collaboration has not followed a single pattern, allowing for greater flexibility for national and international actors. Deeper cooperation, however, will require overcoming institutional hurdles and establishing system-wide incentives for joint programming.", "60. Over the last year, UNDP country offices and peacekeeping missions have increased their joint programming in number and volume, with new initiatives in Haiti, the Democratic Republic of the Congo, South Sudan and Chad. For example, UNDP and United Nations police have expanded their cooperation in training the national police in the Ituri district of the Democratic Republic of the Congo. With the drawdown of the United Nations Mission in the Central African Republic and Chad, the handover strategy builds on the collective achievements of the Mission and UNDP in strengthening access to justice. Ongoing collaboration between UNDP and the Department of Peacekeeping Operations on rule of law is being expanded, for example through a joint programme on police in Timor-Leste to facilitate the transition after the closing of the United Nations Integrated Mission in Timor-Leste in 2012. In Liberia, UNMIL and UNDP are harmonizing support to the Liberia National Police, the Bureau for Corrections and Rehabilitation and the Bureau for Immigration and Naturalization under national leadership.", "61. In Burundi, impact and coherence were strengthened by integrating staff of the Department of Peacekeeping Operations, OHCHR and UNDP into a joint justice unit and their interventions into a single human rights and justice programme. Targeted training and a pilot project on court administration in four jurisdictions have resulted in rapidly improved judicial performance in the pilot courts, now ranked the highest in the country, and bilateral partners have chosen to replicate the project in four other jurisdictions. UNDP and UN-Women have continued to pilot their joint programming in women’s access to justice in post-conflict settings in Nepal, Colombia and Uganda, working closely with OHCHR on issues of gender and reparations.", "62. Growing awareness of the impact of transnational crimes on justice and security leads to stronger and focused joint programming efforts at the regional level. In the West Africa Coast Initiative, UNOWA, the Department of Peacekeeping Operations, UNODC and the International Criminal Police Organization are jointly building capacity for law enforcement and criminal justice reforms in Guinea-Bissau, Sierra Leone, Côte d’Ivoire and Liberia in support of the ECOWAS regional action plan. Transnational crime units were established in three of these countries. UNODC increasingly builds its regional programmes as common platforms for action with national, regional and multilateral partners. The establishment of a new inter-agency task force, co-chaired by the Department of Political Affairs and UNODC, augments the United Nations system’s response to transnational organized crime and drug trafficking. To ensure coherence, the task force will report regularly to the Rule of Law Coordination and Resource Group on its rule of law-related initiatives.", "63. A harmonized response to sexual violence in conflict is illustrated by the Team of Experts on Rule of Law/Sexual Violence in Conflict, established pursuant to Security Council resolution 1888 (2009). Composed of a team leader based in the Office of the Special Representative of the Secretary-General on Sexual Violence in Conflict and representatives of the Department of Peacekeeping Operations, OHCHR and UNDP, it has for instance facilitated the development of programmes in the Democratic Republic of the Congo for training of the armed forces, augmentation of the prosecution support cells with experts on sexual violence and the deployment of female magistrates to the eastern part of the country.", "D. Measuring effectiveness and evaluating impact", "64. The United Nations must base its rule of law assistance on thorough assessments, baseline data and ongoing monitoring and evaluation. Measuring the effectiveness of assistance will increase recognition of successful methods and encourage new approaches to improving results.", "65. The Organization has made progress in developing tools to help national Governments gather the necessary data to guide reform efforts. Officially launched in July 2011, the United Nations Rule of Law Indicators, jointly developed by the Department of Peacekeeping Operations and OHCHR, is a tool to monitor changes in the performance and characteristics of national criminal justice institutions. As evidenced by pilots in Haiti and Liberia, national Governments can play a leading role in implementing this tool. It is hoped that Governments adopting the indicators will continue to use them as an ongoing monitoring mechanism. UNODC and UNICEF continued to work with countries to develop juvenile justice data collection systems based on the Manual for the measurement of juvenile justice indicators. Among others, the indicators helped the establishment of the baseline for juvenile justice reform in Guinea-Bissau and the development of a unified database on juvenile justice in the Syrian Arab Republic.", "66. On the basis of these experiences, the Organization is working to enhance its knowledge of how and when to integrate measurements of progress into rule of law interventions, as illustrated by the ongoing UNDP project to develop a users guide to measuring justice. We must work towards common impact measuring mechanisms in close cooperation with Member States. Only if we deliver against one set of shared objectives and indicators, illustrating joint progress in meeting mandates and operational milestones, will we truly deliver as one. In the area of justice for children, the recent establishment of an inter-agency Child Protection Monitoring and Evaluation Reference Group is a promising step towards coordination of monitoring and evaluation initiatives among child protection partners and across thematic areas. Such initiatives must draw upon and be adapted more broadly to the rule of law field to increase accountability and improve the assistance provided to Member States.", "E. Strengthening the rule of law in the Organization", "67. The system of administration of justice has continued its essential task of upholding the rule of law between the Organization and its staff members, who now have access to a two-tier professionalized judicial system to address their claims against the Organization’s administrative decisions. As of 17 June 2011, the United Nations Dispute Tribunal had issued 416 judgements, and the United Nations Appeals Tribunal, which recently completed its fourth session, had rendered 126 judgements.", "68. Progress has been made on fairness and transparency in procedures regarding the Al-Qaida sanctions regime. In resolution 1989 (2011), the Security Council incorporated two so-called “sunset” mechanisms, which lead to the automatic de‑listing of petitioners unless a decision to retain a name on the list is taken by the Committee established by Security Council resolution 1267 (1999). One of the mechanisms involves the Ombudsperson, appointed in 2010, who now has a mandate to make recommendations to the Committee on the retention or removal of petitioners.", "F. Expanding partnerships", "69. The United Nations cannot achieve its goals working in isolation. A critical aim of the United Nations coordination and coherence efforts is, therefore, to develop meaningful partnerships with all stakeholders to successfully promote the rule of law and strengthen the assistance provided to Member States.", "70. The funding available for strengthening the rule of law remains highly fragmented among donors, with bilateral support outweighing multilateral assistance by a significant ratio. As previously outlined (see A/64/298), a declared commitment to national ownership is too often belied by donor-driven projects and uncoordinated programming involving imported solutions and implementation by nationally affiliated donor partners. Donors label and approach the same rule of law issues differently. Though coordination mechanisms exist at country level, there is little comparative analysis of coordination practice and consistency of method. The need for greater coherence is starkest in conflict-affected situations where many actors are present.", "71. To take stock of practices and challenges across the field, and to advance a consensus on ways to address these challenges, the United Nations co-organized a conference in 2009 which brought together 70 representatives of bilateral donors, recipient countries, international and regional organizations and non-governmental organizations. To harmonize approaches, it was concluded that a system should be put in place whereby multilateral and bilateral donors work in a coordinated and collaborative manner with partner countries and practitioners to guide and manage efforts to improve the effectiveness of rule of law assistance.", "72. Another long-standing challenge hampering progress in this field has been the relative absence of national stakeholders and grass-root experiences in high-level policy discussions. To contribute to addressing this imbalance, the Secretary-General recommended in 2008 that a forum be provided for national actors from recipient countries to express their perspectives on the effectiveness of rule of law assistance (A/63/226, para. 78). A report entitled “New voices: national perspectives on rule of law assistance”,[3] issued in April 2011, was the result of a consultative process convened by the Rule of Law Unit in 2009 and 2010 with 16 national rule of law experts from 13 countries and the participation of United Nations entities and development partners. One shared recommendation was the need to create mechanisms for greater, meaningful coordination and coherence of approaches to rule of law assistance among national and donor partners.", "73. Along the same lines, the informal thematic debate on the rule of law and global challenges, held by the General Assembly on 11 April 2011, highlighted that, too often, the support provided by the international community, including bilateral donors and assistance providers, has not yielded the expected results at the national level and that efforts must be made to ensure that the voices of national actors more systematically inform the global discussion on rule of law assistance.", "74. Similarly, the World Bank’s 2011 World Development Report highlights the difficulty for countries to obtain external support on justice and security and the fragmentation of assistance, emphasizing the need for a more coordinated international response to meet the justice and security needs of countries trapped in cycles of fragility and conflict.", "75. The record to date thus strongly suggests the need for an inclusive international policy forum that brings together all stakeholders, for which the United Nations appears to be a natural home. The forum would give donor and recipient Governments, multilateral organizations, non-governmental organizations and private sector actors, including foundations, the opportunity to coordinate strategy, share information on ongoing projects and exchange best practices and country knowledge and experience. It could link with other global initiatives such as the Global Forum on Law, Justice and Development, a multiconstituency knowledge partnership to be launched shortly by the World Bank.", "V. Cultivating a just, secure and peaceful world governed by the rule of law", "76. Strengthening the rule of law at the national and international levels is a long-term endeavour. Past recommendations[4] provide an important road map for the work of the Rule of Law Coordination and Resource Group and the Rule of Law Unit. In addition, under the leadership of the Deputy Secretary-General, the Group and the Unit will, in the framework of the joint strategic plan for 2012-2014, seek to:", "(a) Expand the use of joint programming in peacekeeping and special political mission areas by increasing efforts to assess, plan and implement jointly from the outset;", "(b) Enhance collaboration among United Nations entities present in non‑mission settings by assessing and planning jointly in response to Member States’ requests for support;", "(c) Establish system-wide incentives for joint programming to help overcome institutional hurdles;", "(d) Strengthen the Organization’s approach to measuring the effectiveness of rule of law assistance;", "(e) Continue and strengthen joint training of United Nations rule of law professionals;", "(f) Convene relevant actors to share practices and foster policy to better assist Member States in pursuing social and economic justice through the rule of law.", "77. Seven years after the World Summit, the high-level event on the rule of law, mandated by the General Assembly in resolution 65/32 for the beginning of the sixty-seventh session in 2012, will be an opportunity to renew the commitment to the universal adherence to and implementation of the rule of law at both the national and international levels and to take stock of progress. In view of this important opportunity, I recommend that Member States seek:", "(a) To support the United Nations in its efforts to enhance coherence, coordination and effectiveness of its assistance as outlined in paragraph 76; and", "(b) To think creatively about ways how the international community can enhance and better coordinate its efforts to strengthen the rule of law, including through an inclusive international policy forum on the rule of law, for which the United Nations seems the natural home.", "Annex", "Views expressed by Member States", "1. The General Assembly, in its resolution 65/32, requested the Secretary-General to seek the views of Member States before preparing the present report.", "2. By a note verbale dated 7 February 2011, the Secretary-General invited Governments to submit, no later than 22 April 2011, their views on the Sixth Committee sub-topic “Rule of law and transitional justice in conflict and post-conflict situations”. In preparing their submissions, Member States were invited to pay particular attention to “issues such as combating impunity and strengthening criminal justice, the role and future of national and international transitional justice and accountability mechanisms, informal justice systems, etc.” (A/C.6/63/L.23, para. 4).", "3. The Secretary-General has received views expressed by Australia (21 April 2011), Austria (5 May 2011), the Czech Republic (23 April 2011), Denmark (31 May 2011), Finland (21 April 2011), Kenya (3 May 2011), New Zealand (12 May 2011), Oman (8 April 2011), Qatar (19 May 2011), Slovenia (25 April 2011), Sweden (17 May 2011), Switzerland (25 April 2011), Turkmenistan (2 May 2011) and the United Kingdom of Great Britain and Northern Ireland (5 May 2011). Those views are presented below.", "Australia", "[Original: English]", "Australia welcomes the substantial work being undertaken by a range of agencies and entities within the United Nations to promote the rule of law at the national and international levels, particularly in conflict and post-conflict situations. These situations — always complex — require sophisticated, multidimensional responses covering the entire spectrum of assistance, including peacekeeping, political and security sector reform, the implementation of transitional justice mechanisms and the provision of capacity development and technical assistance. Australia views the rule of law as being fundamental to any strategy aimed at building a stable, prosperous society and a prerequisite to achieving the Millennium Development Goals. As noted by the World Development Report 2011, countries where government effectiveness, rule of law and control of corruption are weak have a 30 to 45 per cent higher risk of civil war and significantly higher risk of extreme criminal violence. In recent years, Australia has invested significant resources and engaged heavily with the international community to advance this important agenda. Our report details some of the key areas of activity.", "A. Rule of law assistance in fragile and post-conflict settings", "Australia’s approach to justice and security sector reform recognizes the severe development challenges faced by fragile and post-conflict States, such as weak governance, limited administrative capacity, chronic humanitarian crises, persistent social tensions and violence. Australia takes an integrated approach to justice reform. Our interventions aim to strengthen the connections among key formal justice institutions (such as police, prisons and the courts). We also acknowledge the sometimes significant role played by customary and community-based justice systems post-conflict and the importance of ensuring that such customary systems operate within a human rights framework. Australia’s support for justice reform balances long-term goals (such as State-building and economic development) with responding to the immediate needs of people affected by insecurity. Addressing the drivers of conflict, including supporting accessible and locally legitimate justice systems, is critical for resolving and preventing further conflict — a point also reinforced by the World Bank in the 2011 edition of the World Development Report.", "A primary focus of Australia is on ensuring that States have appropriate legal frameworks to combat corruption and transnational organized crime — terrorism, money-laundering, proceeds of crime, cybercrime, people smuggling and trafficking in persons — as well as enhancing frameworks for international legal cooperation, including extradition and mutual assistance. However, Australia also recognizes that technical assistance and capacity-building in other criminal justice areas such as sentencing and victims’ protection legislation is important. Our capacity-building projects involve delivering workshops and training for legal, judicial and law enforcement officials, hosting legal exchanges, conducting mentoring and pairing programmes to build natural capacity, developing legal frameworks and legal guidelines, working collaboratively with partner countries to deliver legal and policy advice and assisting with the publication of laws.", "Two recent examples highlight the progress made in these areas and the effectiveness of these partnerships.", "First, Australian agencies, together with New Zealand counterparts, have been working in partnership with Tonga since mid-2009 to assist Tonga in reviewing and reforming its police legislation. Following this assistance, the Tonga Police Act was passed on 14 September 2010 and entered into force on 2 February 2011. We are now working with Tonga to develop regulations and procedures to ensure effective implementation of the Police Act.", "Secondly, Australian officials, deployed to Papua New Guinea under our “Strongim Gavman” or “Strengthening Government” engagement programme, assisted with the establishment of the Proceeds of Crime and International Crime Cooperation Unit within the Office of the Prosecutor of Papua New Guinea in 2009. This resulted in Papua New Guinea’s first civil forfeiture order made in respect of a matter prosecuted under the Proceeds of Crime Act in July 2010.", "More generally, Australia supports justice and security sector reform across a range of fragile situations, as demonstrated by our engagement in Timor-Leste (led by the United Nations) and Solomon Islands (led by the Regional Assistance Mission to Solomon Islands (RAMSI)), and more recent engagement in Afghanistan. Australia also provides significant, ongoing capacity-building and technical legal assistance to countries in South and South-East Asia (Indonesia and Cambodia), Africa and the Pacific (Papua New Guinea, Solomon Islands, Vanuatu, Samoa, Tonga and Nauru) to strengthen the rule of law and ensure their security and stability.", "Consistent with aid effectiveness principles, Australia seeks to encourage local leadership and ownership of justice sector reform programmes, aligning our assistance with partner Government policies and systems. In fragile States, Australia supports processes which promote the ownership and inclusion of broader populations and, where politically feasible, marginalized groups.", "Australia’s experience in a range of settings highlights the importance of developing a shared understanding, among donor countries as well as the various Australian Government agencies involved, of the particular justice and security development challenges faced in delivering development assistance. For example, strong interdepartmental dialogue among Australian Government agencies at the headquarters and field levels, cross-Government agreement on objectives and sequencing, common planning and monitoring frameworks and practical coordination arrangements have been features of Australia’s support to RAMSI.", "B. Transitional justice", "Transitional justice mechanisms play an integral role in enabling countries that have experienced conflict to move forward and achieve lasting peace. In particular, they can be a critical tool to re-establish the legitimacy and trust in public institutions needed to foster security and development. These mechanisms encompass a wide range of judicial and non-judicial responses that are adapted to the particular context of post-conflict societies. Such responses must be informed by victims’ perspectives, particularly those of marginalized groups, consider the root causes of the conflict and conform to international standards. They must also take into account the challenges of dealing with a legacy of large-scale human rights violations and the possible role played by the host Government and its military or security services during the conflict.", "Importantly, there is no “one size fits all” approach to transitional justice. A post-conflict setting will require different management and economic and social strategies for a post-authoritarian regime. Each situation is unique, with close consultation required with the affected community to tailor the most effective response (what the World Development Report describes as a “best in context” approach to institution-building). This may involve a combination of measures covering criminal prosecutions, truth-seeking processes, reparations programmes, gender justice, security sector reform and efforts to memorialize the past. Past experience has shown that a combination of these measures is far more effective than any single measure.", "Australia has always been a strong supporter of efforts to combat impunity for those accused of the most heinous crimes. To this end, Australia is a long-standing supporter of the International Criminal Court and other international tribunals.", "Blanket amnesties and immunities from prosecution must not prevent those most responsible for such crimes from being held accountable. The ad hoc international tribunals for the former Yugoslavia and Rwanda, as well as the Special Court for Sierra Leone, have made an unprecedented contribution to the international community’s goal of ending impunity for serious international crimes. Their jurisprudence has enriched our understanding of genocide, crimes against humanity and war crimes, as well as the practice and procedures of international criminal law.", "Justice, where possible, is best pursued at the national level. The challenge for the international tribunals is to ensure they leave a legacy of strengthened national legal capacity behind them. For example, the International Tribunal for the Former Yugoslavia has fostered the development of national courts by the transfer of cases of low-level indictees to competent national jurisdictions. Similarly, the Extraordinary Chambers in the Courts of Cambodia, which form part of the national legal system and have national participation in their organs, are hoped to contribute, over time, to the building of national judicial and administrative capacity.", "Through their outreach activities these tribunals have created the space for public engagement on questions of accountability and demonstrated that the pursuit of justice is not a threat to peace.", "The Government of Australia continues to strongly support the efforts of the international courts and tribunals, including through funding, through the distinguished service of our nationals and through our work in the international community to encourage cooperation with these bodies.", "Equally important is the need for truth-seeking processes or “traditional” justice mechanisms, which provide an important complement to judicial mechanisms by promoting accountability at the grass-roots level. Such transitional justice mechanisms should be designed so as to strengthen democracy and peace within the community and to engage and empower civil society. The development of strong, durable institutions with appropriate oversight mechanisms, civil society organizations that give voice to victims and the marginalized, and a well-trained and educated bureaucracy are all necessary elements to transition from post-conflict environments to a stable future.", "C. Deployment of a civilian capacity", "Early engagement in conflict and post-conflict situations is important. Steps should be taken as soon as possible to sow the seeds for a long-term recovery. Standing capacities are required to enable the rapid deployment of the necessary expertise to conflict-affected environments. To this end, Australia has established a rapidly deployable group of civilian specialists to assist with stabilization and recovery efforts in conflict-affected countries with the urgency required.", "The Australian Civilian Corps will complement Australia’s police and military contribution to the United Nations and other missions. Australia recognizes that military and police intervention or humanitarian aid, while essential, cannot by themselves deliver lasting security or development gains. Civilian functions, in addition to those performed by police, are also necessary to create and maintain peace and stability. Within conflict-affected countries, the capacity of Governments to provide security and basic services for their citizens is limited. Public administration, security sector reform and economic recovery must also be prioritized to support basic service delivery in order to deliver a lasting peace.", "The Australian Civilian Corps provides a comprehensive civilian response to deal with issues arising in post-conflict situations and includes individuals with expertise in agriculture, law and justice, education administration, engineering, financial management, needs assessment and donor coordination. These specialists may work with a range of stakeholders such as local beneficiaries, government officials, other donors or civilian specialists from other countries to provide stabilization advice, technical assistance and capacity development as the security and humanitarian situation progresses and the focus shifts to State-building and reconstruction. Australia believes that such a response can be necessary to deliver immediate, tangible results on the ground.", "The International Deployment Group of the Australian Federal Police manages Australian overseas police deployments to capacity-building missions, regional post-conflict reconstruction missions and United Nations peacekeeping missions, with approximately 350 staff deployed offshore at times. In addition, assistance through the International Network of the Australian Federal Police is focused on building local policing capacities to combat transnational crime, including support for police-to-police collaboration, intelligence gathering in support of international law enforcement efforts and the provision of training and other technical assistance. On a smaller scale, the Forensic and Data Centre provides a range of specialized assistance.", "D. Protection of civilians", "The protection of civilians is a core function of United Nations and regional peace operations, presenting complex policy and operational issues that must be addressed if missions are to discharge their mandates successfully. Considerable progress has been made by the United Nations and the African Union to strengthen the protection of civilians, but challenges remain.", "The recent draft Strategic Framework for Drafting Comprehensive Protection of Civilians Strategies in United Nations Peacekeeping Operations represents a major step forward by standardizing mission-wide strategies to maximize a mission’s ability to better protect civilians; strengthening the coherence of a mission’s effort in fulfilling its mandated tasks; and strengthening accountability and reporting lines.", "Recognizing the fundamental importance of peacekeeping and peacebuilding efforts in conflict and post-conflict situations, Australia, through the Asia Pacific Civil-Military Centre of Excellence and its participation in the Challenges partnership, is committed to enhancing the effectiveness of the United Nations in its peacekeeping operations by emphasizing the protection-of-civilians component.", "In April 2010, the Centre hosted the third International Forum for the Challenges of Peace Operations in Australia and addressed the challenges of protecting civilians in multidimensional peace operations. A report outlining the key findings of the International Forum was launched at the Challenges Forum Seminar in February 2011, co-hosted by Australia.", "While much progress has been made on the protection-of-civilians doctrine at the strategic level, further work is required at the operational level on developing supporting military and policing strategies.", "Work has commenced in Australia to develop a protection-of-civilians doctrine for the Australian Defence Force. Australia is happy to share this work as it develops and to learn from the experiences of other countries and, to this end, will host a senior-level civil-military affairs conference on “Enhancing the protection of civilians in peace operations: from policy to practice” from 24 to 26 May 2011. This conference will take stock of recent developments at the strategic and operational levels, examine more closely the specific issues of including women and children within the protection of civilians agenda and consider possible training initiatives.", "As part of our broader work to improve the capacity of peacekeepers to protect civilians, Australia recognizes that some groups within society, namely women and girls, remain particularly vulnerable during and after conflict. Australia supports the inclusion of women in all conflict prevention, conflict resolution, rehabilitation and peacebuilding efforts as mandated by Security Council resolution 1325 (2000) on women and peace and security. In 2010 Australia announced that it would provide funding to give United Nations peacekeepers additional predeployment or in-country training on how to protect women from sexual violence in conflict and post-conflict situations.", "Australia also believes that women must be more adequately represented in post-conflict reconstruction processes in order to guarantee the ongoing stability of peace. Australia’s support of resolution 1325 (2000) has also included increasing women’s participation in peacebuilding and rebuilding communities. This is highlighted through our support for women in the Afghan electoral process. Peacekeepers and staff deployed to RAMSI have also regarded resolution 1325 (2000) as an essential tool in promoting the participation of women in decision-making. More work is needed, and Australia is developing a national action plan for resolution 1325 (2000).", "As demonstrated by these initiatives, Australia remains committed to working with the United Nations and Member States to ensure that all persons enjoy fairness, equality, accountability and justice through promotion of the rule of law. Nowhere is this more important than in conflict and post-conflict societies. In many instances this will be a long-term endeavour but essential nonetheless in order to ensure lasting peace and prosperity.", "Austria", "[Original: English]", "Austria reaffirms its strong commitment to an international order based on international law, including human rights law, and the rule of law, with the United Nations at its core. We believe that international law and the rule of law are the foundations of the international system. Clear and foreseeable rules, respect for and adherence to these rules, and an effective multilateral system to prevent or sanction violations are preconditions for lasting international peace and security. In our view it is imperative to strengthen the rule of law in all its dimensions, i.e., at the national, international and institutional levels.", "The international community has paid increased attention in recent years to advancing justice and the rule of law, especially in conflict and post-conflict societies. These experiences have taught us important lessons, which should shape our future activities in the area of transitional justice and the rule of law, in particular within the framework of the United Nations. At the centre are the need to ensure a common basis of international norms and standards and the mobilization of the necessary resources for an investment in justice. In his 2004 report on the rule of law and transitional justice in conflict and post-conflict societies (S/2004/616), the Secretary-General provided useful guidance on where to focus and how to streamline our efforts in order to be successful. He raised awareness of the need to increase coordination and cooperation at all levels of the United Nations as well as with actors outside the Organization. These efforts have to be pursued further. The recommendations of the 2004 report are still valid and need to be fully implemented.", "The efforts of the United Nations to strengthen the rule of law in conflict and post-conflict situations must be based on national assessments, national participation and national needs and aspirations. Although basic legal norms are universal and non-negotiable, there is no one-size-fits-all formula in fragile situations. For our strategies to be effective they have to seek to instil a sense of national ownership, support domestic reform constituencies and adapt to realities on the ground.", "As highlighted in the 2004 report, the approach to transitional justice must be holistic and comprehensive (see S/2004/616, para. 64 (k)). We must pay careful attention to the needs of victims and civil society and bear in mind the need for complementarity among various transitional justice mechanisms. United Nations strategies to ensure accountability in post-conflict situations must extend beyond international courts and tribunals to include the full range of transitional justice mechanisms available for achieving justice, reconciliation and sustainable restoration of peace and security for conflict-torn societies.", "United Nations engagement in fragile and transitional societies should immediately focus on strengthening accountable security and justice sectors in accordance with international standards in order to prevent a relapse into conflict. The goal of our engagement must be to render conflict-torn societies more resilient, promote understanding and recognition for the rule of law and provide a long-term perspective of sustainable peace. To be effective our engagement must strengthen the role of civil society and promote women as leaders of recovery.", "Austria welcomes the increasing support and activities by the General Assembly and the Security Council for strengthening the rule of law. At the 2005 World Summit, Heads of State and Government recognized the need for universal adherence to and implementation of the rule of law at both the national and international levels and reaffirmed their commitment to an international order based on the rule of law and international law. In 2006, at the initiative of Liechtenstein and Mexico, the General Assembly included a new item entitled “The rule of law at the national and international level” on its agenda. Since then, annual reports on the rule of law are prepared by the Secretary-General and discussed in the Sixth Committee.", "Austria strongly supports the envisaged high-level meeting of the General Assembly on the rule of law to be held at the beginning of the sixty-seventh session in September 2012 (Assembly resolution 65/32). While the modalities of this meeting will have to be discussed and finalized during the sixty-sixth session, Austria highly commends the initiative of the President of the Assembly at its sixty-fifth session, Joseph Deiss, to launch a discussion and refocus the attention of Member States on the rule of law by organizing an interactive thematic debate in the Assembly on the rule of law and global challenges on 11 April 2011. The debate, which highlighted the importance of the rule of law in relation to conflict situations as well as development, met with great interest among Member States and was an important stepping stone in preparing the high-level meeting. Michael Spindelegger, Minister for Foreign Affairs of Austria, one of the keynote speakers at the debate, pointed out that, while much progress had been made by the United Nations since the 2005 World Summit, lessons must be learned from recent events and greater emphasis should be placed on conflict prevention, national ownership and improving cooperation and coordination with respect to all rule of law activities. In that regard, he welcomed the Secretary-General’s idea of launching a new dialogue forum on the rule of law under the auspices of the United Nations (see www.un.org/ en/ga/president/65/initiatives/Rule%20of%20Law/Austria%20-%20FM.pdf for the full keynote address).", "The Security Council has also been giving growing attention to the rule of law. From 2004 to 2008, Austria organized a series of panel discussions and a retreat of experts to analyse the Council’s role in strengthening a rules-based international system. In April 2008, the final report from that initiative was issued (A/63/69-S/2008/270), which contained 17 recommendations on how the Council could support the rule of law in its various fields of activity. The Council held two open debates and adopted two presidential statements on the rule of law in 2006 and 2010, respectively. While it was a member of the Security Council, Austria, together with like-minded countries, consistently worked to mainstream the promotion of the rule of law in the daily work of the Council and its subsidiary bodies and to enhance the Council’s working methods. The Council adopted important resolutions in various rule of law areas, including on the protection of civilians, children in armed conflict and women and peace and security. Further examples include the resolutions on the establishment of the Ombudsperson of the Council Committee established pursuant to resolution 1267 (1999) and the residual mechanism for the United Nations ad hoc tribunals, as well as various resolutions mandating United Nations missions. These activities of the Security Council should continue, given its key role in the restoration of and respect for the rule of law and its support for transitional justice mechanisms (see S/2004/616, para. 64 (a)).", "A. Combating impunity and strengthening criminal justice", "1. International and mixed tribunals", "In Austria’s view, efforts to combat impunity and strengthen criminal justice at the international level constitute an important pillar of the rule of law and contribute substantially to the prevention of conflicts and serious violations of international humanitarian law. Therefore, Austria is a strong supporter of the International Criminal Court, ad hoc and mixed tribunals and other international criminal justice mechanisms as measures to end impunity for the most serious crimes of international concern. Since these mechanisms have an important role regarding the rule of law and transitional justice by ensuring accountability and guaranteeing due process, procedural safeguards and victims’ rights and gender justice, the Security Council should insist on full cooperation with international and mixed tribunals, including in the surrender of accused persons upon request (see S/2004/616, para. 64 (j)).", "Austria strongly believes that the International Criminal Court is one of the most effective tools to buttress the rule of law and combat impunity. In this regard, Austria commends the stocktaking of international criminal justice undertaken by the First Review Conference of the Rome Statute, held in Kampala at the invitation of the Government of Uganda from 31 May to 11 June 2011. Austria co-sponsored the amendment to article 8 of the Rome Statute and supported the amendment concerning the crime of aggression. In addition, Austria supports the Court in various other ways; for example, it was the first country to conclude an agreement with the Court on the enforcement of sentences. More recently, it has entered into discussions with the Court concerning the signing of a memorandum regarding the relocation of witnesses. In recognition of the need to make reparations to the victims, Austria has made substantial contributions to the Court’s Trust Fund for Victims. In combating impunity and strengthening criminal justice, the important role of civil society must also be emphasized. To encourage civil society efforts in this regard, each year Austria contributes substantially to the Coalition for the International Criminal Court.", "Austria remains committed to supporting the United Nations ad hoc tribunals for the former Yugoslavia and Rwanda, the Special Court for Sierra Leone, the Extraordinary Chambers in the Courts of Cambodia and the Special Tribunal for Lebanon, which have made significant progress in their work and thereby play an instrumental role in strengthening international criminal justice. Moreover, Austria promotes the court established by Bosnia and Herzegovina for the prosecution of war criminals and organized crime. International judges and public prosecutors are assigned for the prosecution of war crimes and international advisers are tasked with advising on the prosecution and punishment of corruption and organized crime.", "2. National justice systems", "While international courts and tribunals have decisively influenced the development of international criminal law and have become pillars of the rule of law, our efforts and resources should not focus only on such institutions. In fragile and transitional societies, United Nations initiatives must increase their support for national justice sectors and domestic reform constituencies, as well as for strengthening national legislation, taking into account international norms and standards.", "In this respect Austria actively implements the necessary measures at the national level. Austria has adopted legislation with regard to cooperation with the International Criminal Court, including judicial cooperation and enforcement of sentences in national law. In line with Austria’s commitment to the rule of law and the fight against impunity, the Austrian Penal Code already contains provisions for the punishment of genocide and for all such crimes which constitute crimes against humanity or war crimes. However, in order to explicitly meet the requirements resulting from the principle of complementarity as enshrined in the Rome Statute and pursuant to the Court’s resolution ICC-ASP/5/Res.3, Austria is in the process of integrating the crimes falling under the jurisdiction of the Court explicitly into domestic criminal law. Austria is complementing this initiative with legislation to explicitly integrate grave breaches of the Geneva Conventions of 1949 and their Additional Protocols and the Convention against Torture, as well as the International Convention for the Protection of All Persons from Enforced Disappearance into domestic criminal law. This project is expected to be completed by the end of 2011.", "B. The role and future of national and international transitional justice and accountability mechanisms", "In Austria’s view, crises will not be solved sustainably unless proper and timely attention is paid to justice, reconciliation, rehabilitation, reconstruction and development. In this regard, the support of the international community is crucial. We must ensure that rule of law and transitional justice considerations are integrated into the strategic and operational planning of United Nations peace operations (see S/2004/616, para. 64 (b)). Any approach to coming to terms with the past must take into consideration the specific situation and context and the full range of justice and reconciliation mechanisms, including prosecution efforts, truth and reconciliation commissions, national reparation programmes for victims and institutional reform, as well as traditional dispute resolution mechanisms, must be considered. In this context, the United Nations should increase its efforts to promote cooperation in prosecutions and documentation, to strengthen the role of civil society, especially vulnerable groups such as victims, witnesses and women, in prosecutions, and to promote reconciliation through truth-seeking. Often the process of being heard seems more important in post-conflict societies than the judicial outcome of formal proceedings. Nevertheless, reconciliation in post-conflict situations must be supported by a clear commitment to end impunity for serious violations of international humanitarian and human rights law, in particular to hold accountable the main perpetrators. Effective conflict resolution and long-term reconciliation depend upon the two mutually reinforcing concepts of peace and justice. And, although amnesties enable a reconciliation process with regard to some perpetrators, they must not be granted for serious violations of international humanitarian and human rights law.", "1. Prevention", "The efforts of the international community to promote the rule of law should focus more on prevention. The rule of law has a fundamental role in preventing conflicts and mass atrocities, stabilizing post-conflict societies and preventing the re-emergence of conflicts. As the Secretary-General put it in his 2004 report, “in matters of justice and the rule of law, an ounce of prevention is worth significantly more than a pound of cure” (S/2004/616, para. 4). In this regard, Austria supports the work of the Special Adviser for the Prevention of Genocide, who is mandated to collect existing information, particularly from within the United Nations system, to act as an early warning mechanism and to make recommendations to the Security Council through the Secretary-General. This illustrates clearly that the connection between massive and systematic violations of human rights and threats to international peace and security cannot be ignored. In Austria’s view it is important to explore additional ways to strengthen the genocide prevention capacities of the United Nations.", "The United Nations should increase its efforts to assist States in exercising their responsibility to protect their own populations from genocide, war crimes, ethnic cleansing and crimes against humanity, and to improve their early warning capability. At the 2005 World Summit, all Member States accepted that responsibility and pledged to act in accordance with it. This responsibility entails the prevention of such crimes, including their incitement, through appropriate and necessary means. Austria supports the three-pillar strategy proposed by the Secretary-General in his report on implementing the responsibility to protect (A/63/677). Most recently, the Security Council took decisive action to protect civilians in armed conflict by adopting resolution 1973 (2011).", "In our view the rule of law is key in implementing the responsibility to protect. It is essential to look at the responsibility to protect from a rule of law perspective, since the rule of law is a cross-cutting theme of all three pillars. Austria fully endorses the Secretary-General’s view that the rule of law is “fundamental to preventing the perpetration of crimes relating to the responsibility to protect” and that “the United Nations system, including through the engagement of donor countries, should increase the rule of law assistance it offers to Member States. The goals should be to ensure equal access to justice and to improve judicial, prosecutorial, penal and law enforcement services for all. Such steps would make it more likely that disputes within society could be resolved through legal, rather than violent, means” (A/63/677, para. 47).", "2. Awareness", "Knowledge and education are key to the prevention of mass atrocities and their reoccurrence. Austria has learned its lessons from its history. As a member of the Task Force for International Cooperation on Holocaust Education, Remembrance, and Research, Austria is highly committed to promoting education about the Holocaust in schools, universities and communities and encourages it in other institutions as stipulated by the Declaration of the Stockholm International Forum on the Holocaust in January 2000. Although ways of coming to terms with history vary in different cultures, we believe that knowledge about the Holocaust in its unique gravity and lasting impact can contribute to better understanding the root causes of genocide, war crimes, crimes against humanity and other mass atrocities. Such awareness will prepare the ground for other post-conflict societies to deal with their own past, for communities to respond to genocide and for survivors to attempt to live with their experiences. Awareness is an important precondition for preventing future breaches of human rights or international humanitarian law.", "Under this commitment Austria contributed to the international conference on “The global prevention of genocide: learning from the Holocaust”, organized by the Salzburg Global Seminar in 2010 with a view to providing a conceptual framework to link education, remembrance and research into the Holocaust to current efforts to prevent genocide, ethnic cleansing, racism, anti-Semitism and xenophobia around the world. A follow-up conference is planned for the summer of 2012, to be organized by the Salzburg Global Seminar, the United States National Holocaust Museum and the Federal Ministry for European and International Affairs of Austria. The objective of this conference will be to raise awareness of the linkage between Holocaust education and genocide prevention by addressing decision makers (Government officials and other policymakers) in the field of education.", "3. Protection of civilians", "The effective protection of civilians in armed conflict is another key element of prevention. Austria’s pronounced international engagement for comprehensive standards for the protection of civilians is exemplified by Security Council resolution 1894 (2009) on the protection of civilians in armed conflict, adopted unanimously under the Austrian presidency of the Council in November 2009. Although the last decade has seen significant progress in this area, the development of international norms and standards for the protection of civilians has not been fully matched by actions on the ground, including the reinforcement of the rule of law in societies torn by conflict. The resolution acknowledges that protection is a broad concept encompassing international humanitarian law and human rights law and goes beyond the domain of physical protection alone. Therefore, the Council mandates peacekeeping operations to assist States during and after conflict in the establishment of an environment in which all actors are accountable to laws that are publicly promulgated, equally enforced and independently adjudicated and which are consistent with international human rights norms and standards. In paragraph 11 of the resolution, the Council for the first time lists the full range of transitional justice mechanisms (prosecution, truth-seeking, reparation and institutional reform) and thus takes a holistic approach on the issue of fighting impunity for serious violation of international law, including violations of human rights and international humanitarian law. This was reiterated in the Council’s presidential statement of 22 November 2010 (PRST/2010/25, para. 9). The link between addressing the legacy of past human rights violations and sustainable peace and security was reaffirmed by the Council in its resolution 1960 (2010), in which it clearly stated that “ending impunity is essential if a society in conflict or recovering from conflict is to come to terms with past abuses committed against civilians affected by armed conflict and to prevent future such abuses”. On the occasion of the tenth anniversary of resolution 1325 (2000) on women and peace and security, the Council developed concrete indicators to track implementation of that resolution, including post‑conflict institutions and processes of transitional justice, reconciliation and reconstruction.", "In order to support the implementation of resolution 1894 (2009) and increase awareness, Austria supports the development of an African specialization course for the protection of civilians in armed conflicts. The curriculum of this course has been elaborated by the Austrian Study Center for Peace and Conflict Resolution in Schlaining, in cooperation with African training institutes. This training course should be adopted and offered by relevant African training centres, the regional Economic Communities and the African Union for professionals with civilian, police and military backgrounds.", "4. Human rights", "The rule of law and transitional justice is firmly rooted in human rights law and standards. The right to an effective remedy for victims of human rights violations has to be ensured at all times. The Human Rights Council plays a crucial role in affirming the rule of law in conflict and post-conflict societies. Through its special procedures and independent experts the Council contributes to monitoring and reporting on the implementation of human rights obligations and rule of law principles on the ground. The Office of the United Nations High Commissioner for Human Rights has developed useful rule of law tools on transitional justice questions, which should be put to use in the work of the United Nations on the ground. In recent special sessions of the Council on Libya and Côte d’Ivoire, the Council unequivocally stressed the importance of accountability and the need to fight against impunity and the need to hold to account those responsible for attacks on civilians. The practice of establishing international commissions of inquiry for serious human rights violations needs to be taken into account and further studied.", "5. Residual issues", "An important role of transitional justice and accountability mechanisms in the future will be the preservation of their legacy and residual issues, such as supervision and enforcement of sentences, pardoning and early release, protection of witnesses, review of judgments and management and preservation of archives. Justice is not a one-time event when a tribunal is created, when a fugitive is arrested or when a sentence is rendered. Rather, it is a process that may last for years and decades.", "As chair of the Security Council’s Informal Working Group on International Tribunals in 2009 and 2010, Austria led the negotiations and facilitated the adoption of resolution 1966 (2010) on the establishment of the International Residual Mechanism for Criminal Tribunals, which was a milestone in the field of international criminal justice. The Council decided to establish the Residual Mechanism with two branches, one for the International Criminal Tribunal for Rwanda in Arusha and one for the International Tribunal for the Former Yugoslavia in The Hague, which shall commence functioning on 1 July 2012 and 1 July 2013, respectively. The establishment of the Mechanism sent a strong message of the Security Council against impunity: The high-level fugitives indicted by the two tribunals cannot hide out and escape justice. The jurisdiction, rights and obligations and essential functions of the tribunals will be continued by the Mechanism. At the same time, the resolution sent a clear signal to the tribunals to take all possible measures to expeditiously complete their work no later than 31 December 2014, prepare their closure and ensure a smooth transition to the Mechanism.", "C. Informal mechanisms", "A holistic and comprehensive approach to restoring the rule of law in post‑conflict situations necessitates increased engagement with informal justice systems in order to improve accountability for perpetrators and access to justice for victims. Where formal accountability mechanisms cannot fully meet the goals of reconciliation and sustainable restoration of peace and security for conflict-torn societies, they can be effectively complemented by traditional dispute resolution mechanisms outside the scope of the formal justice system. Informal mechanisms are often more accessible and may have the potential to provide quick, cost-effective and culturally relevant remedies. They may operate closer to local constituencies and are not limited to dealing with only the most senior perpetrators. United Nations efforts should, while supporting the rule of law and improving the functioning of the formal justice institutions, recognize the potential of informal systems. Austria would like to commend the Office of the United Nations High Commissioner for Human Rights and the United Nations Development Programme for their standard-setting activities in this regard, including the provision of technical assistance to national efforts in the justice and security sector.", "However, informal justice systems are no universal remedy. Despite advantages, there are many situations where such systems fall short of achieving the goals of transitional justice and reconciliation. Informal justice systems are often discriminatory towards women and disadvantaged groups, do not always adhere to international human rights standards and sometimes perpetuate human rights abuses. They are susceptible to abuse of power and sometimes lack independence, and the skills and moral values of the individual operators influence the quality of justice. Therefore, United Nations initiatives should work towards enhancing the quality of dispute resolution and addressing the weaknesses faced by informal justice systems to ensure compliance with international human rights standards. Such initiatives should be part of the United Nations approach to transitional justice and the rule of law, with the broader goal of ensuring accountability and access to justice by working with both formal institutions and informal justice systems.", "D. Capacity-building projects", "Activities and projects for capacity-building and assistance to re-establish the rule of law in conflict and post-conflict societies are a main part of Austrian efforts to promote the rule of law. In addition, Austrian development cooperation programmes assist in transitional phases where disarmament, demobilization, reintegration of combatants, security system reform and the problems of vulnerable groups such as child soldiers need to be addressed.", "The Austrian Development Cooperation (ADC), for example, supports the International Center for Transitional Justice in strengthening the debate on transitional justice in the former conflict region of northern Uganda. The project aims particularly at strengthening the dialogue between civil society and government institutions by integrating aspects of truth finding, reconciliation and memory into the dialogue and providing relevant institutions in the justice and law and order sectors with the necessary capacities to thoroughly deal with issues such as law enforcement, truth finding and repatriation. Special attention is given to the specific needs of women and other vulnerable groups in the context of Security Council resolution 1325 (2000).", "In northern Uganda, ADC also supports the judiciary in the implementation of the peace, recovery and development plan by contributing to the establishment of relevant infrastructure (e.g., courthouses) and to activities in the area of transitional justice and formal and informal finding of justice.", "In Bosnia and Herzegovina, ADC supports State institutions created by the Dayton Agreement in 1995 that deal with war crimes of the past. ADC, for example, promotes the Court of Bosnia and Herzegovina, established for the prosecution of war criminals and organized crime (see sect. A.1 above).", "Although not in the context of a post-conflict situation, but with a view to preventing conflict, in a joint programme with the Swiss Development Cooperation, ADC will support Bhutanese efforts to achieve a sustainable and effective judicial system that is accessible, transparent, independent and efficient, ensuring the principles of non-discrimination and equality before the law. The support may include training, study visits or the funding of a permanent judicial training academy.", "Czech Republic", "[Original: English]", "A. Participation in civilian missions", "The Czech Republic regularly sends its police officers and legal experts on the rule of law and transitional justice to participate in civilian missions of the European Union, the United Nations and the Organization for Security and Cooperation in Europe (OSCE). For this purpose, the Police of the Czech Republic have an efficient system to train, equip and sustain their personnel abroad. The necessary resources are allocated from the State budget to ensure that the Czech Republic will fully honour its commitments arising from international treaties and membership in international organizations.", "Czech police officers take part mainly in operations that involve monitoring of the security situation, capacity-building, strengthening and support of local security forces and assistance in strengthening the rule of law. In this context, they have a broad range of assignments, including service as observers, liaison officers, advisers and instructors, as well as direct policing.", "Czech police officers were deployed to their first missions — the United Nations Interim Mission in Kosovo (UNMIK) and the United Nations Mission in Bosnia and Herzegovina — in 1999. In 2003, the Czech Republic joined the European Union Police Mission in Bosnia and Herzegovina. From December 2003 to September 2005, the Czech police took part in the European Union Police Mission in the former Yugoslav Republic of Macedonia. In 2004, they started to work at the Jordan International Police Training Centre training Jordanian policemen. That project ended in 2006. Since 2005, the Czech Republic has been taking part in the European Union Integrated Rule of Law Mission for Iraq. Since 2006, Czech police have been included in the European Union Border Assistance Mission to Moldova and Ukraine. In 2007, they started to participate in four new missions: the United Nations Observer Mission in Georgia, whose mandate expired in 2009, the European Union Monitoring Mission in Georgia, the European Union Police Mission in Afghanistan[5] and the European Union Coordinating Office for Palestinian Police Support (EUPOL COPPS). Since 2004, Czech police have been taking part in the United Nations Mission in Liberia,[6] and currently there are plans to contribute the police officers to the United Nations Interim Force in Lebanon and other United Nations missions in the Middle East (the United Nations Disengagement Observer Force and the United Nations Truce Supervision Organization).", "As of 1 April 2011, there were 35 Czech police officers involved in peace operations: 8 in Afghanistan (13 in total since 2008); 1 in Bosnia and Herzegovina (2 in total since 2003); 4 in Georgia (6 in total since 2008); 1 in Iraq (2 in total since 2005); 14 in the European Union Rule of Law Mission in Kosovo (30 in total since 2008, participation in UNMIK since 1999); 5 in Liberia (5 in total since 2004); 1 in EUPOL COPPS (3 in total since 2007); and 1 in the Joint Incident Prevention and Response Mechanism, Geneva (since 2010). The number of police officers serving abroad will be increased to 61 by the end of May 2011.", "A Czech public prosecutor (economic crime expert) has been working in northern Kosovska Mitrovica under the European Union Rule of Law Mission in Kosovo since 1 October 2010. Furthermore, the Czech Republic actively supports OSCE field operations to promote democracy, human rights and the rule of law. For these purposes, it provides financial contributions as well as personnel (experts sent to OSCE missions in Bosnia and Herzegovina, Albania and Macedonia).", "B. Seminars in the Czech Republic", "In autumn 2010, the Provincial Reconstruction Team in Logar (Afghanistan) organized a 10-day study visit to the Czech Republic for senior officials from Logar province, including public prosecutors and members of the prison service, law enforcement and security structures. In December 2010, the Ministry of Justice organized a seminar for the Eastern Partnership countries on judicial reform, the fight against corruption and human rights protection. The seminar was co-funded by the European Commission. The Ministry of Justice plans to organize a similar seminar for western Balkans countries and Turkey in June 2011.", "C. Provincial Reconstruction Team in Logar, Afghanistan", "The Czech Provincial Reconstruction Team is a joint project of the Ministry of Foreign Affairs and the Ministry of Defense of the Czech Republic. It has been working in Logar since March 2008 under the International Security Assistance Force led by the North Atlantic Treaty Organization and established by the Security Council in resolution 1386 (2001). The Team consists of 11 civilian experts from the Ministry of Foreign Affairs and 261 Czech Army personnel.", "The civilian component of the Team has implemented several capacity-building projects such as construction of a provincial prison facility, reconstruction of the provincial court building and construction of a training base for the Afghan National Police and the Afghan National Army. In addition, the Czech Republic contributes funds to the Law and Order Trust Fund for Afghanistan (LOFTA) established by UNDP.", "The Team’s military component has been providing training to the Afghan National Police since 2009. At first, the training took place on an ad hoc basis; however, today the Czech training teams are certified under the focused district development programme. The courses include basic instruction on the laws and regulations applicable to police work and on criminal and constitutional law. As suggested by the Team’s military component, legal courses are taught by the local public prosecutors with experience in criminal law. Their involvement is a very successful innovation — the lessons have become more effective and the police find it easier to cooperate with public prosecutors after the course. The training team currently consists of the Czech military police officers and remains one of the main providers of training to the Afghan National Police in Logar.", "In 2010, the Czech police deployed under the European Union Police Mission in different parts of Afghanistan were brought together at Forward Operating Base Shank in Logar. This concentration enables the European Union Police Mission to take part in the training provided to the Afghan National Police by the Provincial Reconstruction Team’s military component, to offer mentoring to mid-level management of the Afghan National Police and to contribute to the building of the rule of law (the police team at the Shank base includes a rule of law expert). The police team at the Shank base receives logistical support from the Provincial Reconstruction Team’s military component.", "D. The Czech Republic in the International Security Assistance Force", "Among the objectives of the International Security Assistance Force is to reduce the capability and will of the insurgency and support reconstruction and development, which shows that issues of rule of law and transitional justice are relevant to this operation. The Czech army units under command of the Force provide training to the Afghan National Police, which is currently their only task directly related to the rule of law.", "The Force’s rule of law programme is implemented by legal advisers and personnel of the military police of the United States Army’s Task Force Spartan, which covers operations in Logar and Wardak. There has been informal cooperation between Task Force Spartan and the Czech Army’s third contingent (the contingent, serving under ISAF command, included a rule of law expert) in respect of meetings with local judiciary, consultations on how to make the justice system more efficient and the training of local police.", "E. Other activities", "The Czech Republic takes an active part in European Union election observation missions, sending several dozen Czech election observers every year. Under its transition promotion programme, it supports projects of Czech non-profit organizations in post-conflict countries (Iraq, Georgia, Kosovo), e.g., in the fight against corruption, local government capacity-building and strengthening of civil society.", "F. Lessons learned from the Czech Republic’s activities in the field of the rule of law and transitional justice in conflict and post-conflict situations", "An active involvement in potential risk areas is essential. The work done by experts in conflict areas helps to stabilize the security situation in the region, which eventually benefits the internal security of the Czech Republic (by reducing migration flows from the conflict region, increasing the capability of the local government to fight organized crime, etc.).", "In the light of the experience gained in Afghanistan, the Czech Republic believes that one of the objectives in the field of rule of law and transitional justice in conflict and post-conflict situations should be to strengthen the links between the formal and informal justice systems and to enhance national ownership based on fundamental international standards.", "The Czech Republic supports any measures to improve the sharing of information, experience and experts between the European Union missions (and agencies responsible for them), the agencies in charge of the internal security of the Union (such as the European Police Office) and the United Nations missions. Enhanced cooperation is one of the ways to increase the efficiency of the fight against organized crime, drug smuggling and terrorism.", "Denmark", "[Original: English]", "The promotion of rule of law, access to justice and security are key objectives of Danish development cooperation.[7] A well-functioning justice system based on universal human rights is pursued as an objective in its own right. Denmark also believes that the rule of law has an instrumental value for achieving poverty alleviation and sustainable development as it promotes and protects people’s social and economic rights, livelihoods and personal and property rights. A well-functioning justice system also enables everyone to claim their rights and to seek compensation (both against the State and against others) where their rights have been infringed. It contributes to peace and security by providing mechanisms to manage and solve conflicts and disputes and respond to grievances and it also offers a system to end impunity.", "Against this background, Denmark supports long-term programmes of considerable size in most of its partner countries with the objective of improving access to justice and the rule of law. Recognizing that informal justice systems and dispute resolution mechanisms handle the majority of disputes in many of these countries, the programmes often address both formal and informal structures, institutions and processes as well as State and non-State actors. The programmes typically address one or several of the following elements: the development and implementation of sector- or institution-wide strategies and plans; constitutional or law reform; training of justice sector personnel; infrastructure development and modernization; legal and paralegal aid; civil society advocacy; alternative and informal dispute resolution mechanisms, including traditional and customary law systems, and their linkages with the formal justice system; and monitoring, documenting and reporting on the human rights situation by national human rights institutions and/or civil society organizations.", "Countries in conflict or emerging from conflict face a number of specific justice and security challenges. Countries coming out of violent conflict need to address the past by initiating processes for reconciliation at national and community level as well as responding in different ways to war crimes, genocide, crimes against humanity and serious human rights violations. Processes to uncover and document “the truth”, identify those responsible, reconcile opposed groupings and provide compensation for past violations (transitional justice) are complex and need an array of different response mechanisms. In some cases, specific legal conflicts and crimes also arise as a direct or indirect consequence of violent conflicts, such as increased rates of violent crimes within communities that have had their social fabric destroyed; disputes over land posing persons and communities that stayed behind against those that were displaced; and the transitioning of previous militarized groupings into organized crime and violence.", "These issues need to be addressed together with the often immense tasks related to renewed State-building processes and the need to ignite human and economic development. The re-establishment of national justice and security systems adhering to the principles of rule of law is an essential component of the State-building agenda.", "Denmark supports several initiatives that address issues related to both transitional justice and the establishment and strengthening of national justice and security systems firmly anchored in principles of local ownership and sustainability.", "Examples of such engagement are the support to the Juba peace process in northern Uganda, which had a strong focus on transitional justice with provisions for accountability and reconciliation followed up with the establishment of a war crimes division of the High Court; the International Commission against Impunity in Guatemala, addressing crimes committed by illegal security forces and clandestine security organizations; and conflict resolution mechanisms and access to justice at community level in Afghanistan, southern Sudan and Somalia, which will be strengthened in more encompassing new initiatives addressing needs at the community level and needs for capacity and institutional development of the justice and security sectors through support for the strengthening of border management, including coast guards and regional peacekeeping forces.", "Denmark supports and advocates for the strengthening of the engagement and capacity of the United Nations to strengthen and support national reconciliation processes, transitional justice mechanisms and national justice and security systems. This is critical as the United Nations is often the first international player on the ground in a position to support the initial steps in often painful and difficult peace and State-building processes where the rule of law, human rights, access to justice and security need to take centre stage to ensure the framework for human and economic development.", "Promoting domestic capacity to prosecute crimes under the jurisdiction of the International Criminal Court", "Since the establishment of the International Criminal Court, Denmark has been a strong supporter in terms of political, economic and practical assistance.", "As a focal point within the Assembly of Parties States, together with South Africa, Denmark has paid special attention to the topic of positive complementarity, i.e., cooperation aimed at enhancing the domestic capacity of (developing) countries to prosecute crimes that are under the jurisdiction of the Court, including genocide, war crimes and crimes against humanity.", "With the Court only prosecuting the most responsible, it is essential to strengthen the domestic judicial systems of developing countries and thereby making them capable of investigating and prosecuting genocide, war crimes and crimes against humanity committed by individuals not prosecuted by the Court. Such an approach entails support to the strengthening of the judicial systems in general. If countries are able to prosecute these crimes themselves, potential International Criminal Court trials can be avoided. This link between international prosecution mechanisms and national legal systems is in Denmark’s view of great importance and makes sense both from a political and economic perspective.", "The work on positive complementarity has already generated much interest from States, international and regional organizations and civil society. The United Nations and the European Union, among others, are developing ways to operationalize complementarity in their own development work.", "Finland", "[Original: English]", "Finland is deeply committed to strengthening the rule of law at both the national and international levels. Respect for international law and in particular for human rights is a prerequisite for international peace and security. Promotion of the rule of law is vital in conflict prevention as well as in conflict and post-conflict situations. Lack of national judicial capacity is not only a cause of conflict but also an impediment to its sustainable resolution. Likewise, the rule of law is an integral part of sustainable development. This is particularly true in post-conflict situations, where the need for justice is greatest, but the structures for its delivery may have collapsed or lost their legitimacy. The culture of rule of law with independent courts and a legal system securing equality before the law and accountability to the law, its functioning and reform are linked to a safe and secure environment and combating impunity; implementation of peace agreements; and peaceful mechanisms for dispute resolutions. Finland emphasizes the importance of the rule of law as a cross-cutting theme in addressing conflict and post-conflict situations and has actively participated in peacebuilding operations in the framework of the European Union and the United Nations in restoring the rule of law.", "The International Criminal Court and other international criminal tribunals have an important role in upholding the international rule of law by combating impunity for the most serious international crimes. Among other things Finland stresses the importance of the universal ratification of the Rome Statute of the International Criminal Court and its full implementation as well as effective cooperation with the Court. The jurisdiction of the Court is based on complementarity. The States have the primary responsibility to nationally investigate and prosecute for the most serious international crimes. Efforts to strengthen the capacity of national legal systems in this regard have also contributed to strengthening the rule of law at the national level.", "Also, we must not overlook traditional justice mechanisms which are equally relevant. But, justice must not only be retributive, it must also be restorative. For victims of a conflict or long-lasting social exclusion, it can be important to have an opportunity to tell their story from an equal footing with other members of the society, or to hear an official recognition of the wrongs committed. An element of the concept of rule of law is that victims’ voices should be heard. If the victims do not sense that there is accountability to the law and fairness in application of the law, it will seriously harm their trust in rule of law.", "Targeted sanctions raise questions concerning the guarantees of due process and the rule of law. Finland underlines the need to ensure that fair and clear procedures exist for placing individuals and entities on sanctions lists and for removing them.", "The United Nations is well placed to assist States in enhancing and strengthening their national rule of law capacity. In its own development cooperation, Finland aims at supporting national sector-wide strategies, wherever possible, and encourages the alignment of assistance behind national priorities. Assistance is particularly called for in conflict and post-conflict situations. Dialogue and participation of civil society in justice sector reforms are vital to the success of the process. Coordination and coherence of different United Nations actors, between the United Nations and the World Bank and with the various bilateral actors is essential. The United Nations Rule of Law Coordination and Resource Group supported by the Rule of Law Unit is a mechanism where roles and responsibilities of different United Nations entities and agencies can be usefully integrated and consolidated.", "States and societies involved in conflict have the responsibility to resolve the relevant issues of transitional justice, including those of peace and justice. It should be clear that decisions need the support of the local population. Challenges include how to combine peace and justice in a balanced way. Human rights violations and international crimes such as genocide, war crimes and crimes against humanity cannot be forgotten in order to reach a peace. A commitment to human rights and accountability and a concrete road map should be included in all peace agreements. Promoting and supporting the rule of law in fragile States in order to facilitate State-building and institution-building processes is essential. The post-conflict situation is challenging for rule of law development as there are so many problems to address such as loss of material, institutions and human capacity, lack of an adequate legal framework, insecure environment, human rights violations and a culture of impunity, threats to judicial independence and impartiality, distrust in existing structures and root causes of conflict. Conflict situations also require reparations to the victims of conflicts. The participation of women has to be integral to all peace processes in accordance with 1325 (2000), and the subsequent resolutions 1820 (2008), 1888 (2009), 1889 (2009) and 1960 (2010).", "The rule of law is vital for the development of any given country. In fragile States it is crucial in order to support State-building and institution-building processes. Functioning rule of law is central for economic development as it ensures that there is a legal basis for economic activity and that laws and rules are in place to guide the role of authorities, preventing corruption and arbitrariness. The rule of law establishes the tools and means for democratic participation; it also provides mechanisms to complain about the functioning of authorities.", "Finland promotes action against impunity by regularly supporting activities in this field. We are supporting the International Criminal Court and its different supporting organizations, for example the Coalition for the International Criminal Court. Finland is an important donor of the Court’s Trust Fund for Victims. In addition, Finland gives financial support to other international tribunals such as the Special Court for Sierra Leone and the Extraordinary Chambers in the Courts of Cambodia. Furthermore, Finland supports the work of the International Commission against Impunity in Guatemala as well as civil society organizations in their work against impunity.", "Finland is of the view that capacity-building and assistance in the field of rule of law is an essential sector in development assistance, especially in societies recovering from conflict. The needs of the recipient countries should form the basis for such assistance. Finland’s yearly allocation of development cooperation funds in this sector is over 30 million euros.", "Kenya", "[Original: English]", "A. Background", "Armed conflict, be it international or internal, causes great suffering to the victims and society as a whole. It constitutes a situation where the rule of law is absent and human rights are no longer respected. Even though various preventive endeavours have been advocated and implemented by the international community, occurrences of armed conflict are still inevitable owing to political fluxes and fractions or disputes over power, which prove that preventive measures alone are not enough. This grave situation calls for the use of transitional justice to tackle the repercussions of armed conflict in post-conflict situations, which in the long run can enhance measures aimed at preventing the reoccurrence of armed conflict. However, the implementation of transitional justice in post-conflict situations has been problematic owing to various factors, most prominently, the preference of States to apply realpolitik and amnesty laws to perpetrators of gross human rights violations in order to gain political stability. Accountability for gross human rights violations remains a major factor in establishing justice and peace in post-conflict situations.", "Conflicts are not a new phenomenon in Kenya. There was violence associated with the 1992 and 1997 elections. Most recently, the 2007/08 post-election violence left 1,133 people dead, 3,561 seriously injured and over 300,000 internally displaced according to the report of the Commission of Inquiry into Post-Election Violence (CIPEV).", "Our experience in the past two decades has demonstrated clearly that the consolidation of peace in the immediate post-conflict period, as well as the maintenance of peace in the long term, cannot be achieved unless the population is confident that redress for grievances can be obtained through legitimate structures for the peaceful settlement of disputes and the fair administration of justice. At the same time, the heightened vulnerability of minorities, women, children, prisoners and detainees, displaced persons, refugees and others, which is evident in all conflict and post-conflict situations, brings an element of urgency to the imperative of restoring the rule of law.", "While transitional justice refers to the set of activities and processes that can bring closure to the memory of past injustices and atrocities, constitutional change speaks to the need to create a new, democratic and human rights-responsive framework of governance. The two processes are now running concurrently as stipulated by agenda IV of the Agreement on the Principles of Partnership of the Coalition Government (popularly known as the National Accord), which brought an end to the post-election violence.", "Agenda IV sets out a long-term national reconciliation and healing process that takes a deep look into the country’s past. It also mandates the current coalition Government to enact a new, democratic Constitution before the next general election, in addition to undertaking extensive reforms of State institutions, including security sector and criminal justice institutions.", "To this end, under the current Constitution, there are reforms to ensure that institutions are strengthened so that the rule of law is upheld at all times. The reforms are mainly in the judiciary, the security sector, the office of the Attorney General and the office of the Director of Public Prosecutions, which are key to transitional justice and promotion and protection of the rule of law.", "B. Kenya’s progress", "Truth, Justice and Reconciliation Commission", "The Government established a Truth, Justice and Reconciliation Commission in July 2009 to spearhead a national process of truth-telling, healing and reconciliation. The Commission may turn out to be an important mechanism that can enable the country to change its human rights behaviour in a lasting way.", "The Commission is in the process of gathering and collating views from people in different parts of the country on their experiences that have touched on human rights violations.", "Judiciary", "The existence of an independent judiciary is at the heart of a judicial system that guarantees human rights in full conformity with international standards. Indeed it is the obligation of every State to ensure that the judiciary is an independent arm of government.", "Thus the institution itself and the judicial officers must be free to carry out professional duties without interference from any quarters whether external or internal. This independence must be protected in law and in practice.", "To this end, Kenya, under the current constitutional dispensation, is undertaking key steps to reform the judiciary. First, there has been a reconstruction of the Judicial Service Commission under article 172 of the Constitution. The Judicial Service Commission is a body that facilitates the independence and accountability of the judiciary and the efficient, effective and transparent administration of justice.", "Second, there is an ongoing effort to appoint a new Chief Justice, who in the new scheme of things will also be the President of the Supreme Court, which is a new constitutional creation as provided for in article 163 of the Constitution. Indeed, the urgency of change in the judiciary is exemplified by the fact that the Constitution provides, in schedule 6, that the Chief Justice shall be the first top-ranking government official to leave office six months after its promulgation. This has since been done. There is also the creation of the office of the Deputy Chief Justice.", "Third, the recently enacted Vetting of Judges and Magistrates Act, Act No. 2 of 2011, whose objective is to establish mechanisms and procedures for the vetting of judges and magistrates pursuant to section 23 of schedule 6 of the Constitution. The process of vetting judicial officers is aimed at strengthening the judiciary by assessing the integrity of the judges in order to determine their suitability for positions in the judiciary.", "Fourth, the Judicial Service Act, Act No. 1 of 2011, gives the judiciary the financial autonomy required for effective management of its matters and programmes, the disciplining and removal of judicial officers and the establishment of the National Council on Administration of Justice charged with formulating policies relating to administration of justice.", "There is also expansion of the courts. The new Milimani courts complex in Nairobi was a major development in the physical expansion. The new courts provide for automation to expedite judicial processes and guarantee justice to the citizens.", "The security sector", "Experiences from post-conflict and transitional societies such as Sierra Leone and South Africa show that improving security and governance helps create peace and other suitable conditions for meaningful social reconstruction and development to take place.", "The post-election crisis vividly exposed the grave shortcomings of the Kenya security sector, whose image was badly tarnished by the illegal and unjustifiable actions of some of its members. According to CIPEV, most elements in the security sector threw away all pretence at professionalism during the crisis. The Government then set up the National Task Force on Police Reforms with the main aim of looking into reforms in the police.", "From the recommendations of the Task Force and CIPEV, and in line with the Constitution, the Government will table five bills in Parliament to reform the police force: the independent police oversight bill, the police reforms bill, the national coroners services bill, the Police Service Commission bill and the private security providers bill.", "The Kenya police recruitment is also in line with the police reforms. The Regular & Administration police recruits will train together under a newly reviewed training programme. The training period has also been extended from six (6) to nine (9) months as per the reviewed training programme.", "Office of the Director of Public Prosecutions", "The office of the Director of Public Prosecutions is established under article 157 of the Constitution. Unlike in the old constitutional dispensation, where it was part of the office of the Attorney General, the new dispensation makes it an autonomous body to institute and undertake criminal proceedings against persons before any court. This office is key in the promotion of the rule of law.", "Further, the Witness Protection Agency has been established under this office to offer special security to those giving evidence in court. It was established under section 3A of the Witness Protection Act of 2006 (as amended in 2010) to respond to the difficulties the country had experienced in investigating and prosecuting those involved in the 2007/08 post-election violence and other crimes. The launch was a landmark in the criminal justice system not only in Kenya but in Africa, Kenya being the second country, after South Africa, to establish such a programme.", "Informal justice systems", "Traditional and informal dispute resolution mechanisms provide a valuable means of addressing disputes of the kind that have often given rise to conflict in Kenya in the past. Violence has tended to flare up in regions where misunderstanding and conflicts arose over the allocation and use of land and natural resources such as pasture and water by different ethnic communities.", "Traditional and informal dispute mechanisms can help diffuse tensions early and bring opposing sides to the same table, thus providing an alternative to violence and force. They may also provide a forum that is more financially accessible and to which the parties feel greater affinity than formal legal processes.", "The current Constitution is amenable to traditional and informal dispute mechanisms while ensuring that their use is compliant with justice and the Bill of Rights. Article 159 (2) (c) of the Constitution provides that, as a guiding principle in exercising judicial authority, “alternative forms of dispute resolution including … traditional dispute resolution mechanisms shall be promoted”. Additionally, article 67 on the National Land Commission mandates that body to encourage the application of traditional land dispute mechanisms in land conflicts. While these are early days, the availability and recognition of these mechanisms is a promising development.", "International transitional justice", "The field of transitional justice has expanded over the years and is no longer restricted to national transitional justice mechanisms. It is generally accepted that all States have an obligation to take reasonable steps to prevent human rights violations; to conduct a serious investigation of violations when they occur; to impose suitable sanctions on those responsible for the violations; and to ensure reparation for the victims of the violations.", "Those principles have been explicitly affirmed by decisions of various courts and endorsed in decisions by the European Court of Human Rights and by United Nations treaty bodies such as the Human Rights Committee. The 1998 creation of the International Criminal Court was also significant, as the Court’s stature enshrines State obligations of vital importance to the fight against impunity and respect for victims’ rights.", "Kenya passed the International Crimes Act, which domesticates the Rome Statute of the International Criminal Court. Further, article 2 (5) of the Kenyan Constitution provides that customary international law shall form part of the laws of Kenya. This means that crimes such as genocide, war crimes and crimes against humanity are automatically crimes under Kenyan law.", "Kenya therefore appreciates the fact that international transitional justice is necessary to complement the national mechanisms that are in place.", "C. Conclusion", "Kenya has made commendable efforts in establishing the constitutional, legislative and institutional framework that would secure justice and peace in post-conflict situations. We are now in the process of passing legislation, establishing institutions and making appointments which are key to transitional justice and the promotion and protection of the rule of law.", "New Zealand", "[Original: English]", "As a long-standing supporter of international law and the rule of law, New Zealand remains committed to strengthening the rule of law both nationally and internationally, and was one of the first countries to pass legislation that creates an obligation on lawyers to “uphold the rule of law”. New Zealand views the rule of law as playing a crucial role in the area of transitional justice within both conflict and post-conflict situations.", "New Zealand therefore welcomes the discussions on these issues in the Sixth Committee and would like to offer the following comments, which relate to New Zealand’s experiences in the historical Treaty of Waitangi settlements process. Of particular interest is the role of the Waitangi Tribunal, which has a pivotal part to play in facilitating redress for historic Treaty breaches. The Tribunal’s jurisdiction is unique within New Zealand and globally has no close parallel.", "A. Background to Waitangi Tribunal", "New Zealand’s Treaty of Waitangi, signed in 1840 between Māori, New Zealand’s indigenous peoples, and the Crown, is regarded as one of the founding documents of New Zealand’s constitutional arrangements. The Treaty provides a framework for the relationship between Crown and Māori.", "Consistent with constitutional principles, however, the Treaty of Waitangi binds the Crown only to the extent that it is enacted in legislation. Māori who wished to complain about breaches of the Treaty therefore had few avenues for redress, until the establishment of the Waitangi Tribunal in 1975.", "In the Treaty of Waitangi Act 1975, New Zealand’s Parliament established the Waitangi Tribunal to provide a legal process by which Māori Treaty claims could be investigated. The Tribunal’s establishment was a response to the rise in Māori protest in the 1960s and 1970s over instances where the Treaty of Waitangi had not been observed.", "The Tribunal’s inquiry process contributes to the resolution of historical Treaty claims, and in that way, to the reconciliation of outstanding issues between Māori and the Crown. It also looks into contemporary Treaty claims. Claims may be made only against the Crown, as a party to the Treaty.", "B. Role of the Waitangi Tribunal in the Treaty settlement process", "The Waitangi Tribunal plays an important part in the wider Treaty settlement process between Māori and the Crown. Claimants can choose to either enter into direct negotiations with the Crown (the Office of Treaty Settlements is the agency of the Crown responsible for negotiating settlements between Māori and the Crown), or have their claims heard by the Tribunal before entering into negotiations. Generally, a claimant group who wishes to enter into direct negotiations with the Crown must cease actively pursuing their claim or claims before the Tribunal, although exceptions do apply (where, for example, a completed report is important to the historical record). Treaty settlements, once agreed, are implemented through legislation passed by Parliament.", "The Tribunal functions not as an adversarial court but as a commission of inquiry that makes findings on whether a claim is well founded, and outlines if and how the principles of the Treaty have been breached. These findings are published in an official report to New Zealand’s Minister of Māori Affairs. The Tribunal may make practical recommendations to the Government of New Zealand about what could be done to compensate the claimant (or claimants) or to remove the harm or prejudice that they suffered. While its recommendations are not, except in certain cases, binding, the Crown will consider the Tribunal’s recommendations. To this end an annual report is prepared by the Minister of Māori Affairs that considers the Crown’s progress in implementing the Tribunal’s recommendations. Importantly, the Tribunal can make binding recommendations in relation to certain commercially valuable assets owned by the Crown (such as forests and properties of State-owned entities). The Crown and tribal groups have, however, generally agreed on redress over such assets, avoiding the need for further litigation.", "The Tribunal aims to add value to the settlement of claims by conducting a robust inquiry and identifying all parties and their representatives in order to clarify key issues, resolve points of contention where possible and deliver parties ready to negotiate a settlement. The hearings process also allows claimants the chance to tell their story and air their grievances in a way that is incorporated into the official record. The process can therefore also be considered as helping claimants to move from a “grievance” to a “settlement” mindset.", "C. Substance of claims before the Waitangi Tribunal", "The Tribunal can examine any claim by Māori individuals or groups who may have been prejudiced by laws and regulations or by acts, omissions, policies or practices of the Crown since 1840 that are inconsistent with the principles of the Treaty of Waitangi.", "Claims can be historical (for instance, where people claim compensation for historical land) or contemporary (for instance, where claimants say a current Government policy, action or inaction is in breach of Treaty principles). Contemporary claims are those that have arisen since 1992. While historical claims were able to be filed from 1985, since 2006, claims based on historic injustices were required to be lodged with the Tribunal by 1 September 2008. This is because claims can overlap geographically and it is important that the Tribunal be advised of all claims when undertaking investigations (as well as for the Crown to have this information when negotiating settlements).", "Filed claims are aggregated by the Tribunal into different hearings so that claims that raise similar concerns can be heard at the same time. For example, claims may be “district” (e.g. relating to a particular land block or locality) or “generic” (dealing with matters of national significance, such as immigration policy).", "D. Rule of law principles and the Waitangi Tribunal", "A number of principles central to the rule of law are espoused in the workings of the Tribunal, the upholding of which is essential to the Tribunal maintaining its legitimacy and role in a meaningful settlement process.", "The creation of a specialist Tribunal, with retrospective jurisdiction, reflects the Crown’s acknowledgement of the need to establish a properly enacted, non-arbitrary and principled approach to inquiring into the merits of Māori claims of historical breaches of the Treaty by the Crown.", "Separation of powers. The Tribunal is a specialist tribunal that is independent of the Executive. Its independence enhances its legitimacy by enabling an impartial and credible process for examining Māori claims. New Zealand’s Ministry of Justice is charged with providing support and other services necessary to enable the Tribunal to carry out its work (through the Waitangi Tribunal Unit). The Tribunal also has jurisdiction (which the New Zealand courts do not have) to review settlement agreements between the Crown and Māori, and to review legislation to ensure consistency with the principles of the Treaty of Waitangi.", "Participation in decision-making. The membership of the Tribunal reflects the principle of partnership inherent in the Treaty of Waitangi through representation of Māori and non-Māori. The claimants and the Crown are given the opportunity to be heard, consistent with principles of natural justice.", "Transparency of decision-making. The Tribunal aims to conduct inquiries through public and transparent processes. Tribunal hearings are open to the public so that anyone can attend. Public notices of all Tribunal hearings are published in local and regional newspapers. Members of the public may in most cases access the register of claims and documents entered on the record of inquiry of each claim. Ultimately, the Tribunal’s findings are published in official reports to the Minister of Māori Affairs that are publicly available on the Tribunal’s website.", "Procedural transparency and certainty. The Tribunal’s processes are published in its “Guide to the practice and procedure of the Waitangi Tribunal”. If circumstances require (and would serve the process), the Tribunal may vary the specific procedures or practices outlined in the Guide.", "E. The Tribunal as a bicultural body", "Given that the Tribunal aims to reconcile grievances between Māori and the Crown, taking a bicultural approach to its operations is important to its legitimacy. Accordingly, the Tribunal comprises both Māori and non-Māori members, with at least one Māori member required to be present at every sitting of the Tribunal. Where practical, the Tribunal will hear Māori evidence and submissions according to Māori protocols. Giving evidence in te reo (Māori language) is common and encouraged by the Tribunal with a live translation service available. Submissions may also be given in te reo.", "Being a permanent commission of inquiry rather than a court of law also gives the Tribunal relative flexibility. Its processes are more inquisitorial than adversarial, and in particular, the Tribunal can conduct its own research. The Tribunal often holds hearings on a marae (communal place), but also in public halls, schools, courtrooms or conference rooms. Both technical evidence and tangata whenua (customary) evidence is heard by the Tribunal. The Tribunal’s processes are also tailored to focus on collective or tribal rights and interests.", "Oman", "[Original: Arabic]", "The Government of Oman would like to express its thanks and appreciation for the efforts made by the United Nations, and all of the committees, to instil the principle of the rule of law at the national and international levels. The Government would like to take this opportunity to affirm that the rule of law is one of its top priorities at the national level. This principle is an essential cornerstone of the legislation currently in force, and guides the authorities responsible for applying the law and the judicial authorities responsible for prosecuting offenders. At the international level, Oman, just as all other countries in the world, strives to make the rule of law one of the principles that govern its relations with other States and with regional and international organizations. It should be noted that Oman considers international instruments, which are the primary source of international law, as having the force of law once they have been ratified by His Highness the Sultan, in accordance with Constitutional requirements (article 75 of the Basic Law of the State). Should Omani law conflict with a duly ratified international instrument, the latter has priority, making such instruments subordinate only to the Basic Law.", "Oman agrees with those countries that call for universal adherence to the rule of law and for its application at the international and national levels, whether in time of conflict or in post-conflict situations, because that is indispensable to achieving the noble goals to which the international community aspires, including stability, which lays the ground for economic growth, sustainable development, combating crime, eradicating poverty, hunger and disease and diminishing the effects thereof, and mitigating the impact of wars and armed conflicts. Oman believes that, in order for there to be justice for all, everyone must be equal before the law. It further believes it is essential that the rule of law not be used as an instrument of political blackmail because such use would surely bring about results that are contrary to the rule of law.", "Qatar", "[Original: Arabic]", "Qatar strives to foster the rule of law at the national and international level, both in the context of the United Nations and through bilateral or multilateral cooperation with Member States.", "The principle of the rule of law is affirmed in the Constitution and criminal laws of Qatar; it is also applied by the competent courts. In that connection, we would like to draw attention to the following.", "Articles of the Constitution that affirm the principle of the rule of law", "Article 129 states that the rule of law is the basis of government in the State. The integrity of the judiciary and the impartiality and fairness of judges shall serve to guarantee rights and freedoms.", "Article 6 states that the State shall abide by international charters and conventions, and strive to implement all international treaties, charters and conventions to which it is party.", "Article 34 states that citizens shall be equal in public rights and duties.", "Article 35 states that all persons are equal before the law. There shall be no discrimination on the basis of sex, race, language or religion.", "Article 36 states that personal freedom shall be guaranteed. No person may be arrested, detained or searched, nor may his freedom of residence and mobility be restricted, other than in accordance with the law. No person may be subjected to torture or degrading treatment. Torture shall be considered a crime punishable by law.", "Article 39 states that an accused person is presumed innocent until convicted by a court, following a trial wherein the person’s right to present a defence was duly observed.", "Article 40 states that all offences and penalties shall be defined by the law and all penalties shall be applied in accordance therewith. The offender alone shall be penalized for his acts.", "The Penal Code", "In implementation of article 40 of the Permanent Constitution of Qatar, the Penal Code defines and categorizes offences and sets out appropriate penalties.", "Code of Criminal Procedure", "The Code of Criminal Procedure sets out well-defined procedures for criminal trials that guarantee the rights of the accused and afford him access to every means of defence. Under the Code of Criminal Procedure, the court system is divided into three levels: the courts of first instance, the courts of appeal and the court of cassation.", "The Code of Criminal Procedure devotes great attention to the question of penalties. Article 323 of the Code provides that no penalty or measure prescribed by law for any crime may be carried out in the absence of a judgement issued by a competent court.", "International judicial cooperation", "The Code of Criminal Procedure, in article 407, provides that, without prejudice to international instruments that are in force in Qatar, and on condition of reciprocity, the Qatari judicial authorities shall cooperate in respect of criminal matters with foreign and international legal authorities, in accordance with the provisions of the Code.", "Slovenia", "[Original: English]", "Slovenia strongly supports the United Nations debate and activities relating to the rule of law, particularly the work of the Rule of Law Coordination and Resource Group and the Rule of Law Unit. Respect for the rule of law is the basis for the activities of Slovenia, both in its national and international affairs. Slovenia previously submitted a report on the rule of law, which was included in the report of the Secretary-General (A/65/318).", "This response therefore focuses on the significance of the rule of law in societies devastated by conflict and transitional justice. The establishment of the rule of law in the activities of countries in post-conflict situations is essential for ensuring future peaceful co-existence in the conflict-affected societies. It is important to ensure fair and unbiased judicial proceedings and establish responsibility for past grave violations of human rights, as only justice will bring long-lasting peace. Slovenia, as a State party to the Rome Statute, actively supports the work of the International Criminal Court, which is one of the most important international instruments for the prosecution of the most serious crimes, and calls upon all States to cooperate fully with the Court. The work carried out by the International Criminal Court and other international criminal tribunals (in the Former Yugoslavia and Rwanda, etc.) proves that the international community will not tolerate impunity for grave violations of international humanitarian law. Slovenia regularly makes financial contributions to the tribunals, as well as additional voluntary contributions (e.g. to the Special Court for Sierra Leone). Slovenia pays particular attention to the victims of international crimes and is among the 10 largest donors to the International Criminal Court Trust Fund for Victims with a total contribution of 51,500 euros.", "Slovenia is convinced that the rule of law at all levels of governmental institutions’ activities, and effective control by non-governmental organizations, must be ensured. Transparent and unbiased functioning of public administration is the basis for the effective development of individual societies.", "Slovenia is of the opinion that the international community is obliged to provide assistance to conflict-affected societies in accordance with their needs and requests. Slovenia strongly supports the efforts of international organizations in implementing programmes of assistance for conflict-affected societies, which represents an important step forward on the path to a better world in the future. Furthermore, Slovenia supports the activities of non-governmental organizations, within which many individuals diligently provide assistance to affected societies at all levels of post-conflict recovery. Slovenia is also striving to provide active assistance by means of its European Union membership and direct bilateral assistance to affected countries.", "Slovenia is making a special effort to provide assistance to the neighbourly western Balkan countries in the field of justice and home affairs.", "Within the framework of the three-year European Union project on European Union criminal justice instruments in practice, the Justice Education Centre at the Ministry of Justice of Slovenia cooperated with the Croatian Academy of Justice. Twenty-seven Croatian judges and prosecutors attended several seminars taking place in Slovenia, and two workshops on Eurojust and the European Judicial Network, were organized in Rijeka and Zagreb by the Justice Education Centre of Slovenia. Based on the Instrument for Pre-Accession Assistance regional project for intellectual property rights protection in the western Balkans, the Centre also organized education for Macedonian judges in cooperation with the European Patent Office. The Ministry of Justice of Slovenia and the Republic of Macedonia have concluded a memorandum on cooperation, which includes justice education. The “Brdo Process”, a Slovenian initiative, was launched in March 2010 with the aim, among others, of enhancing judicial cooperation in criminal matters among the western Balkan States.", "The Ministry of the Interior of Slovenia is striving for the transfer of the standards of the European Union and the Schengen Area in the fields of migration and the fight against organized crime and terrorism to the western Balkan countries by implementing projects of close inter-institutional cooperation and bilateral technical assistance programmes. As the western Balkan countries are already part of the European Union integration process, they need to be ensured professional technical assistance and the transfer of know-how and experience. Following the successful conclusion of the visa liberalization process for the western Balkan countries, the Ministry of the Interior and the European Commission have already started activities for continuing reforms in internal affairs in the western Balkan countries within the “Brdo Process”. The countries will thus be supplied with clear instructions regarding necessary reforms, which will enable each country to reach a higher level of harmonization of its national legislation with European Union legislation prior to beginning European Union membership negotiations. Assessment missions, which will include experts from the Ministry and the Slovenian Police, are to be held twice per year; the first missions are expected to take place at the end of 2011.", "Slovenia also supports the work of institutions providing assistance to conflict-affected societies in the broader sense of establishing the rule of law, particularly through education and ensuring a secure and peaceful living environment.", "The Government of Slovenia, the non-governmental organization Slovene Philanthropy and the Municipality of Ljubljana established the Foundation “Together” — Regional Centre for Psychosocial Well-being of Children in 2002, with the aim of protecting and improving the psychosocial well-being of children in areas affected by war, armed conflict, terrorist attack, natural disaster or technical accidents. The mission of the Foundation is to provide children with a better future and contribute to peace and stability in the region and beyond. To this end, the Foundation mobilizes Slovenian and international expertise and material resources. The programmes it is executing are becoming a recognizable and a sought-after form of development assistance. The Foundation is carrying out programmes in the regions of South-Eastern Europe, Iraq, Afghanistan, Palestine and North Caucasus. Numerous international conferences, consultations and international camps for volunteers have been organized. The Foundation participates in international conferences and consultations with professional articles and contributions. It publishes in professional publications and issues informational publications, which have been translated into foreign languages.", "It is now exactly 13 years since the Government of Slovenia, in March 1998, decided to establish the International Trust Fund for Demining and Mine Victims Assistance in Bosnia and Herzegovina. Its main goal was to assist with implementing the Dayton Agreement by raising funds, providing services and managing mine action projects. In the course of time, the Fund has extended its activities to other mine-affected countries in the western Balkans and contributed to the successful completion of landmine clearance in Macedonia, Montenegro, Albania and Serbia. Major mine action projects in the region are still being implemented in Bosnia and Herzegovina and Croatia. In this context, we would like to point out that regional cooperation in the western Balkans, as promoted and facilitated by the International Trust Fund, has proved to be an important confidence-building measure among the concerned countries. The International Trust Fund has become a centre of excellence for regional cooperation in mine action. Good results in the countries of the region provided encouragement for further engagement in other parts of the world. While the Balkans remains the focus of its work, the International Trust Fund is also carrying out its mine action projects in other regions, including the South Caucasus, Central Asia and the Middle East. Since its inception in 1998, it has organized the demining of over 100 million square metres of land, facilitated the treatment of more than 1,000 mine survivors and supported the development of national and local rehabilitation capacities in 12 mine-affected countries. Of course, none of this would have been possible without the generous assistance of the international donor community. Since 1998, donors have contributed more than $330 million. The United States Government, as the biggest donor, has contributed more than $141 million, and the Government of Slovenia more than $7.7 million.", "There is one particular point that Slovenia would like to draw attention to. In many situations, the international community provides post-conflict recovery assistance in the field of the rule of law by helping to set up a new legal system. In this context, international experts come into the country with the aim of facilitating the rebuilding of a society, but often the laws that these international experts implant are based on models that are completely disconnected from the social, cultural and economic structure of the respective State and especially its needs. The laws, in such cases, are not socially integrated and are given to the society without real understanding as to how they should be implemented. While it may be a good short-term solution in some cases, in the long term this approach usually creates problems because the new laws are not sufficiently understood and are disconnected from the social context in which they are supposed to be implemented. In addition, the people’s ability and competence to identify and legislatively solve problems in their society may be postponed to a future time, when the international community leaves and the country is left to its own means and devices.", "Slovenia will, in accordance with its capacities, continue contributing to the efforts of the international community to assist affected societies in post-conflict recovery, particularly in establishing the rule of law.", "Sweden", "[Original: English]", "Serious abuses are often committed against the civilian population during armed conflicts. In some cases these are so serious that they are characterized as genocide, crimes against humanity or war crimes, which means that the perpetrators cannot be granted an amnesty and that the International Criminal Court can intervene to dispense justice when national courts are unable or unwilling to do so. Most perpetrators who have been guilty of abuses are not, however, dealt with by the International Criminal Court. They often escape all forms of punishment. This is not infrequently due to a lack of political will. The reasons might also be that the national system of justice is not independent or that it is otherwise unable to initiate legal proceedings and bring suspected perpetrators before the court. It can also be that the perpetrators are granted amnesty.", "It is not uncommon that decisions have to be taken which, in the short term, can be seen as promoting peace over justice. The issue of amnesty is one such example. Without an amnesty there might be no peace agreement. At the same time, it can also be argued that justice for the victims is important for a sustainable peace. It is beyond all doubt that the impunity that so often prevails during and after armed conflict has to cease for a society to be able to develop in a sustainable democratic direction.", "In conflict and post-conflict situations, Sweden will promote justice. The choice must never be between peace and justice — only solutions that satisfy both interests are compatible with Swedish policy. The choices that have to be made are rather a choice of method (national legislation, international legislations, hybrids of these, etc.) and a choice of timing. Sweden will:", "• Work to ensure that perpetrators of serious crimes during the conflict be brought to justice and punished. If this cannot be done immediately after a peace settlement without peace being seriously threatened, it must be prioritized as soon as peace has become more sustainable.", "• Advocate for the affected State itself to be given the opportunity to shoulder its responsibility for bringing justice to victims for crimes committed during conflict, for establishing viable and appropriate systems of transitional justice and, in both cases, for this to be done in full conformity with international standards and in accordance with the complementary system upon which the International Criminal Court is founded. Domestic justice should be the first resort in pursuit of accountability. Only when the domestic criminal justice system fails to hold perpetrators accountable — either because the system is unable or the local authorities are unwilling — should the international community step in.", "• Promote strong international support for the establishment and strengthening of national justice systems, for instance through the instalment of transitional justice mechanisms and permanent justice mechanisms capable of preventing the society from falling back into conflict. Here, domestic civil society organizations have an important role to play.", "Swedish development policy", "Sweden has in recent years given greater attention to the relationship between development issues and conflict management, peacebuilding and rule of law issues. War and armed conflict are among the greatest obstacles to development and poverty reduction. The overarching objective of the support provided in the context of security and development in Sweden’s international development cooperation is therefore to contribute to a lasting peace that makes development possible. The Government of Sweden has recently adopted the policy “Peace and security for development”, clarifying the Government’s ambitions in development cooperation for the years 2010-2014 in conflict and post-conflict situations. The policy applies to initiatives at all levels: bilateral, regional and global. It also guides Swedish action in multilateral forums. Three focus areas are designated for priority action: (a) peace promotion (including rule of law institutions notably in transitional justice), (b) security promotion and (c) peace dividends.", "The policy highlights the significance of both peacebuilding and State-building and identifies the special challenges facing development cooperation in conflict and post-conflict countries. After a conflict there is often a need, but also an opportunity, to contribute to strengthening the national justice system. In such a situation, it is particularly important to contribute to the establishment of a justice system that counteracts impunity for serious crimes. In doing so, a foundation is also laid for a functioning system, based on the rule of law, in the longer term.", "For communities where extensive abuses have been committed, it is important to establish situation-adapted mechanisms within existing international and national judicial frameworks for accountability which have broad legitimacy among those principally affected by the violations. Such mechanisms often include a reconciliation and confidence-building component. These mechanisms have come to be known as “transitional justice” in international contexts.", "Rule of law actors: the Swedish International Development Cooperation Agency and the Folke Bernadotte Academy", "The main actor in Swedish development cooperation in the field of rule of law is the Swedish International Development Cooperation Agency (SIDA), a Government agency under the Ministry of Foreign Affairs. The Folke Bernadotte Academy is another Government agency under the Ministry of Foreign Affairs that works towards improving coordination and coherence of technical assistance and capacity-building through policy development, research, training and implementation of projects in the field.", "Since 2006, rule of law in public administration has been a high-profile research and policy area of the rule of law programme at the Folke Bernadotte Academy. In 2008, the Academy published the report entitled “Rule of law in public administration: problems and ways ahead in peacebuilding and development”. Building upon field studies and a series of consultations with international actors, the report notes that public sector reform is rarely approached from a rule of law perspective in peacebuilding and crisis management. This adversely affects reconstruction efforts and individuals and vulnerable groups relying on the administration to abide by the laws and provide equal access to services in a transparent way with a minimum level of legal certainty. Improving rule of law in the public sector serves to protect the rights of individuals, facilitate reconstruction, stabilization and transition and increase the effectiveness of international aid and assistance. Interlinked with rule of law in public administration, the Folke Bernadotte Academy has also initiated research on new constitutions in crisis societies, with a particular emphasis on control over the security forces.", "Swedish engagement in transitional justice and rule of law initiatives", "Sweden supports a wide range of transitional justice and rule of law actors. The International Center for Transitional Justice is a leading non-governmental international organization in the policy area of transitional justice. The Centre works in societies emerging from repressive rule or armed conflict, as well as in other societies where legacies of abuse remain unresolved. The Ministry of Foreign Affairs of Sweden has contributed to the Centre with core support since its inception.", "SIDA has supported transitional justice processes in many countries, such as Guatemala, El Salvador, Peru, Colombia, South Africa, Rwanda, the Democratic Republic of the Congo, Liberia, Timor-Leste and Bosnia and Herzegovina. This support has included a range of initiatives, such as support to truth commissions, civil society activities within transitional justice, justice mechanisms including traditional/customary law, etc.[8] Swedish expertise has also been seconded to Truth commissions and Tribunals, for example in South Africa.", "Additionally, Sweden participates in rule of law missions and operations of the European Union under the Common Security and Defence Policy (CSDP), including the European Union Police Mission in Afghanistan, which provides training to the Afghan National Police with the objective of contributing to the establishment of sustainable and effective policing arrangements; the European Union Integrated Rule of Law Mission for Iraq, which supports the Iraqi criminal justice system by providing training for high and mid-level officials in senior management and criminal investigation; and the European Union Rule of Law Mission in Kosovo, which monitors, mentors and advises the Kosovo authorities in the area of rule of law, specifically police, judiciary and customs. Swedish judges, police officers, political advisers and legal experts participate in the above-mentioned missions.", "Lessons learned: the role and future of national and international transitional justice", "There is no individual model for rule of law and transitional justice initiatives in conflict and post-conflict societies. The United Nations has recognized that pre‑packaged solutions are ill-advised. Approaches have to be determined and tailored to the specific conflict and crimes being addressed, considering the national context and informed by national consultations carried out with civil society and victims. Experiences from other countries can be used as a starting point for national debate and decision-making. Nonetheless, experience has shown that the following general aspects should be taken into consideration when devising national and international transitional justice processes.", "(a) National leadership and ownership of a transitional justice mechanism is paramount. Any perceptions of domination or control by the international community can undermine public acceptance of the work of the commission, and affect its legacy;", "(b) Emphasis should be given to national capacity development. Transitional justice is an important national process and given the weak human resources in many countries following a conflict, efforts should be made to recruit locally;", "(c) Reconciliation is fostered by national efforts to ensure the rule of law and good governance in contrast to a past marked by human rights violations and poor governance. Reconciliation without efforts to change people’s material conditions is inadequate;", "(d) An inclusive and participatory approach is important. Approaches focusing only on one or another institution, or ignoring civil society or victims, will not be effective. The most successful transitional justice experiences owe a large part of their success to the quantity and quality of public and victim consultation carried out. Local consultation enables a better understanding of the dynamics of past conflict, patterns of discrimination and types of victims;", "(e) Transitional justice is an expensive process. There cannot be half-measures. Sufficient resources should be allocated to seeing initiatives through, particularly as they contribute to the consolidation of peace in the country.", "Switzerland", "[Original: English]", "Strengthening the linkage between the rule of law and transitional justice in the area of peace promotion and human security has been a major focus of Swiss foreign policy in recent years. Switzerland welcomed the report of the Secretary-General on the rule of law and transitional justice in conflict and post-conflict societies (S/2004/616) when it appeared in 2004.", "Since then, Switzerland has engaged in a number of initiatives to strengthen the normative framework of transitional justice at the multilateral level and to develop capacity and expertise in specific areas of transitional justice at the national and regional levels.", "There are two main issues that Switzerland would like to raise as a matter of priority, namely, the need for a consolidated approach at the multilateral level and the need to develop implementation strategies for the existing norms and standards in this field.", "Although the “principles on reparation”, developed by Theo Van Boven, have been approved by the General Assembly,[9] the Joinet/Ohrentlicher principles should also be approved by the Assembly in order to strengthen a common approach.", "In the following comments, Switzerland presents a brief overview of its conceptual approach and of its own activities in this regard. The report concludes with a critical reflection on some of the current challenges in the field.", "A. The principles against impunity as a framework for dealing with the past[10]", "Although there is no standard model for dealing with the past, progress has been made in recent years through the work of Special Rapporteurs and experts of the United Nations on the issues of reparations, impunity and best practices in transitional justice.[11]", "The report on the rule of law and transitional justice issued by the Secretary-General in August 2004 marked a watershed in this development. In that document, the Secretary-General argues that effective transitional justice strategies must be both comprehensive in scope and inclusive in character, engaging all relevant actors, both State agencies and non-governmental organizations, in the development of a “single nationally owned and led strategic plan”.[12] The report further emphasizes that the operational definition of transitional justice itself should be broadened to include “judicial and non-judicial mechanisms, with differing levels of international involvement (or none at all) and individual prosecutions, reparations, truth-seeking, institutional reform, vetting and dismissals, or a combination thereof”.[13]", "More recently, specific elements of these standards have been further developed. In December 2005, the General Assembly adopted the Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law (resolution 60/147, annex). Significantly, this document outlines the obligations of States with respect to gross violations of international human rights and humanitarian law and defines the term “victim”. One year later, the Assembly approved the Convention for the Protection of All Persons from Enforced Disappearance (resolution 61/177, annex), which specifies the rights of parties with a legitimate interest, such as family members, to access information concerning the fate of victims of enforced disappearance and to receive compensation for material and moral damages where appropriate. In addition, for the past several years the Human Rights Council has addressed the issue of the right to truth in a series of resolutions aimed at strengthening it as a principle of international law.[14]", "Against this background, Switzerland decided to use the “principles against impunity” as a conceptual framework for “dealing with the past”.", "The principles against impunity were initially formulated by Louis Joinet in his final report to the Sub-Commission on Prevention of Discrimination and Protection of Minorities on the question of impunity in 1997 and were later revised by Diane Orentlicher in 2005 at the behest of the Commission on Human Rights.[15] The importance of the “Joinet/Orentlicher” principles lies not only in the formulation of the principles themselves, but also in the fact that they are based on the precepts of State responsibility and the inherent right of redress for individual victims of grave human rights violations. As such, the principles against impunity do not entail new international or domestic legal obligations, but identify mechanisms, modalities and procedures for the implementation of existing legal obligations under international humanitarian law and international human rights law.[16]", "Taken from both a normative and a legal perspective, the principles against impunity provide a useful framework to conceptualize dealing with the past. These principles identify four key areas in the struggle against impunity, which, in turn, provide a comprehensive scheme for dealing with the past: (a) the right to know (the right of victims and of society at large to know the truth; the duty of the State to preserve memory); (b) the right to justice (the right of victims to a fair and effective remedy; the duty of the State to investigate, prosecute, and duly punish); (c) the right to reparation (the right of individual victims or their beneficiaries to reparation; the duty of the State to provide satisfaction); and (d) the guarantee of non-recurrence (the right of victims and society at large to protection from further violations; the duty of the State to ensure good governance and the rule of law).", "B. Dealing with the past from a holistic perspective: a diagram and mapping tool[17]", "In post-conflict situations or other situations of violence, needs are many and it is hard to tell which needs should be given priority. The needs identified by the Secretary-General’s report (S/2004/616) are often not addressed in a holistic way, or are addressed without any coordination among actors and donors. Continuity of efforts is seldom foreseen. Furthermore, where States are fragile, there is a danger that transitional measures are not planned within a long-term rule of law perspective and that transitional initiatives become permanent, replacing rule of law institutions.", "Faced with these difficulties, Switzerland, in collaboration with the Swiss Peace Foundation, has designed a diagram (see end of present submission) that illustrates some of the main mechanisms and procedures associated with the four principles cited above.", "Starting from the responsibility to address the needs of victims and the accountability of perpetrators in the innermost circle, the diagram focuses on the linkages between the different areas of activity in dealing with the past, the idea being that, depending on the context and circumstances, any one of the four key areas might be an entry point for engagement.", "In addition, the diagram attempts to illustrate the transformative dimension of dealing with the past as part of a long-term process of democratization in post-conflict societies. Significant progress made in any one or more of the four areas, such as the establishment of a truth commission in connection with the right to know, or the successful introduction of reforms to the security sector in connection with the guarantee of non-recurrence, will provide satisfaction, ensure accountability and strengthen public confidence in State institutions.", "For example, progress in dealing with the past strengthens the rule of law and, ultimately, could contribute to reconciliation among divided communities. A key factor in this process is the transformation of identities. If persons identify themselves predominantly as victims or perpetrators at the beginning of a process of dealing with the past, this should change gradually over time. Being a victim or perpetrator may still be a personal experience, but social and political identities are predominantly founded on the sense of being a citizen in society with the rights and duties of citizenship, as part of the new social contract. Reinforcing civic trust is a crucial goal of the transitional justice process.", "It should be added that the dealing with the past diagram may also be used as an analytical tool to identify the activities of international, national and local actors in the four principal areas. Depending on the context, an analysis of one area, such as the right to know or the right to justice, may reveal a diversity of actors on different levels, while other areas, for example the right to reparation, show hardly any activity at all. The diagram is therefore useful not only for assessment purposes but also as a strategic instrument to identify entry points and potential partners around specific dealing with the past issues. On the basis of this analysis, a realistic, comprehensive strategy for dealing with the past can be developed, reflecting the contingencies of political context, local culture, ownership, sequencing and budgetary priorities.", "Interestingly, the World Development Report 2011: Conflict, Security and Development very much supports the transformative and integrated approach developed by Switzerland. In this regard, it demonstrates the relevance of this approach not only for peacebuilding and conflict prevention but also for creating an environment conducive to sustainable development. It makes a strong case for fostering approaches combining development, diplomatic, justice and security instruments.", "C. Activities by Switzerland in the field of rule of law and transitional justice", "Since 2004, Switzerland has engaged in numerous activities aimed at strengthening the normative and legal standards of transitional justice and further developing its own institutional capacity and expertise in this regard.", "1. Normative and legal standards", "Human Rights Council. As mentioned above, long-term studies undertaken by special rapporteurs and experts of the United Nations, especially at the Human Rights Council and the Office of the United Nations High Commissioner for Human Rights, have been instrumental in elaborating basic principles in the field of reparations and impunity and in formulating best practices in transitional justice. Since 2006, Switzerland, in cooperation with other countries, especially Argentina, has regularly sponsored resolutions in the Human Rights Council on human rights and transitional justice, encouraging the elaboration of additional elements of transitional justice such as reparation, truth commissions, archives and witness protection. In the latest resolution, the Council requested from the Office of the United Nations High Commissioner for Human Rights an analysis of the relationship between disarmament, demobilization and reintegration and transitional justice.[18] The report will be published in September 2011. Switzerland also contributed to the drafting of the Nuremberg Declaration on Peace and Justice.[19]", "Dealing with the past and mediation. It is now generally accepted that peace, justice, human rights and development are strongly interdependent and mutually reinforcing, and that they need to be pursued in accordance with the applicable rules of international law such as international humanitarian law or international criminal law. But the implementation remains a challenge for all the actors involved. Seeking to address this gap, Switzerland advocated a pragmatic approach. The issue is not whether to include transitional justice measures in peace processes. Rather, it is how and when they can be integrated in a constructive manner. Taking into consideration the Joinet principles, this approach should be further developed, with particular attention to non-judicial measures.", "2. Institutional capacity and expertise", "Task force for dealing with the past and the prevention of mass atrocities. As a means of strengthening its mid- and long-term institutional capacity in the field of transitional justice, Switzerland has created an inter-agency task force for dealing with the past and the prevention of mass atrocities, composed of experts in peace promotion, justice and development, that will serve as a national focal point on these issues, enhancing a whole-of-Government approach. Through the task force, Switzerland is focusing its efforts on the linkage between dealing with past abuses and preventing the recurrence of mass atrocities, genocide, war crimes and crimes against humanity.", "Centre for archives and dealing with the past. Switzerland aims to contribute to the protection of archives of human rights violations by means of its centre for archives and dealing with the past, created in May 2011.", "Swiss expert pool for civilian peacebuilding. For the past several years and upon request, Switzerland has increasingly seconded experts from its expert pool to fill positions in conflict and post-conflict countries in connection with the rule of law and transitional justice. Requests range from experts in forensics to legal advisers to police and customs officers. In addition, Switzerland has established the position of peacebuilding adviser, also in charge of dealing with the past strategies, at Swiss embassies in several conflict and post-conflict countries, as well as a regional adviser for Eastern Europe.", "Dealing with the past course. To ensure midterm capacity-building, Switzerland has set up an advanced learning course in dealing with the past for its staff, the Swiss expert pool, and senior professionals from other governmental and multilateral agencies and civil society organizations in conflict and post-conflict contexts.", "Justice Rapid Response. Switzerland is a member of the coordinating group of Justice Rapid Response (www.justicerapidresponse.org), a multilateral standby facility to rapidly deploy criminal justice and related professionals, trained for international investigations, in the service of States and international institutions. Justice Rapid Response experts can be quickly deployed to identify, collect and preserve the most perishable information about crimes under international law and massive human rights violations, and report back to the requesting authority. If requested, Justice Rapid Response is also in a position to make recommendations as to the most appropriate remedies to be pursued. This initiative also aims at responding to a critical gap identified in the Secretary-General’s report on peacebuilding in the immediate aftermath of conflict (A/63/881-S/2009/304) and the subsequent report on the review of international civilian capacity (A/65/747-S/2011/85).", "D. Current challenges in the field of the rule of law and transitional justice", "When disarmament, demobilization and reintegration processes begin, all too often no consistent strategy for dealing with the past or transitional justice has been developed. Precious and crucial testimonies of demobilized soldiers and combatants that could contribute to a truth/investigation commission or legal proceedings at a later stage get lost.", "The reintegration aspect is often not well prepared, gender issues are not sufficiently taken into account, and remobilization may result. Experiences in the Great Lakes region and Colombia have demonstrated how this can become a major obstacle to security and peace. The analysis of the Office of the United Nations High Commissioner for Human Rights that will be published in September 2011 on the relationship between disarmament, demobilization and reintegration and transitional justice will be of great relevance.", "Considerable developments have taken place since 2004 with regard to the right to justice. The same applies to the right of victims to a fair and effective remedy, which implies that victims of gross violations of human rights can assert their rights and receive a fair and effective remedy. Similarly, the criminal prosecution of the main perpetrators of gross human rights violations has also advanced: the International Criminal Court has started investigating situations and prosecuting cases,[20] 114 States have ratified the Rome Statute, and the Security Council has referred two situations to the Court. Switzerland has been a dedicated and firm supporter of the Court from the start. However, the Court can only bring to justice the most responsible persons and has limited jurisdiction and resources. It is not yet universal and has to struggle with acceptance and credibility in certain regions of the world. In view of these limitations, Switzerland underlines the importance of national prosecutions. The principle of complementarity enshrined in article 17 of the Rome Statute must be further strengthened and States should be encouraged to adapt their legislation to enable prosecution of the core crimes of genocide, crimes against humanity and war crimes.", "The principle of universal jurisdiction should be further promoted as a tool to combat impunity. It should be used more actively, particularly by States parties to the Rome Statute. Switzerland has adapted its own legislation in this regard in 2011.[21] Many countries have introduced similar new legislation and considerable advances have been made regarding the removal of existing legal restrictions to the prosecution of international crimes under national law, such as prescription, amnesty, extradition, the principle of non bis in idem, due obedience, immunity of own Heads of States and superior responsibility.", "That said, few cases are investigated and brought before national courts. Few States genuinely prosecute their own nationals for core crimes. If prosecutions take place, they are often aimed at persons of minor responsibility and not at higher ranking officials. Moreover, witness protection is still unsatisfactory in most countries. Access of victims to justice is insufficient and reparation and compensation measures associated with justice processes are often lacking.", "While hybrid and international tribunals have done much to prosecute the main perpetrators of international crimes, a lot remains to be done regarding residual mechanisms, in particular with regard to the transfer of pending cases to the concerned States in accordance with international fair trial standards, witness and victim protection and the location, management and securing of archives and records. Deficiencies also exist regarding the translation of court records into the languages of the countries concerned, the sharing of databases and the use of the information gathered by international/hybrid courts for vetting processes and institutional reforms.", "The question of double standards and of the accountability of external parties also needs to be addressed in order to strengthen the credibility and legitimacy of the initiatives against impunity.", "This is not the only field where the above-mentioned linkages are missing: the legacy of international judicial institutions is often neglected and their support and reinforcement of domestic judicial reform programmes and institutional reform in general is marginal. International transitional justice mechanisms are often detached from the reality of the concerned States as regards language, acceptance in the population, outreach, influence on good governance and rule of law initiatives. They may be so “transitional” that little remains of their legacy. There is even a danger of creating parallel justice systems which operate with different standards and a different understanding of justice than the one anchored in the local systems. There are risks associated with transitional justice mechanisms that do not result in an efficient domestic judicial system. In the long run, conflict-related crimes may resurface in the context of organized crime.", "When impunity prevails, alliances between perpetrators of past atrocities and perpetrators of organized crime are often the result. This can lead to very dangerous and pernicious situations that go often hand-in-hand with a profound deterioration of security conditions in the country and compromise any prospect of sustainable development. This is one more reason to envisage sound and solid transitional justice and rule of law strategies. They should contribute to strengthening a nationally owned institutional architecture and a resilient legitimate State that operates after international actors have left the scene. The International Commission against Impunity in Guatemala is a good example of how such an international initiative can cooperate with national institutions and contribute to institutional reform.[22] Increased cooperation of transitional justice mechanisms with national and international institutions combating organized crime is necessary and crucial.", "As regards forensic anthropology, which is important for the right to know and the right to justice, improvements have also been made since 2004. However, although many international initiatives have been launched,[23] local capacities in countries with high numbers of missing persons are often lacking and international standards are often not implemented. Switzerland has signed the International Convention for the Protection of All Persons from Enforced Disappearance and supports initiatives in the field of forensic medicine to determine the fate of persons still missing, such as the Division of Forensic Medicine which operates under the joint supervision of Kosovo’s Ministry of Justice and the European Union Rule of Law Mission in Kosovo.", "As regards the rights of victims to reparation, compensation and reparation programmes could be better coordinated with other transitional justice mechanisms, such as judicial mechanisms or truth commissions. Consultation and participation mechanisms are often inexistent and victims feel that reparation is lacking in terms of quality and does not have the rehabilitation effect it should have. The reparation programmes of the International Organization for Migration are interesting examples of how reparation may work in order to provide more sustainable support.[24] Further thought must be given to the overlap of such compensation measures with development cooperation, or even to the synergies that could exist between development and priorities in terms of reparation. Proper funding of reparation programmes is essential: in some instances, other transitional justice measures, such as tribunals, received much more financial support than victim compensation programmes. In other cases, within the disarmament, demobilization and reintegration process, former combatants — some of whom committed heinous crimes — received financial support, while the victims waited for many years before receiving any concrete support from reparation programmes. This uncoordinated succession of events is doing harm to the conflict transformation process; it is not understood by the people concerned and may impede the objectives of transitional justice as a whole.", "E. Conclusions and recommendations", "A United Nations mechanism to support and advise countries developing rule of law and transitional justice processes", "Norms and standards for the rule of law and transitional justice have developed significantly since the mid-1990s. The implementation is far from satisfactory, owing to the lack of a consistent approach and coordinated efforts. Answers must be developed in a way that secures national ownership. Countries developing rule of law and transitional justice processes could benefit from support and guidance from a United Nations mechanism established specifically to dispense such advice.", "Approval by the General Assembly of the Joinet/Ohrentlicher principles against impunity", "Just as the principles for reparation have been approved by the General Assembly, it would be useful to have the Assembly approve the Joinet/Ohrentlicher principles against impunity. This could be an important contribution to the development of norms and standards in this field.", "Interdependence of civil, political, economic, social and cultural rights", "The interdependence of civil and political rights on the one hand, and economic, social and cultural rights on the other, was taken into account in the first working paper of El Hadji Guissé and Louis Joinet (E/CN.4/Sub.2/1992/18). Further documents, however, were restricted to civil and political rights (see E/CN.4/Sub.2/1997/8). Yet it is unavoidable to include the interdependence of civil and political rights and economic, social and cultural rights in the global rule of law and transitional justice approach. This could lead to a new United Nations report in the coming years that could contribute to increased coordination among all actors of rule of law and transitional justice in post-conflict situations, including donors.", "Dealing with the past diagram inspired by the Joinet/Orentlicher principles", "[]", "Turkmenistan", "[Original: Russian]", "In line with Turkmenistan’s programme of radical reform and transformation, President Gurbanguly Berdimuhamedov has proclaimed as one of the Government’s priority tasks the improvement of the legal framework of the State and the alignment of the country’s law with universally recognized international standards. The process of updating the relevant legislation of Turkmenistan is currently in progress.", "The process of updating the country’s legislation is being actively integrated into the campaign to reform the country’s legal system, through the systematic efforts of a special commission set up to improve the legislation, monitor the national legislative framework and incorporate universally recognized standards of international law in Turkmenistan’s domestic law.", "In addition, an inter-agency commission, set up by special order of the Head of State to ensure compliance by Turkmenistan with its international commitments in the field of human rights, is working to coordinate the work of ministries and departments on the observance of international human rights obligations, and drafting of recommendations on the incorporation into the country’s domestic law of international standards and the recommendations of United Nations treaty bodies.", "Turkmenistan’s legislation comprises an elaborate system for the upholding in law and the protection of the human and civil rights enshrined in the Charter of the United Nations and the Universal Declaration of Human Rights.", "Turkmenistan has ratified more than 120 international instruments, some 40 of which have to do with human rights.", "Currently, to the list of international instruments to which Turkmenistan has acceded we may add the following treaties: the International Convention against Doping in Sport (25 September 2010), the International Labour Organization (ILO) Convention concerning the Prohibition and Immediate Action for the Elimination of the Worst Forms of Child Labour — ILO Convention C182 (25 September 2010), the Optional Protocol to the Convention on the Rights of Persons with Disabilities (25 September 2010) and the World Health Organization (WHO) Framework Convention on Tobacco Control (26 March 2011).", "In accordance with its obligations, Turkmenistan is incorporating the basic principles and provisions of those instruments into its domestic law and strictly monitoring their implementation. The attention of both the Government and the public is constantly focused on the field of human rights.", "Evidence of the application in practice of the Government’s policy to uphold Turkmenistan’s international human rights obligations, relating to the comprehensive protection of human rights, may be seen in the adoption on 26 September 2008 of the new version of the Constitution of Turkmenistan, which incorporates almost all the fundamental provisions of international human rights conventions and declarations, including those relating to the rule of law.", "In 1998, Turkmenistan adopted the Acts of Government Authorities, Voluntary Associations, Local Authorities and Officials in Breach of the Constitutional Rights and Freedoms of Citizens (Court Appeals) Act, which provides legal underpinnings for the process whereby citizens can appeal through the courts against the acts or decisions of government authorities, voluntary associations, local authorities and officials which infringe their constitutional rights and freedoms, and which also lays down the procedure for consideration by the courts of such appeals. On 14 January 1999, Turkmenistan adopted the Citizens’ Appeals (Procedure for Their Consideration) Act, which stipulates the arrangements whereby the citizens of Turkmenistan can exercise their right to appeal to State, public and other authorities, enterprises, organizations and institutions, irrespective of their form of ownership, and regulates the procedure for the consideration of such appeals from members of the public.", "The State commission for the consideration of appeals by members of the public regarding the activities of law enforcement agencies, which is a standing body, is continuing its work to ensure protection of the rights and freedoms of individuals.", "In recent years, as part of the legal reform process under way in Turkmenistan, a number of statutory instruments protecting human rights have been adopted. These include the following laws of Turkmenistan: the Courts Act (15 August 2009), the Procuratorial Service of Turkmenistan Act (15 August 2009), the Public Defence System and Public Defence Work in Turkmenistan Act (10 May 2010), the Code of Criminal Procedure (18 April 2009), the Labour Code of Turkmenistan (18 April 2009), the Criminal Code of Turkmenistan (10 May 2010), the Criminal Enforcement Code of Turkmenistan (26 March 2011) and the Aliens in Turkmenistan (Legal Status) Act (6 March 2011).", "Under the Courts Act of Turkmenistan, citizens of Turkmenistan have the right to judicial protection against the wrongful actions of State authorities, voluntary associations and officials, against any affronts to their honour and dignity and against any encroachments on their life and health and on their individual, political, human and civil rights and freedoms enshrined in the Constitution of Turkmenistan. Any changes to the procedure for the protection of the rights and lawful interests of citizens may only be made by the laws of Turkmenistan.", "Foreign citizens and stateless persons in the territory of Turkmenistan enjoy the same right to protection in the courts as that possessed by citizens of Turkmenistan under the country’s law and international treaties. The new law on aliens, the Aliens in Turkmenistan (Legal Status) Act, has still further extended the rights of foreign citizens to protection of their interests in the courts and by other means.", "Under article 7 of the Procuratorial Service of Turkmenistan Act, in the exercise of their duties, employees of the procuratorial service shall ensure observance of State-guaranteed human and civil rights and freedoms, irrespective of ethnic affiliation, race, sex, origin, wealth and official position, place of residence, language, religious views, political conviction or party membership.", "Citizens are entitled to receive explanations and information on restrictions of their rights and freedoms and to familiarize themselves with materials relating to their cases upon the conclusion of inspections or investigations. Any person who believes that his or her rights, freedoms and lawful interests have been infringed by the actions of an employee of the procuratorial service is entitled to appeal against such actions to a higher-ranking procuratorial official.", "The Constitution of Turkmenistan guarantees the right to the assistance of a qualified lawyer at any stage of legal proceedings (article 108).", "Under the Public Defence System and Public Defence Work in Turkmenistan Act, the public defence system is a professional association of lawyers, based on the principles of self-regulation and set up for the exercise of public defence services, which functions as a legal institution of civil society and does not form part of the system of State executive and administrative bodies. The State is committed to the provision to all persons of the necessary professional legal assistance, guarantees the equal right of all individuals and legal entities in the territory of Turkmenistan to receive legal assistance and information about the nature of such assistance and the means of obtaining it and also to receive free legal aid, and ensures protection of the rights of certain individuals in the cases stipulated by the law of Turkmenistan.", "A significant milestone in Turkmenistan’s social and political progress was the adoption of the country’s new Criminal Enforcement Code, which regulates legal matters in the country’s prison system. Turkmenistan’s criminal enforcement legislation is based on such universally recognized principles as due process (the rule of law), humanitarianism, democracy, the equality of convicted persons before the law, the differential treatment and consideration of individual circumstances in assigning punishment, and the need to uphold the right of all persons deprived of liberty to humane treatment and respect for their inherent dignity as human beings.", "A separate chapter of the Code is devoted to specific aspects of the serving of sentences by juveniles, with due consideration for their age, psychological and emotional development and other characteristics, and it also makes provision for juvenile offenders to have more contact with the outside world and for their rehabilitation and reintegration into society.", "The Code also stipulates that convicted persons shall receive assistance upon their release from custodial sentences.", "Having ratified the fundamental international human rights instruments and complying strictly with its international commitments thereunder, Turkmenistan is continuing its efforts to reform its domestic human rights protection system, systematically and steadfastly fulfilling the obligations that it has assumed towards the international community.", "At the current time, Turkmenistan is continuing its active and fruitful cooperation with international organizations and is staunchly complying with its international obligations.", "The country is putting into effect the next stage of its United Nations Development Assistance Framework for the period 2010-2015, through cooperation between the Government of Turkmenistan and the United Nations agencies accredited to Turkmenistan. Cooperation is being pursued in areas of economic and social policy, in the legal sector and in environmental protection. Forward-looking projects on the strengthening of democracy and the rule of law, the promotion of human development for the attainment of the Millennium Development Goals, enhancements in the area of sustainable development and the furtherance of peace and security have been designated as areas of paramount priority.", "The Government of Turkmenistan, the European Union, the Office of the United Nations High Commissioner for Human Rights and the United Nations Development Programme are currently carrying out a joint project on strengthening the national capacity of Turkmenistan to promote and protect human rights (2009-2012), with a view to further reinforcing the constructive dialogue on human rights, promoting democratic processes and facilitating the timely preparation of the country’s national reports.", "To date, the inter-agency commission set up to ensure compliance by Turkmenistan with its international commitments in the field of human rights has drafted and submitted national reports, in compliance with the duly ratified schedule, to the respective United Nations treaty bodies on Turkmenistan’s implementation of the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment; the Convention on the Elimination of All Forms of Discrimination against Women; and the Convention on the Elimination of All Forms of Racial Discrimination.", "The policy of radical reform, initiated by the Head of State, is being assiduously implemented and is promoting the continued dynamic development of the existing system of national law and of all spheres of the country’s public, economic and social life.", "United Kingdom of Great Britain and Northern Ireland", "[Original: English]", "For the United Kingdom, the rule of law is at the heart of both its unwritten constitution and its foreign policy. We consider the development of the rule of law to be a principle of critical importance in both international relations and development. At an international level, respect for the rule of law is central to both conflict prevention and conflict resolution. At a national level, re-establishing and reinforcing the rule of law and associated institutions are key to helping to create and sustain the necessary conditions under which activities such as peacebuilding in a post-conflict society can take place. Respect for the rule of law and property rights, inclusive economic empowerment as well as appropriate policy and regulatory frameworks are critical to achieving equitable and effective development. But rule of law at international and national levels are quite different subjects, with discrete goals and distinct actors.", "The United Kingdom believes it important for all States to settle their disputes peacefully. But the means for peaceful settlement should be left to the parties, and they might include both judicial and non-judicial means such as mediation. At the international level, judicial means of settlement remain a vital part of the mechanism for the peaceful settlement of disputes and advancing the rule of law.", "The International Court of Justice stands at the apex of the international machinery, and its contribution to the peaceful settlement of disputes and the advancement of international law is profound. The United Kingdom notes and welcomes the increased use made of the Court over recent years. Many cases come before the Court because of specific treaties or agreements between the parties. However, it is also an option for Member States to accept the compulsory jurisdiction of the Court in accordance with Article 36 (2) of its Statute. The United Kingdom is the only permanent member of the Security Council to have accepted the Court’s general jurisdiction in this way. We call upon other Members of the United Nations that have not yet done so to consider taking a similar step.", "The United Kingdom also plays a unique role at the heart of all the various international criminal courts and tribunals, whether as State party to the Rome Statute of the International Criminal Court, a member of the Security Council with respect to the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda, and a large contributor and member of the management committee of the other three tribunals: the Special Tribunal for Lebanon, the Special Court for Sierra Leone and the Extraordinary Chambers in the Courts of Cambodia. We are committed to ensuring that these bodies receive the full support of the Security Council as they seek to carry out their mandates as effective and efficient instruments of international justice.", "The United Kingdom has played a leading role in ensuring an end to impunity wherever possible. We have long been a champion of improving sanctions listing and de-listing procedures as a vital tool in the fight against terrorists and others who have violated international standards of justice, and we welcome recent improvements to the sanctions regime. When faced with a worsening situation in Libya whose citizens were being targeted by their own Government, the United Kingdom was actively involved in drafting Security Council resolution 1970 (2011) and in referring the situation in Libya to the International Criminal Court.", "The United Kingdom understands transitional justice as the set of mechanisms employed in societies undergoing a transition to democracy. This process usually takes place after armed conflict (national or international) or a lengthy dictatorship that has persistently violated human rights and/or international or humanitarian law. The aim of transitional justice is to deliver justice and to reach reconciliation through combating impunity. There are mechanisms that are judicial, non-judicial or a combination of both suitable to assist the political reform process.", "The most common transitional justice mechanisms are:", "(a) Justice (State justice and non-traditional justice mechanisms). The types of mechanism that have been employed range from domestic criminal trials — through the “ordinary” criminal justice system or by establishing dedicated divisions or courts to investigate and prosecute mass atrocities — to hybrid and international criminal tribunals;", "(b) Truth (truth commissions, commissions of enquiry and/or commissions of historical memory). Usually fulfilled by truth commissions (national or international), commissions of enquiry (local, national or international) and/or groups of historical memory. Some truth mechanisms, as happened with the Human Rights Violations Committee of the Truth and Reconciliation Commission in South Africa, can also have important powers to investigate human rights violations;", "(c) Reparations. These can be provided at the domestic level or the international level. They can be ordered by a court in civil or criminal proceedings or they can also take the form of a domestic administrative reparation programme;", "(d) Institutional reform. This refers to reform of all agencies involved in the administration of justice, such as the police and judiciary, and to law reform, including reform of the national Constitution. The process may include vetting and lustration, a procedure to assess the integrity of certain individuals on the basis of their involvement in the past repression or in acts of corruption. These procedures aim to clean public institutions of incompetent or unethical officials.", "All of these processes must be implemented in conformity with international law.", "The extent of the effectiveness of transitional justice, whether supported through international assistance or domestic resources, depends to a greater or lesser extent on a number of factors, including legitimacy and local ownership, government commitment, the involvement of civil society, outreach, capacity-building, appropriate timing and the use of a combination of mechanisms.", "The United Kingdom believes it beneficial to view transitional justice as a complex and continuing process of transformation. The end of conflict or repression is not usually marked by a specific date or event. A country is considered to be in transition when the commission of atrocities stops and serious efforts are put in place to deal with the legacy of mass abuse, achieve peace and move forward. It is possible to start a process of transitional justice while the conflict is still active and, although this may give visibility to victims’ needs and suffering and create pressure on those responsible for the violence to enter a genuine peace process, it is likely to be less effective in terms of democratization. Transitional justice measures that have evolved over a longer period and have strong national ownership tend to result in greater internal political stability.", "The United Kingdom believes it is also important to balance the desire to offer a combination of different transitional justice mechanisms such as trials, amnesties or truth commissions as appropriate to the specific post-conflict situation and local preferences, with the need to ensure that any such combination does not result in overlapping or even contradictory roles, as happened in Sierra Leone when some perpetrators did not tell the truth at the Truth and Reconciliation Commission for fear that they would be prosecuted at the Special Court for Sierra Leone which was operating at the same time.", "The United Kingdom encourages any internationally supported transitional justice mechanism to involve local consultation and participation to ensure that the mechanism chosen is culturally and contextually appropriate. Widespread and transparent local consultation will help engender a sense of ownership and involvement that should reduce the risk of reigniting the conflict.", "At a national level, the Government’s commitment to and implementation of structural change is critical to achieving sustainable peace and developing a culture of the rule of law. However, Governments that emerge out of conflict societies often do not have a track record or experience of working in a positive human rights environment. In such cases the role of civil society becomes more critical in ensuring the success of any transitional justice mechanism. The United Kingdom believes it essential for the international community to work not just with any post-conflict Government but also with civil society, as the latter is often in the strongest position to provide insights into the local culture and context in order to determine the most relevant goals and project design. Civil society is often also best placed to assist with issues such as data collection, public consultation, monitoring of remediation activities and victim assistance.", "Often the worst affected victims in a conflict are also the hardest for the international community to reach: remote rural populations, women and children. If transitional justice mechanisms are to offer such people a degree of remediation, innovative and appropriate methods of outreach, probably best undertaken by civil society, are needed. If the transitional justice mechanisms are to have a chance of lasting success, they must be transparent and open to all those who have suffered.", "The restoration of national rule of law as a key function of the State after conflict is of critical importance. Transitional justice mechanisms ideally should contribute to domestic rule of law. It is likely that ordinary domestic systems will be unable to respond to the demands for justice during the transition process. This may be because the judicial system was depleted during the conflict and requires reform in order to ensure that it functions in a fair and independent manner. It is also likely, as in the case of Rwanda, that domestic systems will struggle to deal with the magnitude and gravity of the crimes and the sheer number of victims. There may be lack of political will to investigate and prosecute such crimes, which will result in deficient justice attempts rather than true justice. As a means of strengthening domestic judicial capacity and experience, the United Kingdom supports, for example, training local lawyers to replace expatriate lawyers in genocide trials or helping to establish a culture of human rights by introducing concepts such as the rights of suspects to free and fair trials and humane treatment in prison.", "The promotion of the national rule of law is an area where the international community’s ability remains weak. Implementation of the recommendations in the Secretary-General’s 2009 report on peacebuilding in the immediate aftermath of conflict (A/63/881-S/2009/304) is key to ensuring a more effective and coherent international approach to peacebuilding. We need to see tangible improvements on the ground in sectors such as rule of law. This requires more predictable support and more effective coordination between the United Nations and other actors. We need to bring together donors and the host State and ensure that donor agencies are coordinating strategically in order to support the domestic authorities. The civilian capacity review is important here, as we need to clarify the roles and responsibilities of different parts of the United Nations and ensure that integrated planning takes place. The United Nations and the international community face stark real-world tests in this area in places such as South Sudan, the Democratic Republic of the Congo and Côte d’Ivoire in the near future and the United Kingdom believes it important for the international community to begin planning its response in a coordinated and effective way at the earliest possible opportunity.", "In the promotion of the rule of law at the national level, the United Kingdom believes that the Rule of Law Coordination and Resource Group and the Rule of Law Unit can play an important role. Rather than looking at creating new structures and mechanisms, we favour the strengthening and development of the existing structures under strong leadership from the Deputy Secretary-General. Like a large and complicated machine, the international community has many moving parts functioning in this field. For the United Kingdom, the design and creation of more parts is not the answer. Our preferred option is to work with the United Nations to help make those parts of the United Nations system that already exist operate together more effectively.", "[1] Resolution RC/Res.1, adopted by the Review Conference on 8 June 2010.", "[2] Open Society Foundations and UNDP, The Socioeconomic Impact of Pretrial Detention, 2011, available from www.soros.org.", "[3] See www.unrol.org/files/FINAL%20National%20Perspectives%20Report.pdf.", "[4] See A/63/226, paras. 76-78 and A/64/298, para. 97.", "[5] The objective of the mission is to coordinate the Afghan and international efforts to ensure peace, security and safety for the Afghan people in a society based on the rule of law, good governance, human rights and sustainable economic and social development.", "[6] The Czech Republic has contributed five police officers who rotate once a year. They work as training officers, sharing their experience with local applicants for police jobs and with the experienced policemen.", "[7] The strategic framework for Danish support to rule of law is provided by the overall Strategy for Denmark’s Development Cooperation (2010), in which freedom, democracy and human rights constitute one of five thematic priority pillars; International Human Rights Cooperation — Strategy for the Government’s Approach (2009); and Democratization and Human Rights — Strategic Priorities for Danish Support to Good Governance (2009). The promotion of democratization, good governance and human rights, including the rule of law is, furthermore, identified as a priority in Denmark’s Policy Towards Fragile States (2010).", "[8] For a comprehensive overview of SIDA aid in conflict and post-conflict situations, see the Swedish Agency for Development Evaluation (SADEV), Sidas insatsberedning och uppföljning av stöd till rättsskipning i samband med försoningsprocesser, available at www.sadev.se/Documents/Publikationer%202010/SADEV%20Report%202010_1.pdf.", "[9] See General Assembly resolution 60/147 and the reports submitted by Theo Van Boven (E/CN.4/Sub.2/1993/8; E/CN.4/Sub.2/1996/17; E/CN.4/1997/104) and Cherif Bassiouni (E/CN.4/2000/62) on reparations.", "[10] Switzerland uses the term “dealing with the past” in preference to “transitional justice” because transitional justice is often too narrowly identified only with juridical mechanisms and because it views dealing with the past as a long-term process that is not limited to a transitional period.", "[11] See the reports submitted by Theo Van Boven (E/CN.4/Sub.2/1993/8; E/CN.4/Sub.2/1996/17; E/CN.4/1997/104) and Cherif Bassiouni (E/CN.4/2000/62) on reparations. Concerning best practices in transitional justice, see the analytical study on human rights and transitional justice (A/HRC/12/18 and A/HRC/12/18/Add.1) prepared by the Office of the United Nations High Commissioner for Human Rights in 2009. With regard to the reports on impunity, see note g below.", "[12] S/2004/616, para. 23.", "[13] Ibid., para. 8.", "[14] In 2006 and 2007, the Council welcomed two studies prepared by the Office of the United Nations High Commissioner for Human Rights on the right to truth as a legal standard and instrument (E/CN.4/2006/91 and A/HRC/5/7, respectively). In 2009, a more specific investigation followed on the role of archives and witness protection in realizing the right to truth (A/HRC/12/19).", "[15] E/CN.4/Sub.2/1997/20/Rev.1 and E/CN.4/2005/102/Add.1, respectively. The Orentlicher revision focused on identifying best practices in combating impunity and did not significantly reformulate the principles themselves.", "[16] See also the preamble to the Basic Principles and Guidelines contained in the annex to General Assembly resolution 60/147.", "[17] The dealing with the past diagram developed by Switzerland can be found at the end of the present submission. For a more detailed description of the Swiss approach to dealing with the past and the use of the diagram, see Jonathan Sisson, “A conceptual framework for dealing with the past” in Mô Bleeker (ed.), Dealing with the past, Politorbis No. 3, 2010, pp. 11-15.", "[18] See A/HRC/12/50, chap. I, resolution 12/11, para. 21.", "[19] www.peace-justice-conference.info/declaration.asp.", "[20] The International Criminal Court is investigating six situations and has formally opened 12 cases.", "[21] The implementation legislation of the Rome Statute has been in force since January 2011, adapting the Swiss Criminal Code with regard to genocide, war crimes and crimes against humanity. The new legislation is available in French at www.admin.ch/ch/f/as/2010/4963.pdf.", "[22] See http://cicig.org/index.php?page=home-page. See also Andrew Hudson and Alexandra W. Taylor, “The International Commission against Impunity in Guatemala: a new model for international criminal justice mechanisms”, Journal of International Criminal Justice, vol. 8, No. 1, pp. 53-74.", "[23] For example, the International Commission on Missing Persons: http://www.ic-mp.org/about-icmp/.", "[24] See www.iom.int/jahia/Jahia/about-iom/organizational-structure/reparation-programmes/lang/en; jsessionid=2E0C3F182BB9A9F4E358BFD195849E04.worker02." ]

[ "Sixty-sixth session", "Item 83 of the provisional agenda", "Rule of law at the national and international levels", "Strengthening and coordinating United Nations rule of law activities", "Report of the Secretary-General", "Summary", "The Secretary-General's report is the third annual report on strengthening and coordinating United Nations rule of law activities, which is a continuous and very important process for the Organization. The present report is submitted pursuant to General Assembly resolution 65/32.", "The Rule of Law Coordination and Resource Group, supported by the Deputy Secretary-General, continued to promote more strategic and effective rule of law assistance by the United Nations and to ensure full improvement of the quality, coordination and coherence of United Nations engagement.", "The present report describes the main achievements and major challenges that have been achieved over the past year in strengthening the rule of law at the national and international levels, highlights the progress made by the United Nations in supporting national priorities and plans in a more comprehensive and coordinated manner, and presents the next steps.", "Contents", "Introduction 3", "Introduction", "The Middle East and North Africa have experienced deep political changes due to the calls by the population to increase accountability, transparency and the rule of law. This underscores the importance of the United Nations involvement in the ongoing promotion of domestic and international rule of law. The present report provides an opportunity to track progress made in the implementation of this broad and ambitious agenda and to reflect current challenges. This progress is based on the milestones achieved thus far in this process: the Millennium Declaration (resolution 55/2); the report of the Secretary-General on the rule of law and the rule of law in conflict and post-conflict societies (S/2004/616); the 2005 World Summit Outcome (General Assembly resolution 60/1); the report of the Secretary-General on strengthening United Nations support for the rule of law (A/61/636-S/2006/980 and Corr.1); the establishment of new United Nations system-wide arrangements, including the Rule of Law Coordination and Resource Group, which is supported by the Rule of Law Unit of the Secretary-General, as well as a system of non-heading bodies in the rule of law sectors (A/63/64); and the first annual report of the report of the Secretary-General on strengthening and coordinating activities of the United Nations on the rule of law (A/63/283);", "The United Nations is providing rule of law assistance to 150 Member States throughout every region of the world. The environment in which these activities are organized includes development, vulnerability, conflict and peacebuilding environments. Of at least 70 countries, three or more United Nations entities are involved in rule of law activities, while five or more United Nations entities are involved in these activities in more than 35 countries. Evidence suggests that trends in joint and integrated initiatives have emerged among the main rule of law entities carrying out activities, particularly in conflict and post-conflict situations, including the rule of law in the mandates of 17 peace operations.", "The Rule of Law Coordination and Resource Group, chaired by the Deputy Secretary-General, supported by the Rule of Law Unit, continued to make progress in achieving system-wide strategic coherence in the engagement of the United Nations. Progress includes streamlining policies and guidance; supporting concerted action among countries; expanding partnerships to provide rule of law assistance from national perspectives.", "However, the United Nations remains challenged in providing effective rule of law assistance. These challenges include the need to build the necessary political will and leadership to make the rule of law a national priority and to promote reform efforts, including the lack of comprehensive coordination among relevant national and international actors. These challenges must be addressed in order to remove the gap between international norms and standards and their implementation at the national level.", "The present report is submitted pursuant to General Assembly resolution 65/32, in which the Assembly requested the Secretary-General to submit an annual report on United Nations rule of law activities, in particular the report on the work of the Rule of Law Coordination and Resource Group and the Rule of Law Unit in order to enhance the coordination, coherence and effectiveness of those activities. The annex to the present report contains comments submitted by Member States on the rule of law and transitional justice in conflict and post-conflict situations to the Secretary-General. Taking into account the broad scope of this sub-themes, the present report provides information in accordance with the full text.", "Promotion of international rule of law", "codification, development, advocacy and implementation of the international normative and standard framework", "International rule of law is the most fundamental foundation of the Charter of the United Nations. In order to achieve that ideal, the United Nations sought to create conditions to respect the justice and obligations of treaties and other sources of international law. In May 2011, the Secretary-General issued a guidance note on the United Nations approach to international rule of law assistance. The Notes provide guiding principles and frameworks for promoting the rule of law in relations between States and international organizations and international organizations. The Notes identify key legal instruments guiding United Nations action and indicate how the principles contained in those instruments are used in specific international rule of law assistance. The Notes identify that United Nations involvement in the promotion of international rule of law is rooted in this recognition that, in order to overcome the challenges and threats facing the world, there must be an effective multilateral system based on international law.", "Addressing statelessness is an essential and inherent part of the efforts of the United Nations to strengthen the rule of law. The world has estimated 1,200 million stateless. Nationality is essential for full participation in social life and the enjoyment of basic human rights. The 1961 Convention on the Reduction of Statelessness and the 1954 Convention on the Status of Stateless Persons are too few States parties, which are the main legal instruments to protect stateless persons and to prevent the occurrence and reduction of statelessness. The General Assembly established the mandate of the Office of the United Nations High Commissioner for Refugees (UNHCR) for the identification, prevention and reduction of statelessness and the protection of stateless persons, and, on the occasion of the fiftieth anniversary of the 1961 Convention, UNHCR has made a redoubled effort to promote adherence to and implementation of the two main statelessness conventions. The 2011 United Nations treaty activities organized by the Office of Legal Affairs (Office of Legal Affairs) provide Member States with an opportunity to ratify or accede to those conventions. In order to focus United Nations support to Member States on preventing and reducing statelessness, the Secretary-General issued a guidance note on the United Nations and statelessness in June 2011. The Notes stress that access to nationality is the main way to address statelessness, while encouraging States to guarantee gender equality in the law of nationality and to guarantee their implementation in order to prevent statelessness. Effective resolution of statelessness is equally essential for conflict prevention efforts and for social and economic development, but requires increased efforts by all stakeholders, including States, the United Nations system and affected communities.", "During the reporting period, the United Nations continued to assist in the development and implementation of international norms and standards related to the rule of law. New standards in the area of criminal justice have been developed, including the revised Model Strategies and Practical Measures to Eliminate Violence against Women in Crime Prevention and Criminal Justice (General Assembly resolution 3928, annex) and the United Nations rules on the treatment of women prisoners and non-custodial measures for female offenders (Bangkok Rules) (General Assembly resolution 39, annex). The General Assembly held a high-level meeting to commemorate the tenth anniversary of the United Nations Convention against Transnational Organized Crime and held a special treaty signing event leading to the ratification, accession or acceptance by more States of the Convention: Convention itself: 8 States; Trafficking in Persons Protocol: 9 States; Migrants Protocol: 6 States; Firearms Trafficking Protocol: 9 States. In addition to a pilot project, the Conference of the States Parties to the United Nations Convention against Transnational Organized Crime established an open-ended intergovernmental working group on possible mechanisms for reviewing the implementation of the United Nations Convention against Transnational Organized Crime and its Protocols. Any future review mechanism should enable participating States to share expertise and best practices in the application of the Convention and contribute to the identification of technical assistance needed to ensure better selection of the target audience of the assistance programmes.", "In the field of disarmament, important events included the success of the Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons, hosted by the United Nations in May 2010. The conference resulted in the adoption of an action plan with 64 points for the implementation of the Treaty and mandated the Secretary-General to organize a conference on the establishment of a zone free of weapons of mass destruction in the Middle East in 2012. Other important events, including the entry into force of the Convention on Cluster Munitions on 1 August 2010, are essential to the elimination of the suffering of civilians, including children, due to the widespread suffering of such weapons. The Secretary-General also convened a high-level meeting in September 2010 to enable the Conference on Disarmament to resume its work, which was the only multilateral disarmament negotiating forum in the world, but no activities had been carried out over the past 12 years.", "In the area of international investment and free trade agreements, the United Nations Commission on International Trade Law (UNCITRAL) is developing legal standards on transparency in investor-State treaty-based solutions.", "International and hybrid courts and tribunals", "The International Court of Justice continues to contribute to the international rule of law and accept new cases. At present, the International Court of Justice had before it 14 cases of litigation and one request for advice. In July 2011, the Court decided on provisional measures in accordance with a request for interpretation of the judgement made in the Preah temple (Cambodia v. Thailand) of 15 June 1962. This case illustrates the role played by the International Court of Justice in the peaceful settlement of legal disputes that cause tension between States. The Office of Legal Affairs has taken initiatives to strengthen the role of the International Court of Justice, including in its annual treaty activities in 2010 and 2011, and in New York, States were encouraged to make statements recognizing the compulsory jurisdiction of the International Court.", "The arrest of Ratko Mladić and Goran Hadžić were two milestones in the history of the International Tribunal for the Former Yugoslavia. However, in the International Criminal Tribunal for Rwanda, nine accused remain at large. Both Tribunals have made progress in implementing their completion strategies, including outreach activities for national jurisdictions, such as through the International Tribunal for the Former Yugoslavia, the Organization for Security and Cooperation in Europe (OSCE) and the United Nations Interregional Crime and Justice Research Institute (UNICRI). The Security Council, in its resolution 1966 (2010), established a residual mechanism and established a sub-office for Rwanda and in The Hague for the former Yugoslavia, scheduled to commence operation on 1 July 2012 and 1 July 2013. The residual functions of the two Tribunals will continue to be exercised by the residual mechanism, including the trial of fugitive offenders, the ongoing witness protection, the monitoring of the implementation of sentences of imprisonment and the administration of archives. Similarly, the United Nations signed an agreement with the Government of Sierra Leone establishing the Special Court for the residual functions of the Special Court for Sierra Leone after the completion of the Charles Taylor case.", "The Special Court of the Court of Cambodia has allowed victims to play a strong and important role. An independent study showed that most of the victims participating in the proceedings appeared to be satisfied with the Court's judgement in Duić in July 2010. The second round of trials is under way, with four remaining Khmer Rouge leaders in the world: farms, Esssli, Josenpan and Intidi. The Special Court for Lebanon, which was recently established by the United Nations-supported court, transmitted an indictment and related arrest warrant to the Lebanese authorities on 30 June 2011. This is an important step towards the implementation of the unique mandate of the Tribunal, namely, the trial of terrorism, which is one of the threats to international peace and security.", "The International Criminal Court is the first Permanent International Criminal Tribunal and currently has 116 Member States. The United Nations maintains its commitment to the Court and continues to cooperate in providing logistical support for the Court's field operations and in submitting documents to prosecutors and defence counsel. The International Criminal Court has completed its first trial in Rubanga and is expected to make its judgement at the end of 2011. Following the transfer of the situation of the Libyan Arab Jamahiriya to the International Criminal Court by the Security Council in accordance with resolution 1970 (2011), the Prosecutor has initiated a survey of the arrest warrant against humanity of Muammar Al-Qadhafi, his son Saidif Islam Qazfi and Abdullah Saidoui. The Prosecutor also sought authorization to initiate investigations into serious crimes committed following the elections in Côte d'Ivoire in November 2010, in accordance with the request of President Al-Asra Watara. Cooperation provided by States to implement the arrest warrant of the International Criminal Court remains problematic: 10 of the 26 persons who issued arrest warrants or summonses to them remain in the case. In the next year, the International Criminal Court will change, re-election of one third of 18 judges and the appointment of a new prosecutor.", "C. Non-judicial mechanisms", "In efforts to end impunity, the dispatch of credible, independent, international commissions of inquiry or truth commissions focusing on accountability and public reporting is an important catalyst. These committees have helped to highlight violations committed by women and children, such as the verification of sexual violence and gender-based violence committed during the conflict, which are often not fully reported and are excluded from justice and remedies. In June 2011, the Human Rights Council had before it the reports of two international commissions of inquiry on the Libyan Arab Jamahiriya and Côte d'Ivoire (A/HRC/17/44 and A/HRC/17/48 respectively). In order to ensure full attention to sexual violence and gender-based violence, the United Nations seconded an expert to the latter committee. In April 2011, the Secretary-General's Panel of Experts on Criminal Accountability in Sri Lanka concluded that credible allegations showed that, at the end of the conflict, the Government and the Tamil Tigers of Tamil Eelam had committed acts of grave international law. In April 2011, the Human Rights Council requested the Office of the United Nations High Commissioner for Human Rights (OHCHR) to dispatch an urgent mission to the Syrian Arab Republic to investigate all allegations of violations of international human rights law and to verify the facts and circumstances of those violations and committed (resolution S-16/1). More efforts should be made to ensure that such committees are able to collect the necessary information in a timely manner and to ensure follow-up on their recommendations.", "The non-judicial mechanisms that promote compliance with international norms and standards include monitoring and reporting mechanisms on grave violations of children in situations of armed conflict, established by Security Council resolution 1612 (2005) and implemented in 13 conflict-affected countries in 2010. This concentration of international pressure has resulted in, inter alia, the release of 2,973 minors from the Nepal Mist camp, bringing 568 children in Sri Lanka, including 201 girls, together with their families. By resolution 1960 (2010), the Security Council requested the Secretary-General to provide monitoring, analysis and reporting arrangements as part of the measures taken by the United Nations to address conflict-related sexual violence. Thanks to these arrangements, it should be possible to include credible persons suspected of committing sexual violence on the list or removed from the list, and to contribute to the commitment of parties to conflict to prevent and address such violations.", "The identification of fact-finding activities has also proved to facilitate the establishment of a record of violations and to assist States in fulfilling their investigation and prosecution obligations, as demonstrated by the fact-finding activities of OHCHR, which documented gross violations of human rights and international humanitarian law committed in the Democratic Republic of the Congo between March 1993 and June 2003. Following the identification of the activities of the truth and the development of options for the appropriate transitional justice mechanism, the Congolese Government recently announced the establishment of the Special Court and the drafting of a draft law for consideration by Parliament.", "United Nations approach to promoting domestic rule of law", "The United Nations approach to strengthening the rule of law includes, inter alia, strengthening national ownership of reform initiatives, providing support to national reformers, developing strategic approaches to country field assessments and coordinating our activities with key stakeholders, including civil society (see A/63/226, paras. The framework for United Nations involvement in the rule of law sector activities consists of constitution-making, legal reform, electoral assistance and security, capacity-building in the judiciary and security institutions, transitional justice processes and mechanisms and linkages with civil society.", "Framework for strengthening the rule of law", "Establishment of a constitution", "Constitutional or equivalent documents are based on the rule of law State. A constitution-making process, if designed and inclusive, can play an important role in the political transition and post-conflict peacebuilding and play an important role in preventing conflicts by ensuring the equal rights of marginalized groups. Over the past year, the United Nations has supported constitutional issues in Bhutan, Indonesia, Kyrgyzstan, the Libyan Arab Jamahiriya, Madagascar, Maldives, Nepal, Somalia, South Sudan and Zimbabwe. In South Sudan, the United Nations Mission in the Sudan (UNMIS) ensured that women leaders participated in the drafting of the Southern Sudan Transitional Constitution and provided advice to the Government to provide a strong basis for helping to prevent and address sexual violence. In August 2010, the United Nations-supported constitutional review process in Kenya culminated in the promulgation of a new constitution in the country.", "Political changes in the Middle East and North Africa make constitutional reform a priority for many countries. In order to provide assistance in a robust and consistent manner, the United Nations needs to make more consistent use of its own lessons and internal capacities, such as the standby team of mediation experts of the Department of Political Affairs (Department of Political Affairs) and to utilize professional external expertise.", "National legal framework", "The United Nations continues to support States in integrating international legal obligations into domestic law and in developing the legal basis for governance, oversight and accountability of judicial and security institutions.", "Achievements in the area of criminal justice include assistance to the Ministry of Justice of the Central African Republic in drafting new penal and criminal procedures. In Nepal, the United Nations Development Programme (UNDP) has supported the drafting of penal codes, criminal procedures, civil codes and civil action laws.", "Malawi, Rwanda, Liberia, Mauritania, Turkmenistan, Pakistan, Papua New Guinea, the Philippines, Tunisia, Chile and Colombia have ratified new laws or amended laws that incorporate the principles of child justice. The United Nations Children's Fund (UNICEF) raises the minimum age for criminal responsibility in Georgia, Kazakhstan and Bolivia through targeted advocacy. UNICEF's recent guidance document on juvenile justice legislative reform should guide future efforts.", "The United Nations Office for West Africa (UNOWA) and OHCHR, through a joint study on human trafficking in West Africa, have produced guidance guidelines on the adoption of domestic legislation based on international and regional human rights norms and standards. In order to address piracy, the Office of Legal Affairs, together with the United Nations Office on Drugs and Crime (UNODC) and the International Maritime Organization, has developed guidance (see http://www.un.org/Depts/los/piracy/piracy.htm) for the development of national legislation on piracy in accordance with the United Nations Convention on the Law of the Sea and other instruments.", "Judiciary, governance, security and human rights", "United Nations rule of law assistance strengthens the institutional capacity necessary to implement constitutional guarantees, laws, policies and regulations. For example, in order to give citizens confidence in the rule of law, electoral complaints must be dealt with fairly, impartially and expeditiously in accordance with their national legislation. The United Nations has supported the strengthening of electoral dispute resolution mechanisms in Burundi, Haiti, Kyrgyzstan, Iraq and other countries.", "Experience shows that the needs of police, justice and corrections institutions must be met in a coordinated manner to better provide justice and security. An innovative approach was adopted to improve the performance of the judiciary. For example, the investigation and prosecution of serious criminal cases was facilitated through the establishment of a prosecution support team in the Democratic Republic of the Congo. In Liberia, the establishment of a judicial and security centre could provide a model for similar engagement in other environments. In Burundi, the United Nations has significantly increased the transparency and performance of the judicial process through mentoring and other capacity-building efforts, including the establishment of a courtboard and a magistrate who has received training in court administration. In Sierra Leone, UNDP-funded mobile courts have brought magistrates into three new towns in Southern Province. In Timor-Leste, UNDP has provided support to a judge inspectorate position to help ensure the quality of service delivery, while efficiency in the handling of cases should be improved as a result of the establishment of a new integrated case management system.", "The United Nations is aware of the potential of informal mechanisms in strengthening judicial assistance, thereby establishing contacts with the informal justice system, such as in Afghanistan, Bangladesh, Nepal, the Occupied Palestinian Territory, Timor-Leste, South Sudan, Somalia and Indonesia. UNDP, UNICEF and sister published a wide range of studies, which identified entry points for networking with the informal justice system to better protect and realize human rights, especially women and children, in future programming. In Uganda and South Sudan, support was provided for the codification of customary law, which aims, inter alia, to ensure the protection of women's property rights in marriage and inheritance and to better address sexual and gender-based violence. In Darfur, Indonesia and Afghanistan, emphasis has been placed on raising the legal awareness of religious and informal judicial leaders on issues such as women's rights and the formal relationship with the informal justice system. In Somaliland, a UNDP-supported referral system had been established to enable tribal elders to transfer cases of sexual violence and gender-based violence to the formal courts and, as a result, the transfer of these cases to the formal courts had increased by 44 per cent in 2010.", "UNODC and UNICEF continued to promote conceptual and programme planning shifts from juvenile justice to the wider area of child justice. The capacity-building efforts of UNICEF focus on police and 25 judges in over 30 countries. In 2010, about 45 countries in all regions of the world took concrete steps to implement United Nations guidelines on criminal justice matters for child victims and witnesses. The notable progress included the extension of the Juvenile Justice Commission in Mongolia to five provinces, as well as strengthening the capacity of social workers, the police and the courts in Kiribati to deal with juvenile offenders. In Afghanistan, UNODC has helped to establish a separate juvenile justice system. In order to promote alternatives to imprisonment, UNICEF launched an online toolkit providing clear, user-friendly guidance and practical tools. In more than 20 countries, there are approximately 1,600 children in the Sudan benefiting from these plans.", "In this year, building the capacity of police to deal with sexual violence is a major focus area. The training of 500 Sudanese female police officers to investigate cases of sexual violence was carried out by the African Union-United Nations Hybrid Operation in Darfur. Gender, sexual and gender-based violence and child protection elements have been incorporated into the National Police Training Course in Uganda, with the support provided by UNODC, the United Nations Population Fund and UNICEF. Support was provided to the Special Police for the Protection of Children and Women in the Democratic Republic of the Congo through the construction and equipping of office premises. UNDP supports the review and analysis of the impact of the programme on the safety of citizens of Nicaragua, resulting in various reforms, including the establishment of mobile community groups at the National Police Office to address gender-related issues and domestic violence.", "The United Nations continues to support and advocate for the prioritization of corrections, including the provision of infrastructure assistance, capacity-building and the deployment of additional corrections officers to peace operations. In recognition of these efforts, the International Correctional and the Prison Association awarded the Good Award for Management and Staff Training to the Southern Sudan Prison Authority and UNMIS. In Haiti, the tracing of fugitives was facilitated through the establishment of a prison database. In the Democratic Republic of the Congo and Sierra Leone, human rights and detention management training for prison guards was conducted. In Burundi, seven prisons in the country were rehabilitated and equipped and a prison security plan was developed.", "The International Committee for the Elimination of Domestic Violence in Guatemala continued to cooperate with Guatemalan counterparts to prosecute cases of organized crime. Although the Commission faces operational and security challenges, it has been recognized that Guatemala's judiciary has been strengthened through the prosecution of a number of large cases, review measures and other forms of technical assistance. The Commission is therefore giving rise to increased international interest, particularly in Central America.", "Transitional justice", "Over the past year, the United Nations has continued to support transitional justice processes in Afghanistan, Bosnia and Herzegovina, Burundi, Colombia, Côte d'Ivoire, Guatemala, the Democratic Republic of the Congo, Kenya, Liberia, Nepal, Sierra Leone, Togo, the Solomon Islands and Uganda. More such work is expected to take place following deep political changes in the Middle East and North Africa. In order to achieve sustainable transition, mechanisms are needed to put an end to impunity and to ensure accountability, the identification of truth, reparation and other measures to ensure that similar incidents are not repeated.", "In order to ensure that transitional justice mechanisms reflect the specific needs of affected communities, national consultations must be conducted. In Burundi, the final report of the national consultations supported by OHCHR and the United Nations Office in Burundi (UNOBB) was endorsed by the President, and a technical committee was mandated to determine the scope of the work of the Truth and Reconciliation Commission. A basket fund managed by UNDP will ensure coordination of international support and pooling of resources. In Nepal, OHCHR contributed to the participation of victims in transitional justice dialogue and held consultations on the search for truth bills to attract the participation of victims groups throughout the country. The United Nations Integrated Peacebuilding Office in Sierra Leone provided support to the Sierra Leone Human Rights Commission and contacts with local authorities to implement the recommendations of the Truth and Reconciliation Commission. In addition, the United Nations Operation in Côte d'Ivoire supports the dialogue, the work of the Truth and Reconciliation Commission established by the Ivorian Government to promote national reconciliation and social cohesion.", "While Colombia, Guatemala, Nepal, Sierra Leone, Timor-Leste and Uganda have made progress in providing compensation for survivors of human rights violations, more attention is needed to ensure implementation. Technical assistance focuses on the design and implementation of reparation plans, as well as supporting the participation of victims and civil society in reparation discussions. In the Democratic Republic of the Congo, OHCHR and the United Nations Organization Mission in the Democratic Republic of the Congo (MINURCAT) assisted national authorities and other stakeholders in developing options for reparations to victims of sexual violence. In Uganda, OHCHR and the Human Rights Commission of Uganda have conducted field studies on gender-based violence and compensation, with the support of herders, which have been presented to Governments, donors and civil society. In Colombia, the Parliament debate was held to ensure that a gender perspective is incorporated into the recently enacted Victims and Land Return Act, leading to the inclusion of children born after rape as legal beneficiaries and other results. While ensuring that adequate remedies are provided to victims of conflict-related violence as a State's obligations under international law, the sustainability of the former and the potential for a transformation can be strengthened, especially with regard to women.", "The establishment of witness and victim protection programmes in accordance with international norms and standards was supported in Argentina, Nepal, Kenya, Rwanda, the United Republic of Tanzania and Togo. OHCHR-UNODC, in collaboration with the Uganda Law Reform Commission, organized a high-level expert seminar in Uganda and organized a regional seminar for South Asia in Nepal to enable the sharing of best practices in that regard. A seminar was also organized in Togo for the Truth, Justice and Reconciliation Commission. Training on witness protection and management was provided to the judiciary and law enforcement agencies in Rwanda with the aim of building national capacities for cases transferred from the International Criminal Tribunal for Rwanda.", "Children's perspectives and experiences make a unique and important contribution to the transitional justice process. Therefore, child protection actors advocate for protection procedures and statutory safeguards to enable children to participate in transitional justice in all aspects. The main principles of children and transitional justice (see A/65/219, paras. The UNICEF report entitled “The Committee on Children and the Truth” provides guidance for these initiatives to address both child victims and witnesses in serious crimes.", "Enhancing the rights of individuals and civil society", "Cooperation with the public and civil society is a major component of the United Nations approach to strengthening the rule of law. The United Nations promotes the promotion of legitimate rights in order to raise public awareness and foster a culture of the rule of law. In Burundi, for example, UNBB assisted in the translation of the new penal code into Kiryi and ensuring its wide distribution. In Georgia, following a UNDP-supported advocacy campaign, the demand for assistance from the Georgian Legal Aid Agency has increased considerably, particularly among displaced persons and minorities.", "Helping to provide justice to vulnerable groups more broadly remains a priority for United Nations rule of law programming, which have been carried out in more than 22 countries around the world. In Somalia, for example, UNDP has helped rape survivors to resort to formal court proceedings, which have previously been hampered by the dominant position of clan elders. In Afghanistan, the United Nations Assistance Mission in Afghanistan has strengthened the capacity of the Ministry of Justice to provide legal aid lawyers.", "Civil society organizations play a strong role in helping to overcome the obstacles that often perpetuate citizens, especially the most marginalized and most vulnerable, and are isolated from national institutions. In Indonesia, UNDP has supported grass-roots civil society by raising legal awareness and promoting the services provided by counsel assistants in three provinces. In partnership with the Huairou Commission, links were established among grass-roots women's organizations in six African countries to strengthen their capacity to monitor and protect women's land rights and inheritance rights in the informal justice system. Civil society initiatives use the funds provided by the United Nations Democracy Fund to help marginalized groups in Gabon and Guatemala obtain legal identity documents and to promote participation in constitutional reform processes in Bolivia, Ghana and Nepal.", "Addressing key challenges in conflict and post-conflict societies", "Conflict undermines the rule of law, including weakening the capacity of judicial and security institutions. Conflict plays an important role in perpetuating impunity, creating instability and delaying recovery. Agencies often lack basic infrastructure, administrative systems, financial resources, skilled human resources and monitoring and governance mechanisms. Judicial and security professionals may be targets of corruption or threat, thereby undermining the independence and integrity of institutions. The impunity of human rights violators weakens the confidence of government leaders and institutions, thereby hampering the creation of a culture of respect for the rule of law. Conflict and post-conflict situations are therefore a major focus of United Nations rule of law assistance and pose special challenges and priorities.", "Early achievement of tangible results", "The assistance of the United Nations is aimed at gradually restoring confidence in the rule of law, in particular restoring confidence among the most affected displaced and vulnerable groups in conflicts. To that end, the United Nations sought to meet immediate needs for legal protection and more judicial and security services in order to achieve tangible results early, while laying the foundation for long-term reform and institution-building. For example, in the Democratic Republic of the Congo, the United Nations supports the prosecution of cases of sexual violence and gender-based violence of wide concern, while working with national authorities to lay the foundation for long-term institutional reform. An important step was the establishment of a standing judicial and corrections capacity in the Department of Peacekeeping Operations, which would help to establish judicial and/or corrections components in field operations or strengthen existing ones.", "Development of sector-wide approaches", "If financial support and uncoordinated technical support are provided to the rule of law sector, it will lead to greater systemic barriers. For example, if aid is concentrated in the police sector, it has disproportionate burden on the judiciary and correctional institutions because more arrests lead to more and more lengthy pretrial detention. As a result, the Court's pending list of cases is often backlogd, while prisons are often overcrowded, resulting in deteriorating hygiene conditions, riots and escapes, thus constituting serious security problems.", "Sector-wide approaches should be used to the extent possible, and it is clear that priorities are prioritized for rule of law interventions. In Guinea-Bissau, the United Nations has strengthened the links between law enforcement, prosecution and the judiciary. This approach promotes national ownership and coherence, working together with judicial and security institutions to implement a comprehensive reform programme, thereby enhancing the sustainability of the improvements achieved. In Uganda, there has been significant improvements in the correctional sector due to the introduction of a sector-wide approach. In contrast, in Liberia, the lack of a sector-wide approach to the distribution of resources across the various components of the penal chain makes the corrections sector unmet.", "Strengthening political will and national ownership", "Political will is essential to ensure a strong enabling environment and sustainable support for the rule of law reform. However, in many conflicts and post-conflict situations, there is no concern or suspicion about efforts to strengthen the rule of law. In the face of competing demands and enormous challenges, Governments have made the rule of law a top priority. In order to ensure that the rule of law is given the necessary attention and political space to effectively impact it, sustained and consistent advocacy by the United Nations leadership, the General Assembly and the Security Council is also essential for high-level bilateral dialogue with senior government officials. After centralized advocacy and support, the new Government of Haiti announced that the rule of law was one of its four most priorities. With regard to sexual violence in the Democratic Republic of the Congo, the increase in the number of convictions in the security forces by engaging the Special Representative of the Secretary-General for Sexual Violence in Conflict, combined with the increased political dialogue and cooperation between UNDP and the Government.", "Governments and civil society should be encouraged to play a greater role in the design and implementation of the rule of law programmes to ensure that their success is more relevant. Governments should, together with donor partners, invest financial resources for the rule of law programmes in order to demonstrate their commitment. In Kenya, the Government is the largest source of funding for sector-wide programmes.", "Ensuring accountability for international criminal acts at the national level", "International law requires States to build and strengthen their national capacity to investigate and prosecute international criminal acts. States parties to the Rome Convention of the International Criminal Court recognize that this capacity should be mutually supportive and that international organizations need to support that work. [2] The United Nations has been involved in building the necessary capacity to prosecute a number of States, including Bosnia and Herzegovina, Colombia, the Democratic Republic of the Congo, Kenya, Kosovo, Sierra Leone, the Sudan, Timor-Leste and Uganda.", "However, there is no systematic way to support the necessary political will to make the Rome Statute nationalized and to establish linkages between those who need assistance and international actors willing to fund and/or provide such assistance. In order to begin bridging this gap, the United Nations supported the convening of a retreat organized by the International Centre for Transitional Justice, which was aimed at initiating discussions among actors from the international criminal justice, development and legal communities, including the United Nations. Next steps will result in closer linkages between development partners and national stakeholders in developing a capacity-building action plan and linking them to existing initiatives, such as the Open Social Justice Initiative and the toolkit developed by the European Union.", "Strengthening the links between the rule of law and the recovery of the economy", "A large part of the United Nations rule of law response in conflict and post-conflict situations has focused on safety and security issues of initial concern. However, the rule of law also plays an important role in restoring the economy. The confidence of mutual trust and investors will be promoted if there is a functioning judicial and security institutions and based on international norms and standards, including a solid and reliable legislative framework based on international trade law (see General Assembly resolution 801). In order to address complex issues related to land tenure or exploitation of natural resources, legal reform and determination of disputes concerning statutory rights are often needed. The prolonged pretrial detention is particularly common in post-conflict situations, with far-reaching socio-economic consequences for individuals, families and communities and undermining national efforts to achieve development goals. [3]", "The United Nations is therefore working to strengthen more systematically the links between the rule of law and the recovery of the economy in post-conflict situations. For example, the UNDP Early Recovery Policy Implementation Plan in the Sudan has made the “rule of law and justice” and “liable livelihoods” the main pillars of its recovery programme. In the Democratic Republic of the Congo, UNDP organized a project on the safety and reintegration of women survivors of sexual violence and gender-based violence in North and South Kivu, aimed at bringing livelihoods into line with justice. In Iraq, the UNCITRAL secretariat, in cooperation with the United Nations Industrial Development Organization (UNIDO), has helped to develop new Iraqi legislation on alternative approaches to public procurement and dispute resolution, in the context of broader private sector development programmes. These promising initiatives link the rule of law with the recovery of economic and human development, which should build on them and be promoted as appropriate.", "Overall coherence", "Guidance and implementation of the joint strategic plan", "In line with the joint strategic plan for 2009-2011 of the Rule of Law Coordination and Resource Group, efforts are continuing to enhance coherence, quality and coordination of rule of law policies and guidance. The annual review of existing materials and planned materials shows that significant progress has been made in the design of guidance. Substantive policy approaches could be more coherent through enhanced partnerships, particularly in many areas where guidance is developed individually or jointly by entities, such as transitional justice, sexual violence and gender-based violence, and pretrial detention and alternatives. There are very few areas in which guidance is being developed or planned, such as the development of laws, legal reform and social and economic justice, which may require greater attention. If the need for guidance is examined in this regard, it will help to identify priorities and ensure that guidance is tailored to the needs of the actual staff.", "The Panel has a complementary system for the accreditation of material of a system-wide nature, which has been used to endorse the United Nations Rule of Law Indicators and the teacher manual of the Department of Peacekeeping Operations Judicial Affairs Training Programme. This will help to maximize the knowledge and best practices of the United Nations system as a whole, while harmonizing approaches and minimizing duplication of efforts.", "The team recently conducted a United Nations unified rule of law training in cooperation with the United Nations Staff College. This system-wide programme complements the existing more centralized training modules, which will ensure that the staff concerned understand the United Nations harmonized rule of law approach and disseminate them in transactions with Member States. Next steps are to institutionalize this training, which requires more resources and require sustained commitment by all partners.", "The second objective of the joint strategic plan is to implement a common approach to United Nations rule of law assistance in Nepal and Liberia. In addition to the inclusion of Liberia in the agenda of the Peacebuilding Commission in September 2010, programme planning on the rule of law is being strengthened and harmonized in the context of the priority peacebuilding plan, which focuses on three pillars, namely, justice, security and national reconciliation. The Government of Liberia, using the joint support of the United Nations Mission in Liberia (UNMIL) and UNDP, submitted a peacebuilding programme in Liberia, which incorporates the urgent needs of countries in the area of justice, security and national reconciliation as outlined in the priority peacebuilding plan. In Nepal, a donor's joint efforts with the United Nations have led to a preliminary survey of existing international assessment reports, government strategies and ongoing assistance, and options are being identified to improve international support during the medium term.", "As envisaged by the Joint Strategic Plan of the Panel in its third main objective, a high-level meeting will be held at the high-level segment of the sixty-seventh session of the General Assembly to discuss national and international rule of law issues (General Assembly resolution 65/32, para. The modalities for the event will be finalized during the sixty-sixth session of the General Assembly. In order to draw the attention of Member States prior to this high-level event, the President of the General Assembly convened an informal thematic debate on the rule of law and global challenges on 11 April 2011. The Secretary-General will continue to support Member States in developing a concrete output for this high-level event, in which it will ensure that the rule of law continues to be a priority on the agenda of Member States.", "Contact system", "In the area of coherence, one of the priorities remains liaison with more than 40 United Nations actors involved in rule of law activities. The third system-wide annual meeting brought the United Nations system together to explore ways to strengthen joint programming on the rule of law. Participants reviewed the tools and practices currently being used to measure the development of the rule of law and the impact of assistance. They considered the report entitled “Progress of women in the world: pursuit of justice” to explore ways to implement the recommendations of the report system-wide.", "The United Nations Rule of Law website and Documents Centre (www.unrol.org) continued to be a central portal to understand the work of the United Nations rule of law, providing more than 900 documents to staff and the public, while providing knowledge, information and articles on United Nations rule of law activities.", "Cooperation between the United Nations and the World Bank on the rule of law remains an important priority. United Nations rule of law actors provided important inputs to the World Development Report 2011 of the World Bank, focusing on conflict, security and development. The report highlights the importance of providing justice, security and work opportunities to break the cycle of violence that hinders development.", "The report also emphasized the need to address social and economic justice in order to prevent conflicts and ensure long-term development. For the United Nations, there is a need for more coherent engagement in this area. The Secretary-General's forthcoming report on the promotion of legal empowerment and poverty reduction, as requested by the General Assembly in its resolution 64/1215, should further strengthen the important link between the rule of law, judicial assistance and poverty reduction, and identify ways in which it is hoped to benefit.", "C. Measuring effectiveness and evaluating impact", "The United Nations Rule of Law Partnership continues to be strengthened on the ground. This is due to the common perception that joint programming is an effective way to harness the comparative advantages of the various actors involved. The way in which cooperation is not closed makes it more flexible for national and international actors. However, in order to conduct deeper cooperation, institutional barriers need to be overcome and system-wide incentives for joint programming.", "During the past year, joint programme planning activities between UNDP country offices and peacekeeping missions have increased in number and size, and new initiatives have been taken in Haiti, the Democratic Republic of the Congo, South Sudan and Chad. For example, UNDP has expanded its cooperation with United Nations police to train the National Police in Ituri Province of the Democratic Republic of the Congo. With the downsizing of the United Nations Mission in the Central African Republic and Chad, a joint handover strategy was developed based on the joint achievements of the Mission and UNDP in strengthening judicial assistance. UNDP is expanding its current rule of law cooperation with the Department of Peacekeeping Operations, such as the holding of a joint police programme in Timor-Leste to facilitate the transition of the United Nations Integrated Mission in Timor-Leste beyond 2012. In Liberia, UNMIL and UNDP are coordinating support to the Liberian National Police, the Corrections and Rehabilitation Agency and the Immigration and Naturalization Agency under the leadership of the country.", "In Burundi, the role and coherence have been strengthened through the integration of staff from the Department of Peacekeeping Operations, OHCHR and UNDP into a joint justice sector. The judicial performance of the pilot courts has been rapidly improved through targeted training and a pilot project on the administration of the courts in the four jurisdictions. Bilateral partners have chosen to promote the project in four other jurisdictions. UNDP and sister continue to carry out joint programming on women's justice assistance in post-conflict situations in Nepal, Colombia and Uganda, while working closely with OHCHR on gender equality and compensation.", "Because of the growing recognition of the impact of transnational crime on justice and security, a stronger and more targeted joint programming was undertaken at the regional level. In the West African Coast Initiative, UNOWA, the Department of Peacekeeping Operations, UNODC and INTERPOL have jointly undertaken capacity-building in law enforcement and criminal justice reform in Guinea-Bissau, Sierra Leone, Côte d'Ivoire and Liberia to support the ECOWAS regional action plan. Three of these countries have established the fight against transnational crime sectors. UNODC has increasingly developed its regional programmes as a common platform for action with national, regional and multilateral partners. Measures taken by the United Nations system against transnational organized crime and drug trafficking have been expanded through the establishment of a new inter-agency task force, co-chaired by the Department of Political Affairs and UNODC. In order to ensure coherence, the Task Force will report regularly to the Rule of Law Coordination and Resource Group on its initiatives related to the rule of law.", "The Group of Rule of Lawal Experts on Sexual Violence in Conflict, established pursuant to Security Council resolution 1888 (2009), shows how to address sexual violence in conflicts in a coherent manner. The members of the expert group included the Head of the Office of the Special Representative of the Secretary-General for Sexual Violence in Conflict and representatives from the Department of Peacekeeping Operations, OHCHR and UNDP. For example, the Group of Experts has assisted in the development of programmes in the Democratic Republic of the Congo to train armed forces, to strengthen the prosecution support team with experts on sexual violence and to deploy magistrates to the eastern part of the country.", "Measuring effectiveness and evaluation impact", "The United Nations must provide a detailed assessment, baseline data and continuous monitoring and evaluation as the basis for its rule of law assistance. The effectiveness of aid measurement will increase awareness of successful approaches and encourage new approaches to achieve better results.", "The United Nations has developed tools to help Governments collect the necessary data to guide reform efforts. The United Nations Rule of Law Indicators, developed jointly with the Department of Peacekeeping Operations and OHCHR in July 2011, were formally published as a tool to monitor changes in the performance and characteristics of national criminal justice institutions. A pilot project in Haiti and Liberia confirms that Governments can lead in the use of this tool. Governments wishing to use these indicators will continue to use them as a continuous monitoring mechanism. UNODC and UNICEF continue to work with States to establish juvenile justice data collection systems based on juvenile justice indicators measurement manuals. These indicators, inter alia, contribute to the establishment of a baseline for juvenile justice reform in Guinea-Bissau and the establishment of a unified juvenile justice database in the Syrian Arab Republic.", "On the basis of these experiences, the United Nations is working to increase its understanding of what should be adopted and when measurements of progress are included in rule of law interventions, and UNDP is currently developing a user guide to measure the state of justice. We must work closely with Member States to adopt a common impact measurement mechanism. We can only act in accordance with a set of common goals and targets that demonstrate common progress in the implementation of mandates and the achievement of the objectives of the operational phase. In the area of child justice, the recent establishment of the Inter-Agency Child Protection Monitoring and Evaluation Consultative Group is a promising measure of effectiveness and contributes to coordinated monitoring and evaluation initiatives among child protection partners and thematic areas. These initiatives must be used and adapted to make them more broadly applicable to the rule of law area in order to strengthen accountability and improve the assistance provided to Member States.", "E. Strengthening of the rule of law within the United Nations", "The system of administration of justice continues to carry out its basic task of defending the rule of law between the United Nations and staff. Staff members are now able to resort to a two-tier professional justice system to raise claims for United Nations administrative decisions. As at 17 June 2011, the United Nations Dispute Tribunal had issued 416 judgements, while the United Nations Appeals Tribunal, which had recently concluded its fourth session, had 126 judgements.", "Progress has been made in the fairness and transparency of the procedures of the Al-Qaida sanctions regime. The Security Council, in its resolution 1989 (2011), incorporated two so-called “sea” mechanisms and, therefore, would automatically de-list the applicant unless the Security Council Committee established pursuant to resolution 1267 (1999) decided to retain his name on the list. One of the mechanisms included the appointment of an ombudsman in 2010, and one of its current tasks is to make recommendations to the Committee on whether the applicant should retain the list or should be removed.", "Expanding partnerships", "The United Nations is unable to achieve its objectives by guns alone. As a result, one of the important objectives of the United Nations in its efforts to achieve coherence is the establishment of effective partnerships with all stakeholders to successfully promote the rule of law and to strengthen assistance to Member States.", "Funding for the strengthening of the rule of law among donors continues to be highly self-governing, with bilateral contributions exceeding multilateral assistance. As previously mentioned (see A/64/298), while affirming commitment to national ownership, the situation often contradicts the situation, which is driven by donors, where programming is not coordinated and implemented by donors in their countries. Donors give different names on the same rule of law issues and apply different approaches. Although there are country-level coordination mechanisms, there is little comparative analysis of coordination practices and a lack of methodologies. The need to strengthen coherence is most evident in conflict-affected situations, as there are many actors involved in assistance.", "In order to take stock of practices and challenges in this area and to promote consensus on ways to overcome those challenges, the United Nations organized a meeting in 2009, with over 70 representatives from bilateral donors, recipient countries, international organizations, regional organizations and non-governmental organizations. In order to harmonize the methodology, the Meeting concluded that a system should be established to guide and manage the efforts made by multilateral and bilateral donors to work with partner countries and practitioners in a coordinated and cooperative manner to enhance the effectiveness of rule of law assistance.", "Another long-term challenge that hinders progress in this area is the relative lack of national stakeholders and grass-roots experience. In order to help eliminate this imbalance, the Secretary-General, in 2008, recommended the establishment of a forum for national actors from recipient countries for their views on the effectiveness of rule of law assistance (A/63/226, para. The Rule of Law Unit convened consultations with 16 national rule of law experts from 13 countries in 2009 and 2010, with the participation of United Nations entities and development partners, through which a report entitled “New voices: national perspectives on rule of law assistance” was published in April 2011. [4] A common recommendation is the need for mechanisms to make the rule of law assistance more effective and coherent among national partners and donor partners.", "In this regard, the informal thematic debate on “The rule of law and global challenges”, held by the General Assembly on 11 April 2011, highlighted the support provided by the international community, including from bilateral donors and aid providers, which often did not produce expected results at the national level, and the need to ensure that global discussions on rule of law assistance more systematically refer to national actors.", "Similarly, the World Bank's 2011 World Development Report highlighted the difficulties faced by States in accessing external justice and security assistance, as well as the need for more coordinated international responses to meet justice and security needs in countries that are vulnerable to the cycle of conflict.", "Thus, the record so far has shown strongly the need to establish an inclusive international policy forum for all stakeholders, which appears to be justified in the United Nations. The Forum will provide an opportunity for donor countries and recipient Governments, multilateral organizations, non-governmental organizations and relevant private sector actors, including foundations, to undertake strategic coordination, share information on the implementation of the projects and share best practices and national knowledge and experience. The Forum could establish links with other global initiatives, including the Global Forum on Law, Justice and Development, a knowledge partnership that was launched shortly by the World Bank.", "Towards a just, safe and peaceful world under the rule of law", "Strengthening national and international rule of law is a long-term effort. The past recommendation [5] provides an important road map for the work of the Rule of Law Coordination and Resource Group and the Rule of Law Unit. In addition, under the leadership of the Deputy Secretary-General, the Group and the Unit will seek within the framework of the joint strategic plan for the period 2012-2014:", "(a) Greater use of joint programming in peacekeeping and special political missions in order to achieve joint assessments, planning and implementation from the outset;", "(b) Enhance cooperation among United Nations entities in the absence of a mission environment by undertaking joint assessments and planning in response to requests from Member States for support;", "(c) Develop system-wide incentives for joint programming to help overcome institutional barriers;", "(d) Strengthening the United Nations approach to measuring the effectiveness of rule of law assistance;", "(e) Continue and strengthen joint training for United Nations rule of law professionals;", "(f) Convene meetings of relevant actors to share practices and support policies, thereby helping Member States to pursue social and economic justice through the rule of law.", "After seven years of the World Summit, the General Assembly, in its resolution 65/32, mandated a high-level event on the rule of law, to be held at the beginning of the sixty-seventh session in 2012, to provide an opportunity to reaffirm the commitment to universal adherence to and the implementation of national and international rule of law and to take stock of progress. Given this important opportunity, I recommend that Member States:", "(a) To support the efforts of the United Nations to strengthen its aid coherence, coordination and effectiveness, as indicated in paragraph 76;", "(b) A creative reflection of the ways in which the international community can enhance and better coordinate its efforts to strengthen the rule of law, including the establishment of an inclusive international policy forum on the rule of law, which appears to be logically based on the United Nations.", "Annex", "Comments made by Member States", "In its resolution 65/32, the General Assembly requested the Secretary-General to seek the views of Member States before the present report.", "By a note verbale dated 7 February 2011, the Secretary-General addressed to Governments requesting them to submit their views on the sub-theme of the Sixth Committee, “Principles and transitional justice in conflict and post-conflict situations”, no later than 22 April 2011. The Secretary-General requests Member States to pay special attention to the issue of “C.6/63/L.23, para.", "The Secretary-General has received the views expressed by Australia (21 April 2011), Austria (5 May 2011), the Czech Republic (23 April 2011), Denmark (31 May 2011), Finland (21 April 2011), Kenya (3 May 2011), New Zealand (12 May 2011), Oman (8 April 2011), Qatar (19 May 2011), Slovenia (25 April 2011), Sweden (17 May 2011), Switzerland (5 May 2011), Turkmenistan (United Kingdom of Great Britain and Northern Ireland) and Turkmenistan on 2 April 2011. These observations are presented below.", "Australia", "[Original: English]", "Australia welcomes the considerable work being done by various institutions and entities within the United Nations to promote the rule of law at the national and international levels, particularly in conflict and post-conflict situations. These situations are always complex and require a multidimensional response that provides all-inclusive assistance, including peacekeeping, political and security sector reform, operation of transitional justice mechanisms, capacity-building and technical assistance. Australia believes that the rule of law is one of the fundamental elements of any strategy to build a stable and prosperous society. As noted in the World Development Report 2011, the possibility of a civil war would rise by 30-45 per cent, in those countries with weak Government effectiveness, the rule of law and the control of corruption, and the likelihood of extreme violence. In recent years, Australia has made considerable resources to advance this important agenda and has cooperated with the international community. My country's report details activities in certain key areas.", "Provision of rule of law assistance in fragile post-conflict environments", "Australia's justice and security sector reform approach recognizes that fragile and post-conflict countries face daunting development challenges, such as weak governance, limited administrative capacity, continued humanitarian crises, long-term social tensions and violence. Australia has adopted an integrated approach to justice reform. Our interventions are aimed at strengthening the links between the main and key formal judiciary (e.g. police, prisons and courts). We also recognize that community-based customary law systems sometimes play an important role in post-conflict situations and recognize the importance of functioning these customary systems within the human rights framework. Australia's support for the reform of justice is balanced with long-term goals (e.g., national power-building and economic development) and the immediate needs of people affected by the insecurity. In order to resolve conflicts and prevent further conflicts, the World Bank also highlighted this view in the World Development Report 2011, by supporting the enabling and legitimate justice systems on the ground.", "A major focus of Australia is to ensure that States have appropriate legal frameworks to combat corruption and transnational organized crime, including terrorism, money-laundering, access to crime, cybercrime, population smuggling and trafficking in persons, and strengthen the framework for international legal cooperation, including extradition and mutual legal assistance. However, Australia is also aware of the need for technical assistance and capacity-building in other areas of criminal justice, such as in the areas of sentencing and victim protection legislation. Our capacity-building projects include workshops and training for legal, judicial and law enforcement officials; hosting legal exchange activities; organizing counselling and a gang programme to build the capacity of natural persons; developing legal frameworks and legal guidelines; providing legal and policy advice in cooperation with partner countries; and assisting in the enactment of legislation.", "Two recent examples highlight progress in these areas and the effectiveness of these partnerships.", "The first example is that, since mid-2009, Australian agencies have been working with New Zealand counterparts to assist the country in reviewing and reforming its police legislation through partnerships with Tonga. After this assistance, the Tonga Police Act was adopted on 14 September 2010 and entered into force on 2 February 2011. We are now working with Tonga to develop regulations and procedures to ensure the effective implementation of the Police Act.", "The second example is the fact that in 2009, Australian officials deployed to Papua New Guinea under our “Strongim Gavman”, the “Strengthening Government” programme, assisted in the establishment of a Cooperation Unit on Proceeds of Crime and International Crime within the Office of the Prosecutor, which resulted in the issuance of the first civil confiscation order in Papua New Guinea in July 2010 for cases prosecuted under the Proceeds of Crime Act.", "More generally, our country's participation in Timor-Leste (led by the United Nations) and the Solomon Islands (lead by the Regional Mission for the Solomon Islands) and in Afghanistan has shown that Australia supports justice and security sector reform in all vulnerable situations. Australia is also providing capacity-building assistance and technical legal assistance to countries in South and South-East Asia (Indonesia and Cambodia), Africa and the Pacific (Papua New Guinea, Solomon Islands, Ouruatu, Samoa, Tonga and Nauru) in order to strengthen the rule of law and to ensure national security and stability.", "In accordance with the principles of aid effectiveness, Australia seeks to encourage local leadership and local ownership of the reform programme of the judiciary to align our assistance with the policies and systems of the partner Government. In vulnerable countries, Australia supports the process of promoting ownership, involving the wider population and engaging marginalized groups in politically viable circumstances.", "Australia's experience in a series of situations underscores the need for consensus among donor countries and among various Australian government agencies involved in their work on specific justice and security development challenges in providing development assistance. For example, Australia's support to the Regional Assistance Mission in the Solomon Islands is characterized by close intersectoral dialogue at the headquarters and field levels in Australia, cross-government agreements on objectives and ranking, common planning and monitoring frameworks and practical coordination arrangements.", "Transitional justice", "Transitional justice mechanisms play an essential role in enabling conflict-affected countries to achieve sustainable peace. It is particularly important that these mechanisms can serve as a key role in promoting security and development by reshaping the necessary legitimacy and public trust. transitional justice mechanisms include a variety of judicial and non-judicial responses tailored to the specific environment of post-conflict societies. These responses must be aware of the perspectives of victims, particularly those of marginalized groups, taking into account the root causes of conflict and in line with international norms. These responses must also take into account the challenges faced in dealing with the legacy of mass human rights violations and take into account the role played by the host Government and its military or security sectors during the conflict.", "It is important that transitional justice does not have a “call” approach. In post-conflict situations, different management strategies and economic and social strategies are needed for the exclusive regime. Each situation differs from one another and requires close consultation with the affected communities to be the most effective response (the World Development Report referred to as “the most appropriate” institution-building approach”. This could include measures to be taken in the context of criminal prosecution, the search for truth processes, reparation programmes, gender justice, security sector reform and efforts. The past experience has shown that the use of these measures is much more effective than any single measure.", "Australia has consistently supported efforts to put those accused of the most horrible crimes into impunity. To that end, Australia has long supported the International Criminal Court and other international tribunals.", "The package of amnesty and immunity from prosecution must not prevent accountability for those responsible for these crimes. In order to achieve the goal of ending impunity for the most serious international crimes, the two ad hoc international tribunals for the former Yugoslavia and Rwanda and the Special Court for Sierra Leone have made unprecedented contributions. The jurisprudence of these courts enriches our understanding of genocide, crimes against humanity and war crimes and enriches the practice and procedures of international criminal law.", "In cases where possible, the judicial work would be preferable at the national level. The challenge facing the International Tribunal is to ensure that national legal capacity is strengthened as a legacy of itself. For example, the International Tribunal for the Former Yugoslavia has facilitated the development of national courts by transferring cases from the grass-roots accused to competent national jurisdictions. Similarly, the Special Court of the Court of Cambodia is part of the national legal system, with the participation of its organs, and it is hoped that the Special Court will help to build national judicial and administrative capacities.", "By carrying out outreach activities, the above-mentioned courts have created a space for public participation in the discussion of accountability issues, and have shown that the pursuit of justice is not a threat to peace.", "The Australian Government continues to strongly support the efforts of the International Court of Justice and the Court, including through funding, the excellent services provided by our nationals and the work of the international community to encourage cooperation with those bodies.", "Equally important is the need to find a truth process or “traditional” judicial mechanisms, which are essential to the judicial mechanism by promoting accountability at the grass-roots level. These transitional justice mechanisms should be designed to strengthen democracy and peace within the community and to work with civil society and empower them. There should be strong and sustainable institutions with adequate oversight mechanisms, civil society organizations that give victims and marginalized groups the right to speak, as well as trained and educated civil servants, which are essential to transition from a post-conflict environment to a stable future.", "C. Deployment of a civilian component", "Early engagement in conflict and post-conflict situations is important. Steps should be taken as soon as possible to feed the seeds of long-term recovery. There is a need for standing capacities to enable the rapid deployment of necessary professional forces to conflict-affected environments. To that end, Australia has established a rapid deployment of civilian experts to assist conflict-affected countries in their stabilization and recovery efforts at the necessary time.", "The Australian Civilian Personnel Task Force will complement our police and military personnel deployed to United Nations missions and other missions. Australia recognizes that military and police interventions or humanitarian assistance are essential, but they alone cannot achieve lasting security or development gains. In addition to the functions of the police, the functions of civilian personnel are equally essential for the establishment and maintenance of peace and stability. In conflict-affected countries, the Government has limited capacity to provide security and basic services to its citizens. Public administration, security sector reform and economic recovery must be equally a priority to support the provision of basic services in order to achieve lasting peace.", "The Australian Civilian Personnel Task Force addresses issues arising from post-conflict situations in an integrated civilian response, consisting of individuals with expertise in agriculture, law and justice, education administration, engineering, financial management, needs assessment and donor coordination. These experts could work with various stakeholders, such as local beneficiaries, government officials, other donors or civilian experts from other countries, to provide stabilization advice, technical assistance and capacity-building with a focus on shifting to national authorities and reconstruction as well as with the progressive improvement of the security and humanitarian situation. Australia believes that such a response may be necessary to achieve immediate and tangible results on the ground.", "The International Deployment Team of the Federal Police of Australia manages the overseas deployment of the Australian Police and assigns them to capacity-building missions, regional missions for post-conflict reconstruction and United Nations peacekeeping missions. The team staff deployed abroad are sometimes up to 350. In addition, the assistance provided through the International Network of the Federal Police of Australia focuses on building the capacity of local police to combat transnational crime, including supporting cooperation between the police, collecting information in support of international law enforcement efforts and providing training and other technical assistance. Legal evidence and data centres provide a range of specialized assistance at a smaller scale.", "Protection of civilians", "The protection of civilians is a core function of the United Nations and regional peace operations, resulting in complex policy and operational issues, which must be addressed if missions are to be successfully carried out. The United Nations and the African Union have made considerable progress in strengthening the protection of civilians, but challenges remain.", "The most recent draft strategic framework for the drafting of a comprehensive strategy for the protection of civilians in United Nations peacekeeping operations is a major step forward, making the Mission-wide strategy standardized to maximize its ability to protect civilians, strengthen the coherence of the Mission's efforts to implement its mandate and strengthen the accountability and reporting system.", "Australia recognizes the fundamental importance of peacekeeping and peacebuilding efforts in conflict and post-conflict situations, and is therefore committed to enhancing the effectiveness of the United Nations in its peacekeeping operations by engaging in the High-level Research Centre for Asian and Pacific Civil Cooperation and in the Challenges Partnership.", "In April 2010, the Centre hosted the Third International Forum on Peace Operations Challenges in Australia, which discussed the challenges of protecting civilians in multidimensional peace operations. In February 2011, a report was issued at the workshop of the Forum on Challenges co-chaired by Australia outlining the main conclusions of the International Forum.", "While the protection of civilians principles have made significant progress at the strategic level, more needs to be done at the operational level to develop complementary military and police action strategies.", "Work has begun in Australia to develop a protection of civilians principle for the Australian Defence Force. Australia is keen to continue to share its results with the progress of this work, learn from the experiences of other countries and host a high-level civil affairs conference for this purpose, entitled “Strengthening the protection of civilians in peace operations: from policy to practice” (24-26 May 2011. The meeting will take stock of recent developments at the strategic and operational levels and examine more carefully the specific issues of integrating women and children into the protection agenda and consider possible training measures.", "In our wider efforts to enhance the capacity of peacekeepers to protect civilians, Australia recognizes that certain groups in society, namely women and girls, remain particularly vulnerable during and after conflict. Australia supports efforts to integrate women into all conflict prevention, resolution, recovery and peacebuilding, in accordance with Security Council resolution 1325 (2000) on women and peace and security. In 2010, Australia announced funding for the protection of women in conflict and post-conflict situations, free of sexual violence from predeployment training or domestic training of United Nations peacekeepers.", "Australia also believes that women must be more fully represented in the post-conflict reconstruction process in order to ensure lasting stability in peace. Australia's support for resolution 1325 (2000) also includes increased participation of women in peacebuilding and community reconstruction efforts. Our support for women in the electoral process in Afghanistan underscores this. Peacekeeping personnel and staff deployed to the Regional Assistance Mission in the Solomon Islands also see resolution 1325 (2000) as a necessary tool for increasing women's participation in decision-making processes. More needs to be done, and Australia is developing a national plan of action to implement resolution 1325 (2000).", "These initiatives show that Australians are strongly committed to working with the United Nations and Member States to ensure fair, equitable, accountable and justice for all through the promotion of the rule of law. This is most important in conflict and post-conflict societies. In many cases, this will be a long-term effort, but it is also a necessary effort to ensure lasting peace and prosperity.", "Austria", "[Original: English]", "Austria reiterates its firm commitment to the central international order and the rule of law based on international law, including human rights law. We believe that international law and the rule of law are the basis for the international system. Clear and predictable rules, respect for and compliance with those rules and effective multilateral regimes to prevent and sanction violations of the rules are prerequisites for lasting international peace and security. We believe that the rule of law must be strengthened in all respects, namely at the national, international and institutional levels.", "In recent years, the international community has given increased attention to the advancement of justice and the rule of law, particularly in conflict and post-conflict societies. These experiences draw us on important lessons learned, which should provide the basis for our future activities in the area of transitional justice and the rule of law, particularly within the framework of the United Nations. The core is the need to ensure that international norms and standards have a common basis and mobilize the necessary resources for investment in justice. Report of the Secretary-General on the rule of law and transitional justice in conflict and post-conflict societies in 2004 (A/CN.9/WG.VI/WP.66/Add.1 and Corr.1, paras. In S/2004/616), the need for a focus and ways to streamline our work to provide useful guidance for success. He raised the need for coordination and cooperation at all levels of the United Nations and with actors other than the Organization. These work needs to be carried out further. The recommendations in the 2004 report remain valid and need to be fully implemented.", "The strengthening of the rule of law in conflict and post-conflict situations must be based on national assessments, national participation and national needs and aspirations. Although basic legal norms are generally applicable and are not commercial, there is no single formula in vulnerable situations. Our strategy, if it is to be effective, must be committed to raising awareness of national ownership, supporting the actors and adapting to realities on the ground.", "As highlighted in the 2004 report, a comprehensive and comprehensive approach to transitional justice must be adopted (see S/2004/616, para. 64 (k)). We must pay particular attention to the needs of victims and civil society and bear in mind the need for complementarity among transitional justice mechanisms. The United Nations strategy to ensure accountability in post-conflict situations must be extended beyond the International Court of Justice and the Court, including existing transitional justice mechanisms for the achievement of justice, reconciliation and the restoration of lasting peace and security in conflict-torn societies.", "The involvement of the United Nations in vulnerable and transitional societies should immediately focus on strengthening responsible security and the justice sector in accordance with international standards to prevent conflicts from relapse. The goal of our engagement should be to increase the resilience of societies ravaged by conflict, promote understanding and awareness of the rule of law and provide a long-term perspective for sustainable peace. In order to achieve results, our participation must strengthen the role of civil society and lead women in the process of recovery.", "Austria welcomes the increasing support and activities of the General Assembly and the Security Council to strengthen the rule of law. At the 2005 World Summit of Heads of State and Government, Heads of State and Government confirmed the need to respect and implement the rule of law at the national and international levels and reaffirmed their commitment to the international order based on the rule of law and international law. In 2006, at the initiative of Liechtenstein and Mexico, the General Assembly took part in the agenda of the General Assembly in a new item entitled “The rule of law at the national and international levels”. Since then, the Secretary-General has prepared annual reports on the rule of law, to be discussed by the Sixth Committee.", "Austria strongly supports the high-level meeting on the rule of law, to be held at the beginning of the 67th General Assembly in September 2012 (resolution 65/32). While the modalities for this meeting must be discussed during the sixty-sixth session, Austria, at the sixty-fifth session of the General Assembly, applauded the initiative of the President of the General Assembly, Joseph Daes, to organize an interactive thematic debate of the General Assembly on the rule of law and global challenges on 11 April 2011 in order to begin discussions on this issue and to re-emphasize the rule of law among Member States. The debate highlighted the importance of the rule of law for conflict situations and development, which attracted great interest among Member States and was an important step in the preparation of the high-level segment. One of the keynote speakers in this debate, Mr. Michael Severeagé, Minister for Foreign Affairs of Austria, stated that, despite the considerable progress made by the United Nations since the 2005 World Summit, lessons must be learned from recent events and that greater attention should be paid to conflict prevention, national ownership and improved cooperation and coordination related to all rule of law activities. In that regard, he welcomed the Secretary-General's idea of launching a new dialogue forum on the rule of law under the auspices of the United Nations (see www.un.org/en/ga/president/65/initiatives/Rule%20of%20Law/34%20FM-P).", "The Council is also paying increased attention to the rule of law. From 2004 to 2008, Austria organized a series of panel discussions and expert retreats to analyse the role of the Council in strengthening the rule-based international system. In April 2008, the final report, based on the initiative (A/63/69-S/2008/270), included 17 recommendations on how the Council could support the rule of law in all areas of its activities. The Council held two open debates and adopted two presidential statements on the rule of law in 2006 and 2010. Austria, in its capacity as members of the Council, has always been committed to mainstreaming the promotion of the rule of law into the daily work of the Security Council and its subsidiary bodies and to strengthening the Council's working methods. The Council adopted important resolutions in various areas of the rule of law, including the protection of civilians, children and women in armed conflict and peace and security. Other examples include the resolution of the Committee established pursuant to resolution 1267 (1999) on the establishment of an ombudsman and the residual handling mechanism of the ad hoc United Nations tribunals, as well as the resolutions on the mandate of the United Nations Mission. These activities of the Council should continue, as they play a key role in restoring and respecting the rule of law and supporting transitional justice mechanisms (see S/2004/616, para. 64 (a)).", "Ending impunity and strengthening criminal justice", "International tribunals and hybrid tribunals", "Austria believes that efforts to end impunity and strengthen criminal justice at the international level are an important pillar of the rule of law and contribute significantly to conflict prevention and serious violations of international humanitarian law. Austria therefore strongly supports the International Criminal Court, the ad hoc and hybrid tribunals and other international criminal justice mechanisms, as they are measures to end impunity for the most serious crimes of concern to the international community. These mechanisms play an important role in the rule of law and transitional justice by ensuring accountability and guaranteeing due process, procedural safeguards, victims' rights and gender justice, and should maintain full cooperation with international tribunals and hybrid tribunals, including the transfer of accused persons, upon request (see S/2004/616, para. 64 (j)).", "Austria firmly believes that the International Criminal Court is one of the most effective tools to support the rule of law and end impunity. In this regard, Austria commends the review of international criminal justice at the first Rome Statute Review Conference, held in Kampala from 31 May to 11 June 2011, at the invitation of the Government of Uganda. Austria has jointly initiated amendments to article 8 of the Rome Statute and supported amendments to the crime of aggression. In addition, Austria supports the International Criminal Court in a variety of ways; for example, Austria is the first country to conclude an agreement with the Court on the enforcement of sentences. Recently, it started discussions with the Court on signing a memorandum on the transfer of witnesses. Austria recognizes the need for reparation to victims and has made significant contributions to the Court's Victims Trust Fund. The important role of civil society must also be emphasized in ending impunity and strengthening criminal justice. In order to encourage the efforts of civil society in this regard, Austria has made a significant contribution annually to support the International Criminal Court Alliance.", "Austria has been committed to supporting the United Nations International Tribunal for the Former Yugoslavia and Rwanda, the Special Court for Sierra Leone, the Special Court for the Court of Cambodia and the Special Court for Lebanon, which have made significant progress in their work, thereby playing an important role in strengthening international criminal justice. In addition, Austria supports the Court established by Bosnia and Herzegovina to prosecute war criminals and organized crime. Austria assigns international judges and prosecutors for the prosecution of war offenders and assigns international advisers to advise on the punishment of corruption and organized crime.", "National justice system", "Although the International Court of Justice and the Court have had a decisive impact on the development of international criminal law and has become the pillar of the rule of law, we should not focus only on such institutions. In fragile societies and transition societies, United Nations initiatives must increase support for national justice and domestic reform actors and strengthen national legislation, taking into account international norms and standards.", "In this regard, Austria is actively implementing the necessary measures at the national level. Austria has adopted legislation on cooperation with the International Criminal Court, including judicial cooperation and enforcement of sentences in national legislation. The Austrian Penal Code already contains provisions for the punishment of genocide and all crimes, such as crimes against humanity or war crimes, in line with Austria's commitment to the rule of law and to end impunity. However, in order to explicitly meet the requirements of the complementarity contained in the Rome Statute and in accordance with the Court's resolution ICC-ASP/5/Res.3, Austria is explicitly incorporating offences falling under the jurisdiction of the International Criminal Court into domestic criminal law. Austria cooperates with this initiative in the area of legislation and explicitly incorporates grave breaches of the Geneva Conventions of 1949 and their Additional Protocols, the Convention against Torture and the International Convention for the Protection of All Persons from Enforced Disappearance into domestic criminal law. The project is expected to be completed by the end of 2011.", "Role and future role of national and international transitional justice and accountability mechanisms", "Austria believes that the crisis will not be resolved without due and timely attention to justice, reconciliation, reconstruction and development. In that regard, the support of the international community is crucial. We must ensure that the considerations of the rule of law and transitional justice are incorporated into the strategic and operational planning of United Nations peacekeeping operations (see S/2004/616, para. 64 (b)). Any approach to addressing historical issues must take into account specific circumstances and contexts and various mechanisms of justice and reconciliation, including prosecution, truth and reconciliation, national reparation programmes, institutional reform programmes and traditional dispute resolution mechanisms. In this regard, the United Nations should intensify its efforts to promote cooperation in the prosecution and documentation records, to strengthen the role of civil society, in particular victims, witnesses and vulnerable groups such as women, in the prosecution and to promote reconciliation through a fact-finding mission. Often, in post-conflict societies, the process of hearing complaints appears to be more important than the judicial outcome of formal proceedings. Nevertheless, reconciliation in post-conflict situations is based on a clear commitment to ending impunity for serious violations of international humanitarian law and human rights law, in particular accountability for the main perpetrators. Effective conflict resolution and long-term reconciliation depend on the two complementary concepts of peace and justice. Moreover, while amnesty for some offenders can advance the reconciliation process, impunity should not be granted to perpetrators of serious violations of international humanitarian law and human rights law.", "Prevention", "The international community's efforts to promote the rule of law should focus more on prevention. The rule of law plays an important role in preventing conflicts and mass atrocities, stabilizing post-conflict societies and preventing the recurrence of conflicts. As the Secretary-General said in his 2004 report, “in the area of justice and the rule of law, the effectiveness of which is significantly greater than the ex post facto remedy” (S/2004/616, para. In this regard, Austria supports the early warning mechanism of the Special Adviser on the Prevention of Genocide, which collects existing information, in particular from within the United Nations system, and makes recommendations to the Security Council through the Secretary-General. This clearly demonstrates that the relationship between massive and systematic human rights violations and threats to international peace and security cannot be ignored. Austria believes it important to explore ways to strengthen the capacity of the United Nations to prevent genocide.", "The United Nations should intensify its efforts to assist States in fulfilling their responsibility to protect their citizens against genocide, war crimes, ethnic cleansing and crimes against humanity and to increase their early warning capacity. At the 2005 World Summit, all Member States accepted this responsibility and pledged to act accordingly. This responsibility means preventing the occurrence of such crimes, including by preventing incitement to such crimes, through appropriate and necessary means. Austria supports the three pillars strategy proposed by the Secretary-General in his report on the implementation of the responsibility to protect (A/63/677). Recently, the Security Council adopted resolution 1973 (2011) to take decisive action to protect civilians in armed conflict.", "We believe that the rule of law is essential in the fulfilment of the responsibility to protect. It is important to review the responsibility to protect from the rule of law, since the rule of law is a shared theme of the three pillars. Austria fully supports the Secretary-General's view that “the rule of law is fundamental to preventing the commission of crimes related to the responsibility to protect” and that “The United Nations system, through the participation of donor countries, should strengthen the rule of law assistance of Member States. The purpose should be to ensure equal access to justice and to improve justice, prosecution, criminal law and law enforcement services for all. These steps will make disputes within society more likely to be resolved through legal instruments rather than by means of violence.” (A/63/677, para.", "Awareness", "Knowledge and education are key to preventing mass atrocities and their recurrence. Austria learned lessons from its history. As a member of the Working Group on International Cooperation in Holocaust Education, Cessation and Research, Austria is actively committed to promoting education on the Holocaust in schools, universities and communities and to promoting education in other bodies mandated by the Stockholm International Forum on the Holocaust in January 2000. Despite the different ways in which historical events are viewed in different cultures, we believe that knowledge about the Holocaust, because of its unique importance and persistence, contributes to better understanding of the root causes of genocide, war crimes, crimes against humanity and other mass atrocities. Such awareness will lay the groundwork for other post-conflict societies to see their history, to respond to genocide and to continue to live for survivors after the tragic experience. Recognition is an important prerequisite for preventing future violations of human rights or international humanitarian law.", "Under such commitments, Austria contributed to the 2010 International Conference entitled “Global genocide Prevention: Lessons learned from the Holocaust”, organized by the Sarzburg World Seminar, with a view to providing a conceptual framework for linking education, observance and research into the work of the Holocaust with ongoing efforts to prevent genocide, ethnic cleansing, racism, anti-Semitism and xenophobia around the world. Follow-up meetings will be held in summer 2012. The objective of this meeting will be to raise awareness of the links between the Holocaust education and genocide prevention by policymakers in the field of education (public officials and other decision makers).", "Protection of civilians", "Effective protection of civilians in armed conflict is another key element of prevention. Austria is actively involved in international efforts to develop comprehensive standards for the protection of civilians. In November 2009, during Austria's presidency of the Security Council, the Security Council unanimously adopted resolution 1894 (2009) on the protection of civilians in armed conflict. While significant progress has been made in this regard over the past decade, international norms and standards for the protection of civilians have not been fully aligned with field operations, including the lack of full strengthening of the rule of law in conflict-torn societies. The resolution recognizes that protection is a broad concept encompassing international humanitarian and human rights law and goes beyond the scope of physical protection. Therefore, the Council authorizes peacekeeping operations to assist countries in conflict and post-conflict situations in creating an environment for all actors to be responsible for compliance with the laws that are publicly issued, are equally applied and independently decided and are in compliance with international human rights norms and standards. In paragraph 11 of the resolution, the Security Council, for the first time, outlined all transitional justice mechanisms (dourging, identifying truth, reparation and institutional reform) and used a methodology to end impunity for grave violations of international law, including human rights law and international humanitarian law. This was reiterated in the statement of the President of the Council of 22 November 2010 (PRST/1998/25, para. 9), in which the Council, in its resolution 1960 (2010), reaffirmed the link between the resolution of the legacy of previous human rights violations and lasting peace and security, in which the Council made clear that “the issue of previously ill-treatment of civilians caught in armed conflict must be eliminated”. On the occasion of the tenth anniversary of resolution 1325 (2000) on women, peace and security, the Security Council established specific indicators to track the implementation of the resolution, including monitoring post-conflict institutions and transitional justice, reconciliation and reconstruction processes.", "In support of the implementation and awareness-raising of resolution 1894 (2009), Austria supports the development of a special African curriculum on the protection of civilians in armed conflict. In cooperation with the African Training Centre, the University for Peace and Conflict Resolution in Strasbourg, Austria, has developed a bibliographic framework for the course. This training course will be carried out and taught by professionals from relevant African training centres, regional economic communities and the African Union with civilian, police and military backgrounds.", "Human rights", "The rule of law and transitional justice are firmly rooted in human rights law and standards. The right of victims of human rights violations to an effective remedy is ensured at all times. The Human Rights Council plays a crucial role in ensuring the rule of law in conflict and post-conflict societies. Through its special procedures and independent experts, the Council assisted in monitoring and reporting on the implementation of human rights obligations and the principles of the rule of law. The Office of the United Nations High Commissioner for Human Rights has developed useful rule of law tools on transitional justice issues that should be used in the field of the United Nations. At the recent special meeting on Libya and Côte d'Ivoire, the Council clearly emphasized the importance of accountability and the need to put an end to impunity, stressing the need to hold accountable those who attack civilians. Consideration and further study of the establishment of an international commission of inquiry to investigate practices of serious human rights violations is needed.", "Succession issues", "One of the important role of future transitional justice and accountability mechanisms is to preserve their legacy and address legacy issues, such as monitoring and enforcement of sentences, pardon and early release, witness protection, review of judgements and the management and preservation of archives. The administration of justice is not a one-time incident and is not closed with the establishment of the Tribunal, the arrest of fugitives and the judgement, but is a process that may continue for several years and even decades.", "As President of the informal working group of the International Tribunal, Austria led the negotiations leading to the adoption of resolution 1966 (2010) on the establishment of the international mechanism for dealing with the residual matters of the Criminal Court, a milestone in international criminal justice. The Council decided to establish two branches of the residual mechanism, one of which would be established for the International Criminal Tribunal for Rwanda in Arusha and the other for the International Criminal Tribunal for the Former Yugoslavia in The Hague, to be operational on 1 July 2012 and 1 July 2013. The establishment of the residual mechanism is a strong message from the Council to end the impunity situation: the high-ranking fugitives indicted by the two Tribunals have fled the network. The scope, rights and obligations of the two Tribunals and the basic functions will continue. At the same time, the resolution sends a clear signal to both Tribunals requesting them to take all possible measures to complete their work as soon as 31 December 2014, to prepare for the end and to ensure a smooth transition to the residual mechanism.", "C. Informal mechanisms", "In order to adopt a holistic and comprehensive approach to restoring the rule of law in post-conflict situations, more cooperation with the informal justice system is needed to better hold perpetrators accountable and justice for victims. Traditional dispute resolution mechanisms can be complemented by the formal justice system when formal accountability mechanisms cannot fully achieve reconciliation and sustainable recovery of peace and security in conflict-affected societies. Informal mechanisms are often more user-friendly and may have the potential to provide quick, cost-effective and culturally appropriate remedies that may be closer to the local population and not only to deal with the highest levels of offender. United Nations efforts should also recognize the potential of the informal justice system when supporting the rule of law and improving the functioning of the formal judiciary. Austria commended the Office of the United Nations High Commissioner for Human Rights and the United Nations Development Programme for the development of standards in that regard, including technical assistance, to assist national efforts on the judiciary and the security sector.", "However, the informal system of justice is never a common remedy. Despite their strengths, in many cases such systems cannot achieve transitional justice and reconciliation goals. The informal justice system often discriminates against women and vulnerable groups, not always in compliance with international human rights standards, and sometimes perpetuates human rights violations. These systems can easily be affected by abuse of power, sometimes by lack of independence, and the skills and moral values of individuals who operate also affect the quality of justice. Therefore, United Nations initiatives should strive to improve the quality of resolving disputes and eliminate weaknesses in the informal justice system to ensure compliance with international human rights standards. These initiatives should be a part of the United Nations approach to transitional justice and the rule of law, with the broader goal of ensuring accountability and judicial assistance in collaboration with formal institutions and the informal justice system.", "Capacity-building projects", "Capacity-building and assistance activities and projects to re-establish the rule of law in conflict and post-conflict societies are a major component of Austria's efforts to promote the rule of law. In addition, the Austrian Development Cooperation Programme provides assistance during the transition period, which includes the disarmament, demobilization and reintegration of combatants, the reform of the security system, and the resolution of vulnerable groups such as child soldiers.", "For example, the Austrian Development Cooperation Agency supports the strengthening of the debate on transitional justice in the former conflict areas in northern Uganda. In particular, in order to strengthen dialogue between civil society and government agencies, the project incorporates the Truth Survey, Reconciliation and Memory into dialogue and provides the necessary capacity to the relevant judicial and legal and security sectors to deal fully with issues such as law enforcement, investigation and repatriation. Special attention was paid to meeting the specific needs of women and other vulnerable groups in the context of Security Council resolution 1325 (2000).", "In northern Uganda, the Austrian Agency for Development Cooperation also supports the judiciary in the implementation of peace, recovery and development plans, which assist in the establishment of relevant infrastructure (e.g. courts), activities in the area of transitional justice and formal and informal judicial decisions.", "In Bosnia and Herzegovina, the Austrian Agency for Development Cooperation supports national institutions established in the 1995 Dayton Agreement to deal with past war crimes. For example, the Austrian Development Cooperation Agency assists Bosnia and Herzegovina in prosecuting war criminals and organized crime courts (see section A.1 above).", "Although Bhutan is not in post-conflict situations, a joint programme between the Austrian Development Cooperation Agency and the Swiss Agency for Development Cooperation has been established to support Bhutan in the establishment of a sustainable and effective justice system that will open, transparent, independent and efficient and ensure the principle of equality before non-discrimination and the law. Support provided included training, study visits and funding for the establishment of a permanent Academy of Judicial Training.", "Czech Republic", "[Original: English]", "Participation in civilian missions", "The Czech Republic regularly sends police and rule of law and legal experts on transitional justice to civilian missions in the European Union, the United Nations and the Organization for Security and Cooperation in Europe. To that end, the Czech Republic police have an efficient system of training, equipment and maintenance for overseas personnel. The national budget allocated the necessary resources to ensure that the Czech Republic fully complies with the provisions of international treaties and the commitments to be fulfilled by international organizations.", "The Czech police are mainly involved in monitoring the security situation, building capacity, strengthening and supporting local security forces and assisting in strengthening the rule of law. In this context, their mandates are extensive, including as observers, liaison officers, consultants and trainers and direct police services.", "In 1999, the Czech police deployed to the Mission for the first time and sent to the United Nations Mission in Kosovo (UNMIK) and the United Nations Mission in Bosnia and Herzegovina. In 2003, the Czech Republic participated in the European Union Police Mission in Bosnia and Herzegovina. Between December 2003 and September 2005, the Czech police participated in the European Union Mission in the former Yugoslav Republic of Macedonia. In 2004, they started training Jordanian police at the International Police Training Centre in Jordan. The project ended in 2006. Since 2005, the Czech Republic has been participating in the European Union Integrated Rule of Law Mission in Iraq. Since 2006, the Czech police participated in the European Union Border Assistance Mission in Moldova and Ukraine. In 2007, they started to participate in four new missions — the United Nations Observer Mission in Georgia (which expires in 2009), the European Union Observer Mission in Georgia, the European Union Police Mission in Afghanistan [6] and the European Union Palestine Police Support Coordination Office. Since 2004, the Czech police participated in the United Nations Mission in Liberia and [7] are currently planning to dispatch police officers to the United Nations Interim Force in Lebanon and other United Nations missions in the Middle East (UNDOF and UNTSO).", "On 1 April 2011, 35 Czech police officers participated in peacekeeping operations: 8 in Afghanistan (13 since 2008), 1 in Bosnia and Herzegovina (two in total since 2003), 4 in Georgia (6 since 2008), 1 in Iraq (two in 2005) and 14 in the European Union Rule of Law Mission in Kosovo (30 in 2008, in UNMIK since 1999), 5 in Liberia (5 in 2004), and 1 in Geneva in support of the European Union Police Coordination Office (3 in 2008). By the end of May 2011, the number of police officers serving abroad will increase to 61.", "Since 1 October 2010, an Czech Prosecutor (Economic Crime Expert) has been stationed in the Rule of Law Mission in Kosovo, working in northern Kosovska-Mitrovica. In addition, the Czech Republic actively supports OSCE field operations to promote democracy, human rights and the rule of law, and provides financial contributions and personnel (to send experts to OSCE missions in Bosnia and Herzegovina, Albania and Macedonia).", "Seminars held in the Czech Republic", "In the fall of 2010, the provincial reconstruction team in Logara (Afghanistan) organized a 10-day visit to the Czech Republic for senior officials in Logara, who visited prosecutors and members of prison, law enforcement and security institutions. The Ministry of Justice organized a seminar on judicial reform, anti-corruption and the protection of human rights for the Eastern European Partnership countries in December 2010. The workshop was co-financed by the European Commission. The Ministry of Justice plans to hold a similar seminar for Western Balkan countries and Turkey in June 2011.", "C. Afghan provincial reconstruction teams", "The Czech provincial reconstruction team is a joint project of the Ministry of Foreign Affairs and the Ministry of Defence of the Czech Republic, which has been working in Logal province since March 2008 and is a NATO-led International Security Assistance Force established by the United Nations Council in its resolution 1386 (2001). The reconstruction team comprises 11 civilian experts from the Ministry of Foreign Affairs and 261 Czech military personnel.", "A number of capacity-building projects have been implemented in the civilian component of the reconstruction team, such as the construction of a provincial prison facility, the reconstruction of the provincial court building and the construction of a training base for the Afghan National Police and the Afghan National Army. In addition, the Czech Republic has funded the Afghanistan Legal Order Trust Fund established by the United Nations Development Programme.", "The military component of the reconstruction team has been training the Afghan National Police since 2009. Initially, training was held on a temporary basis, and now the Czech Training Team was certified by the priority regional development plans. Training courses include basic guidance on the law on policing and criminal law and constitution. As recommended by the military component of the reconstruction team, the legal course is taught by public prosecutors with criminal law experience. Their participation is a very successful innovation — the course has been more effective and the police are more likely to cooperate with the Prosecutor. The training team is currently composed of the Czech Gendarmerie and remains one of the main trainers of the Afghan National Police in Logar.", "In 2010, the deployment of a European Union police mission was deployed to the Czech police station in various parts of Afghanistan to the pre-Largé base Shank. This enabled the European Union Police Mission to participate in the training provided to the Afghan National Police by the military component of the reconstruction team, to provide guidance to senior management in the Afghan National Police to assist in the rule of law (including a rule of law expert) at the Shank base. The police team at Shank base was supported by the military component of the reconstruction team.", "Participation of the Czech Republic in the International Security Assistance Force", "One of the objectives of the International Security Assistance Force is to weaken the capacity and will of insurgents and to support reconstruction and development, which illustrates the relevance of the rule of law and transitional justice. Under the command of the International Security Assistance Force, the Czech army trained the Afghan National Police, which is the only task of directly related to the rule of law.", "The International Security Assistance Force Rule of Law Programme is implemented by the legal advisers and gendarmerie of the United States Army's Special Operations Team in Sabada, including in Logar and Wardak. Informal cooperation between the Sabad Special Operations Team and the third contingent of the Czech Army (the latter under the command of the International Security Assistance Force, including a rule of law expert), was held with the local justice sector to negotiate ways to make the justice system more effective and to train local police.", "Other activities", "The Czech Republic participates actively in the European Union Electoral Observer Mission and has dispatched several hundred Czech electoral observers every year. Under the facilitation of the transition plan, Czech non-profit organizations are supporting projects in post-conflict countries (Iraq, Georgia, Kosovo), such as the fight against corruption, local government capacity-building and strengthening civil society projects.", "E. Lessons learned from the rule of law and transitional justice in conflict and post-conflict situations in the Czech Republic", "The active participation in potential risk areas is essential. The work of experts in conflict zones has helped to stabilize the regional security situation and ultimately contribute to internal security in the Czech Republic (reducing the influx of migrants from conflict zones and increasing the capacity of local Governments to fight organized crime).", "In the light of the experience gained in Afghanistan, the Czech Republic believes that one of the objectives in the area of conflict and post-conflict rule of law and transitional justice should be to strengthen the links between the formal and informal justice system and to strengthen national ownership in accordance with the most fundamental international standards.", "The Czech Republic supports the exchange of information, experience and experts between European Union missions (and those responsible for missions), agencies responsible for security within the Alliance (e.g. Europol) and United Nations missions through any measures. Enhanced cooperation is one of the ways to increase efficiency in the fight against organized crime, drug smuggling and terrorism.", "Denmark", "[Original: English]", "AD(a) To provide the strategic framework for Denmark's support for the rule of law through the overall strategy for development cooperation in Denmark (2010), which constitutes one of the five thematic priority pillars; international human rights cooperation — strategies for the Government approach (2009); democratization and human rights — Denmark's strategic priorities in support of good governance (2009). Moreover, the identification of the promotion of democratization, good governance and human rights, including the rule of law, is a priority for Denmark to treat vulnerable countries (2010).", "The promotion of the rule of law, access to justice and security for all is the main objective of Danish development cooperation. lob (a) The establishment of a justice system based on universal human rights and functioning is itself the goal of achieving it. Denmark also believes that the rule of law is important for achieving poverty reduction and sustainable development, as it promotes and protects the social and economic rights, livelihoods, individuals and property rights of people. The functioning of a good judicial system also enables everyone to claim his or her rights and to claim compensation in cases of violations of their rights (to States and others). Such a system provides mechanisms for the management and resolution of conflicts and disputes, as well as responses to complaints, and provides a system for ending impunity, thereby contributing to peace and security.", "Against this background, Denmark supports a considerable scale of long-term programme in most of its partner countries aimed at promoting access to justice and the rule of law. Recognizing that most of these disputes are dealt with through informal justice systems and dispute resolution mechanisms, which often involve formal and informal structures, institutions and procedures and national and non-State actors. These programmes typically include the formulation and implementation of sectoral or institutional-scale strategies and plans; constitutional or legal reform; training of justice sector personnel; infrastructure development and modernization; legal and quasi-legal legal assistance; civil society advocacy; alternative and informal dispute resolution mechanisms, including traditional and customary law systems and their linkages with the formal justice system; monitoring, recording and reporting of human rights by national human rights institutions and/or civil society organizations.", "Countries emerging from conflict face specific justice and security challenges. Countries emerging from violent conflict need to address past problems by triggering reconciliation processes at the national and community levels and by addressing war crimes, genocide, crimes against humanity and grave human rights violations in different ways. Identification and record of “the truth”, identification of the responsible, mediation of opposing groups and reparations for past abuses (art. The process, such as transitional justice, is complex and requires a number of different response mechanisms. In some cases, specific legal conflicts and crimes may also arise as a result of the direct or indirect consequences of violent conflicts, such as the rise in violent crime in the community, thereby disrupting the social fabric of the community; land disputes will be established between individuals and communities who remain in their homes and displaced persons; and the conversion of former militaryized groups into organized crime and violence groups.", "These issues, coupled with the task of restoring national construction processes, are often daunting and need to start human and economic development, which needs to be addressed. The re-establishment of the national justice and security system in accordance with the rule of law is an essential component of the national development agenda.", "Denmark supports initiatives addressing issues related to transitional justice and the establishment and strengthening of national justice and security systems that uphold local ownership and sustainability principles.", "Examples of such engagement include support for the peace process in northern Uganda, with a particular focus on traditional justice, as the High Court's War Crimes Chamber had established provisions on accountability and reconciliation, the International Committee for the Elimination of Domestic Violence in Guatemala to address the crimes committed by illegal security forces and secret security organizations, and the adoption of a broader new initiative to meet the needs of the community level and the strengthening of border management, including coastal guards and regional peacekeeping forces, to meet the capacity and institution-building needs of the justice and security sector, thus strengthening mechanisms and justice at the Afghan, South Sudan and Somali communities.", "Denmark supports and advocates strengthening the participation and capacity of the United Nations to strengthen and support national reconciliation processes and transitional justice mechanisms and national justice and security systems. This is crucial because the rule of law, human rights, justice and security need to be given a strong place in the process of peacebuilding and nation-building, which is usually painful, in order to ensure that the framework for human development and economic development is provided, and the United Nations is often the first international actors in the local capacity to support the preliminary initiatives.", "Enabling domestic capacity to prosecute offences under the jurisdiction of the International Criminal Court", "Since the establishment of the International Criminal Court, Denmark has been a strong advocate for political, economic and practical assistance.", "Denmark, as the focal point for the General Assembly of States Parties, has given special attention to the topic of active complementarity, namely, improving the capacity of States (development) to prosecute crimes under the jurisdiction of the International Criminal Court, including genocide, war crimes and crimes against humanity.", "Since the International Criminal Court only prosecutes the most responsible, it is necessary to strengthen the domestic justice system in developing countries so that it is able to investigate and prosecute genocide, war crimes and crimes against humanity committed by individuals who are not prosecuted by the International Criminal Court. This approach must support a comprehensive strengthening of the justice system. If States themselves are able to prosecute those crimes, they may avoid trial by potential international criminals. Denmark believes that this link between the international prosecution mechanism and the national legal system is very important from a political and economic perspective.", "The active complementarities have brought great interest to States, international organizations and regional organizations and civil society. Various approaches are being developed by the United Nations, the EU and others to complement their own development efforts.", "Finland", "[Original: English]", "Finland is strongly committed to strengthening the rule of law at the national and international levels. Respect for international law, in particular respect for human rights, is a prerequisite for international peace and security. The promotion of the rule of law is essential in conflict prevention and in post-conflict situations. The lack of national justice capacity not only leads to conflicts but also hinders sustainable conflict resolution. This is particularly true in post-conflict situations because the most need for justice in such situations, but the judiciary may paraly or lose legitimacy. The independent courts and the legal system ensure that all persons are equal before the law and that the culture of the rule of law and its functioning and reform are linked to: A secure environment and end impunity; implementation of peace agreements; and peace mechanisms for the settlement of disputes. Finland stressed the importance of the rule of law as a cross-cutting theme in conflict resolution and post-conflict situations and was actively involved in the restoration of the rule of law in peacebuilding operations within the framework of the European Union and the United Nations.", "The International Criminal Court and other international criminal tribunals play an important role in upholding international rule of law by ending impunity for the most serious international crimes. Finland stressed, inter alia, the importance of universal ratification and full implementation of the Rome Statute of the International Criminal Court and effective cooperation with the Court. The jurisdiction of the International Criminal Court is based on complementarity. States have primary responsibility for investigating and prosecuting the most serious international crimes in the country. Efforts to strengthen the capacity of national legal systems in this regard also contribute to strengthening the rule of law at the national level.", "Moreover, we must not ignore the same important traditional justice mechanisms. However, justice cannot be only punitive and must be reinstated. For victims of conflict or long-term social exclusion, they must have the opportunity to speak of their experiences or to hear official recognition of the crimes committed. One element of the idea of the rule of law is the voice of the victim. Their confidence in the rule of law would be seriously lost if the victims were not held accountable for legal responsibility.", "The imposition of sanctions raises questions on how to ensure due process and the rule of law. Finland emphasized the need to ensure that fair and clear procedures were established to include individuals and entities in the list of sanctions and to remove them from the list.", "The United Nations can help countries to increase and strengthen national rule of law capacities. In its own development cooperation, Finland has focused its objectives on supporting, to the extent possible, sectoral strategies in support of national priorities and encouraged the adaptation of assistance in support of national priorities. Such assistance is particularly needed in conflict and post-conflict situations. Dialogue and the involvement of civil society in justice sector reform are key to the success of this process. Coherence between different United Nations actors, the United Nations and the World Bank and bilateral actors is essential. The United Nations Rule of Law Coordination and Resource Group, supported by the Rule of Law Unit, provides a mechanism to enable the roles and responsibilities of different United Nations entities and agencies to be usefully integrated and integrated.", "States and societies involved in conflict have a responsibility to address the related issues of transitional justice, including peace and justice. It should be clear that decisions require support from the local population. Challenges include how to combine peace and justice in a balanced manner. Human rights violations and international crimes, such as genocide, war crimes and crimes against humanity, cannot be for peace. Commitments for human rights and accountability and specific road maps should be included in all peace agreements. The promotion and support of the rule of law in vulnerable countries in order to promote national construction and institution-building processes is essential. Post-conflict situations pose challenges for the building of the rule of law, as there are so many problems, such as loss of material, institutional and human resources capacity, lack of appropriate legal frameworks, unsafe environments, human rights violations and impunity, threats to judicial independence and justice, mistrust for existing structures and the root causes of conflict. Conflict situations also require compensation from victims of conflict. In accordance with resolution 1325 (2000) and subsequent resolutions 1820 (2008), 1888 (2009), 1889 (2009) and 1960 (2010), the participation of women is essential for all peace processes.", "The rule of law is essential for the development of any country. Supporting national construction and institution-building processes is essential for vulnerable countries. The functioning of the rule of law is important for economic development, as it ensures the legal basis for economic activity and the laws and rules in place may also guide the role of the authorities, including the prevention of corruption and exclusiveism. The rule of law will establish tools and instruments for democratic participation and provide mechanisms for the functioning of the complaints authorities.", "Finland promotes action to end impunity through regular support for activities in this area. We support the International Criminal Court and its different support organizations, such as the International Criminal Court Alliance. Finland is an important donor to the Trust Fund for Victims of the International Criminal Court. In addition, Finland provided financial support to other international tribunals, such as the Special Court for Sierra Leone and the Special Court of Cambodia. Furthermore, Finland supports the efforts of the International Committee for the Elimination of Domestic Violence in Guatemala and civil society organizations to end impunity.", "Finland believes that capacity-building and assistance in the area of the rule of law are an essential area for development assistance and is more so for societies recovering from conflict. The needs of recipient countries should be the basis for such assistance. Finland has allocated more than €3,000 per year to the Development Cooperation Fund in this area.", "Kenya", "[Original: English]", "Background", "Both international or domestic armed conflict have inflicted great suffering on victims and society as a whole. It has created a situation without the rule of law and human rights are no longer respected. Despite the international community's advocacy and implementation of preventive efforts, armed conflict remains unavoidable because of political instability and the factions or disputes surrounding power, which proves that preventive measures alone are not sufficient. This grave situation requires the use of transitional justice and the elimination of the impact of armed conflict in post-conflict situations, which, in the long term, can reinforce measures aimed at preventing the recurrence of armed conflict. However, the implementation of transitional justice in post-conflict situations has been problematic. Most notably, States tend to apply practical political and amnesty laws for perpetrators of gross violations of human rights in exchange for political stability. The accountability of perpetrators of serious violations of human rights remains a major factor in achieving justice and peace in post-conflict situations.", "Conflict is not a new phenomenon in Kenya. Violence related to the elections in 1992 and 1997. According to the report of the post-election violence commission, the recent post-election violence resulted in 133 deaths, 3,561 serious injuries and more than 33,000 internally displaced persons.", "Our experience over the past two decades has made it clear that peace consolidation and long-term peacekeeping cannot be achieved in the immediate aftermath of the conflict unless the people believe that they can be resolved by the legitimate institutions that resolve disputes and justice. At the same time, the vulnerability of minorities, women, children, prisoners and detainees, displaced persons, refugees and others is evident in all conflicts and post-conflict situations, adding urgency to the crucial restoration of the rule of law.", "While transitional justice refers to a series of activities and processes that contribute to the understanding of past injustices and atrocities in memory, constitutional reform points to the need for a new democratic and responsive governance framework. These two processes, as set out in Agenda IV of the Joint Government Partnership Principles Agreement (known as National Agreements), are currently being carried out in parallel, thus ending post-election violence.", "Agenda IV sets out a process of long-term national reconciliation and healing, which helps to deepen understanding of the history of the country. It also provides for the current joint Government to establish a new democratic constitution before the next general elections and for extensive reform of national institutions, including the security sector and criminal justice institutions.", "To that end, reforms are also needed in accordance with existing constitutions to ensure that institutions are strengthened so as to ensure that the rule of law is upheld at all times. Reforms are carried out mainly in areas critical to transitional justice and the promotion and protection of the rule of law, including the judiciary, the security sector, the Office of the Attorney-General and the Office of the Inspector General.", "Progress in Kenya", "Truth, Justice and Reconciliation Commission", "In July 2009, the Government established the Truth, Justice and Reconciliation Commission to promote national processes on truth, healing and reconciliation. The Commission could become an important mechanism to enable the State to sustainably change its human rights-related behaviour.", "The Commission is collecting and collating the views of persons throughout the country on the experiences of human rights violations.", "Judiciary", "The existence of an independent judiciary is at the core of human rights guaranteed by the judicial system in full compliance with international standards. Every State has an obligation to ensure that the judiciary is an independent part of the Government.", "Therefore, the institution itself and the judiciary must freely perform their professional duties without interference in any field. Such independence must be protected in law and in practice.", "To that end, Kenya is taking key steps in the reform of the judiciary, in accordance with existing constitutional concessions. First, the Judicial Affairs Commission has been re-established in accordance with article 172 of the Constitution. The Judicial Affairs Commission is an institution that promotes the independence and accountability of the judiciary and the effective and transparent functioning of the judiciary.", "Secondly, the appointment of a new Chief Justice is under way and, in the new arrangement, he will also serve as President of the Supreme Court, a new constitutional body established pursuant to article 163 of the Constitution. Schedule 6 of the Constitution provides that the Chief Justice is the first senior government officer who must be separated within six months of the Constitution. This illustrates the urgency of the transformation of the judiciary. This work has since been completed. The Office of the Deputy Chief Justice was also established.", "Thirdly, the recently enacted Act No. 2 of 2011, the Law Review of Judges and Magistrates, aimed at establishing mechanisms and procedures for review of judges and magistrates in accordance with section 23 of Schedule 6 of the Constitution. The judicial review process aimed at strengthening the judiciary and assessing the integrity of judges in order to determine their suitability in the justice sector.", "Fourthly, Act No. 1 of 2011 gives the judiciary the necessary financial autonomy in order to effectively manage its matters and programmes, punish and open the judiciary and establish a national judicial commission responsible for the development of judicial policy mandates.", "Courts are also being expanded. The new Court building in Nairobi is the main expansion. New courts provide automated services to expedite judicial proceedings and ensure justice for citizens.", "Security sector", "Experience in post-conflict transition societies, such as Sierra Leone and South Africa, has shown that strengthening security and governance contributes to peacemaking and other appropriate conditions for important social reconstruction and development.", "The post-election crisis has clearly exposed the grave shortcomings of the Kenyan security sector, and the illegal, unjustifiable behaviour of some security sector personnel has severely undermined the image of the security sector. According to the post-election violence commission, during times of crisis, most members of the security sector have abandoned any occupational mentality. The Government of Kenya established the National Police Reform Task Force, which aims primarily to study police reform.", "In accordance with the recommendations of the Task Force and the Commission on Post-Conflict Violence and in accordance with the Constitution, the Government of Kenya will propose five bills to Parliament to reform the police force: the Independent Police Oversight Bill, the Police Reform Programme, the National Chlorry Sector Bill, the Police Committee Bill and the Private Security Corporation Bill.", "Kenyan police recruitment is also consistent with police reform. The newly recruited regular police and administrative police will be trained in accordance with the recently reviewed training programme. Under the reviewed training programme, the training period was also extended from six months to nine months.", "Public Prosecutor's Office", "In accordance with article 157 of the Constitution, the prosecution service was established. The old Constitution provides that the Prosecutor's Office is subordinate to the Office of the Attorney-General, but under the new provision, the prosecution is a self-governing body that can initiate and conduct criminal proceedings against individuals in any court. The prosecution service is key to promoting the rule of law.", "In addition, a witness protection bureau under the prosecution service provides special security to the witness witness. The witness protection bureau was established in accordance with article 3A of the 2006 Witness Protection Act (Revised) to address the difficulties encountered by Kenya in investigating and prosecuting those involved in post-election violence and other crimes. This is not only a milestone in Kenya but also in Africa in the criminal justice system, but Kenya is the second country to develop such programmes after South Africa.", "Informal justice system", "Traditional informal dispute resolution mechanisms offer valuable ways to deal with conflicts that have often been triggered in Kenya. Violence is likely to occur in different ethnic communities for the distribution and use of natural resources such as land and grassland and water.", "Traditional informal dispute resolution mechanisms can help to alleviate tensions at the earliest possible stage and bring together the parties to discuss, thus providing another way to replace violence and force. These mechanisms can also provide more financially affordable forums, which are more common than in formal proceedings.", "The current Constitution accepts traditional informal dispute resolution mechanisms, while ensuring the fair use of these mechanisms in accordance with the Rights Act. Article 159 (2) (c) of the Constitution provides that, as a guiding principle of the exercise of the right to justice, “[t]t promote other forms of dispute resolution, including the traditional dispute resolution mechanisms”. In addition, article 67 of the mandate of the National Land Commission provides that the Commission encourages the use of traditional land dispute mechanisms in the event of land conflicts. Although early, the provision and recognition of these mechanisms are positive developments.", "International transitional justice", "Over the years, areas of transitional justice have been expanded and are no longer limited to national transitional justice mechanisms. It was widely felt that States were obliged to take reasonable steps to prevent violations of human rights; to seriously investigate violations; to punish those responsible for violations; and to ensure reparation for victims of violations.", "The decisions of the courts explicitly affirm these principles; United Nations treaty bodies, such as the European Court of Human Rights and the Human Rights Committee, have also endorsed them in a number of decisions. The establishment of the International Criminal Court in 1998 was of great importance, as the Statute of the Court contained State obligations essential to the fight against impunity and respect for the rights of victims.", "Kenya adopted the International Crime Act to adapt the Rome Statute of the International Criminal Court to national circumstances. Moreover, article 2 (5) of the Kenya Constitution stipulates that customary law is an integral part of Kenyan law. This means that genocide, war crimes and crimes against humanity are automatically crimes under Kenyan law.", "Kenya therefore shares the view that international transitional justice needs to complement existing national mechanisms.", "C. Conclusion", "Kenya has made commendable efforts to establish a constitutional, legislative and institutional framework that will ensure post-conflict justice and peace. We are adopting legislation, establishing institutions and making appointments that are key to transitional justice and promoting and protecting the rule of law.", "New Zealand", "[Original: English]", "New Zealand has long supported international law and the rule of law, and remains committed to strengthening the rule of law at the national and international levels, and is one of the first countries to adopt legislation that determines the obligation of lawyers to “support the rule of law”. New Zealand believes that the rule of law plays a key role in transitional justice in conflict and post-conflict situations.", "New Zealand therefore welcomes the discussion of these issues in the Sixth Committee and wishes to make the following comments on New Zealand's experience in resolving claims under the historic Treaty of Waitangi, in particular the role of the Waitangi Tribunal, which plays a key role in promoting default in the history of compensation. The Court's jurisdiction is unique in New Zealand, and it is also difficult to do so globally.", "Background of the Waitangi Court", "The New Zealand Treaty of Waitangi, signed by the indigenous Māori in 1840 with the Government, was considered one of the founding documents of the New Zealand Constitutional Arrangements. The Treaty provides a framework for relations between the Government and Māori.", "However, in accordance with constitutional principles, the Treaty of Waitangi is confined to the Government to enact it in its legislation. Thus, before the establishment of the Waitangi Tribunal in 1975, there was little way to seek redress against Māori who had committed violations of the Treaty.", "In accordance with the Treaty of Waitangi 1975, the New Zealand Parliament established the Watani Court to provide for legal procedures for investigating the Māori treaty claims. In the 1960s and 1970s, Māori protested against non-compliance with the Treaty of Waitangi, which was established in response to that situation.", "The Court's investigation process helps to address historical treaty claims, thereby facilitating the mediation of outstanding issues between Māori and the Government. The Court also investigates claims of contemporary treaties. Only claims can be submitted to Governments that are parties to the Treaty.", "Role of the Waitangi Tribunal in the settlement of the claims of the Treaty", "The Watani Tribunal has an important role to play in the settlement of claims between the broader Māori and the Government under the Treaty. The claimant may choose to negotiate directly with the Government (in accordance with the Treaty Settlement Claims Office is the government body responsible for the negotiation of claims by the Māori and the Government) or to select their claims before negotiations. In general, a group of claimants wishing to negotiate directly with the Government must stop making claims positively to the Court, although there are exceptions (e.g., where a complete report is important for historical records). Once a solution under the Treaty has been agreed, it is implemented through legislation by Parliament.", "The functions of the Tribunal are not to conduct defence proceedings, but as a commission of inquiry, whether the claims are based on the findings and whether or how the principles of the Treaty are violated. These findings were published in the official report to the Minister of Māori of New Zealand. The Court may make practical recommendations to the Government of New Zealand on the options available to compensate the claimant (or the multiple claimants) or to eliminate the harm or damage suffered by the claimant. The Court recommended that, in addition to certain circumstances, it be non-binding, but the Government would consider the Tribunal's recommendations. To that end, the Minister of Māori prepared an annual report to review progress made by the Government in implementing the Tribunal's recommendations. It is important that the Court make binding recommendations on certain commercially valuable assets owned by the Government, such as forest and State-owned entities. However, Governments and tribal groups often agree on compensation for these assets and avoid further prosecution.", "The Court will seek additional value, in addition to the settlement of the claims case, through a proactive investigation, the identification of the parties and their representatives, in order to clarify the key issues, to the extent possible the settlement of the content of the dispute and to propose a solution to the parties ready to negotiate. The proceedings also provided the claimant with an opportunity to describe its own situation and to express grievances in a manner that included official records. Therefore, this process is also seen as helping the claimant to move from a “stereotyp” to “resolving”.", "C. Substantiveity of claims submitted by the Watani Court", "The Court has been able to review any claims made by Māori individuals or groups, who may have been harmed by the Government's legislation or conduct, omission, policy or practice, which is contrary to the principles of the Treaty of Waitangi since 1840.", "The claim may be historic (e.g., claims for past-owned lands) or contemporary (e.g., the claimant claims that the policies, actions or omissions of the current Government violate the principles of the Treaty). The contemporary claim was submitted since 1992. Although historical claims can be made since 1985, since 2006, it has to be submitted to the Tribunal for historical injustices by 1 September 2008, for two reasons: claims may be geographically overlapping; and the Tribunal must be aware of all claims during its investigation (and when it is negotiated to resolve the claims).", "The Court will refer the claims to the different proceedings so that claims arising from similar issues can be dealt with simultaneously. For example, the claim may be “territorial” (e.g., in relation to specific land or location) or “General” (in relation to major national matters, such as immigration policies).", "Principles of the rule of law and the Waitangi Tribunal", "The Court's core principle of support for the rule of law in its work is essential for the Tribunal to maintain its legitimacy and role in the settlement of important claims.", "The establishment of the Special Court with retroactive jurisdiction indicated that the Government recognized the need for appropriate publication and non-nuclear-weapon-neutral approaches to investigate whether the claims made by Māori for historical government violations of the Treaty were fully justified.", "Decentralization. The Court is the Special Court, independent of the executive body. The Tribunal's independence enables the fair and reliable review of the claims made by Māori, thereby strengthening its legitimacy. The Ministry of Justice of New Zealand (through the Watani Court Unit) is responsible for providing the necessary support and other services to enable the Court to carry out its work. The Court also has no jurisdiction in New Zealand courts: review of the settlement agreement between the Government and Māori; review legislation to ensure compliance with the principles of the Treaty of Waitangi.", "Participation in decision-making. Judges of the Tribunal include Māori and non-Māori, reflecting the principle of partnership inherent in the Treaty of Waitangi. In accordance with the principle of natural justice, the claimant and the Government were given the opportunity to file a complaint.", "Transparency in decision-making. The objective of the Court is to investigate through open and transparent procedures. The Court's trial is open to the public and no one can be heard. All court hearings are published in local and regional newspapers. In most cases, the public has access to documents in the Register of Claims and each claim investigation record. The Court ruled that these reports were finally made available to the public on the Court's website in the official report to the Minister of Māori.", "Transparency and certainty of procedures. The proceedings of the Court were published in the “Strategical Practice and Procedure of the Waitangi Court”. If necessary (and facilitate proceedings), the Court may not comply with the specific procedures or practices outlined in the Guide.", "E. The Court is a dual cultural institution", "Because the Court's aim is to reconcile the disparateness between the Māori and the Government, it is important to take a dual cultural approach to operationalize the Tribunal's legitimacy. Accordingly, the Court consists of Judge Māori and non-Māori judges, who must be present at least one Māori judge at each time. If feasible, the Court will review the evidence and submissions of Māori in accordance with Māori. Evidence is usually provided in ate reo (Māori), and the Court encourages the provision of on-site translation services. The submissions may also be used in the language ofte reo.", "The Court is a permanent commission of inquiry rather than a court, which also makes it relatively flexible. The court proceedings are impartially investigated and not contested, especially when the courts can conduct their own research. The Court's trial is often conducted in Mare (commune public places), but also in public halls, schools, courtrooms or conference rooms. The Court has both received technical testimony and heard testimony by Tang whenataua ( customary law). In addition, court proceedings could be adapted to focus on collective or tribal rights and interests.", "Oman", "[Original: Arabic]", "The Government of Oman thanked and appreciated the efforts of the United Nations and the Committees to promote the rule of law at the national and international levels. The Government of Oman wishes to take this opportunity to affirm that the rule of law is one of the primary priorities of the State. The principle of the rule of law is the primary cornerstone of existing legislation and provides guidance to the relevant authorities in the prosecution of offenders by the relevant judiciary. As in Oman and in all other countries, international efforts have been made to make the rule of law one of the principles of relations between Oman and other States and regional and international organizations. It should be noted that Oman considers that, in accordance with article 75 of the Constitution (article 75 of the Basic Law of the State), international instruments that are the main source of international law have the legal effect of ratifying by His Royal Highness of the Sudan. If Oman's law is in conflict with the international instruments formally ratified, the latter are conditional, so that such instruments are only followed by the Basic Law.", "Oman supports a number of States calling for universal adherence to the rule of law and for the implementation of the rule of law at the international and national levels, both in conflicts and in post-conflict situations, as the rule of law is indispensable for achieving the noble goals of the international community's desire for stability, which lay the foundation for economic growth, sustainable development, combating crime, eradicating poverty, hunger and disease and mitigating their impact and reducing the impact of small wars and armed conflict. Oman believes that all persons must be equal before the law for the sake of justice for all. Oman also believes that the rule of law should not be used as a tool for political extortion, as it would certainly result in a breach of the rule of law.", "Qatar", "[Original: Arabic]", "Qatar strives to promote the rule of law at the national and international levels within the framework of the United Nations and through bilateral or multilateral cooperation with Member States.", "The principle of the rule of law is affirmed in the Constitution of Qatar and in the Criminal Code: the competent courts are also implementing the rule of law principles. In this regard, we draw attention only to:", "Affirmation of the provisions of the Constitution of the principle of the rule of law", "Article 129 provides that the rule of law is the basis for the Government. The integrity of the judiciary and the impartiality of judges contribute to guaranteeing the rights and freedoms.", "Article 6 states that the State shall respect the international charters and conventions and strive to implement all international treaties, charters and conventions that Qatar is a party.", "Article 34 stipulates that citizens are equal before public rights and responsibilities.", "Article 35 stipulates that all persons are equal before the law. Discrimination based on sex, race, language or religion should not be taken.", "Article 36 provides that individual freedoms shall be guaranteed. No one shall be arrested, detained or searched, nor shall it be restricted to his or her residence and freedom of movement unless it is lawful. No one is subjected to torture or degrading treatment. Torture should be considered an offence punishable by law.", "Article 39 stipulates that the Court, after the trial of due respect for the right of the individual to defence, has been presumed innocent.", "Article 40 stipulates that all offences and penalties shall be determined by law and must be punished accordingly. The offender is only punished for its acts.", "Criminal Code", "In order to implement article 40 of the Permanent Constitution of Qatar, the Criminal Code defines and classifies crimes and provides for appropriate penalties.", "Criminal Procedure Code", "The Code of Criminal Procedure specifies criminal trials, guarantees the rights of the accused and provides all means of defence. In accordance with the Code of Criminal Procedure, the court system is divided into three levels: the Court of First Instance, the Court of Appeal and the Supreme Court of Appeal.", "The Code of Criminal Procedure attaches great importance to the issue of punishment, article 323 of which stipulates that, without the issuance of the judgement by the competent court, there shall be no punishment or measure provided for in the law for any offence.", "International judicial cooperation", "Article 407 of the Code of Criminal Procedure stipulates that, without prejudice to the existing international instruments in Qatar, the judicial authorities of Qatar shall cooperate with foreign and international legal authorities in criminal matters, in accordance with the provisions of the Act.", "Slovenia", "[Original: English]", "Slovenia strongly supports the United Nations debate and activities on the rule of law, in particular the work of the Rule of Law Coordination and Resource Group. Compliance with the rule of law is the basis for national and international affairs activities in Slovenia. Slovenia had previously submitted a report to the United Nations, which had been included in the Secretary-General's report (A/65/318).", "This response therefore focuses on the importance of the rule of law for conflict-torn societies and transitional justice. In countries in post-conflict situations, activities are governed by the rule of law and are essential to ensuring peaceful coexistence in the future of conflict-affected societies. It is important to ensure that judicial proceedings are fair and accountable for serious human rights violations in the past, as justice can bring lasting peace. The Rome Statute is one of the most important international instruments for the prosecution of the most serious crimes, and Slovenia is a party to this statute. Slovenia actively supports the work of the International Criminal Court and calls upon all States to cooperate fully with the International Criminal Court. The work carried out by the International Criminal Court with other international criminal tribunals (ICTY, the International Criminal Tribunal for Rwanda, etc.) proved that the international community would not tolerate impunity for serious violations of international humanitarian law. Slovenia regularly contributed financially to these courts and made additional voluntary contributions (e.g. to the Special Court for Sierra Leone). Slovenia attaches particular importance to victims of international crimes, one of the 10 largest donors to the International Criminal Court Trust Fund for Victims of Crime, contributing a total of €51,500.", "Slovenia is convinced that it is important to ensure that activities at all levels of government institutions are governed by the rule of law and are effectively monitored by non-governmental organizations. The transparent and impartial functioning of public administration is the basis for the effective development of individual societies.", "Slovenia believes that the international community is obliged to provide assistance to them in accordance with the needs and demands of conflict-affected societies. Slovenia strongly supports the efforts of international organizations to implement programmes to assist conflict-affected societies, which is an important step towards a better future world. In addition, Slovenia supports the activities of non-governmental organizations, and many individuals within non-governmental organizations are working to provide assistance to affected societies at all stages of recovery in conflict. Slovenia also strives to provide active assistance through its EU member status and to provide bilateral assistance directly to affected countries.", "Slovenia has made special efforts to provide assistance to neighbouring Western Balkan countries in the area of justice and internal affairs.", "With regard to the practice of the European Union criminal justice tool, a three-year EU project, within the framework of the project, the Judicial Education Centre of the Ministry of Justice of Slovenia works with the Croatian Judicial Academy. Twenty-seventh Croatian judges and prosecutors attended several seminars in Slovenia and two workshops organized by the Slovenian Judicial Education Centre in Riyka and Zagreb on European Judicial Coordination and European Judicial Network. In accordance with the Regional Project on Protection of Intellectual Property in the Western Balkans, the Centre also works with the European Patent Authority to conduct educational courses for Macedonian judges. The Ministry of Justice of Slovenia and the Republic of Macedonia have signed a memorandum of cooperation, including the content of judicial education. In March 2010, the Slovenian initiative “Bubdo Process”. The purpose of the initiative was, inter alia, to strengthen criminal justice cooperation among States in the Western Balkans.", "The Ministry of the Interior of Slovenia, in its efforts to transfer standards in the areas of immigration, organized crime and terrorism to the Western Balkan countries through the implementation of the Inter-Agency Cooperation Project and bilateral technical assistance programmes. As the Western Balkan countries have become part of the EU integration process, it is necessary to ensure that they receive professional technical assistance and the transfer of technical know-how and experience. Following the successful conclusion of the process of easing visa conditions in the Western Balkan countries, the Ministry of the Interior and the European Commission started to promote internal reform in the Western Balkan countries within the framework of the “Burdo Process”. As a result, prior to the start of negotiations to join the EU, these countries will receive clear instructions for the necessary reforms to bring national legislation to a higher level of harmonization with EU legislation in each country. Each year, two assessment missions will include experts from the Ministry of the Interior and the Slovenian police. The first assessment mission is expected to carry out its mandate at the end of 2011.", "In the broader sense of the rule of law, Slovenia also supports the work of institutions that provide assistance to conflict-affected societies, particularly through education, to ensure a safe and peaceful living environment.", "In 2002, the Government of Slovenia, the non-governmental organization philanthropy of Slovenia and the city of Lubjana established the Foundation for the Social Mental Health of Children, which aims to protect and improve the mental health of children in areas affected by war, armed conflict, terrorist attacks, natural disasters or technical accidents. Its mission is to provide a better future for children in the region and elsewhere and to contribute to peace and stability. To that end, the Foundation mobilized talents and material resources from Slovenia and international experts. Its programmes are being implemented as a recognized and welcome form of development assistance. The Foundation implements programmes in South-Eastern Europe, Iraq, Afghanistan, Palestine and the northern Caucasus. A number of international conferences, counselling and international training camps have been organized for volunteers. The Foundation participated in these international conferences and advisory meetings and published professional articles providing material. It publishes articles in professional journals and publishes information publications, which have been translated into external languages.", "In March 1998, the Government of Slovenia decided to establish the International Trust Fund for the Demining and Assistance of Landmine Victims in Bosnia and Herzegovina, which has now been completed for a period of 13 years. Its main objective is to assist in the implementation of the Dayton Agreement by raising funds, providing services and managing mine action projects. Over time, the scope of the activities of the Fund has been extended to other mine-affected countries in the Western Balkans and to facilitate the successful completion of clearance in Macedonia, Montenegro, Albania and Serbia. The main mine action projects in the region are still being implemented in Bosnia and Herzegovina and Croatia. In that regard, we would like to note that regional cooperation in the Western Balkans promoted and promoted by the International Trust Fund has proved to be an important confidence-building measure among the countries concerned. The International Trust Fund has become a centre for regional cooperation in mine action. The success of countries in the region encourages further work in other parts of the world. Although the Balkan region remains the focus of its work, the International Trust Fund is also conducting mine action projects in other regions, including in the South Caucasus, Central Asia and the Middle East. Since its inception in 1998, the Fund has arranged for clearance of more than 100 million square meters of land to assist in the treatment of more than 1,000 mine survivors and to support the development of national and local resilience in 12 mine-affected countries. There is, of course, no generous assistance from the international donor community. Since 1998, donor contributions amounted to over $3.3 million. The Government of the United States of America is the largest donor country, contributing more than $141 million, and the Government of Slovenia has contributed more than $7.7 million.", "Slovenia wishes to draw particular attention to one point. In many situations, the international community has provided post-conflict recovery assistance in the area of the rule of law to help create new legal systems. In such cases, international experts entered the country for the purpose of promoting the reconstruction of society, but often the model of the law recommended by these international experts is completely disconnected with the social, cultural and economic structures of the countries concerned, in particular their needs. In this context, the law does not have a social association, and the law is handed over to society and there is no real understanding of how it should be implemented. This may be a good short-term solution, but in the long term, it is often problematic because new laws are not fully understood and are disconnected with the social environment in which these laws are implemented. In addition, the people may defer to a future time to be able and competent to identify and address the problems of society in a legislative manner, which, at the time of the international community, has left the country concerned.", "Slovenia will continue to assist the international community in its efforts to assist affected societies in post-conflict recovery, in particular the establishment of the rule of law.", "Sweden", "[Original: English]", "In armed conflict, civilians are often severely violated. Sometimes, these violations are gravely referred to as genocide, crimes against humanity or war crimes, and perpetrators cannot be granted amnesty, such as the inability or reluctance of national courts to intervene in the International Criminal Court for justice. However, most of the perpetrators of violations were not prosecuted by the International Criminal Court. They often escape all forms of punishment. This is true of the lack of political will. The reason may also be that the national justice system is not independent, or because other reasons have not been able to bring suspects to the courts. The perpetrators may also be granted amnesty.", "Some decisions are sometimes needed, and in the short term, they can be seen as an overriding peace. The question of amnesty is one example. There being no amnesty, there may be no peace agreement. At the same time, justice for victims is important for sustainable peace. There is no doubt that impunity often arises during and after armed conflict, which must be put to an end and that society can move towards sustainable democracy.", "In conflict and post-conflict situations, Sweden will promote justice. There must be no choice between peace and justice — only a two-pronged solution can be compatible with Swedish policy. The choice needed was the choice of methods (State law, international law, mixed laws, etc.) and the timing. Sweden will:", "• Efforts to ensure that perpetrators of serious crimes in conflict are brought to justice and punished. If peace will seriously affect peace and cannot be done immediately after reconciliation, priority must be given to implementation as soon as possible when peace becomes more sustainable.", "• To advocate for opportunities for affected countries to assume their responsibility for the establishment of a viable and appropriate transitional justice system for victims of conflict, in full compliance with international standards and in accordance with the complementary system of the International Criminal Court. The domestic judiciary should be the first instance of accountability. Only when domestic criminal justice systems are not able to hold accountable perpetrators — whether systematic or local authorities are unwilling — can the international community engage.", "• Promote strong international support for the establishment and strengthening of national justice systems, such as through the establishment of transitional justice mechanisms that prevent the relapse of societies into conflict and permanent justice mechanisms. In this regard, national civil society organizations can play an important role.", "Swedish Development Policy", "Sweden has given greater attention in recent years to the relationship between development and conflict management, peacebuilding and the rule of law. War and armed conflict are the biggest obstacle to development and poverty reduction. Thus, the overall objective of Swedish international development cooperation in supporting security and development is to promote lasting peace and make development possible. The recent “Peace and security for development” policy of the Government of Sweden clarified the Government's ambition to promote development cooperation in conflict and post-conflict situations in 2010-2014. The policy applies to initiatives at the bilateral, regional and global levels. It is also the operational guide of Sweden in multilateral forums. Three priority areas for action are: (a) promoting peace (including rule of law institutions, in particular transitional justice institutions); (b) promoting security; and (c) peace dividends.", "This policy highlights the importance of peacebuilding and building countries and identifies the special challenges facing development cooperation in conflict and post-conflict countries. After the conflict, there are often needs and opportunities to contribute to strengthening national justice systems. In this context, the establishment of a judicial system to end impunity for serious crimes is particularly important. In the long term, this is also a good foundation for the functioning of the rule of law.", "For communities that have been extensively violated, appropriate mechanisms must be established in accordance with existing international and national justice accountability frameworks that have broad legitimacy to the major affected. These mechanisms often include components of reconciliation and confidence-building. These mechanisms are internationally referred to as “ transitional justice”.", "Rule of law actors: Swedish International Development Cooperation Agency and Furq Benato", "The main perpetrators of Swedish development cooperation in the area of the rule of law are the Swedish International Development Cooperation Agency, established by the Ministry of Foreign Affairs. The Felk Benato College is another government agency established by the Ministry of Foreign Affairs to improve coordination and coherence in technical assistance and capacity-building through policy development, research, training and implementation of projects in this field.", "Since 2006, the rule of law in public administration has been a prominent research and policy area for the law curriculum of the Faculque Bernardat College. In 2008, the Fulk Benato Institute issued a report entitled “Principles in public administration: peacebuilding and development issues and the way forward”. The report draws on a series of advisory meetings conducted by various field study studies and international actors, and concludes that public sector reform is rarely pursued from a peacebuilding and management of the rule of law of the crisis. This has had an adverse impact on the reconstruction process, as well as on the compliance of the Administration with the law, on the identification of minimum laws and on individuals and vulnerable groups that provide equitable services in a transparent manner. Improving the rule of law in the public sector can protect the rights of individuals, promote reconstruction, stability and transition and enhance the effectiveness of international assistance and support. In the context of the rule of law in public administration, the Academy of Fulque Benato has also launched a new constitutional study on crisis societies, with particular emphasis on the control of the security forces.", "Sweden's initiative in transitional justice and the rule of law", "Sweden widely supports transitional justice and the rule of law actors. The International Centre for Transitional Justice is a leading non-governmental organization in the area of transitional justice policy. The International Centre for Transitional Justice works in societies that have just emerged from the repression or armed conflict, as well as in many other social work that remains unresolved. Since its establishment, the Ministry of Foreign Affairs of Sweden has been providing core support.", "The Swedish International Development Cooperation Agency has supported transitional justice processes in many countries, such as Guatemala, El Salvador, Peru, Colombia, South Africa, Rwanda, the Democratic Republic of the Congo, Liberia, Timor-Leste and Bosnia and Herzegovina. These support includes a wide range of measures, such as supporting the Truth Commission, transitional justice activities of civil society, judicial mechanisms, including traditional laws/ customary law. AD(a) The professional talent of Sweden is also seconded to the Truth Commission and the Court services, for example, South Africa.", "In addition, Sweden participates in the European Union Rule of Law Mission and its work, in accordance with the Common Security and Defence Policy, including the European Union Police Mission in Afghanistan, to train the Afghan National Police to assist in the establishment of sustainable and effective police arrangements; the European Union Integrated Rule of Law Mission in Iraq to support the criminal justice system in Iraq through training of senior management and high-level officials in criminal investigations; and the European Union Rule of Law Mission in Kosovo to monitor, guide and recommend the Kosovo authorities in the area of the rule of law, in particular with regard to police, justice and customs. Sweden judges, police, political advisers and legal experts participated in the missions.", "Lessons learned: role of national and international transitional justice and future", "There is no single feasible model for the rule of law and transitional justice initiatives in conflict and post-conflict societies. The United Nations has recognized that the pre-established solution is not wise. It is important to take into account national circumstances and national consultations with civil society and victims, specific conflict situations and crimes to be addressed, and to identify measures to be taken. Experiences from other countries can serve as a starting point for national debates and decision-making. However, experience has shown that, in the development of national and international transitional justice processes, the following aspects should be taken into account:", "(a) Transitional justice mechanisms are national leadership and all essential. A perception that is subject to the authority or control of the international community may affect the public's acceptance of the work of the Commission and undermine its future image;", "(b) National capacity development should be focused. Transitional justice is an important national process, and in view of the weak human resources in many countries emerging from conflict, efforts should be made to recruit talent on the ground;", "(c) The State's efforts to ensure the rule of law and good governance and to promote reconciliation by countering previous practices of human rights violations and inferiority. There is no effort to change the material conditions of the people;", "(d) An inclusive/participatory approach is important. It would not be effective only to focus on this or what body or to ignore the practice of civil society or victims. The most successful transitional justice experience is largely dependent on a number of and high-quality public and victim counselling. The conduct of local consultations enables a better understanding of past conflicts, patterns and types of discrimination against victims;", "(e) Transitional justice is an expensive process. Non-exhaustive Hala measures cannot be taken. Adequate resources should be allocated to follow up on initiatives, particularly as they contribute to consolidating peace in the countries concerned.", "A comprehensive overview of the assistance of the Swedish International Development Cooperation Agency in conflict and post-conflict situations is presented below by the Swedish Development Evaluation Agency: Sidas insatsberedning ochpföljning av stöd rättsskipning i samband försoningsprocesser, available at http://www.sarsaentdev.se/Documents/Publikationer%202010/SAVD1_20071_0.pdf.", "Switzerland", "[Original: English]", "The link between strengthening the rule of law and transitional justice in the promotion of peace and human security has been the focus of the foreign policy of Switzerland in recent years. Switzerland welcomes the report of the Secretary-General of the United Nations in 2004 on transitional justice and the rule of law in conflict and post-conflict societies (S/2004/616).", "Since then, Switzerland has been involved in a number of measures to strengthen the multilateral framework for transitional justice and to develop national and regional capacity and expertise for transitional justice.", "Switzerland would like to highlight two main issues: the need for a comprehensive approach at the multilateral level and the need to develop implementation strategies for existing norms and standards in this area.", "Although the principle of reparation, developed by Van Boston, has been approved by the General Assembly of the United Nations, [8], the principles of Anjoin/Oronomyh should be equally approved by the General Assembly to strengthen common approaches.", "In the comments below, Switzerland briefed on its theoretical approach and its activities in that regard. The report finally reflects some of the challenges currently facing in this field.", "The principle of ending impunity as a framework for dealing with past incidents [9]", "While there is no standard model to deal with past events, progress has been made in recent years through the work of United Nations special rapporteurs and experts on compensation, impunity and best practices in transitional justice. [10]", "The United Nations Secretary-General's report on the rule of law and transitional justice in August 2004 marks a watershed in this development process. In the document, the Secretary-General of the United Nations considers that effective transitional justice strategies must be comprehensive and inclusive and involve all relevant actors, including national institutions and non-State organizations, to develop a single strategic plan for national ownership and ownership. [11] The report further stresses that the operational definition of transitional justice itself should be extended to include “the judicial and non-judicial mechanisms, international participation at different levels (or no international participation) and individual prosecution, compensation, fact-finding, institutional reform, review and dismissal, or annexation”. [12]", "More recently, the specific elements of these standards have been further developed. In December 2005, the General Assembly adopted the Basic Principles and Guidelines on the Rights of Victims of Serious Violations of International Human Rights Law and Serious Violations of International Humanitarian Law (resolution 60/147, annex). It is worth noting that the document outlines the State's obligations with regard to serious violations of international human rights law and humanitarian law and sets the definition of “victim”. After one year, the General Assembly approved the International Convention for the Protection of All Persons from Enforced Disappearance (resolution 61/177, annex), which provides for parties with legitimate rights, such as family members, to be informed of the fate of victims of enforced disappearances and the right to adequate material and moral damages. In addition, in a number of resolutions, the Human Rights Council has provided for the right to truth in order to strengthen that right and make it a principle of international law. [13]", "In this context, Switzerland decided to use the principle of combating impunity as a conceptual framework for dealing with past incidents.", "The principle of the fight against impunity was initially proposed in its final report to the United Nations Subcommittee on Prevention of Discrimination and Protection of Minorities in 1997 on impunity and revised in 2005 in accordance with the directives of the Commission on Human Rights. [14] The importance of the “Institution/Orent Trih” principle is not only the formulation of the principle itself but also based on the State's responsibility for the victims of serious human rights violations, which enjoy the inherent right to redress. Thus, the principle of combating impunity does not give rise to new international or domestic legal obligations, but rather requires mechanisms, modalities and procedures for the implementation of existing legal obligations under international humanitarian law and international human rights law. [15]", "From a normative and legal perspective, the principle of combating impunity provides a useful framework to conceptualize the treatment of past incidents. These principles identify four key areas in which the fight against impunity provides a comprehensive plan for dealing with past incidents: (a) the right to be informed by the General Assembly in the annex to resolution 60/147 (the right of victims and society as a whole to know the truth; (b) the right to justice (the right of victims to a fair and effective remedy; the obligation of States to investigate, prosecute and punish); (c) the right to reparation (the right of victims or beneficiaries to compensation; the obligation of the State to provide a satisfactory solution); and (d) the obligation to ensure that history is not repeated (the rights of victims and societies; and to ensure good governance and the rule of the rule of law).", "Over the past from a holistic perspective: graphical tools [16]", "In post-conflict or other situations of violence, the demand is multifaceted and it is difficult to determine which needs are most prioritized. The needs identified in the Secretary-General's report (S/2004/616) are often not in a holistic perspective and are not coordinated with all parties and donors when dealing with those needs. There are few plans for ongoing efforts. In addition, as the State is in a fragile situation, transitional measures are not planned in the context of long-term rule of law, and transitional initiatives are permanent measures to replace the rule of law institutions.", "In the face of these difficulties, Switzerland, in cooperation with the Swiss Peace Foundation, has designed a demonstration intent (after this document), indicating some of the main mechanisms and procedures relating to the four principles mentioned above.", "It is intended to focus on the linkages between the different areas of activity dealing with past events, starting from the responsibility to meet the needs of victims and the accountability of the most core offenders, based on the idea that any one of the four key areas may be the entry point for participation, based on specific circumstances and circumstances.", "The intent was also sought to clarify the transatibility of the process of dealing with past events, noting that it was part of the long-term democratization process in post-conflict societies. Significant progress has been made in any of the four areas, such as the establishment of a Truth Commission of Inquiry to ensure the right to know-how, or the successful reform of the security sector in order to ensure that history is not repeated, will be satisfactory, ensuring accountability and strengthening public confidence in State institutions.", "For example, progress in addressing past events will strengthen the rule of law and ultimately contribute to reconciliation among divided communities. A key factor in this process is the transformation of identity. If the process of dealing with past events begins with the use of themselves as a victim or offender, it will change gradually over time. The identity of the victim or the offender may continue to be a personal test, but social and political status is largely based on social citizenship awareness, and new status is a citizen's rights and obligations as part of the new social contract. Strengthening civil confidence is one of the key objectives of the transitional justice process.", "It should be complemented by the intention to deal with past events as an analytical tool to identify activities of international, national and local actors in four main areas. Depending on the circumstances, an analysis of one area, such as an analysis of the right to know-how or access to justice, may reveal a variety of actors at different levels, while in other areas, such as the right to reparation, there is little activity. It is therefore intended not only to benefit from evaluation but also to be a strategic tool to identify entry points and potential partners on specific issues dealing with past incidents. Based on this analysis, practical and comprehensive strategies to deal with past events could be developed, reflecting the political context, local culture, ownership, ranking and budgetary priorities.", "It is interesting that the recent World Development Report 2011: “The Conflict, Security and Development” is very supportive of the transformation and integrated approach developed by Switzerland. In that regard, the report indicates that this approach is not only useful for peacebuilding and conflict prevention, but also an enabling environment for sustainable development. It indicated that it should support ways to combine development, diplomacy, justice and security instruments.", "C. Switzerland's activities in the area of rule of law and transitional justice", "Since 2004, Switzerland has been engaged in a number of activities to strengthen the norms and legal standards of transitional justice and to further develop national institutional capacity and expertise in this regard.", "Normative and legal standards", "United Nations Human Rights Council. As noted above, long-term studies by United Nations special rapporteurs and experts, in particular the Human Rights Council and the Office of the United Nations High Commissioner for Human Rights, contribute to the development of basic principles in the area of reparation and combating impunity and to the compilation of best practices in transitional justice. Since 2006, Switzerland, in cooperation with other States, in particular Argentina, has often submitted a resolution on human rights and transitional justice at the United Nations Human Rights Council and has encouraged increased transitional justice, such as compensation, truth commissions, archives and witness protection. In its latest resolution, the Council requested the Office of the High Commissioner for Human Rights to analyse the relationship between disarmament, demobilization and reintegration and transitional justice. [17] The report will be published in September 2011. Switzerland also contributed to the drafting of the Nienburg Declaration on Peace and Justice. [18]", "Treatment of past incidents and mediation. There is now a general recognition that peace, justice, human rights and development are interdependent and mutually reinforcing and that it is necessary to be achieved in accordance with applicable international law, such as international humanitarian law or international criminal law. However, implementation remains a challenge for all relevant actors. Switzerland sought to fill that gap and advocated a pragmatic approach. The question is not whether transitional justice measures should be included in the peace process. Instead, the question is how and when these measures are incorporated in a constructive manner. This approach should be further developed, with particular attention to non-judicial measures.", "Institutional capacity and expertise", "Special working group on addressing past incidents and preventing mass atrocities. As a means to strengthen the medium- and long-term institutional capacity in the field of transitional justice, Switzerland has established a special inter-sectoral working group on past incidents and on the prevention of mass atrocities, including experts for the promotion of peace, justice and development, as national focal points on these issues, to enhance the overall working methods of the Government. Through this Working Group, Switzerland has focused on addressing past abuses and preventing the recurrence of mass atrocities, genocide, war crimes and crimes against humanity.", "Archives and disposal centres for past incidents. Through the archives established in May 2011 and the processing of past incident centres, Switzerland sought to promote the protection of human rights violations files.", "Switzerland's civil peacebuilding expert pool. In the past few years, Switzerland has increasingly seconded experts from the pool of experts to engage in the rule of law and transitional justice in conflict and post-conflict countries, as requested. A wide range of requests were made for secondment of legal experts, with requests for legal advice from police and customs officers. In addition, Switzerland has established a peacebuilding adviser in our embassies in a number of conflict and post-conflict countries, and the incumbent is also responsible for addressing past events strategies, as well as the establishment of a post of Adviser to the Eastern European region on past events.", "Course on past incidents. In order to ensure medium-term capacity-building, Switzerland has conducted a high-level learning course for staff, Swiss expert pools and senior professionals from government agencies, multilateral agencies and civil society organizations from conflict and post-conflict environments.", "Judicial rapid response. Switzerland is a member of the Judicial Rapid Response Coordination Group (www.justicerapidresponse.org), a multilateral standing mechanism that can rapidly deploy criminal justice and related professionals trained in international investigations to serve national and international institutions. Judicial rapid reaction experts can rapidly deploy to identify, collect and preserve the most vulnerable information about crimes under international law and mass violations of human rights, and report to competent authorities requesting such information. Where requested, experts may propose the most appropriate remedy. The initiative is also aimed at filling an important gap noted in the report of the Secretary-General on peacebuilding in the immediate aftermath of conflict (A/63/881-S/2009/304) and in the follow-up report on the international civilian capacity (A/65/747-Speak85).", "Current challenges in the area of rule of law and transitional justice", "At the beginning of the disarmament, demobilization and reintegration process, there is usually no coherent strategy for addressing past or transitional justice. The valuable and key testimony provided by demobilized soldiers and combatants is available at a later stage to help the truth/Commission of Inquiry or legal proceedings, but is lost.", "It is often not ready for reintegration and that gender equality issues are not fully taken into account, and this may result in re-energization. Experiences in the Great Lakes region and Colombia suggest that this issue may be a major obstacle to security and peace. The Office of the United Nations High Commissioner for Human Rights will issue an analysis of the relationship between disarmament, demobilization and reintegration and transitional justice in September 2011.", "Significant progress has been made since 2004. The right of victims to fair and effective remedies also means that victims of gross violations of human rights can claim their rights and receive fair and effective remedies. Similarly, criminal proceedings against key perpetrators of serious human rights violations have also been advanced: the International Criminal Court has initiated investigations and case proceedings in the relevant situation, [19] 114 States have ratified the Rome Statute of the International Criminal Court and the Security Council has referred two situations to the International Criminal Court. From the outset, Switzerland is keen and firmly supportive of the International Criminal Court. However, the Court can only bring the perpetrators to justice and only have limited jurisdiction and resources. The International Criminal Court has not yet been widely recognized, and it is time to achieve recognition and credibility in certain regions of the world. Given these limitations, Switzerland emphasizes the importance of national prosecution. The complementary principles contained in article 17 of the Rome Statute should be further strengthened and States were encouraged to modify legislation to prosecute those core crimes of genocide, crimes against humanity and war crimes.", "The principle of universal jurisdiction should be further pursued as a tool for ending impunity. States should be more actively involved in the application of the principle of universal jurisdiction, particularly in States parties to the Rome Statute. Switzerland amended this legislation in 2011. [20] Many States have also adopted similar new laws that have made considerable progress in removing existing legal obstacles to the prosecution of international crimes under domestic law. These obstacles include statutes of limitation, amnesty, extradition, the principle of non-exclusiveness, due obedience, immunity of the Head of State of the State and the responsibility of the superior.", "Despite this, only a few cases have been investigated and prosecuted in domestic courts. Only a few States truly sue their nationals for core crimes. Even if litigation occurs, it is often directed against less responsible persons than at higher levels. In addition, witness protection in most countries remains unsatisfactory. Victims' access to justice is inadequate and often lack reparation and compensation measures in line with the judicial process.", "Despite the considerable work done by the mixed courts and the international tribunals to prosecute the main perpetrators of international crimes, a large number of work related to residual processing mechanisms is still pending, in particular the transfer of outstanding cases to the States concerned, the protection of witnesses and victims and the placement of archives and records of storage, management and custody. There is also a lack of clarity with regard to the translation of court records into the relevant national languages, the sharing of databases and the use of information collected by the international/mergency courts for review of procedural and institutional reforms.", "The question of double standards and accountability for external parties should also be addressed to strengthen the credibility and legitimacy of initiatives to end impunity.", "This is not the only area mentioned in the previous text that does not establish the link: the legacy of the international judiciary is usually neglected and their support for national justice reform plans and institutional reforms are generally modest. Transitional international justice mechanisms often disconnected with the reality of the countries concerned in terms of language, popular acceptance, outreach, impact on good governance and the rule of law initiatives, and indeed were too “transition” and left little legacy. Thus, even there is a risk of establishing a parallel justice system, and its operational standards and understanding of the judiciary are different from those based on the local system. There is also a risk that transitional justice mechanisms fail to produce effective domestic justice systems. In the long term, conflict-related crimes may be replicated in the form of organized crime.", "The prevalence of impunity usually leads to the interconnection between the perpetrators of past atrocities and the perpetrators of organized crime. This could lead to a very dangerous and harmful situation, often accompanied by a serious deterioration in the security situation in the country and jeopardize the prospects for sustainable development. This is another reason for developing sound, solid transitional justice and rule of law strategies. These strategies should contribute to strengthening the institutional framework led by the State and contribute to the functioning of a resilient and legitimate State after the departure of international actors. The International Commission for the Eradication of Domestic Violence in Guatemala is a good example of how international initiatives should cooperate with domestic institutions and assist in institutional reform. [21] Strengthening cooperation between transitional justice mechanisms and national and international institutions in combating organized crime is essential.", "Since 2004, there has also been progress in forensic humans, which are important for the right to information and justice. However, while many international initiatives have been launched, [22] States that have large numbers of persons disappeared often lack local capacity or implement international standards. Switzerland signed the International Convention for the Protection of All Persons from Enforced Disappearance and supported the initiative of the forensic division operating under the joint supervision of the Ministry of Justice of Kosovo and the European Union Rule of Law Mission in Kosovo to determine the whereabouts of the missing persons in the area of forensics.", "In terms of the right to reparation for victims, coordination between the reparation/reparation programme and other transitional justice mechanisms, such as the Judicial Mechanism and the Truth Commission, could be improved. There is usually a lack of consultation and participation mechanisms, and the victim feels that the quality of reparation is high and does not have the effect of recovery. The International Organization for Migration (IOM) reparation programme offers interesting examples of how compensation can provide more sustainable support. [23] There should be greater reflection on the intersection between these compensatory measures and development cooperation, even the potential synergies between development and priority compensation matters. Funding for the reparation programme in an appropriate manner is essential: In some cases, the financial support received by other transitional justice mechanisms, such as the Court, is far higher than the victim compensation programme. In other cases, former combatants (including those who have committed horrible crimes) have received economic support in the disarmament, demobilization and reintegration process, while victims are waiting for years to receive specific support from reparation programmes. This uncoordinated sequence is harmful to the conflict transformation process and cannot be understood by the persons involved and may also hamper the achievement of the overall objective of transitional justice.", "E. Conclusions and recommendations", "United Nations mechanisms that provide support and advice to States in developing the rule of law and transitional justice processes", "Since the mid-1990s, the norms and standards of the rule of law and transitional justice have evolved significantly. However, implementation is far from satisfactory owing to a lack of coherent approaches and coordination efforts. The way in which responses are sought must ensure the ownership of the State. States that have established rule of law and transitional justice procedures can benefit from the support and guidance provided by the United Nations mechanisms established specifically for the publication of such advice.", "Approval by the General Assembly of the principle of Anjoin/Orent Trih against impunity", "As the principle of reparation has been approved by the General Assembly, it would also be useful for the General Assembly to approve the principle of the Injoin/Orent Trih against impunity. This would make an important contribution to the development of norms and standards in the field.", "Civil, political, economic, social and cultural rights", "The first working paper (E/CN.4/Sub.2/1992/18) submitted by Harji Guissé and Luizé took into account the interdependence between civil and political rights and economic, social and cultural rights. Subsequent documentation (E/CN.4/Sub.2/1997/8) is limited mainly to civil and political rights. However, a global rule of law and transitional justice approach cannot be avoided and must consider the interdependence between civil and political rights and economic, social and cultural rights. New United Nations reports could be prepared in the coming years to help strengthen collaboration among all actors involved in the rule of law and transitional justice, including donors.", "A map of historical events inspired by the principles of Anjoin/Orent Trih", "[]", "Turkmenistan", "[Original: Russian]", "In accordance with the thorough reform and transition plans of Turkmenistan, President Curbé Steerad Muhamedoov announced that a priority task of the Government was to improve the national legal framework and bring national legislation into line with the universally accepted international standards. The process of updating the relevant legislation of Turkmenistan is under way.", "In order to improve legislation, monitor the national legislative framework and incorporate universally recognized standards of international law in Turkmenistan's domestic law, Turkmenistan has established the Special Committee, through its systematic efforts, to actively integrate national legislation updating processes into the reform of national legal systems.", "In addition, the Head of State specifically ordered the establishment of an interdepartmental commission to ensure that Turkmenistan adheres to its international commitments in the field of human rights. The Commission is working to coordinate the work of all sectors in compliance with international human rights obligations and to draft recommendations on integrating international standards and United Nations treaty bodies into domestic law.", "Turkmenistan's development law constitutes a well-established system of legal support and protection of human rights and civil rights enshrined in the Charter of the United Nations and the Universal Declaration of Human Rights.", "Turkmenistan has ratified more than 120 international instruments, about 40 of which are relevant to human rights.", "At present, Turkmenistan has added the following treaties to the list of international instruments to which it is a party: the International Convention against the Use of Agents in Sports (25 September 2010); the International Labour Organization (ILO) Convention on the Prohibition and Immediate Action for the Elimination of the Worst Forms of Child Labour (i.e. ILO Convention No. 182) (25 September 2010); the Optional Protocol to the Convention on the Rights of Persons with Disabilities (25 September 2010) and the World Health Organization Framework Convention on Tobacco Control (26 March 2011.", "Turkmenistan is fulfilling its obligations to incorporate the basic principles and provisions of the above instruments into domestic law and to strictly monitor implementation. The Government and the general public have always focused attention on the field of human rights.", "A new version of the Constitution of Turkmenistan was adopted on 26 September 2008, which contains almost all basic provisions of international human rights treaties and declarations, including those relating to the rule of law. This can prove that the Government is committed to the international human rights obligations of Turkmenistan and to the comprehensive protection of human rights.", "In 1998, Turkmenistan adopted the Law on Violations of Constitutional Rights and Freedom of Citizens by Government authorities, voluntary associations, local authorities and public officials (Court of the Court), which provides the legal basis for citizens to conduct or decide on complaints against their constitutional rights and freedoms by government authorities, voluntary associations, local authorities and public officials. On 14 January 1999, Turkmenistan adopted the Citizenship Complaints (and its review process) Act, which provides for arrangements for citizens of Turkmenistan to exercise their right to petition, both in public and in other competent authorities, enterprises, organizations and institutions (whether in the form of ownership), as well as procedures for considering complaints from the public involved. The National Commission to consider complaints by the public about the activities of the legal enforcement bodies is a permanent body to continue its work to ensure the protection of the rights and freedoms of individuals.", "In recent years, as part of the ongoing legal reform process, Turkmenistan has adopted a number of legal instruments for the protection of human rights. These include the following laws in Turkmenistan: the Court Act (15 August 2009), the Law on the Prosecution Sector of Turkmenistan (15 August 2009), the Public Defence System of Turkmenistan (26 March 2011) and the Law on the Status of Foreigners in Turkmenistan (26 March 2011).", "In accordance with the Turkmenistan Court of Justice Act, citizens of Turkmenistan have the right to judicial protection against wrongful acts committed by State authorities, voluntary associations and public officials, honour and dignity against violations of their lives and health and the individual rights, political rights, human rights and civil rights and freedoms enshrined in the Constitution of Turkmenistan. Any changes to the procedures for the protection of civil rights and legitimate interests can be made only by the law of Turkmenistan.", "The rights protected by the courts by foreign citizens and stateless persons in Turkmenistan are the same as those enjoyed by citizens of Turkmenistan in accordance with their national laws and international treaties. The new law on foreigners, the Law on the Legal Status of Foreigners in Turkmenistan, has further extended the rights of foreign citizens to the courts and other ways of protecting their interests.", "Article 7 of the Law on the Prosecution of Turkmenistan stipulates that the prosecution shall ensure compliance with the human rights, civil rights and freedoms guaranteed by the State, irrespective of ethnicity, race, sex, origin, wealth and official positions, place of residence, language, religion, political belief or party.", "Citizens have the right to interpretation and information when rights and freedoms are restricted, and at the end of the investigation the material relating to the case is known. Citizens have the right to appeal to officials of the superior prosecution if they believe that their rights, freedoms and legitimate interests are violated by the prosecutor.", "The Constitution of Turkmenistan guarantees that everyone has the right to receive assistance from qualified lawyers at any stage of legal proceedings (art.", "The Public Defence System of Turkmenistan and the Public Defence Act stipulate that the Public Defence System is a professional bar association with the principle of self-regulation to promote public defence and play the role of civil society legal institutions and is independent of national execution and administrative systems. The State is committed to providing all citizens with the necessary professional legal assistance to guarantee the equal rights of all individuals and legal entities in Turkmenistan to access legal assistance, information on the nature of assistance and the means of access, and free legal assistance, and to ensure the protection of certain individual rights in cases under the law of Turkmenistan.", "Turkmenistan has adopted a new Criminal Implementation Act that regulates the legal affairs of its prison system as an important milestone in the political progress of Turkmenistan. The Criminal Implementation Act of Turkmenistan is based on universal principles such as due process (rule of law), humanitarian, democracy, the equality of convicted persons before the law, the distinction between sentences and the consideration of personal circumstances, the right to humane treatment of persons deprived of their liberty and respect for their inherent dignity.", "The Criminal Implementation Act specifically addresses specific aspects of the sentence of juvenile offenders, with due regard to their age, psychological and emotional development and other special circumstances, and provides for increased access of juvenile offenders to the outside world for their rehabilitation and reintegration.", "The Criminal Enforcement Act also stipulates that the convicted person shall receive assistance after the release of the sentence.", "Turkmenistan has ratified a number of basic international human rights instruments to strictly implement international commitments under those instruments and is continuing to reform the national human rights protection system and to fully and firmly implement its obligations to the international community.", "At present, Turkmenistan continues to engage actively with international organizations in the implementation of international obligations.", "The Government of Turkmenistan and the United Nations agencies have cooperated in entering the new phase of the United Nations Development Assistance Framework for the period 2010-2015. The areas of cooperation include economic and social policies, the legal sector and environmental protection. The forward-looking project on strengthening democracy and the rule of law, promoting human development to achieve the Millennium Development Goals, promoting sustainable development and strengthening peace and security has been identified as the most priority areas.", "Currently, the Government of Turkmenistan, the European Union, the Office of the United Nations High Commissioner for Human Rights and the United Nations Development Programme are undertaking joint projects to strengthen the national capacity of Turkmenistan for the promotion and protection of human rights (2009-2012) with a view to further strengthening human rights dialogue, promoting democratic processes and promoting the timely preparation of national reports.", "Turkmenistan has established an inter-institutional committee to ensure compliance with its international commitments in the field of human rights, which has so far been prepared in accordance with the formal approved timetable and submitted several national reports to United Nations treaty bodies on the implementation of the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Convention on the Elimination of All Forms of Discrimination against Women, the Convention on the Elimination of All Forms of Racial Discrimination.", "Turkmenistan is strongly advancing the fundamental reform policies of the Head of State, which are promoting the ongoing active development of the national legal system and in the areas of public, social, economic and social life.", "United Kingdom of Great Britain and Northern Ireland", "[Original: English]", "The rule of law is at the heart of the British Constitution and foreign policy. We believe that building the rule of law is a major principle of international relations and development. Respect for the rule of law is an essential condition for conflict prevention and resolution in the international context. In the national context, the rebuilding and strengthening of the rule of law and related institutions are key to helping to create and maintain peace-building activities in post-conflict societies. Respect for the rule of law and property, the economic empowerment of all persons and the appropriate policy and regulatory framework are essential to achieving equitable and effective development. However, international rule of law and national rule of law vary widely, with different objectives and different actors.", "The United Kingdom believes that States must resolve disputes through peaceful means. However, peaceful means of settlement should be agreed by the parties to include both judicial instruments and non-judicial means (e.g. mediation). On the international front, judicial means remain an important component of the peaceful settlement of disputes and the promotion of the rule of law mechanisms.", "The International Court of Justice is the supreme organ of the international machinery and has made far-reaching contributions to the peaceful settlement of disputes and the development of international law. The United Kingdom is pleased to see the increasing use of the International Court of Justice in recent years. Many cases were brought before the International Court of Justice because of specific treaties or agreements between parties. However, Member States may choose to accept the mandatory jurisdiction of the International Court of Justice in accordance with article 36 (2) of the Statute of the International Court of Justice. The United Kingdom is the only permanent member of the Security Council that accepts the universal jurisdiction of the International Court of Justice. We call on other Member States that have not yet accepted the universal jurisdiction of the International Court of Justice to actively consider taking similar steps.", "The United Kingdom also plays a unique role in the core work of various international criminal tribunals and tribunals, whether as a State party to the Rome Statute of the International Criminal Court, as a member of the Council in dealing with issues relating to the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda, or as a member of the Special Court for Lebanon, the Special Court for Sierra Leone, the principal contributor to the Special Court for the Court of Cambodia and the Committee on Management. We are committed to ensuring that these courts and tribunals receive the full support of the Security Council in discharging their duties as an effective and efficient international judicial instrument.", "The United Kingdom plays a leading role in ensuring that impunity is brought to the greatest extent possible. For too long, we advocate for improved listing and de-listing processes as an important tool for combating terrorists and other international judicial standards, and we are pleased to see the recent improvements in the sanctions regime. The United Kingdom actively participates in the drafting of Security Council resolution 1,900 (2011) and submits the situation in Libya to the International Criminal Court in the face of the deteriorating situation in the country where nationals are the target of attacking their Governments.", "The United Kingdom believes that transitional justice is a set of mechanisms used by democratic transition societies. This process usually occurs after (State or international) armed conflict or prolonged dictatorship of human rights and/or international or humanitarian law. Transitional justice is aimed at achieving justice and reconciliation through ending impunity. Judicial mechanisms or non-judicial mechanisms could also be used in an integrated manner to promote political reform processes.", "The most common transitional justice mechanisms are:", "(a) Administration of justice (national justice mechanisms and non-traditional judicial mechanisms). The types of mechanisms used have national criminal trials — through the “General” criminal justice system or through the establishment of specialized chambers or courts to investigate mass atrocities, as well as mixed courts and international criminal tribunals;", "(b) The truth (the Truth Commission, the Commission of Inquiry and/or the Committee on Historical Memory). It is usually carried out by the Truth Commission (State or international) and/or the Historical Memory Group. Some truth mechanisms, such as the commission on human rights violations in the South African Truth and Reconciliation Commission, also have significant powers to investigate human rights violations;", "(c) Compensation. Compensation may be provided at the national or international level. Compensation may be provided by a court through civil or criminal proceedings or the form of a national administrative compensation programme;", "(d) Institutional reform. The reform of the police and the judiciary involved in the administration of justice and legal reform, including national constitutional reform. This process may include the review and screening of the degree of integrity of certain individuals, in accordance with their past involvement in the repression or corruption. The objective of these processes is to remove officials who do not have the capacity and morality to public institutions.", "All these processes must be carried out in accordance with the provisions of international law.", "Transitional justice, whether through international assistance or through domestic resources, depends in part on a number of factors, such as legitimacy and local ownership, government commitment, civil society participation, external linkages, capacity-building, appropriate time and integrated use of mechanisms.", "The United Kingdom believes that transitional justice is a complex and ongoing process of change. Generally, the conflict or suppression era will not end on a specific day or in a particular incident. One country's entry into the transition period marked that atrocities were no longer committed and serious efforts were being made to address the legacy of mass atrocities and to achieve peace and the way forward. Transitional justice processes may also be conducted during conflicts. Although this may make the needs and suffering of the victims public and compel those responsible for violence to enter a true peace process, the effectiveness of democratization will not be too significant. Transitional justice measures, such as long-term development and national ownership, often strengthen national political stability.", "The United Kingdom is of the view that it is equally important to focus on providing different mixing transitional justice mechanisms based on specific post-conflict situations and local intentions (e.g., the trial, amnesty or the Truth Commission) and to ensure that any such arsenal does not lead to overlap or contradictions. The situation in Sierra Leone was the fact that some perpetrators were not at the time brought to the Truth and Reconciliation Commission, as the Special Court for Sierra Leone, who feared that they would be working simultaneously.", "The United Kingdom encouraged international support for transitional justice mechanisms to enable local consultations and participation to ensure that the selection mechanisms are in line with local culture and specific circumstances. Broad and transparent local consultations have helped to nurture a sense of ownership and participation and should reduce the risk of the resurgence of conflicts.", "At the national level, government commitment and structural changes play a key role in achieving sustainable peace and building a culture of the rule of law. However, Governments that have emerged from conflict societies often do not record or experience in their work in a vibrant human rights environment. In this context, the role of civil society is even more important to ensure the success of any transitional justice mechanism. The United Kingdom believes that the international community's work partners should not be limited to post-conflict Governments, but also civil society, often the most aware of local culture and local circumstances, thus enabling the identification of the most targeted goals and project design. Civil society is also in the best position to help address data collection, public consultation, oversight of remedial activities and victim assistance.", "In remote rural areas, women and children are both the most affected victims of conflict and often the most vulnerable groups of the international community. Transitional justice mechanisms need to provide some remedy for the above-mentioned groups, and innovative and appropriate outreach approaches may be best implemented by civil society. The long-term role of transitional justice mechanisms must be open and transparent for all victims.", "The importance of re-establishing the rule of law in post-conflict countries is important. In the ideal context, transitional justice mechanisms should facilitate national rule of law. In the transition period, ordinary national institutions may not be able to meet judicial needs. This may be due to the fact that the judicial system was hijacked during the conflict and the need for reform to ensure that the justice system was functioning in a fair and independent manner. It may also be because national mechanisms are difficult to respond to a large number of serious crimes and numerous victims, as in Rwanda. There may also be a lack of political will to investigate and prosecute such crimes, which will result in inadequate judicial efforts, without genuine justice. As a means of strengthening domestic judicial capacity and experience, the United Kingdom has provided various support, such as training of national lawyers to replace foreign lawyers in genocide trials or helping to establish a human rights culture by introducing the concept of the right of the suspect to a free fair trial and imprisonment.", "In this area of strengthening national rule of law, the international community's capacity remains weak. The recommendations of the 2009 report of the Secretary-General on peacebuilding in the immediate aftermath of conflict (A/63/881-S/2009/304) should be implemented as key to ensuring a more effective and coherent international approach to peacebuilding. We need tangible improvements in such areas as the rule of law. This requires more predictable support and more effective coordination between the United Nations and other actors. We should work together with donors and host countries to ensure strategic coordination among donor agencies in support of national authorities. In that regard, civil society capacity surveys are important, as we need to identify the roles and responsibilities of all United Nations departments and to ensure integrated planning. In the near future, the United Nations and the international community will face daunting realities in this area in countries such as South Sudan, the Democratic Republic of the Congo and Côte d'Ivoire, and the United Kingdom believes that the international community must proceed with planning to respond as early as possible in a coordinated and effective manner.", "The United Kingdom believes that the Rule of Law Coordination and Resource Group and the Rule of Law Unit can play an important role in promoting national rule of law. We do not advocate for attempts to create new structures and mechanisms, but rather for strengthening and building existing structures under the strong leadership of the Under-Secretary-General. As a large complex machine, the international community has multiple components that are operating in this area. The United Kingdom believes that the design and manufacture of additional components cannot be resolved. We would like to work with the United Nations to make the United Nations system more effective in the functioning of those already existing components.", "AD(*) A/63/250.", "[2] Resolution RC/Res.1 adopted by the Review Conference on 8 June 2010.", "[3] Open Society Foundations and UNDP, The Socioeconomic Impact of Pretrial Detention, 2011 (see www.soros.org).", "[4] See www.unrol.org/files/FINAL%20National%20Perspiles%20Report.pdf.", "[5] See A/63/226, paras. 76-78 and A/64/298, para.", "[6] The purpose of the mission is to coordinate the efforts of Afghanistan and the international community to ensure that the people of Afghanistan live in a society based on the rule of law, good governance, human rights and sustainable economic and social development and enjoy peace, security and security.", "[7] The police of the Czech Republic dispatched five police officers, one year of rotation, to serve as training personnel and share the experience of local police candidates as police officers.", "[8] See reports submitted by the General Assembly in its resolutions 60/147, Principalio van Boven (E/CN.4/Sub.2/1993/8, E/CN.4/Sub.2/1996/17, E/CN.4/1997/104) and Cherif Bassiouni report on compensation (E/CN.4/2000/62).", "[9] Switzerland uses more “to deal with past events”, rather than “ transitional justice”, because transitional justice is often limited to judicial mechanisms, and to deal with past events as a long-term process, not limited to transitional periods.", "[10] See the report submitted by Teo van Boven (E/CN.4/Sub.2/1993/8, E/CN.4/Sub.2/1996/17, E/CN.4/1997/104), Cherif Bassiouni report on compensation (E/CN.4/2000/62). For best practices in transitional justice, see the study on human rights and transitional justice analysis (A/HRC/12/18 and A/HRC/12/18/Add.1), prepared by OHCHR in 2009. Report on impunity, see footnoteg below.", "[11] S/2004/616, para.", "[12] Ibid., para.", "[13] In 2006 and 2007, the Council welcomed the two studies of the Office of the United Nations High Commissioner for Human Rights on the right to information as legal standards and instruments (E/CN.4/2006/91 and A/HRC/5/7). In 2009, the role of archives and witness protection in the realization of the right to information was more specifically investigated (A/HRC/12/19).", "[14] The revised edition of E/CN.4/Sub.2/1997/20/Rev.1 and (E/CN.4/2005/102/Add.1), which focuses on identifying best practices for ending impunity, has not changed significantly in principle itself.", "[15] See also the preamble to “Basic Principles and Guidelines”.", "[16] Switzerland's intention to deal with past events is contained in the final document. For more detailed information on the Swiss approach to past events and the use of the intentions, see: Jonathan Sisson, “A coneptual framework for mediation with the past”, in Mô Bleeker (ed.). Dealing with the Past, Politorbis, No.3, pp. 11-15.", "See A/HRC/12/50, chap. I, resolution 12/11, para.", "[18] www.peace-justice-conference.info/declaration.asp.", "[19] The International Criminal Court is investigating six situations and has officially begun to hear 12 cases.", "[20] The law implementing the Rome Statute came into force in January 2011 and modified the provisions of the Swiss Penal Code on genocide, war crimes and crimes against humanity. The text of the new law is available at http://www.admin.ch/ch/f/assembl4963.pdf.", "[21] See http://cicig.org/index.php?page=home-page. See also: Andrea Hudson and Alexandra W. Taylor, “The International Commission against Impunity in Guatemal a new model for international criminal justice mechanisms”, Journal of International Criminal Justice, vol. 8, No. 1, pp. 53-74.", "[22] For example, the International Committee on Missing Persons: http://www.ic-mp.org/about-icmp/.", "[23] See http://www.iom.int/jahia/Jahia/about-iom/organizational-structure/reparation- programmes/lang/en;jsession=2E0C3F182BB9A9F4E358BFD 195849E04.worker02." ]

[ "第六十五届会议", "议程项目27(b)", "社会发展：社会发展，包括有关世界 社会状况和有关青年、老年人、 残疾人和家庭的问题", "大会主席提交的决议草案", "大会关于青年：对话和相互了解问题高级别会议的成果文件", "大会，", "回顾大会2009年12月18日第64/134号决议，特别是该决议第3段，以及大会2011年3月11日第65/267号决议，特别是该决议第1段，", "通过大会关于青年：对话和相互了解问题高级别会议的成果文件如下：", "大会关于青年：对话和相互了解问题高级别会议的成果文件", "我们，各国国家元首和政府首脑、部长和会员国代表于2011年7月25日和26日汇聚纽约联合国总部，讨论“青年：对话和相互了解”这一主题，", "1. 强调有必要就和平、自由、公正、容忍、尊重人权和基本自由、团结及献身于进步和发展目标等理想，对青年人进行宣传、培养和教育；", "2. 回顾2009年12月18日第64/134号决议，该决议宣布从2010年8月12日开始的一年为国际青年年：对话和相互了解，并承认这次会议作为国际青年年的重要活动具有重要意义；", "3. 重申《世界青年行动纲领》，包括其中提出的15项相互关联的优先领域，并呼吁各会员国继续在当地、国家、区域和国际层面加以执行；", "4. 鼓励各会员国制定综合政策和行动计划，重点关注青年人的最大利益，特别是处于贫穷和边缘状态的青年人的最大利益，解决青年发展的所有方面，还鼓励国际社会和联合国系统支持国家青年方案，进一步发展和完善现有的包括《世界青年行动纲领》在内的青年问题国际框架，以充分解决目前影响青年的所有挑战；", "5. 鼓励各会员国在青年发展的所有方面促进性别平等和妇女赋权，认识到女孩和青年妇女的脆弱性以及男孩和青年男子在确保性别平等方面发挥的重要作用；", "6. 赞赏地注意到各会员国和包括青年组织、私营部门、民间社会和媒体在内的所有利益攸关方以及联合国各实体开展的各项活动、特别活动、做出的贡献及提供的投入，同时注意到青年组织为青年问题大会高级别会议成果文件提供的投入；", "7. 认识到青年人实现其愿望，应对其面临的挑战，发挥其潜力的方式将影响当前的社会和经济情况，影响子孙后代的福利和生计，并强调有必要进一步努力促进青年人的利益，包括使他们能够充分享有人权，特别是支持青年人发挥潜力和才能及应对青年人面临的各种障碍；", "8. 忆及承诺实现包括千年发展目标在内的国际商定发展目标，承诺落实全球各次会议、首脑会议和相关方案的成果；", "9. 强调反映青年多样性的有效的部门和跨部门国家青年政策的重要作用，强调国际合作对于促进实现包括千年发展目标在内的国际商定发展目标的重要作用；", "10. 请各会员国审查和评价其在包括千年发展目标在内的国际商定发展目标及各相关成果和包括《世界青年行动纲领》在内的行动纲领方面所做承诺的落实情况，并请联合国各区域委员会协助各会员国共享在此方面的国家经验、吸取的经验教训和良好做法；", "11. 鼓励各会员国继续制定、执行、监测及评价有效的国家青年政策，要考虑到青年发展方面的文化背景，并促进有关青年的相关区域方案；", "12. 重申我们决心优先关注促进青年发展和青年利益，应对阻碍青年发展的各项挑战，特别是通过消除贫穷、促进持续经济增长、可持续发展以及促进人人充分的生产性就业和人人有就业体面工作等办法应对这些挑战，呼吁青年人和青年组织酌情更多参与制定当地、国家、区域和国际的发展战略和政策；", "13. 重申有必要保护青年免遭包括性别暴力在内的一切形式的暴力行为、贩运人口、欺凌和网络欺凌，避免青年人陷入诸如毒品犯罪等犯罪活动，被人操纵，认识到有必要制定安全、对青年有利的咨询、投诉和报告机制，以解决侵犯青年人权利问题；", "14. 重申加强青年问题方面的国际合作，包括通过兑现所有各项官方发展援助承诺，转移适当技术，开展能力建设，增进青年对话、相互了解和积极参与，这是实现消除贫穷、充分就业和社会融合的关键要素；", "15. 欢迎各会员国为兑现有关实现包括千年发展目标在内的国际商定开展目标的承诺而持续做出的努力，并承认各会员国、联合国各实体、包括青年组织在内的民间社会组织以及私营部门为改善青年状况所作出的贡献；但关切地注意到尽管开展了这些努力，但在大量青年人居住的区域贫穷依然构成主要挑战，获得基本社会服务的途径有限，对女孩和年轻妇女而言更是如此，关切地注意到经济和金融危机、以及粮食危机、持续的粮食无保障、能源危机和气候变化等带来的种种挑战依然阻碍青年发展，还关切地注意到，在实现包括千年发展目标在内的国际商定发展目标方面，特别是在与青年相关问题方面取得的总体进展并不均衡；", "16. 认识到世界上大多数青年居住在发展中国家，而且发展制约给青年带来了更多挑战，因为他们获得资源、教育和培训、保健、就业及广泛的社会经济发展机会的途径有限，因此请联合国各实体在设计和实施青年方案时能考虑到这些发展制约，确保生活在发展中国家的青年人同样能够受益；", "17. 谴责在武装冲突中招募和使用青年，这一做法违反了适用的国际法，痛惜这对所涉青年产生的负面影响，呼吁各会员国与联合国各实体合作，采取具体措施，并继续支持各项方案，确保解除武装的青年能够有效地重新融入社会和经济生活，恢复正常生活；", "18. 认识到要务必预防和解决包括毒品犯罪在内的青年犯罪问题及其对青年和社会经济发展产生的影响，务必要保护青年受害者和目击证人，支持青年罪犯改造、重返社会及融入社会，使他们能够发挥建设性作用；", "19. 邀请各会员国在国际青年年庆祝活动之后继续更加强调和扩大国家、区域和国际层面的活动，通过人权教育和学习等方式促进青年之间以及与青年的对话和相互了解文化，借以推动发展、社会包容、容忍与和平；", "20. 重申青年人和青年组织通过适当渠道充分、有效地参与相关决策过程是实现包括千年发展目标在内的国际商定发展目标，落实全球各次会议和首脑会议成果以及《世界青年行动纲领》的关键；", "21. 确认青年代表对大会及联合国其他实体所作的积极贡献以及他们作为青年人与联合国之间重要沟通渠道所起的作用，在这方面请秘书长充分支持现有机制，继续方便青年人有效参加各种会议；", "22. 鼓励各会员国与相关行为方合作，加强对话和相互了解，以更好地解决与青年人相关的各种问题，特别是有关青年人积极参与、青年就业、性别平等和妇女赋权、社会融合、人人充分就业和拥有体面工作、获得优质教育、发展科学和创新能力、提供奖学金和培训、提供信息和通信技术并特别是为保护儿童和青年人而确保这种技术的安全使用、提供保健、消除歧视、保护他们免遭一切形式的暴力行为、代际团结以及金融、经济和其他危机产生的影响等问题；", "23. 请联合国各机构，并邀请国际社会和民间社会及私营部门推动扩大青年发展议程，加强国际合作，交流良好做法，以支持会员国努力在这方面取得进展，同时铭记，确保青年发展的主要责任应由各国承担；", "24. 促请联合国各实体，包括各专门机构、基金和方案，根据其任务规定，应请求支持加强各国制定和执行国家计划、政策和方案的能力与工作，以加速实现包括千年发展目标在内的国际商定发展目标及相关成果和包括《世界青年行动纲领》在内的行动纲领；", "25. 请联合国各实体通过青年发展机构间网络等措施加强协调并加大努力，以便在青年发展问题上采用更连贯、更全面和更综合的方法，呼吁联合国各实体和相关伙伴方采取其他措施，支持为解决阻碍青年发展的各项挑战在国家、区域和国际层面开展的努力，在此方面，鼓励与各会员国以及包括民间社会在内的其他相关利益攸关方开展密切协作；", "26. 请秘书长在适当考虑到现有报告义务的情况下向社会发展委员会第五十一届会议提交一份报告，说明在如何解决影响青年的各种问题方面拥有哪些国家经验、取得的经验教训及良好做法，还应评价联合国当前与青年有关的各项方案取得的成绩及存在的不足，并提出具体建议，说明如何有效解决阻碍青年发展和参与的各项挑战，包括通过志愿者活动等办法解决挑战；如何改善联合国与青年有关的各项方案和结构，包括加强这些方案和结构的连贯性；如何更好地加强世界各地青年人之间的对话和相互了解；以及如何评估在这些领域中取得的进展，该报告应与各会员国以及相关专门机构、基金和方案及区域委员会磋商编写，同时考虑到联合国系统开展的工作；又请秘书处酌情与青年组织和关注青年的组织磋商，以确保社会发展委员会在审议报告期间能适当考虑到青年提出的各种意见；", "27. 重申我们的请求，请秘书长提出一套与《世界青年行动纲领》以及各项拟议目标和具体目标相关联的可能指标，以协助各国评估青年状况，鼓励与各会员国继续进行磋商；", "28. 我们再次决心兑现促进青年发展、对话和相互了解的承诺，同时适当关注包括千年发展目标在内的国际商定发展目标以及相关成果和包括《世界青年行动纲领》在内的行动纲领；因此，我们承诺致力于以下行动：", "(a) 呼吁国际社会与包括青年组织在内的民间社会、私营部门和社会其他阶层一道继续支持各会员国所作的努力，预防并抵消全球化造成的社会和经济方面的各种负面影响，使青年人从中获得最大益处；", "(b) 又呼吁包括各会员国和政府间及非政府组织在内的捐助方支持各会员国为执行本成果文件及《世界青年行动纲领》所作的努力；", "(c) 解决青年失业、就业不足、工作不稳定和非正规就业等方面比率高问题，办法是制定和执行有针对性的青年就业综合国家政策，以便创造包容性就业；提高受雇能力；发展技能，提供职业培训，满足青年，包括移民青年的具体的劳动力市场需求；提高创业精神，包括在当地、国家、区域和全球层面发展青年企业家网络，使青年人更多了解他们在社会中的权利和责任；在此方面请捐助方、联合国各专门实体和私营部门继续提供援助，包括根据需要提供技术和资金支持；", "(d) 促请各会员国通过制定和执行各项战略，解决青年失业这一全球性挑战，使世界各地的青年人确实有机会找到体面的生产性工作，在此方面考虑制定一项青年就业问题全球战略，其中重点关注青年失业问题，鼓励各会员国、雇主组织、工会、私营部门、各级教育机构、青年组织和民间社会在国际社会的支持下，包括金融机构在内的所有利益攸关方以及联合国系统酌情在此方面建立伙伴关系，培养劳动力市场包容性的就业机会，包括通过促进青年创业创造就业机会，同时考虑到区域和国家的特殊性；", "(e) 与包括青年组织在内的民间社会、教育机构及私营部门合作，采取适当措施，加强国际、区域和国家伙伴关系，使来自不同种族、文化和宗教背景的青年人加强相互间的尊重、容忍和了解；", "(f) 加大努力，提高教育质量，促进普及教育，特别是使青年妇女、辍学青年、残疾青年、土著青年、农村地区青年、移民青年以及感染了艾滋病毒的青年和受艾滋病影响的青年能够不受任何歧视地获得受教育机会，确保他们能获得所需的知识、能力、技能和道德价值观，包括适当获得奖学金和参与其他流动方案、获得非正规教育以及技术和职业教育和培训，以发展和充分参与社会、经济和政治发展进程，因为知识和教育是青年参与、对话和加强相互了解的关键因素；", "(g) 倡导青年人有关人权的教育和学习，并提供这方面的机会，同时特别考虑到青年妇女的需求，并在此方面制定各项举措，使各国青年能够加强对话和相互了解、容忍和友谊；", "(h) 促请各会员国根据国际法采取有效措施，保护被恐怖主义和教唆影响或利用的青年人；", "(i) 通过适当法律并制定各项战略，以预防和消除各种情况下针对青年的一切形式暴力行为，确保各项政策得到落实，有关结束针对青年的暴力行为的各项方案获得充足资金，包括通过青年组织和青年网络采取各项举措，支持青年行动，结束暴力行为；", "(j) 更多利用信息和通信技术提高青年人的生活质量，同时在联合国系统、捐助方、私营部门和民间社会的支持下，确保能够普遍、一视同仁、公平、安全并以可承受的价格提供信息和通信技术，特别是在学校和公共场所，消除障碍以缩小数字鸿沟，包括通过技术转让和国际合作，以及促进开发本地相关内容，并实行各项措施，向青年人传授妥善、安全使用信息和通信技术的必要知识与技能；", "(k) 确保通过一视同仁地向青年人提供可持续的保健系统和社会服务，特别是应关注营养问题并提高对营养问题的认识，包括厌食症和肥胖症，关注非传染病及传染病的影响以及性保健和生殖保健，并关注旨在防止包括艾滋病毒/艾滋病在内的性传播疾病的措施，从而努力确保青年人享受所能达到的最高标准身心健康；", "(l) 促进青年，特别是那些参与农业生产以及在确保受到气候变化威胁的粮食安全方面发挥关键作用的青年人参加环境问题方面的培训和能力建设，这些问题包括适应和缓解气候变化，应对荒漠化及其他挑战；", "(m) 切实促进和保护所有移徙者，特别是青年人的人权和基本自由，不论其移民身份为何，并通过国际、区域或双边合作和对话，以综合、平衡的方式处理国际移徙问题，承认原籍国、过境国和目的地国在促进和保护所有移徙者，特别是青年人人权方面的作用和责任，解决青年移徙的根源问题，同时避免采取可能使他们更易受伤害的举措；", "(n) 促请各会员国根据国际法采取协调行动，消除各种障碍，使生活在外国占领下的青年人能够充分实现其权利，促进实现千年发展目标；", "(o) 鼓励各会员国、国际社会、联合国系统及私营部门支持青年组织变得开放、包容，并加强青年组织参与国家和国际发展活动的能力；", "(p) 鼓励各会员国加强与包括青年组织在内的民间社会的伙伴关系机制，促进青年发展，同时创建有效的合作、对话和信息交流渠道，酌情促进青年人之间，包括农村和城市青年之间以及与国家政府和其他相关决策者之间的交流；", "(q) 呼吁包括各会员国、政府间组织和非政府组织在内的捐助方积极为联合国青年基金捐款，以便支持青年领域具有推动作用的创新行动，便于发展中国家的青年代表参与联合国青年方案的活动，同时考虑到有必要在青年代表方面进一步实现地域平衡，在此方面请秘书长采取适当行动，鼓励向青年基金捐款并与联合国各实体其他与青年有关基金开展协作。" ]

[ "Sixty-fifth session", "Agenda item 27 (b)", "Social development: social development, including questions relating to the world social situation and to youth, ageing, disabled persons and the family", "Draft resolution submitted by the President of the General Assembly", "Outcome document of the High-level Meeting of the General Assembly on Youth: Dialogue and Mutual Understanding", "The General Assembly,", "Recalling its resolution 64/134 of 18 December 2009, in particular paragraph 3 thereof, and its resolution 65/267 of 11 March 2011, in particular paragraph 1 thereof,", "Adopts the following outcome document of the High-level Meeting of the General Assembly on Youth: Dialogue and Mutual Understanding:", "Outcome document of the High-level Meeting of the General Assembly on Youth: Dialogue and Mutual Understanding", "We, Heads of State and Government, Ministers and representatives of Member States, gathered at a high-level meeting at United Nations Headquarters in New York on 25 and 26 July 2011 on the theme “Youth: dialogue and mutual understanding”,", "1. Stress the need to disseminate and foster among young people and educate them about the ideals of peace, freedom, justice, tolerance, respect for human rights and fundamental freedoms, solidarity and dedication to the objectives of progress and development;", "2. Recall resolution 64/134 of 18 December 2009, by which the General Assembly proclaimed the year commencing on 12 August 2010 as the International Year of Youth: Dialogue and Mutual Understanding, and acknowledge the significance of this meeting as the highlight of the International Year of Youth;", "3. Reaffirm the World Programme of Action for Youth, including its fifteen interrelated priority areas, and call upon Member States to continue its implementation at the local, national, regional and international levels;", "4. Encourage Member States to develop comprehensive policies and action plans that focus on the best interests of youth, particularly the poor and marginalized, and address all aspects of youth development, and also encourage the international community and the United Nations system to support national youth programmes and further develop and improve the existing international framework on youth, including the World Programme of Action for Youth, in order to fully address all current challenges affecting youth;", "5. Encourage Member States to promote gender equality and the empowerment of women in all aspects of youth development, recognizing the vulnerability of girls and young women, and the important role of boys and young men in ensuring gender equality;", "6. Note with appreciation the activities, special events, contributions and inputs of Member States and all stakeholders, including youth-led organizations, the private sector, civil society and the media, as well as United Nations entities, and take into account the input from youth-led organizations to the outcome document of the High-level Meeting of the General Assembly on Youth;", "7. Recognize that the ways in which young people are able to address their aspirations and challenges and fulfil their potential will influence current social and economic conditions and the well-being and livelihood of future generations, and stress the need for further efforts to promote the interests of youth, including the full enjoyment of their human rights, inter alia, by supporting young people in developing their potential and talents and tackling obstacles facing youth;", "8. Recall the commitment to achieving the internationally agreed development goals, including the Millennium Development Goals, and to implementing the outcomes of global conferences and summits and relevant programmes;", "9. Stress the important role of effective sectoral and cross-sectoral national youth policies, reflecting youth in all its diversity, as well as of international cooperation in promoting the achievement of the internationally agreed development goals, including the Millennium Development Goals;", "10. Invite Member States to review and evaluate the implementation of their commitments to relevant internationally agreed development goals, including the Millennium Development Goals, and the relevant outcomes and programmes of action, including the World Programme of Action for Youth, and request the United Nations regional commissions to assist Member States in sharing information on national experiences, lessons learned and good practices in that regard;", "11. Encourage Member States to continue developing, implementing, monitoring and evaluating effective national youth policies, taking into account their cultural context regarding youth development, as well as to promote relevant regional programmes on youth;", "12. Reaffirm our determination to give priority attention to the promotion of youth and their interests and to address the challenges that hinder youth development, in particular through poverty eradication, the promotion of sustained economic growth, sustainable development and full and productive employment and decent work for all, and call for increased participation of youth and youth-led organizations in the formulation of, as appropriate, local, national, regional and international development strategies and policies;", "13. Reaffirm the need for young people to be protected from all forms of violence, including gender-based violence, trafficking in persons, bullying and cyberbullying, as well as from involvement and manipulation in criminal activities such as drug-related crimes, and recognize the need for the development of safe and youth-friendly counselling and complaint and reporting mechanisms for the redress of violations of their rights;", "14. Reaffirm that the strengthening of international cooperation regarding youth, including through the fulfilment of all official development assistance commitments, the transfer of appropriate technology, capacity-building, the enhancement of dialogue, mutual understanding and the active participation of youth, are crucial elements of efforts towards achieving the eradication of poverty, full employment and social integration;", "15. Welcome the ongoing efforts by Member States to implement their pledges to achieve the internationally agreed development goals, including the Millennium Development Goals, and acknowledge the contributions of Member States, the United Nations entities, civil society organizations, including youth-led organizations, and the private sector to improve the situation of young people; note with concern, however, that, despite these efforts, substantial numbers of young people reside in areas where poverty constitutes a major challenge and access to basic social services is limited, especially for girls and young women, and that youth development remains hindered by the economic and financial crisis, as well as by challenges brought about by the food crisis and continued food insecurity, the energy crisis and climate change, and also note with concern that the overall progress towards achieving the internationally agreed development goals, including the Millennium Development Goals, in particular on issues relevant to youth, has been uneven;", "16. Recognize that the majority of the world’s youth live in developing countries and that development constraints pose additional challenges to youth owing to their limited access to resources, education and training, health care, employment and broader socio-economic development opportunities, and therefore request United Nations entities to take into account these development constraints when designing and implementing their programmes on youth in order to ensure that benefits reach young people living in developing countries equally;", "17. Condemn the recruitment and use of youth in armed conflict, in contravention of applicable international law, deplore the negative consequences that it has on the youth involved, and call upon Member States, in cooperation with the United Nations entities, to take concrete measures and continue to support programmes to ensure the effective social and economic reintegration and rehabilitation of demobilized young people;", "18. Recognize the importance of preventing and addressing youth crime, including drug-related crime, and its impact on youth and the socio-economic development of societies, as well as of protecting young victims and witnesses and supporting the rehabilitation, reintegration and inclusion of young offenders in society with a view to their assuming constructive roles;", "19. Invite Member States, following the celebration of the International Year of Youth, to continue to place greater emphasis on, and expand their activities at the national, regional and international levels in promoting, including through human rights education and learning, a culture of dialogue and mutual understanding among and with youth, as agents of development, social inclusion, tolerance and peace;", "20. Reiterate that the full and effective participation of young people and youth-led organizations in relevant decision-making processes through appropriate channels is key to, inter alia, achieving the internationally agreed development goals, including the Millennium Development Goals, and to implementing the outcomes of global conferences and summits, as well as the World Programme of Action for Youth;", "21. Recognize the positive contribution that youth representatives make to the General Assembly and other United Nations entities and their role in serving as an important channel of communication between young people and the United Nations, and, in this regard, request the Secretary-General to adequately support existing instruments so that they can continue to facilitate their effective participation in meetings;", "22. Encourage Member States, in cooperation with relevant actors, to promote dialogue and mutual understanding to better address youth-related issues, particularly as regards active youth participation, youth work, gender equality and the empowerment of women, social integration, full employment and decent work for all, access to quality education, the development of scientific and innovative capacities, scholarships and training, access to and safe use of information and communications technology, in particular in the interest of the protection of children and young people, access to health care, the elimination of discrimination, protection from all forms of violence, intergenerational solidarity, and the impacts of financial, economic and other crises;", "23. Request the United Nations agencies, and invite the international community and civil society, as well as the private sector, to promote the broader youth development agenda and to strengthen international cooperation and the exchange of good practices in order to support Member States in their efforts to achieve such progress, taking into account the fact that the primary responsibility for ensuring youth development lies with States;", "24. Urge the United Nations entities, including specialized agencies, funds and programmes, in accordance with their mandates, to support, upon request, the strengthening of national capacities and efforts in the development and implementation of national plans, policies and programmes that can accelerate the achievement of internationally agreed development goals, including the Millennium Development Goals, and the relevant outcomes and programmes of action, including the World Programme of Action for Youth;", "25. Request the United Nations entities to enhance their coordination and intensify efforts towards a more coherent, comprehensive and integrated approach to youth development, through, inter alia, the Inter-Agency Network on Youth Development, call upon the United Nations entities and relevant partners to develop additional measures to support national, regional and international efforts in addressing challenges hindering youth development, and, in this regard, encourage close collaboration with Member States as well as other relevant stakeholders, including civil society;", "26. Request the Secretary-General to submit a report, with due regard to existing reporting obligations, to the Commission for Social Development at its fifty-first session, on national experiences, lessons learned and good practices on how to address problems affecting youth, which report shall also evaluate the achievements and shortcomings of ongoing United Nations programmes related to youth and put forward concrete recommendations on how to more effectively address the challenges hindering the development and participation of youth, including through volunteer activities; how to improve the United Nations programmes and structures related to youth, including their coherence; how to better foster dialogue and mutual understanding among youth worldwide; and how to assess progress in these fields, and should be prepared in consultation with Member States, as well as the relevant specialized agencies, funds and programmes, and regional commissions, taking into account the work done by the United Nations system; and also request the Secretariat to consult, as appropriate, with youth-led and youth-focused organizations to ensure that various youth inputs are duly shared with the Commission for Social Development during its deliberations;", "27. Reiterate our request to the Secretary-General to propose a set of possible indicators linked to the World Programme of Action for Youth and the proposed goals and targets, in order to assist Member States in assessing the situation of youth, encouraging continued consultations with Member States;", "28. Renew our resolve to fulfil our commitments to promote youth development, dialogue and mutual understanding, paying due attention to the relevant internationally agreed development goals, including the Millennium Development Goals, and relevant outcomes and programmes of action including the World Programme of Action for Youth. Therefore, we pledge to commit to the following actions:", "(a) Call upon the international community to continue to support the efforts of Member States, together with civil society, including youth-led organizations, the private sector and other parts of society, to anticipate and offset the negative social and economic consequences of globalization and to maximize its benefits for young people;", "(b) Also call upon donors, including Member States and intergovernmental and non-governmental organizations to support the efforts of Member States in the implementation of this outcome document as well as the World Programme of Action for Youth;", "(c) Address the high rates of youth unemployment, underemployment, vulnerable employment and informal employment by developing and implementing targeted and integrated national youth employment policies for inclusive job creation; improved employability; skill development and vocational training to meet specific labour market needs of youth, including young migrants; and increased entrepreneurship, including the development of networks of young entrepreneurs at the local, national, regional and global levels, which foster knowledge among young people about their rights and responsibilities in society; and, in this regard, request donors, specialized United Nations entities and the private sector to continue to provide assistance, including technical and funding support, as required;", "(d) Urge Member States to address the global challenge of youth unemployment by developing and implementing strategies that give young people everywhere a real chance to find decent and productive work, and, in this context, consider undertaking efforts towards the development of a global strategy on youth employment with a focus on youth unemployment, and encourage Member States, employers’ organizations, trade unions, the private sector, institutions of education at all levels, youth organizations and civil society, with the support of the international community, all relevant stakeholders, including financial institutions, and the United Nations system, as appropriate, to develop partnerships in this regard to foster inclusive employment opportunities in the labour market, including through the promotion of youth entrepreneurship, taking into account regional and national particularities;", "(e) Undertake appropriate measures, in cooperation with civil society, including youth-led organizations, educational institutions and the private sector, in order to strengthen international, regional and national partnerships, to foster mutual respect, tolerance and understanding among young people with different racial, cultural and religious backgrounds;", "(f) Increase efforts to improve the quality of education and promote universal access to education, particularly for young women, out-of-school youth, youth with disabilities, indigenous youth, youth in rural areas, youth migrants, and youth living with HIV and affected by AIDS, without discrimination on any basis, to ensure that they can acquire the knowledge, capacities, skills and ethical values needed, including by appropriate access to scholarships and other mobility programmes, non-formal education, as well as technical and vocational education and training, to develop and to participate fully in the process of social, economic and political development, since knowledge and education are key factors for youth participation, dialogue and mutual understanding;", "(g) Promote and provide human rights education and learning for youth, taking particular account of young women, and develop initiatives in that regard, in order to promote dialogue and mutual understanding, tolerance and friendship among youth of all nations;", "(h) Urge Member States to take effective measures in conformity with international law to protect young people affected or exploited by terrorism and incitement;", "(i) Adopt appropriate laws and develop strategies for the prevention and elimination of all forms of violence against youth, in all settings, and to ensure the implementation of policies and adequately resourced programmes on ending violence against youth, including initiatives to support youth action to end violence through youth-led organizations and networks;", "(j) Strengthen the use of information and communication technology to improve the quality of life of young people, and, with the support of the United Nations system, donors, the private sector and civil society, promote universal, non‑discriminatory, equitable, safe and affordable access to information and communications technology, especially in schools and public places, and remove the barriers to bridging the digital divide, including through transfer of technology and international cooperation, as well as promote the development of locally relevant content and implement measures to equip young people with the knowledge and skills needed to use information and communications technology appropriately and safely;", "(k) Ensure that young people enjoy the highest attainable standard of physical and mental health by providing youth with access to sustainable health systems and social services without discrimination and by paying special attention to, and raising awareness regarding, nutrition, including eating disorders and obesity, the effects of non-communicable and communicable diseases and sexual and reproductive health, as well as measures to prevent sexually transmitted diseases, including HIV and AIDS;", "(l) Promote youth participation in training and capacity-building for environmental issues, including climate change adaptation and mitigation, tackling desertification and other challenges, particularly for those who are engaged in agricultural production and play a vital role in providing food security, which is threatened by climate change;", "(m) Promote and protect effectively the human rights and fundamental freedoms of all migrants, especially young people, regardless of their migration status, address international migration through international, regional or bilateral cooperation and dialogue and through a comprehensive and balanced approach, recognizing the roles and responsibilities of countries of origin, transit and destination in promoting and protecting the human rights of all migrants, especially young people, and address the root causes of youth migration, while avoiding approaches that might aggravate their vulnerability;", "(n) Urge Member States to take concerted actions in conformity with international law to remove the obstacles to the full realization of the rights of young people living under foreign occupation to promote the achievement of the Millennium Development Goals;", "(o) Encourage Member States, the international community, the United Nations system and the private sector to support youth-led organizations in achieving openness and inclusiveness and to strengthen their capacity to participate in national and international development activities;", "(p) Encourage Member States to strengthen mechanisms for partnerships with civil society, including youth-led organizations, as contributions to youth development, and create effective channels of cooperation, dialogue and information exchange among young people, including rural and urban youth, their national Governments and other relevant decision makers, as appropriate;", "(q) Call upon donors, including Member States and intergovernmental and non-governmental organizations, to actively contribute to the United Nations Youth Fund in order to support catalytic and innovative actions in the field of youth and to facilitate the participation of youth representatives from developing countries in the activities of the United Nations Programme for Youth, taking into account the need for a greater geographic balance of youth representation, and, in this regard, request the Secretary-General to take appropriate action to encourage contributions to the Fund as well as synergy with other youth-related funds of United Nations entities." ]

[ "Sixty-fifth session", "Agenda item 27 (b)", "Social development: social development, including questions relating to the world social situation and to youth, the elderly, persons with disabilities and the family", "Draft resolution submitted by the President of the General Assembly", "Outcome of the General Assembly High-level Meeting on Youth: Dialogue and Mutual Understanding", "The General Assembly,", "Recalling General Assembly resolution 64/134 of 18 December 2009, in particular paragraph 3 of the resolution, as well as General Assembly resolution 63/267 of 11 March 2011, in particular paragraph 1 of that resolution,", "Adoption of the outcome document of the General Assembly High-level Meeting on Youth: Dialogue and Mutual Understanding, as follows:", "Outcome of the General Assembly High-level Meeting on Youth: Dialogue and Mutual Understanding", "We, Heads of State and Government, ministers and representatives of Member States, gathered at United Nations Headquarters in New York on 25 and 26 July 2011 to discuss the theme “Youth: dialogue and mutual understanding”,", "Emphasizes the need to promote, develop and educate young people on the ideals of peace, freedom, justice, tolerance, respect for human rights and fundamental freedoms, solidarity and dedication to progress and development goals;", "Recalls resolution 64/134 of 18 December 2009, by which it proclaimed the year beginning on 12 August 2010 as the International Year of Youth: dialogue and mutual understanding, and recognizes the importance of this conference as an important event for the Year of Youth;", "Reaffirms the World Programme of Action for Youth, including the 15 interrelated priority areas raised therein, and calls upon Member States to continue their implementation at the local, national, regional and international levels;", "Encourages Member States to develop comprehensive policies and action plans that focus on the best interests of young people, in particular those in poverty and marginalization, to address all aspects of youth development, and encourages the international community and the United Nations system to support national youth programmes and to further develop and improve existing international frameworks on youth issues, including the World Programme of Action for Youth, in order to fully address all current challenges affecting young people;", "Encourages Member States to promote gender equality and women's empowerment in all aspects of youth development, recognizing the important role played by girls and young women and boys and young men in ensuring gender equality;", "Notes with appreciation the activities undertaken by Member States and all stakeholders, including youth organizations, the private sector, civil society and the media, as well as the activities undertaken by United Nations entities, special events, contributions and inputs, while noting the input of youth organizations to the outcome of the high-level meeting of the General Assembly on youth;", "Recognizes the desire of young people to meet their challenges and realize their potential in ways that affect the current social and economic situation, affect the well-being and livelihoods of future generations, and stresses the need for further efforts to promote the interests of young people, including by supporting young people in their full enjoyment of their human rights, in particular by supporting them in their potential and in order to address the obstacles faced by young people;", "Recalls the commitment to the achievement of the internationally agreed development goals, including the Millennium Development Goals, and to the implementation of the outcomes of global conferences, summits and related programmes;", "Emphasizes the important role of effective sectors reflecting the diversity of young people and cross-sectoral national youth policies, and stresses the important role of international cooperation in promoting the achievement of the internationally agreed development goals, including the Millennium Development Goals;", "Requests Member States to review and assess the implementation of their commitments in respect of the internationally agreed development goals, including the Millennium Development Goals, and the programmes of action, including the World Programme of Action for Youth, and requests the United Nations regional commissions to assist Member States in sharing national experiences, lessons learned and good practices in this regard;", "Encourages Member States to continue to develop, implement, monitor and evaluate effective national youth policies, taking into account the cultural context of youth development and to promote relevant regional programmes for youth;", "Reaffirms our resolve to give priority to the promotion of youth development and the interests of young people and to address the challenges that hinder youth development, in particular through the eradication of poverty, the promotion of sustained economic growth, sustainable development and the promotion of full and productive employment for all and decent work for all, and calls upon young people and youth organizations to participate, as appropriate, in the development of local, national, regional and international development strategies and policies;", "Reaffirms the need to protect young people from all forms of violence, trafficking, abuse and cybercrime, including gender-based violence, and to avoid young people being caught in criminal activities such as drug offences, manipulation and recognition of the need for security, counselling, complaints and reporting mechanisms for young people to address violations of the rights of young people;", "Reaffirms that strengthening international cooperation in youth issues, including through the implementation of all official development assistance commitments, the transfer of appropriate technologies, capacity-building, the promotion of youth dialogue, mutual understanding and active participation, is key elements for poverty eradication, full employment and social integration;", "Welcomes the sustained efforts made by Member States to meet the internationally agreed goals, including the Millennium Development Goals, and recognizes the contributions made by Member States, United Nations entities, civil society organizations, including youth organizations, and the private sector to improve the situation of young people; notes with concern that, despite these efforts, regional poverty, in which a large number of young people live, remains a major challenge, limited access to basic social services, especially for girls and young women, notes with concern that the economic and financial crisis, and the challenges posed by the food crisis, sustained food insecurity, energy crises and climate change continue to hamper the development of young people, and notes with concern that progress in achieving the internationally agreed development goals, including the Millennium Development Goals, in particular among young people;", "Recognizes that most young people in the world live in developing countries and that development constraints pose additional challenges for young people, as they have limited access to resources, education and training, health, employment and broad socio-economic development, and invites United Nations entities to take into account these development constraints in the design and implementation of youth programmes and to ensure that young people living in developing countries benefit equally;", "Condemns the recruitment and use of young people in armed conflict in violation of applicable international law, deplores the negative impact on the youth involved, calls upon Member States, in cooperation with United Nations entities, to take concrete measures and to continue to support programmes to ensure the effective reintegration and economic life of disarmament youth and to restore normal life;", "Recognizes the importance of preventing and addressing youth crime, including drug crimes, and their impact on youth and socio-economic development, and the need to protect young victims and witnesses and to support the rehabilitation, reintegration and reintegration of young offenders so that they can play a constructive role;", "Invites Member States to continue to emphasize and expand their activities at the national, regional and international levels after the celebration of the International Year of Youth, to promote dialogue and mutual understanding among young people, including through human rights education and learning, in order to promote development, social inclusion, tolerance and peace;", "Reaffirms that the full and effective participation of young people and youth organizations in relevant decision-making processes through appropriate channels is key to the achievement of the internationally agreed development goals, including the Millennium Development Goals, the implementation of the outcomes of the global conferences and summits and the World Programme of Action for Youth;", "Acknowledges the active contribution of youth representatives to the General Assembly and other United Nations entities and their role as an important channel of communication between young people and the United Nations, and in this regard requests the Secretary-General to fully support existing mechanisms and to continue to facilitate the effective participation of young people in meetings;", "Encourages Member States, in cooperation with relevant actors, to strengthen dialogue and mutual understanding in order to better address issues related to young people, in particular those relating to the active participation of young people, youth employment, gender equality and women empowerment, social integration, full employment and decent work for all, access to quality education, development of scientific and innovative capacities, provision of scholarships and training, provision of information and communications technology and, in particular, ensuring the safe use of such technologies, the provision of health care, the elimination of discrimination, protection of them from all forms of violence, intergenerational solidarity and the impact of financial, economic and other crises;", "Requests United Nations agencies, and invites the international community and civil society and the private sector to promote the expansion of the youth development agenda, to strengthen international cooperation and to share good practices in support of Member States' efforts in that regard, bearing in mind that the primary responsibility for youth development should be borne by States;", "Urges United Nations entities, including the specialized agencies, funds and programmes, to support, upon request, strengthening the capacity and work of States in the formulation and implementation of national plans, policies and programmes in order to accelerate the achievement of the internationally agreed development goals, including the Millennium Development Goals, and related outcomes, including the World Programme of Action for Youth;", "Requests United Nations entities to strengthen coordination and intensify their efforts through, inter alia, the Inter-Agency Network for Youth Development to adopt a more coherent, comprehensive and integrated approach to youth development, calls upon United Nations entities and relevant partners to take other measures to support efforts at the national, regional and international levels to address the challenges impeding youth development, and, in this regard, encourages close collaboration with Member States and other relevant stakeholders, including civil society;", "Requests the Secretary-General to submit to the Commission for Social Development at its fifty-first session, with due regard to existing reporting obligations, a report on national experiences, lessons learned and good practices in addressing issues affecting young people, as well as on the achievements and shortcomings of the current programmes of the United Nations related to youth, and to make specific recommendations on how to effectively address the challenges impeding the development and participation of young people, including through volunteer activities; how to improve the coherence of the programmes and structures of the United Nations related to youth; how to improve dialogue and mutual understanding among young people around the world; and to assess progress achieved in these areas, taking into account the work of the specialized agencies, as appropriate, and the United Nations system, taking into account the preparation of the work of the United Nations system;", "Reiterates our request to the Secretary-General to submit a possible set of indicators relevant to the World Programme of Action for Youth and the proposed goals and targets to assist countries in their assessment of the situation of young people and encourage continued consultations with Member States;", "We reaffirm our commitment to honour the commitments to promote youth development, dialogue and mutual understanding, while paying due attention to the internationally agreed development goals, including the Millennium Development Goals, as well as relevant results and programmes of action, including the World Programme of Action for Youth; we therefore commit ourselves to:", "(a) Call upon the international community, together with civil society, the private sector and other segments of society, including youth organizations, to continue to support the efforts of Member States to prevent and offset the adverse social and economic impacts of globalization and maximize the benefits of young people;", "(b) Also calls upon donors, including Member States and intergovernmental and non-governmental organizations, to support the efforts of Member States to implement the present outcome document and the World Programme of Action for Youth;", "(c) Address the high rate of youth unemployment, underemployment, precarious work and informal employment by developing and implementing a comprehensive national policy on targeted youth employment, with a view to creating inclusive employment; enhancing employability; developing skills, providing vocational training to meet the specific labour market needs of young people, including migrant youth; enhancing entrepreneurship, including the development of youth entrepreneurship networks at the local, national, regional and global levels, to make young people more aware of their rights and responsibilities in society; and in this regard invites donors, United Nations specialized entities and the private sector to continue to provide assistance, including technical and financial support, in accordance with the needs;", "(d) Urging Member States, through the development and implementation of strategies to address the global challenge of youth unemployment, to give young people everywhere a real opportunity to find decent productive work, and in this regard consider the development of a global strategy on youth employment, which focuses on youth unemployment, and encourages Member States, employers' organizations, trade unions, the private sector, educational institutions, youth organizations and civil society, with the support of the international community, including financial institutions, and, where appropriate, the United Nations system, to build inclusive employment opportunities in the labour market, including through the promotion of youth entrepreneurship, taking into account the specificities of countries and regions;", "(e) Take appropriate measures, in cooperation with civil society, educational institutions and the private sector, including youth organizations, to strengthen international, regional and national partnerships to enhance mutual respect, tolerance and understanding among young people from different ethnic, cultural and religious backgrounds;", "(f) Strengthen efforts to improve the quality of education and promote universal access to education, in particular for young women, drop-outs, youth with disabilities, indigenous youth in rural areas, migrant young people and young people affected by HIV and AIDS, without any discrimination, to ensure that they have the knowledge, capacity, skills and ethical values necessary, including adequate access to scholarships and participation in other mobility programmes, non-formal education and technical and vocational education, in order to develop and participate fully in the social, economic and political development process, as knowledge and education are key elements for youth participation and mutual understanding;", "(g) Promote education and learning among young people on human rights and provide opportunities in this regard, taking into account, inter alia, the needs of young women and, in this regard, develop initiatives that enable young people to strengthen dialogue and mutual understanding, tolerance and friendship;", "(h) Urge Member States to take effective measures in accordance with international law to protect young people who are victims of terrorism and instigation or use;", "(i) Ensure that policies are implemented through appropriate legislation and strategies to prevent and eliminate all forms of violence against young people in all circumstances, and that programmes to end violence against young people receive adequate funding, including through initiatives undertaken by youth organizations and youth networks, to support youth action and end violence;", "(j) Increase the use of information and communications technology to improve the quality of life of young people, while ensuring that information and communications technology are available at a universal, non-discriminatory, equitable, safe and affordable prices, in particular in schools and public places, in order to bridge the digital divide, including through technology transfer and international cooperation, and to promote the development of local-related content, as well as the implementation of measures to teach young people the necessary knowledge and skills for the proper and safe use of information and communications technology;", "(k) Ensure that sustainable health systems and social services are provided to young people, in particular attention to nutrition issues and awareness-raising on nutrition issues, including hunger and obesity, with attention to the impact of non-communicable diseases and epidemics, as well as sexual and reproductive health, as well as measures aimed at preventing sexually transmitted diseases, including HIV/AIDS, in order to ensure that young people enjoy the highest attainable standard of physical and mental health;", "(l) Promote training and capacity-building for young people, in particular those involved in agricultural production and in ensuring food security threatened by climate change, including adaptation and mitigation of climate change and addressing desertification and other challenges;", "(m) To effectively promote and protect the human rights and fundamental freedoms of all migrants, in particular young people, regardless of their immigration status, and to address international migration in an integrated and balanced manner through international, regional or bilateral cooperation and dialogue, recognizing the role and responsibilities of countries of origin, transit and destination in promoting and protecting all migrants, in particular young people, and to address the root causes of youth migration, while avoiding possible initiatives that make them more vulnerable;", "(n) Urging Member States, in accordance with international law, to take concerted action to remove obstacles that enable young people living under foreign occupation to fully realize their rights and promote the achievement of the Millennium Development Goals;", "(o) Encourage Member States, the international community, the United Nations system and the private sector to support youth organizations to become open, inclusive and strengthen the capacity of youth organizations to participate in national and international development activities;", "(p) Encourage Member States to strengthen their partnership mechanisms with civil society, including youth organizations, to promote youth development, while creating effective channels for cooperation, dialogue and information exchange, as appropriate, to promote communication among young people, including between rural and urban youth and among Governments and other relevant decision makers;", "(q) Call on donors, including Member States, intergovernmental organizations and non-governmental organizations, to contribute actively to the United Nations Youth Fund in order to support innovative action in the area of youth, to facilitate the participation of youth representatives from developing countries in the activities of the United Nations Youth Programme, taking into account the need for further geographical balance in youth representatives, and in this regard requests the Secretary-General to take appropriate action to encourage contributions to the Youth Fund and to collaborate with other United Nations entities related to youth funds." ]

[ "第六十六届会议", "暂定项目表[1] 项目23(a)", "处境特殊的各国家组：第四次联合国 最不发达国家问题会议后续行动", "第四次联合国最不发达国家问题会议的成果", "秘书长的报告", "摘要", "本报告是根据大会第65/171号决议提出的，其中请秘书长向大会第六十六届会议提交关于2011年5月9日至13日在伊斯坦布尔举行第四次联合国最不发达国家问题会议的结果的报告。会议通过了《2011-2020十年最不发达国家行动纲领》和《伊斯坦布尔宣言》。本报告重点介绍成果文件的主要内容并勾勒出实施《伊斯坦布尔行动纲领》的前进方向。", "一. 第四次联合国最不发达国家问题会议", "1. 大会在第63/227号决议决定召开一次高级别的第四次联合国最不发达国家问题会议，其任务是全面评价《布鲁塞尔行动纲领》[2] 的执行情况；交流最佳做法和经验教训，查明所遇到的障碍和制约因素，以及克服这些障碍和制约因素所需采取的行动和举措；查明最不发达国家面临的新挑战和新机遇；重申全球承诺，应对最不发达国家的特殊需要；动员更多向最不发达国家倾斜的国际支援措施和行动；订立和推行最不发达国家与其发展伙伴之间新的伙伴关系。", "A. 筹备进程", "2. 大会授权最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处负责协调会议的筹备工作。筹备进程基本上采取自下而上的方法，由国家一级的筹备工作开始，再由区域和全球一级的筹备工作集其大成。整个联合国系统为最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处负责协调的筹备进程作出了贡献。其间安排了大量研讨会和举办了许多活动，特别是一系列共19项会前活动，所有利益攸关方，包括政府、议会、民间社会和私营部门的代表都有参加。这些活动的结论和建议都提供给《伊斯坦布尔行动纲领》草案参考，并供关于伊斯坦布尔会议成果文件的谈判参考。[3]", "3. 秘书长在2010年任命了一个知名人士小组，成员九人，由马里共和国前总统科纳雷先生和世界银行前总裁沃尔芬森先生担任共同主席。小组的报告“包容性增长与繁荣契约”提出了改革最不发达国家的优先行动框架。它的结论是，一切如常行不通，最不发达国家面临的具体挑战需要由一个新的行动纲领予以应对。该报告还强调指出，定立明确、可量化的目标，实行分工负责，是成功实施新的行动纲领的关键。", "4. 筹备进程从一开始，就安排三个轨道全面进行：议会轨道、民间社会轨道和私营部门轨道。这是从来没有过的。所有三组的代表都参加国家、区域和国际各级的筹备过程，协助评价《巴巴多斯行动纲领》，特别是制订新的优先重点和承诺。最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处支持与其他联合国机构、各专门指导委员会和各国议会联盟合作举办各种会议，同时按照联合国大会第65/171号决议的规定，促进最不发达国家的代表参加会议的筹备过程和会议本身。", "5. 2011年1月10日至14日召开的第一届政府间筹备委员会会议开始了为最不发达国家制订新行动纲领的谈判进程。2011年4月4日至8日举行了第二届会议。在两届会议之间，直到会议开始之时，通过非正式磋商进行了密集的谈判。难能可贵的是，尽管世界各地经济局势困难，金融和经济危机持续产生影响，特别影响到传统的捐助国，其中有些捐助国还要大幅收紧预算，可是在会议开始之前，《伊斯坦布尔行动纲领》草案已大致达成协议。此外，由于国际市场日益因气候变化而波动，产生了一些新挑战，最不发达国家和其他大多数国家都受到影响，对此，在全球一级寻找可持续解决方案的进展缓慢。与此同时，2010年千年发展目标首脑会议的成果对有关谈判产生了积极作用。", "B. 伊斯坦布尔首脑会议", "6. 第四次联合国最不发达国家问题会议分好几个轨道进行，其中一般性辩论和全体委员会是主要的政府间论坛。[4] 此外，还就有关最不发达国家发展的各种主题举行了6次高级别互动式专题辩论，以及举办了有关最不发达国家各种议题的45项特别活动和会外活动。在三个轨道密集筹备的基础上，举办了议会论坛、民间社会论坛和一个私营部门轨道活动。知名人士小组的几位成员出席了会议。小组共同主席沃尔芬森先生、民间社会、私营部门和议会轨道的代表在全体会议上发言。经认可的与会者超过8 900人，其中有36位国家元首或政府首脑，200名议员(包括10名议长)，96名部长和60位联合国机构和其他国际组织的负责人。超过1 500名民间社会的代表，包括来自智库的代表，以及500名商界领袖参加了会议。", "7. 在一般性辩论中，许多发言者都指出，这次会议是必要的、及时的。他们强调采取重点处理方式的重要性，以新行动纲领的新优先事项为重点。承诺应该是具体的，应参照过去十年的经验，改善早期的方法，重新调整各项优先事项。只要使现有的国际机制和资源更好地适应《伊斯坦布尔行动纲领》中列出的新议程，就有可能实现真实和宝贵的创新及改进。", "8. 六个高级别的互动专题辩论汇聚了高级别的参与者，他们就塑造未来十年最不发达国家发展战略的关键主题进行多方利益攸关方的讨论。在辩论中阐述了以下主题：提高生产能力和私营部门的作用；为最不发达国家的发展和全球伙伴关系调动资源；利用贸易促进最不发达国家的发展和改革；在所有各级实施善治；减少脆弱性，应对新的挑战，以及加强粮食安全；人类和社会发展，性别平等和妇女增权扩能。辩论有助于建立共识，恢复和振兴的伙伴关系，动员更多向最不发达国家倾斜的国际支援措施和行动。", "9. 四十五项特殊活动和会外活动是由会员国、联合国各机构和其他相关组织安排的，涉及最不发达国家优先关注的各种课题。这些活动成为了最不发达国家发展伙伴宣布他们支持倡议的平台。有接近100项交付成果，包括从促进投资的目标明确的资金承诺和措施，到教育和培训、技能开发，以及机构能力建设、技术转让、加强研究能力、知识转让、设立研究和技术机构等领域的具体技术合作和能力建设的建议。又启动其他项目，以帮助改进数据收集和统计能力，提供公共信息工具，确保监测《伊斯坦布尔行动纲领》的实施进度。[5]", "10. 议会论坛于2011年5月8日举行，是为会议议会轨道活动的高潮。议员们强调，《伊斯坦布尔行动纲领》必须充分纳入各国国家发展计划，以确保国家自主权，从而确保行动纲领产生实效。他们强调所有全球和本国合作伙伴都需要承担更大的问责责任，而最不发达国家要全面当家作主，率先垂范，实行善治，以及改善南南合作。良好治理是发展的必要条件，论坛强调指出，议会在实施、监测和审查行动纲领的所有方面都应发挥关键作用，并必须能够对所有各方面的发展问题行使立法监督和代表职能。", "11. 民间社会论坛涵盖最不发达国家所面临的各种各样发展挑战，并为会员国、专门机构、基金和方案、政府间国际组织和来自妇女运动、青年运动、工会、农民联合会的民间社会代表、媒体和人权维护者提供了一个彼此对话的机会。在论坛上提出的“民间社会全球报告”从草根角度评价了“巴巴多斯行动纲领”的实施情况。来自民间社会的主要讯息是，应该重新审视目前的发展模式：应当从目前市场导向的议程转向以人为本的发展政策，为了实施这种政策，各国政府须确保可持续的生计。改善治理，尤其是更加重视人权和两性平等，是主要的关注领域。在民间社会论坛结束时，民间社会组织发表了《伊斯坦布尔宣言》，呼吁会员国把重点放在一些部门，增加投资于农业、教育、保健和信息、技术转让、以及向所有人提供水和卫生的设施。", "12. 私营部门轨道提供了一个重要的机会，以确定有何具体的、面向行动的建议，通过发展私营部门，应对最不发达国家面临的特殊挑战。这是联合国的一个重要里程碑，因为它首次将私营部门全面纳入重大的联合国会议，让私营部门对会议及其成果作出有意义的贡献。私营部门轨道有三个相互关联的组成部分：关于投资和伙伴关系的高级别会议；全球工商伙伴关系论坛，为企业、投资者、政府官员和其他利益攸关方搭建多方利益攸关方对话平台；及贸易洽谈会，其中展示了在最不发达国家的营商机会。商业论坛促进了各种建议，促使各国政府采取新的行动，推出新的举措和出版物，并产生了新的承诺。论坛中出现的新承诺和新举措涉及诸多领域，包括宽带和数字化发展、支持最不发达国家的证券交易、可持续旅游业，并为最不发达国家提供投资指导。", "二. 《伊斯坦布尔行动纲领》的要点", "13. 会议通过了《2011-2020十年期支援最不发达国家行动纲领》[6] 和《伊斯坦布尔宣言》，[7] 其中表明了所有会员国的强烈政治意愿，要更新和加强对支援最不发达国家的全球伙伴关系，并贯彻执行会议的任务规定。《伊斯坦布尔行动纲领》指明了未来十年最不发达国家可持续发展战略的愿景和战略，其中以生产能力为重中之重。预料各方面的行为人，包括捐助国、发展中国家、议会、私营部门、民间社会、联合国系统和国际及区域金融机构，都将出力协助实施《伊斯坦布尔行动纲领》。", "14. 《伊斯坦布尔行动纲领》确认最不发达国家具有巨大的人力和自然资源潜力，可有助于世界经济增长、福利与繁荣，解决最不发达国家的特殊发展需要也将有助于为所有人争取和平、繁荣与可持续发展。它详细回顾了《布鲁塞尔行动纲领》的实施情况，有关说明主要来自秘书长的报告。[8] 根据所吸取的经验教训，行动纲领列出了若干目标和宗旨、原则及优先行动领域。", "A. 目的、目标和原则", "15.《伊斯坦布尔行动纲领》的总目标是克服最不发达国家所面临的结构性挑战，以消除贫困，实现国际商定的发展目标，特别着重于实现各项千年发展目标。具体目标是使一半最不发达国家达到符合脱离名单标准。这与最不发达国家实现持续、公平和包容性经济增长，至少达到每年增长7%的目标密切相关。只要贯彻执行《伊斯坦布尔行动纲领》列出的正确政策和扶持性措施，只要所有利益攸关方拿出政治意愿，将行动纲领纳入其发展战略，上述目标是可以达成的。在这方面，坚决承诺将《伊斯坦布尔行动纲领》纳入最不发达国家和发展伙伴的发展战略的主流，就是一项重要的成就。", "16. 《伊斯坦布尔行动纲领》着重于减少最不发达国家的脆弱性和应对发展过程的新挑战，包括相互关联的粮食危机、燃料危机和经济危机及气候变化的影响，重中之重是通过提高生产能力，促成结构改革。行动纲领还旨在制造充分生产性就业，实现人人特别是青少年有体面的工作。", "17. 在《伊斯坦布尔行动纲领》中商定了一些原则，实施这些原则将产生深远影响。第一项原则强调最不发达国家应该当家作主、领导自身发展并负起主要责任。平衡兼顾国家作用和市场因素的原则将为下一个十年的发展战略带来质的转变，其中将强调国家在发展过程中的积极作用。", "18. 其他原则包括采取整合办法，全面和整体地看最不发达国家的发展过程；真正的伙伴关系和团结；成果导向；综合处理和平与安全、发展和人权；强调在所有各级实现公平；以及最不发达国家的有效参与、发言权和代表性。", "B. 优先领域", "19. 下面扼要说明《伊斯坦布尔行动纲领》的八个优先领域，这些优先领域是在筹备过程中查明的，全面覆盖与最不发达国家发展有关的所有领域。商定议程包括大力调整优先次序，主张投资在经济生产性部门，建设有形设施以及人力和社会资本。《伊斯坦布尔行动纲领》强烈重点关注生产能力建设和结构性转变，以此作为实现更强健、平衡、公平和可持续增长及可持续发展的核心要素。为贯彻实施各项优先领域，最不发达国家已经承诺采取126项行动，发展伙伴承诺采取102项行动，另有16项行动将联合进行。", "20. 生产能力。提高生产能力，作为发展的倍增效应因素，是《伊斯坦布尔行动纲领》的主要重点，预计将为所有优先领域设定基调。由于大多数最不发达国家的生产部门仍然落后，其中许多仍依赖于未加工商品的出口，他们进行有效生产的能力受到制约，而且容易受到商品价格波动等经济冲击的影响。因此需要更加重点发展劳动密集型生产，以实现经济的结构转化，以及可持续减贫。", "21. 各方明确作出承诺，按照最不发达国家的国家优先重点，增加基础设施和农业方面的投资，以提高增值效应，创造就业。目标包括大大增加获得电信服务、交通基础设施和能源供应的机会，包括利用可再生能源发电。这个领域的行动是最不发达国家经济实行多样化的前提，以生产具有较高增值的商品，创造体面就业，如农产品加工业，制造业或旅游业。将目前主要出口原材料的价值链予以提升，将是一个多样化战略的不可或缺的组成部分。", "22. 在《伊斯坦布尔行动纲领》商定了技术转让的具体规定。技术转让是进行创新，以提高生产力和进入新市场的重要因素，反过来又是提高增值和创造体面就业的先决条件。《伊斯坦布尔行动纲领》所列行动包括进行分析，以建立技术库及科学、技术和创新的机制，这将有助于降低获得技术的交易成本。又商定提供优惠启动资金，为投资于新技术的最不发达国家企业融资。", "23. 农业、粮食安全和农村发展。由于农业在几乎所有最不发达国家对粮食安全和就业起着至关重要的作用，《伊斯坦布尔行动纲领》有一个明显的倾向，就是要振兴和多样化最不发达国家的农业生产，办法是促进采取综合全面的方法，扩大就业和国民生产，提高农民收入，并采取综合全面的粮食保障办法。又为了增加对农村基础设施的投资，行动侧重于能力建设，包括农业研究，以及应对粮食紧急情况的安全网。支援措施的重点是小农和女农，应加强他们获得投入和市场的机会，使他们能够避免营养不良，并转而生产高价值产品。此外，《伊斯坦布尔行动纲领》要求促进负责任的国际投资，取消农产品出口补贴，并改善农村市场的运作。", "24. 贸易。会议商定，应认真努力为原产于最不发达国家的所有产品创造有利的市场准入条件，包括通过持续对所有最不发达国家及时实施免税和免配额的市场准入，采用简单、透明和可预计的原产地规则；减少或消除任意或不合理的非关税壁垒和其他扭曲贸易的措施。这项工作的目标应当是到2020年扩大最不发达国家出口占全球出口份额一倍，其中包括扩大最不发达国家的出口基础。支援重点是促进次区域和区域合作，包括通过贸易便利措施，促进出口和提高区域连通性。捐助者还同意扩大最不发达国家所占贸易援助资源的份额，并增加对优惠综合框架的支助。", "25. 商品。《伊斯坦布尔行动纲领》还旨在扩大最不发达国家的经济基础，以减少对商品的依赖，并要求建立商品管理战略以及提高生产力和纵向多样化及增加增值的策略。发展伙伴承诺协助最不发达国家更好地减轻和管理与商品价格波动有关的风险。《伊斯坦布尔行动纲领》还要求公司企业透明和问责，包括通过《采掘业透明度倡议》贯彻实施。", "26. 人类和社会发展。在人类和社会发展领域，《伊斯坦布尔行动纲领》已重申到2015年争取实现千年发展目标的承诺，并要求2015年以后在教育、保健、住房、卫生、性别平等和妇女增权扩能及社会保护方面取得进一步的进展。行动纲领侧重于联系人类和社会发展以提高生产能力的具体问题。两个领域之间密切联系的例子包括技术和职业培训、技术转让协助当地生产药品、通过学徒方案促进青年就业、在住房、水和卫生领域为私营部门投资创造扶持性环境。虽然两性平等和妇女增权扩能仍被视为贯穿各领域的问题，因而体现在各个方面，但还是专门用一个分节列出最不发达国家的承诺，以加强相关国家机制的作用，增加资源，并促进妇女代表有效参与所有领域的决策。还鼓励建立和扩大社会保护制度，社会保护制度有助于稳定经济，加强穷人的应变能力。", "27. 多重危机及其他新出现的挑战。最不发达国家仍然容易受到经济冲击和自然灾害以及气候变化的影响，需要重新重点关注他们的应变能力。发展伙伴承诺支持最不发达国家的风险减缓策略，并加强他们在这方面的能力。由于最不发达国家需要额外的、可预测的和充分的技术和财政支持，以适应和减缓气候变化的影响，《伊斯坦布尔行动纲领》呼吁加强气候融资规定，包括推动绿色气候基金早日运作，以及协助最不发达国家加强生产、买卖和分配清洁能源的能力，包括开发可再生能源。为了使最不发达国家能够应付规模和范围日增的自然灾害，《伊斯坦布尔行动纲领》呼吁在减少灾害风险方面提高公众的意识，加强一致性，以及下放权力。发展伙伴承诺支持最不发达国家加强自身能力，包括通过区域倡议以及分享知识和专长，以减少他们对自然灾害的脆弱性。", "28. 调动财政资源促进发展和能力建设。最不发达国家致力于创造条件，吸引投资，调动储蓄，促进私营部门发展，并采取必要的财政改革措施。捐助者重新确认其承诺，确保履行向最不发达国家作出的官方发展援助承诺，到2015年，这将使目前最不发达国家所得官方发展援助额380亿美元翻一番。《伊斯坦布尔行动纲领》还呼吁提高援助的质量，包括官方发展援助更为优先地支援生产部门。在这方面，对于支持由公共部门管理的活动的援助方案，承诺首先利用国家体制负责执行，并以透明的方式及时知会最不发达国家政府有关年度承诺和交付款项的信息，特别重要。捐助国也同意在2015年审查其官方发展援助承诺，并考虑进一步增加援助最不发达国家的资源。", "29. 此外，又商定继续减免债务，并探索使用新的和改进的债务证券及债务转换安排等创新机制。这包括由发展伙伴提供充分和及时的融资，以实施重债穷国倡议和多边减债倡议，对不属于重债穷国的最不发达国家实施具体的债务减免措施，以及债务人和债权人之间临时冻结债务等措施。", "30. 会议还商定，在最不发达国家强化本国鼓励投资的举措，包括实施保险、担保和优惠融资方案，例如提供出口信贷、风险管理工具、联合融资和风险资本以及民营企业资金等。这些措施应特别着重于建立一个多样化的生产基础，并鼓励其与国内生产活动以及创造就业机会联系起来。此外，又商定努力降低汇款费用，以及考虑建立短期移民制度，支持为最不发达国家服务的国际侨汇观察站。", "31. 在所有各级的良治。治理领域的目标和具体目标包括：加强良治、法治、人权、性别平等和妇女增权扩能，以及民主参与，包括加强议会的作用。最不发达国家承诺继续改革体制、法律和监管框架，公共部门承诺增加服务提供包括反腐斗争的效率和透明度。此外，他们还商定提高人和体制能力，包括统计能力，并将预防和化解冲突纳入国家发展计划之内。发展伙伴承诺支持这些努力，特别是向最不发达国家及时提供官方发展援助年度承诺和交付款项的信息，使他们能够准确地编制预算和进行会计，促进国际金融、贸易和发展机构政策的连贯性与协调，并按照受冲突影响的最不发达国家的国家优先事项协调和调整援助。", "32. 优先行动领域的一个显著特点是，每一个优先领域都列有质量及数量目标和具体目标，共计47个。这些目标大体上也符合最不发达国家人均收入、人力资产和经济脆弱性标准。这种均衡办法应可促进对《伊斯坦布尔行动纲领》执行情况的监测和评价。关于贯穿各领域的问题，如转让技术和妇女增权扩能，有关的行动列于具体的分节，也列在其他优先领域，以突出其关键重要性。", "C. 南南合作", "33. 《伊斯坦布尔行动纲领》在南南合作一节反映了国际经济关系中出现的新现实情况。最不发达国家和其他发展中国家在贸易、投资、汇款、金融合作和技术转让等领域的联系更为紧密，为最不发达国家打开了新的机会之窗。发展中国家打算力所能及地支持《伊斯坦布尔行动纲领》的有效实施。在这种情况下，行动纲领还强调，次区域和区域合作对促进最不发达国家的发展可以发挥关键作用。", "D. 脱离名单与平稳过渡", "34. 《伊斯坦布尔行动纲领》还有关于脱离名单与平稳过渡的单独一节，通过确保平稳过渡，鼓励各国摆脱最不发达国家地位。在这方面的措施包括逐步取消最不发达国家得到的好处，避免突然减少，因为这会对他们的可持续发展产生负面影响。为此，已设想成立一个平稳过渡工作组。此外，发展伙伴应将支援最不发达国家的特殊措施延长一段时间，包括由联合国系统提供旅行相关的补助。", "E. 实施、跟进与监测", "35. 会议最终成功与否取决于所有利益攸关方，包括联合国系统能否充分并有效地落实其成果。行动纲领列有在国家、区域和全球各级综合全面的跟进和监测措施，这些措施应该是相辅相成，相互促进的。", "36. 将采取必要的步骤，确保最不发达国家及其发展伙伴根据全球伙伴关系和国家自主权原则相互问责，履行双方所作的承诺。", "37. 国家一级的安排特别重要，国家自主权，国家负责领导，都要由此开始。《伊斯坦布尔行动纲领》呼吁将其规定纳入国家政策和发展框架的主流，并在国家一级在所有利益攸关方的充分参与下进行定期审查。同样，发展伙伴应将《伊斯坦布尔行动纲领》融入他们的合作框架，并监测其承诺的履行。", "38. 在区域一级，应由有关区域委员会和机构进行两年期审查，要邀请区域和次区域组织参加。审查结果将提交全球一级的审查会议，这涉及由大会和经济及社会理事会,包括年度部长级审查和发展合作论坛，监测《伊斯坦布尔行动纲领》的执行情况。最后，将进行一次全面的高级别中期审查。", "三. 结论和建议", "39. 伊斯坦布尔会议明确指出，必须继续重点关注最不发达国家，这些国家已被确定为最弱势的一组国家，最需要获得支助。因此，他们需要得到国际社会包括联合国系统高度优先重视。为了实现《伊斯坦布尔行动纲领》的宏伟目标，所有利益攸关方必须出钱出力，实施商定的优先行动。这些行动应该整体进行，因为他们是相互关联的。", "40. 《伊斯坦布尔行动纲领》请秘书长确保充分动员和协调联合国系统所有部分，在国家、区域和全球各级后续跟进。因此，联合国系统将在所有优先领域和所有各级的实施过程中发挥积极作用。联合国系统，包括各基金和方案，以及布雷顿森林机构和其他多边组织，都应将《伊斯坦布尔行动纲领》纳入其工作方案和战略计划，并协助予以监测、跟进和审查。", "41. 所有利益攸关方都以《伊斯坦布尔行动纲领》作为支援最不发达国家发展努力的指导方针，将能测试行动纲领是否实际有用，这也是相互问责的一个先决条件。因此，必须将行动纲领纳入最不发达国家的国家发展计划和战略的主流。发展伙伴应支持最不发达国家的商定目标和政策，并将行动纲领融入国家的发展和合作框架。他们也应该努力促使不同的政策领域，包括官方发展援助、贸易、外国直接投资、债务和金融领域，连贯一致。", "42. 国际社会必须落实在伊斯坦布尔对八个优先领域已作出的或重新作出的承诺，包括开会审查支援最不发达国家的官方发展援助的量化指标，提高援助质量，改善市场准入，继续提供债务减免，向外国直接投资提供本国奖励办法，加强技术转让，为最不发达国家的创新型企业提供增加优惠的启动资金，以及改善各级治理。南南合作和区域倡议应在各项优先行动的贯彻实施中发挥重要作用。", "43 民间社会组织必须利用其在全球、区域和国家各级的广大外联网，发挥重要作用，并提请各方注意实施《伊斯坦布尔行动纲领》方面的差距、挑战和机遇。他们也应参与有关实施行动纲领的重点宣传，将这些宣传纳入他们的宣导活动。联合国应与民间社会组织和基金会建立伙伴关系，推动实施行动纲领。", "44. 在实施和跟进《伊斯坦布尔行动纲领》方面负有重要显着责任的各国议会必须发挥关键作用，将行动纲领纳入主流，例如按照议会论坛的建议，扩大最不发达国家的议会联络中心制度，帮助他们评估其体制需要，分享政策结论。", "45. 私营部门的潜力，从小农到多国公司，都需要加以利用，这是提高生产能力的关键。这包括扩大私营部门投资、增加外国和本国企业的联系、提倡做良好公司公民等其他问题。", "46. 为了有效和高效实施各项优先行动，还必须考虑到最新的研究结果和最佳做法。因此，应邀请学术界，包括大学和研究机构，提供最新数据信息，以方便政策讨论，同时为循证决策提供咨询意见。", "47. 关于最不发达国家的问题应经常纳入联合国有关会议的议程。此外，联合国的各项举措应突显最不发达国家和他们的各种关切，这包括秘书长全球粮食安全危机高级别工作队，制订负责任农业投资原则，以及作为开拓发展筹资新渠道问题领导小组组成部分的国际金融交易促进发展高级别工作队。", "48. 联合国系统也将支持各项努力，使国际经济体制和结构包容和顺应最不发达国家的特殊发展需要，确保最不发达国家所有各级的有效参与、发言权和代表性。秘书长将继续主张把最不发达国家的有关问题纳入其他重要国际会议的议程，包括纳入20国集团会议的议程。", "49. 此外，在实施《伊斯坦布尔宣言》各项具体决定和《伊斯坦布尔行动纲领》的关键优先领域方面，联合国系统同各会员国合作将可作出贡献，例如可合作进行分析，以建立一个技术库和科学、技术和创新机制。", "50. 《伊斯坦布尔行动纲领》呼吁联合国系统支持在所有各级加强和改进后续跟进和监测。在国家一级，联合国驻地协调员和国家工作队将负责在现有机制的基础上，支持纳入主流、后续跟进和监测的工作。在区域一级，有关区域委员会和机构将同其他利益攸关方合作，对《伊斯坦布尔行动纲领》的实施情况进行两年期审查。国家一级和区域一级的审查都将提供给全球一级的审查参考。", "51. 最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处被授权支持有效跟进和监测《伊斯坦布尔行动纲领》的实施情况，充分动员和协调联合国系统所有各部分，加紧努力协助动员国际支助和资源，以实施行动纲领，并向最不发达国家集团的协商提供支助。此外，将加大宣传和推广活动的力度，以提高公众对实施行动纲领的优先次序的认识，这是有效予以主流化和促使利益攸关方参与的先决条件。", "52. 高级代表办事处还将协调制订各项目的、目标和具体目标的指标和基准。这非常关键，有了这些指标和基准才能有意义地监测《伊斯坦布尔行动纲领》的实施情况。监测工作还应该包括将《伊斯坦布尔行动纲领》纳入主流这个关键问题，因此还应重点关注关键行动，包括在会议上宣布的交付成果的实施情况。", "53. 此外，《伊斯坦布尔行动纲领》呼吁更好地协调国家一级的安排，以及日益以关键利益攸关方为重点，特别是请各国议会和私营部门这样做。由于联合国全系统协调的范围业已扩大，机构间协商小组应当制度化。应高度优先考虑迅速成立平稳过渡工作组，因为脱离名单国家的数目预计在未来数年内将会增加。为了让高级代表办事处能够积极和有效地推动政府、议会、民间社会、私营部门和联合国系统等所有利益攸关方的实施工作，它的能力需要加强。", "54. 总之，国际社会在未来十年只要更加重点关注《伊斯坦布尔行动纲领》的实施、监测和评价，优先关注这组脆弱的国家，一半的最不发达国家就有可能达到可以脱离名单的标准，这样就可以真正改善最不发达国家人民的生活。", "[1] ^(*) A/66/50。", "[2] A/CONF.191/13，第二章。", "[3] 关于会议及其筹备过程的更详细说明见 A/CONF.219/IPC/2,3,4,6,10和A/CONF.219/4号文件。其他资料见会议网站www.un.org/wcm/content/site/ldc/home。", "[4] 见即将印发的会议报告(A/CONF.219/7)；会议的详细日程及其他资料见会议网站www.un.org/wcm/content/site/ldc/home。", "[5] 交付项目详细清单将登载在会议网站www.un.org/wcm/content/site/ldc/home。", "[6] A/CONF.219/3和Rev.1。", "[7] A/CONF.219/L.1。", "[8] A/66/66-E/2011/78。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 23 (a) of the preliminary list*", "Groups of countries in special situations: follow-up to the Fourth United Nations Conference on the Least Developed Countries", "Outcome of the Fourth United Nations Conference on the Least Developed Countries", "Report of the Secretary-General", "Summary", "The present report is submitted pursuant to General Assembly resolution 65/171, in which the Secretary-General was requested to submit to the General Assembly at its sixty-sixth session a report on the outcome of the Fourth United Nations Conference on the Least Developed Countries, which was held in Istanbul from 9 to 13 May 2011. The Conference adopted the Programme of Action for the Least Developed Countries for the Decade 2011-2020 and the Istanbul Declaration. This report focuses on the main elements of the outcome documents and maps out the way forward for the implementation of the Istanbul Programme of Action.", "I. Fourth United Nations Conference on the Least Developed Countries", "1. In its resolution 63/227, the General Assembly decided to convene the Fourth United Nations Conference on the Least Developed Countries at a high level, with the mandate to comprehensively assess the implementation of the Brussels Programme of Action;[1] share best practices and lessons learned, and to identify obstacles and constraints encountered as well as actions and initiatives needed to overcome them; identify new challenges and opportunities for least developed countries; reaffirm the global commitment to address the special needs of the least developed countries; mobilize additional international support measures and actions in favour of the least developed countries; and, formulate and adopt a renewed partnership between the least developed countries and their development partners.", "A. Preparatory process", "2. The General Assembly mandated the Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States as focal point for the preparations of the Conference. The preparatory process was underpinned by a bottom-up approach, starting with country-level preparations feeding into regional- and global-level preparations. The whole United Nations system contributed to the preparatory process coordinated by OHRLLS. A large number of seminars and events were organized, especially a series of 19 pre-conference events, which involved all relevant stakeholders, including Governments, parliamentarians, civil society and private sector representatives. The conclusions and recommendations of those events fed into the draft Istanbul Programme of Action and informed the negotiations of the outcome documents of the Istanbul Conference.[2]", "3. The Secretary-General appointed a Group of Eminent Persons in 2010 consisting of nine members, which was co-chaired by Mr. Konaré, former President of the Republic of Mali and Mr. Wolfensohn, former President of the World Bank. The Group’s report “Compact for Inclusive Growth and Prosperity” sets out a framework for priority actions for least developed countries’ transformation. It concluded that business as usual would not work and that the specific challenges faced by least developed countries needed to be addressed in a new Programme of Action. The report also highlighted that clear, quantifiable targets and the differentiation of responsibilities were crucial for the successful implementation of a new Programme of Action.", "4. For the first time three fully fledged tracks for parliamentarians, civil society and the private sector were organized from the beginning of the preparatory process, namely the parliamentary track, the civil society track and the private sector track. Representatives from all three groups participated in the preparatory process at the national, regional and international levels, contributing to the assessment of the Brussels Programme of Action, especially the development of new priorities and commitments. OHRLLS supported the organization of various meetings in collaboration with other United Nations agencies, dedicated steering committees and the Inter-Parliamentary Union and facilitated the participation of representatives from least developed countries in the preparatory process and the Conference itself, as mandated by the General Assembly in its resolution 65/171.", "5. The negotiation process for a new programme of action for the least developed countries started at the first session of the Intergovernmental Preparatory Committee, which took place from 10 to 14 January 2011. The second session took place from 4 to 8 April 2011. In between the two sessions and until the beginning of the Conference intensive negotiations took place in informal consultations. It was remarkable that the draft Istanbul Programme of Action was largely agreed before the start of the Conference, despite the difficult prevailing economic situation around the world and the lingering effects of the financial and economic crises, especially in traditional donor countries, some of which had to tighten their budgets significantly. In addition, least developed countries and most other countries were affected by new challenges from increasing volatility of international markets to climate change, for which progress on finding sustainable solutions at a global level was slow. At the same time, the outcome of the 2010 summit on the Millennium Development Goals had a positive effect on the negotiations.", "B. Istanbul summit", "6. The Fourth United Nations Conference on the Least Developed Countries had several tracks, with the general debate and the Committee of the Whole as the main intergovernmental forums.[3] In addition, six high-level interactive thematic debates on the main topics relevant for least developed countries’ development and 45 special and side events on various topics relevant to least developed countries were held. The Parliamentary Forum, the Civil Society Forum and a private sector track were organized on the basis of the intensive preparations in the three tracks. Several members of the Group of Eminent Persons attended the Conference. The co‑chair of the Group, Mr. Wolfensohn, and representatives of civil society, the private sector and parliamentarian tracks made statements in the plenary. The Conference was attended by more than 8,900 accredited participants, including 36 Heads of State or Government, 200 parliamentarians, including 10 Speakers of Parliaments, 96 Ministers and 60 heads of the United Nations and other international organizations. More than 1,500 civil society representatives, including from think tanks, and 500 business leaders also participated in the Conference.", "7. In the general debate many speakers noted that the Conference was necessary and timely. They highlighted the importance of a focused approach with new priorities in the new Programme of Action. Commitments should be specific, refining earlier approaches and rebalancing priorities in the light of the experience of the last decade. Real and valuable innovation and improvement could come from better adapting existing international mechanisms and resources to the new agenda emerging in the Istanbul Programme of Action.", "8. The six high-level interactive thematic debates brought together high-level participants in multi-stakeholder discussions on themes that were crucial to shaping the least developed countries’ development strategy in the next decade. The following topics were elaborated on in the debates: enhancing productive capacities and the role of the private sector; resource mobilization for least developed countries’ development and global partnership; harnessing trade for least developed countries’ development and transformation; good governance at all levels; reducing vulnerabilities, responding to emerging challenges, and enhancing food security; and human and social development, gender equality and empowerment of women. The debates helped to build consensus to renew and reinvigorate partnerships and mobilize additional international support measures and actions in favour of least developed countries.", "9. Forty-five special and side events were organized by Member States, United Nations agencies and other related organizations covering a very wide range of subjects of priority interest to least developed countries. These events served as a platform for development partners of the least developed countries to announce initiatives in their support. The close to 100 deliverables range from targeted financial pledges and measures to promote investments to concrete technical cooperation and capacity-building proposals in the area of education and training, and skills development, as well as institutional capacity-building, technology transfer, strengthening of research capacity, knowledge transfer, and the establishment of research and technology institutes. Further projects were launched to help improve data collection and statistical capacity, to provide public information tools and to ensure the monitoring of progress of the Istanbul Programme of Action.[4]", "10. The Parliamentary Forum was held on 8 May 2011, and was the culmination of the activities of the parliamentary track of the Conference. Parliamentarians stressed that the Istanbul Programme of Action must be fully integrated into national development plans to ensure national ownership and therefore its effectiveness. They stressed the need for greater accountability by all partners, both globally and nationally, with least developed countries taking full ownership by leading with examples of good governance and improved South-South cooperation. As good governance is a necessary condition for development, the forum highlighted that parliaments have a crucial role to play in all aspects of the implementation, monitoring and review of the Programme of Action and must be able to exercise their legislative oversight and representative function across the full range of development issues.", "11. The Civil Society Forum covered a wide range of developmental challenges facing the least developed countries and provided an opportunity for dialogue between Member States, specialized agencies, funds and programmes, international governmental organizations and civil society representatives from women’s movements, youth movements, trade unions, peasant federations, media, and human rights defenders. The Civil Society Global Report, which was presented at the Forum, provides an assessment of the implementation of the Brussels Programme of Action from a grass-roots perspective. The central message delivered from civil society is that the current development paradigm should be revisited; there should be a move away from the present market-driven agenda and towards implementing people-centred development policies that require Governments to ensure sustainable livelihoods. Improved governance, particularly a greater emphasis on human rights and gender equality, was among the chief areas of concern. At the conclusion of the Civil Society Forum, civil society organizations issued the Istanbul Declaration, which called on Member States to focus attention on a number of sectors by strengthening investment in agriculture, education, health and information, technology transfer and water and sanitation for all.", "12. The private sector track provided an important opportunity for identifying concrete, action-oriented proposals to address least developed country-specific challenges with regard to private sector development. It marked an important milestone for the United Nations, as it was the first time that the private sector was fully integrated into the programme of a major United Nations Conference, allowing the private sector to make a meaningful contribution to the Conference and its outcome. The private sector track had three interlocking components: the High-level Meeting on Investment and Partnerships, the Global Business Partnership Forum, a multi-stakeholder platform for dialogue among business, investors, Government officials and other stakeholders; and the Trade Fair, which showcased commercial opportunities in the least developed countries. The Business Forum spurred recommendations to Governments for new actions, launched new initiatives and publications, and produced new commitments. New commitments and initiatives emerging from the Forum addressed a variety of areas, including broadband and digital development, supporting stock exchanges in the least developed countries, sustainable tourism and guidance for investment in least developed countries.", "II. Main features of the Istanbul Programme of Action", "13. The Conference adopted the Programme of Action for the Least Developed Countries for the Decade 2011-2020[5] and the Istanbul Declaration,[6] which present the strong political will of all Member States for renewed and strengthened global partnership for least developed countries and fulfil the mandate of the Conference. The Istanbul Programme of Action charts out the vision and the strategy for the sustainable development of least developed countries for the next decade with a strong focus on productive capacity. The broad range of actors that are expected to contribute to the implementation of the Istanbul Programme of Action includes donor countries, developing countries, parliaments, the private sector, civil society, the United Nations system, and international and regional financial institutions.", "14. The Istanbul Programme of Action recognizes that least developed countries represent an enormous human and natural resource potential for world economic growth, welfare and prosperity and that addressing their special development needs will contribute to the cause of peace, prosperity and sustainable development for all. It contains a detailed review of the implementation of the Brussels Programme of Action, which was largely informed by the report of the Secretary-General.[7] Based on the lessons learned, a number of goals and objectives, principles and priority areas for action are set out in the Programme of Action.", "A. Objectives, goals and principles", "15. The overarching goal of the Istanbul Programme of Action is to overcome the structural challenges faced by the least developed countries in order to eradicate poverty and achieve internationally agreed development goals, with a special focus on the Millennium Development Goals. It aims specifically to enable half of the least developed countries to meet the criteria for graduation. This is closely related to the objective to achieve sustained, equitable and inclusive economic growth in least developed countries to at least a level of 7 per cent annually. With the implementation of the right policies and support measures that are spelled out in the Programme of Action and the political will to include it in development strategies by all stakeholders, that can be achieved. In this respect, the strong commitment on mainstreaming the Programme of Action into development strategies of least developed countries and development partners is an important achievement.", "16. The Istanbul Programme of Action focuses on reducing vulnerabilities of least developed countries and addresses new challenges to development, including the effects of the interlinked food, fuel and economic crises and climate change, with a strong focus on structural transformation through increasing productive capacity. It also aims at generating full and productive employment and decent work for all, particularly youth.", "17. A number of principles were agreed upon in the Istanbul Programme of Action that will have far-reaching implications for its implementation. The first principle stresses that the ownership and leadership of and the primary responsibility for their development lies with least developed countries themselves. The principle of a balanced role of the State and market considerations entails a qualitative shift in the development strategy for the next decade emphasizing the active role of the State in the development process.", "18. Further principles include an integrated approach in which the development process in least developed countries should be viewed in a comprehensive and holistic manner; genuine partnership and solidarity; result orientation; an integrated approach towards peace and security, development and human rights; an emphasis on equity at all levels; and the effective participation, voice and representation of least developed countries.", "B. Priority areas", "19. The eight priority areas of the Istanbul Programme of Action, identified during the preparatory process and summarized below, cover all areas relevant for least developed countries’ development in a comprehensive manner. The agreed agenda consists of a significant rebalancing of priorities in favour of investment in the productive sectors of the economy and in building the physical as well as human and social capital. The Programme of Action has a strong focus on productive capacity-building and structural transformation as core elements to achieve more robust, balanced, equitable, and sustainable growth and sustainable development. Least developed countries have committed to undertake 126 actions, the development partners have committed to undertake 102 actions, and 16 actions will be undertaken jointly to implement the priority areas.", "20. Productive capacity. Enhancing productive capacity, as a development multiplier, is the main focus of the Istanbul Programme of Action and is expected to set the tone in all priority areas. As the productive sector remains underdeveloped in most least developed countries, and many of them are still dependent on the export of unprocessed commodities, their ability to produce efficiently is constrained and they are vulnerable to economic shocks, such as commodity price fluctuations. Thus more focus on labour-intensive production is needed to achieve structural transformation of their economies and sustainable poverty reduction.", "21. There is a clear commitment to increase investment in infrastructure and agriculture in line with the national priorities of the least developed countries in order to increase value addition and generate employment. Targets include the significant increase in access to telecommunication services, transport infrastructure and energy supply, including electricity generation through renewable energy sources. Actions in this area are a precondition for the diversification of least developed countries’ economies into production of goods with higher value addition and decent employment like agro-processing, manufacturing or tourism. An upgrading of value chains from exporting mainly raw materials would be an integral element of the diversification strategy.", "22. Concrete provisions for technology transfer were agreed in the Istanbul Programme of Action. Technology transfer is an important factor for innovation in order to increase productivity and enter new markets, which in turn is a precondition for higher value addition and decent employment. Actions in the Programme of Action include undertaking an analysis with the aim of establishing a technology bank and science, technology and innovation mechanisms, which will reduce transaction costs for access to technology. The provision of concessional start-up financing for least developed countries’ firms to invest in new technologies was also agreed.", "23. Agriculture, food security and rural development. As agriculture plays a crucial role in almost all least developed countries in terms of food security and employment, the Istanbul Programme of Action shows a clear preference for revitalizing and diversifying agricultural production in the least developed countries by promoting a holistic approach to expanding employment and national production, raising rural incomes, and achieving a comprehensive approach to food security. Aiming also at increasing investment in rural infrastructure, actions focus on capacity-building, including for agricultural research, as well as safety nets for food emergencies. Support measures focus on small farmers and women farmers whose access to inputs and markets should be strengthened to enable them to avoid malnutrition and shift to high-value products. Furthermore, the Programme of Action calls for the promotion of responsible international investment in agriculture, the elimination of export subsidies for agricultural products, and improvement of the functioning of rural markets.", "24. Trade. It was agreed to seriously work towards creating favourable market access conditions for all products originating in least developed countries, including through the timely implementation of duty-free quota-free market access, on a lasting basis, for all least developed countries, with simple, transparent and predictable rules of origin; and the reduction or elimination of arbitrary or unjustified non-tariff barriers and other trade-distorting measures. This should be done with the aim of doubling the share of least developed countries’ exports in global exports by 2020, including by broadening the export base of least developed countries. Support would focus on promoting subregional and regional cooperation, including export promotion, and improving regional connectivity through trade facilitating measures. Donors also agreed to enhance the share for least developed countries of the aid-for-trade resources and increase support for the Enhanced Integrated Framework.", "25. Commodities. The Istanbul Programme of Action further aims to broaden the economic base of least developed countries in order to reduce commodity dependence, and calls for the establishment of commodity management strategies and strategies to enhance productivity and vertical diversification and to increase value-addition. Development partners committed to assist least developed countries to better mitigate and manage the risks associated with commodity price volatility. The Programme of Action also calls for corporate transparency and accountability of companies, including through the Extractive Industries Transparency Initiative.", "26. Human and social development. In the area of human and social development the commitments to attaining the Millennium Development Goals by 2015 have been reconfirmed in the Istanbul Programme of Action and further progress beyond 2015 in education, health, shelter, sanitation, gender equality and empowerment, and social protection is called for. The Programme of Action focuses on specific issues linking human and social development to increasing productive capacity. Examples for the strong link between the two areas include technical and vocational training, transfer of technology for the local production of medicines, youth employment through apprenticeship programmes, and a supportive environment for private sector investment in housing as well as water and sanitation. While gender equality and women empowerment is still viewed as a cross-cutting issue and thus reflected in all aspects, there is also a dedicated subsection including the commitment of least developed countries to strengthen the role of relevant national mechanisms and scale up resources, as well as to promote effective representation and participation of women in all spheres of decision-making. The establishment and the expansion of social protection systems, which act as stabilizers for the economy and bolster the resilience of the poor, are also encouraged.", "27. Multiple crises and other emerging challenges. The continued vulnerability of least developed countries to economic shocks and natural disasters and the effects of climate change require a renewed focus on resilience. Development partners committed to support least developed countries’ risk mitigation strategies and strengthen their capacities in this respect. As least developed countries need additional, predictable and adequate technical and financial support for climate change adaptation and mitigation, the Istanbul Programme of Action calls for enhancing climate financing provisions, including the early operationalization of the Green Climate Fund, and assisting least developed countries to enhance capacities in clean energy production, trade and distribution, including renewable energy development. To enable least developed countries to deal with the increased scale and scope of natural disasters, the Programme of Action calls for increased public awareness and coherence and decentralization in disaster risk reduction. Development partners committed to support the least developed countries to strengthen their capacity to reduce their vulnerability to natural disasters, including through regional initiatives and sharing of knowledge and expertise.", "28. Mobilizing financial resources for development and capacity-building. Least developed countries committed to creating conditions for attracting investments, mobilizing savings, promoting private sector development and undertaking necessary fiscal reforms. Donors reconfirmed their commitments to ensure the fulfilment of all official development assistance (ODA) commitments to least developed countries, which would result in the doubling of ODA to least developed countries by 2015 from the current amount of $38 billion. The Programme of Action also calls for increased aid quality, including greater priority of ODA for the productive sector. In this respect, the commitment to use country systems as the first option for aid programmes in support of activities managed by the public sector and to provide least developed country Governments with timely information in a transparent manner on annual commitments and disbursements are of special importance. Donor countries also agreed to review their ODA commitments in 2015 and consider further enhancing the resources for least developed countries.", "29. Furthermore, it was agreed to continue debt relief and explore the use of new and improved debt instruments and innovative mechanisms such as debt swaps. This includes the full and timely financing for the implementation of the Heavily Indebted Poor Countries (HIPC) Initiative and the Multilateral Debt Relief Initiative by the development partners and specific debt relief measures for least developed countries that are not HIPC, as well as temporary debt standstills between debtors and all creditors.", "30. It was also agreed to enhance incentives by home countries for investment in least developed countries, including insurance, guarantees and preferential financing programmes, such as export credits, risk management tools, co-financing and venture capital, as well as private enterprise funds. These measures should focus in particular on sectors that are needed to build up a diversified production base and encourage linkages with domestic production activities and employment creation. In addition, efforts to reduce the transaction costs of remittances were agreed as well as the consideration of a system of short-term migration and support for the International Migrants Remittances Observatory for Least Developed Countries.", "31. Good governance at all levels. The goals and targets in the area of governance include strengthening good governance, the rule of law, human rights, gender equality and empowerment of women, and democratic participation, including by enhancing the role of parliaments. Least developed countries committed to continue reforming institutional, legal and regulatory frameworks and the public sector to increase the efficiency and the transparency of service delivery, including the fight against corruption. Furthermore, they agreed to improve their human and institutional capacity, including statistical capacity, and to integrate conflict prevention and resolution into national development plans. Development partners committed to support these efforts especially by providing least developed countries with timely information on annual ODA commitments and disbursements to enable accurate budgeting and accounting, promoting policy coherence and coordination of international financial, trade and development institutions, and harmonizing and aligning assistance with national priorities of least developed countries affected by conflict.", "32. One distinguishing feature of the priority areas for action is that goals and targets, both qualitative and quantitative, are included for each priority area, totalling 47. They are also largely in line with the least developed country criteria of per capita income, human assets and economic vulnerability. This balanced approach should facilitate the monitoring and evaluation of the implementation of the Istanbul Programme of Action. Actions related to cross-cutting issues, such as transfer of technology and empowerment of women, are included in specific subsections as well as in other priority areas to highlight their crucial importance.", "C. South-South cooperation", "33. The Istanbul Programme of Action reflects the new realities that emerged in international economic relations in the section on South-South cooperation. Stronger links between least developed countries and other developing countries in the areas of trade, investment, remittances, financial cooperation and transfer of technology have opened a new window of opportunity for the least developed countries. Developing countries intend to support the effective implementation of the Programme of Action consistent with their capabilities. In this context, the Programme of Action also highlights the critical role subregional and regional cooperation can play in promoting least developed countries’ development.", "D. Graduation and smooth transition", "34. The Istanbul Programme of Action contains a separate section on graduation and smooth transition, with a view to providing incentives for countries graduating from least developed country status through ensuring a smooth transition. Measures in this respect consist of a phasing out of the benefits least developed countries receive in order to avoid any abrupt reductions that could have a negative impact on their sustainable development. A working group on smooth transition is envisaged to this effect. In addition, special support measures to least developed countries should be extended for some time by development partners, including the extension of travel-related benefits by the United Nations system.", "E. Implementation, follow-up and monitoring", "35. The ultimate success of the Conference rests with the full and effective implementation of its outcome by all stakeholders, including the United Nations system. The Programme of Action contains comprehensive follow-up and monitoring measures at national, regional and global levels, which should be mutually complementary and reinforcing.", "36. Necessary steps will be taken to ensure mutual accountability of least developed countries and their development partners for delivering the commitments undertaken by both sides, based on the global partnership and the principle of national ownership.", "37. National-level arrangements are particularly important, as national ownership and leadership have to start there. The Istanbul Programme of Action calls for the mainstreaming of its provisions into national policies and development framework and regular reviews at the country level with the full involvement of all stakeholders. Likewise, development partners should integrate the Istanbul Programme of Action into their cooperation frameworks and monitor the delivery of their commitments.", "38. At the regional level, biennial reviews should be undertaken by relevant regional commissions and agencies, involving regional and subregional organizations. These would feed into reviews at the global level, which would involve monitoring of the implementation of the Programme of Action by the General Assembly and the Economic and Social Council, including in the annual ministerial review and the Development Cooperation Forum. Finally a comprehensive high-level midterm review is envisaged.", "III. Conclusions and recommendations", "39. The Istanbul Conference has made it clear that there is a continued need to focus on least developed countries, which have been identified as the most vulnerable group of countries, most in need of support. Thus they need to be given high priority by the international community, including the United Nations system. In order to achieve the ambitious objectives of the Istanbul Programme of Action, all stakeholders must contribute to implement the agreed priority actions, which should be pursued in a holistic manner, as they are interlinked.", "40. The Istanbul Programme of Action requests the Secretary-General to ensure the full mobilization and coordination of all parts of the United Nations system in the follow-up at the country, regional and global levels. The United Nations system will thus play an active role in the implementation process in all priority areas and at all levels. The United Nations system, including the funds and programmes and the Bretton Woods institutions and other multilateral organizations, should also integrate the Programme of Action into their work programmes and strategic plans and contribute to its monitoring, follow-up and review.", "41. Using the Istanbul Programme of Action as a guideline for development efforts in least developed countries by all stakeholders will be the litmus test for its usefulness and a precondition for mutual accountability. Thus it must be mainstreamed into national development plans and strategies of least developed countries. Development partners should support agreed objectives and policies of least developed countries and integrate the Programme of Action into national development and cooperation frameworks. They should also work to create coherence among different policy areas, including ODA, trade, foreign direct investment, debt and finance.", "42. The international community must implement the commitments that have been made or renewed in Istanbul in the eight priority areas, including meeting and reviewing quantitative ODA targets for least developed countries, improving the quality of aid, improving market access, continuing with the provision of debt relief, providing home country incentives for foreign direct investment, enhancing transfer of technology, providing enhanced concessional start-up financing for innovative enterprises in least developed countries and improving governance at all levels. South-South cooperation and regional initiatives should play an important role in the implementation of the priority actions.", "43. Civil society organizations must use their wide reach at the global, regional and national levels and play a major role in drawing attention to gaps, challenges and opportunities in the implementation of the Istanbul Programme of Action. They should also be involved in focused campaigns on issues relevant to the implementation of the Programme of Action, which should be integrated into their advocacy activities. The United Nations should build on its partnerships with civil society organizations and foundations to advance the implementation of the Programme of Action.", "44. Parliaments, which are given a prominent role in the implementation and follow-up of the Istanbul Programme of Action, must play a key role in the mainstreaming of the Programme of Action, for example, by expanding a system of focal points within least developed country parliaments to help them assess their institutional needs and share policy findings, as recommended at the Parliamentary Forum.", "45. The potential of the private sector, ranging from small-scale farmers to multinational corporations, which is key to increasing productive capacity, needs to be harnessed. This includes scaling up of private sector investment, increasing linkages between foreign and domestic firms, and good corporate citizenship, among other issues.", "46. For the effective and efficient implementation of the priority actions it is also necessary to take into account recent research findings and best practices. Thus academia, including universities and research institutions, should be invited to generate up-to-date information that can facilitate policy discussions and advice for evidence-based decision-making.", "47. Least developed country issues should be regularly included in the agendas of relevant United Nations meetings. In addition, least developed countries and their concerns should figure prominently in United Nations initiatives, such as the Secretary-General’s High-level Task Force on the Global Food Security Crisis, the development of principles for responsible agricultural investment, and the High-level Taskforce on International Financial Transactions for Development, which is part of the Leading Group on Innovative Financing for Development.", "48. The United Nations system will also support efforts to make the international economic system and architecture inclusive and responsive to the special development needs of least developed countries, ensuring their effective participation, voice and representation at all levels. The Secretary-General will continue to advocate for issues relevant to least developed countries to be included in the agendas of other key international meetings, including the Group of Twenty meetings.", "49. Furthermore, the United Nations system, in cooperation with Member States, will contribute to the implementation of concrete decisions in the Istanbul Declaration and the Istanbul Programme of Action in key priority areas; for example, to undertake an analysis with the aim of establishing a technology bank and science, technology and innovation mechanisms.", "50. The Istanbul Programme of Action calls for the support of the United Nations system for strengthened and improved follow-up and monitoring at all levels. At the national level the United Nations Resident Coordinators and country teams will be tasked to support the mainstreaming, follow-up and monitoring, building on existing mechanisms. At the regional levels the relevant regional commissions and agencies will undertake the biennial reviews of the implementation of the Programme of Action in collaboration with other stakeholders. These national and regional level reviews will feed into the global review.", "51. OHRLLS was mandated to support the effective follow-up and monitoring of the implementation of the Istanbul Programme of Action and the full mobilization and coordination of all parts of the United Nations system, step up its efforts to assist in the mobilization of international support and resources for the implementation of the Programme of Action and provide support to least developed country group consultations. Furthermore, it will intensify its advocacy and outreach activities in order to raise public awareness about the priorities for the implementation of the Programme of Action, which is a precondition for its effective mainstreaming and stakeholder involvement.", "52. OHRLLS will also coordinate the establishment of indicators and baselines for the objectives, goals and targets, which are crucial for meaningful monitoring of the implementation of the Istanbul Programme of Action. Monitoring should also include the crucial issue of mainstreaming the Programme of Action and thus also focus on the implementation of key actions, including the deliverables announced at the Conference.", "53. In addition, the Istanbul Programme of Action calls for improved coordination of national-level arrangements and an increasing focus on key stakeholders, especially on the part of parliaments and the private sector. As the scope for United Nations system-wide coordination has been broadened, the inter-agency consultative group should be institutionalized. High priority should be given to the rapid establishment of a working group on smooth transition, as the number of graduating countries is expected to increase in the coming years. To allow OHRLLS to vigorously and effectively pursue implementation efforts involving all stakeholders, including governments, parliaments, civil society, the private sector and the United Nations system, its capacity needs to be strengthened.", "54. In conclusion, with a much stronger focus on implementation, monitoring and evaluation of the Istanbul Programme of Action and giving priority to this group of vulnerable countries by the international community over the next decade, it is possible that half of the least developed countries will reach the graduation criteria and to make a real difference in the lives of people living in least developed countries.", "[1] A/CONF.191/13, chap. II.", "[2] A more detailed account of the Conference and its preparatory process is contained in documents A/CONF.219/IPC/2, 3, 4, 6, 10 and A/CONF.219/4. Further information is available on the Conference website at www.un.org/wcm/content/site/ldc/home.", "[3] See the forthcoming report of the Conference (A/CONF.219/7); a detailed programme of the Conference and additional information are available at the Conference website: www.un.org/wcm/content/site/ldc/home.", "[4] A detailed list of deliverables will be made available on the Conference website, at www.un.org/wcm/content/site/ldc/home.", "[5] A/CONF.219/3 and Rev.1.", "[6] A/CONF.219/L.1.", "[7] A/66/66-E/2011/78." ]

[ "Sixty-sixth session", "Item 23 (a) of the preliminary list of items", "Groups of countries in special situations: follow-up to the Fourth United Nations Conference on the Least Developed Countries", "Outcome of the Fourth United Nations Conference on the Least Developed Countries", "Report of the Secretary-General", "Summary", "The present report is submitted pursuant to General Assembly resolution 63/271, in which the Assembly requested the Secretary-General to submit to it at its sixty-sixth session a report on the outcome of the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011. The Conference adopted the Programme of Action for the Least Developed Countries for the Decade 2011-2020 and the Istanbul Declaration. The present report highlights the main elements of the outcome document and outlines the way forward in implementing the Istanbul Programme of Action.", "Fourth United Nations Conference on the Least Developed Countries", "In its resolution 63/227, the General Assembly decided to convene a fourth high-level United Nations Conference on the Least Developed Countries with a mandate to fully assess the implementation of the Brussels Programme of Action [2]; share best practices and lessons learned, identify obstacles and constraints encountered and actions and initiatives needed to overcome those obstacles and constraints; identify new challenges and new opportunities faced by least developed countries; reaffirm global commitments to address the special needs of the least developed countries; mobilize international support measures and actions dumping to the least developed countries; develop and implement new partnerships between the least developed countries and their development partners.", "Preparatory process", "The General Assembly authorized the Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States to coordinate the preparations for the Conference. The preparatory process is largely based on bottom-up approaches, starting with country-level preparations, which will be compiled by regional and global preparations. The United Nations system as a whole contributed to the preparatory process coordinated by the Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States. A large number of seminars and events were organized, in particular a series of 19 pre-session events, involving all stakeholders, including Governments, parliaments, civil society and the private sector. The conclusions and recommendations of those activities were provided to the draft Istanbul Programme of Action and for reference to negotiations on the outcome document of the Istanbul Conference. [3]", "In 2010, the Secretary-General appointed a Panel of Eminentities, nine members, co-chaired by Mr. Konanare, former President of the Republic of Mali, and former President of the World Bank. The Panel's report “An inclusive Growth and Prosperity Pact” presents a priority framework for action to reform the least developed countries. It concluded that, as usual, the specific challenges faced by the least developed countries needed to be addressed by a new programme of action. The report also highlights that clear and measurable goals and division of labour are key to successful implementation of the new Programme of Action.", "From the outset, the preparatory process will provide for the full implementation of three orbits: parliamentary orbit, civil society orbit and private sector orbits. That was never the case. All three groups of representatives participated in the preparatory process at the national, regional and international levels to assist in the evaluation of the Barbados Programme of Action, in particular the development of new priorities and commitments. The Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States supports the holding of meetings in cooperation with other United Nations agencies, specialized steering committees and the Inter-Parliamentary Union, while promoting the participation of least developed countries in the preparatory process and in the Conference itself, in accordance with General Assembly resolution 60/1.", "The first Intergovernmental Preparatory Committee meeting, held from 10 to 14 January 2011, started the process of negotiating new programmes of action for least developed countries. The second session was held from 4 to 8 April 2011. There were intensive negotiations between the two sessions until the start of the meeting. It would be interesting to note that, despite the difficult economic situation around the world, the financial and economic crisis has continued to have an impact, particularly on traditional donor countries, some of which have also made a significant and tight budget, and that the draft Istanbul Programme of Action has reached an agreement broadly before the Conference began. In addition, since the international market is increasingly volatile as a result of climate change, the least developed countries and most other countries are affected by the slow progress in finding sustainable solutions at the global level. At the same time, the outcome of the 2010 Millennium Development Goals summit has had a positive role in the negotiations.", "Istanbul Summit", "The fourth United Nations Conference on the Least Developed Countries was held on several tracks, with the general debate and the Committee of the Whole being the main intergovernmental forum. [4] In addition, six high-level interactive thematic debates were held on various themes related to the development of the least developed countries, as well as 45 special events and side events on various topics in the least developed countries. On the basis of intensive preparations for the three tracks, parliamentary forums, civil society forums and a private sector orbit activities were held. Several members of the Panel were represented. The panellists, Mr. Wolfensson, civil society, the private sector and representatives of parliamentary orbits, made statements at the plenary meeting. There were more than 8,900 participants, of which 36 Heads of State or Government, 200 parliamentarians (including 10 speakers), 96 ministers and 60 heads of United Nations agencies and other international organizations. More than 1,500 representatives of civil society, including representatives from think tanks, and 500 business leaders participated.", "In the general debate, many speakers noted that the meeting was necessary and timely. They stressed the importance of a focused approach to focus on new priorities of the new Programme of Action. Commitments should be specific and should be adapted to the priorities, taking into account the experience of the past decade, to improve early approaches. Real and valuable innovation and improvement are likely to be achieved if existing international mechanisms and resources are better adapted to the new agenda set out in the Istanbul Programme of Action.", "Six high-level interactive thematic debates brought together high-level participants to engage in multi-stakeholder discussions on key themes for shaping the least developed country development strategies for the next decade. The following themes were addressed in the debate: enhancing productive capacities and the role of the private sector; mobilizing resources for the development and global partnership of the least developed countries; harnessing trade for the development and reform of the least developed countries; implementing good governance at all levels; reducing vulnerability, responding to new challenges and enhancing food security; human and social development, gender equality and empowerment of women. The debate has helped to build consensus, restore and revitalize partnerships and mobilize more international support measures and actions that politicize the least developed countries.", "Forty-five special events and side events are organized by Member States, United Nations agencies and other relevant organizations, covering various topics of priority concern to least developed countries. These activities serve as a platform for least developed country development partners to announce their support initiatives. Nearly 100 delivery results, including clear financial commitments and measures from the goal of investment promotion, to education and training, skills development, and institutional capacity-building, technology transfer, enhancement of research capacity, knowledge transfer, establishment of research and technology institutions, and specific technical cooperation and capacity-building proposals. Other projects were also launched to help improve data collection and statistical capacity, provide public information tools to ensure monitoring progress in the implementation of the Istanbul Programme of Action. [5]", "The parliamentary forum was held on 8 May 2011, which was the culmination of the parliamentary orbit. parliamentarians stressed that the Istanbul Programme of Action must be fully integrated into national development plans to ensure national ownership, thereby ensuring the effectiveness of the Programme of Action. They stressed that all global and national partners need greater accountability, while the least developed countries are fully homeowners, lead in vertical paradigms, good governance and improve South-South cooperation. Good governance is a necessary condition for development, and the Forum stresses that Parliament should play a key role in all aspects of the implementation, monitoring and review of the Programme of Action and that it must be able to exercise legislative oversight and representational functions for all aspects of development.", "The Civil Society Forum covers a wide range of development challenges faced by least developed countries and provides opportunities for dialogue among Member States, specialized agencies, funds and programmes, intergovernmental international organizations and women's movements, youth movements, trade unions, civil society representatives of farmers' associations, the media and human rights defenders. The Global Report on Civil Society presented at the Forum evaluated the implementation of the Barbados Programme of Action from a grass-roots perspective. The main message from civil society is that the current development paradigm should be revisited: moving from the current market-led agenda to people-centred development policies, and in order to implement such policies, Governments must ensure sustainable livelihoods. Improving governance, particularly with regard to human rights and gender equality, is a major area of concern. At the end of the Civil Society Forum, civil society organizations issued the Istanbul Declaration and called on Member States to focus on sectors to increase investment in agriculture, education, health and information, technology transfer and water and sanitation facilities for all.", "The private sector track provides an important opportunity to identify specific and action-oriented recommendations that address the special challenges faced by the least developed countries through the development of the private sector. This is an important milestone for the United Nations, as it first fully integrates the private sector into major United Nations conferences and makes a meaningful contribution to the Conference and its outcomes. The private sector tracks have three interrelated components: high-level meetings on investment and partnerships; the Global Business Partnership Forum, which brings together a multi-stakeholder dialogue platform for businesses, investors, government officials and other stakeholders; and the trade facilitation talks, which show opportunities for business in the least developed countries. The Business Forum has facilitated various proposals to enable Governments to take new actions to launch new initiatives and publications and to generate new commitments. New commitments and new initiatives emerging in the Forum relate to a number of areas, including bandwidth and digitization development, support for portfolio transactions in the least developed countries, sustainable tourism and investment guidance for the least developed countries.", "Key elements of the Istanbul Programme of Action", "The Conference adopted the Programme of Action for the Least Developed Countries for the period 2011-2020 [6] and the Istanbul Declaration, in which [7] the strong political will of all Member States to update and strengthen the global partnership in support of the least developed countries and to follow up on the mandate of the Conference. The Istanbul Programme of Action identifies the vision and strategy for the sustainable development strategy for the least developed countries for the next decade, with a focus on productive capacities. All actors, including donor countries, developing countries, parliaments, the private sector, civil society, the United Nations system and international and regional financial institutions, are expected to contribute to the implementation of the Istanbul Programme of Action.", "The Istanbul Programme of Action recognizes that the least developed countries have great human and natural resources potential that can contribute to world economic growth, welfare and prosperity and address the special development needs of the least developed countries will also contribute to peace, prosperity and sustainable development for all. It reviewed in detail the implementation of the Brussels Programme of Action, mainly from the Secretary-General's report. [8] In accordance with lessons learned, the Programme of Action lists a number of objectives and purposes, principles and priority areas of action.", "Purpose, objectives and principles", "The overall objective of the Istanbul Programme of Action is to overcome structural challenges faced by the least developed countries in order to eradicate poverty and to achieve the internationally agreed development goals, with a particular focus on achieving the Millennium Development Goals. The target is to bring half of the least developed countries into line with the graduation criteria. This is closely related to the achievement of sustained, fair and inclusive economic growth by the least developed countries, at least 7 per cent of the annual growth targets. As long as the follow-up to the correct policies and enabling measures set out in the Istanbul Programme of Action is implemented, the objectives set out above can be agreed upon, as long as the political will of all stakeholders is to integrate the Programme of Action into their development strategies. In that regard, the firm commitment to mainstreaming the Istanbul Programme of Action into development strategies for least developed countries and development partners is an important achievement.", "The Istanbul Programme of Action focuses on reducing the vulnerability of least developed countries and addressing new challenges in the development process, including the interrelated food crises, fuel crises and economic crises and the impacts of climate change, with a renewed focus on structural reform through improved productive capacities. The Programme of Action is also aimed at creating full and productive employment and achieving decent work for all, in particular adolescents.", "In the Istanbul Programme of Action, a number of principles were agreed that their implementation would have far-reaching implications. The first principle emphasizes that least developed countries should be at home, lead their own development and bear the primary responsibility. The principle of balanced national roles and market factors will lead to a qualitative transformation into development strategies for the next decade, which will highlight the positive role of the State in the development process.", "Other principles include a holistic and holistic approach to the development processes of the least developed countries; genuine partnerships and solidarity; results-oriented; integrated approaches to peace and security, development and human rights; emphasis on equity at all levels; and effective participation, voice and representation of the least developed countries.", "Priority areas", "The eight priority areas of the Istanbul Programme of Action are outlined below, which are identified in the preparatory process and comprehensively cover all areas related to the development of the least developed countries. The agreed agenda includes a strong alignment of priorities, advocating investments in the economic productive sectors, building physical facilities and human and social capital. The Istanbul Programme of Action strongly focuses on productive capacity-building and structural transformation as a central element for achieving stronger, balanced, equitable and sustainable growth and sustainable development. In order to implement priority areas, the least developed countries have committed 126 actions, and development partners are committed to 102 actions and 16 will be jointly undertaken.", "Productive capacities. Improving productive capacities, as a multiplier effect for development, is the main focus of the Istanbul Programme of Action and is expected to create a basis for all priority areas. As most productive sectors of the least developed countries still lagging behind, many of them depend on exports of unprocessing commodities, their ability to produce effectively is constrained and vulnerable to economic shocks such as commodity price fluctuations. There is therefore a need to focus more on the development of labour-intensive production to achieve economic transformation and sustainable poverty reduction.", "There was a clear commitment to increase investment in infrastructure and agriculture in line with the national priorities of the least developed countries to increase value added and create jobs. The objectives include increased access to telecommunications services, transport infrastructure and energy supplies, including the use of renewable energy sources. Action in this area is a prerequisite for diversifying the economies of the least developed countries to produce high-value commodities and to create decent employment, such as agro-industries, manufacturing or tourism. The value chain for the current major export of raw materials will be upgraded as an essential component of a diversification strategy.", "Specific provisions on technology transfer were agreed in the Istanbul Programme of Action. Technology transfer is an important element of innovation to increase productivity and access to new markets, in turn a prerequisite for improving value added and creating decent employment. Actions included in the Istanbul Programme of Action included an analysis to establish a technical base and a mechanism for science, technology and innovation, which would help to reduce the transaction costs of access to technology. It was also agreed to provide concessional start-up funds to finance the least developed countries investing in new technologies.", "Agriculture, food security and rural development. As agriculture plays a crucial role in food security and employment in almost all least developed countries, the Istanbul Programme of Action has a clear tendency to revitalize and diversify agricultural production in the least developed countries by promoting a comprehensive approach to expanding employment and national production, increasing the income of farmers and adopting a comprehensive food security approach. In order to increase investment in rural infrastructure, action has also focused on capacity-building, including agricultural research, and safety nets for food emergencies. Support measures focus on small farmers and women farmers and should enhance their access to inputs and markets to avoid malnutrition and to produce high-value products. In addition, the Istanbul Programme of Action calls for the promotion of responsible international investment, the elimination of export subsidies for agricultural products and the improvement of the functioning of rural markets.", "Trade. It was agreed that serious efforts should be made to create favourable market access conditions for all products originating in the least developed countries, including through the continued application of duty-free and quota-free market access for all least developed countries, the adoption of simple, transparent and predictable rules of origin, and the reduction or elimination of arbitrary or unjustifiable non-tariff barriers and other trade-distorting measures. The objective of this work should be to double the global share of exports of least developed countries by 2020, including the expansion of the export base of least developed countries. The focus is on promoting subregional and regional cooperation, including through trade facilitation measures, for export promotion and regional connectivity. Donors also agreed to expand the share of trade aid resources for least developed countries and to increase support for the concessionary integrated framework.", "Commodities. The Istanbul Programme of Action is also aimed at broadening the economic base of the least developed countries in order to reduce reliance on commodities, and calls for the establishment of commodity management strategies and strategies to increase productivity and vertical diversification and add value. Development partners are committed to assisting the least developed countries to better mitigate and manage risks associated with commodity price fluctuations. The Istanbul Programme of Action also requires transparency and accountability among companies, including through the Extractive Industries Transparency Initiative.", "Human and social development. In the area of human and social development, the Istanbul Programme of Action has reaffirmed its commitment to achieving the Millennium Development Goals by 2015 and calls for further progress in education, health, housing, health, gender equality and the empowerment of women to extend to social protection by 2015. The Programme of Action focuses on specific issues linked to human and social development to enhance productive capacities. Examples of close links between the two areas include technical and vocational training, technology transfer assistance for local production of medicines, promotion of youth employment through apprenticeship programmes, and the creation of an enabling environment for private sector investment in housing, water and sanitation. While gender equality and the empowerment of women are still seen as cross-cutting issues, it is reflected in all aspects, the commitment of the least developed countries is specifically included in a subsection to strengthen the role of relevant national mechanisms, increase resources and promote the effective participation of women representatives in decision-making in all areas. It was also encouraged to establish and expand social protection systems that would help stabilize the economy and strengthen the resilience of the poor.", "Multiple crises and other emerging challenges. The least developed countries are still vulnerable to economic shocks and natural disasters, as well as climate change, and need to focus their resilience. Development partners are committed to supporting least developed countries' risk mitigation strategies and strengthening their capacities in this regard. As least developed countries need additional, predictable and adequate technical and financial support to adapt and mitigate the impacts of climate change, the Istanbul Programme of Action calls for strengthening climate financing provisions, including promoting the early functioning of the Green Climate Fund and assisting least developed countries in strengthening their capacities to produce, sell and allocate clean energy, including the development of renewable energy. In order to enable the least developed countries to cope with scale and scale-up natural disasters, the Istanbul Programme of Action calls for greater public awareness in disaster risk reduction, greater coherence and delegation of authority. Development partners are committed to supporting least developed countries in strengthening their capacities, including through regional initiatives and sharing knowledge and expertise to reduce their vulnerability to natural disasters.", "Mobilization of financial resources for development and capacity-building. The least developed countries are committed to creating conditions to attract investment, mobilize savings, promote private sector development and take the necessary fiscal reform measures. Donors reconfirm their commitment to ensure that ODA commitments to least developed countries are met by 2015, which will double the current ODA income of $3.8 billion. The Istanbul Programme of Action also calls for improved quality of assistance, including more priority for ODA in support of productive sectors. In this regard, it is particularly important to support assistance programmes administered by the public sector, and to commit to the first use of national institutions to implement them and to provide, in a transparent manner, information on annual commitments and disbursements to the least developed countries Governments. Donor countries also agreed to review their ODA commitments in 2015 and to consider further enhancing the resources available to the least developed countries.", "In addition, it was agreed to continue debt relief and to explore innovative mechanisms such as the use of new and improved debt securities and debt swing arrangements. This includes adequate and timely financing by development partners for the implementation of the Heavily Indebted Poor Countries Initiative and the Multilateral Debt Relief Initiative, the implementation of specific debt relief measures for least developed countries that are not heavily indebted poor countries, as well as the temporary freezing of debt between debtors and creditors.", "The Meeting also agreed to strengthen national investment initiatives in the least developed countries, including insurance, security and concessional financing programmes, such as the provision of export credit, risk management tools, joint financing and venture capital, and private enterprise funds. These measures should focus in particular on the establishment of a diversified production base and encourage linkages with domestic production activities and employment creation. In addition, it was agreed to work to reduce the cost of remittances, as well as to consider the establishment of a short-term immigration system to support the International Observatory of Emissions serving the least developed countries.", "Good governance at all levels. The objectives and targets in the area of governance include strengthening good governance, the rule of law, human rights, gender equality and women's empowerment, as well as democratic participation, including strengthening the role of parliaments. The least developed countries pledged to continue to reform the institutional, legal and regulatory framework, and public sector commitments to increase efficiency and transparency in the provision of services, including the fight against corruption. In addition, they agreed to enhance human and institutional capacities, including statistical capacity, and to integrate conflict prevention and resolution into national development plans. Development partners are committed to supporting these efforts, in particular by providing the least developed countries with timely information on annual ODA commitments and disbursements, so that they can accurately prepare budgets and perform accounting, promote coherence and coordination in international financial, trade and development institutional policies and coordinate and adapt aid in line with national priorities of the affected least developed countries.", "One notable feature in the priority area of action is that each priority area includes qualitative and quantitative goals and targets with a total of 47. These goals are generally in line with the least developed country per capita income, manpower assets and economic vulnerability standards. Such a balanced approach should facilitate monitoring and evaluation of the implementation of the Istanbul Programme of Action. With regard to cross-cutting issues, such as technology transfer and empowerment of women, the actions related are included in specific subsections and in other priority areas to highlight their critical importance.", "C. South-South cooperation", "The Istanbul Programme of Action reflects new realities in international economic relations in a section of South-South cooperation. The linkages between least developed countries and other developing countries in the areas of trade, investment, remittances, financial cooperation and technology transfer have created new windows for least developed countries. Developing countries intend to support, as appropriate, the effective implementation of the Istanbul Programme of Action. In this context, the Programme of Action also emphasizes that subregional and regional cooperation can play a key role in promoting the development of least developed countries.", "D. Liveness and smooth transition", "The Istanbul Programme of Action also includes a separate section on the transition from the list of secession and stability, encouraging countries to emerge from the least developed countries by ensuring a smooth transition. Measures in this regard include the progressive elimination of the benefits of the least developed countries and the avoidance of abrupt decrease, which would negatively affect their sustainable development. To that end, a smooth transition working group has been envisaged. In addition, development partners should extend special measures to support least developed countries for a period of time, including the provision of travel-related subsidies by the United Nations system.", "E. Implementation, follow-up and monitoring", "The ultimate success of the Conference depends on the full and effective implementation of its outcomes by all stakeholders, including the United Nations system. The Programme of Action includes comprehensive follow-up and monitoring measures at the national, regional and global levels that should be complementary and mutually reinforcing.", "The necessary steps will be taken to ensure that least developed countries and their development partners are accountable for each other in accordance with the principles of global partnership and national ownership and that they fulfil their commitments.", "Arrangements at the national level are particularly important, national ownership, and national ownership is responsible for leadership. The Istanbul Programme of Action calls for mainstreaming its provisions into national policy and development frameworks and conducting regular reviews at the national level with the full participation of all stakeholders. Similarly, development partners should integrate the Istanbul Programme of Action into their cooperation frameworks and monitor the implementation of their commitments.", "At the regional level, biennial reviews should be conducted by the relevant regional commissions and bodies, with the participation of regional and subregional organizations. The outcome of the review will be presented at the global level, covering the implementation of the Istanbul Programme of Action by the General Assembly and the Economic and Social Council, including the annual ministerial review and the Development Cooperation Forum. Finally, a comprehensive high-level midterm review will be conducted.", "Conclusions and recommendations", "The Istanbul Conference made it clear that the need to continue to focus on the least developed countries, which have been identified as the most vulnerable group of countries and require support. They therefore need to attach high priority to the international community, including the United Nations system. In order to achieve the ambitious goals of the Istanbul Programme of Action, all stakeholders must make money and implement agreed priority actions. These actions should be carried out as a whole, as they are interlinked.", "The Istanbul Programme of Action requested the Secretary-General to ensure adequate mobilization and coordination of all parts of the United Nations system and follow-up at the national, regional and global levels. Therefore, the United Nations system will play an active role in the implementation of all priority areas and at all levels. The United Nations system, including funds and programmes, as well as the Bretton Woods institutions and other multilateral organizations, should incorporate the Istanbul Programme of Action into its work programmes and strategic plans and assist in monitoring, follow-up and review.", "All stakeholders, in accordance with the Istanbul Programme of Action as a guide to support the development efforts of the least developed countries, will be able to test the usefulness of the Programme of Action, which is also a prerequisite for mutual accountability. It is therefore important to mainstream the Programme of Action into the national development plans and strategies of the least developed countries. Development partners should support the agreed goals and policies of the least developed countries and integrate the Programme of Action into national development and cooperation frameworks. They should also strive to promote coherence in different policy areas, including official development assistance, trade, foreign direct investment, debt and financial areas.", "The international community must follow up on the commitments made or renewed in Istanbul for eight priority areas, including meeting to review the quantitative indicators of ODA for the least developed countries, improve the quality of aid, continue to provide debt relief, provide foreign direct investment with national incentives, strengthen technology transfer, provide concessional start-up funds for innovative enterprises in the least developed countries and improve governance at all levels. South-South and regional initiatives should play an important role in the implementation of priority actions.", "Civil society organizations must take advantage of their wide-ranging networking at the global, regional and country levels and play an important role, drawing attention to gaps, challenges and opportunities in the implementation of the Istanbul Programme of Action. They should also be involved in a focus on the implementation of the Programme of Action, which incorporates them into their advocacy activities. The United Nations should build partnerships with civil society organizations and foundations to promote the implementation of the Programme of Action.", "National parliaments with significant responsibilities in the implementation and follow-up to the Istanbul Programme of Action must play a key role in mainstreaming the Programme of Action, such as through the expansion of the parliamentary focal points in the least developed countries, as recommended by the Forum, to help them assess their institutional needs and share policy conclusions.", "The potential of the private sector, from small farmers to multinational companies, needs to be exploited, which is key to enhancing productive capacities. This includes the expansion of private sector investment, the increased linkage between foreign and national enterprises, and the promotion of other issues such as well-coordinated corporate citizens.", "In order to effectively and efficiently implement priority actions, the latest findings and best practices must also be taken into account. Therefore, academia, including universities and research institutions, should be invited to provide up-to-date data to facilitate policy discussions while providing advice on evidence-based decision-making.", "The issue of least developed countries should be regularly included in the agenda of the relevant United Nations meetings. In addition, United Nations initiatives should highlight the concerns of the least developed countries and of them, including the Secretary-General's High-level Task Force on the Global Food Security Crisis, the development of the principle of responsible investment in agriculture and the high-level task force on international financial transactions for development as part of the Leading Group on New Sources for Financing for Development.", "The United Nations system will also support efforts to bring the international economic system and structure into line with the special development needs of the least developed countries and to ensure effective participation, voice and representation at all levels of the least developed countries. The Secretary-General will continue to advocate for the inclusion of the relevant issues of the least developed countries in the agenda of other important international conferences, including in the agenda of the Group of Twenty.", "In addition, in the implementation of the specific decisions of the Istanbul Declaration and key priority areas of the Istanbul Programme of Action, the United Nations system, in cooperation with Member States, will contribute, for example, through an analysis of cooperation to establish a technical base and scientific, technological and technological mechanisms.", "The Istanbul Programme of Action calls upon the United Nations system to support enhanced and improved follow-up and monitoring at all levels. At the national level, the United Nations Resident Coordinator and the country team will be responsible for supporting the mainstreaming, follow-up and monitoring efforts based on existing mechanisms. At the regional level, the relevant regional commissions and agencies will undertake biennial reviews of the implementation of the Istanbul Programme of Action, in cooperation with other stakeholders. Reviews at the national and regional levels will be made available to the global level review reference.", "The Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States was mandated to support the effective follow-up and monitoring of the implementation of the Istanbul Programme of Action, to fully mobilize and coordinate all parts of the United Nations system, to intensify efforts to mobilize international support and resources to implement the Programme of Action and to support consultations among the least developed country groups. In addition, awareness-raising and outreach activities will be strengthened to raise public awareness of the priorities for the implementation of the Programme of Action, which is a prerequisite for effective mainstreaming and engaging stakeholders.", "The Office of the High Representative will also coordinate the development of indicators and benchmarks for the purposes, objectives and targets. This is crucial, with the indicators and benchmarks that can meaningfully monitor the implementation of the Istanbul Programme of Action. Monitoring should also include mainstreaming the Istanbul Programme of Action as a key issue and should therefore focus on key actions, including the implementation of delivery results announced at the Conference.", "In addition, the Istanbul Programme of Action calls for better coordination of arrangements at the national level and increased focus on key stakeholders, in particular parliaments and the private sector. As the scope of United Nations system-wide coordination has been expanded, the Inter-Agency Consultative Group should be institutionalized. High priority should be given to the rapid establishment of a smooth transition working group, as the number of countries that are separated from the list is expected to increase in the coming years. In order to enable the Office of the High Representative to actively and effectively promote the implementation of all stakeholders, such as the Government, Parliament, civil society, the private sector and the United Nations system, its capacity needs to be strengthened.", "In summary, the international community has given priority to the implementation, monitoring and evaluation of the Istanbul Programme of Action over the next decade, with half of the least developed countries having the potential to meet the criteria that can be removed so that the lives of the least developed countries can be truly improved.", "A/66/50.", "[2] A/CONF.191/13, chap.", "[3] For more detailed information on the Conference and its preparatory process, see documents A/CONF.219/IPC/2, 3, 4, 6, 10 and A/CONF.219/4. Other information is available on the website of the Conference at www.un.org/wcm/content/site/ldc/home.", "[4] See the upcoming report on the session (A/CONF.219/7); the detailed schedule of meetings and other information are available on the website of the Conference at www.un.org/wcm/content/site/ldc/home.", "[5] The detailed list of delivery projects will be posted on the website of the Conference at www.un.org/wcm/content/site/ldc/home.", "[6] A/CONF.219/3 and Rev.1.", "[7] A/CONF.219/L.1.", "[8] A/64/26-Ench78." ]

[ "第六十六届会议", "^(*) A/66/50。", "临时议程^(*) 项目140", "人力资源管理", "关于2010年7月1日至2011年6月30日期间秘书长处理纪律问题和可能犯罪行为的做法", "秘书长的报告", "摘要 本报告是应大会第59/287号决议第16段的要求提交的，该段要求每年向各会员国通报对不当行为和(或)犯罪行为已获证实的案件采取的所有行动、按既定程序和条例采取的纪律行动和酌情采取的法律行动。本报告所涉期间为2010年7月1日至2011年6月30日。 \n 请大会注意本报告。", "一. 导言", "1. 本报告是应大会第59/287号决议第16段的要求提交的，该段要求每年向各会员国通报对不当行为和(或)犯罪行为已获证实的案件采取的所有行动、按既定程序和条例采取的纪律行动和酌情采取的法律行动。本报告所涉期间为2010年7月1日至2011年6月30日。", "2. 按照第59/287号决议第17段的要求，将发布一份通知，向本组织所有工作人员通报不当行为和(或)犯罪行为的最常见例子及就此采取的纪律行动，包括任何法律行动，但适当注意保护有关工作人员的隐私。", "3. 下文第二节概述了新系统的纪律问题行政机制，以便理解第三节和第四节所载信息的来龙去脉。第三节概述了秘书长在本报告期间对之采取一项或多项纪律措施的案件。第四节列出了表明在本报告期间提交对之采取行动的案件数的比较数据，并说明对在本报告期间结案的所有案件的处理情况，包括没有对之采取纪律措施的案件。第五节说明了秘书长对可能属于犯罪行为的案件的做法。", "二. 新的内部司法系统的纪律问题行政机制概览", "A. 规范工作人员行为的立法框架[1]", "4. 《联合国宪章》第一百零一条第3项指出，“办事人员之雇用及其服务条件之决定，应以求达效率、才干及忠诚之最高标准为首要考虑”。", "5. 《工作人员条例》第一条和《工作人员细则》第一章的标题都是“职责、义务和特权”，两者都规定了国际公务员因本身地位而应具有的基本价值观，以及因此类基本价值观而应有的特别表现。关于应有的或应禁止的行为的实例，特别要提及《工作人员条例》1.2和《工作人员细则》1.2。", "B. 不当行为", "6. 《工作人员条例》第十条条例10.1(a)规定，“秘书长可对实施不当行为的工作人员采取纪律措施”。《工作人员细则》10.1(a)规定，“工作人员不遵守《联合国宪章》、《工作人员条例》和《工作人员细则》及其他相关行政告示规定的义务，或不遵行国际公务员应有行为标准，即可构成不当行为，可能导致提起纪律程序和就不当行为采取纪律措施”。此外，《工作人员细则》10.1(c)规定，“对不当行为指控展开调查、提起纪律程序以及采取纪律措施的决定，由秘书长或经授权的官员行使酌处权作出”。在这些范围内，秘书长在确定什么情况构成不当行为并采取纪律措施时拥有有宽泛的酌处权。关于经修订的纪律措施和程序的行政指示ST/AI/371/Amend.1载有更多的可对之采取纪律措施的不当行为的实例。[2] 目前正在编写关于调查和纪律程序的新行政指示，管理层内部正在就此进行初步讨论。", "C. 适当程序", "7. 如果部门主管或负责官员在调查后认为可能已作出了不当行为，他或她应将该问题交由主管人力资源助理秘书长决定是否应将之作为纪律案件处理。[3] 根据调查的主题和复杂程度，有关调查可由部门主管或者由其指定的人员进行，或由内部监督事务厅主动或应部门主管的要求进行。", "8. 如果主管人力资源助理秘书长决定将该问题作为纪律案件处理，则应向该工作人员发出有关不当行为指控的书面通知，告知其有就指控作出评论的机会，并告知其有通过工作人员法律援助办公室或自费外聘律师协助辩护的权利。该工作人员应获得对有关不当行为的指控作出回应的合理机会。主管人力资源助理秘书长应根据工作人员所提出的评论意见，决定是否在采取或不采取行政行动的情况下结束控诉程序，或建议实施一项或多项纪律措施。在后一种情况下，主管人力资源助理秘书长应代表秘书长决定是否执行《工作人员细则》10.2(a)规定的一项或多项纪律措施。", "9. 在调查直至结束纪律程序前的任何时候，主管人力资源助理秘书长都可在某些情况下决定安排工作人员休行政假，这些情况是：有初步证据表明该工作人员的不当行为会危及联合国其他工作人员或联合国组织；鉴于正在进行的调查以及该职能的性质，该工作人员无法继续有效履行其职责；有初步证据表明，该工作人员继续任职的情况将产生他或她干扰调查的危险；或安全和安保部断定，该工作人员继续在联合国场地的存在可对本组织造成安保风险。关于安排工作人员休无薪行政假的决定由主管管理事务副秘书长作出。", "10. 按照《工作人员细则》10.3(c)，受到执行纪律措施处分的工作人员可依照《工作人员细则》第十一章的规定向联合国争议法庭提出申诉，对执行的措施表示不服。[4]", "D. 纪律措施", "11. 《工作人员细则》10.2(a)规定，纪律措施可采取下列一种或多种形式(即可对每一案件执行不止一种的措施)：", "(a) 书面训斥；", "(b) 职等内降职一档或多档；", "(c) 在规定的期间内暂停加薪资格；", "(d) 在规定的期间内停职停薪；", "(e) 罚款；", "(f) 在规定的期间内暂停被考虑晋升的资格；", "(g) 降职并在规定的期间内暂停被考虑晋升的资格；", "(h) 离职，提前通知或给予代替通知的补偿金，给予或不给予解雇补偿金；", "(i) 开除。", "12. 在确定采用适当的措施时，对每宗案件都应根据其本身的是非曲直作出决定，同时考虑到案件的具体情节，包括可据以从严和从宽处理的情节。按照细则10.3(b)，执行的纪律措施应同所涉不当行为的性质和严重程度相称。", "E. 其他措施", "13. 书面和口头申斥、追回应缴还本组织的款项以及休带薪或停薪行政假均不视为纪律措施。这种申斥同警告或告诫信一样，是维持适当行为标准并促进问责制的重要行政/管理措施。此外，凡不当行为影响业绩时，可在业绩管理方面处理这一问题。这可能包括培训、咨询、不按级加薪、不延长合同或终止任用。", "三. 2010年7月1日至2011年6月30日期间秘书长采取纪律措施的案件摘要", "14. 凡是采取一种或几种纪律措施的案件，下文均有摘要说明不当行为的性质和秘书长采取的纪律措施。有关工作人员的职能或其他细节，以在确定应采措施时有加重或减轻罪责的作用时者为限。以纪律措施之外的其他方法处理的行为问题不在此列。", "15. 提请秘书长注意的每宗案件并非都会导致采取纪律或其他措施。如果人力资源管理厅的审查显示，没有足够证据将一个事项当作纪律案件继续追究，或工作人员在答复指控时提出了令人满意的解释，则会就此结案，并认为该工作人员没有犯下被控的行为。如果工作人员在纪律程序结束前退休或以其他方式离开本组织时，也可以结案，因为秘书长无权对退职工作人员采取纪律措施。对这些案件将作出记录，存入工作人员的公务身份档案。 假如该工作人员重新加入本组织，则可进一步处理该事项。", "A. 滥用职权/骚扰/歧视", "16. 一名工作人员在一次征聘中将自己置身于明显可能产生利益冲突的境地，并影响了征聘。处理意见：予以训斥，并罚款一个月的净基薪。上诉：已向争议法庭上诉，目前该案仍在审议中。", "17. 一名工作人员发生了两次用粗话辱骂同事的情况。处理意见：予以训斥。上诉：没有上诉。", "18. 一名工作人员连续几个月对受他督导的一名女性独立承包人实施性骚扰。处理意见：离职，给予代替通知的补偿金，并给予解雇补偿金。上诉：截至本报告提交时为止，尚未到上诉最后期限。", "B. 攻击行为(口头和人身)", "19. 一名工作人员与另一名工作人员发生争吵后，对其实施人身攻击，用拳头击打其脸部和肩膀；被阻止后还试图再次对她进行攻击。处理意见：开除。上诉：无。", "20. 一名工作人员辱骂另一名工作人员，对他采取攻击性及不合作行为，还对一名非工作人员女性进行人身攻击。处理意见：离职，给予代替通知的补偿金和解雇偿金。上诉：截至本报告提交时，上诉期限尚未终止。", "21. 一名工作人员两次对其妻子(也是一名工作人员)实施人身攻击，打她耳光并用瓶子击打其头部。处理意见：离职，给予代替通知的补偿金，但不给予解雇偿金。上诉：无。", "22. 一名工作人员承认对其妻子实施人身攻击。处理意见：开除。上诉：截至本报告提交时，上诉期限尚未终止。", "23. 一名工作人员在试图拿回车钥匙时与另一名工作人员发生激烈争吵，随后对她实施人身攻击，推搡她使其摔倒在地。处理意见：降职，在一年内暂停考虑其晋升资格并予以训斥。上诉：无。", "24. 一名工作人员擅自将联合国车辆用于非公务目的，且驾驶不慎；车辆撞到两名行人并导致其当场死亡。处理意见：开除。上诉：无。", "25. 一名工作人员在争执中不听从一名警卫的指示，对其进行口头威胁，还向另一名工作人员施以人身威胁，向其脸上吐痰。处理意见：予以训斥，在一年内暂停考虑其职等内加薪，并停职停薪一周。上诉：无。", "26. 一名工作人员辱骂另一名工作人员并对其采取有人身威胁的行动。处理意见：予以训斥,职等内降职5档。上诉：截至本报告提交时，上诉期限尚未终止。", "27. 一名工作人员对一名安保干事威胁进行人身伤害并随后对他实施人身攻击。处理意见：予以训斥，职等内降职以及在一年内暂停考虑其职等内加薪。上诉：无。", "28. 一名工作人员酗酒后攻击一名警卫。处理意见：予以训斥。上诉：无。", "C. 与计算机有关的不当行为", "29. 三名工作人员以公务用Lotus Notes电子邮件账户接收并传播色情材料，包括儿童色情材料。处理意见：开除。上诉：无。", "30. 两名工作人员以公务用Lotus Notes电子邮件账户接收并传播少量的含色情内容的电子邮件。处理意见：予以训斥。上诉：截至本报告提交时，上诉期限尚未终止。", "31. 三十二名工作人员以公务用Lotus Notes电子邮件账户接收并传播少量的含色情内容的电子邮件。处理意见：予以训斥。上诉：一名工作人员向争议法庭提出申诉，案件仍在审理。", "32. 八名工作人员以公务用Lotus Notes电子邮件账户接收、传播并存储较多的含色情内容的电子邮件。处理意见：予以训斥，职等内降职2档，两年内暂停考虑升级。上诉：三名工作人员向争议法庭提出申诉，案件仍在审理。", "33. 工作人员接收了至少246封载有色情和其他不当图像的电子邮件且未报告，并将其存储于八个用户创建文件夹中。处理意见：离职，给予代替通知的补偿金，不给予解雇偿金。上诉：向争议法庭提出申诉，案件仍在审理。", "34. 一名工作人员在未获授权的情况下故意并蓄意进入另一名工作人员的电子邮箱。处理意见：降一职等，在三年内暂停考虑其晋升资格并予以训斥。上诉：无。", "D. 财务披露", "35. 一名工作人员未履行其财务披露义务。该名工作人员曾被发现未履行与以前的报告期间有关的财务披露义务。处理意见：予以训斥，扣发三个月的净基薪作为罚款，并在三年内暂停考虑其晋升资格。上诉：无。", "36. 四名工作人员未履行其财务披露义务。处理意见：予以训斥，并扣发两个月的净基薪作为罚款。上诉：截至本报告提交时，上诉期限尚未终止。", "37. 七名工作人员未履行其财务披露义务。处理意见：予以训斥。上诉：四人未提起上诉；其他三人在截至本报告提交时，上诉期限尚未终止。", "E. 欺诈/虚报", "38. 一名工作人员在提交给特派团人事科作为其休假日期正式记录的一份联合国通行证上，伪造印记，还在年假报告中提供虚假信息。处理意见：离职，给予代替通知的补偿金和解雇偿金。上诉：向争议法庭提出申诉，案件仍在审理。", "39. 一名工作人员在其征聘过程中向本组织提交了篡改分数的中学成绩单。处理意见：降一职等，三年内暂停被考虑晋升的资格。上诉：截至本报告提交时，上诉期限尚未终止。", "40. 一名工作人员在参加本组织举行的一次书面测试中作弊，提交他人为该测试准备的标准答案。处理意见：降一职等，三年内暂停被考虑晋升的资格。上诉：截至本报告提交时，上诉期限尚未终止。", "41. 一名工作人员在个人简历中遗漏涉及其联合国工作经历方面的实质性内容，并接受其无资格担任的G-4职等员额的职责。处理意见：降一职等。上诉：截至本报告提交时，上诉期限尚未终止。", "42. 一名工作人员在他的几张个人简历表中，虚报了涉及其学历的实质性内容，并提交一张伪造的文凭。处理意见：离职，给予代替通知的补偿金，但不给予解雇偿金。上诉：截至本报告提交时，上诉期限尚未终止。", "43. 一名工作人员在贷款申请中使用伪造工资单，在个人简历中虚报学历。处理意见：开除。上诉：截至本报告提交时，上诉期限尚未终止。", "44. 一名工作人员使用联合国发放的识别密码打私人电话并将其记录为公务电话，时间持续一年以上。处理意见：予以训斥，在一年内暂停被考虑晋升的资格。上诉：无。", "45. 一名工作人员更改并篡改一份正式文件，并未经批准离开任务区。处理意见：予以训斥。上诉：无。", "46. 一名工作人员利用担任警卫职务获得的联合国设备和知识，伪造了至少两张联合国身份卡并将其提供给一个非联合国工作人员，换取金钱补偿。处理意见：开除。上诉：无。", "47. 一名工作人员在未获授权的情况下不当使用另一名工作人员的计算机和网上银行账户，并将该工作人员银行账户中的5 000美元电汇给第三方。处理意见：开除。上诉：无。", "48. 一名工作人员在未获授权的情况下更改一份正式文件，即设备申请，以增加申请物项数量。处理意见：降一职等，两年内暂停被考虑晋升的资格并予以训斥。上诉：无。", "49. 一名工作人员在个人简历中虚报学术资格。处理意见：离职，给予代替通知的补偿金和解雇偿金。上诉：向争议法庭提出申诉，案件仍在审理。", "50. 一名工作人员在她的个人简历表上虚报了涉及学历的实质性内容，虚假证明其内容确切无误并提交伪造文凭。处理意见：离职，给予代替通知的补偿金和解雇偿金。上诉：截至本报告提交时，上诉期限尚未终止。", "51. 一名工作人员在她的个人简历表上虚报了涉及学历的实质性内容。处理意见：离职，给予代替通知的补偿金和解雇偿金。上诉：无。", "52. 一名工作人员在她的个人简历表中虚报了涉及她是否有亲属受雇于本组织的实质性内容。处理意见：离职，给予代替通知的补偿金，不给予解雇偿金。上诉：截至本报告提交时，上诉期限尚未终止。", "53. 一名工作人员在她的个人简历表中虚报了涉及她是否有亲属受雇于本组织的实质性内容并拒绝配合调查。处理意见：开除。上诉：截至本报告提交时，上诉期限尚未终止。", "F. 性剥削和性虐待", "54. 一名工作人员嫖娼，这属于性虐待和性剥削行为。处理意见：开除。上诉：向争议法庭提出上诉，争议法庭仍然在审理此案。", "55. 一名工作人员同一名当时不到18岁的女性发生性行为，并与几名联合国援助受惠者有性关系，违反了ST/SGB/2003/13。此名工作人员还在未经许可的情况下使用联合国车辆从事非公务活动。处理意见：开除。上诉：向争议法庭提出上诉，争议法庭仍然在审理此案。", "G. 盗窃/挪用", "56. 一名工作人员盗窃属于联合国的若干卷铁丝网。此名工作人员经确认属于一个参与盗窃和转售联合国财产的个人组成的集团。处理意见：开除。上诉：无。", "57. 一名工作人员至少挪用属于联合国的两加仑柴油；明知故犯地不确保分配给他的联合国财产的安全，不对该财产加以合理照顾并故意不报告联合国汽车受损事件和挪用联合国燃料事件。处理意见：离职，给予代替通知的补偿金，不给予解雇补偿金。上诉：无。", "58. 一名工作人员盗窃属于联合国财产的实验室设备。处理意见：开除。上诉：无。", "59. 一名工作人员盗窃并销售属于联合国的柴油燃料。处理意见：离职，给予代替通知的补偿金，给予解雇补偿金。上诉：无。", "60. 一名工作人员在未经许可的情况下，拿走另一名工作人员的银行卡，还是在未经许可的情况下，用此卡进行两次提款。处理意见：离职，给予代替通知的补偿金，不给予解雇补偿金。上诉：无。", "61. 一名工作人员用虹吸管抽取并销售了属于联合国的600升柴油燃料。处理意见：离职，给予代替通知的补偿金，不给予解雇补偿金。上诉：无。", "H. 外部活动", "62. 一名工作人员在受雇于联合国期间，未经秘书长许可，担任一家私营公司咨询人达三年。处理意见：训斥，并处以相当于一个月净基薪的罚款。上诉：无。", "63. 一名工作人员与他人合伙开设一家公司，目的是有偿提供某些服务。处理意见：训斥，职等内降职一级，在一年内暂停职等内加薪的资格。上诉：无。", "64. 一名工作人员在受雇于联合国期间，未经秘书长许可，从事私营法律工作。处理意见：训斥并在职等内降职一级。上诉：无。", "I. 违反当地法律", "65. 一名工作人员拥有一种受管制物质，从而违反了当地法律。处理意见：离职，给予代替通知的补偿金，给予解雇补偿金。上诉：向争议法庭提出上诉，争议法庭仍然在审理此案。", "66. 一名工作人员非法拥有一种非法物质，从而违反了当地法律。处理意见：开除。上诉：在提出本报告之时，上诉期限尚未到。", "67. 一名工作人员未向秘书长报告他曾被捕、在一起刑事案件中受指控并被法庭传唤出庭的事实。处理意见：训斥。上诉：在提出本报告之时，上诉期限尚未到。", "68. 一名工作人员违反当地法律，贩卖违禁麻醉品。处理意见：离职，不给予解雇补偿金。上诉：在提出本报告之时，上诉期限尚未到。", "J. 其他", "69. 一名工作人员试图绕过机场正式安检程序，以便在未经许可情况下，用联合国飞机为非联合国人员运送商业物资。处理意见：离职，给予代替通知的补偿金，不给予解雇补偿金。上诉：无。", "70. 一名工作人员为某第三方安排了一份合同，以履行该第三方向联合国提出的现有索偿要求。处理意见：书面训斥。上诉：无。", "71. 一名工作人员未履行她的私人法律义务，不支付房租欠款和有关法律费用。处理意见：降一职等，在两年内暂停被考虑晋升的资格，并予以训斥。上诉：无。", "72. 一名工作人员一再不遵守秘书长发布的关于清偿法定应偿私人债务的指示。处理意见：降一职等，在三年内暂停被考虑晋升的资格，并予以训斥。上诉：无。", "四. 2010年7月1日至2011年6月30日本报告所述期间收到和结案的案件汇总", "A. 人力资源管理厅收到的案件", "73. 本节图表说明2010年7月1日至2011年6月30日本报告所述期间提交人力资源管理厅采取行动的案件数和类型。", "本报告所述期间人力资源管理厅收到的案件", "联合国总部和联合国总部以外各办事处的工作人员 60", "外勤人员 63", "共计 123", "按不当行为类别收到的案件", "滥用职权/骚扰/歧视 7", "攻击行为(口头和人身) 14", "与计算机有关的不当行为 16", "财务披露 23", "欺诈/虚报 25", "性剥削和性虐待 3", "盗窃/挪用 13", "外部活动 2", "违反当地法律 3", "其他 17", "共计 123", "[]图一 本报告所述期间收到的案件", "过去五次报告所述期间人力资源管理厅收到的案件数", "2010年7月1日至2011年6月30日 123", "2009年7月1日至2010年6月30日 167", "2008年7月1日至2009年6月30日 440^(a)", "2007年7月1日至2008年6月30日 198", "2006年7月1日至2007年6月30日 56", "^(a) 其中若干案件所涉指控为：挪用信息和通信技术资源以及未履行财务披露义务。", "[]图二 过去五次报告所述期间收到的案件", "B. 本报告所述期间结案的案件", "74. 本节中图表说明本报告所述期间结案数和处理情况，包括未对之采取纪律措施的案件。必须指出的是，根据既定程序处理纪律问题需要时间，包括需要在调查后获得进一步信息，按规定工作人员应有机会对指控的不当行为提出申辩，因此，表中数字反映了在本报告之前和期间提交人力资源管理厅但在本报告所述期间结案的案件。", "2010年7月1日至2011年6月30日已结案案件的处理情况", "开除 14", "其他纪律措施 93", "行政措施^(a) 19", "结案时未采取措施 80", "未追究 38", "案件提交人力资源管理厅后，工作人员在纪律程序结束前离职(如辞职、退休、合同到期) 26", "其他 1", "共计 271", "^(a) 行政措施包括书面或口头申斥、警告和告诫信，对于维持适当行为标准并促进问责制而言，这些都是重要措施。此外，在行为影响业绩时，则在业绩管理方面处理这一问题，其中可能包括培训、咨询辅导、不按级加薪、不延长任用期或终止任用。", "图三 已结案案件的处理情况", "过去五次报告所述期间人力资源管理厅结案数", "2010年7月1日至2011年6月30日 271", "2009年7月1日至2010年6月30日 100", "2008年7月1日至2009年6月30日 301", "2007年7月1日至2008年6月30日 90", "2006年7月1日至2007年6月30日 76", "图四 过去五次报告所述期间结案数", "[]", "五. 可能的犯罪行为", "75. 大会第59/287号决议请秘书长对已获证实的犯罪行为的案件加快采取行动并就采取的行动向各会员国通报。本报告所述期间向会员国移交了八宗案件，其中对联合国官员或特派专家提出了可信的犯罪指控。秘书长未获悉有关会员国对此类案件采取任何行动。", "六. 结论", "76. 秘书长谨将本报告提交大会审议。", "[1] 有关工作人员的地位、权利和义务以及纪律问题的规定，请查阅电子版《人力资源手册》“地位、基本权利和义务”和“纪律问题”标题。", "[2] 另见关于禁止歧视、骚扰包括性骚扰和滥用权力的ST/SGB/2008/5。", "[3] 特派团行政首长应将案件提交总部外勤支助部，如果该部同意特派团的评估，则应将此事提交人力资源管理厅处理。", "[4] 争议法庭对纪律案件的裁决书可在内部司法办公室网址(www.un.org/en/oaj)查阅。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 140 of the preliminary list*", "Human resources management", "Practice of the Secretary-General in disciplinary matters and possible criminal behaviour, 1 July 2010 to 30 June 2011", "Report of the Secretary-General", "Summary", "The present report is submitted in response to the request of the General Assembly in paragraph 16 of its resolution 59/287 that Member States be informed on an annual basis about all actions taken in cases of established misconduct and/or criminal behaviour and the disciplinary action and, where appropriate, legal action, taken in accordance with the established procedures and regulations. The report covers the period from 1 July 2010 to 30 June 2011.", "The General Assembly is invited to take note of the report.", "I. Introduction", "1. The present report is submitted in response to the request of the General Assembly in paragraph 16 of its resolution 59/287 that Member States be informed on an annual basis about all actions taken in cases of established misconduct and/or criminal behaviour and the disciplinary action and, where appropriate, legal action, taken in accordance with the established procedures and regulations. The present report covers the period from 1 July 2010 to 30 June 2011.", "2. As requested in paragraph 17 of resolution 59/287, an information circular will be issued so that all staff of the Organization will be informed of the most common examples of misconduct and/or criminal behaviour and their disciplinary consequences, including any legal action, with due regard to the protection of the privacy of the staff members concerned.", "3. A broad overview of the administrative machinery in disciplinary matters is provided in section II below so that the information provided in sections III and IV can be understood in context. Section III contains a summary of the cases for which one or more disciplinary measures were imposed by the Secretary-General during the reporting period. Section IV contains comparative data reflecting the number of cases referred for action during the reporting period and the disposition of cases that were completed during the reporting period including cases that did not result in the imposition of a disciplinary measure. Section V provides information on the practice of the Secretary-General in cases of possible criminal behaviour.", "II. Overview of administrative machinery in disciplinary matters in the new system of administration of justice", "A. Legislative framework governing the conduct of staff members[1]", "4. Article 101, paragraph 3, of the Charter of the United Nations states that the “paramount consideration in the employment of the staff and in the determination of the conditions of service shall be the necessity of securing the highest standards of efficiency, competence and integrity”.", "5. Article I of the Staff Regulations and Chapter I of the Staff Rules, both entitled “Duties, obligations and privileges”, set out the basic values expected of international civil servants because of their status, as well as particular manifestations of such basic values. Particular reference is made to staff regulation 1.2 and Staff Rule 1.2 for specific instances of expected or prohibited conduct.", "B. Misconduct", "6. Article X of the Staff Regulations provides in regulation 10.1 (a) that “the Secretary-General may impose disciplinary measures on staff members who engage in misconduct”. Staff Rule 10.1 (a) provides that the “failure by a staff member to comply with his or her obligations under the Charter of the United Nations, the Staff Regulations and Staff Rules or other relevant administrative issuances, or to observe the standards of conduct expected of an international civil servant, may amount to misconduct and may lead to the institution of a disciplinary process and the imposition of disciplinary measures for misconduct”. In addition, Staff Rule 10.1 (c) provides that “the decision to launch an investigation into allegations of misconduct, to institute a disciplinary process and to impose a disciplinary measure shall be within the discretionary authority of the Secretary-General or officials with delegated authority”. Within these parameters, the Secretary-General has broad discretion in determining what constitutes misconduct and in imposing disciplinary measures. Administrative instruction ST/AI/371/Amend.1, on revised disciplinary measures and procedures,[2] provides further examples of conduct for which disciplinary measures may be imposed. A new administrative instruction on investigations and the disciplinary process is under preparation and is currently the subject of preliminary discussions within management.", "C. Due process", "7. Where the head of office or responsible officer believes, following an investigation, that misconduct may have occurred, he or she refers the matter to the Assistant Secretary-General for Human Resources Management for a decision on whether to pursue the matter as a disciplinary case.[3] Depending on the subject matter and complexity of an investigation, it can be undertaken by the head of office or his or her designees, or by the Office of Internal Oversight Services, at its own initiative or at the request of a head of office.", "8. If the Assistant Secretary-General for Human Resources Management decides to pursue the matter as a disciplinary case, the staff member is notified in writing of the allegations of misconduct and is informed of his or her opportunity to comment on the allegations and of his or her right to seek the assistance of counsel in his or her defence through the Office of Staff Legal Assistance or from outside counsel at his or her own expense. The staff member is given a reasonable opportunity to respond to the allegations of misconduct. In the light of the comments provided by the staff member, the Assistant Secretary-General for Human Resources Management decides whether to close the case, with or without administrative action, or to recommend the imposition of one or more disciplinary measures. In the latter case, the Under-Secretary-General for Management decides, on behalf of the Secretary-General, whether to impose one or more of the disciplinary measures provided for in Staff Rule 10.2 (a).", "9. At any time pending an investigation until the completion of the disciplinary process, the Assistant Secretary-General for Human Resources Management may decide to place a staff member on administrative leave where: there is prima facie evidence that the conduct of the staff member poses a danger to other United Nations personnel or to the Organization; the staff member is unable to continue to perform his or her functions effectively because of an ongoing investigation and the nature of the functions; there is prima facie evidence that continued service by the staff member would create an unacceptable risk that he or she could interfere with the investigation; or the Department of Safety and Security determines that the continued presence of the staff member on United Nations premises could constitute a security risk to the Organization. Decisions of placement on administrative leave without pay are taken by the Under-Secretary-General for Management.", "10. In accordance with Staff Rule 10.3 (c), a staff member against whom a disciplinary measure has been imposed may submit an application before the Dispute Tribunal challenging the imposition of the measure(s) in accordance with chapter XI of the Staff Rules.[4]", "D. Disciplinary measures", "11. Staff Rule 10.2 (a) provides that disciplinary measures can take one or more of the following forms (i.e., more than one measure can be imposed in each case):", "(a) Written censure;", "(b) Loss of one or more steps in grade;", "(c) Deferment, for a specified period, of eligibility for salary increment;", "(d) Suspension without pay for a specified period;", "(e) Fine;", "(f) Deferment, for a specified period, of eligibility for consideration for promotion;", "(g) Demotion, with deferment, for a specified period, of eligibility for consideration for promotion;", "(h) Separation from service, with notice or compensation in lieu of notice, and with or without termination indemnity;", "(i) Dismissal.", "12. In determining the appropriate measure, each case is decided on its own merits, taking into account the particulars of the case, including aggravating and mitigating circumstances. In accordance with rule 10.3 (b), disciplinary measures imposed are proportionate to the nature and gravity of the misconduct involved.", "E. Other measures", "13. Written or oral reprimands, recovery of moneys owed to the Organization and administrative leave with or without pay are not considered disciplinary measures. Reprimands, like warnings or letters of caution, are administrative/managerial measures that are important for upholding standards of proper conduct and promoting accountability. Additionally, where inappropriate behaviour affects performance, the issue is addressed in the context of performance management. This may include training, counselling, withholding of salary increments, non-renewal of contract or termination of appointment.", "III. Summary of cases for which the Secretary-General imposed disciplinary measures during the period from 1 July 2010 to 30 June 2011", "14. For each case that led to the imposition of one or more disciplinary measures, a summary is provided below indicating the nature of the misconduct and the disciplinary measure(s) imposed by the Secretary-General. The function of or other particulars relating to the staff member are provided only when they played a role as aggravating or mitigating circumstances in determining the measures to be taken. Conduct issues that were dealt with by means other than disciplinary measures are not listed.", "15. Not every case brought to the attention of the Secretary-General results in disciplinary or other measures being taken. When a review by the Office of Human Resources Management reveals that there is insufficient evidence to pursue a matter as a disciplinary case or when a staff member provides a satisfactory explanation in response to charges of misconduct, the case is closed and the staff member is considered cleared of the charges. Cases may also be closed when a staff member retires or is otherwise separated from the Organization before disciplinary proceedings are concluded, as the Secretary-General does not have the authority to impose disciplinary measures on former staff members. In such cases, a record is made and placed in the former staff member’s official status file so that the matter can be further considered if and when the staff member rejoins the Organization.", "A. Abuse of authority/harassment/discrimination", "16. A staff member placed himself in a situation with the clear potential for a conflict of interest in relation to a recruitment process, which affected the process. Disposition: censure, plus a fine of one month’s net base salary. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "17. A staff member engaged in two incidents of “name-calling” of colleagues. Disposition: censure. Appeal: none.", "18. A staff member, over the course of several months, sexually harassed a female independent contractor under his supervision. Disposition: separation from service with compensation in lieu of notice and with termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "B. Assault (verbal and physical)", "19. A staff member physically assaulted another staff member after a verbal altercation by hitting her in the face and shoulders with a closed fist, and subsequently, after he was restrained, attempted to assault her for a second time. Disposition: dismissal. Appeal: none.", "20. A staff member verbally abused another staff member, engaged in aggressive and uncooperative behaviour towards him, and physically assaulted a female non‑staff member. Disposition: separation from service with compensation in lieu of notice and termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "21. A staff member physically assaulted his wife, who was also a staff member, on two occasions, by slapping her in the face and hitting her in the head with a bottle. Disposition: separation from service with compensation in lieu of notice, but without termination indemnity. Appeal: none.", "22. A staff member admitted to physically assaulting his wife. Disposition: dismissal. Appeal: deadline to appeal has not expired as of the submission of the present report.", "23. After a verbal altercation, while attempting to retrieve car keys, a staff member physically assaulted another staff member by pushing her and causing her to fall to the floor. Disposition: demotion in grade, with deferment for one year of eligibility for consideration for promotion, and censure. Appeal: none.", "24. A staff member, while operating a United Nations vehicle without reasonable care and without authorization and for non-official purposes, struck and instantly killed two pedestrians. Disposition: dismissal. Appeal: none.", "25. During the course of an argument, a staff member failed to follow the instructions of a Security Guard, verbally threatened the Security Guard, and physically assaulted another staff member by spitting in his face. Disposition: censure, deferment of one year in eligibility for within-grade increment, and one week suspension without pay. Appeal: none.", "26. A staff member verbally abused, and made a physically threatening movement with respect to, another staff member. Disposition: censure and loss of five steps in grade. Appeal: deadline to appeal has not expired as of the submission of the present report.", "27. A staff member threatened to physically harm a Security Officer and subsequently physically assaulted him. Disposition: censure, loss of step in grade and deferment for one year of eligibility for within-grade increment. Appeal: none.", "28. A staff member, while inebriated, assaulted a Security Guard. Disposition: censure. Appeal: none.", "C. Computer-related misconduct", "29. Three staff members received and distributed pornographic materials, including child pornography, using their official Lotus Notes e-mail accounts. Disposition: dismissal. Appeal: none.", "30. Two staff members received and distributed a relatively small number of e‑mails containing pornography using their official Lotus Notes e-mail accounts. Disposition: censure. Appeal: deadline to appeal has not expired as of the submission of the present report.", "31. Thirty-two staff members received and distributed a relatively small number of e-mails containing pornography using their official Lotus Notes e-mail accounts. Disposition: censure. Appeal: one staff member filed a submission with the Dispute Tribunal, where the case remains under consideration.", "32. Eight staff members received, distributed and stored a relatively large number of e-mails containing pornography using their official Lotus Notes e-mail accounts. Disposition: censure, loss of two steps within-grade, and two years deferral of consideration for promotion. Appeal: three staff members filed submissions with the Dispute Tribunal, where the cases remain under consideration.", "33. Staff member received, failed to report and stored in eight user created folders at least 246 e-mails containing pornography and other inappropriate images. Disposition: separation from service with compensation in lieu of notice and without termination indemnity. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "34. A staff member knowingly and wilfully accessed the electronic mailbox of another staff member, without authorization. Disposition: demotion of one grade, with deferment for three years of eligibility for consideration for promotion, and censure. Appeal: none.", "D. Financial disclosure", "35. A staff member failed to comply with his financial disclosure obligations. The staff member had previously been found to have failed to comply with his financial disclosure obligations relating to an earlier reporting period. Disposition: censure, fine of three months’ net base salary, and deferment for three years of eligibility for consideration for promotion. Appeal: none.", "36. Four staff members failed to comply with their financial disclosure obligations. Disposition: censure, plus a fine of two months’ net base salary. Appeal: deadline to appeal has not expired as of the submission of the present report.", "37. Seven staff members failed to comply with their financial disclosure obligations. Disposition: censure. Appeal: four, none; three, deadline to appeal has not expired as of the submission of the present report.", "E. Fraud/misrepresentation", "38. A staff member forged a stamp in a copy of his United Nations laissez passer, which the staff member submitted to the Personnel Section of a mission as an official record of his leave date, and provided false information in his annual leave report. Disposition: separation from service with compensation in lieu of notice and with termination indemnity. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "39. A staff member submitted to the Organization, in connection with his recruitment, a secondary school report card containing altered grades. Disposition: demotion of one grade with deferment for three years of eligibility for consideration for promotion. Appeal: deadline to appeal has not expired as of the submission of the present report.", "40. A staff member cheated on a written test administered by the Organization and undertaken by him, by submitting the model answers prepared by others for the test. Disposition: demotion of one grade with deferment for a period of three years of eligibility for consideration for promotion. Appeal: deadline to appeal has not expired as of the submission of the present report.", "41. A staff member made material omissions in his personal history profile in relation to his employment history with the United Nations and accepted duties in a post at the G-4 level, for which he was ineligible. Disposition: demotion of one grade. Appeal: deadline to appeal has not expired as of the submission of the present report.", "42. A staff member made material misrepresentation on several personal history profile forms in relation to his educational qualifications and submitted a falsified diploma. Disposition: separation from service with compensation in lieu of notice, but without termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "43. A staff member used a falsified payslip in connection with a loan application and misrepresented his educational qualifications in his personal history profile. Disposition: dismissal. Appeal: deadline to appeal has not expired as of the submission of the present report.", "44. A staff member used her United Nations issued PIN number to make private calls and recorded them as business calls for a period of over a year. Disposition: censure, and deferment of one year of eligibility for consideration for promotion. Appeal: none.", "45. A staff member altered and falsified an official document and left the mission area without prior authorization. Disposition: censure. Appeal: none.", "46. A staff member used United Nations equipment and knowledge gained from his official function as a Security Guard to produce at least two false United Nations identification cards and provided same to a non-United Nations staff member in exchange for monetary compensation. Disposition: dismissal. Appeal: none.", "47. A staff member improperly and without authorization accessed another staff member’s computer and Internet banking account and performed a wire transfer from the staff member’s bank account to a third party in the sum of $5,000. Disposition: dismissal. Appeal: none.", "48. A staff member altered an official document, namely a request for equipment, without authorization so as to increase the quantities of items requested. Disposition: demotion of one grade with deferment for two years of eligibility for consideration for promotion and censure. Appeal: none.", "49. A staff member misrepresented his academic qualifications on his personal history profile. Disposition: separation with compensation in lieu of notice and termination indemnity. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "50. A staff member made material misrepresentations in relation to her educational qualifications on her personal history profile, falsely certifying the accuracy of its contents and submitting falsified diplomas. Disposition: separation from service with compensation in lieu of notice and termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "51. A staff member made material misrepresentations on her personal history profile in relation to her educational qualifications. Disposition: separation from service with compensation in lieu of notice and with termination indemnity. Appeal: none.", "52. A staff member made material misrepresentations on her personal history profile in relation to whether she had relatives employed by the Organization. Disposition: separation with compensation in lieu of notice, but without termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "53. A staff member made material misrepresentations on her personal history profile in relation to whether she had relatives employed by the Organization and refused to cooperate with an investigation. Disposition: dismissal. Appeal: deadline to appeal has not expired as of the submission of the present report.", "F. Sexual exploitation and sexual abuse", "54. A staff member engaged in sexual abuse and exploitation by paying prostitutes for sexual services. Disposition: dismissal. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "55. A staff member engaged in sexual activity with a female who was, at the time, under the age of 18, and in several sexual relationships with beneficiaries of United Nations assistance, in violation of ST/SGB/2003/13. The staff member also engaged in the unofficial and unauthorized use of United Nations vehicles. Disposition: dismissal. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "G. Theft/misappropriation", "56. A staff member stole rolls of barbed wire belonging to the Organization. The staff member was also identified as part of a group of individuals involved in stealing and reselling United Nations property. Disposition: dismissal. Appeal: none.", "57. A staff member misappropriated at least two gallons of diesel fuel belonging to the Organization; knowingly failed to ensure the safety and security of United Nations property assigned to him and to exercise reasonable care in relation to that property; and deliberately failed to report the incidents of damage to a United Nations vehicle and the misappropriation of United Nations fuel. Disposition: separation from service with compensation in lieu of notice and without termination indemnity. Appeal: none.", "58. A staff member stole property belonging to the United Nations, namely, laboratory equipment. Disposition: dismissal. Appeal: none.", "59. A staff member stole and sold diesel fuel belonging to the Organization. Disposition: separation from service with compensation in lieu of notice and with termination indemnity. Appeal: none.", "60. A staff member took another staff member’s bank card, without authorization, and used it to make two withdrawals, also without authorization. Disposition: separation from service with compensation in lieu of notice, and without termination indemnity. Appeal: none.", "61. A staff member siphoned and sold 600 litres of diesel fuel belonging to the Organization. Disposition: separation from service with compensation in lieu of notice, and without termination indemnity. Appeal: none.", "H. Outside activities", "62. A staff member worked as a consultant for a private company for three years while employed with the United Nations, without the authorization of the Secretary-General. Disposition: censure and a fine of one month’s net base salary. Appeal: none.", "63. A staff member co-founded a company for the purpose of providing certain services for remuneration. Disposition: censure, loss of step in grade, and deferment for one year of eligibility for within-grade increment. Appeal: none.", "64. A staff member engaged in private legal occupation, while employed by the Organization, without the approval of the Secretary-General. Disposition: censure and a loss of step in grade. Appeal: none.", "I. Violation of local laws", "65. A staff member violated local law by possessing a controlled substance. Disposition: separation from service with compensation in lieu of notice and termination indemnity. Appeal: filed with the Dispute Tribunal, where the case remains under consideration.", "66. A staff member violated local law by illegally possessing an illegal substance. Disposition: censure. Appeal: deadline to appeal has not expired as of the submission of the present report.", "67. A staff member failed to report to the Secretary-General the fact that he had been arrested, charged and summoned before a court in a criminal proceeding. Disposition: censure. Appeal: deadline to appeal has not expired as of the submission of the present report.", "68. A staff member engaged in the trafficking of illegal narcotics in violation of local law. Disposition: separation from service without termination indemnity. Appeal: deadline to appeal has not expired as of the submission of the present report.", "J. Other", "69. A staff member attempted to bypass the official airport security screening process in order to transport, without authorization, commercial goods on behalf of non-United Nations personnel on a United Nations aircraft. Disposition: separation from service with compensation in lieu of notice and without termination indemnity. Appeal: none.", "70. A staff member arranged a contract for a third party to discharge existing claims by the third party against the Organization. Disposition: written censure. Appeal: none.", "71. A staff member failed to honour her private legal obligations with respect to the payment of rental arrears and associated legal costs. Disposition: demotion of one grade, with deferment for two years of eligibility for consideration for promotion, and censure. Appeal: none.", "72. A staff member repeatedly failed to comply with the instructions issued by the Secretary-General regarding settlement of private legal obligations. Disposition: demotion of one grade with deferment for three years of eligibility for consideration for promotion. Appeal: none.", "IV. Summary of cases received and completed during the reporting period 1 July 2010-30 June 2011", "A. Cases received by the Office of Human Resources Management", "73. The tables and figures in this section provide information on the numbers and types of cases that were referred to the Office of Human Resources Management for action during the reporting period from 1 July 2010 to 30 June 2011.", "Cases received by the Office of Human Resources Management during the reporting period", "Staff based at United Nations Headquarters and offices away 60 from Headquarters", "Field staff 63", "Total 123", "Cases received by type of misconduct", "Abuse of authority/harassment/discrimination 7", "Assault (verbal and physical) 14", "Computer-related misconduct 16", "Financial disclosure 23", "Fraud/misrepresentation 25", "Sexual exploitation and sexual abuse 3", "Theft/misappropriation 13", "Outside activities 2", "Violation of local laws 3", "Other 17", "Total 123", "Figure I", "[]", "Number of cases received by the Office of Human Resources Management in the past five reporting periods", "1 July 2010 to 30 June 2011 123", "1 July 2009 to 30 June 2010 167", "1 July 2008 to 30 June 2009 440^(a)", "1 July 2007 to 30 June 2008 198", "1 July 2006 to 30 June 2007 56", "^(a) A number of these cases were related to allegations of misuse of information and communications technology resources and failure to meet financial disclosure obligations.", "Figure II", "[]", "B. Cases completed during the reporting period", "74. The tables and figures in this section provide information on the numbers and disposition of cases completed during the reporting period, including those that did not result in the imposition of a disciplinary measure. It should be noted that, owing to the time required to process disciplinary matters under established procedures, including the need to obtain further information after the investigation, and the requirement to give staff members an opportunity to provide comments on charges of misconduct, the figures reflect cases completed during the reporting period that had been referred to the Office of Human Resources Management both prior to and during the reporting period.", "Disposition of cases completed, 1 July 2010-30 June 2011", "Dismissals 14", "Other disciplinary measures 93", "Administrative measures^(a) 19", "Closed with no measure 80", "Not pursued 38", "Separation of the staff member after referral of the 26 case to the Office of Human Resources Management prior to the completion of the disciplinary process (e.g., resignation, retirement, end of contract)", "Other 1", "Total 271", "^(a) Administrative measures include written or oral reprimands, warnings and letters of caution, all of which are important for upholding standards of proper conduct and promoting accountability. In addition, where behaviour affects performance, the issue is addressed in the context of performance management, which may include training, counselling, withholding of salary increments and non-renewal or termination of appointment.", "Figure III", "[]", "Number of cases completed by the Office of Human Resources Management in the past five reporting periods", "1 July 2010 to 30 June 2011 271", "1 July 2009 to 30 June 2010 100", "1 July 2008 to 30 June 2009 301", "1 July 2007 to 30 June 2008 90", "1 July 2006 to 30 June 2007 76", "[]Figure IV", "V. Possible criminal behaviour", "75. In its resolution 59/287, the General Assembly requested the Secretary-General to take action expeditiously in cases of proven misconduct and/or criminal behaviour and to inform Member States about the actions taken. During the reporting period, eight cases involving credible allegations of criminal conduct by United Nations officials or experts on mission were referred to Member States. The Secretary-General is not aware of any action taken in respect of such cases by the Member States concerned.", "VI. Conclusion", "76. The Secretary-General submits the present report to the General Assembly for its consideration.", "[1] Provisions relating to the status, rights and obligations of staff members, and to disciplinary matters, can be found in the electronic Human Resources Handbook under the headings “Status, basic rights and duties” and “Disciplinary”.", "[2] See also ST/SGB/2008/5, on the prohibition of discrimination, harassment, including sexual harassment, and abuse of authority.", "[3] The head of administration in a mission will refer the case to the Department of Field Support at Headquarters, which will refer the matter to the Office of Human Resources Management if it concurs with the mission’s assessment.", "[4] Judgements of the Dispute Tribunal relating to disciplinary cases can be found on the website of the Office of the Administration of Justice (www.un.org/en/oaj)." ]

[ "Sixty-sixth session", "∗ A/66/50.", "Item 140 of the provisional agenda*", "Human resources management", "Practice on disciplinary issues and possible criminal acts of the Secretary-General for the period from 1 July 2010 to 30 June 2011", "Report of the Secretary-General", "The present summary is submitted at the request of the General Assembly in paragraph 16 of its resolution 59/287, which calls for annual briefings to Member States on all actions taken in cases where misconduct and/or criminal acts have been confirmed, disciplinary action taken in accordance with established procedures and regulations and, where appropriate, legal action. The report covers the period from 1 July 2010 to 30 June 2011. The General Assembly is invited to take note of the present report.", "Introduction", "The present report is submitted at the request of the General Assembly in paragraph 16 of its resolution 59/287, which calls for annual briefings to Member States on all actions taken in cases where misconduct and/or criminal acts have been confirmed, disciplinary action taken in accordance with established procedures and regulations and, where appropriate, legal action. The report covers the period from 1 July 2010 to 30 June 2011.", "In accordance with paragraph 17 of resolution 59/287, a notice will be issued to all staff of the Organization to communicate the most common examples of misconduct and/or criminal acts and disciplinary action taken in this regard, including any legal action, with due regard to the protection of the privacy of the staff concerned.", "Section II below provides an overview of the administrative mechanisms for the discipline of the new system in order to understand the range of information contained in sections III and IV. Section III outlines cases where the Secretary-General takes one or more disciplinary measures during the reporting period. Section IV presents comparative data on the number of cases submitted for action during the reporting period and describes the treatment of all cases closed during the reporting period, including cases where disciplinary measures have not been taken. Section V illustrates the Secretary-General's approach to cases that may be criminal.", "Overview of administrative mechanisms for discipline in the new system of administration of justice", "Legislative framework regulating the conduct of staff", "Article 101, paragraph 3, of the Charter of the United Nations states that “the decision on the employment of staff and their conditions of service shall be the primary consideration in order to achieve the highest standards of efficiency, competence and integrity”.", "The titles of article I of the Staff Regulations and chapter I of the Staff Rules are “Responsibilities, obligations and privileges”, both stipulate the basic values that the international civil service should have in its own position and the special performance due to such basic values. For example of due or prohibited acts, particular reference is made to Staff Regulations 1.2 and Staff Rules 1.2.", "Disadvantages", "Regulation 10.1 (a) of the Staff Regulations stipulates that “the Secretary-General may take disciplinary measures against staff performing misconduct”. Article 10.1 (a) of the Staff Rules stipulates that “[t]here a staff member fails to comply with the obligations enshrined in the Charter of the United Nations, the Staff Regulations and the Staff Rules and other relevant administrative issuances, or fails to comply with the standards of conduct for international civil servants shall constitute misconduct, which may lead to disciplinary proceedings and disciplinary measures on misconduct”. In addition, Staff Rules 10.1 (c) stipulate that “the decision to investigate allegations of misconduct, initiate disciplinary proceedings and impose disciplinary measures shall be exercised by the Secretary-General or authorized officials”. In these contexts, the Secretary-General has broad discretion in determining what constitutes misconduct and disciplinary measures. The administrative instruction ST/AI/371/Amend.1 on revised disciplinary measures and procedures contains more examples of misconduct that could be taken with regard to disciplinary measures. [2] New administrative instructions on investigation and disciplinary procedures are being prepared and preliminary discussions are being held within management.", "C. Adequate procedures", "If the head of the department or the responsible officer deems it possible for misconduct after the investigation, he or she shall refer the matter to the Assistant Secretary-General for Human Resources to decide whether it should be treated as a disciplinary case. [3] In accordance with the subject and complexity of the investigation, the investigation may be conducted either by a department or by a designated person, or by the Office of Internal Oversight Services, or at the request of the head of the department.", "If the Assistant Secretary-General for Human Resources decides to address this issue as a disciplinary case, the staff member shall be given a written notice of the allegations of misconduct to inform him of the opportunity to comment on the allegations and to inform him of its right to assist the defence through the Office of Staff Legal Assistance or the self-employed counsel. The staff member shall be given a reasonable opportunity to respond to allegations of misconduct. The Assistant Secretary-General for Human Resources shall, in accordance with the comments made by the staff, decide whether to put an end to the complaints procedure without administrative action, or recommend a disciplinary measure. In the latter case, the Assistant Secretary-General for Human Resources shall, on behalf of the Secretary-General, decide whether to implement one or more disciplinary measures set out in Staff Rules 10.2 (a).", "At any time before the investigation until the conclusion of the disciplinary proceedings, the Assistant Secretary-General for Human Resources may, in some cases, decide to arrange administrative leave for staff, which is the case that there is a preliminary evidence that the misconduct of the staff would endanger other United Nations staff or United Nations organizations; in the light of the ongoing investigations and the nature of the function, that staff could not continue to discharge their duties effectively; there is preliminary evidence that the continued presence of the staff would result in the risk of disrupting his or her investigation; or the Department of Safety and Security concluded that the staff would continue to pose a security risk to the Organization. The decision on the placement of staff for unpaid administrative leave was taken by the Under-Secretary-General for Management.", "In accordance with staff rule 10.3 (c), staff who are subject to disciplinary measures may file a complaint with the United Nations Dispute Tribunal in accordance with chapter XI of the Staff Rules, indicating no implementation measures. [4]", "Disciplinary measures", "Article 10.2 (a) of the Staff Rules provides that disciplinary measures may take the following or multiple forms (should implement more than one measure in each case):", "(a) Written training;", "(b) Degrading or file at the level;", "(c) Suspension of salary qualifications within the period specified;", "(d) The suspension of work during the period specified;", "(e) A fine;", "(f) Suspension of the eligibility to be considered for promotion during the specified period;", "(g) Degradation and suspension of eligibility for promotions within the prescribed period;", "(h) Leave, advance notice or award of compensation for replacement of notice, and grant or non-removal compensation;", "(i) Exclusion.", "In determining the appropriate measures, each case should be determined on the basis of its own merits, taking into account the specific circumstances of the case, including the circumstances that could be treated in a tight manner and in a broader manner. In accordance with rule 10.3 (b), disciplinary measures implemented should be proportionate to the nature and severity of the misconduct involved.", "E. Other measures", "Written and oral renouncing, recovering the funds of the Organization and recuperation of paid or suspended administrative leave are not considered disciplinary measures. Such a repression, like a warning or caution, is an important administrative/management measure to maintain standards of conduct and promote accountability. In addition, the issue could be addressed in the management of performance when misconduct affects performance. This may include training, counselling, non-payment of salary, non-extension of contracts or termination of appointments.", "Summary of cases of disciplinary measures taken by the Secretary-General for the period from 1 July 2010 to 30 June 2011", "In cases where a disciplinary measure is taken or has been taken, a summary of the nature of the misconduct and the disciplinary measures taken by the Secretary-General is provided below. The functions or other details of the staff concerned are limited to those who have an increased or reduced role in determining the measures to be taken. The issue of conduct to be dealt with in other ways other than disciplinary measures is not included here.", "Each case brought to the attention of the Secretary-General does not lead to disciplinary or other measures. If the review by the Office of Human Resources Management indicated that there was no sufficient evidence to continue to be held as a disciplinary case or that a satisfactory explanation was provided by staff in response to the allegations, it would be closed and that the staff member had not committed the alleged conduct. If staff members retire before the closure of the disciplinary process or otherwise leave the Organization, the Secretary-General may not be able to take disciplinary measures against the retiring staff. These cases will be recorded and incorporated into the official status files of staff. If the staff member rejoined the Organization, this matter could be further addressed.", "Abuse of authority/ harassment/discrimination", "One staff member, in one recruitment, would be able to stand in a situation where there was a clear risk of conflicts of interest and affected recruitment. Discussed: they were dismissed and fined a month net base. Appeal: The case is still under consideration.", "One staff member had experienced two instances of abuse of colleagues by chewing. Discussed: Appeal: there is no appeal.", "One staff member carried out sexual harassment against a female independent contractor who had been instructed by him for several consecutive months. Discussions: separation, payment of compensation for the replacement of the notice and termination indemnity. Appeal: As of the date of submission of the present report, the appeal deadline has not been reached.", "Acts of attack (or oral and physical)", "One staff member, after having contested another staff member, committed physical assaults against him, rushed her face and side; and was stopped attempting to attack her again. Deliberation: dismissal. Appeal: none.", "One staff member verbally abused another staff member, committed an attack on him and a non-staff woman. Discussed: separation from service, payment of compensation and termination indemnity. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member carried out personal attacks on her wife (also a staff member) twice, throwing her skin and hit her head by bottlenecks. Discussions: separation from service, payment of compensation for the replacement of the notice, but no termination indemnity. Appeal: none.", "One staff member acknowledged the physical attack on his wife. Deliberation: dismissal. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member had experienced a heavy gesture with another staff when trying to take the vehicle keys, followed by physical attacks against her and pushed her back to the ground. Discussions: Degrading and suspension of consideration of their eligibility for promotion within one year. Appeal: none.", "One staff member has been able to use United Nations vehicles for non-official purposes and has been vigilant; the vehicle has been impacted on two custodians and resulted in death at the site. Deliberation: dismissal. Appeal: none.", "One staff member did not listen to instructions from a guard to verbally threaten him or her, but also to another staff to be personally threatened and present to him. Discussed: they were suspended for one year to consider salary increases at their level and to discontinue one week of salary. Appeal: none.", "One staff member verbally abused another staff member and took action with physical threats. Discussions: they were reprimed and 5 cases were in place. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member threatened to inflict bodily harm on a security officer and subsequently assault on him. Discussions: they were reprimed, downgrading at the level and a one-year suspension to consider salary increases at the level. Appeal: none.", "One staff member attacked a guard after alcohol abuse. Discussed: Appeal: none.", "C. Computer-related misconduct", "Three staff members receive and disseminate pornographic material, including child pornography, in the Lotus Notes e-mail accounts. Deliberation: dismissal. Appeal: none.", "Two staff members receive and disseminate a small number of e-mails containing pornographic content in the Lotus Notes e-mail account in public service. Discussed: Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "Thirty-two staff members receive and disseminate a small number of e-mails containing pornographic content in the Lotus Notes e-mail accounts. Discussed: Appeal: a staff member filed a complaint with the Dispute Tribunal and the case is still pending.", "Eight staff members receive, disseminate and store more e-mails containing pornographic content in their official duties. Discussions: they were reprimed, 2 cases were downgraded at the level, and two years were suspended. Appeal: three staff members filed complaints before the Dispute Tribunal and the cases are still pending.", "The staff received at least 246 e-mail containing pornography and other inappropriate images and stored in the creation of documentation loads for eight users. Discussions: separation from service, payment of compensation for the replacement of the notice and non-expended termination indemnity. Appeal: Complaint to the Dispute Tribunal and the case is still pending.", "One staff member deliberately and deliberately entered another staff e-mail without authorization. Deliberation: At the first level, it was suspended for a period of three years to consider their eligibility for promotion and to renounce them. Appeal: none.", "Financial disclosure", "One staff member did not fulfil his financial disclosure obligations. The staff member had been found not to perform financial disclosure obligations relating to the previous reporting period. Discussed: the net base for three months is fined and its promotion is suspended within three years. Appeal: none.", "Four staff members have not fulfilled their financial disclosure obligations. Discussed: they were dismissed and the net base for two months was fined. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "Seven staff members did not fulfil their financial disclosure obligations. Discussed: Appeal: Four have not filed an appeal; three others have not been terminated at the time of submission of the present report.", "E. Fraud/statement", "One staff member, in a United Nations pass to the Personnel Section of the Mission as its official record on the date of the leave, was forged and provided false information in the annual leave report. Discussed: separation from service, payment of compensation and termination indemnity. Appeal: Complaint to the Dispute Tribunal and the case is still pending.", "A staff member submitted to the Organization a bill of achievement for faculty. Discussions: At the first level, the eligibility for promotion has been suspended within three years. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member was ill in participating in a written test held by the Organization to present a standard answer for the test. Discussions: At the first level, the eligibility for promotion has been suspended within three years. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "A staff member will be left behind in his personal curricula vitae to the substantive content of his experience in the work of the United Nations and accept the functions of the post at the G-4 level, which is not eligible. Discussions: at the first level. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member, in his individual curriculum sheets, reported on the substantive content of his education and presented a false diploma. Discussions: separation from service, payment of compensation for the replacement of the notice, but no termination indemnity. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member used a false salary bill in the context of the loan application and was represented in the personal curriculum. Deliberation: dismissal. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member uses the United Nations identifier to call private telephones and record public service calls for a period of more than one year. Discussions: they were dismissed and the eligibility for promotion was suspended within one year. Appeal: none.", "One staff member altered and refined a official document and left the mission area without approval. Discussed: Appeal: none.", "One staff member used United Nations equipment and knowledge obtained in the post of security guards to counter at least two United Nations identity cards and make them available to a non-United Nations staff for financial compensation. Deliberation: dismissal. Appeal: none.", "One staff member used a computer and online bank account for another staff member, without the authorization, and transferred $5,000 of the staff bank account to third parties. Deliberation: dismissal. Appeal: none.", "One staff member, without authorization, changed an official document, i.e. a request for equipment to increase the number of requests for items. Discussions: At the first level, the eligibility for promotion was suspended for two years and was repressed. Appeal: none.", "One staff member was infrastructural in his personal curriculum. Discussed: separation from service, payment of compensation and termination indemnity. Appeal: Complaint to the Dispute Tribunal and the case is still pending.", "One staff member was releasing the substantive content of the education in her personal curricula vitae, and falsely proved that its content was accurate and presented falsely. Discussed: separation from service, payment of compensation and termination indemnity. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member reported substantive aspects of the education in her personal curricula vitae. Discussed: separation from service, payment of compensation and termination indemnity. Appeal: none.", "One staff member reported in her personal curricula vitae on whether she was employed by her family as a substantive part of the Organization. Discussions: separation from service, payment of compensation for the replacement of the notice and non-expended termination indemnity. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "One staff member reported in her personal curriculum vitae statement that she had any relatives employed in the substantive content of the Organization and refused to cooperate with the investigation. Deliberation: dismissal. Appeal: At the time of submission of the present report, the period of appeal has not been terminated.", "Sexual exploitation and abuse", "One staff member is the subject of sexual abuse and sexual exploitation. Deliberation: dismissal. Appeal: appeal to the Dispute Tribunal and the Dispute Tribunal remains seized of the matter.", "One staff member engaged in sexual activity with a woman who was less than 18 years of age and had sexual relations with several United Nations aid beneficiaries, in violation of ST/SGB/2003/13. The staff also use United Nations vehicles for non-official activities without permission. Deliberation: dismissal. Appeal: appeal to the Dispute Tribunal and the Dispute Tribunal remains seized of the matter.", "Theft/approperation", "Theft of a staff member belongs to a number of United Nations arsenal networks. The staff member has been identified as a group of individuals involved in theft and sale of United Nations property. Deliberation: dismissal. Appeal: none.", "At least two gallons of diesel belonging to the United Nations were removed by a staff member; it was not known that the offender was not able to ensure the security of the United Nations property allocated to him, to take reasonable care of the property and to report to the United Nations automotive incidents and to divert the United Nations fuel. Discussions: separation from service, payment of compensation in lieu of notice, and no termination indemnity. Appeal: none.", "One staff member stolen laboratory equipment belonging to United Nations property. Deliberation: dismissal. Appeal: none.", "One staff member stolen and sold diesel fuel belonging to the United Nations. Discussions: separation from service, payment of compensation for the replacement of the notice and compensation for dismissal. Appeal: none.", "In the absence of a licence, a staff member has taken the bank card of another staff member or, without the licence, has made two requests. Discussions: separation from service, payment of compensation in lieu of notice, and no termination indemnity. Appeal: none.", "One staff member was using the binbow to extract and sell 600 litres of diesel fuel belonging to the United Nations. Discussions: separation from service, payment of compensation in lieu of notice, and no termination indemnity. Appeal: none.", "H. External activities", "One staff member was employed in the United Nations for a three-year term without the Secretary-General's permission. Discussions: reprime and fine equivalent to a month net base. Appeal: none.", "One staff member works with others to open a company to receive certain services. Discussions: denunciation at the level of degradation and suspension of the eligibility to pay within one year. Appeal: none.", "One staff member worked in private law without the Secretary-General's permission during his employment in the United Nations. Discussions: senshrines and downgrading at the level. Appeal: none.", "Violations of local law", "One staff member has a controlled substance, thereby violating local law. Discussions: separation from service, payment of compensation for the replacement of the notice and compensation for dismissal. Appeal: appeal to the Dispute Tribunal and the Dispute Tribunal remains seized of the matter.", "One staff member illegally possesses an illegal material in violation of local law. Deliberation: dismissal. Appeal: At the time of the present report, the period of appeal has not been reached.", "One staff member did not report to the Secretary-General the fact that he had been arrested, charged in a criminal case and was summoned by the Court. Discussions: reprime. Appeal: At the time of the present report, the period of appeal has not been reached.", "In violation of local law, a staff member trafficking in narcotic drugs. Discussions: leave and dismissal compensation. Appeal: At the time of the present report, the period of appeal has not been reached.", "J. Other", "One staff member tried to circumvent the airport's formal inspection process in order to transport commercial supplies for non-United Nations personnel without permission. Discussions: separation from service, payment of compensation in lieu of notice, and no termination indemnity. Appeal: none.", "One staff member has arranged a contract for a third party to fulfil existing claims to the United Nations. Discussions: written training. Appeal: none.", "One staff member did not fulfil her private legal obligations and did not pay the rent owed and related legal costs. Discussions: At the first level, the eligibility for the consideration of the promotion was suspended within two years and was repressed. Appeal: none.", "One staff member has repeatedly failed to comply with the instructions issued by the Secretary-General on liquidated obligations due to private debt. Discussions: At the first level, the eligibility for the consideration of promotion was suspended within three years and was dismissed. Appeal: none.", "Summary of cases received and closed during the period from 1 July 2010 to 30 June 2011", "Cases received by the Office of Human Resources Management", "The present section describes the number and types of cases submitted to the Office of Human Resources Management for action during the period from 1 July 2010 to 30 June 2011.", "Cases before the Office of Human Resources Management", "Staff at United Nations Headquarters and at offices away from Headquarters 60", "Field Service 63", "Total 123", "Cases received by category of misconduct", "Abuse of authority/ harassment/discrimination 7", "(Actual and physical) 14", "Computer-related misconduct 16", "Financial disclosure 23", "Fraud/statement 25", "Sexual exploitation and abuse 3", "Theft/appropriation 13", "External activities 2", "Violations of local law 3", "Other 17", "Total 123", "]", "Number of cases received by the Office of Human Resources Management during the past five reporting periods", "1 July 2010 to 30 June 2011 123", "1 July 2009 to 30 June 2010 167", "1 July 2008 to 30 June 2009 440 ka", "1 July 2007 to 30 June 2008 198", "1 July 2006 to 30 June 2007 56", "The allegations in a number of cases involving the misappropriation of information and communications technology resources and non-compliance with financial disclosure obligations.", "[] The cases received during the last five reporting periods", "Cases closed during the reporting period", "The present section describes the number of closed and processed cases during the reporting period, including cases where disciplinary measures have not been taken. It must be noted that, according to established procedures, the time required to deal with disciplinary matters, including the need for further information after the investigation, the staff members should be given the opportunity to justify the alleged misconduct, and therefore the figures in the table reflect cases submitted to the Office of Human Resources Management prior to and during the reporting period.", "Treatment of cases closed from 1 July 2010 to 30 June 2011", "Exclusion 14", "Other disciplinary measures 93", "Administrative measures AD(a) 19", "No measures taken at the time of completion 80", "No accountability 38", "After the case was submitted to the Office of Human Resources Management, staff were separated before the completion of the disciplinary process (e.g. resignation, retirement, contract expiration) 26", "Other", "Total 271", "AD(a) Administrative measures include written or oral pleadings, warnings and reminders, which are important measures to maintain appropriate standards of conduct and promote accountability. In addition, in the event of an act affecting performance, the issue may be addressed in the management of performance, including training, counselling, non-administered salary, non-extension of appointments or termination of appointments.", "Figure III Processing of closed cases", "Over the past five reporting period, the Office of Human Resources Management closed several times.", "1 July 2010 to 30 June 2011 271", "1 July 2009 to 30 June 2010", "1 July 2008 to 30 June 2009 301", "1 July 2007 to 30 June 2008 90", "1 July 2006 to 30 June 2007 76", "Figure IV", "[]", "Possible crimes", "In its resolution 59/287, the General Assembly requested the Secretary-General to expedite action on confirmed crimes and to inform Member States of actions taken. During the reporting period, eight cases were transferred to Member States, including credible allegations of crimes against United Nations officials or experts on mission. The Secretary-General has not been informed of any action taken by Member States on such cases.", "Conclusion", "The Secretary-General wishes to submit the present report to the General Assembly for its consideration.", "A provision on the status, rights and obligations of staff and disciplinary questions is available on the title “Status, basic rights and obligations” of the Human Resources Manual and “Disciplinary issues”.", "[2] See also ST/SGB/2008/5 on prohibition of discrimination, harassment, including sexual harassment and abuse of authority.", "[3] The executive heads of the Mission shall submit the case to the Department of Field Support at Headquarters and, if the Department agrees with the assessment of the mission, the matter shall be referred to the Office of Human Resources Management.", "[4] The Dispute Tribunal's ruling on disciplinary cases is available on the website of the Office of Internal Justice (www.un.org/en/oaj)." ]

[ "第六十五届会议", "议程项目156(b)", "联合国中东维持和平部队经费的筹措：联合国驻黎巴嫩临时部队", "第五委员会的报告", "报告员：尼科尔·安·曼尼恩女士(爱尔兰)", "一. 导言", "1. 在2010年9月17日第2次全体会议上，大会根据总务委员会的建议，决定将题为“联合国中东维持和平部队经费的筹措：联合国驻黎巴嫩临时部队”的项目列入大会第六十五届会议议程，并分配给第五委员会。", "2. 第五委员会在2011年5月5日和26日及6月30日第34、40和42次会议上审议了该项目。在委员会审议该项目过程中所作的发言和发表的意见反映在有关简要记录(A/C.5/65/SR.34、40和42)中。", "3. 在审议该项目时，委员会面前有下列文件：", "(a) 秘书长关于联合国驻黎巴嫩临时部队2009年7月1日至2010年6月30日期间预算执行情况的报告(A/65/608和Corr.1)；", "(b) 秘书长关于联合国驻黎巴嫩临时部队2011年7月1日至2012年6月30日预算的报告(A/65/756)；", "(c) 行政和预算问题咨询委员会的有关报告(A/65/743/Add.9)。", "^(*) 因技术原因于2011年7月26日重新印发。", "二. 决议草案A/C.5/65/L.37的审议情况", "4. 在5月26日第40次会议上，新西兰代表通知委员会，在有关该项目的非正式磋商期间没有达成协商一致。", "5. 在同次会议上，阿根廷代表以属于77国集团的联合国会员国和中国的名义介绍了题为“联合国驻黎巴嫩临时部队经费的筹措”的决议草案(A/C.5/65/L.37)。", "6. 在6月30日第42次会议上，秘书宣读了主席根据非正式磋商对决议草案提出的修正案如下：", "(a) 在执行部分第11段，在“认可行政和预算问题咨询委员会报告所载的结论和建议，”后插入“但以符合本决议的规定为前提”；", "(b) 在执行部分第11段之后，增加一个新段落，案文如下：", "“12. 注意到已根据第65/289号决议的规定对批款总数作出调整；”", "并将后面各段相应重新编号；", "(c) 在执行部分第17段(先前第16段)，将数字542 652 500改为545 470 600，并相应更新第18至21段(先前第17至20段)。", "7. 在同次会议上，以色列代表在表决前发言(见A/C.5/65/SR.42)。", "8. 同次会议还要求对经修正的决议草案序言部分第四段以及执行部分第4、5和15段进行记录表决。会议还要求对决议草案全文进行记录表决。", "9. 在同次会议上，委员会就决议草案A/C.5/65/L.37表决如下：", "(a) 序言部分第四段以及执行部分第4、5和15段经记录表决，以71票对3票、51票弃权获得保留。表决结果如下：", "赞成：", "阿尔及利亚、安提瓜和巴布达、阿根廷、亚美尼亚、巴林、孟加拉国、巴巴多斯、伯利兹、巴西、文莱达鲁萨兰国、布基纳法索、柬埔寨、智利、中国、哥伦比亚、哥斯达黎加、古巴、朝鲜民主主义人民共和国、吉布提、多米尼加共和国、厄瓜多尔、埃及、萨尔瓦多、厄立特里亚、加纳、危地马拉、圭亚那、海地、洪都拉斯、印度、印度尼西亚、伊朗伊斯兰共和国、伊拉克、约旦、科威特、老挝人民民主共和国、黎巴嫩、马来西亚、马尔代夫、毛里塔尼亚、毛里求斯、墨西哥、蒙古、摩洛哥、缅甸、纳米比亚、尼泊尔、阿曼、巴基斯坦、秘鲁、菲律宾、卡塔尔、俄罗斯联邦、沙特阿拉伯、塞内加尔、新加坡、南非、苏丹、苏里南、阿拉伯叙利亚共和国、泰国、东帝汶、多哥、特立尼达和多巴哥、阿拉伯联合酋长国、坦桑尼亚联合共和国、乌拉圭、委内瑞拉玻利瓦尔共和国、越南、也门、津巴布韦。", "反对：", "加拿大、以色列、美利坚合众国。", "弃权：", "阿尔巴尼亚、澳大利亚、奥地利、比利时、贝宁、波斯尼亚和黑塞哥维那、保加利亚、喀麦隆、刚果、科特迪瓦、克罗地亚、塞浦路斯、捷克共和国、丹麦、爱沙尼亚、芬兰、法国、格鲁吉亚、德国、希腊、匈牙利、冰岛、爱尔兰、意大利、日本、列支敦士登、立陶宛、卢森堡、马达加斯加、马耳他、摩纳哥、黑山、荷兰、新西兰、挪威、巴拿马、波兰、葡萄牙、大韩民国、摩尔多瓦共和国、罗马尼亚、塞尔维亚、斯洛伐克、斯洛文尼亚、西班牙、瑞典、瑞士、前南斯拉夫的马其顿共和国、图瓦卢、乌克兰、大不列颠及北爱尔兰联合王国。", "(b) 经修正的决议草案A/C.5/65/L.37全文经记录表决，以121票对3票、1票弃权获得通过(见第11段)。表决结果如下：", "赞成：", "阿尔巴尼亚、阿尔及利亚、安提瓜和巴布达、阿根廷、亚美尼亚、澳大利亚、奥地利、巴林、孟加拉国、巴巴多斯、白俄罗斯、比利时、伯利兹、波斯尼亚和黑塞哥维那、巴西、文莱达鲁萨兰国、保加利亚、布基纳法索、柬埔寨、喀麦隆、智利、中国、哥伦比亚、刚果、哥斯达黎加、科特迪瓦、克罗地亚、古巴、塞浦路斯、捷克共和国、朝鲜民主主义人民共和国、丹麦、吉布提、多米尼加共和国、厄瓜多尔、埃及、萨尔瓦多、厄立特里亚、爱沙尼亚、芬兰、法国、格鲁吉亚、德国、加纳、希腊、危地马拉、圭亚那、海地、洪都拉斯、匈牙利、冰岛、印度、印度尼西亚、伊朗伊斯兰共和国、伊拉克、爱尔兰、意大利、日本、约旦、科威特、老挝人民民主共和国、黎巴嫩、列支敦士登、立陶宛、卢森堡、马达加斯加、马来西亚、马尔代夫、马耳他、毛里塔尼亚、毛里求斯、墨西哥、摩纳哥、蒙古、黑山、摩洛哥、缅甸、纳米比亚、尼泊尔、荷兰、新西兰、挪威、阿曼、巴基斯坦、巴拿马、秘鲁、菲律宾、波兰、葡萄牙、卡塔尔、大韩民国、摩尔多瓦共和国、罗马尼亚、俄罗斯联邦、沙特阿拉伯、塞内加尔、塞尔维亚、新加坡、斯洛伐克、斯洛文尼亚、南非、西班牙、苏丹、苏里南、瑞典、瑞士、阿拉伯叙利亚共和国、泰国、前南斯拉夫的马其顿共和国、东帝汶、多哥、特立尼达和多巴哥、乌克兰、阿拉伯联合酋长国、大不列颠及北爱尔兰联合王国、坦桑尼亚联合共和国、乌拉圭、委内瑞拉玻利瓦尔共和国、越南、也门、津巴布韦。", "反对：", "加拿大、以色列、美利坚合众国。", "弃权：", "图瓦卢。", "10. 决议草案通过后，匈牙利代表以属于欧洲联盟的联合国会员国的名义发了言(见A/C.5/65/SR.42)。", "三. 第五委员会的建议", "11. 第五委员会建议大会通过下列决议草案：", "联合国驻黎巴嫩临时部队经费的筹措", "大会，", "审议了秘书长关于联合国驻黎巴嫩临时部队经费筹措的报告[1] 以及行政和预算问题咨询委员会的有关报告，[2]", "回顾安全理事会1978年3月19日关于设立联合国驻黎巴嫩临时部队的第425(1978)号决议及安理会其后延长该部队任务的各项决议，最近的是2010年8月30日第1937(2010)号决议，其中安理会将该部队的任务延长至2011年8月31日，", "又回顾大会关于该部队经费筹措的1978年4月21日S-8/2号决议及其后的各项有关决议，最近的是2010年6月24日第64/282号决议，", "重申其1997年6月13日第51/233号、1998年6月26日第52/237号、1999年6月8日第53/227号、2000年6月15日第54/267号、2000年12月19日第55/180 A号、2001年6月14日第55/180 B号、2001年12月21日第56/214 A号、2002年6月27日第56/214 B号、2003年6月18日第57/325号、2004年6月18日第58/307号、2005年6月22日第59/307号、2006年6月30日第60/278号、2006年12月22日第61/250 A号、2007年4月2日第61/250 B号、2007年6月29日第61/250 C号、2008年6月20日第62/265号、2009年6月30日第63/298号和2010年6月24日第64/282号决议，", "又重申大会1963年6月27日第1874(S-IV)号、1973年12月11日第3101(XXVIII)号和2000年12月23日第55/235号决议阐述的联合国维持和平行动经费筹措一般原则，", "赞赏地注意到已向该部队作出的自愿捐助，", "意识到必须为该部队提供必要的经费，使其能够履行安全理事会有关决议规定的职责，", "1. 请秘书长责成联合国驻黎巴嫩临时部队首长完全按照大会2005年6月22日第59/296号、2006年6月30日第60/266号、2007年6月29日第61/276号、2010年6月24日第64/269号和2011年6月30日第65/289号决议及其他相关决议的规定编制今后的拟议预算；", "2. 表示注意到截至2011年4月30日该部队摊款的缴纳情况，包括未缴摊款5 950万美元，约占摊款总额的1%，关切地注意到只有91个会员国已足额缴纳摊款，并促请所有其他会员国，尤其是拖欠国，确保缴纳未缴摊款；", "3. 表示赞赏已足额缴纳摊款的会员国，并促请所有其他会员国尽力确保足额缴纳为该部队分摊的款项；", "4. 深表关切以色列没有遵守第51/233、52/237、53/227、54/267、55/180 A、55/180 B、56/214 A、56/214 B、57/325、58/307、59/307、60/278、61/250 A、61/250 B、61/250 C、62/265、63/298和64/282号决议；", "5. 再次强调指出以色列应严格遵守第51/233、52/237、53/227、54/267、55/180 A、55/180 B、56/214 A、56/214 B、57/325、58/307、59/307、60/278、61/250 A、61/250 B、61/250 C、62/265、63/298和64/282号决议；", "6. 表示关切维持和平活动的财政状况，特别是向部队派遣国偿还费用的情况，这些国家因会员国逾期未缴摊款而承受额外负担；", "7. 又表示关切秘书长在部署最近一些维持和平特派团，特别是在非洲的特派团，及向其提供适当资源方面受到耽搁；", "8. 强调对今后和现有的所有维持和平特派团，在财政和行政安排方面应予平等对待、一视同仁；", "9. 又强调应向所有维持和平特派团提供适当资源，使其能够有成效、有效率地完成各自的任务；", "10. 请秘书长确保拟议维持和平预算以相关立法授权为依据；", "11. 认可行政和预算问题咨询委员会报告² 所载的结论和建议，但以符合本决议的规定为前提，并请秘书长确保予以充分落实；", "12. 注意到已根据第65/289号决议的规定对批款总数作出调整；", "13. 请秘书长确保第59/296、60/266、61/276、64/269和65/289号决议的相关规定得到充分执行；", "14. 又请秘书长采取一切必要行动，确保以最有效率、最节省的方式管理该部队；", "15. 再次请秘书长采取必要措施，确保充分执行第51/233号决议第8段、第52/237号决议第5段、第53/227号决议第11段、第54/267号决议第14段、第55/180 A号决议第14段、第55/180 B号决议第15段、第56/214 A号决议第13段、第56/214 B号决议第13段、第57/325号决议第14段、第58/307号决议第13段、第59/307号决议第13段、第60/278号决议第17段、第61/250 A号决议第21段、第61/250 B号决议第20段、第61/250 C号决议第20段、第62/265号决议第21段、第63/298号决议第19段和第64/282号决议第18段，再次强调指出，以色列应支付因1996年4月18日卡纳事件而引起的1 117 005美元，并请秘书长就此事向大会第六十六届会议提交报告；", "2009年7月1日至2010年6月30日期间财务执行情况报告", "16. 表示注意到秘书长关于该部队2009年7月1日至2010年6月30日期间财务执行情况的报告；[3]", "2011年7月1日至2012年6月30日期间预算估计数", "17. 决定批款580 331 600美元给联合国驻黎巴嫩临时部队特别账户，充作该部队2011年7月1日至2012年6月30日期间的经费，其中包括该部队的维持费545 470 600美元，给维持和平行动支助账户的29 540 600美元，以及给意大利布林迪西联合国后勤基地的5 320 400美元；", "批款的筹措", "18. 又决定，考虑到大会2009年12月24日第64/248号决议规定的2011年分摊比额表，由会员国按照其2009年12月24日第64/249号决议修订的等级分摊96 721 900美元，充作2011年7月1日至8月31日期间的经费；", "19. 还决定，根据其1955年12月15日第973(X)号决议的规定，从上文第18段规定的会员国摊款中减除会员国在衡平征税基金内2 558 100美元中各自应分的数额，基金内的这笔款项包括该部队的核定工作人员薪金税收入估计数2 047 900美元，支助账户的核定工作人员薪金税收入估计数中按比例应分的数额417 000美元，以及联合国后勤基地的核定工作人员薪金税收入估计数中按比例应分的数额93 200美元；", "20. 决定，考虑到第64/248号决议规定的2011年和2012年分摊比额表，由会员国按照第64/249号决议修订的等级分摊483 609 700美元，每月48 360 967美元，充作2011年9月1日至2012年6月30日期间的经费，但以安全理事会决定延长该部队的任务为前提；", "21. 又决定，根据第973(X)号决议的规定，从上文第20段规定的会员国摊款中减除会员国在衡平征税基金内12 790 300美元中各自应分的数额，基金内的该笔款项包括该部队的核定工作人员薪金税收入估计数10 239 500美元，支助账户的核定工作人员薪金税收入估计数中按比例应分的数额2 085 000美元，以及联合国后勤基地的核定工作人员薪金税收入估计数中按比例应分的数额465 800美元；", "22. 还决定，对于已经对该部队履行财政义务的会员国，考虑到大会第64/248号决议规定的2010年分摊比额表，并按照大会2009年12月24日第64/249号决议修订的等级，从上文第18段规定的摊款中减除2010年6月30日终了财政期间未支配余额和其他收入共计62 951 500美元中各自应分的数额；", "23. 决定，对于尚未履行对该部队财政义务的会员国，按照上文第22段规定的办法，从其所欠款项中减除2010年6月30日终了财政期间未支配余额和其他收入共计62 951 500美元中各自应分的数额；", "24. 又决定，上文第22和23段提及的62 951 500美元所产生的贷项，应加上2010年6月30日终了财政期间工作人员薪金税收入估计数的增加额1 081 300美元；", "25. 强调任何维持和平特派团都不得借用其他在役维持和平特派团的经费；", "26. 鼓励秘书长铭记安全理事会2003年8月26日第1502(2003)号决议第5和第6段，继续采取进一步措施，确保在联合国主持下参与该部队的所有人员的安全和安保；", "27. 邀请各方向该部队自愿捐助现金以及秘书长可以接受的服务和用品，这些捐助将按照大会规定的程序和做法适当管理；", "28. 决定在其第六十六届会议临时议程中题为“联合国中东维持和平部队经费的筹措”的项目下列入题为“联合国驻黎巴嫩临时部队”的分项。", "[1] A/65/608及Corr.1和A/65/756。", "[2] A/65/743/Add.9。", "[3] A/65/608和Corr.1。" ]

[ "Sixty-fifth session", "Agenda item 156 (b)", "Financing of the United Nations peacekeeping forces in the Middle East: United Nations Interim Force in Lebanon", "Report of the Fifth Committee", "Rapporteur: Ms. Nicole Ann Mannion (Ireland)", "I. Introduction", "* Reissued for technical reasons on 26 July 2011.", "1. At its 2nd plenary meeting, on 17 September 2010, the General Assembly, on the recommendation of the General Committee, decided to include in the agenda of its sixty-fifth session the item entitled “Financing of the United Nations peacekeeping forces in the Middle East: United Nations Interim Force in Lebanon” and to allocate it to the Fifth Committee.", "2. The Fifth Committee considered the item at its 34th, 40th and 42nd meetings, on 5 and 26 May and 30 June 2011. Statements and observations made in the course of the Committee’s consideration of the item are reflected in the relevant summary records (A/C.5/65/SR.34, 40 and 42).", "3. For its consideration of the item, the Committee had before it the following documents:", "(a) Report of the Secretary-General on the budget performance of the United Nations Interim Force in Lebanon for the period from 1 July 2009 to 30 June 2010 (A/65/608 and Corr.1);", "(b) Report of the Secretary-General on the budget for the United Nations Interim Force in Lebanon for the period from 1 July 2011 to 30 June 2012 (A/65/756);", "(c) Related report of the Advisory Committee on Administrative and Budgetary Questions (A/65/743/Add.9).", "II. Consideration of draft resolution A/C.5/65/L.37", "4. At the 40th meeting, on 26 May, the representative of New Zealand informed the Committee that no consensus had been reached during the informal consultations on this item.", "5. At the same meeting, the representative of Argentina, on behalf of the States Members of the United Nations that are members of the Group of 77 and China, introduced a draft resolution entitled “Financing of the United Nations Interim Force in Lebanon” (A/C.5/65/L.37).", "6. At the 42nd meeting, on 30 June, the Secretary read out amendments to the draft resolution, proposed by the Chair on the basis of informal consultations, by which:", "(a) In operative paragraph 11, the phrase “subject to the provisions of the present resolution” would be inserted after the words “Advisory Committee on Administrative and Budgetary Questions”;", "(b) After operative paragraph 11, a new paragraph would be added, reading:", "“12. Notes that the overall level of appropriation has been adjusted in accordance with the terms of resolution 65/289”", "and the subsequent paragraphs would be renumbered accordingly;", "(c) In operative paragraph 17 (former paragraph 16), the figure 542,652,500 would be replaced with 545,470,600, and paragraphs 18 to 21 (former paragraphs 17 to 20) would be updated accordingly.", "7. At the same meeting, the representative of Israel made a statement before the vote (see A/C.5/65/SR.42).", "8. Also at the same meeting, a recorded vote was requested on the fourth preambular paragraph and operative paragraphs 4, 5 and 15 of the draft resolution, as amended. A recorded vote was also requested on the draft resolution as a whole.", "9. At the same meeting, the Committee voted on draft resolution A/C.5/65/L.37 as follows:", "(a) The fourth preambular paragraph and operative paragraphs 4, 5 and 15 were retained by a recorded vote of 71 to 3, with 51 abstentions. The voting was as follows:", "In favour:", "Algeria, Antigua and Barbuda, Argentina, Armenia, Bahrain, Bangladesh, Barbados, Belize, Brazil, Brunei Darussalam, Burkina Faso, Cambodia, Chile, China, Colombia, Costa Rica, Cuba, Democratic People’s Republic of Korea, Djibouti, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Ghana, Guatemala, Guyana, Haiti, Honduras, India, Indonesia, Iran (Islamic Republic of), Iraq, Jordan, Kuwait, Lao People’s Democratic Republic, Lebanon, Malaysia, Maldives, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Myanmar, Namibia, Nepal, Oman, Pakistan, Peru, Philippines, Qatar, Russian Federation, Saudi Arabia, Senegal, Singapore, South Africa, Sudan, Suriname, Syrian Arab Republic, Thailand, Timor-Leste, Togo, Trinidad and Tobago, United Arab Emirates, United Republic of Tanzania, Uruguay, Venezuela (Bolivarian Republic of), Viet Nam, Yemen, Zimbabwe.", "Against:", "Canada, Israel, United States of America.", "Abstaining:", "Albania, Australia, Austria, Belgium, Benin, Bosnia and Herzegovina, Bulgaria, Cameroon, Congo, Côte d’Ivoire, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Georgia, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Liechtenstein, Lithuania, Luxembourg, Madagascar, Malta, Monaco, Montenegro, Netherlands, New Zealand, Norway, Panama, Poland, Portugal, Republic of Korea, Republic of Moldova, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, the former Yugoslav Republic of Macedonia, Tuvalu, Ukraine, United Kingdom of Great Britain and Northern Ireland.", "(b) Draft resolution A/C.5/65/L.37, as a whole, as amended was adopted by a recorded vote of 121 to 3, with 1 abstention (see para. 11). The voting was as follows:", "In favour:", "Albania, Algeria, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, Bahrain, Bangladesh, Barbados, Belarus, Belgium, Belize, Bosnia and Herzegovina, Brazil, Brunei Darussalam, Bulgaria, Burkina Faso, Cambodia, Cameroon, Chile, China, Colombia, Congo, Costa Rica, Côte d’Ivoire, Croatia, Cuba, Cyprus, Czech Republic, Democratic People’s Republic of Korea, Denmark, Djibouti, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Estonia, Finland, France, Georgia, Germany, Ghana, Greece, Guatemala, Guyana, Haiti, Honduras, Hungary, Iceland, India, Indonesia, Iran (Islamic Republic of), Iraq, Ireland, Italy, Japan, Jordan, Kuwait, Lao People’s Democratic Republic, Lebanon, Liechtenstein, Lithuania, Luxembourg, Madagascar, Malaysia, Maldives, Malta, Mauritania, Mauritius, Mexico, Monaco, Mongolia, Montenegro, Morocco, Myanmar, Namibia, Nepal, Netherlands, New Zealand, Norway, Oman, Pakistan, Panama, Peru, Philippines, Poland, Portugal, Qatar, Republic of Korea, Republic of Moldova, Romania, Russian Federation, Saudi Arabia, Senegal, Serbia, Singapore, Slovakia, Slovenia, South Africa, Spain, Sudan, Suriname, Sweden, Switzerland, Syrian Arab Republic, Thailand, the former Yugoslav Republic of Macedonia, Timor-Leste, Togo, Trinidad and Tobago, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United Republic of Tanzania, Uruguay, Venezuela (Bolivarian Republic of), Viet Nam, Yemen, Zimbabwe.", "Against:", "Canada, Israel, United States of America.", "Abstaining:", "Tuvalu.", "10. After the adoption of the draft resolution, a statement was made by the representative of Hungary, on behalf of the States Members of the United Nations that are members of the European Union (see A/C.5/65/SR.42).", "III. Recommendation of the Fifth Committee", "11. The Fifth Committee recommends to the General Assembly the adoption of the following draft resolution:", "Financing of the United Nations Interim Force in Lebanon", "The General Assembly,", "Having considered the reports of the Secretary-General on the financing of the United Nations Interim Force in Lebanon[1] and the related report of the Advisory Committee on Administrative and Budgetary Questions,[2]", "Recalling Security Council resolution 425 (1978) of 19 March 1978 regarding the establishment of the United Nations Interim Force in Lebanon and the subsequent resolutions by which the Council extended the mandate of the Force, the latest of which was resolution 1937 (2010) of 30 August 2010, by which the Council extended the mandate of the Force until 31 August 2011,", "Recalling also its resolution S-8/2 of 21 April 1978 on the financing of the Force and its subsequent resolutions thereon, the latest of which was resolution 64/282 of 24 June 2010,", "Reaffirming its resolutions 51/233 of 13 June 1997, 52/237 of 26 June 1998, 53/227 of 8 June 1999, 54/267 of 15 June 2000, 55/180 A of 19 December 2000, 55/180 B of 14 June 2001, 56/214 A of 21 December 2001, 56/214 B of 27 June 2002, 57/325 of 18 June 2003, 58/307 of 18 June 2004, 59/307 of 22 June 2005, 60/278 of 30 June 2006, 61/250 A of 22 December 2006, 61/250 B of 2 April 2007, 61/250 C of 29 June 2007, 62/265 of 20 June 2008, 63/298 of 30 June 2009 and 64/282 of 24 June 2010,", "Reaffirming also the general principles underlying the financing of United Nations peacekeeping operations, as stated in General Assembly resolutions 1874 (S-IV) of 27 June 1963, 3101 (XXVIII) of 11 December 1973 and 55/235 of 23 December 2000,", "Noting with appreciation that voluntary contributions have been made to the Force,", "Mindful of the fact that it is essential to provide the Force with the financial resources necessary to enable it to fulfil its responsibilities under the relevant resolutions of the Security Council,", "1. Requests the Secretary-General to entrust the Head of the United Nations Interim Force in Lebanon with the task of formulating future budget proposals in full accordance with the provisions of General Assembly resolutions 59/296 of 22 June 2005, 60/266 of 30 June 2006, 61/276 of 29 June 2007, 64/269 of 24 June 2010 and 65/289 of 30 June 2011, as well as other relevant resolutions;", "2. Takes note of the status of contributions to the Force as at 30 April 2011, including the contributions outstanding in the amount of 59.5 million United States dollars, representing some 1 per cent of the total assessed contributions, notes with concern that only ninety-one Member States have paid their assessed contributions in full, and urges all other Member States, in particular those in arrears, to ensure payment of their outstanding assessed contributions;", "3. Expresses its appreciation to those Member States which have paid their assessed contributions in full, and urges all other Member States to make every possible effort to ensure payment of their assessed contributions to the Force in full;", "4. Expresses deep concern that Israel did not comply with resolutions 51/233, 52/237, 53/227, 54/267, 55/180 A, 55/180 B, 56/214 A, 56/214 B, 57/325, 58/307, 59/307, 60/278, 61/250 A, 61/250 B, 61/250 C, 62/265, 63/298 and 64/282;", "5. Stresses once again that Israel should strictly abide by resolutions 51/233, 52/237, 53/227, 54/267, 55/180 A, 55/180 B, 56/214 A, 56/214 B, 57/325, 58/307, 59/307, 60/278, 61/250 A, 61/250 B, 61/250 C, 62/265, 63/298 and 64/282;", "6. Expresses concern at the financial situation with regard to peacekeeping activities, in particular as regards the reimbursements to troop contributors that bear additional burdens owing to overdue payments by Member States of their assessments;", "7. Also expresses concern at the delay experienced by the Secretary-General in deploying and providing adequate resources to some recent peacekeeping missions, in particular those in Africa;", "8. Emphasizes that all future and existing peacekeeping missions shall be given equal and non-discriminatory treatment in respect of financial and administrative arrangements;", "9. Also emphasizes that all peacekeeping missions shall be provided with adequate resources for the effective and efficient discharge of their respective mandates;", "10. Requests the Secretary-General to ensure that proposed peacekeeping budgets are based on the relevant legislative mandates;", "11. Endorses the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions,² subject to the provisions of the present resolution, and requests the Secretary-General to ensure their full implementation;", "12. Notes that the overall level of appropriation has been adjusted in accordance with the terms of resolution 65/289;", "13. Requests the Secretary-General to ensure the full implementation of the relevant provisions of its resolutions 59/296, 60/266, 61/276, 64/269 and 65/289;", "14. Also requests the Secretary-General to take all action necessary to ensure that the Force is administered with a maximum of efficiency and economy;", "15. Reiterates its request to the Secretary-General to take the measures necessary to ensure the full implementation of paragraph 8 of resolution 51/233, paragraph 5 of resolution 52/237, paragraph 11 of resolution 53/227, paragraph 14 of resolution 54/267, paragraph 14 of resolution 55/180 A, paragraph 15 of resolution 55/180 B, paragraph 13 of resolution 56/214 A, paragraph 13 of resolution 56/214 B, paragraph 14 of resolution 57/325, paragraph 13 of resolution 58/307, paragraph 13 of resolution 59/307, paragraph 17 of resolution 60/278, paragraph 21 of resolution 61/250 A, paragraph 20 of resolution 61/250 B, paragraph 20 of resolution 61/250 C, paragraph 21 of resolution 62/265, paragraph 19 of resolution 63/298 and paragraph 18 of resolution 64/282, stresses once again that Israel shall pay the amount of 1,117,005 dollars resulting from the incident at Qana on 18 April 1996, and requests the Secretary-General to report on this matter to the General Assembly at its sixty-sixth session;", "Financial performance report for the period from 1 July 2009 to 30 June 2010", "16. Takes note of the report of the Secretary-General on the financial performance of the Force for the period from 1 July 2009 to 30 June 2010;[3]", "Budget estimates for the period from 1 July 2011 to 30 June 2012", "17. Decides to appropriate to the Special Account for the United Nations Interim Force in Lebanon the amount of 580,331,600 dollars for the period from 1 July 2011 to 30 June 2012, inclusive of 545,470,600 dollars for the maintenance of the Force, 29,540,600 dollars for the support account for peacekeeping operations and 5,320,400 dollars for the United Nations Logistics Base at Brindisi, Italy;", "Financing of the appropriation", "18. Also decides to apportion among Member States the amount of 96,721,900 dollars for the period from 1 July to 31 August 2011, in accordance with the levels updated in General Assembly resolution 64/249 of 24 December 2009, and taking into account the scale of assessments for 2011, as set out in Assembly resolution 64/248 of 24 December 2009;", "19. Further decides that, in accordance with the provisions of its resolution 973 (X) of 15 December 1955, there shall be offset against the apportionment among Member States, as provided for in paragraph 18 above, their respective share in the Tax Equalization Fund in the amount of 2,558,100 dollars, comprising the estimated staff assessment income of 2,047,900 dollars approved for the Force, the prorated share of 417,000 dollars of the estimated staff assessment income approved for the support account and the prorated share of 93,200 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "20. Decides to apportion among Member States the amount of 483,609,700 dollars for the period from 1 September 2011 to 30 June 2012 at a monthly rate of 48,360,967 dollars, in accordance with the levels updated in its resolution 64/249, and taking into account the scale of assessments for 2011 and 2012, as set out in its resolution 64/248, subject to a decision of the Security Council to extend the mandate of the Force;", "21. Also decides that, in accordance with the provisions of its resolution 973 (X), there shall be offset against the apportionment among Member States, as provided for in paragraph 20 above, their respective share in the Tax Equalization Fund of 12,790,300 dollars, comprising the estimated staff assessment income of 10,239,500 dollars approved for the Force, the prorated share of 2,085,000 dollars of the estimated staff assessment income approved for the support account and the prorated share of 465,800 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "22. Further decides that, for Member States that have fulfilled their financial obligations to the Force, there shall be offset against their apportionment, as provided for in paragraph 18 above, their respective share of the unencumbered balance and other income in the total amount of 62,951,500 dollars in respect of the financial period ended 30 June 2010, in accordance with the levels updated in its resolution 64/249 of 24 December 2009, and taking into account the scale of assessments for 2010, as set out in its resolution 64/248;", "23. Decides that, for Member States that have not fulfilled their financial obligations to the Force, there shall be offset against their outstanding obligations their respective share of the unencumbered balance and other income in the total amount of 62,951,500 dollars in respect of the financial period ended 30 June 2010, in accordance with the scheme set out in paragraph 22 above;", "24. Also decides that the increase of 1,081,300 dollars in the estimated staff assessment income in respect of the financial period ended 30 June 2010 shall be added to the credits from the amount of 62,951,500 dollars referred to in paragraphs 22 and 23 above;", "25. Emphasizes that no peacekeeping mission shall be financed by borrowing funds from other active peacekeeping missions;", "26. Encourages the Secretary-General to continue to take additional measures to ensure the safety and security of all personnel participating in the Force under the auspices of the United Nations, bearing in mind paragraphs 5 and 6 of Security Council resolution 1502 (2003) of 26 August 2003;", "27. Invites voluntary contributions to the Force in cash and in the form of services and supplies acceptable to the Secretary-General, to be administered, as appropriate, in accordance with the procedure and practices established by the General Assembly;", "28. Decides to include in the provisional agenda of its sixty-sixth session, under the item entitled “Financing of the United Nations peacekeeping forces in the Middle East”, the sub-item entitled “United Nations Interim Force in Lebanon”.", "[1] A/65/608 and Corr.1 and A/65/756.", "[2] A/65/743/Add.9.", "[3] A/65/608 and Corr.1." ]

[ "Sixty-fifth session", "Agenda item 156 (b)", "Financing of the United Nations peacekeeping forces in the Middle East: United Nations Interim Force in Lebanon", "Report of the Fifth Committee", "Rapporteur: Ms. Nicol Annmanyen (Ireland)", "Introduction", "At its 2nd plenary meeting, on 17 September 2010, the General Assembly, on the recommendation of the General Committee, decided to include in the agenda of its sixty-fifth session the item entitled “Financing of the United Nations peacekeeping forces in the Middle East: United Nations Interim Force in Lebanon” and to allocate it to the Fifth Committee.", "The Fifth Committee considered the item at its 34th, 40th and 42nd meetings, on 5 and 26 May and 30 June 2011. Statements and observations made in the course of the Committee's consideration of the item are reflected in the relevant summary records (A/C.5/65/SR.34, 40 and 42).", "For its consideration of the item, the Committee had before it the following documents:", "(a) Report of the Secretary-General on the implementation of the budget of the United Nations Interim Force in Lebanon for the period from 1 July 2009 to 30 June 2010 (A/63/308 and Corr.1);", "(b) Report of the Secretary-General on the budget of the United Nations Interim Force in Lebanon for the period from 1 July 2011 to 30 June 2012 (A/65/756);", "(c) Related report of the Advisory Committee on Administrative and Budgetary Questions (A/65/743/Add.9).", "AD(*) was reissued on 26 July 2011 for technical reasons.", "Consideration of draft resolution A/C.5/65/L.37", "At the 40th meeting, on 26 May, the representative of New Zealand informed the Committee that there was no consensus during informal consultations on the item.", "At the same meeting, the representative of Argentina, on behalf of the States Members of the United Nations that are members of the Group of 77 and China, introduced a draft resolution entitled “Financing of the United Nations Interim Force in Lebanon” (A/C.5/65/L.37).", "At the 42nd meeting, on 30 June, the Secretary read out the following amendments to the draft resolution submitted by the Chairman on the basis of informal consultations:", "(a) In operative paragraph 11, after “confirmation of the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions”, insert the words “without reference to the provisions of the present resolution”;", "(b) Add a new paragraph after operative paragraph 11 to read as follows:", "“12. Notes that adjustments have been made to the total appropriation in accordance with resolution 889;”", "Renumber the subsequent paragraphs accordingly;", "(c) In operative paragraph 17 (previously, para. 16), the figure of 5,442,652,500 was changed to 545,470,600 and the corresponding updating of paragraphs 18 to 21 (previously paras.", "At the same meeting, the representative of Israel made a statement before the voting (see A/C.5/65/SR.42).", "Also at the same meeting, a recorded vote was taken on the fourth preambular paragraph of the revised draft resolution and paragraphs 4, 5 and 15. A recorded vote was also requested on the full text of the draft resolution.", "At the same meeting, the Committee voted on draft resolution A/C.5/65/L.37 as follows:", "(a) The fourth preambular paragraph and operative paragraphs 4, 5 and 15 were adopted by a recorded vote of 71 to 3, with 51 abstentions. The result of the voting is as follows:", "In favour:", "Algeria, Antigua and Barbuda, Argentina, Armenia, Bahrain, Bangladesh, Barbados, Belize, Brazil, Brunei Darussalam, Burkina Faso, Cambodia, Chile, China, Colombia, Costa Rica, Cuba, Democratic People's Republic of Korea, Djibouti, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Ghana, Guatemala, Guyana, Haiti, Honduras, India, Indonesia, Iran (Islamic Republic of), Iraq, Jordan, Kuwait, Lao People's Democratic Republic, Lebanon, Malaysia, Maldives, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Myanmar, Namibia, Nepal, Pakistan, Peru, Qatar, Philippines, Senegal, Syrian Arab Republic, Togo, Viet Nam, United Republic of Tanzania, Togo, Viet Nam, Viet Nam, Viet Nam, Viet Nam, Viet Nam, United Republic of Tanzania, Viet Nam.", "Against:", "Canada, Israel, United States of America.", "Abstaining:", "Albania, Australia, Austria, Belgium, Benin, Bosnia and Herzegovina, Bulgaria, Cameroon, Congo, Côte d'Ivoire, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Georgia, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Liechtenstein, Lithuania, Luxembourg, Madagascar, Malta, Monaco, Montenegro, Netherlands, New Zealand, Norway, Panama, Poland, Portugal, Republic of Korea, Republic of Moldova, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, the former Yugoslav Republic of Macedonia, Tuvalu, Ukraine, United Kingdom of Great Britain and Northern Ireland.", "(b) The full text of draft resolution A/C.5/65/L.37, as amended, was adopted by a recorded vote of 121 to 3, with 1 abstention (see para. The result of the voting is as follows:", "In favour:", "Albania, Algeria, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, Bahrain, Bangladesh, Barbados, Belarus, Belgium, Belize, Bosnia and Herzegovina, Brazil, Brunei Darussalam, Bulgaria, Burkina Faso, Cambodia, Cameroon, Chile, China, Colombia, Congo, Costa Rica, Côte d'Ivoire, Croatia, Cuba, Cyprus, Czech Republic, Democratic People's Republic of Korea, Denmark, Djibouti, Philippines, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Estonia, Finland, France, Georgia, Germany, Ghana, Greece, Guatemala, Guyana, Haiti, Honduras, Hungary, Haiti, India, Liechtenstein, Viet Nam, Haiti, Luxembourg, Madagascar, Maldives, Turkey, Turkey, Turkey, Madagascar, Turkey, Madagascar, Madagascar, Turkey, Turkey, Madagascar, Madagascar, Madagascar, Turkey, Madagascar, Maldives, Turkey, Turkey, Madagascar, Madagascar, Turkey, Madagascar, Madagascar, Turkey, Turkey, Maldives, Madagascar, Turkey, Turkey, Madagascar, Madagascar, Madagascar, Madagascar, Turkey, Turkey, Madagascar, Turkey, Turkey, Madagascar, Madagascar, Madagascar, Maldives, Madagascar, Madagascar, Turkey, Madagascar, Madagascar, Turkey, Turkey, Turkey, Maldives, Maldives, Madagascar, Madagascar, Maldives, Madagascar, Madagascar, Madagascar, Madagascar, Madagascar,", "Against:", "Canada, Israel, United States of America.", "Abstaining:", "Tuvalu.", "After the adoption of the draft resolution, the representative of Hungary made a statement on behalf of the States Members of the United Nations that are members of the European Union (see A/C.5/65/SR.42).", "Recommendation of the Fifth Committee", "The Fifth Committee recommends to the General Assembly the adoption of the following draft resolution:", "Financing of the United Nations Interim Force in Lebanon", "The General Assembly,", "Having considered the report of the Secretary-General on the financing of the United Nations Interim Force in Lebanon and the related report of the Advisory Committee on Administrative and Budgetary Questions,", "Recalling Security Council resolution 425 (1978) of 19 March 1978 on the establishment of the United Nations Interim Force in Lebanon and the subsequent resolutions of the Council to extend the mandate of the Force, the latest of which was resolution 1937 (2010) of 30 August 2010, by which the Council extended the mandate of the Force until 31 August 2011,", "Recalling also its resolution S-8/2 of 21 April 1978 on the financing of the Force and its subsequent resolutions thereon, the latest of which was resolution 64282 of 24 June 2010,", "Reaffirming its resolutions 51/233 of 13 June 1997, 52/237 of 26 June 1998, 53/227 of 8 June 1999, 54/267 of 15 June 2000, 55/180 A of 19 December 2000, 55/180 B of 14 June 2001, 56/214 A of 21 December 2001, 56/214 B of 27 June 2002, 57/305 of 18 June 2003, 61/258 of 30 June 2007, 61/278 of 30 June 2006, 61/258 of 30 June 2007, 61/276 of 30 June 2006, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/276 of 22 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/276 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/276 of 22 June 2007, 61/206 of 30 June 2007, 61/258 of 28 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/258 of 30 June 2007, 61/2", "Reaffirming also the general principles underlying the financing of United Nations peacekeeping operations, as stated in General Assembly resolutions 1874 (S-IV) of 27 June 1963, 3101 (XXVIII) of 11 December 1973 and 55/235 of 23 December 2000,", "Noting with appreciation that voluntary contributions have been made to the Force,", "Mindful of the fact that it is essential to provide the Force with the necessary financial resources to enable it to fulfil its responsibilities under the relevant resolutions of the Security Council,", "Requests the Secretary-General to entrust the Head of the United Nations Interim Force in Lebanon with the task of formulating future budget proposals in full accordance with the provisions of General Assembly resolutions 59/296 of 22 June 2005, 60/266 of 30 June 2006, 61/276 of 29 June 2007, 64269 of 24 June 2010 and 63/289 of 30 June 2011 and other relevant resolutions;", "Takes note of the status of contributions to the Force as at 30 April 2011, including the contributions outstanding in the amount of $59.5 million, representing some 1 per cent of the total assessed contributions, notes with concern that only 91 Member States have paid their assessed contributions in full, and urges all other Member States, in particular those in arrears, to ensure payment of their outstanding assessed contributions;", "Expresses its appreciation to those Member States which have paid their assessed contributions in full, and urges all other Member States to make every possible effort to ensure payment of their assessed contributions to the Force in full;", "Expresses deep concern at the failure of Israel to comply with resolutions 51/233, 52/237, 53/227, 54/267, 55/180 A, 55/180 B, 56/214 A, 56/214 B, 57/325, 58/307, 59/307, 60/278, 61/250 A, 61/250 B, 61/250 B, 61/250 C, 62/265, 63/298 and 64282;", "Stresses once again that Israel should strictly adhere to resolutions 51/233, 52/237, 53/227, 54/267, 55/180 A, 55/180 B, 56/214 A, 56/214 B, 57/325, 58/307, 59/307, 60/278, 61/250 A, 61/250 B, 61/250 B, 61/250 C, 62/265, 63/298 and 64282;", "Expresses concern at the financial situation of peacekeeping activities, in particular as regards the reimbursements to troop-contributing countries, which bear additional burdens owing to overdue payments by Member States of their assessments;", "Also expresses concern at the delay experienced by the Secretary-General in deploying and providing adequate resources to some recent peacekeeping missions, in particular those in Africa;", "Emphasizes that all future and existing peacekeeping missions shall be given equal and non-discriminatory treatment in respect of financial and administrative arrangements;", "Also emphasizes that all peacekeeping missions shall be provided with adequate resources for the effective and efficient discharge of their respective mandates;", "Requests the Secretary-General to ensure that proposed peacekeeping budgets are based on relevant legislative mandates;", "Endorses the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions,2 subject to the provisions of the present resolution, and requests the Secretary-General to ensure their full implementation;", "Notes that adjustments have been made to the total appropriation in accordance with resolution 889;", "Requests the Secretary-General to ensure the full implementation of the relevant provisions of resolutions 59/296, 60/266, 61/276, 64269 and 38;", "Also requests the Secretary-General to take all necessary action to ensure that the Force is administered with a maximum of efficiency and economy;", "Reiterates its request to the Secretary-General to take the necessary measures to ensure the full implementation of paragraph 8 of resolution 51/233, paragraph 5 of resolution 52/237, paragraph 11 of resolution 53/227, paragraph 14 of resolution 54/267, paragraph 14 of resolution 55/180 A, paragraph 15 of resolution 55/180 B, paragraph 13 of resolution 56/214 A, paragraph 13 of resolution 56/214 B, paragraph 14 of resolution 57/325, paragraph 13 of resolution 58/307, paragraph 13 of resolution 59/307, paragraph 17 of resolution 60/278, paragraph 15 of resolution 61/250, and requests the Secretary-General to submit a report thereon to the General Assembly at its sixty-sixth session, in accordance with paragraph 18 of resolution 62/265, and resolution 61/250 of its resolution 62/265, paragraph 20 of its resolution 61/250, and resolution 62/258 of its resolution 62/265, and paragraph 18 of its resolution 62/258 of its resolution 61/250, and resolution 61/250, and resolution 62/265, and resolution 61/250, and resolution 62/258 of its resolution 62/265, and resolution 61/250, and resolution 62/258 of its resolution 61/250, and resolution 62/265, and resolution 61/250, and resolution 62/265, and resolution 61/250, and resolution 62/2", "Financial performance report for the period from 1 July 2009 to 30 June 2010", "Takes note of the report of the Secretary-General on the financial performance of the Force for the period from 1 July 2009 to 30 June 2010; [3]", "Budget estimates for the period from 1 July to 30 June 2012", "Decides to appropriate to the Special Account for the United Nations Interim Force in Lebanon the amount of 580,331,600 dollars for the period from 1 July 2011 to 30 June 2012, including 545,470,600 dollars for the maintenance of the Force, 29,540,600 dollars for the support account for peacekeeping operations and 5,320,400 dollars for the United Nations Logistics Base at Brindisi, Italy;", "Financing of the appropriation", "Also decides to apportion among Member States the amount of 96,721,900 dollars for the period from 1 July to 31 August 2011, in accordance with the levels updated in General Assembly resolution 64/229 of 24 December 2009, and taking into account the scale of assessments for 2011, as set out in its resolution 64/8 of 24 December 2009;", "Further decides that, in accordance with the provisions of its resolution 973 (X) of 15 December 1955, there shall be set off against the apportionment among Member States, as provided for in paragraph 18 above, their respective share in the Tax Equalization Fund of 2,558,100 dollars, comprising the estimated staff assessment income of 2,0747,900 dollars approved for the Force, the prorated share of 467,000 dollars of the estimated staff assessment income approved for the support account and the prorated share of 93,200 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "Decides to apportion among Member States the amount of 483,609,700 dollars for the period from 1 September 2011 to 30 June 2012 at a monthly rate of 48,360,967 dollars, in accordance with the levels updated in resolution 64/229, taking into account the scale of assessments for 2011 and 2012 set out in resolution 64248, subject to a decision of the Security Council to extend the mandate of the Force;", "Also decides that, in accordance with resolution 973 (X), there shall be set off against the apportionment among Member States, as provided for in paragraph 20 above, their respective share in the Tax Equalization Fund of 12,790,300 dollars, comprising the estimated staff assessment income of 10,239,500 dollars approved for the Force, the prorated share of 2,0855,000 dollars of the estimated staff assessment income approved for the support account and the prorated share of 465,800 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "Further decides that, for Member States that have fulfilled their financial obligations to the Force, there shall be set off against their apportionment, as provided for in paragraph 18 above, their respective share of the unencumbered balance and other income in the total amount of 62,951,500 dollars in respect of the financial period ended 30 June 2010, in accordance with the levels updated in General Assembly resolution 64/229 of 24 December 2009;", "Decides that, for Member States that have not fulfilled their financial obligations to the Force, there shall be set off against their outstanding obligations their respective share of the unencumbered balance and other income in the total amount of 62,951,500 dollars in respect of the financial period ended 30 June 2010, in accordance with the scheme set out in paragraph 22 above;", "Also decides that the increase of 1,081,300 dollars in the estimated staff assessment income in respect of the financial period ended 30 June 2010 shall be added to the credits from the amount of 62,951,500 dollars referred to in paragraphs 22 and 23 above;", "Stresses that no peacekeeping mission shall be financed by borrowing funds from other active peacekeeping missions;", "Encourages the Secretary-General to continue to take additional measures to ensure the safety and security of all personnel participating in the Force under the auspices of the United Nations, bearing in mind paragraphs 5 and 6 of Security Council resolution 1502 (2003) of 26 August 2003;", "Invites voluntary contributions to the Force in cash and in the form of services and supplies acceptable to the Secretary-General, to be administered, as appropriate, in accordance with the procedure and practices established by the General Assembly;", "Decides to include in the provisional agenda of its sixty-sixth session the sub-item entitled “Financing of the United Nations peacekeeping forces in the Middle East”.", "Abel 08 and Corr.1 and A/65/756.", "[2] A/65/743/Add.9.", "[3] Araz08 and Corr.1." ]

[ "^(*) 因技术原因于2011年7月26日重新印发。", "第六十五届会议", "议程项目147和148", "联合国组织刚果民主共和国特派团经费的筹措", "联合国组织刚果民主共和国稳定特派团经费的筹措", "第五委员会的报告", "报告员：尼科尔·安·曼尼农女士(爱尔兰)", "一. 导言", "1. 第五委员会以前就议程项目147和148向大会提出的建议见A/65/654号文件所载委员会的报告。", "2. 在2011年5月5日和6月30日第34次和第42次会议上，第五委员会继续审议该项目。在委员会审议该项目过程中所作的发言和发表的意见，反映在有关简要记录(A/C.5/65/SR.34和42)中。", "3. 在审议该项目时，委员会面前有下列文件：", "(a) 秘书长关于联合国组织刚果民主共和国特派团2009年7月1日至2010年6月30日期间预算执行情况的报告(A/65/682)；", "(b) 秘书长关于联合国组织刚果民主共和国稳定特派团2011年7月1日至2012年6月30日期间预算的报告(A/65/744)；", "(c) 行政和预算问题咨询委员会的有关报告(A/65/743/Add.8)。", "二. 决议草案A/C.5/65/L.40的审议情况", "4. 在6月30日第42次会议上，委员会面前有主席根据墨西哥代表协调的非正式协商提出的决议草案，题为“联合国组织刚果民主共和国特派团经费的筹措和联合国组织刚果民主共和国稳定特派团经费的筹措”。", "5. 在同次会议上，秘书处宣读了主席根据非正式协商对执行部分第12段提出的修正。修正案文随后以A/C.5/65/L.40文号印发。", "6. 在同次会议上，委员会未经表决通过了决议草案A/C.5/65/L.40(见第7段)。", "三. 第五委员会的建议", "7. 第五委员会建议大会通过下列决议草案：", "联合国组织刚果民主共和国特派团经费的筹措", "联合国组织刚果民主共和国稳定特派团经费的筹措", "大会，", "审议了秘书长关于联合国组织刚果民主共和国特派团和联合国组织刚果民主共和国稳定特派团经费筹措的报告[1] 以及行政和预算问题咨询委员会的有关报告，[2]", "回顾安全理事会关于在刚果民主共和国地区部署军事联络人员的1999年8月6日第1258(1999)号和关于设立联合国组织刚果民主共和国特派团的1999年11月30日第1279(1999)号决议，以及安理会其后延长该特派团任务的各项决议，最近的是2010年5月28日第1925(2010)号决议，其中安理会决定将该特派团的部署延长至2010年6月30日，", "又回顾第1925(2010)号决议，其中安理会决定，自2010年7月1日起该特派团改称为联合国组织刚果民主共和国稳定特派团，又决定稳定特派团部署至2011年6月30日，并授权继续部署至多19 815名军事人员、760名军事观察员、391名警务人员和1 050名建制警察单位人员，直到该日为止；还回顾第1991(2011)号决议，其中安理会决定将该特派团的任务延长至2012年6月30日，", "还回顾大会关于该特派团经费筹措的2000年4月7日第54/260 A号决议及其后各项有关决议，最近的是2010年12月24日第65/255号决议，", "回顾其2004年7月1日第58/315号决议，", "重申其1963年6月27日第1874(S-IV)号、1973年12月11日第3101(XXVIII)号和2000年12月23日第55/235号决议阐述的联合国维持和平行动经费筹措一般原则，", "赞赏地注意到已有国家向该特派团提供自愿捐助，", "意识到必须向该特派团提供必要的财政资源，使其能够履行安全理事会有关决议规定的职责，", "1. 请秘书长责成该特派团团长完全按照大会2005年6月22日第59/296号、2006年6月30日第60/266号、2007年6月29日第61/276号、2010年6月24日第64/269号和2011年7月1日第65/289号决议及其他相关决议的规定编制今后的拟议预算；", "2. 表示注意到截至2011年4月30日联合国组织刚果民主共和国稳定特派团摊款的缴纳情况，包括未缴摊款2.881亿美元，约占摊款总额的3%，关切地注意到只有44个会员国已足额缴纳摊款，并促请所有其他会员国，尤其是拖欠国，确保缴纳未缴摊款；", "3. 表示赞赏已足额缴纳摊款的会员国，并促请所有其他会员国尽力确保足额缴纳为该特派团分摊的款项；", "4. 表示关切维持和平活动的财政状况，特别是向部队派遣国偿还费用的情况，这些国家因会员国逾期未缴摊款而承受额外负担；", "5. 又表示关切秘书长在部署最近的一些维持和平特派团，特别是在非洲的特派团，及向其提供适当资源方面受到耽搁；", "6. 强调对今后和现有的所有维持和平特派团，在财政和行政安排方面应予平等对待、一视同仁；", "7. 又强调应向所有维持和平特派团提供适当资源，使其能够有成效、有效率地执行各自的任务；", "8. 请秘书长确保拟议维持和平预算以相关立法授权为依据；", "9. 认可行政和预算问题咨询委员会报告² 所载的结论和建议，但以符合本决议的规定为前提，并请秘书长确保予以充分落实；", "10. 请秘书长确保大会第59/296 号、第60/266 号、第61/276 号、第64/269号和第65/289号决议的相关规定得到充分执行；", "11. 又请秘书长采取一切必要行动，确保以最有效率、最节省的方式管理该特派团；", "12. 决定不裁撤儿童保护员额，请秘书长尽一切努力填补这些员额，又请秘书长找出同等数目的空缺超过一年的同职等员额，以抵消保留儿童保护员额产生的财务影响，但不得影响业务需要以及任务执行，并在执行情况报告中报告有关情况；", "13. 注意到已根据第65/289号决议的规定对批款总额作出调整；", "联合国组织刚果民主共和国特派团2009年7月1日至2010年6月30日期间财政执行情况报告", "14. 表示注意到秘书长关于特派团2009年7月1日至2010年6月30日期间财政执行情况的报告；[3]", "联合国组织刚果民主共和国稳定特派团2011年7月1日至2012年6月30日期间预算估计数", "15. 决定，批款1 507 538 900美元给联合国组织刚果民主共和国稳定特派团特别账户，充作2011年7月1日至2012年6月30日期间的经费，其中包括该特派团的维持费1 416 926 000美元、给维持和平行动支助账户的76 783 900美元以及给意大利布林迪西联合国后勤基地的13 829 000美元；", "批款的筹措", "16. 又决定，考虑到大会2009年12月24日第64/248号决议规定的2011年和2012年分摊比额表，由会员国按照大会2009年12月24日第64/249号决议修订的等级，分摊1 507 538 900美元，充作2011年7月1日至2012年6月30日期间的经费；", "17. 还决定，根据其1955年12月15日第973(X)号决议的规定，从上文第16段规定的会员国摊款中减除会员国在衡平征税基金内39 936 800美元中各自应分的数额，基金内的这笔款项包括该特派团核定工作人员薪金税收入估计数31 980 500美元、支助账户的核定工作人员薪金税收入估计数中按比例应分的数额6 503 300美元以及联合国后勤基地的核定工作人员薪金税收入估计数中按比例应分的数额1 453 000美元；", "18. 决定，对于已经履行对该特派团财政义务的会员国，应考虑到大会第64/248号决议规定的2010年分摊比额表，并按照大会第64/249号决议修订的等级，从上文第16段规定的摊款中减除2010年6月30日终了财政期间未支配余额和其他收入共计35 075 700美元中各自应分的数额；", "19. 又决定，对于尚未履行对该特派团财政义务的会员国，应按照上文第18段规定的办法，从其所欠款项中减除2010年6月30日终了财政期间未支配余额和其他收入共计35 075 700美元中各自应分的数额；", "20. 还决定，上文第18和19段提及的35 075 700美元所产生的贷项应加上2010年6月30日终了财政期间工作人员薪金税收入估计数增加额1 841 600美元；", "21. 强调任何维持和平特派团都不得借用其他在役维持和平特派团的经费；", "22. 鼓励秘书长铭记安全理事会2003年8月26日第1502(2003)号决议第5和6段，继续采取进一步措施，确保在联合国主持下参与该特派团的所有人员的安全和安保；", "23. 邀请各方向该特派团自愿捐助现金以及秘书长可以接受的服务和用品，这些捐助将按照大会规定的程序和做法适当管理；", "24. 决定将题为“联合国组织刚果民主共和国稳定特派团经费的筹措”的项目列入大会第六十六届会议临时议程。", "[1] A/65/682和A/65/744。", "[2] A/65/743/Add.8。", "[3] A/65/682。" ]

[ "Sixty-fifth session", "Agenda items 147 and 148", "Financing of the United Nations Organization Mission in the Democratic Republic of the Congo", "* Reissued for technical reasons on 26 July 2011.", "Financing of the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo", "Report of the Fifth Committee", "Rapporteur: Ms. Nicole Ann Mannion (Ireland)", "I. Introduction", "1. The previous recommendation made by the Fifth Committee to the General Assembly under agenda items 147 and 148 appears in the report of the Committee contained in document A/65/654.", "2. The Fifth Committee resumed its consideration of the items at its 34th and 42nd meetings, on 5 May and 30 June 2011. Statements and observations made in the course of the Committee’s consideration of the items are reflected in the relevant summary records (A/C.5/65/SR.34 and 42).", "3. For its consideration of the items, the Committee had before it the following documents:", "(a) Report of the Secretary-General on the budget performance of the United Nations Organization Mission in the Democratic Republic of the Congo for the period from 1 July 2009 to 30 June 2010 (A/65/682);", "(b) Report of the Secretary-General on the budget for the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo for the period from 1 July 2011 to 30 June 2012 (A/65/744);", "(c) Related report of the Advisory Committee on Administrative and Budgetary Questions (A/65/743/Add.8).", "II. Consideration of draft resolution A/C.5/65/L.40", "4. At its 42nd meeting, on 30 June, the Committee had before it a draft resolution entitled “Financing of the United Nations Organization Mission in the Democratic Republic of the Congo and of the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo”, submitted by the Chair of the Committee on the basis of informal consultations coordinated by the representative of Mexico.", "5. At the same meeting, the Secretary read out an amendment to operative paragraph 12, proposed by the Chair on the basis of informal consultations. The amended text was subsequently issued under the symbol A/C.5/65/L.40.", "6. Also at the same meeting, the Committee adopted draft resolution A/C.5/65/L.40 without a vote (see para. 7).", "III. Recommendation of the Fifth Committee", "7. The Fifth Committee recommends to the General Assembly the adoption of the following draft resolution:", "Financing of the United Nations Organization Mission in the Democratic Republic of the Congo and of the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo", "The General Assembly,", "Having considered the reports of the Secretary-General on the financing of the United Nations Organization Mission in the Democratic Republic of the Congo and the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo[1] and the related report of the Advisory Committee on Administrative and Budgetary Questions,[2]", "Recalling Security Council resolutions 1258 (1999) of 6 August 1999 and 1279 (1999) of 30 November 1999 regarding, respectively, the deployment to the region of the Democratic Republic of the Congo of military liaison personnel and the establishment of the United Nations Organization Mission in the Democratic Republic of the Congo, and the subsequent resolutions by which the Council extended the mandate of the Mission, the latest of which was resolution 1925 (2010) of 28 May 2010, by which the Council decided to extend the deployment of the Mission until 30 June 2010,", "Recalling also resolution 1925 (2010), by which the Council decided that, as of 1 July 2010, the Mission would bear the title of the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo, and by which it decided that the Stabilization Mission would be deployed until 30 June 2011 and authorized the continuation until that date of up to 19,815 military personnel, 760 military observers, 391 police personnel and 1,050 personnel of formed police units, and recalling further its resolution 1991 (2011), by which the Council decided to extend the mandate of the Mission until 30 June 2012,", "Recalling further its resolution 54/260 A of 7 April 2000 on the financing of the Mission and its subsequent resolutions thereon, the latest of which was resolution 65/255 of 24 December 2010,", "Recalling its resolution 58/315 of 1 July 2004,", "Reaffirming the general principles underlying the financing of United Nations peacekeeping operations, as stated in General Assembly resolutions 1874 (S-IV) of 27 June 1963, 3101 (XXVIII) of 11 December 1973 and 55/235 of 23 December 2000,", "Noting with appreciation that voluntary contributions have been made to the Mission,", "Mindful of the fact that it is essential to provide the Mission with the financial resources necessary to enable it to fulfil its responsibilities under the relevant resolutions of the Security Council,", "1. Requests the Secretary-General to entrust the Head of Mission with the task of formulating future budget proposals in full accordance with the provisions of General Assembly resolutions 59/296 of 22 June 2005, 60/266 of 30 June 2006, 61/276 of 29 June 2007, 64/269 of 24 June 2010 and 65/289 of 30 June 2011, as well as other relevant resolutions;", "2. Takes note of the status of contributions to the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo as at 30 April 2011, including the contributions outstanding in the amount of 288.1 million United States dollars, representing some 3 per cent of the total assessed contributions, notes with concern that only forty-four Member States have paid their assessed contributions in full, and urges all other Member States, in particular those in arrears, to ensure payment of their outstanding assessed contributions;", "3. Expresses its appreciation to those Member States which have paid their assessed contributions in full, and urges all other Member States to make every possible effort to ensure payment of their assessed contributions to the Mission in full;", "4. Expresses concern at the financial situation with regard to peacekeeping activities, in particular as regards the reimbursements to troop contributors that bear additional burdens owing to overdue payments by Member States of their assessments;", "5. Also expresses concern at the delay experienced by the Secretary-General in deploying and providing adequate resources to some recent peacekeeping missions, in particular those in Africa;", "6. Emphasizes that all future and existing peacekeeping missions shall be given equal and non-discriminatory treatment in respect of financial and administrative arrangements;", "7. Also emphasizes that all peacekeeping missions shall be provided with adequate resources for the effective and efficient discharge of their respective mandates;", "8. Requests the Secretary-General to ensure that proposed peacekeeping budgets are based on the relevant legislative mandates;", "9. Endorses the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions,² subject to the provisions of the present resolution, and requests the Secretary-General to ensure their full implementation;", "10. Requests the Secretary-General to ensure the full implementation of the relevant provisions of its resolutions 59/296, 60/266, 61/276, 64/269 and 65/289;", "11. Also requests the Secretary-General to take all necessary action to ensure that the Mission is administered with a maximum of efficiency and economy;", "12. Decides not to abolish the child protection posts, requests the Secretary-General to make every effort to fill them, and also requests the Secretary-General to identify an equivalent number of posts at the same level that have been vacant for more than one year to offset the financial impact of retaining the child protection posts, without affecting operational requirements or mandate implementation, and to report thereon in the context of the performance report;", "13. Notes that the overall level of appropriation has been adjusted in accordance with the terms of resolution 65/289;", "Financial performance report for the United Nations Organization Mission in the Democratic Republic of the Congo for the period from 1 July 2009 to 30 June 2010", "14. Takes note of the report of the Secretary-General on the financial performance of the Mission for the period from 1 July 2009 to 30 June 2010;[3]", "Budget estimates for the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo for the period from 1 July 2011 to 30 June 2012", "15. Decides to appropriate to the Special Account for the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo the amount of 1,507,538,900 dollars for the period from 1 July 2011 to 30 June 2012, inclusive of 1,416,926,000 dollars for the maintenance of the Mission, 76,783,900 dollars for the support account for peacekeeping operations and 13,829,000 dollars for the United Nations Logistics Base at Brindisi, Italy;", "Financing of the appropriation", "16. Also decides to apportion among Member States the amount of 1,507,538,900 dollars for the period from 1 July 2011 to 30 June 2012, in accordance with the levels updated in General Assembly resolution 64/249 of 24 December 2009, and taking into account the scale of assessments for 2011 and 2012, as set out in General Assembly resolution 64/248 of 24 December 2009;", "17. Further decides that, in accordance with the provisions of its resolution 973 (X) of 15 December 1955, there shall be offset against the apportionment among Member States, as provided for in paragraph 16 above, their respective share in the Tax Equalization Fund of the amount of 39,936,800 dollars, comprising the estimated staff assessment income of 31,980,500 dollars approved for the Mission, the prorated share of 6,503,300 dollars of the estimated staff assessment income approved for the support account and the prorated share of 1,453,000 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "18. Decides that, for Member States that have fulfilled their financial obligations to the Mission, there shall be offset against their apportionment, as provided for in paragraph 16 above, their respective share of the unencumbered balance and other income in the total amount of 35,075,700 dollars in respect of the financial period ended 30 June 2010, in accordance with the levels updated in its resolution 64/249, and taking into account the scale of assessments for 2010, as set out in its resolution 64/248;", "19. Also decides that, for Member States that have not fulfilled their financial obligations to the Mission, there shall be offset against their outstanding obligations their respective share of the unencumbered balance and other income in the total amount of 35,075,700 dollars in respect of the financial period ended 30 June 2010, in accordance with the scheme set out in paragraph 18 above;", "20. Further decides that the increase of 1,841,600 dollars in the estimated staff assessment income in respect of the financial period ended 30 June 2010 shall be added to the credits from the amount of 35,075,700 dollars referred to in paragraphs 18 and 19 above;", "21. Emphasizes that no peacekeeping mission shall be financed by borrowing funds from other active peacekeeping missions;", "22. Encourages the Secretary-General to continue to take additional measures to ensure the safety and security of all personnel participating in the Mission under the auspices of the United Nations, bearing in mind paragraphs 5 and 6 of Security Council resolution 1502 (2003) of 26 August 2003;", "23. Invites voluntary contributions to the Mission in cash and in the form of services and supplies acceptable to the Secretary-General, to be administered, as appropriate, in accordance with the procedures and practices established by the General Assembly;", "24. Decides to include in the provisional agenda of its sixty-sixth session the item entitled “Financing of the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo”.", "[1] A/65/682 and A/65/744.", "[2] A/65/743/Add.8.", "[3] A/65/682." ]

[ "AD(*) was reissued on 26 July 2011 for technical reasons.", "Sixty-fifth session", "Agenda items 147 and 148", "Financing of the United Nations Organization Mission in the Democratic Republic of Congo", "Financing of the United Nations Stabilization Mission in the Democratic Republic of the Congo", "Report of the Fifth Committee", "Rapporteur: Ms. Nicol Annmani (Ireland)", "Introduction", "The previous recommendation of the Fifth Committee to the General Assembly on agenda items 147 and 148 appears in the report of the Committee contained in document A/63/354.", "The Fifth Committee resumed its consideration of the item at its 34th and 42nd meetings, on 5 May and 30 June 2011. Statements and observations made in the course of the Committee's consideration of the item are reflected in the relevant summary records (A/C.5/65/SR.34 and 42).", "For its consideration of the item, the Committee had before it the following documents:", "(a) Report of the Secretary-General on the implementation of the budget of the United Nations Organization Mission in the Democratic Republic of the Congo for the period from 1 July 2009 to 30 June 2010 (A/63/382);", "(b) Report of the Secretary-General on the budget for the United Nations Stabilization Mission in the Democratic Republic of the Congo for the period from 1 July 2011 to 30 June 2012 (A/65/74);", "(c) Related report of the Advisory Committee on Administrative and Budgetary Questions (A/65/743/Add.8).", "Consideration of draft resolution A/C.5/65/L.40", "At its 42nd meeting, on 30 June, the Committee had before it a draft resolution entitled “Financing of the United Nations Organization Mission in the Democratic Republic of the Congo and financing of the United Nations Stabilization Mission in the Democratic Republic of the Congo”.", "At the same meeting, the Secretariat read out amending operative paragraph 12 by the Chairman on the basis of informal consultations. The text of the amendment was subsequently issued in A/C.5/65/L.40.", "At the same meeting, the Committee adopted draft resolution A/C.5/65/L.40 without a vote (see para.", "Recommendation of the Fifth Committee", "The Fifth Committee recommends to the General Assembly the adoption of the following draft resolution:", "Financing of the United Nations Organization Mission in the Democratic Republic of Congo", "Financing of the United Nations Stabilization Mission in the Democratic Republic of the Congo", "The General Assembly,", "Having considered the report of the Secretary-General on the financing of the Stabilization Mission in the Democratic Republic of the Congo and the United Nations Organization Mission in the Democratic Republic of the Congo and the related report of the Advisory Committee on Administrative and Budgetary Questions, [2]", "Recalling Security Council resolutions 1258 (1999) of 6 August 1999 on the deployment of military liaison personnel in the Democratic Republic of the Congo and 1279 (1999) of 30 November 1999 on the establishment of the United Nations Organization Mission in the Democratic Republic of the Congo, and subsequent resolutions by which the Council extended the mandate of the Mission, the latest of which was resolution 1925 (2010) of 28 May 2010, in which the Council decided to extend the deployment of the Mission until 30 June 2010,", "Recalling also its resolution 1925 (2010), in which the Council decided to renamed the United Nations Stabilization Mission in the Democratic Republic of the Congo, effective 1 July 2010, and also to stabilize the Mission's deployment until 30 June 2011 and authorized the continuation of the deployment of up to 19,815 military personnel, 760 military observers, 391 police personnel and 1,050 formed police units until that date; and also recalling resolution 1991 (2011), in which the Council decided to extend the mandate of the Mission until 30 June 2012,", "Recalling further its resolution 54/260 A of 7 April 2000 on the financing of the Mission and its subsequent resolutions thereon, the latest of which was resolution hostage 55 of 24 December 2010,", "Recalling its resolution 58/315 of 1 July 2004,", "Reaffirming the general principles underlying the financing of United Nations peacekeeping operations, as stated in General Assembly resolutions 1874 (S-IV) of 27 June 1963, 3101 (XXVIII) of 11 December 1973 and 55/235 of 23 December 2000,", "Noting with appreciation that voluntary contributions have been made to the Mission,", "Mindful of the fact that it is essential to provide the Mission with the financial resources necessary to enable it to fulfil its responsibilities under the relevant resolutions of the Security Council,", "Requests the Secretary-General to entrust the Head of Mission with the task of formulating future budget proposals in full accordance with the provisions of General Assembly resolutions 59/296 of 22 June 2005, 60/266 of 30 June 2006, 61/276 of 29 June 2007, 64269 of 24 June 2010 and 63/289 of 1 July 2011 and other relevant resolutions;", "Takes note of the status of contributions to the United Nations Stabilization Mission in the Democratic Republic of the Congo as at 30 April 2011, including the contributions outstanding in the amount of $288.1 million, representing some 3 per cent of the total assessed contributions, notes with concern that only 44 Member States have paid their assessed contributions in full, and urges all other Member States, in particular those in arrears, to ensure payment of their outstanding assessed contributions;", "Expresses its appreciation to those Member States which have paid their assessed contributions in full, and urges all other Member States to make every possible effort to ensure payment of their assessed contributions to the Mission in full;", "Expresses concern at the financial situation with regard to peacekeeping activities, in particular as regards the reimbursements to troop-contributing countries, which bear additional burdens owing to overdue payments by Member States of their assessments;", "Also expresses concern at the delay experienced by the Secretary-General in deploying and providing adequate resources to some recent peacekeeping missions, in particular those in Africa;", "Emphasizes that all future and existing peacekeeping missions shall be given equal and non-discriminatory treatment in respect of financial and administrative arrangements;", "Also emphasizes that all peacekeeping missions shall be provided with adequate resources for the effective and efficient discharge of their respective mandates;", "Requests the Secretary-General to ensure that proposed peacekeeping budgets are based on relevant legislative mandates;", "Endorses the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions,2 subject to the provisions of the present resolution, and requests the Secretary-General to ensure their full implementation;", "Requests the Secretary-General to ensure the full implementation of the relevant provisions of its resolutions 59/296, 60/266, 61/276, 64269 and 3989;", "Also requests the Secretary-General to take all necessary action to ensure that the Mission is administered with a maximum of efficiency and economy;", "Decides not to abolish child protection posts, and requests the Secretary-General to make every effort to fill those posts, and further requests the Secretary-General to identify the same number of vacancies above one year at the same level in order to offset the financial implications of the retention of child protection posts, without prejudice to operational needs and mission implementation, and to report thereon in the performance report;", "Notes that adjustments have been made to the total appropriation in accordance with resolution 889;", "Financial performance report of the United Nations Organization Mission in the Democratic Republic of the Congo for the period from 1 July 2009 to 30 June 2010", "Takes note of the report of the Secretary-General on the financial performance of the Mission for the period from 1 July 2009 to 30 June 2010; [3]", "Budget estimates for the United Nations Stabilization Mission in the Democratic Republic of the Congo for the period from 1 July 2011 to 30 June 2012.", "Decides to appropriate to the Special Account for the United Nations Stabilization Mission in the Democratic Republic of the Congo the amount of 1,507,538,900 dollars for the period from 1 July 2011 to 30 June 2012, including the amount of 1,416,926,000 dollars for the maintenance of the Mission, 76,783,900 dollars for the support account for peacekeeping operations and 13,829,000 dollars for the United Nations Logistics Base at Brindisi, Italy;", "Financing of the appropriation", "Also decides to apportion among Member States the amount of 1,507,538,900 dollars for the period from 1 July 2011 to 30 June 2012.", "Further decides that, in accordance with the provisions of its resolution 973 (X) of 15 December 1955, there shall be set off against the apportionment among Member States, as provided for in paragraph 16 above, their respective share in the Tax Equalization Fund of 39,936,800 dollars, comprising the estimated staff assessment income of 31,980,500 dollars approved for the Mission, the prorated share of 6,503,300 dollars of the estimated staff assessment income approved for the support account and the prorated share of 1,453,000 dollars of the estimated staff assessment income approved for the United Nations Logistics Base;", "Decides that, for Member States that have fulfilled their financial obligations to the Mission, there shall be set off against their apportionment, as provided for in paragraph 16 above, their respective share of the unencumbered balance and other income in the total amount of 35,077,700 dollars in respect of the financial period ended 30 June 2010, in accordance with the levels updated in General Assembly resolution 64/149;", "Also decides that, for Member States that have not fulfilled their financial obligations to the Mission, there shall be set off against their outstanding obligations their respective share of the unencumbered balance and other income in the total amount of 35,077,700 dollars in respect of the financial period ended 30 June 2010, in accordance with the scheme set out in paragraph 18 above;", "Further decides that the increase of 1,841,600 dollars in the estimated staff assessment income in respect of the financial period ended 30 June 2010 shall be added to the credits from the amount of 35,077,700 dollars referred to in paragraphs 18 and 19 above;", "Stresses that no peacekeeping mission shall be financed by borrowing funds from other active peacekeeping missions;", "Encourages the Secretary-General to continue to take additional measures to ensure the safety and security of all personnel participating in the Mission under the auspices of the United Nations, bearing in mind paragraphs 5 and 6 of Security Council resolution 1502 (2003) of 26 August 2003;", "Invites voluntary contributions to the Mission in cash and in the form of services and supplies acceptable to the Secretary-General, to be administered, as appropriate, in accordance with the procedure and practices established by the General Assembly;", "Decides to include in the provisional agenda of its sixty-sixth session the item entitled “Financing of the United Nations Stabilization Mission in the Democratic Republic of the Congo”.", "Abel 82 and A/65/744.", "[2] A/65/743/Add.8.", "[3] Agg 82." ]

[ "土著问题常设论坛", "第十届会议的报告 (2011年5月16日至27日)", "更正", "第129段", "第129段应为：", "129.　常设论坛建议大会第六十六届会议主席指定一名协调员，负责在常设论坛的框架内与会员国和土著人民代表以及与土著人民权利专家机制和土著人民权利特别报告员进行开放式协商，以确定会议的模式，包括土著人民参加会议的方式。" ]

[ "Permanent Forum on Indigenous Issues", "Report on the tenth session (16-27 May 2011)", "Corrigendum", "Paragraph 129", "Paragraph 129 should read", "129. The Permanent Forum recommends to the presidency of the General Assembly at its sixty-sixth session the appointment of a facilitator to conduct open-ended consultations with Member States and representatives of indigenous peoples within the framework of the Permanent Forum, as well as with the Expert Mechanism on the Rights of Indigenous Peoples and the Special Rapporteur on the rights of indigenous peoples, in order to determine the modalities for the meeting, including the participation of indigenous peoples in the Conference." ]

[ "Permanent Forum on Indigenous Issues", "Report of the tenth session (16-27 May 2011)", "Corrigendum", "Paragraph 129", "Paragraph 129 should read:", "The Permanent Forum recommends that the General Assembly, at its sixty-sixth session, designate a Coordinator responsible for open consultations with representatives of Member States and indigenous peoples, as well as with the Expert Mechanism on the Rights of Indigenous Peoples and the Special Rapporteur on the rights of indigenous peoples, within the framework of the Permanent Forum, to determine the modalities of the Conference, including the modalities for participation of indigenous peoples." ]

[ "第六十六届会议", "暂定项目表^(*) 项目28(b)", "社会发展，包括有关世界社会 状况和有关青年、老龄、 残疾人和家庭的问题", "合作社在社会发展中的作用和实施国际合作社年", "秘书长的报告", "摘要", "本报告着重介绍合作社在社会经济发展中所作的贡献，合作社可集中资源和力量，通过促进中小型企业参与市场，提高个人和家庭的收入。本报告概述了合作社对粮食安全、普惠性融资和社会保护的贡献，并可通过建设和平与灾后复原，巩固社会。本报告还考察了如何在各国政府和其他利益攸关者的协调和合作下利用合作社运动促进发展。它着重提出，必须建立有效的、成员驱动的内部治理结构，并进行能力建设，同时制订一个扶持性的和受尊重的监管框架，予以平衡。它还介绍了为2012国际合作社年计划开展的活动，并指出通过在所有各区域成立国家指导委员会，从各国政府得到了支助。", "^(*) A/66/50。", "目录", "页次\n1.导言 3\n2.会员国和联合国对合作社的承诺 3\n3.合作社与社会经济发展 4\nA.合作社部门的规模 5\nB.就业 6\nC.减贫 7\nD.金融合作社 9\nE.社会保护 9\nF.灾后救济 10\nG.建设和平 10\n4.加强合作社 11\n5.2012国际合作社年 13\nA.背景和目标 13\nB.实施情况 14\nC.2012年以后的行动 18\n6.结论和建议 19", "一. 导言", "1. 本报告是应大会第64/136号决议的要求提出的，其中请秘书长向大会第六十六届会议提交一份关于促进合作社在社会发展中的作用的报告，包括提出一项关于在2012国际合作社年期间开展哪些活动的建议。它讨论了合作社在社会经济发展中所作的贡献，并提供了关于2012国际合作社年各项筹备工作的资料，包括列出为筹备和支持该国际年已开展或计划进行的一系列活动。这些资料来自24个成员国、25个主要合作社组织和3个联合国机构对秘书处经济和社会事务部进行的一项调查所作的答复。[1] 报告提出一些结论与建议，以促进和加强合作社。", "二. 会员国和联合国对合作社的承诺", "2. 在1995年在哥本哈根举行的社会发展问题世界首脑会议上，各国政府同意利用和充分发挥合作社的潜力和作用，以实现社会发展目标，重点是消除贫困，创造充分就业和生产性就业，并加强社会融合。他们还建议建立法律框架，鼓励合作社企业的发展。[2]", "3. 2001年，各国政府进一步同意通过为合作社发展创造有利环境的联合国准则[3] 和关于促进合作社的国际劳工组织第193(2002)号建议，[4] 促进合作社部门，承认合作社的作用和贡献。", "4. 目前一些联合国机构在促进和支持合作社的发展和增长。国际劳工组织EMP/COOP股在四个方面向国际劳工组织成员和合作社组织提供服务：提高公众认识；确保合作社的竞争力；在国家教育和培训系统纳入合作社原则和做法；为合作社政策和合作社法律提供咨询意见。联合国粮食及农业组织(粮农组织)通过其粮食安全委员会同农村合作社和其他小规模的生产者组织建立伙伴关系和进行合作，将其对粮食安全的承诺予以操作化。该委员会要在各级农村合作社和生产者组织的代表的充分参与下，成为处理粮食安全和营养的最具包容性的国际和政府间平台。世界粮食计划署“采购换进展”倡议在21个试点国家支持农业合作社，以提高粮食生产。", "5. 促进和推动合作社委员会的成员包括联合国秘书处、劳工组织、粮农组织和国际合作社联盟，它通过机构间技术合作和出版关于合作社的研究报告，积极推动和提高对合作社的认识。", "三. 合作社与社会经济发展", "6. 早期的合作社都是经济困难时期的产物。大不列颠及北爱尔兰联合王国的罗奇代尔零售合作社成立于1844年，在工业革命时为协助纺织工应付经济困难而产生。同样，欧洲合作银行起源于在德国组织的第一个银行合作社(莱夫艾森)，在19世纪中叶，组织这个合作社是为了支持面临饥荒和经济动乱的农民。这些年来，合作社已遍布全球，各个部门，各种活动，例如农业、渔业、住房、银行、保险、水、电、医疗保健和旅游等，都有合作社。今天，成功的合作社继续创造、提高和保护收入，同时创造就业机会。合作社企业，尤其是发展中国家的合作社企业，为实现许多国际商定的发展目标，包括千年发展目标作出了贡献。", "7. 合作社为社会经济发展作出了贡献，原因是它们都是成员所有的企业。[5] 合作社这种鲜明的特点提供了一个帮助穷人和其他边缘化群体自强、促进社区自力更生、协作和团结的企业框架或模型。合作社可以使个人能够在当地社区汇集资源，成就经济事业，从而成为社会经济发展的催化剂。例如，在促进两性平等和妇女增权扩能方面，合作社可以发挥重要的作用。", "8. 此外，坚持合作社各项价值和原则，[6] 可使合作社在当地社区发挥积极作用，因为成功的合作社可展现民主价值、团结、尊重人的价值和环境的重要性。", "A. 合作社部门的规模", "9. 合作社存在于所有国家，据估计，全世界有10亿人是合作社的成员。[7] 国际合作社联盟是全球合作社的一个伞式组织，在94个国家所有经济部门有249个主要或合作网络成员组织。从联盟收集自许多国家的信息表明，各国国内生产总值(GDP)的3%至10%来自合作社活动账户。", "10. 国际合作社联盟的全球300项目收集世界上最大的300个合作社的信息，其中表明，在2008年，他们的总交易额达1.1万亿美元，约占美利坚合众国国内生产总值的十分之一。300个最大的合作社大多位于法国、德国、日本、荷兰和美国等发达经济体。这些合作社的部门分布如下：农业和食品业30%；零售业23%；保险业22%；银行业19%。", "11. 合作社在美国有非常重要的地位。例如，有超过900个农村电力合作社在美国的47个州供电给超过4 200万人，拥有该国配电线路的42%，涵盖其陆地面积的75%。美国的农业合作社占农产品加工和营销市场份额约28%，占投入供应市场份额的26%。最近位于普捷湾拥有57万成员的集体保健合作社大出风头，因为2010年在起草美国医疗保健改革期间，该合作社成为了突出的模范。", "12. 在欧洲，农业合作社占农产品加工和营销总市场份额约60%，又估计占投入供应份额约50%。在法国，合作社运动的交易额达1 810亿欧元，合作社处理零售银行业务的60%，粮食和农业生产40%，零售业25%。", "13. 在新西兰，农业合作社占农产品供应链每个环节的主导地位的，占市场份额75%以上，而食品零售消费合作社则占市场份额的60%。[8]", "14. 在发展中国家，合作社也发挥了突出的作用。在巴西，2009年合作社占农业GDP的37.2%，占总GDP的5.4%。巴西的农业合作社有近100万成员，2009年通过出口赚取约360亿美元收入。该国的保健合作社为1 770万人提供医疗及牙科服务，差不多占人口的10%。2009年，在哥伦比亚的8 124个合作社贡献了全国GDP的4.96%。哥伦比亚合作社雇用卫生部门总就业人数的22%；占交通运输部门就业人数的14.7%；占农业就业人数的7.7%；并和占金融部门就业人数的6.5%。哥伦比亚合作社提供了全国所有的小额信贷的91%，并雇用超过137 000人，其中大部分是妇女。", "15. 在毛里求斯，农业部门的合作社在糖、蔬菜、水果、花卉、牛奶、肉类和鱼类生产方面发挥了重要作用。合作社还占全国粮食作物部门生产的60%以上。[9] 在肯尼亚，储蓄和信贷合作社是非洲最大的，有27亿美元资产，占国民储蓄总额的31%。[10]", "通过合作社促进社会经济发展", "表1 合作社种类及其带来的好处", "合作社种类 对成员的直接好处 社会经济效益 发展影响", "消费者合作社 有机会以最接近成本的价基本购买商品和服务 收入提高，有余力储蓄。鼓励在其他方面的开支——营养、保健、教育 妇女和儿童死亡率和发病率较低。入学率(尤其是女童入学率)提高", "生产者合作社 产品价格较高，利润更高，获得稳定和有保障的的收入 提高满足基本需求(教育、卫生、营养、寿险)的消费能力。有能力为未来计划，扩大企业，承担风险 生产力提高，经济多样化，金融“深化”，推动农村经济(农业)，改善卫生与安全(城市经济)", "雇员自有(工人)合作社 体面的工作，劳动的回报增加，保护就业，雇员控制 能力不断增加，收入更高和更稳定，导致满足基本需求(教育、卫生、营养等)的开支。增加培训的机会 减少失业，改善技能基础，增加产出/GDP，出口收入，改善卫生与安全", "资料来源：Johnston Birchall、提交2009年4月28日至30日在纽约举行的危机世界中的合作社专家组会议的讨论文件。", "B. 就业", "16. 据估计，合作社在全世界聘请了1亿多人。[11] 在这个总额中，美国的合作社提供了超过200万个就业岗位；法国和意大利的合作社分别雇用了100万和110万人；巴西的合作社雇用了274 000人；阿根廷的合作社提供了29万就业机会；哥伦比亚的合作社雇用了700 000工人。在肯尼亚，250 000人受雇于合作社；在印度尼西亚，合作社提供了约300 000个就业机会。", "17. 合作社通过三种不同方法，直接、间接和连带促进就业(见A/62/154，第11段)。首先，合作社为自己的成员直接创造就业。第二，合作社与商品和服务供应商开展业务，间接创造就业机会。第三，合作社工人用工资和收入增加开支，结果产生连带就业机会。", "18. 三大类合作社用独特的方式促进就业(见下文表1)。生产者合作社集合无数个人一起实现规模经济和提高效率和竞争力水平，同时保留自营职业和集体自治。例如，在2004年，肯尼亚有924 000名农民，埃及估计有400万农民，他们都通过加入农业合作社获得生计。同样，在埃塞俄比亚的农业部门，约有900 000人通过他们的合作社赚取部分收入。[12]", "19. 另一方面，消费合作社通过减少对中间商的依赖，允许批量购买和经营零售，促进更廉价商品来源。此外，住房、建筑、公用事业和金融领域的消费合作社可以提供价格低廉的服务，改善社区基础设施，并通过地方投资，刺激更多的经济活动。", "20. 工人合作社基本上由熟练技工组成，这些合作社能够保持就业稳定，维持就业机会，当资本有限时，还可依靠工资方面的灵活性和利用成员的储蓄支撑企业。", "21. 合作社通过为劳动者寻求有意义的、有尊严的工作，通过支持社会责任和追求广大社会福祉的目的，还有助于提高就业的质量。这体现于合作社运动坚持遵守国际劳工组织的“体面工作”议程。例如，合作社，甚至是“初具合作社性质的组织”，都可以动员和保护可能特别容易受伤害的部分劳动力，如非正规工人。此外，如通过公平贸易运动确立的、或经由各种新的全国联合会协商产生的合作社网络链接密度增加，也有利于全球劳工团结，促进相互照顾和彼此负责的精神。对于这一点，国际合作社联盟的全球工作也是至关重要的，可促使整个合作社运动有更好的体制连贯性和重点。", "C. 减贫", "22. 合作社通过集体行动机制，使成员将资源集中起来，让他们可以更充分地参与生产、分享利润、节约成本、共担风险的活动，因而能够促进规模经济，导致成员在市场上无论作为买家或卖家都有更大的议价能力。在全球农业部门，这是一个重要的考虑因素，因为高达50%的产出是通过合作社销售的。", "23. 在印度，乳制品合作社通过更好的市场营销和分销使在那里工作的妇女增加额外收入，为提高家庭收入作出了重要贡献。[13] 乌干达私人助产士协会提供孕产妇和婴儿护理服务，协助改变其成员和广大民众的日常生活。[14] 乞力马扎罗土著合作社联盟制订了一些创新的方案，以解决孤儿和弱势儿童的困境。它设计了一个7年的奖学金方案(2006-2012年)，支付其成员的孤儿和弱势儿童的中学教育费用。合作社通过公平贸易安排销售成员的咖啡，所产生的额外收入用来资助奖学金方案。", "24. 合作社自助和集体行动原则促进自强和参与，使穷人能够成为改善自己的生计和经济前景的积极参与者。合作社着力培养人力资本，提升技能，并提供一个论坛，穷人和弱势群体可以通过它组织起来，捍卫自己的经济和法律利益。例如，在非正规部门，运输合作社使个别服务供应者能够互利互惠，有效经营，从而提高成员的家庭收入。由伤残人士以及农村穷人和城市贫民特别是妇女拥有和经营的服务合作社，也有助于提高家庭收入，减少贫困。例如，在菲律宾，年轻人通过合作社克拉韦里亚草根营销公司销售货物，通过经营食堂培育青年领导能力。[15]", "25. 农业合作社也能鼓励小农和生计农民，使他们的产品在市场更具可持续能力和竞争力，并能改善生产者协调、市场准入和面对零售商的集体谈判力，以及降低交易成本，帮助提高农村生产力，改善粮食安全和促进农村发展。例如，在越南，44%的合作社活动都在农业部门，而另外2%在林业和渔业部门。[16] 在印度，超过50%的合作社都充当第一农业信贷协会，或向他们的生产者成员提供市场营销、仓储及其他服务。[17] 农业合作社还促进妇女参与经济生产，这有助于粮食生产和农村发展。在印度，有10万个乳制品合作社每天从1 200万农民成员收集1 650万升牛奶，为食品供应作出了重大的贡献。", "26. 全球化对发展中国家的农业生产和粮食安全带来不利的影响，促使人们日益关心公平贸易。根据公平贸易安排，生产者获得价格保证，这种价格涵盖生产成本，提供公平利润。生产者反过来又预期要遵守公平贸易的标准，如不使用童工，采用对环境和公众健康安全的耕作技术。在大多数情况下，参加公平贸易的农民都要保留他们的部分收入用于社会项目，确保无论如何也要促进社区发展和向农民提供技术培训。现在许多成立合作社的小农都采取这种安排。", "27. 在秘鲁，有机香蕉小生产者中央协会是一个实施公平贸易安排的合作社，通过它的组织能力和技术能力，它能够在商业链中促进公平贸易，并能够以可持续的方式使生产系统多样化。该协会在三年间的利润迅速增长，加强了粮食安全并改善了其成员和社区的社会、经济、文化和环境状况。[18] 托莱多可可种植者协会的126名成员依靠其可可生产赚取收入。对于其成员来说，实不实行公平贸易的差别是送子女上学，还是将他们留在家里工作。对于玻利维亚多民族国赛博合作社，公平贸易给予农民新的独立性和自强能力。在此之前，他们一再反复受到种种有问题的、剥削性的农产品出口体系所压迫。[19]", "D. 金融合作社", "28. 金融合作社，如信用社、储蓄和信用合作社以及合作银行，为成员提供成本低、随时可以获得的金融服务。除其他外，这些措施包括按照成员的需要量身定做的可靠储蓄设施、为小规模的初创型企业发放信贷或小额贷款、以及提供更实惠的汇款网络服务。对于主流商业部门服务不足的人口，金融合作社提供的金融服务发挥了重要作用，促进实现一个更加普惠包容的金融部门。", "29. 由于最近的金融危机，人们再次对替代金融机构产生了兴趣，因为事实证明，金融合作社和信用社的应变能力甚至增长能力都值得注意。[20] 例如，由于成员都在寻求一个更安全的地方存放自己的储蓄，许多其他商业机构都在紧缩，一些金融合作社和信用社有大量存款涌入，同时维持或提高了贷款率(见A/64/132，第34段)。这些情况表明机构多样化在金融部门的重要性，证明如合作社等替代商业模式具有优势，并指出合作社如何能够促进广大金融体系的稳定。", "E. 社会保护", "30. 合作社，通过互助公司，还以财产/伤亡保险、医疗保险、和人寿保险的形式提供社会保护。肯尼亚CIC保险集团为主流保险公司不承保的人提供负担得起的保险。除了为穷人和弱势群体提供风险保护服务外，CIC还是肯尼亚最大的小额保险公司。", "31. 在伊斯兰社会中，最近的保险计划是塔卡富回教保险。它是基于客户风险共享和依循伊斯兰法合作原则经营的参与式保险。根据塔卡富回教保险，每个投保人所付的保费都用来帮助需要援助的人，一切损失和负债都按照社区集资制度分摊。2008年，塔卡富回教保险保费总额约达53亿美元，近年来出现双位数字的增长。[21]", "32. 合作医疗保险有助于维护和促进人的健康，加强保健系统，并可协助改善人民，尤其是穷人的健康状况。巴西的UNIMED既是一个健康保险公司，也是一个医疗合作社，在竞争激烈的市场中经营。UNIMED致力于改善保健服务，并已实施了两个绩效薪资方案，以提高其网络中为800 000人服务的258个服务提供者的医疗服务质量和效率。[22] 在塞内加尔，保健互助公司(PAMECAS)向弱势群体和低收入家庭提供负担得起的储蓄和健康保险。[23]", "F. 灾后救济", "33. 合作社帮助在灾后恢复和重建。2006年，班达亚齐海啸发生之后，合作社帮助灾后恢复。合作社运动动员援助和重建活动，安排优先顺序，合作社还制定了一些指导原则，包括与在地面的组织建立伙伴关系，分散支持不同的项目，避免重复努力。在日本最近发生海啸之后，日本的合作社帮助恢复过程，包括向受害者提供医疗服务、食品和药品供应和小额信贷。在美国，合作发展基金会启动了2011年春季风暴合作社恢复基金。它是专为合作社设计的，以帮助因风暴、龙卷风、洪水和野火而受到不利影响的其他合作社。", "G. 建设和平", "34. 在冲突或族裔分裂地区，合作社可以在建设和平及创造沟通桥梁中发挥重要作用。合作社能集合有共同经济利益的人，尽管他们在其他领域有冲突。[24] 合作社有悠久的通过人民对话化解冲突的历史，有助于在经济上缔造和平，它们根植于当地的经济发展形式也让人们有机会一起努力，在小规模范围内实行民主。在卢旺达，世界信用社理事会重建了一个信用联盟系统，不分种族，目前有149个信用联盟，估计有40万成员。", "35. 合作社作为一种自助组织，使人民能够组织起来，经营企业，改善他们的境况。因此，它们有助于提高收入和创造就业机会，并在遵守相互负责的原则下，有助于促进社会融合和团结。特别是，合作社促进参与式的民主决策进程，从而让成员们增权扩能，并通过成员的教育和培训，强调能力建设和人力资本投资。从发展的角度看，合作社的主要目标即使是帮助其成员达成共同的目标，它们的确对社会经济发展作出了贡献。", "四. 加强合作社", "36. 合作社为了充分发挥他们对社会经济发展的贡献，必须是可持续和稳定的企业。2011年5月6日至8日经济和社会事务部社会政策和发展司及蒙古政府在乌兰巴托举行的合作社促进社会发展专家组会议突出介绍了一些成功合作社的好做法；其中包括健全的治理和干练的领导、管理和市场知识、提供培训、将教育纳入合作社主流、以及建立信息数据库和进行能够支持政策建议的稳妥研究的重要性。在促进合作社的可持续增长和成立方面，由各国政府提供良好的政策和立法框架是同样重要的。", "37. 健全的内部治理和干练的领导，是合作社成功的关键。尤其关键的是，管理技能和部门知识要跟上成员的利益。在新加坡，新加坡全国合作社联合会在2006年出台了合作社治理守则，以设法解决合作社运动内部治理的一些问题，并概述了信用合作社必须实行的良治做法。", "38. 在埃塞俄比亚，奥罗米亚咖啡农合作社联盟提供了一个很好的例子，可说明如何促进合作社运动的效率及其增长。作为一个初级合作社联盟，自1999年以来，该组织曾将其生产者成员带上较高的价值链，不仅实现具备竞争力的规模，拥有市场营销和议价能力，还通过技术教育和提高企业管理能力，增扩农民权能，提高生产和经营质量。截至2010年，联盟的成员数已增加五倍有多，自2001年以来，销售值迅猛增加。[25]", "39. 在肯尼亚，CIC保险集团的成功与改善其内部治理以及加强营商做法很有关系。即使在1996年和1998年之间有巨额资本注入公司，但合作社的增长缓慢，且不稳定。然而，在改换管理后，引入了健全的战略规划，推动成员教育和成员参与，该公司成功地打了一场完整的翻身仗，成为肯尼亚第三大保险公司。[26]", "40. 培训是建立强有力的管理能力的重要手段，其目的应是灌输合作社的核心价值和原则，提高能力，以加强业务。2011年一些答复合作社问题单的会员国表示，加强合作社成员组成和领导力的举措包括在学校课程纳入合作社知识，包括纳入合作社学院和商学院的合作社课程。一些国家与合作运动结成伙伴关系合作办学，如哥斯达黎加，CENECOOP与教育部合作，通过电子学习，将合作社教育纳入中学课程。[27] 在美国，巴布森合作社平等交流课程与合作社和学术界合作，开设关于合作社企业的管理和运作的研究生课程。它也推出网上免费课程，鼓励世界各地的商学院加以利用。[28]", "41. 为了更好地了解合作社，并评估其社会经济发展的影响，应优先考虑研究和收集关于合作社的统一统计。这样的研究将有助于提高人们对合作社及其社会贡献的认识，并鼓励促进和组建合作社。关于免税和其他豁免、会计标准和限制资本渠道规则的研究，应考虑到合作社的独特性质。新出现的有关合作社的问题需要进一步研究，包括绿色就业机会、信息技术和共享商业服务。但是，在研究和收集关于合作社的数据方面，最大的挑战是缺乏资金。所有利益攸关方之间建立合作伙伴关系，进行协作，包括合力提供资金，制订一个协调的方式来研究、收集数据、建立一个合作社良好做法数据库，可以成为国际合作社年的一个重要项目。", "42. 合作社网络，或合作社之间的合作，也是一个加强合作社企业的能力和效益的重要因素。在上述很多例子中，增值是提高效益、促成企业成功和扩大所涉生产者合作社社会经济外联网的关键影响因素，西班牙蒙德拉贡公司(Mondragon)和意大利的拉勒加合作社公司(La Legacoop)就是这种现实情况的例子。在合作社或工会/合作社联合会的合作经营中，制度化的合作扩大了经济活动的规模，使运营成本得以降低，并创造足够的集合资源，以推动技术的扩展，同时可共享市场营销和质量控制服务，并成立新的合作社。在全球竞争日益加剧，需要加快创新步伐之际，这些合作社网络提供了一个体制对策。[29]", "43. 政府通过制订合作社政策、法律和法规，提供有利的环境和公平竞争的场所，使合作社能与主流企业竞争，发挥了重要的作用。为此，法律框架必须符合不断变化的经济现实，合作社法律必要时必须修订，以消除差距。合作社法律的现代化和更新，都应确保有关立法都植根于合作社的价值和原则。政府的监管应兼顾合作社的自主权，让合作社制订自己的章程附则。", "44. 在2011年关于合作社的成员国调查中，大多数国家表示使用了国际劳工组织第193号建议和联合国促进合作社准则作为他们的合作社政策和立法的基础。中国、肯尼亚、马耳他和巴拿马表示，他们在不断检讨合作社政策和立法，以改善获取信贷的机会，促进健全的商业做法和增值。成员国提到用下列措施加强合作社：提高管理和技术能力，审查现行立法和改善获得信贷的机会。大多数成员国回应表示，在实施国家发展政策中，已考虑到合作社及其社会经济贡献。", "45. 历史已经证明，凡是合作社过于受国家影响，它们不仅无法持续，而且会成为无关紧要和效率低下的机构。例如，在非洲，虽然建立合作社是一项政治需要，导致合作社在整个非洲大陆的扩散，可是他们的活动与其社区的主流经社社会形态渐行渐远。此外，自力更生的原则高度被破坏，合作社已不再是成员驱动的，而仅仅是政治策略的代理人，所产生的盈余都按照国家的指示用来资助一些项目，导致合作社成员士气低落。[30]", "46. 国际合作社年提供了一个独特的机会，让世界各地的政府、合作社和其他有关的利益攸关者可以积极参与和彼此对话，商讨实施有利于合作社的法律和财政政策如何可以促进合作社的可持续发展，同时进行独立管控，给予必要的平衡。", "五. 2012国际合作社年", "A. 背景和目标", "47. 联合国大会在第64/136号决议宣布2012年为国际合作社年。国际合作社年有三个主要目标：", "(a) 提高公众对合作社及其对社会经济发展贡献的认识，实现各项国际商定发展目标，包括千年发展目标；", "(b) 促进合作社的成立和发展，以增强社会经济能力；", "(c) 鼓励各国政府和监管机构，制订有利于合作社的成立和发展的政策、法律和法规。", "48. 虽然合作社对社会经济发展的贡献是众所周知的，但对合作社的独特性质，广大市民和许多决策者仍然知之不详。因此，国际合作社年的主要目标之一是在发达国家和发展中国家提高对合作社的认识，并改善合作社作为一种现代商业模式的形象。国际合作社年将显著介绍合作社在解决贫困、就业、收入损失、粮食安全、社会包容和增权扩能等问题方面所作的贡献，同时特别强调，在解决经济社会发展的性别平等问题方面，合作社占有优势。", "B. 实施情况", "国际实施情况", "中央协调", "49. 在国际一级，协调实施国际合作社年由促进和推动合作社委员会负责，该委员会由经济和社会事务部、国际劳工组织、粮农组织和国际合作社联盟组成，由一群来自合作社运动、学术界和民间社会不同界别的知名人士担任顾问。这些机构负责合力制订指导实施国际合作社年的核心战略和关键信息。关键信息将突出和支持国际合作社年的主题：“合作社企业建造更美好的世界”。为筹备国际合作社年，协调委员会广泛联系各合作社、民间社会、各国政府、联合国有关实体和其他利益攸关者。", "50. 2011年5月6日至8日，经济和社会事务部在乌兰巴托召开了一个合作社促进社会发展专家组会议，以协助国际合作社年的筹备工作。会议的东道主为蒙古外交和外贸部及粮食、农业和轻工业部。[31]", "会议、大会和特别活动", "51. 大会在第65/184号决议决定，国际合作社年于2011年10月31日第六十六届会议一次全体会议启动。大会还决定在全体会议之前召开一次非正式圆桌会议。", "52. 粮农组织、国际农业发展基金和世界粮食计划署一起，计划在推出国际合作社年之际安排一次关于农业合作社的会外活动，在纽约联合国总部举行。为了向现有成员宣传国际合作社年，粮农组织将在该年全年举办一系列会议，这些会议将与世界各地的粮农组织区域会议全部挂钩。这包括粮农组织第二十六届非洲区域会议、粮农组织第三十一届近东区域会议、粮农组织第三十一届亚洲及太平洋区域会议、粮农组织第三十二届拉丁美洲和加勒比区域会议、粮农组织第二十八届欧洲区域会议和世界粮食安全委员会第三十七届会议。粮农组织还将在2012年世界粮食周专门为国际合作社年举办活动。", "53. 国际劳工组织将在2012年第101届国际劳工大会之前的一周召开一个关于合作社和青年就业问题高级别研讨会。还将于2012年召开一次专家会议，题目是“劳工组织提出第193号建议十年之后：评估现况和前进方向”。在都灵的劳工组织国际培训中心，将举办一个关于合作社培训班，以制订政策和立法为重点。", "交流和推广", "54. 经济和社会事务部已率先在规划和协调国际合作社年的宣传和外联活动。经济和社会事务部同促进和推动合作社委员会和新闻部制图股一起，设计了一个标志，大力宣传国际合作社年的主题。正在开发一个资料袋、一个宣传工具包和倡导指南，将通过电子和印刷散发。资料袋的建议内容包括一个突显国际合作社年标志的宣传册子、一份载列关键信息和有关行动要点的传单、以及一份更详细的资料册，其中阐述国际合作社年的肇始与实施情况，各项关键信息的论证分析和一个扼要的行动呼吁。宣传工具包/倡导指南将简明介绍国际合作社年的宣传战略，并指导感兴趣的组织和各国政府如何配合全球努力，展开其关于国际合作社年的宣传运动。", "55. 经济和社会事务部还协调使用社交媒体提高对国际合作社年的认识，并宣传其品牌，以鼓励在全球实行某种统一的宣传。迄今为止，已在面书(Facebook)设置了“CoopsYear”社区页，登载一些初步讯息，集中宣传如何使用国际合作社年标志，推动有关的活动。还在推特(Twitter)开设一个“CoopsYear”博客。在整个国际合作社年，都通过这些社区页告知追随者各主要委员会负责协调的活动，以及提高对国家和地方一级举措的认识。适当时，也将利用这些页面来为争取追随者对主要问题和倡议作出反馈。", "56. 已开发了一个国际合作社年的官方网站，正在由经济和社会事务部社会政策和发展司负责维护。该网站将作为国际合作社年的通信枢纽，将在这里介绍国际合作社年期间举办的活动、关于合作社的消息以及在国家、区域和全球各级的其他有关事态发展。该网站还将设置一个互动博客，将经常贴上关于合作社商业模式及其对可持续发展的贡献的分析文章。经济和社会事务部还计划与合作社新闻媒体合作，开发一个关于合作社的新闻门户网站，支援官方网站。", "57. 粮农组织、国际农业发展基金和世界粮食计划署合作印制了一系列纪念国际合作社年的材料，其目的是促进农村合作社。资料袋将有一份传单，内有关于促进农业合作社的关键讯息和一个很好的实践指南，其中有一些案例研究，选择这些案例是为了求得专题、性别和地域的平衡，以及反映发达国家和发展中国家的观点。这些组织计划发出联合新闻稿，以启动国际合作社年。", "58. 国际劳工组织正在编制将在国际合作社年散发的各种专题小册子。它还计划制作一部介绍合作社的短片，将于2011年10月31日正式启动国际合作社年的时候首次放映。", "研究和数据收集措施", "59. 经济和社会事务部计划在整个国际合作社年中散发每月专题简报。每月的主题将涉及的主要宣传活动的关键信息。这项计划也将汇编关于合作社在发展中的作用的分析材料，将于今年年底单独印发。", "60. 粮农组织将参加由国际劳工组织委托并经促进农业合作社委员会支持开展的关于全世界合作社现况的研究，这将产生一个知识库，说明世界各地合作社的规模、范围和社会经济影响。", "61. 劳工组织正在试行一项举措，收集14个国家的合作社的具体数据。该组织还致力于发展一套拟议办法，以便将这种数据纳入现有的联合国和国际劳工组织统计调查。", "区域和国家实施情况", "62. 正如大会第64/136号决议所指出的，战略的一个中心环节一直是鼓励会员国建立全国委员会。截至2011年6月15日，有48国政府报告指出，已为国际合作社年成立全国委员会和/或联络中心，这些国家来自世界各个地区(见下表2)。", "表2 为国际合作社年成立的全国委员会", "非洲 欧洲 美洲 亚洲 大洋洲 \n 阿尔及利亚 比利时 加拿大 孟加拉国 澳大利亚 贝宁布基纳法索中非共和国埃塞俄比亚加纳肯尼亚马达加斯加毛里求斯斯威士兰坦桑尼亚联合共和国\t保加利亚克罗地亚塞浦路斯芬兰德国希腊马耳他黑山斯洛伐克西班牙\t哥斯达黎加厄瓜多尔圭亚那洪都拉斯巴拿马秘鲁圣文森特和格林纳丁斯特立尼达和多巴哥\t文莱达鲁萨兰国中国日本约旦黎巴嫩蒙古菲律宾卡塔尔新加坡泰国\t新西兰图瓦卢瓦努阿图 \n 津巴布韦 土耳其", "63. 一些政府还没有建立全国委员会，但鼓励全国性合作组织带头推动国际合作社年。澳大利亚的指导委员会由全国一些顶级组织的领导人组成，是一个由民间社会带头的全国委员会的一个例子。", "会议、大会和特别活动", "64. 在区域一级和国家一级为国际合作社年计划开展的活动大部分将采取举办会议、大会和特别活动的形式。这些活动的目的是要突出分享良好做法、数据和研究成果，以此作为一种手段，促使人们更好地了解合作社如何在国家和区域环境中营运。", "65. 在非洲，坦桑尼亚联合共和国政府与莫希大学合作社与商业研究学院合作，计划在2011年9月举行一次会议，题目是“非洲国际合作社研究会议”，旨在提高对非洲以合作社为重点的研究的能见度，以及促进纪念国际合作社年。政府也将在2012年国际合作社与国际信用社日举办关于合作社企业的国家讲习班，并将举行会议，让媒体和编辑人员认识合作社和了解合作社的问题。多哥政府提出在2012年1月在洛美举行非洲国家元首关于合作社的首脑会议。", "66. 在亚洲，第64/136号决议的主要提案国蒙古将通过其总体行动计划，其中包括30个行动计划，为国际合作社年举办活动，包括计划举办合作社的展览，开展题为“一个领域，两个品牌”的宣传运动，以提高对合作社的认识，并发展公私伙伴关系，以促进合作社。新加坡将举办学术会议，促进大专院校和学生之间对合作社的认识。中国将主办一个专业合作社研讨会和一个由来自巴西、中国、印度、俄罗斯联邦和南非的合作社领导人参加的会议。在印度，全国合作社联盟将举办第十六届印度合作社大会，来自印度和世界各地的合作社都将参加，又将举办一个将合作社原则和做法纳入教学课程的会议。该联盟还将与粮农组织各国家办事处或粮农组织亚洲及太平洋区域办事处合作，主办一个关于粮食安全和气候变化以及合作社的作用的国际会议。此外，他们将主办若干领导力培育方案，以及为妇女和青年开办关于创收活动和自营职业机会的培训方案。", "67. 在欧洲，在2012年下半年，塞浦路斯同欧洲联盟合作，将举办一个关于促进欧洲合作社和欧洲联盟成员国关心的合作社其他问题的会议。马耳他计划举办一个全国会议，可能邀请国际人士参加。在摩尔多瓦共和国，顶级组织计划举办两个国际会议：“合作社无国界”和“合作社：公平、可持续发展和社会发展机遇”。该组织还将举办关于制订和修订合作社适用立法、政策和法规的研讨会和讲习班。", "68. 在拉丁美洲，巴拿马一直与全国顶级组织巴拿马自治合作社研究所(IPACOOP)合作，计划举办一个全国合作社大会，讨论所有利益攸关者关心的问题，并提出建议，提交政府和合作社。政府还提供部分资金和后勤支持给三个国际合作会议：国际合作社联盟(美洲)的会议、加勒比、中美洲和南美洲合作社联盟的会议和拉丁美洲合作社协调机制的会议。", "69. 在澳大利亚，全国委员会举办了一个由全国合作社首席执行官参与的关键问题首脑会议，一并和举办其他当地会议和研讨会。", "70. 2012年，合作社、学术界和其他民间社会组织在区域和国际两级举办了各种会议，作为庆祝国家合作社年活动的一部分。全球会议和其他活动清单见国际合作社年网站：http://social.un.org/coopsyear/。", "外联和宣传材料", "71. 至于在国际一级，许多答复问题单的政府和顶级组织都将宣传活动的重点放在制作和散发外联和宣传材料之上。有关的计划活动包括印制宣传合作社商业模式及其对发展的贡献的小册子，以及印上国际合作社年口号的海报和T恤。一些会员国也将制作关于合作社的广播节目和电视纪录片，并鼓励地方和国家报章杂志等印刷媒体报道关于合作社的新闻。", "72. 新加坡政府将制作并印制系列纪念邮票和多媒体DVD，将放映关于国家合作社年的短片，举办摄影展览和比赛，吸引年轻人的兴趣，促进人们了解合作社企业如何为社会作出贡献。", "73. 澳大利亚的指导委员会将印制宣传明信片，宣传澳大利亚合作社运动对国民经济的贡献，并创建一个网站，以协调全国的活动日历，同时开展一个全国性的公众宣传运动。", "研究和数据收集措施", "74. 会员国和合作社组织计划进行研究和收集数据，这将创建数据库，吸纳合作社过去和现在的数据，编制收集数据的问题单，并收集对合作社产生影响的各种问题的数据。", "75. 土耳其政府目前正在编制一份合作战略文件和行动计划，该计划将强调土耳其合作社的重要性、合作社的预期业绩及其对改善人民福祉的贡献。", "76. 巴拿马打算研究和散发一份关于合作社分部门研究的结果，包括但不限于每个分部门对其成员以及当地社区和全国经济、社会和文化发展的贡献。也将研究关于合作社对粮食安全、创造就业机会、获取银行服务、提供住房和消除贫困方面的贡献，以及研究合作社内部性别平等以及合作社对环保和保护国家可再生资源的贡献。", "77. 澳大利亚指导委员会将支持两个研究项目：“可持续的合作社企业”，将探索影响合作社企业可持续能力和竞争力的各种因素；以及“在澳大利亚和意大利推动合作社运动”，研究合作社对这两个国家的社会经济生活所作的贡献。", "C. 2012年以后的行动", "78. 全世界需要长期和持续努力，才能加强合作社，造福其成员、选区和社区。因此，合作社、学术界和其他利益攸关者日益支持考虑制定一个路线图或行动计划，在国际合作社年结束后继续促进合作社。这一构想将以现有任务规定为基础，确保在2012年对国际合作社年进行有重点和有效的后续跟进。", "六. 结论和建议", "79. 合作社对可持续发展可以作出独特的贡献，特别有助于促进社会和经济支柱的发展。合作社由成员推动的性质使它们能植根于所在社区，为所在社区提供服务，因而企业的发展能与社会、文化和经济发展的需要以及这些社区的愿景相一致。促进认识和了解合作社企业及其直接和间接的优点，是推进普惠包容的可持续发展的一个积极步骤。因此不仅要加强合作社本身的内部能力，还要根据实证研究以及有效的和可靠的数据，制订一个支持性的监管框架，给予必要的平衡。", "80. 大会确认和支持专门为促进国际合作社年所作的努力，尊重合作社自治和成员自强的价值观，不妨考虑以下的建议，邀请各国政府和国际组织与合作社和合作社组织建立伙伴关系，以便：", "(a) 持续努力促使公众认识合作社的明显优点和优势，认识到合作社的价值观念，特别是成员的自强意识，促进在新的、新兴的或传统得不到充分服务的地区创立合作社；", "(b) 在城市和农村地区的各个经济部门，重点支持合作社，视之为可直接创造就业机会、减少贫困和提供社会保护作出贡献的可持续的及成功的商业企业；", "(c) 促进金融合作社的增长，以实现普惠包容的金融服务为目标，特别是通过政策，扩大金融合作社和信用社的跨度和范围，通过适当的税务奖励制度，提供服务和市场，使人人获得金融服务；", "(d) 促进农业合作社的发展，办法是促进农业部门的全面增长，特别是通过改善各种融资方法、可持续生产技术、投资于农村基础设施和灌溉、市场营销机制和妇女的参与，达到粮食安全的目标；", "(e) 与所有利益攸关方合作，加紧努力，扩大提供和方便获取关于合作社运作和贡献的研究，并建立收集和散发可比全球数据的方法以及合作社企业的良好做法；", "(f) 审查及改善关于合作社的立法和国家监管能力，特别是为合作社建立一个与其他企业相比的公平竞争环境，以便提供一个更为扶持性的有利环境，促进合作社的成立并参与国家发展的努力。", "[1] 答复调查的会员国有：孟加拉国、保加利亚、中国、塞浦路斯、多米尼克、厄瓜多尔、德国、圭亚那、日本、肯尼亚、黎巴嫩、马耳他、墨西哥、蒙古、莫桑比克、尼日尔、巴拿马、罗马尼亚、新加坡、泰国、土耳其、坦桑尼亚联合共和国、乌拉圭和津巴布韦。答复调查的组织有:孟加拉国Jatiya Samabaya联盟、摩羯座协会有限公司(澳大利亚)、农业合作社中央联盟(JA-Zenchu)、Coopeuch有限公司、DGRV (德国合作社和莱夫艾森协会)、德国联邦住房和房地产协会、哥斯达黎加全国合作社发展研究所 (INFOCOOP)、伊朗伊斯兰共和国合作社中央厅、KFO、HSB、Riksbyggen、KF、OK、Fonus、Coompanion、Folksam和瑞典合作社中心(SCC)、捷克共和国合作社协会、蒙古全国合作社协会、全国合作社商业协会、全国合作社理事会、印度全国合作社联盟、新西兰合作社协会、SOK公司(芬兰合作社协会中央组织)、摩尔多瓦共和国消费者合作社中央联盟、合作社联盟——格鲁吉亚伊比利亚。", "[2] 《社会发展问题世界首脑会议的报告，哥本哈根，1995年3月6日至12日》(联合国出版物，出售品编号E.96.IV.8)。", "[3] 见大会第56/114号决议和 A/56/73-E/2001/68，附件。", "[4] 见http://www.ilo.org/ilolex/cgi-lex/convde.pl?R193。", "[5] 国际合作社联盟界定合作社为“人们自愿联合组成的自治协会，通过共同拥有和民主管理的企业，实现他们共同的经济、社会和文化需要和目标”。", "[6] 合作社价值包括自助、自我负责、民主、平等、公平和团结。合作社原则为：自愿和公开参与；成员民主管控；成员经济参与；独立自主；教育、培训和宣传；合作社之间的合作；和关心社区。", "[7] 关于合作社运动的统计资料，见www.ica.coop。", "[8] “作为商业组织的合作社：从合作社组织历史吸取的教训”，Wim j.j. van Diepenbeek告别专论,马斯特里赫特大学，2007年5月。参看http://www.eurocoopbanks.coop/getdocument. aspx?id=da6def67-6028-4786-b904-097bf8bb1fdb。", "[9] 关于合作社运动的统计资料，见www.ica.coop。", "[10] Nelson C. Kuria，“非洲特别是肯尼亚合作社保险的经验”，为2011年5月3日至6日经济和社会事务部社会政策和发展司及蒙古政府在乌兰巴托举行的合作社促进社会发展专家组会议编写的论文。", "[11] 劳工组织第1号概括介绍：“合作社与农村发展”，2007年。", "[12] Frederick O.Wanyama, Patrick Develtere and Ignace Polet，“直面证据：非洲合作社与减贫”，见http://www.cooperatiefondernemen.be/wp/WP%20SCE%2008-02.pdf。", "[13] Maheswararao Veeranki，“拉贾斯坦邦妇女乳制品合作社：妇女乳制品合作社的成功故事”，Kurukshetra，第 51卷，第6号(2003年),第19-22页。", "[14] 乌干达专业助产士组织，（2011年），“项目”，见2011年6月22日http://www.upmouganda.org/ projects.html。", "[15] Clarissa S. Trampe, “青年人再发明合作社：年轻人对国际合作社运动的看法”,(2009), 见 http://www.learningcentre.coop/resource/when-hands-are-held-tight-story-endearing-people-claveria。", "[16] Nguyen Minh TU,“越南的合作社发展：成就与挑战”,为2011年5月3日至6日在乌兰巴托举行的合作社促进社会发展专家组会议编写的论文。", "[17] Daman Prakash,“印度农业和农业合作社”,为中央农业合作社联盟JA-Zenchu,东京(2009年)编写的论文。", "[18] Michael de Groot,“CEPIBO案例”，为2011年5月3日至6日在乌兰巴托举行的合作社促进社会发展专家组会议编写的论文。", "[19] 见“全球交流”组织，“可可合作社公平贸易”，见HTTP://WWW.GLOBALEXCHANGE.ORG/CAMPAIGNS/ FAIRTRADE/COCOA/COCOACOOPERATIVES.HTML (2011年7月11日查阅)。", "[20] 欧洲合作银行协会，“合作银行与危机：应变能力强的模式”，欧洲合作银行协会调查，2009年12月。", "[21] Ajmal Bhatty，“日益重要的塔卡富回教保险”，为经济合作与发展组织于2010年9月23日至24日在马来西亚吉隆坡举行的亚洲区域研讨会编写的论文。", "[22] paulo Borem and Others，“绩效薪资在巴西:UNIMED-贝洛哈里桑特医师合作”，(2010年5月24日)。见http://www.healthsystems2020.org/content/resource/detail/2564。", "[23] 国际合作社和共同保险联合会，《繁荣》，第8期，2010年8月，第3页。", "[24] George J.Mitchell，“合作社能在维和中发挥作用”。见http://www.ncba.coop/sample(2011年7月17日查阅)。", "[25] Tadesse Meskela，“奥罗米亚咖啡农合作社联盟现况”，为2011年5月3日至6日在乌兰巴托举行的合作社促进社会发展专家组会议编写的论文。", "[26] Kuria，“肯尼亚保险合作社的经验”(见上文脚注10)。", "[27] Neticoop，“CENECOOP提高国家和区域合作社竞争力的项目”(2006年8月28日)。见http://www.neticoop.org.uy/article2327.html。", "[28] 巴布森学院新闻稿，“巴布森学院启动维基以促进合作社教育”，2011年6月17日。见http://www3.babson.edu/newsroom/releases/WhitmanCooperativesCurriculum6-11ns.cfm。", "[29] Stephen C. Smith，“一同盛放还是独自凋谢？网络外部影响，兼论蒙德拉贡及拉勒加合作社网络”，联合国大学发展经济世界研究所，第2001/27号讨论文件(2001年6月)。", "[30] Patrick Develtere，Ignace Pollet and Fredrick Wanyama，eds.，因贫穷而合作：非洲合作社运动的复兴，(日内瓦，劳工组织，2009年).", "[31] 共同赞助会议的有：劳工组织、粮农组织、国际合作社联盟、日本消费合作社协会、肯尼亚CIC保险集团、COEXPHAL(水果蔬菜生产者组织协会)和西班牙阿尔梅里亚大学、瑞典合作社中心、美国威斯康辛大学、国际新闻通讯社和蒙古全国合作社协会。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 28 (b) of the preliminary list*", "Social development, including questions relating to the world social situation and to youth, ageing, disabled persons and the family", "Cooperatives in social development and implementation of the International Year of Cooperatives", "Report of the Secretary-General", "Summary", "The present report highlights the contribution of cooperatives to socio‑economic development, as the pooling of resources and efforts improves individual and household incomes by strengthening the participation of small and medium-sized enterprises in the market. It outlines the contribution of cooperatives to food security, inclusive finance and social protection, and the strengthening of societies through peacebuilding and disaster recovery. It also examines how the cooperative movement can be harnessed for development, in the context of coordination and collaboration with Governments and other stakeholders. It focuses attention on the importance of effective, member-driven internal governance structures and capacity-building, balanced with a supportive and respectful regulatory framework. It also presents activities planned for the observance of the 2012 International Year of Cooperatives, noting the support received from Governments through the establishment of national steering committees across all regions.", "Contents", "Page\nI.Introduction 3II.Commitments 3 of Member States and the United Nations to \ncooperatives III.Cooperatives 4 and socio-economic \ndevelopment A.Size 5 of the cooperative \nsector \nB.Employment 6C.Poverty 8 \nreduction D. Financial 10 \ncooperatives E.Social 10 \nprotection F. Post-disaster 11 \nrelief \nG. Peacebuilding 11IV. Strengthening 12 \ncooperatives V. International 14 Year of Cooperatives \n 2012 A.Background 14 and \nobjectives \nB.Implementation 15C.Action 20 beyond \n 2012 VI.Conclusions 20 and \nrecommendations", "I. Introduction", "1. The present report is submitted in response to General Assembly resolution 64/136, in which the Secretary-General was requested to submit a report to the Assembly at its sixty-sixth session on the promotion of cooperatives in social development, including a proposal on activities to be undertaken during the International Year of Cooperatives 2012. It discusses the contribution of cooperatives to socio-economic development and provides information on preparations for the International Year of Cooperatives 2012, including a selection of activities that have been undertaken or planned in preparation for and support of the Year. This information is based on responses from 24 Member States, 25 apex cooperative organizations and 3 United Nations agencies to a survey undertaken by the Department of Economic and Social Affairs of the Secretariat.[1] The report concludes with recommendations to promote and strengthen cooperatives.", "II. Commitments of Member States and the United Nations to cooperatives", "2. At the World Summit for Social Development held in Copenhagen in 1995, Governments agreed to utilize and fully develop the potential and contribution of cooperatives for the attainment of social development goals, with an emphasis on the eradication of poverty, the generation of full and productive employment, and the enhancement of social integration. They also recommended the establishment of legal frameworks that would encourage the development of cooperative enterprises.[2]", "3. In 2001, Governments further agreed to promote the cooperative sector in recognition of their role and contribution to socio-economic development through the United Nations guidelines aimed at creating a supportive environment for the development of cooperatives[3] and Recommendation No. 193 (2002) of the International Labour Organization (ILO) concerning the promotion of cooperatives.[4]", "4. Several United Nations agencies currently promote and support cooperative development and growth. The ILO EMP/COOP unit serves ILO constituents and cooperative organizations in four areas: public awareness-raising; ensuring the competitiveness of cooperatives; inclusion of cooperative principles and practices in national education and training systems; and advice on cooperative policy and cooperative law. The Food and Agriculture Organization of the United Nations (FAO) operationalizes its commitments on food security through its Committee for Food Security by engaging in partnerships and collaboration with rural cooperatives and other small-scale producer organizations. The Committee is meant to become the foremost inclusive international and intergovernmental platform dealing with food security and nutrition, with the full participation of representatives of rural cooperatives and producer organizations at all levels. The World Food Programme (WFP) “purchase for progress” (P4P) initiative supports agricultural cooperatives in 21 pilot countries to improve food production.", "5. The Committee for the Promotion and Advancement of Cooperatives consisting of the Secretariat of the United Nations, ILO, FAO and the International Cooperative Alliance actively promotes and raises awareness of cooperatives through inter-agency technical cooperation and publication of research into cooperatives.", "III. Cooperatives and socio-economic development", "6. Early cooperatives were associated with periods of economic hardship. The Rochdale retail cooperative in the United Kingdom of Great Britain and Northern Ireland was formed in 1844 in response to the economic difficulties of weavers at the time of the industrial revolution. Similarly, the European cooperative banks had their origins in the first banking cooperative (Raiffeisen) organized in Germany to support peasants facing famine and economic dislocation in the mid-1800s. Over the years, cooperatives have spread globally and into various sectors and activities such as agriculture, fishing, housing, banking, insurance, water, electricity, health care and tourism. Today, successful cooperatives continue to generate, improve and protect incomes, as well as generate employment opportunities. Cooperative enterprises, especially in developing countries, contribute to the achievement of many of the internationally agreed development goals, including the Millennium Development Goals.", "7. The contribution that cooperatives make to socio-economic development derives from the fact that they are member-owned business enterprises.[5] This distinctive characteristic of cooperatives provides the framework or model of business enterprise that enables the self-empowerment of the poor and other marginalized groups, and promotes community self-reliance, collaboration and cohesion. By enabling individuals in a local community to pool resources in pursuit of an economic enterprise, cooperatives can become catalysts for socio-economic development in their communities. For example, cooperatives can play an important role in the promotion of gender equality and the empowerment of women.", "8. Moreover, adherence to cooperatives values and principles[6] makes cooperatives a positive presence in their local communities because successful cooperatives demonstrate the importance of democratic values, solidarity and respect for human values and the environment.", "A. Size of the cooperative sector", "9. Cooperatives are present in all countries and it is estimated that 1 billion individuals are members of cooperatives worldwide.[7] The International Cooperative Alliance, the umbrella organization of cooperatives worldwide, has 249 apex or cooperative network member organizations from 94 countries in all sectors of the economy. Information collected by the Alliance from numerous countries suggests that cooperative activities account for between 3 and 10 per cent of national gross domestic product (GDP).", "10. The ICA Global 300 project, which compiles information on the 300 largest cooperatives in the world, indicates that in 2008 they had an aggregate turnover of $1.1 trillion, comparable to roughly one-tenth of the GDP of the United States of America. Most of the 300 largest cooperatives are found in the developed economies of France, Germany, Japan, the Netherlands and the United States. The sectoral distribution of these cooperatives is as follows: 30 per cent are in agriculture and food; 23 per cent in retailing; 22 per cent in insurance; and 19 per cent in banking.", "11. Cooperatives have an important presence in the United States. For example, more than 900 rural electric cooperatives deliver electricity to more than 42 million people in 47 States of the United States. This represents 42 per cent of the country’s electric distribution lines and covers 75 per cent of its land mass. United States agricultural cooperatives have a market share of about 28 per cent in the processing and marketing of agricultural products, and a 26 per cent share in the supply of inputs. Cooperatives were highly visible recently when the Group Health Cooperative in Puget Sound, which has 570,000 members, figured prominently as a model for consideration in the drafting of the United States health-care reform in 2010.", "12. In Europe, agricultural cooperatives have an aggregate market share of about 60 per cent in the processing and marketing of agricultural commodities and an estimated 50 per cent share in the supply of inputs. In France, the cooperative movement has a turnover of 181 billion euros, where cooperatives handle 60 per cent of retail banking, 40 per cent of food and agricultural production, and 25 per cent of retail sales.", "13. In New Zealand, agricultural cooperatives dominate each stage of the agricultural supply chain, capturing a market share of over 75 per cent, while consumer cooperatives in food retailing have a market share of 60 per cent.[8]", "14. In developing countries, cooperatives also play a prominent role. In Brazil, cooperatives were responsible for 37.2 per cent of agricultural GDP and 5.4 per cent of overall GDP in 2009. Brazilian agricultural cooperatives, with almost 1 million members, earned about $3.6 billion from exports in 2009. The country’s health cooperatives provided medical and dental services to 17.7 million people, just under 10 per cent of the population. The 8,124 cooperatives in Colombia contributed 4.96 per cent of national GDP in 2009. Colombian cooperatives account for 22 per cent of all employment in the health sector; 14.7 per cent of employment in the transport sector; 7.7 per cent of agricultural employment; and 6.5 per cent of employment in the financial sector. Colombian cooperatives provide 91 per cent of all microcredit in the country and employ over 137,000 people, the majority of whom are women.", "15. In Mauritius, cooperatives in the agricultural sector play an important role in the production of sugar, vegetables, fruit, flowers, milk, meat and fish. Cooperative societies also account for more than 60 per cent of national production in the food crop sector.[9] In Kenya, the savings and credit cooperatives, the largest in Africa, have assets of $2.7 billion, which account for 31 per cent of gross national savings.[10]", "B. Employment", "16. It is estimated that cooperatives employ more than 100 million people worldwide.[11] Of this total, cooperatives in the United States, account for more than 2 million jobs; French and Italian cooperatives employ 1 million and 1.1 million people respectively; Brazilian cooperatives employ 274,000 individuals; Argentinian cooperatives are responsible for 290,000 jobs; and Colombian cooperatives employ 700,000 workers. In Kenya, 250,000 people are employed by cooperatives; in Indonesia, cooperatives provide approximately 300,000 jobs.", "17. Cooperatives promote employment in three different ways — direct, indirect and induced (see A/62/154, para. 11). First and foremost, cooperatives generate direct employment for their own members. Second, cooperatives spur indirect employment by conducting business with suppliers of goods and services. Third, induced employment arises as a result of increased spending derived from the wages and incomes of cooperative workers.", "18. Three main types of cooperatives contribute to employment in distinctive ways (see table 1 below). Producer cooperatives bring together individuals to attain economies of scale and levels of competitiveness and efficiency while retaining self-employment and collective autonomy. For example, in 2004, 924,000 farmers in Kenya and an estimated 4 million farmers in Egypt earned their livelihood from membership in agricultural cooperatives. Similarly, about 900,000 people in the agricultural sector of Ethiopia generate part of their income through their cooperatives.[12]", "Socio-economic development through cooperatives", "Table 1 Types of cooperatives and their respective benefits", "Type ofcooperative\tDirectbenefits tomembers\tSocio-economiceffects\tDevelopmentimpact \nConsumercooperative\tAccess tobasic goodsandservices atnear aspossible tocost price\tIncome goesfurther andsavings aremade. Thisencouragesexpenditure inother areas —nutrition,health care,education\tLowermortality andmorbidity inwomen andchildren.Higher ratesof schoolattendance(especiallyfor girls)\nProducercooperative\tHigherprice forproduct,higherprofit,stable andguaranteedincome\tIncreasedcapability,ability tospend onmeeting basicneeds(education,health,nutrition,lifeinsurance).Ability toplan for thefuture, expandthe business,take risks\tIncreasedproductivity,diversificationof economy,financial“deepening”,boost to ruraleconomy(farming),improvedhealth andsafety (urbaneconomy)\nEmployee-owned(worker)cooperative\tDecentwork,greaterreturn tolabour, jobprotection,employeecontrol\tIncreasedcapability,higher andmore stableincome leadingto expenditureon meetingbasic needs(education,health,nutritionetc).Increasedopportunitiesfor training\tReduction inunemployment,improvedskills base,increasedoutput/GDP,exportearnings,improvedhealth andsafety", "Source: Johnston Birchall, discussion paper presented at the expert group meeting on cooperatives in a world in crisis, New York, 28-30 April 2009.", "19. Consumer cooperatives, on the other hand, facilitate the more economical sourcing of goods by reducing reliance on middlemen, allowing bulk buying and operating retail outlets. Additionally, consumer cooperatives in housing, building, utilities and finance can provide affordable services that improve community infrastructure and spur further economic activity through local investments.", "20. Worker cooperatives, typically composed of skilled artisans, are able to maintain the stability and availability of employment, relying on wage flexibility and access to member savings to sustain enterprises when capital may be limited.", "21. Cooperatives also contribute to qualitative aspects of employment by seeking meaningful, dignified work for labourers and by embracing social responsibility and pursuing objectives that pertain to the well-being of the greater community. This is reflected in the adherence of the movement to the “decent work” agenda of the ILO. For instance, cooperatives, or even “pre-cooperatives” can mobilize and protect segments of the labour force that may be particularly vulnerable, such as informal workers. Furthermore, the increasing density of cooperative network links, such as those established through the fair trade movement, or those generated by consultations among a new diversity of national federations, also contributes to global labour solidarity and the spirit of mutual consideration and responsibility. For this, the global work of the ICA is also crucial to forging greater institutional coherence and focus on the part of the cooperative movement as a whole.", "C. Poverty reduction", "22. Through the mechanism of collective action that enables members to pool resources and thereby participate more fully in production, profit-sharing, cost-saving, or risk-sharing activities, cooperatives are able to foster economies of scale that lead to better bargaining power of members as buyers and sellers in the marketplace. In the global agricultural sector, this is an important consideration where up to 50 per cent of output is marketed through cooperatives.", "23. In India, the extra income generated by women working in dairy cooperatives through better marketing and distribution, are important contributions to household incomes.[13] The Uganda Private Midwives association helps change the daily lives of its members and the wider community by addressing maternal and infant care.[14] The Kilimanjaro Native Cooperative Union has developed some innovative programmes to address the plight of orphans and vulnerable children. It designed a seven-year scholarship programme (2006-2012) that meets the secondary educational expenses of the orphans and vulnerable children of its members. The programme is financed through the premium revenues generated by the Cooperative from the sale of members’ coffee through fair trade arrangements.", "24. Cooperative principles of self-help and collective action promote empowerment and participation and enable the poor to become active participants in the improvement of their own livelihoods and economic futures. Cooperatives endeavour to cultivate human capital, elevating skill sets and offering a forum through which the poor and disadvantaged can organize in defence of their economic and legal interests. For example, in the informal sector, transportation cooperatives enable individual service providers to operate effectively for their mutual benefit, thereby improving the household incomes of members. Service cooperatives owned and operated by handicapped people and the rural and urban poor, especially women, also help improve household incomes and contribute to poverty reduction. In the Philippines, for example, young people are engaged in selling goods through the cooperative Claveria Grassroots Mart Inc. and developing youth leadership through operation of its canteens.[15]", "25. Agricultural cooperatives are able to offer incentives to small and subsistence farmers that make their production for the market more sustainable and competitive, and can improve producer coordination, market access, and collective bargaining power vis-à-vis retailers, as well as reduce transaction costs, helping to raise rural productivity, improving food security and helping with rural development. In Viet Nam, for example, 44 per cent of all active cooperatives work in the agriculture sector, while another 2 per cent work in forestry and fisheries.[16] In India, more than 50 per cent of all cooperatives serve as primary agricultural credit societies or provide marketing, warehousing and other services to their producer members.[17] Agricultural cooperatives also promote the participation of women in economic production, which helps in food production and rural development. In India, 100,000 dairy cooperatives collect 16.5 million litres of milk from 12 million farmer members every day, making a significant contribution to the food supply.", "26. The adverse impact of globalization on agricultural production and food security in developing countries has led to an increasing interest in fair trade. Under fair trade arrangements, producers are guaranteed a price that covers the cost of production and provides a fair profit margin. Producers in turn are expected to meet the fair trade standards, such as avoiding the use of child labour and employing cultivation techniques that are safe for the environment and public health. In most cases fair trade farmers are required to reserve a portion of their revenues for social projects, ensuring that community development and technical training for farmers will always be possible. Many smallholder farmers who have formed cooperatives are now engaged in this arrangement.", "27. In Peru, the organizational and technological capacities of the Central Association of Small Producers of Organic Bananas, a cooperative operating under fair trade arrangements, enable it to promote fair trade in the commercial chain and diversify the productive system in a sustainable manner. In three years the Association’s profits have grown rapidly and it has strengthened food security and improved the social, economic, cultural and environmental situation of its members and community.[18] The 126 members of the Toledo Cacao Growers Association rely on cocoa production for their income. For members, fair trade premiums have meant the difference between sending their children to school and keeping them at home to work. For the El Ceibo cooperative in the Plurinational State of Bolivia, fair trade has brought new independence and empowerment to farmers who were previously shuffled from one flawed and exploitative agricultural exporting system to another.[19]", "D. Financial cooperatives", "28. Financial cooperatives, such as credit unions, savings and credit cooperatives, and cooperative banks, provide members with low-cost and readily accessible financial services. These include, among others, reliable savings facilities tailored to members’ needs, credit or microfinance for small-scale start-up enterprises, and more affordable remittance networks. Financial cooperatives also offer financial services to populations underserved by the mainstream commercial sector and play an important role in achieving a more inclusive financial sector.", "29. The recent financial crisis has generated renewed interest in alternative financial institutions, as financial cooperatives and credit unions have demonstrated a noteworthy resilience and even growth.[20] For example, some financial cooperatives and credit unions experienced an influx of deposit funds as members sought a safer location for their savings and sustained or increased their rates of lending when many other commercial institutions were retrenching (see A/64/132, para. 34). These outcomes indicate the importance of institutional diversity in the financial sector, demonstrate the advantages of alternative business models such as cooperatives, and point to how cooperatives can contribute to the stability of the broader financial system.", "E. Social protection", "30. Cooperatives, through mutual companies, also provide social protection in the form of property/casualty insurance, medical insurance, and life insurance. CIC Insurance Group in Kenya provides affordable insurance to populations left out by mainstream insurance companies. In addition to risk protection services for the poor and the disadvantaged, CIC is the largest provider of microinsurance in Kenya.", "31. Among Islamic communities, a recent insurance initiative is takaful insurance. It is a participatory form of insurance based on risk sharing by customers and guided by cooperative principles operating under Islamic law. Under takaful, every policyholder pays his subscription to help those that need assistance and losses are divided and liabilities spread according to the community pooling system. Total takaful premiums, at about $5.3 billion in 2008, have shown double digit growth in recent years.[21]", "32. Cooperative health insurance contributes to the preservation and promotion of human health, strengthens health systems and helps to improve health conditions for people, especially the poor. UNIMED in Brazil is both a health insurance company and a medical cooperative operating in a highly competitive market. UNIMED is committed to improving health services and has implemented two pay-for-performance programmes to improve health service quality and efficiency among its network of 258 providers serving 800,000 people.[22] In Senegal, the health mutual, PAMECAS, provides affordable insurance for savings and health care to disadvantaged and low-income families.[23]", "F. Post-disaster relief", "33. Cooperatives help in post-disaster recovery and reconstruction. After the Banda Aceh tsunami in 2006, cooperatives helped in post-disaster recovery. The cooperative movement mobilized and prioritized activities for assistance and reconstruction and cooperatives developed some guiding principles, including partnership with organizations on the ground, to diversify support to different projects and avoid duplication of effort. In the aftermath of the recent tsunami in Japan, Japanese cooperatives are helping in the recovery process, including through provision of medical services, supply of food and drugs and of small credit to victims. In the United States, the Cooperative Development Foundation has launched the Spring Storms of 2011 Cooperative Recovery Fund. It is designed for cooperatives to help other cooperatives that have been adversely impacted by storms, tornadoes, floods and wildfires.", "G. Peacebuilding", "34. Cooperatives can play an important role in peacebuilding and creating bridges of communication in areas of conflict or ethnic division. Cooperatives bring together people who have a common economic interest despite their conflicts in other areas.[24] Cooperatives contribute to economic peacemaking through a long history of bridging conflict through dialogue among peoples, and their locally rooted form of economic development helps give people the opportunity to work together on small-scale democracy. In Rwanda, a credit union system was rebuilt by the World Council of Credit Unions without regard to ethnicity and there are currently 149 credit unions with an estimated 400,000 members.", "35. Cooperatives, as self-help organizations, enable people to organize and improve their circumstances by pursuing business enterprises. As such, they help improve incomes and generate employment, and by adhering to principles of mutual responsibility they contribute to social integration and cohesion. In particular, cooperatives empower members by fostering participatory and democratic decision-making processes, and by emphasizing capacity-building and human capital investment through member education and training. From the development perspective, cooperatives contribute to socio-economic development even though their primary objectives are to help their members meet common objectives.", "IV. Strengthening cooperatives", "36. For cooperatives to leverage their contribution to socio-economic development, they have to be sustainable and stable enterprises. The expert group meeting on cooperatives in social development, organized by the Division for Social Policy and Development of the Department of Economic and Social Affairs and the Government of Mongolia and held in Ulaanbaatar from 6 to 8 May 2011, highlighted some of the good practices of successful cooperatives; among them are sound governance and capable leadership, management and market knowledge, the provision of training, mainstreaming cooperatives in education, and the importance of information databases and sound research that will support policy recommendations. Equally important in promoting the growth and formation of cooperatives in a sustainable manner is the provision of sound policy and legislative frameworks by Governments.", "37. Sound internal governance and capable leadership are pivotal to cooperative success. Particularly crucial is the alignment of managerial skill and sectoral knowledge with member interests. In Singapore, the code of governance for cooperatives, launched by the Singapore National Cooperative Federation in 2006, seeks to address some of the issues of internal governance in the cooperative movement and outlines the good governance practices necessary for credit cooperatives.", "38. In Ethiopia, the Oromia Coffee Farmers Cooperative Union provides a good example of how to promote efficiency and growth in the cooperative movement. As a union of primary cooperatives, since 1999 the organization has worked to bring its producing members higher up the value chain, not only by achieving competitive scale, marketing and bargaining power, but by empowering farmers to achieve better quality production and operations through technical education and improving business management capacity. As of 2010, membership in the union had more than quintupled and the sales value had increased exponentially since 2001.[25]", "39. In Kenya, the success of CIC Insurance Group is correlated with improved internal governance as well as enhanced business practices. Even after hefty capital injections into the company between 1996 and 1998, the growth of the cooperative was both slow and erratic. However, with a change in management that introduced sound strategic planning, member education and member engagement, the company was able to make a complete turnaround to become the third largest insurer in Kenya.[26]", "40. Training is important in creating strong managerial capacity and should aim to instil the core values and principles of cooperatives and improve capacity to enhance their operations. Some respondents to the 2011 Member State questionnaire on cooperatives indicated that initiatives to strengthen cooperative membership and leadership include integrating cooperative knowledge in school curricula, including in cooperative colleges and cooperative programmes in business schools. In some countries, programmes are run as a partnership with the cooperative movement, such as in Costa Rica, where CENECOOP has worked with the Ministry of Education to bring cooperative education into secondary schools through e‑learning.[27] In the United States, the Babson-Equal Exchange Curriculum on Cooperatives, in partnership with cooperatives and academia, offers a graduate level system for education on the management and operation of cooperative enterprises. It has also launched the curriculum online for free to spur its use by business schools around the world.[28]", "41. To better understand cooperatives and assess their socio-economic development impact, research and the collection of harmonized statistics on cooperatives should be given priority. Such research will help raise awareness of cooperatives and their contribution to society and encourage the promotion and formation of cooperatives. Studies on taxation and other exemptions, accounting standards, and rules limiting access to capital should take into account the distinct nature of cooperatives. Emerging issues relating to cooperatives that need further research include green jobs, information technologies and shared business services. The biggest challenge to implementing research and data collection on cooperatives, however, is lack of funding. Partnerships and collaborative efforts among all stakeholders, including for funding, developing a coordinated approach to research, data collection and building a cooperative database on good practices, could be an essential project of the International Year of Cooperatives.", "42. Cooperative networking, or cooperation between cooperatives, is also an important element of strengthening the capacity and effectiveness of cooperative enterprises. In many of the examples cited above, added value was a pivotal factor affecting the improved effectiveness, business success and socio-economic reach of the producer cooperatives involved, a reality also exemplified by Mondragon Corporation in Spain and La Legacoop in Italy. In operating as cooperatives of cooperatives or unions/federations of cooperatives, institutionalized cooperation raised the scale of economic activity to a level that allowed for reduced operational cost and created enough pooled resources to accommodate technological expansion and shared marketing and quality control services, and the formation of new cooperatives. These cooperative networks provide an institutional response to increasing global competition and the need to accelerate the pace of innovation.[29]", "43. Through cooperative policies, laws and regulations, Governments play an important role in providing an enabling environment and level playing field to enable cooperatives to compete with mainstream enterprises. To this end, the legal framework must be aligned with changing economic realities and cooperative laws amended to eliminate gaps, if necessary. The modernization and update of cooperative laws should ensure that legislation is rooted in cooperative values and principles. Government regulation should be balanced with the autonomy that allows cooperatives to formulate their own by-laws.", "44. In the 2011 survey of Member States on cooperatives, most States indicated the use of ILO Recommendation No. 193 and the United Nations guidelines for the promotion of cooperatives as a basis for their cooperative policies and legislation. China, Kenya, Malta and Panama indicated ongoing review of their cooperative policies and legislation to improve access to credit and to promote sound business practices and value added. Member States mentioned the following initiatives to empower cooperatives: improvement of managerial and technical capacity, review of existing legislation and access to credit. Most Member States which responded indicated that cooperatives and their socio-economic contributions were considered in the implementation of national development policy.", "45. History has shown that when cooperatives are overly influenced by the State, they can become not only unsustainable, but also irrelevant and inefficient. In Africa, for example, although the creation of cooperatives as a political imperative led to a proliferation of cooperatives across the continent, their activities became distanced from the dominant social and economic social patterns of their communities. In addition, the principle of self-reliance became highly undermined and cooperatives were no longer member-driven, but mere agents of political strategy, with the surpluses generated used to fund projects as directed by the State, resulting in demotivation among members.[30]", "46. The International Year of Cooperatives offers a unique opportunity for active engagement and dialogue between Governments, cooperatives and other relevant stakeholders worldwide on how an enabling legal and fiscal cooperative policy would promote the sustainability of cooperatives, and strike the necessary balance with independent control.", "V. International Year of Cooperatives 2012", "A. Background and objectives", "47. The United Nations General Assembly, in its resolution 64/136, proclaimed 2012 as the International Year of Cooperatives. The Year has three main objectives:", "(a) To increase public awareness about cooperatives and their contribution to socio-economic development and the achievement of internationally agreed development goals including the Millennium Development Goals;", "(b) To promote the formation and growth of cooperatives for socio-economic empowerment;", "(c) To encourage Governments and regulatory bodies to establish policies, laws and regulation conducive to cooperative formation and growth.", "48. Although the contribution of cooperatives to socio-economic development is well recognized, knowledge about the distinctive nature of cooperatives remains elusive to the general public and many decision makers. Therefore, one of the key objectives of the Year will be to raise awareness of cooperatives in both developed and developing countries, and improve the image of cooperatives as a modern business model. The Year will also give visibility to the contributions of cooperatives in tackling the issues of poverty, employment, loss of income, food security, social inclusion and empowerment, while paying specific attention to the advantage of cooperatives in addressing the gender dimensions of social and economic development.", "B. Implementation", "International implementation", "Central coordination", "49. At the international level, coordination of the implementation of the Year has been undertaken by the Committee for the Promotion and Advancement of Cooperatives, which is comprised of the Department of Economic and Social Affairs, ILO, FAO and the International Cooperative Alliance. This body will be advised by a group of advisers composed of prominent persons drawn from various sectors in the cooperative movement, academia and civil society. Together these bodies are working to prepare the central strategy and key messages guiding the implementation of the Year. The key messages will highlight and support the theme of the Year: “Cooperative enterprises build a better world”. In preparation for the Year, the coordinating committee has reached out to cooperatives, civil society, national Governments, relevant United Nations entities and other stakeholders.", "50. The Department of Economic and Social Affairs convened an expert group meeting on cooperatives in social development in Ulaanbaataar from 6 to 8 May 2011 to assist with its preparations for the Year. The meeting was hosted by the Ministry of Foreign Affairs and Trade and the Ministry of Food, Agriculture and Light Industry of Mongolia.[31]", "Meetings, conferences and special events", "51. In its resolution 65/184, the General Assembly decided that the International Year of Cooperatives would be launched on 31 October 2011 at a plenary meeting of its sixty-sixth session. The Assembly also decided to convene an informal round table that would precede the plenary meeting.", "52. Together, FAO, the International Fund for Agricultural Development (IFAD) and WFP plan to organize a side event on agricultural cooperatives at the launch of the Year, to take place at United Nations Headquarters in New York. To promote the year among its existing constituents, FAO will organize a series of meetings throughout the year, which will link to the regional FAO conferences around the world. These meetings include the twenty-sixth Regional FAO Conference for Africa, the thirty-first Regional FAO Conference for the Near East, the thirty-first Regional FAO Conference for Asia and the Pacific, the thirty-second Regional FAO Conference for Latin America and the Caribbean, the twenty-eighth Regional FAO Conference for Europe and the thirty-seventh session of the Committee on World Food Security. FAO will also dedicate activities specifically to the commemoration of the Year, during World Food Week 2012.", "53. ILO will convene a high-level symposium on cooperatives and youth employment in the week preceding the 101st session of the International Labour Conference in 2012. An expert meeting will also be convened in 2012 on the subject, “Ten years after ILO Recommendation No. 193: stocktaking and the way forward”. There will be a training session on cooperatives with a focus on policy and legislation at the International Training Centre of the ILO in Turin.", "Communication and outreach", "54. The Department for Economic and Social Affairs has taken the lead in planning and coordinating the communications and outreach activities for the Year. Working together with members of the Committee for the Promotion and Advancement of Cooperatives and the Graphic Design Unit of the Department of Public Information, the Department for Economic and Social Affairs has created a logo that tries to convey the theme of the Year. An information kit and a communication toolkit and advocacy guide are being developed for both electronic and print dissemination. The proposed contents of the information kit include a promotional brochure featuring the logo of the Year, a flyer on key messages and relevant action points, as well as a more in-depth informational brochure, which elaborates on the inception and implementation of the Year, supporting analysis of the key messages and a brief call to action. The communication toolkit/advocacy guide will present the communication strategy for the Year in an accessible manner and provide guidance for interested organizations and Governments on how to implement their own campaigns for the Year in alignment with global efforts.", "55. The Department for Economic and Social Affairs is also coordinating the use of social media to raise awareness of the Year and its branding, in order to encourage a level of unification in the global campaign. To date, a “CoopsYear” community page has been established on Facebook with the preliminary messages focused on advocating use of the logo for events and activities related to the Year. A “CoopsYear” Twitter following has also been established. Throughout the Year, these pages will be used to inform followers of events coordinated through the main committee, as well as to raise awareness of national and local level initiatives. Where appropriate, the pages will also be used to garner feedback from followers on featured issues and initiatives.", "56. An official website for the Year has been developed and is being maintained by the Division for Social Policy and Development of the Department for Economic and Social Affairs. The website will function as the communications hub for the Year, and will provide information on events during the Year, news on cooperatives, and other related developments at the national, regional and global levels. The site will also host an interactive blog which will feature regular analytical pieces on the cooperative business model and its contributions to sustainable development. The Department also plans to work with cooperative news media to develop a news portal on cooperatives, which will feed into the official website.", "57. FAO, IFAD and WFP are collaborating to produce a series of materials, in commemoration of the Year, which aim to promote rural cooperatives. The information kit will feature an informational flyer with key messages on agricultural cooperatives and a good practices guide featuring case studies chosen to reflect thematic, gender and geographical balance, as well as both developed and developing country perspectives. These organizations are planning to issue a joint press release to launch the Year.", "58. ILO is developing thematic brochures to be disseminated during the course of the Year. It also plans to produce a short film on cooperatives which will be released at the official launch of the Year on 31 October 2011.", "Research and data collection initiatives", "59. The Department for Economic and Social Affairs plans to disseminate thematic monthly briefing papers throughout the course of the Year. The monthly themes will relate to the key messages of the main campaign. Plans have also been made for the compilation of analytical material on cooperatives in development, to be released as a single publication at the end of the Year.", "60. FAO will participate in a study commissioned by ILO and supported by COPAC on the state of cooperatives in the world, which will result in a knowledge base showcasing the size, scope and socio-economic impact of cooperatives across the world.", "61. ILO is piloting an initiative which involves the collection of data specific to cooperatives in 14 countries. The organization is also working to develop a proposed methodology for the inclusion of such data in existing United Nations and ILO statistical surveys.", "Regional and national implementation", "62. As outlined by the General Assembly in resolution 64/136, a central aspect of the strategy has been the encouragement of Member States to establish national committees. As of 15 June 2011, 48 Governments had reported the establishment of national committees and/or focal points for the Year, with representation from all regions of the world (see table 2 below).", "Table 2", "National committees established for the International Year of Cooperatives", "Africa Europe Americas Asia Oceania \nAlgeriaBeninBurkinaFasoCentralAfricanRepublicEthiopiaGhanaKenyaMadagascar\tBelgiumBulgariaCroatiaCyprusFinlandGermanyGreeceMalta\tCanadaCostaRicaEcuadorGuyanaHondurasPanamaPeruStVincentand theGrenadines\tBangladeshBruneiDarussalamChinaJapanJordanLebanonMongoliaPhilippines\tAustraliaNewZealandTuvaluVanuatuMauritiusSwazilandUnitedRepublic ofTanzania\tMontenegroSlovakiaSpain\tTrinidadandTobago\tQatarSingaporeThailandTurkey \n Zimbabwe", "63. Some Governments have not established national committees but have encouraged national cooperative organizations to take the lead on the Year. The Australian steering committee, comprised of leaders of national apex organizations, is an example of a national committee led by civil society.", "Meetings, conferences and special events", "64. Most of the planned activities for the Year at the regional and national levels will take the form of meetings, conferences and special events. These events are intended to highlight the sharing of good practices, data and research findings as a means of fostering better understanding of how cooperatives operate within the national and regional contexts.", "65. In Africa, the Government of the United Republic of Tanzania, in collaboration with the Moshi University College of Cooperative and Business Studies, plans to organize a conference in September 2011 entitled “International cooperative research conference for Africa”, intended to raise the visibility of cooperative-focused research in Africa, as well as to promote commemoration of the Year. The Government will also host national workshops on cooperative enterprise during the International Day of Cooperatives and International Credit Union Day 2012, and will hold sessions to sensitize the media and editorial staff to cooperatives and cooperative issues. The Government of Togo is proposing an African head of State summit on cooperatives, to be held in Lome in January 2012.", "66. In Asia, Mongolia, the principal sponsor of resolution 64/136, will observe the Year through its overall plan of action, which consists of 30 action plans, among them plans to organize exhibitions on cooperatives, organize a campaign entitled “One province — two brands” to raise awareness of cooperatives, and develop public-private partnerships to promote cooperatives. Singapore will host an academic conference to promote awareness of cooperatives in tertiary educational institutions and among their students. China will host a seminar on specialized cooperatives and a meeting of cooperative leaders from Brazil, China, India, the Russian Federation and South Africa. In India, the National Cooperative Union will organize the sixteenth Indian Cooperative Congress with the participation of cooperatives from all over India and the world, as well as a conference on the inclusion of education on cooperative principles and practices in school curricula. The Union will also work with FAO country offices, or the FAO Regional Office for Asia and the Pacific, to host an international conference on food security and climate change and the role of cooperatives. In addition, they will host a number of leadership development programmes, as well as training programmes for women and youth on various income-generating activities and self-employment opportunities.", "67. In Europe, during the second half of 2012, Cyprus, in cooperation with the European Union, will organize a conference on the promotion of European cooperative societies and other issues on cooperatives of interest to European Union member States. Malta is planning a national conference with possible international participation. In the Republic of Moldova, the apex organization plans two international conferences: “Cooperatives without borders” and “Cooperatives: equitable, sustainable and social development opportunities”. The organization will also host seminars and workshops on the formulation and revision of legislation, policies and regulations applicable to cooperatives.", "68. In Latin America, Panama has worked with the national apex organization, IPACOOP, to plan a national cooperative congress to discuss and generate recommendations to Government and cooperative structures on issues of interest to all stakeholders. The Government is also providing partial funding and logistical support to three international cooperative meetings: a meeting of the International Cooperative Alliance (for the Americas), a meeting of the Confederation of Caribbean, Central and South American Cooperatives and a meeting of the coordination mechanism for Latin American cooperatives.", "69. In Australia the national committee has organized a national chief executive officers cooperative key issues summit, a national Conference and trade show, inaugural social and cooperative business awards, and other local conferences and seminars.", "70. Cooperatives, academia and other civil society organizations have organized conferences at the regional and international levels during 2012 as part of the observance and celebration of the Year. The list of global conferences and other events are on the International Year of Cooperatives website: http://social.un.org/coopsyear/.", "Outreach and promotional materials", "71. As at the international level, many responding Governments and apex organizations have campaigns focused on the production and dissemination of outreach and promotional materials. Planned activities in this category include printing informational brochures on the cooperative business model and its contributions to development, as well as the development of posters and T-shirts bearing the slogan of the Year. A number of Member States will also produce radio programmes and television documentaries on cooperatives and promote print media coverage in local and national newspapers and magazines.", "72. The Government of Singapore will produce and print a commemorative stamp series and a multimedia DVD and will host a short film on the Year, a photography exhibition and a contest to engage the interest of young people and to promote greater awareness of how cooperative enterprises make a difference in society.", "73. The Australian steering committee will produce promotional postcards publicizing the contribution of the Australian cooperative movement to the national economy, create a website to coordinate a national calendar of events and organize a national public awareness campaign.", "Research and data collection initiatives", "74. Member States and cooperative organizations plan to conduct research and data collection initiatives, which will create databases incorporating past and present data on cooperatives, prepare questionnaires for data collection, and collect data on issues affecting cooperatives.", "75. The Government of Turkey is currently compiling a cooperative strategy document and action plan, which will emphasize the importance of cooperatives in Turkey, the expected performance of cooperatives and their contribution to the improvement of people’s welfare.", "76. Panama intends to conduct research and disseminate the findings of a study of cooperative subsectors, including, but not limited to, the contribution that each subsector is making to the economic, social and cultural development of its members and the local and national community. Research will also be done on the contribution of cooperatives to food security, generation of employment, access to banking services, provision of housing, and poverty eradication. Studies will also be conducted on gender equity within cooperatives and the contribution of cooperatives to environmental protection and the preservation of national renewable resources.", "77. The Australian steering committee will support two research projects: “Sustainable cooperative enterprise”, which is an investigation into the factors influencing the sustainability and competitiveness of cooperative enterprises and “Advancing the cooperative movement in Australia and Italy”, a research project to explore the contribution that cooperatives have made to social and economic life in the two countries.", "C. Action beyond 2012", "78. Strengthening cooperatives for the benefit of their members, constituencies and communities worldwide requires long-term and sustained effort. As such, there is growing support from cooperatives, academia and other relevant stakeholders to consider developing a road map or plan of action for the promotion of cooperatives beyond the International Year of Cooperatives. This vision would seek to build upon existing mandates to ensure a focused and effective follow-up to the activities of the Year in 2012.", "VI. Conclusions and recommendations", "79. Cooperatives have a distinctive contribution to make to sustainable development, especially with regard to the social and economic pillars thereof. Their member-driven nature roots them in the fabric of the communities in which they provide their services, leading to the development of enterprises that are aligned with the social, cultural and economic needs and vision of those communities. Promoting greater awareness and understanding of cooperative enterprises, and their direct and indirect benefits, is a positive step in furthering inclusive sustainable development. Therefore, special attention should be given not only to strengthening the internal capacities of cooperatives themselves but also to the necessary balance of a supportive regulatory framework, informed by empirical research and valid and reliable data.", "80. Recognizing and supporting the efforts devoted to the International Year of Cooperatives, and respecting the cooperative values of autonomy and member empowerment, the General Assembly may wish to consider the following recommendations and invite Governments and international organizations, in partnership with cooperatives and cooperative organizations, to:", "(a) Sustain efforts to generate public awareness of the distinct advantages and strengths of cooperatives and cooperative values, especially member empowerment, in order to foster the creation of cooperatives in new, emerging or traditionally underserved areas;", "(b) Focus support on cooperatives as sustainable and successful business enterprises that contribute directly to employment generation, poverty reduction and social protection, across a variety of economic sectors in urban and rural areas;", "(c) Promote the growth of financial cooperatives in order to attain the goal of inclusive finance by providing access to financial services for all, specifically by adopting policies that expand the span and scope of financial cooperatives and credit unions through appropriate incentives in tax structures and access to services and markets;", "(d) Promote the growth of agricultural cooperatives in order to attain the goal of food security by cultivating comprehensive growth in the agricultural sector, specifically by improving financing options, sustainable production techniques, investments in rural infrastructure and irrigation, marketing mechanisms and the participation of women;", "(e) Intensify and expand the availability and accessibility of research on the operations and contribution of cooperatives, and establish methodologies for the collection and dissemination of comparable global data and the good practices of cooperative enterprises, in collaboration with all stakeholders;", "(f) Review and improve legislation on cooperatives and State regulatory capacity, especially by establishing a level playing field for cooperatives as compared with other enterprises, in order to provide an ever more supportive and enabling environment for cooperative formation and participation in national development efforts.", "[1] Responses to the Member States survey were received from: Bangladesh, Bulgaria, China, Cyprus, Dominica, Ecuador, Germany, Guyana, Japan, Kenya, Lebanon, Malta, Mexico, Mongolia, Mozambique, Niger, Panama, Romania, Singapore, Thailand, Turkey, United Republic of Tanzania, Uruguay, and Zimbabwe. Responses were received from the following organizations: Bangladesh Jatiya Samabaya Union, Capricorn Society Ltd (Australia), Central Union of Agricultural Cooperatives (JA-Zenchu), Coopeuch Ltda, DGRV (DeutscherGenossenschafts- und Raiffeisenverband e. V.) , GdW Bundesverband Deutscher Wohnungs- und Immobilienunternehmen e. V. , Instituto Nacional de Fomento Cooperativo (INFOCOOP) Costa Rica, Islamic Republic of Iran Central Chamber of Cooperatives, KFO, HSB, Riksbyggen, KF, OK, Fonus, Coompanion, Folksam and the Swedish Cooperative Centre (SCC), l’Association coopérative de la République tchèque, Mongolian National Cooperators Association, National Cooperative Business Association, National Cooperative Council, National Cooperative Union of India, New Zealand Cooperatives Association, SOK Corporation (the central organization of Finnish cooperative societies), the Central Union of Consumer Cooperatives of the Republic of Moldova, Union of Cooperatives — Iberia, Georgia.", "[2] Report of the World Summit for Social Development, Copenhagen, 6-12 March 1995 (United Nations publication, Sales No. E.96.IV.8).", "[3] See General Assembly resolution 56/114 and A/56/73-E/2001/68, annex.", "[4] Available from http://www.ilo.org/ilolex/cgi-lex/convde.pl?R193.", "[5] The International Cooperative Alliance defines a cooperative as an “autonomous association of persons united voluntarily to meet their common economic, social and cultural needs and aspirations, through a jointly owned and democratically controlled enterprise”.", "[6] Cooperative values include self-help, self-responsibility, democracy, equality, equity and solidarity. The cooperative principles are: voluntary and open membership; democratic member control; member economic participation; autonomy and independence; education, training and information; cooperation among cooperatives; and concern for the community.", "[7] Statistical information on the cooperative movement, available from www.ica.coop.", "[8] “Cooperatives as a business organization: lessons from cooperative organization history”, monograph on the occasion of the farewell to Wim J. J. van Diepenbeek, University of Maastricht, May 2007. Available from http://www.eurocoopbanks.coop/GetDocument.aspx?id= da6def67-6028-4786-b904-097bf8bb1fdb.", "[9] Statistical information on the cooperative movement, available from www.ica.coop.", "[10] Nelson C. Kuria, “The experience of cooperative insurance in Kenya, in particular, and Africa in general”, paper prepared for the expert group meeting on cooperatives in social development, organized by the Division for Social Policy and Development of the Department of Economic and Social Affairs and the Government of Mongolia, Ulaanbaatar, 3-6 May 2011.", "[11] ILO Coop Fact Sheet No. 1: “Cooperatives and rural employment”, 2007.", "[12] Frederick O. Wanyama, Patrick Develtere and Ignace Polet, “Encountering the evidence: cooperatives and poverty reduction in Africa”, available from http://www.cooperatiefondernemen.be/wp/WP%20SCE%2008-02.pdf.", "[13] Maheswararao Veeranki, “Women dairy cooperatives in Rajasthan: success story of a women dairy project”, Kurukshetra, vol. 51, No. 6 (2003), pp. 19-22.", "[14] Uganda Professional Midwives Organization (2011), “Projects”, available at http://www.upmouganda.org/projects.html, accessed 22 June 2011.", "[15] Clarissa S. Trampe, “Youth reinventing co-operatives: young perspectives on the international co-operative movement” (2009), available from: http://www.learningcentre.coop/resource/ when-hands-are-held-tight-story-endearing-people-claveria.", "[16] Nguyen Minh Tu, “Cooperative development in Viet Nam: success and challenges”, paper prepared for the expert group meeting on cooperatives in social development, Ulaanbaatar, 3‑6 May 2011.", "[17] Daman Prakash, “Agriculture and agricultural cooperatives in India”, paper prepared for the Central Union of Agricultural Cooperatives JA-Zenchu, Tokyo (2009).", "[18] Michael de Groot, “Case CEPIBO”, paper prepared for the expert group meeting on cooperatives in social development, Ulaanbaatar, 3-6 May 2011.", "[19] See Global Exchange, “Fair trade cocoa cooperatives”, available from http://www.globalexchange.org/campaigns/fairtrade/cocoa/cocoacooperatives.html (accessed 11 July 2011).", "[20] European Association of Cooperative Banks (EACB), “Cooperative banks and the crisis: a resilient model”, EACB survey, December 2009.", "[21] Ajmal Bhatty, “The growing importance of takaful insurance”, paper prepared for the Asia regional seminar organized by the Organization for Cooperation and Economic Development and Bank Negara Malaysia, Kuala Lumpur, 23-24 September 2010.", "[22] Paulo Borem and others, “Pay-for-Performance in Brazil: UNIMED-Belo Horizonte physician cooperation” (24 May 2010). Available at http://www.healthsystems2020.org/content/ resource/detail/2564.", "[23] International Cooperative and Mutual Insurance Federation, Prosper, issue 8, August 2010, p. 3.", "[24] George J. Mitchell, “Cooperatives can play a role in peacekeeping”. Available from http://www.ncba.coop/sample (accessed 17 July 2011).", "[25] Tadesse Meskela, “Status of Oromia Coffee Farmers Cooperative Union (OCFU)”. Paper prepared for the expert group meeting on cooperatives in social development, Ulaanbaatar, 3-6 May 2011.", "[26] Kuria, “The experience of cooperative insurance in Kenya” (see footnote 10 above).", "[27] Neticoop, “CENECOOP lanza proyecto para mejorar la competitividad de las cooperativas nacionales y regionales” (28 August 2006). Available from http://www.neticoop.org.uy/ article2327.html.", "[28] Babson College press release, “Babson launches wiki for education on cooperatives”, 17 June 2011. Available at http://www3.babson.edu/newsroom/releases/ WhitmanCooperativesCurriculum6-11ns.cfm.", "[29] Stephen C. Smith, “Blooming together or wilting lone? Network externalities and the Mondragon and La Lega cooperative networks”, United Nations University World Institute for Development Economics Research, discussion paper No. 2001/27 (June 2001).", "[30] Patrick Develtere, Ignace Pollet and Fredrick Wanyama, eds., Cooperating Out of Poverty: The Renaissance of the African Cooperative Movement (Geneva, ILO, 2009).", "[31] The meeting was also co-sponsored by ILO, FAO, ICA, the Consumer Cooperative Institute of Japan, CIC Insurance Group Kenya, COEXPHAL (the Association of Fruit and Vegetable Producer Organizations) and the University of Almeria, Spain, the Swedish Cooperative Centre, the University of Wisconsin, United States, Inter Press Service and the Mongolia National Cooperators’ Association." ]

[ "Sixty-sixth session", "Item 28 (b) of the preliminary list*", "Social development, including questions relating to the world social situation and to youth, ageing, persons with disabilities and the family", "Role of cooperatives in social development and implementation of the Year of International Cooperatives", "Report of the Secretary-General", "Summary", "The present report focuses on the contribution of cooperatives in socio-economic development, which can pool resources and build income for individuals and families through the promotion of small and medium-sized enterprises in the market. The present report outlines the contribution of cooperatives to food security, inclusive financing and social protection and consolidate society through peacebuilding and post-disaster recovery. The present report also examines how cooperative movements can be used for development in coordination and cooperation between Governments and other stakeholders. It highlighted the need for effective and member-driven internal governance structures and capacity-building, while developing an enabling and respected regulatory framework that is balanced. It also described activities planned for the International Year of Cooperatives in 2012 and noted that support was received from Governments through the establishment of national steering committees in all regions.", "∗ A/66/50.", "Contents", "Introduction 3 2. Commitments of Member States and the United Nations for cooperatives 3 3. The scale of cooperatives and socio-economic development 4A. Cooperative sector 5B. Employment 6 C. Poverty reduction 7D. Financial cooperatives 9 E. Social protection 9 F. Disaster Relief 10 G. Peacebuilding 10 4. Strengthening cooperatives 11 5.12 International Year of Cooperatives 13 A. Background and Goal 13 B. Implementation 14 C. Action beyond 2012 18", "Introduction", "The present report is submitted in response to General Assembly resolution 64/136, in which the Assembly requested the Secretary-General to submit to it at its sixty-sixth session a report on the promotion of the role of cooperatives in social development, including a recommendation on activities undertaken during the 2012 International Cooperation Week. It discussed the contribution of cooperatives in socio-economic development and provided information on preparations for the International Year of Cooperatives in 2012, including a series of activities undertaken or planned for the preparation and support of the Year. The information was received from 24 member States, 25 major cooperative organizations and three United Nations agencies on a survey conducted by the Department of Economic and Social Affairs of the Secretariat. A number of conclusions and recommendations were made to promote and strengthen cooperatives.", "Commitments of Member States and the United Nations to cooperatives", "At the World Summit for Social Development, held in Copenhagen in 1995, Governments agreed to use and fully play the potential and role of cooperatives in order to achieve social development goals, with a focus on eradicating poverty, creating full employment and productive employment and strengthening social integration. They also recommended the establishment of a legal framework to encourage the development of cooperative enterprises. [2]", "In 2001, Governments further agreed to recognize the role and contribution of cooperatives through United Nations guidelines [3] that create an enabling environment for cooperative development and ILO recommendation No. 193 (2002) on promoting cooperatives.", "Some United Nations agencies are currently promoting and supporting the development and growth of cooperatives. The International Labour Organization EMP/COOP Unit provides services to members and cooperative organizations of the International Labour Organization in four ways: raising public awareness; ensuring the competitiveness of cooperatives; integrating cooperative principles and practices into national education and training systems; and advising cooperative policy and cooperative law. The Food and Agriculture Organization of the United Nations (FAO), through its Committee on Food Security, works with rural cooperatives and other small-scale producer organizations to operationalize their commitment to food security. The Commission, with the full participation of representatives of rural cooperatives and producer organizations at all levels, is the most inclusive international and intergovernmental platform for addressing food security and nutrition. The World Food Programme “Procurement for Procurement” initiative supports agricultural cooperatives in 21 pilot countries to increase food production.", "Members of the Committee for the Promotion and Promotion of Cooperatives include the United Nations Secretariat, ILO, FAO and the International Union of Cooperatives, which actively promote and raise awareness of cooperatives through inter-agency technical cooperation and the publication of studies on cooperatives.", "Cooperation and socio-economic development", "Early cooperatives are the product of times of economic hardship. In 1844, the Rodhé retail cooperative in the United Kingdom of Great Britain and Northern Ireland generated assistance to textiles in dealing with economic hardship during the industrial revolution. Similarly, the European Cooperation Bank originated in the first banking cooperative organized by Germany (Lifeon), which was organized in the mid-19 century in support of farmers facing famine and economic unrest. Over the years, cooperatives have spread across the globe and various sectors, such as agriculture, fisheries, housing, banking, insurance, water, electricity, health care and tourism, have cooperatives. Today, successful cooperatives continue to generate, increase and protect revenues while creating jobs. Cooperative enterprises, particularly in developing countries, contribute to achieving the internationally agreed development goals, including the Millennium Development Goals.", "Cooperatives contribute to socio-economic development because they are all members of the business. [5] Such a clear feature of cooperatives provides an enterprise framework or model that helps poor and other marginalized groups themselves, promote community self-reliance, collaboration and solidarity. Cooperatives can enable individuals to pool resources in local communities and achieve economic causes, thereby becoming a catalyst for socio-economic development. For example, cooperatives can play an important role in promoting gender equality and empowering women.", "In addition, upholding the values and principles of cooperatives, [6] can play an active role in local communities, as successful cooperatives can demonstrate the importance of democratic values, solidarity, respect for human values and the environment.", "Scope of the cooperative sector", "Cooperatives exist in all countries, and it is estimated that 100 million people worldwide are members of cooperatives. [7] The International Union of Cooperatives is an umbrella organization for global cooperatives, with 249 major or cooperative networking members in 94 countries. Information collected from many countries from the Alliance indicates that 3 to 10 per cent of the gross domestic product (GDP) of countries are from cooperative activity accounts.", "The Global 300 project of the International Union of Cooperatives collected information on the world's largest 300 cooperatives, indicating that in 2008, their total transactions amounted to $1.1 million, or about one of the United States' GDP. Most of the 300 largest cooperatives are located in developed economies such as France, Germany, Japan, the Netherlands and the United States. The sectors of these cooperatives are distributed as follows: 30 per cent in the agricultural and food sector; 23 per cent in the retail sector; 22 per cent in the insurance sector; and 19 per cent in the banking sector.", "Cooperatives have a very important place in the United States. For example, more than 900 rural electricity cooperatives have been supplied to more than 42 million people in 47 states in the United States, with 42 per cent of the country's electricity lines, covering 75 per cent of its land area. Agricultural cooperatives in the United States account for about 28 per cent of the agricultural processing and marketing market share and 26 per cent of the share of the supply market. The recent collective health cooperative, with 570,000 members in the Platte Bay, was a remarkable example during the drafting of United States health reform in 2010.", "In Europe, agricultural cooperatives account for about 60 per cent of the total market for the processing and marketing of agricultural products, with an estimated 50 per cent share of inputs. In France, the transaction of the cooperative movement amounted to €17 million, which deals with 60 per cent of retail banking operations, 40 per cent of food and agricultural production, and 25 per cent of the retail industry.", "In New Zealand, agricultural cooperatives account for over 75 per cent of the market share, while food retail consumption cooperatives account for 60 per cent of the market share. [8]", "In developing countries, cooperatives have also played a prominent role. In Brazil, in 2009 cooperatives accounted for 37.2 per cent of GDP in agriculture, accounting for 5.4 per cent of gross domestic product. Brazil's agricultural cooperatives have nearly 1 million members, earning about $3.6 billion through exports in 2009. The country's health cooperatives offer medical and dental services to over 10% of the population. In 2009, 8124 cooperatives in Colombia contributed 4.9 per cent of national GDP. Colombian cooperatives employ 22 per cent of the total number of employment in the health sector; 14.7 per cent of the number of employed in the transport sector; 7.7 per cent of the number of agricultural employment; and 6.5 per cent of the number of employed in the financial sector. Colombian cooperatives offer 91 per cent of all national microcredits and employ more than 1370,000 people, most of whom are women.", "In Mauritius, cooperatives in the agricultural sector play an important role in sugar, vegetables, fruits, flowers, milk, meat and fish production. Cooperatives also account for more than 60 per cent of the national food crop sector. [9] In Kenya, savings and credit cooperatives are the largest in Africa, with $2.7 billion in assets accounting for 31 per cent of total national savings. [10]", "Promoting socio-economic development through cooperatives", "Table 1 Type of cooperatives and their benefits", "The direct benefits of cooperative types for members", "Consumer cooperatives have the opportunity to purchase goods and services at the most nearest cost and have surplus savings. Expenditures in other areas — nutrition, health, education, and child mortality and morbidity are encouraged. Enrolment (in particular girls)", "Products cooperatives are high, profitable, stable and secure incomes increase their consumption capacity to meet basic needs (education, health, nutrition, life risk). It is in a position to contribute to future plans, expand businesses, assume risks and increase productivity, diversify the economy, finance “continue”, promote the rural economy (agriculture), and improve health and security (urban economies)", "Employees have worked in dignity (worker) cooperatives, increased labour returns, protection of employment, increased employee control and increased income and stabilization, leading to expenditure on basic needs (education, health, nutrition, etc.). Increasing training opportunities to reduce unemployment, improve the skills base, increase output/GDP, export revenues, and improve health and safety", "Source: Johnston Birchall, discussion paper submitted to the expert group meeting on cooperatives in the world of crisis, New York, 28-30 April 2009.", "Employment", "It is estimated that cooperatives have engaged more than 100 million people worldwide. [11] In this total, United States cooperatives offer more than 2 million jobs; French and Italian cooperatives employ 1 million and 1.1 million; Brazilian cooperatives employ 274,000; Argentine cooperatives offer 290,000 jobs; Colombian cooperatives employ 70,000 workers. In Kenya, 2500,000 people were employed in cooperatives; in Indonesia, the cooperative provided about 3000,000 jobs.", "Cooperatives promote employment directly, indirectly and associatedly through three different approaches (see A/62/154, para. First, cooperatives create jobs directly for their members. Secondly, cooperatives operate with goods and services providers to indirectly create jobs. Thirdly, cooperative workers have increased spending on wages and income, resulting in associated employment opportunities.", "Three types of cooperatives promote employment in a unique manner (see table 1 below). The producers' cooperatives bring together numerous individuals to achieve economies of scale and efficiency and competitiveness while retaining self-employment and collective self-government. For example, in 2004, there were 924 million farmers in Kenya, and Egypt estimated 4 million farmers, all of whom were able to earn their livelihoods through joining agricultural cooperatives. Similarly, in the agricultural sector in Ethiopia, some 90,000 people earned some income through their cooperatives. [12]", "On the other hand, consumer cooperatives promote cheaper commodity sources by reducing reliance on middlers, allowing for the purchase and operation of retail. In addition, consumer cooperatives in the areas of housing, construction, utilities and finance can offer cheaper services, improve community infrastructure and stimulate more economic activities through local investment.", "Workers' cooperatives are essentially composed of skilled technicians who can maintain employment stability and maintain employment opportunities, and can depend on the flexibility in pay and the savings of members.", "By seeking meaningful and dignified work for workers, cooperatives also contribute to improving the quality of employment by supporting social responsibilities and pursuing the wider social well-being. This is reflected in the cooperative movement's adherence to the International Labour Organization decent work agenda. For example, cooperatives, even “Openal cooperatives”, can mobilize and protect vulnerable segments of the workforce, such as non-regular workers. In addition, the increased density of the network of cooperative networks established through fair trade movements, or through consultations among new national federations, is also conducive to global labour solidarity and the promotion of mutual care and mutual responsibility. In this regard, the global work of the International Association of Cooperatives is also crucial and can lead to better institutional coherence and focus across the cooperative movement.", "C. Poverty reduction", "Through collective action mechanisms, cooperatives will pool their resources to enable them to participate more fully in productive activities, share profit, cost savings and share risks, thus enabling economies of scale, leading to greater bargaining capacity for members in the market, whether as buyers or sellers. In the global agricultural sector, this is an important consideration because up to 50 per cent of outputs are sold through cooperatives.", "In India, breast-feed cooperatives have made an important contribution to raising household income through better market marketing and distribution. [13] The Uganda Association of Private Midwives provides maternal and infant care services to help change the daily lives of its members and the general population. [14] Indigenous cooperative alliances of begging mazaro have developed innovative programmes to address the plight of orphans and vulnerable children. It has designed a seven-year scholarship programme (2006-2012) to cover secondary school education costs for orphans and vulnerable children. The additional income generated by cooperatives is used to fund scholarship programmes through the sale of coffee members through fair trade arrangements.", "Cooperative self-help and collective action principles promote self-help and participation, enabling the poor to become active participants in improving their livelihoods and economic prospects. Cooperatives focus on human capital, upgrading skills and providing a forum for poor and vulnerable groups to defend their economic and legal interests through their organization. In the informal sector, for example, transport cooperatives enable individual service providers to operate mutually beneficially and effectively, thereby increasing the household income of members. Services cooperatives owned and operated by persons with disabilities and the rural poor and urban poor, especially women, also contribute to raising household income and reducing poverty. In the Philippines, for example, young people sell their goods through cooperatives, Kraveria grassroots marketing companies, and nurturing young leadership through the operation of foods. [15]", "Agricultural cooperatives can also encourage small farmers and livelihoods to make their products more sustainable and competitive in the market and to improve the collective bargaining power of producers, market access and retailers, as well as reduce transaction costs, and help to increase rural productivity, improve food security and promote rural development. For example, in Viet Nam, 44 per cent of cooperative activities are in the agricultural sector, while 2 per cent in the forest and fisheries sectors. [16] In India, more than 50 per cent of cooperatives act as the First Agricultural Credit Association or offer market marketing, warehousing and other services to their producers. [17] Agricultural cooperatives also promote women's participation in economic production, which contributes to food production and rural development. In India, 100,000 mammal cooperatives collected 1.6 million litres of milk every day from 1,200 million farmers to make a significant contribution to food supplies.", "Globalization has had a negative impact on agricultural production and food security in developing countries and has contributed to increasing interest in fair trade. According to fair trade arrangements, producers receive price guarantees that cover production costs and provide fair profit. In turn, producers are expected to adhere to fair trade standards, such as the non-use of child labour and the use of arable technologies for environmental and public health. In most cases, farmers participating in fair trade retain their part of their income for social projects and ensure that, in any event, community development and technical training are provided to farmers. Many small farmers who have established cooperatives are now doing so.", "In Peru, the Central Association of Patents of Organise Banana Smalls is a cooperative in the implementation of fair trade arrangements, which, through its organizational and technical capabilities, can promote fair trade in the commercial chain and enable diversification of production systems in a sustainable manner. The Association grew rapidly over three years, strengthening food security and improving the social, economic, cultural and environmental conditions of its members and communities. [18] The 126 members of the Toledo Association of Producers rely on their income-generating income. For its members, the difference in non-equitable trade is to send their children to school or to remain in their homes. Fair trade granted new independence and self-reliance to farmers for the Plurinational State of Bolivia (Plurinational State of Bolivia). Prior to that time, they were repeatedly oppressed by problematic and exploitative export systems. [19]", "Financial cooperatives", "Financial cooperatives, such as credits, savings and credit cooperatives, and cooperation banks, provide members with low-cost and readily available financial services. These measures include, inter alia, reliable savings facilities tailored to the needs of members, credit or microfinance for small-scale start-up enterprises, and more-favoured remittance networks. Financial services provided by financial cooperatives play an important role in promoting a more inclusive financial sector.", "As a result of the recent financial crisis, renewed interest has been given to alternative financial institutions, as financial cooperatives and credit institutions have proved to be devoting or even increasing capacities. [20] For example, as members are in search of a safer place to store their savings, many other business agencies are struggling, and some financial cooperatives and credit institutions have a large number of deposit flows while maintaining or increasing the rate of credit (see A/64/132, para. These situations demonstrate the importance of institutional diversification in the financial sector and demonstrate the advantage of alternative business models, such as cooperatives, and indicate how cooperatives can contribute to the stability of the broader financial system.", "E. Social protection", "Cooperatives provide social protection in the form of property/life insurance, health insurance, and life insurance through mutual assistance companies. The Kenya CIC Insurance Group provides affordable insurance for those who are not insured by mainstream insurance companies. In addition to providing risk protection services for the poor and vulnerable, CIC is the largest microinsurance company in Kenya.", "In Islamic society, the most recent insurance scheme is the Takana's re-education insurance. It is based on the sharing of clients' risks and on participatory insurance based on the principles of Islamic law cooperation. In accordance with the Takans Resistance Insurance, each insured person's insurance fees are used to help those who need assistance, and all losses and liabilities are assessed in accordance with the community pooling system. In 2008, a total of about $5.3 billion in the Takafur insurance premium, which has increased in recent years. [21]", "The cooperative health insurance helps to preserve and promote human health, strengthen health systems and help improve the health of the people, especially the poor. Brazil's UNIMED is both a health insurance company and a medical cooperative operating in a competitive market. UNIMED is committed to improving health services and has implemented two performance pay programmes to improve the quality and efficiency of the medical services of 258 service providers serving 8000,000 people in its network. [22] In Senegal, the Health Assistance Corporation (PAMECAS) provides affordable savings and health insurance to vulnerable and low-income households. [23]", "Disaster relief", "Cooperatives contribute to disaster recovery and reconstruction. In 2006, after the tsunami in Bandaryazi, cooperatives helped to recover. The cooperative movement mobilizes assistance and reconstruction activities, prioritizes and develops guidelines, including building partnerships on the ground, dispersing support for different projects and avoiding duplication of effort. Following the recent tsunami in Japan, Japan's cooperatives have helped to resume the process, including the provision of medical services, food and pharmaceutical supplies and microcredit to victims. In the United States, the Foundation for Cooperation Development launched the Storm Cooperative Recovery Fund in the spring of 2011. It is designed exclusively for cooperatives to help other cooperatives that are adversely affected by storms, cyclones, floods and wild fires.", "Peacebuilding", "In conflict or ethnic divisions, cooperatives can play an important role in peacebuilding and in creating communication bridges. Cooperatives can pool people with common economic interest, although they have conflicts in other areas. [24] Cooperatives have a long history of settling conflicts through people's dialogue, contributing to economic peace, which is rooted in local economic development and has given the opportunity to work together to democracy within a small scale. In Rwanda, the World Credit Union Council has re-established a credit union system that is currently 149 credit alliances, with an estimated 400,000 members.", "As a self-help organization, cooperatives enable people to organize business and improve their situation. They therefore contribute to raising income and creating jobs and to promoting integration and solidarity, in compliance with the principle of mutual responsibility. In particular, cooperatives promote participatory democratic decision-making processes, thereby enabling members to increase their empowerment and to emphasize capacity-building and investment in human capital through their education and training. From a development perspective, the main objectives of cooperatives are indeed contributing to socio-economic development even by helping their members to achieve common goals.", "Strengthening cooperatives", "Cooperatives must be sustainable and stable enterprises in order to fully realize their contribution to socio-economic development. The Social Policy and Development Division of the Department of Economic and Social Affairs and the Government of Mongolia, held in Ulaanbaatar from 6 to 8 May 2011, highlighted the good practices of successful cooperatives, including sound governance and skilful leadership, management and market knowledge, training, mainstreaming education into cooperatives, and the importance of establishing information databases and conducting sound studies that could support policy recommendations. Good policy and legislative frameworks are equally important for promoting sustainable growth and establishment of cooperatives.", "Sound internal governance and competent leadership are key to the success of cooperatives. Of particular importance is the need for managerial skills and sectoral knowledge to follow the interests of its members. In Singapore, the Singapore National Association of Cooperatives introduced a code of cooperative governance in 2006 to address a number of issues within the cooperative movement and to outline good practices that the credit cooperative must apply.", "In Ethiopia, the Oroa coffee Association provided a good example of how to promote the efficiency and growth of the cooperative movement. As a junior cooperative alliance, since 1999, the organization has brought its producers to higher value chains, not only to achieve competitive scales, market marketing and bargaining capacity, but also to empower farmers through technical education and business management capacity. As of 2010, the number of members of the Alliance had increased by more than five times, with a sharp increase in sales value since 2001. [25]", "In Kenya, the success of the CIC Insurance Group is very relevant to improving its internal governance and to strengthening business practices. Even with significant capital injecting companies between 1996 and 1998, the growth of cooperatives was slow and unstable. However, following changes in management, a sound strategic plan has been introduced to promote the participation of members' education and members, which has succeeded in a complete double fight and becoming the third largest insurance company in Kenya. [26]", "Training is an important means to build strong management capacity, which should be aimed at inculcateing the core values and principles of cooperatives and enhancing capacity to strengthen operations. In 2011, a number of Member States responding to the cooperative questionnaire indicated that initiatives to strengthen the composition and leadership of the members of cooperatives included in the school curriculum the integration of cooperative knowledge, including in the courses of the Association and the Business College. Several national and cooperative movements have partnered in schools such as Costa Rica, CENECOOP, in cooperation with the Ministry of Education, to integrate cooperative education into secondary school curricula through e-learning. [27] In the United States, the Babson Cooperative Fair Exchange Course, in cooperation with cooperatives and academia, provides a study life course on the management and functioning of cooperative enterprises. It also introduces a free course to encourage the use of commercial colleges worldwide. [28]", "In order to better understand cooperatives and assess the impact of their socio-economic development, priority should be given to research and the collection of uniform statistics on cooperatives. Such studies will help to raise awareness of cooperatives and their social contributions and encourage the promotion and formation of cooperatives. Research on tax exemptions and other exemptions, accounting standards and rules limiting capital channels should take into account the unique nature of cooperatives. The emerging issues related to cooperatives need to be further studied, including green jobs, information technology and the sharing of business services. However, the greatest challenge is the lack of funding in researching and collecting data on cooperatives. The establishment of partnerships among all stakeholders, including co-financing, and the development of a coordinated approach to research, data collection and the establishment of a database of cooperative good practices, could be an important project for the Year.", "Cooperation networks, or cooperation between cooperatives, are also an important factor in strengthening the capacity and effectiveness of cooperative enterprises. In many of these examples, value added is a key factor in improving effectiveness, leading to the success and expansion of the socio-economic internet of producers' cooperatives, and the Spanish Mondragun (Mondragon) and the Italian La Legacoop are examples of this reality. In cooperation with cooperatives or trade unions/ cooperative associations, institutional cooperation has expanded the scale of economic activity, reduced operating costs and created sufficient pool resources to facilitate the expansion of technology, while sharing market marketing and quality control services and establishing new cooperatives. At a time when global competition is increasing, it is necessary to accelerate the pace of innovation, which provides an institutional response. [29]", "The Government has played an important role in competition with mainstream enterprises through the development of cooperative policies, laws and regulations. To that end, the legal framework must be in line with changing economic realities, and the law of cooperatives must be amended, if necessary, to eliminate gaps. Modernization and updating of cooperative laws should ensure that the relevant legislation is rooted in the values and principles of cooperatives. The Government's regulation should take into account the ownership of cooperatives and bring together cooperatives in their own constitutions.", "In the 2011 survey of member States on cooperatives, most countries indicated that the ILO Recommendation No. 193 and the United Nations guidelines for cooperatives were used as the basis for their cooperative policies and legislation. China, Kenya, Malta and Panama indicated that they continuously examine cooperative policies and legislation to improve access to credit and promote sound business practices and value added. Member States referred to the strengthening of cooperatives with the following measures: improving management and technical capacity, reviewing existing legislation and improving access to credit. Most Member States responded that cooperatives and their socio-economic contributions were taken into account in the implementation of national development policies.", "History has proved that cooperatives are too affected by the State, which are not only sustainable but will be an institution that is not relevant to immediate and inefficient. In Africa, for example, while the establishment of cooperatives is a political imperative that leads to the proliferation of cooperatives throughout the continent, they can be increasingly mainstreamed into their activities with their communities. Moreover, the principle of self-reliance has been highly undermined and cooperatives have no longer been driven by members, but only agents of the political strategy, with surpluses being used to finance projects in accordance with State directives, leading to a low morality of members of cooperatives. [30]", "The Year offers a unique opportunity for Governments, cooperatives and other relevant stakeholders around the world to participate actively in and engage in dialogue with each other on how the implementation of legal and financial policies conducive to cooperatives can contribute to sustainable development, while conducting independent controls and providing the necessary balance.", "International Year of Cooperation in 2012", "Background and objectives", "The United Nations General Assembly, in its resolution 64/136, proclaimed 2012 as the International Year of Cooperatives. The Year has three main objectives:", "(a) Raise awareness of cooperatives and their contribution to socio-economic development and achieve the internationally agreed development goals, including the Millennium Development Goals;", "(b) Promote the establishment and development of cooperatives to enhance socio-economic capacity;", "(c) Encourage Governments and regulators to develop policies, laws and regulations conducive to the establishment and development of cooperatives.", "While the contribution of cooperatives to socio-economic development is well known, the unique nature of cooperatives remains unknown to the general public and many decision makers. Thus, one of the main objectives of the Year is to raise awareness of cooperatives in both developed and developing countries and to improve the image of cooperatives as a modern commercial model. The Year will highlight the contribution of cooperatives in addressing issues such as poverty, employment, income losses, food security, social inclusion and empowerment, with particular emphasis on the advantages of cooperatives in addressing gender equality in economic and social development.", "Implementation", "International implementation", "Central coordination", "At the international level, the Year was coordinated by the Committee for the Promotion and Promotion of Cooperatives, consisting of the Department of Economic and Social Affairs, the International Labour Organization, FAO and the International Association of Cooperatives, and was represented by a group of eminent persons from cooperative movements, academia and different communities of civil society. These institutions are responsible for developing core strategies and key information to guide the implementation of the Year. Key information will highlight and support the theme of the Year of International Cooperatives: “A cooperative venture to build a better world”. In preparation for the International Year of Cooperatives, the Coordinating Committee has extensive links with cooperatives, civil society, Governments, relevant United Nations entities and other stakeholders.", "From 6 to 8 May 2011, the Department of Economic and Social Affairs convened an expert group meeting on cooperatives for social development in Ulaanbaatar to assist the preparations for the Year. The conference was hosted by the Ministry of Foreign Affairs and Foreign Trade of Mongolia and the Ministry of Food, Agriculture and Light Industry. [31]", "Meetings, conferences and special events", "In its resolution 63/284, the General Assembly decided that the Year of International Cooperation was launched at the sixty-sixth plenary meeting on 31 October 2011. The Assembly also decided to convene an informal round table before plenary meetings.", "Together with FAO, the International Fund for Agricultural Development and the World Food Programme, an side event on agricultural cooperatives is planned at the start of the International Year of Cooperatives to be held at United Nations Headquarters in New York. In order to inform existing members of the Year, FAO will organize a series of meetings throughout the year, which will be linked to all FAO regional meetings around the world. This includes the twenty-sixth Regional Conference of FAO, the Thirty-first Annual Conference of the Food and Agriculture Organization of the United Nations, the Thirty-first Asia and the Pacific Conference of FAO, the thirty-second Regional Conference for Latin America and the Caribbean, the twenty-eighth European Regional Conference and the thirty-seventh session of the World Food Security Committee. FAO will also organize activities for the International Year of Cooperatives in 2012.", "The International Labour Organization will convene a high-level seminar on cooperatives and youth employment during the week leading to the 101st International Labour Conference in 2012. An expert meeting will also be held in 2012 on the theme “Following the ILO proposal No. 193: assessment of the status and way forward”. The ILO International Training Centre in Turin will organize a training course on cooperatives to focus policy and legislation.", "Exchange and diffusion", "The Department of Economic and Social Affairs has taken the lead in planning and coordinating advocacy and outreach activities for the Year. The Department of Economic and Social Affairs, together with the Facilitation and Promotion Committee and the Department of Public Information Cartographic Unit, has designed a mark to promote the theme of the Year. An information kits, an advocacy toolkit and advocacy guide are being developed and will be disseminated through electronic and print. The contents of the information kits include a leaflet highlighting the symbols of the Year of International Cooperatives, a leaflet containing key information and relevant points of action, and a more detailed information booklet describing the start and implementation of the Year of International Cooperatives, evidence analysis of key information and a call for action. The Toolkit/Guidelines will provide a brief overview of the Year's Advocacy Strategy and guide interested organizations and Governments to work together with global efforts to launch their awareness-raising campaigns on the Year.", "The Department of Economic and Social Affairs also coordinates the use of social media to raise awareness of the Year of International Cooperation and to promote its brands in order to encourage a unified global advocacy. To date, a “CoopsYear” community page has been set up in the book (Facebook) and a number of preliminary messages have been posted to focus on how to use the International Year of Cooperative symbols and promote activities. A “CoopsYear” blog was also opened (Twitter). Through these community pages, the followers' Main Committees are informed of the activities coordinated and awareness of national and local-level initiatives. In due course, the page will also be used to seek feedback from followers on key issues and initiatives.", "An official website for the Year of International Cooperation has been developed and is being maintained by the Division for Social Policy and Development of the Department of Economic and Social Affairs. The website will serve as a hub for the Year of International Cooperation to present the events held during the Year, information on cooperatives and other relevant developments at the national, regional and global levels. The website will also set up an interactive blog with an analytical article on cooperative business models and their contribution to sustainable development. The Department of Economic and Social Affairs also plans to develop a press portal on cooperatives to support official websites, in cooperation with the cooperative media.", "FAO, the International Fund for Agricultural Development and the World Food Programme collaborated in the production of a series of materials commemorating the Year of International Cooperatives aimed at promoting rural cooperatives. The information kits will contain a leaflet containing key messages for agricultural cooperatives and a good practical guide, some of which select these cases for thematic, gender and geographical balance and reflect the views of developed and developing countries. These organizations plan to issue joint press releases to launch the International Year of Cooperatives.", "The International Labour Organization is developing thematic brochures that will be distributed in the Year. It also plans to produce a short film describing cooperatives, which will be presented for the first time when the International Year of Cooperatives will be launched on 31 October 2011.", "Research and data collection measures", "The Department of Economic and Social Affairs plans to disseminate monthly thematic briefings throughout the Year of International Cooperation. The monthly theme will involve key information on the main outreach activities. The plan will also compile analytical material on the role of cooperatives in development, which will be issued separately at the end of this year.", "FAO will participate in studies commissioned by the International Labour Organization and supported by the Committee on Agricultural Cooperatives on the status of world cooperatives, which will generate a knowledge base on the scale, scope and socio-economic implications of cooperatives around the world.", "ILO is piloting a initiative to collect specific data on cooperatives in 14 countries. It is also committed to developing a set of proposed approaches to incorporate such data into existing United Nations and International Labour Organization statistical surveys.", "Regional and national implementation", "As noted in General Assembly resolution 64/136, a central aspect of the strategy has been to encourage Member States to establish national commissions. As at 15 June 2011, 48 Governments reported that national commissions and/or focal points had been established for the Year of International Cooperatives, from all regions of the world (see table 2).", "Table 2", "Latin American and Caribbean States", "Some Governments have not yet established national commissions, but they encourage national cooperative organizations to take the lead in promoting the Year. The Australian Steering Committee consists of leaders from a number of top-level organizations throughout the country, an example of the National Commission, led by civil society.", "Meetings, conferences and special events", "At the regional and national levels, most of the activities planned for the Year will take the form of meetings, conferences and special events. The purpose of these activities is to highlight the sharing of good practices, data and research results as a means to promote a better understanding of how cooperatives operate in national and regional environments.", "In Africa, the Government of the United Republic of Tanzania, in cooperation with the Institute of Business Studies, is planning to hold a meeting in September 2011 entitled “African International Cooperative Research Conference”, aimed at raising the visibility of Africa-focused research and promoting observance of the International Year of Cooperatives. The Government will also organize a national workshop on cooperative enterprises in 2012, and will meet to sensitize media and editors on cooperatives and knowledge of cooperatives. The Government of Togo proposed that a summit of African Heads of State on cooperatives be held in Lomé in January 2012.", "In Asia, the main sponsor of resolution 64/136 will adopt its overall plan of action, including 30 action plans, to organize events for the Year, including the planned organization of cooperative exhibitions, and to carry out a campaign entitled “One area, two brands” to raise awareness of cooperatives and develop public-private partnerships to promote cooperatives. Singapore will hold academic meetings to promote awareness of cooperatives among colleges and students. China will host a professional cooperative seminar and a conference attended by cooperative leaders from Brazil, China, India, the Russian Federation and South Africa. In India, the National Association of Cooperatives will hold the 16th Indian Cooperative Conference, with the participation of cooperatives from India and around the world, and will organize a conference on integrating cooperative principles and practices into the curriculum. The Alliance will also host an international conference on food security and climate change and the role of cooperatives, in cooperation with FAO country offices or the FAO Regional Office for Asia and the Pacific. In addition, they will host a number of leading creativity programmes, as well as training programmes for women and young people on income-generating activities and self-employment opportunities.", "In Europe, in the second half of 2012, Cyprus, in cooperation with the European Union, will organize a conference on other issues related to promoting cooperatives of interest to European cooperatives and European Union member States. Malta plans to organize a national conference that may invite international persons to participate. In the Republic of Moldova, the top-level organization plans to organize two international conferences: “The cooperatives have no borders” and “cooperatives: fair, sustainable development and social development opportunities”. The organization will also organize seminars and workshops on the development and revision of legislation, policies and regulations applicable to cooperatives.", "In Latin America, Panama, in cooperation with the National Institute of Self-Government of Panama (IPACOOP), has planned to organize a national conference on cooperatives to discuss issues of interest to all stakeholders and to make recommendations for submission to the Government and cooperatives. The Government also provided some financial and logistical support to three international cooperation meetings: meetings of the International Union of Cooperatives (ARC), meetings of the Association of Caribbean, Central America and South American Cooperatives and meetings of the Latin American Cooperative Coordination Mechanism.", "In Australia, the National Commission organized a key summit with the participation of the Chief Executive of National Cooperatives, with other local meetings and seminars.", "In 2012, cooperatives, academia and other civil society organizations held meetings at the regional and international levels as part of the celebration of the annual activities of national cooperatives. The list of global conferences and other activities is available on the International Year of Cooperative website: http://social.un.org/coopsyear/.", "Outreach and advocacy materials", "As for the international level, a number of Governments and top-level organizations will focus their activities on the production and dissemination of outreach and information materials. The related planned activities included the production of brochures on the commercial model of cooperatives and their contribution to development, as well as posters and T benefits at the International Year of Cooperatives. Several Member States will also produce radio programmes and television documentary films on cooperatives and encourage print media such as local and national newspapers magazines to report on cooperative news.", "The Government of Singapore will produce and produce a series of commemorative stamps and multimedia DVD, which will map short films on national cooperatives, organize photographs and competitions, attract young people's interest and promote knowledge of how cooperative businesses contribute to society.", "The Australian Steering Committee will produce a message of the contribution of the Australian cooperative movement to the national economy and create a website to coordinate national calendars of activities, while conducting a national public information campaign.", "Research and data collection measures", "Member States and cooperative organizations are planning research and data collection, which will create databases, incorporate data from past and present communities, produce data sets and collect data on issues affecting cooperatives.", "The Government of Turkey is currently preparing a strategy paper and action plan for cooperation that will highlight the importance of Turkish cooperatives, the expected performance of cooperatives and their contribution to improving the well-being of the people.", "Panama intends to study and disseminate a results of a study on the subsector of cooperatives, including but not limited to the contribution of each subsector to its members and local communities and national economic, social and cultural development. Research will also be undertaken on the contribution of cooperatives to food security, job creation, access to banking services, provision of housing and poverty eradication, and on gender equality within cooperatives and the contribution of cooperatives to environmental protection and the protection of national renewable resources.", "The Australian Steering Committee will support two research projects: “Sustainable cooperative enterprises”, which will explore factors that affect the sustainability and competitiveness of cooperative enterprises; and “Promoting cooperative movements in Australia and Italy”, to study the contribution of cooperatives to socio-economic life in both countries.", "C. Action beyond 2012", "The world needs long-term and sustained efforts to strengthen cooperatives for the benefit of its members, constituencies and communities. As a result, cooperatives, academia and other stakeholders have increasingly supported the consideration of a road map or action plan to continue promoting cooperatives after the end of the Year. This vision will be based on existing mandates to ensure focused and effective follow-up to the Year in 2012.", "Conclusions and recommendations", "Cooperatives can make a unique contribution to sustainable development, particularly in promoting the development of social and economic pillars. The nature of cooperatives, driven by members, enables them to take root in their communities and deliver services to their communities, thus enabling the development of enterprises to be consistent with the needs of social, cultural and economic development and the vision of these communities. Promoting awareness and understanding of cooperative enterprises and their direct and indirect advantages is a positive step towards promoting inclusive sustainable development. It is therefore important not only to strengthen the internal capacity of the cooperative itself, but also to develop a supportive regulatory framework based on empirical studies and effective and reliable data.", "The General Assembly recognized and supported the efforts devoted to the International Year of Cooperatives, respecting the values of self-government and membership, and may wish to consider the recommendation to invite Governments and international organizations to establish partnerships with cooperative and cooperative organizations in order to:", "(a) Continue its efforts to raise public awareness of the obvious advantages and strengths of cooperatives, and to recognize the value of cooperatives, in particular the self-awareness of members, and to promote the creation of cooperatives in new, emerging or traditional areas that do not have adequate services;", "(b) To support cooperatives in all sectors of the urban and rural areas, depending on sustainable and successful business enterprises that can contribute directly to job creation, poverty reduction and social protection;", "(c) Promote the growth of financial cooperatives in order to achieve inclusive financial services, in particular through policies, by expanding the cross-section and scope of financial cooperatives and credit institutions, by providing services and markets for all, through appropriate tax incentives;", "(d) Promote the development of agricultural cooperatives by promoting overall growth in the agricultural sector, in particular through improved financing methods, sustainable production technologies, investment in rural infrastructure and irrigation, market marketing mechanisms and women's participation, and achieving food security goals;", "(e) Strengthen efforts, in cooperation with all stakeholders, to expand and facilitate access to research on the operation and contribution of cooperatives and to develop methodologies for collecting and disseminating comparable global data and good practices in cooperative enterprises;", "(f) Review and improve the legislative and national regulatory capacities of cooperatives, in particular the establishment of a fair competition environment for cooperatives compared with other enterprises, in order to provide a more enabling environment for cooperative formation and participation in national development efforts.", "Member States that responded to the survey included Bangladesh, Bulgaria, China, Cyprus, Dominica, Ecuador, Germany, Guyana, Japan, Kenya, Lebanon, Malta, Mexico, Mongolia, Mozambique, Niger, Panama, Romania, Singapore, Thailand, Turkey, United Republic of Tanzania, Uruguay and Zimbabwe. The survey was organized by Jaatiya Samabaya Alliance of Bangladesh, Mouvement Association Ltd (Australia), Central Alliance of Agricultural Cooperatives (JA-Zenchu), Coopeuch Ltd, DGRV (Germany Cooperative and Lefon Association), German Federal Association for Housing and Real estate, Costa Rica National Institute for Cooperative Development (INFOCOOP), Central Office of the Islamic Republic of Iran Cooperative, KFO, HSB, Riksbyggen, KF, Ous, Coomon Fion, Swedish Association of Cooperatives, National Association of Trade Associations, Indian Association of Cooperatives, Association of Associations, Association of Business Associations, National Association of South Africa, Association of South Africa, Association of the Republic of the Republic of the Czech Republic of the Republic of South Africa.", "[2] Report of the World Summit for Social Development, Copenhagen, 6-12 March 1995 (United Nations publication, Sales No.", "[3] See General Assembly resolution 56/114 and A/62/33-E/2001/68, annex.", "[4] See http://www.ilo.org/ilolex/cgi-lex/convde.pl?R193.", "[5] The International Union of Cooperatives defines cooperatives as “a voluntary association of self-government associations to achieve their common economic, social and cultural needs and goals through joint ownership and democratic management enterprises”.", "[6] The value of cooperatives includes self-help, self-responsibilities, democracy, equality, equity and solidarity. The principle of cooperatives is voluntary and open participation; member democracy management; economic participation of members; independence; education, training and advocacy; cooperative cooperation; and community interest.", "[7] Statistics on cooperative movements, see www.ica.coop.", "[8] “Cooperation as a commercial organization: lessons learned from the history of the cooperative organization”, Wim j.j. van Diepenbeek gave a specific view, University of May 2007. See http://www.eurocoopbanks.coop/getdocument.aspx?id=da6def67-6028-4786-b904-097bf8bb1fdb.", "[9] Statistics on cooperative movements, see www.ica.coop.", "[10] Nelson C. Kuria, “Assessment of African Cooperative Insurance”, paper prepared by the Division for Social Policy and Development of the Department of Economic and Social Affairs and the Government of Mongolia at the expert group meeting on cooperatives for social development, held in Ulaanbaatar from 3 to 6 May 2011.", "[11] An overview by ILO No. 1 entitled “Cooperatives and rural development”, 2007.", "[12] Frederick O. Wanyama, Patrick Develtere and Ignace Polet, “Final evidence: African cooperatives and poverty reduction”, available at http://www.cooperatiefondernemen.be/wp/WP%20SCE%2008-02.pdf.", "[13] Maheswararao Veeranki, “Women breast products cooperatives in Lajastan State: success stories of women's breast products cooperatives”, Kurukshetra, vol. 51, No. 6 (2003), pp. 19-22.", "[14] Uganda's professional birth attendant organization (2011), “item”, 22 June 2011: http://www.upmouganda.org/project.html.", "[15] Clarissa S. Trampe, “Youren invent cooperatives: young people's perception of the International Movement of Cooperatives”, (2009), available at http://www.learningcentre.coop/when-hands-are held-tight-story-ending-people-claveria.", "[16] Nguyen MinhTU, “Country of Cooperative Development: Achievements and Challenges”, paper prepared for the Expert Group Meeting on Cooperatives for Social Development, held in Ulaanbaatar from 3 to 6 May 2011.", "[17] Daman Prakash, “Agriculture and Agriculture Cooperation in India”, paper prepared for the Central Agricultural Cooperative Alliance, JA-Zenchu, Tokyo (2009).", "[18] Michael de Groot, “CEPIBO case”, paper prepared for the Expert Group Meeting on Cooperatives for Social Development, held in Ulaanbaatar from 3 to 6 May 2011.", "[19] See “Global Exchange”, “Equal trade in cooperatives”, see HTTP http://WWWW.GLOBALEXCHANGE.ORG/CAMPAIGNS/ FAIRTRADE/COA/COA/COACOACOACOACOOPERATIVES.HTML (accessed 11 July 2011.", "[20] European Association of Cooperation Banks, “Cooperation banks and crises: models for resilience”, European Association of Cooperation Bank Survey, December 2009.", "[21] Ajmal Bhatty, “The growing importance of the Takans Resistance Insurance”, paper prepared by the Organization for Economic Cooperation and Development at the Asia regional seminar held in Kuala Lumpur, Malaysia, from 23 to 24 September 2010.", "[22] paulo Borem and Others, Performance pay in Brazil: UNIMED-Barisan, 24 May 2010. See http://www.healthsystems 2020.org/content/resource/detail/2564.", "[23] International Federation of Cooperatives and Co-insurance, Prosperity, No. 8, August 2010, p. 3.", "[24] George J. Mitchell, “A cooperative can play a role in peacekeeping”. See http://www.ncba.coop/sample (accessed 17 July 2011.", "[25] Tadesse Meskela, “Status of the Asociación de Asociación de Aroa du Café”, paper prepared for the Expert Group Meeting on Cooperative for Social Development, held in Ulaanbaatar from 3 to 6 May 2011.", "[26] Kuria, “The experience of Kenyan insurance cooperatives” (see footnote 10 above).", "[27] Neticoop, “CENECOOP project to enhance the competitiveness of national and regional cooperatives” (28 August 2006). See http://www.neticoop.org.uy/article2327.html.", "[28] Press release from the Bbson College, “The Bubson College launched Vikis for Cooperative Education”, 17 June 2011. See http://www3.babson.edu/newsroom/releases/WhitmanCooperativesCurriculum6-11ns.cfm.", "[29] Stephen C. Smith, “It is nothing to do? The external impact of the network and the Momdragun and Larranga Cooperative Network, UNU World Institute for the Development of the Economy, Discussion Paper No. 20017 (June 2001).", "[30] Patrick Develtere, Ignace Pollet and Fredrick Wanyama, eds. Cooperation for Poverty: Rehabilitation of African Cooperative Movements (Geneva, ILO, 2009).", "[31] The co-sponsor meetings were sponsored by ILO, FAO, the International Union of Cooperatives, the Japan Association of Consumer Cooperatives, the Kenya CIC Insurance Group, the COEXPHAL (AWAA) and the University of Almería, Sweden Cooperative Centre, the United States University of Was Conseil, the International Press Service and the Mongolian National Cooperative Association." ]

[ "第一〇四二次全体会议最后记录", "2006年9月12日星期二上午10时25分 在日内瓦万国宫举行", "主 席：安东·平特先生(斯洛伐克)", "主席：我宣布裁军谈判会议第1042次全体会议开始。", "今天的全体会议有下列发言者：哈萨克斯坦大使凯拉特·阿布塞托夫、厄瓜多尔大使毛里西奥·蒙塔尔沃·萨马涅戈、俄罗斯联邦大使瓦列里·洛希宁和中国大使成竞业。", "在请发言者发言之前，我谨以裁谈会名义向我们的新同事厄瓜多尔大使蒙塔尔沃·萨马涅戈表示热烈欢迎。", "现在请哈萨克斯坦大使发言。", "阿布塞托夫先生(哈萨克斯坦)：主席先生，哈萨克斯坦、吉尔吉斯斯坦和乌兹别克斯坦等国外交部长、塔吉克斯坦外交部第一副部长和土库曼斯坦驻哈萨克斯坦大使在9月8日签署了建立中亚无核武器区条约。据我了解，各国部长的声明已经分发。", "签署典礼在塞米巴拉金斯克――哈萨克斯坦一个省的省会，以原来是苏联核试验场地而闻名――举行。所有条约参加国一致作出的在塞米巴拉金斯克举行典礼的决定，具有很深的象征意义。", "中亚无核武器区概念可追溯到1993年乌兹别克斯坦在联合国大会上提出的正式建议。从抽象的建议变成具体的政策倡议的关键步骤是中亚五国总统在1997年《阿拉木图宣言》中采取的。联合国大会通过了若干决议支持该中亚倡议。", "该协定是区域专家9年来的工作成果，其中明文禁止在中亚生产、获得和部署核武器及其部件或其他核爆炸装置。", "该区域各国通过签署条约重申了它们对裁军和不扩散原则的承诺。我们希望中亚无核武器区会推动全球促进裁军优先事项的努力。它也是对国际反恐斗争、防止核材料和技术落入恐怖主义组织和非国家行为者手中的全球努力的重大贡献。条约无疑是发展和平利用核能和恢复被污染地区的环境的一个重要步骤。", "中亚倡议的一个独一无二的特点是所有参加国都有前苏联核基础设施的一部分在其境内，哈萨克斯坦自愿放弃第四大的核武库。北半球第一个区域性无核武器区毗连俄罗斯和中国两个核大国，它们已经表示支持新条约的规定。", "为了使无核武器区开始生效，条约参加国将与各核大国谈判一项使所有联合国安全理事会成员承诺尊重中亚无核地位的条约议定书。这些义务除其他外包括不对该区域各国使用或威胁使用核武器。", "鉴于中亚接近扩散受到关注的区域，包括中东和南亚，预期新安排将大大有助于加强亚洲的和平与安全。由于联合国和其他裁军论坛在过去十年中一无进展，中亚无核区是区域愿望获得成功的光辉例子。", "主席：我感谢哈萨克斯坦大使的发言，现在请我们的新同事厄瓜多尔大使蒙塔尔沃·萨马涅戈先生发言。", "蒙塔尔沃·萨马涅戈先生(厄瓜多尔)：由于这是我以厄瓜多尔常驻代表身份第一次在这一重要论坛上发言，我首先谨向你主席先生和主席团中所有你的同事指导我们表示赞赏，尤其是赞赏6位主席和主席之友在这一年内所做的工作。尽管情况我都知道很难，但他们使我们能够处理例如停止核军备竞赛和核裁军、防止核战争、防止外层空间的军备竞赛、保证不对无核武器国家使用或威胁使用核武器、新型大规模毁灭性武器和此种武器的新系统以及军备透明等实质性问题。", "在这方面，我国代表团欢迎这里许多国家目前表现的开放和灵活性，以实事求是和坦率的态度处理裁军的某些方面，尽管经过9年多的讨论仍未能够订出最起码的工作方案。不过，与此同时，我们关切地注意到要达成可导致核裁军、消除大规模毁灭性武器和促进透明与信任的综合措施的有效多边承诺仍存在重大困难。换句话说，我们关切地注意到不存在明确坚定的决心保证一个更少武器、无暴力和安全的和平世界。认识到过去裁军取得最大的进展是在冷战时期，真令人痛心和伤心。今天我们生活在其中的世界是一个武装更重、国家不再垄断武装力量的世界，这是因为国际军备舞台上出现了更多和令人担心的新行为者，例如恐怖主义集团、贩毒恐怖主义集团、叛乱团体和交战各方。", "根据这一思维，我们不能不注意到大约15年前所作的今天的世界会是多么美好的多数预测是多么的错误。当时人们说，联合国的有效行动表明，国际合作的大门是空前地敞开的；人们认为和平会使军备竞赛停止并促进世界所有区域的更大发展；人们假设技术革命将能够解决最严重的贫穷、教育、卫生、住房、就业和环境恶化问题，不过这些预测还不够离谱。最离谱的预测是断言“历史的终结”，这除其他外意味着传统的国家间冲突不会再发生，因为在一个自由民主制度和市场经济全球化的世界中不会有发生传统战争的可能性；这些都被民族主义、宗教运动和跨国犯罪取代了，而这些问题只能并且应当通过确实的、越来越多的多边合作加以解决。", "厄瓜多尔借此机会重申它对和平的奉献并希望有一天看到国际上在某些方面的最低承诺得到履行，例如在联合国以及我们的美洲系统等双边和多边论坛中的军事开支登记中心；监测和禁止制造、拥有和使用杀伤人员地雷等常规武器；监测、不扩散和销毁非常规武器以及小型武器和轻武器；当然还有保护和平区和无大规模毁灭性武器区。", "同样地，我国保持以下的坚定不移立场：大规模毁灭性武器，不论是核武器、化学武器或生物武器的存在是对人类的严重威胁。为此，我国毫无区别地谴责一切形式的军备竞赛，不管是在什么地方进行的，并促进区域一级和世界一级为加强不扩散制度和争取全部消除大规模毁灭性武器储存采取的行动。", "众所周知，但可以再重复，厄瓜多尔谴责一切形式的国际恐怖主义，包括国家恐怖主义。我国认为反恐应当基本上通过多边警察和司法行动来实现，亦即需要合作和透明，严格遵守国际法和现有人权规范；为此我们支持联合国框架内通过一项国际公约。无论如何，反恐工作应当严格遵守国际法、人权规范和人道主义法。", "我国代表团感谢裁谈会秘书处将报告草稿分发给联合国大会下一届会议。它认为该文件适当地反映了这一年中所做的工作，并希望裁军谈判会议在2007年克服僵局、重获其相关性并开始实质性工作以便进入效率高并有具体成果的新阶段。", "最后，我想提一下一位伟大的厄瓜多尔国际主义者Luis Bossano博士，他高瞻远瞩，早在1945年《联合国宪章》之前几十年就向全世界提出了理性裁军的独创建议。今天同过去一样，也许比过去更是如此，我们需要这一类裁军，它更取决于人的内心想法而不在于战略假设或抽象的立场。", "主席：我感谢尊敬的厄瓜多尔大使的发言和他对主席、今年的6任主席、主席之友和主席团说的友好的话。现在请尊敬的俄罗斯联邦大使瓦列里·洛希宁先生发言。", "洛希宁先生(俄罗斯联邦)：俄罗斯曾坚定地表示原则上支持在世界各地建立无核武器区，因为这是扩大无核武器的地理区域，加强无核武器国家的安全和巩固国际和平与安全的关键要素之一。9月8日，哈萨克斯坦、吉尔吉斯斯坦、塔吉克斯坦、土库曼斯坦和乌兹别克斯坦等国代表在塞米巴拉金斯克签署了中亚无核武器区条约。该条约是在联合国积极参与下，按照联合国裁军谈判会议在1999年通过的关于建立无核武器区的原则和准则拟订的。建立中亚无核武器区是旨在加强核不扩散制度的一个重要步骤。我们相信这一条约将有助于巩固中亚地区的和平与稳定，并对反国际恐怖主义的斗争和防止核材料和技术落入非国家行为者手中的努力作出重大贡献。中亚无核武器区对我们特别重要，因为该区域靠近俄罗斯南部边界。俄罗斯一贯支持中亚国家建立无核武器区的政策，并欢迎该条约的签署。", "主席：我感谢尊敬的俄罗斯联邦大使的发言，现在请尊敬的中国大使成竞业先生发言。", "成先生(中国)：中国代表团感谢哈萨克斯坦代表团关于中亚五国近日签署《中亚无核武器区条约》的情况介绍。我愿就此阐述中该的原则立场。中国在无核武器区问题上的立场是一贯的，我们尊重和支持有关国家和地区根据本地区的实际情况在自行协商自愿协议的基础上建立无核武器区的努力。我们认为建立无核武器区有利于防止核武器扩散、促进核裁军进程并增进有关地区的和平、安全与稳定。", "中国与中亚五国有着传统友好合作关系。中国高度评价并积极支持中亚五国建立中亚无核武器区的努力。欢迎中亚五国达成并签署《中亚无核武器区条约》。中方也将一如既往地支持其他地区有关国家建立无核武器区的努力。", "主席：我感谢尊敬的中国大使的发言，现在请阿拉伯叙利亚共和国代表候赛因·阿里先生发言。", "阿里先生(阿拉伯叙利亚共和国)：自从2004年裁谈会正要根据五位大使的倡议通过工作方案以来，一些代表团提出了新主题供列入裁谈会议程。当时我们相信，而且继续相信，这是企图使裁谈会不能做它应当做的事，有时是浪费裁谈会的时间。我们很幸运，在过去三年中，大多数人的智慧终于获胜，议程得以未经修改获得通过。我们注意到有些代表团行使了提出一些未列入议程的问题的权利。我们正面、建议性地处理了这个问题，同时表明我们的立场；没有普遍的共识要讨论那些问题，并且本会议不是讨论这类问题的和适当场所。这些问题正在其他论坛上讨论，本会议还未能讨论其议程上的关键项目。", "在过去几天中，在辩论裁谈会的报告时，我们注意到某些代表团想要对已达成共识的议程上的项目和这些代表团最近提出的问题同样地进行讨论。我们认为这样做太过分了，我们绝对不能接受。不过，如果裁谈会要讨论新的项目，我国代表团曾提出一些我国认为对裁谈会的工作极为重要的问题。因此我们再次要求裁谈会在2006年届会余下时间和2007年届会期间处理这些问题。有关问题是：第一，除去中东的所有核武器；第二，使以色列的核设施受制于全面的原子能机构保障措施；第三，以色列将核废料埋在被占领的叙利亚戈兰的问题；第四，某些核武器国家将最新的军事核技术提供给以色列；第五，以色列对黎巴嫩平民使用集束炸弹和其他被禁止的武器。", "我想稍微离开正题表示我们对以下事实的震惊和遗憾：在过去几天中，美国国会否决了一些民主党员提出的关于在平民区附近限制使用集束炸弹的决议草案。我们认为这很令人震惊。", "这些是我们以前提出的并且提交裁谈会讨论的问题。还有其他与裁谈会的工作极为相关的、我们想提交供其审议的问题。这包括美国和英国部队在2003年入侵伊拉克时使用贫化铀以及美国部队在伊拉克费卢杰市使用磷燃烧弹问题。美国部队已经承认了这些事实。", "最后，尽管我们确信上述问题与议程有极大的相关性，但我们希望裁谈会集中讨论其议程上的4个核心问题，并且全面、平衡地处理它们以便通过一个兼顾我们大家的优先事项的工作方案。", "主席：我感谢尊敬的阿拉伯叙利亚共和国代表的发言，现在请尊敬的白俄罗斯代表伊万·格里涅维奇先生发言。", "格里涅维奇先生(白俄罗斯)：我想同其他代表团一样欢迎中亚无核武器区条约在塞米巴拉金斯克签署。", "主席：我感谢尊敬的白俄罗斯代表的发言。", "今天发言名单上的发言到此为止。还有其他代表团想现在发言吗？似乎没有。", "那么本次全体会议就此结束。如昨天宣布的，在会议结束后10分钟将举行非正式全体会议，继续审议裁谈会本年度会议的报告草稿。", "上午11时55分散会" ]

[ "CONFERENCE ON DISARMAMENT CD/PV.1042 12 September 2006 \n ENGLISH", "FINAL RECORD OF THE ONE THOUSAND AND FORTY-SECOND PLENARY MEETING", "Held at the Palais des Nations, Geneva,", "on Tuesday, 12 September 2006 at 10.25 a.m.", "President: Mr. Anton PINTER (Slovakia)", "GE.06-64305 (E) 311006 201106", "The PRESIDENT: I declare open the 1042nd plenary meeting of the Conference on Disarmament.", "I have the following speakers for today’s plenary meeting: Kazakhstan, Ambassador Kairat Abusseitov; Ecuador, Ambassador Mauricio Montalvo Samaniego; the Russian Federation, Ambassador Valery Loshchinin; and China, Ambassador Cheng Jingye.", "Before giving the floor to the speakers, allow me, on behalf of the Conference, to extend a warm welcome to our new colleague, Ambassador Montalvo Samaniego of Ecuador.", "And now I give the floor to the Ambassador of Kazakhstan.", "Mr. ABUSSEITOV (Kazakhstan): Mr. President, on 8 September the treaty on the establishment of a nuclear‑weapons‑free zone in Central Asia was signed by the Foreign Ministers of Kazakhstan, Kyrgyzstan and Uzbekistan, the First Deputy Foreign Minister of Tajikistan and the Ambassador of Turkmenistan to Kazakhstan. It is my understanding that the statement of the Ministers has already been distributed.", "The signing ceremony was held in Semipalatinsk, a provincial capital in Kazakhstan, known for being the former venue of the Soviet nuclear test site. The decision to conduct the ceremony in Semipalatinsk, adopted by all the participating States of the treaty, has a deep symbolic value.", "The idea of a nuclear‑weapons‑free zone in Central Asia traces its roots back to 1993, when a formal proposal was made by Uzbekistan during the United Nations General Assembly. The crucial step in moving from an abstract proposal to a concrete policy initiative was taken by the five Presidents of the region in their 1997 Almaty Declaration. The United Nations General Assembly adopted a number of resolutions in support of the Central Asian initiative.", "The nine-year work of regional experts resulted in the agreement which explicitly prohibits the production, acquisition and deployment of nuclear weapons and their components or other nuclear explosive devices in Central Asia.", "By signing the Treaty the regional States reaffirmed their commitment to the principles of disarmament and non-proliferation. It is our hope that the Central Asian zone will facilitate global efforts to promote disarmament priorities. It is also a significant contribution to the international fight against terrorism, the global campaign to prevent nuclear materials and technologies from falling into the hands of terrorist organizations and non-State actors. The Treaty is, no doubt, an important step in the development of the peaceful use of nuclear energy and the environmental rehabilitation of contaminated areas.", "The unique feature of the Central Asian initiative is that all participating States housed parts of the former Soviet nuclear infrastructure, and Kazakhstan voluntarily gave up the fourth largest nuclear arsenal. The first regional nuclear‑weapons‑free zone in the northern hemisphere borders two nuclear powers - Russia and China - which have already supported the provisions of the new treaty.", "In order to enable the nuclear‑weapons‑free zone to enter into force, the participants of the Treaty will negotiate with the nuclear Powers the text of a protocol to the treaty committing all United Nations Security Council members to respect the non-nuclear status of Central Asia. These obligations include, among others, a provision not to use or threaten to use nuclear weapons against regional States.", "Bearing in mind the close proximity of Central Asia to the regions of proliferation concern, including the Middle East and South Asia, the new arrangement is expected to greatly contribute to enhancing peace and security in Asia. Given the lack of progress in the United Nations and other disarmament forums over the last decade, the Central Asian zone is a bright example of the success of regional aspirations.", "The PRESIDENT: I thank the distinguished Ambassador of Kazakhstan for his statement, and I now give the floor to our new colleague, the Ambassador of Ecuador, Mr. Montalvo Samaniego.", "Mr. MONTALVO SAMANIEGO (Ecuador) (translated from Spanish): As this is the first time I am speaking in this important forum in my capacity as Permanent Representative of Ecuador, I would like to start by expressing my appreciation to you, Mr. President, and all your colleagues in the bureau which is guiding us, and above all for the work done during the course of this year by the six Presidents and the Friends of the Presidents. Their efforts and dedication have made it possible, despite the circumstances of which we are all aware, to take up substantive issues such as, for example, the cessation of the nuclear arms race and nuclear disarmament, prevention of nuclear war, prevention of the arms race in outer space, assurances to non-nuclear-weapon States against the use or threat of use of nuclear weapons, new types of weapons of mass destruction and new systems of such weapons, and also transparency in armaments, among other aspects.", "In this connection my delegation welcomes the openness and flexibility being shown at present by a significant number of countries present here in addressing some aspects of disarmament in a realistic and frank manner after more than nine years of discussions without having managed to come up with a minimum programme of work. Nonetheless, and at the same time, we note with concern the major difficulties that exist in arriving at effective multilateral commitments that would lead to nuclear disarmament, the elimination of weapons of mass destruction and the consolidation of measures that would foster transparency and trust. In other words we note with concern, the absence of a clear resolve to guarantee a more peaceful world with fewer weapons that is non-violent and secure. It is painful and at the same time sad to recognize that the greatest progress was made in disarmament in the past during the cold war. Today we are living in a world that is more heavily armed, one in which States no longer have the monopoly of force, the product of the greater and disturbing presence of new actors on the international arms scene such as terrorist groups, narco terrorists, insurgents and belligerents.", "Along this same line of thought, one is struck by the erroneous nature of most of the predictions made approximately 15 years ago as to what ideally today’s world would be. At the time it was stated that unprecedented possibilities were being opened up for international cooperation, as demonstrated by the effective action of the United Nations; it was felt that peace would bring about the end of the arms race and foster greater development in all regions of the world; it was assumed that the technological revolution would make it possible to solve the most serious problems of poverty, education, health, housing, employment and deterioration of the environment but these predictions did not go far enough. The most extreme such predictions forecast the “end of history”, implying among other things an end to the traditional conflicts among States in a world in which the globalization of liberal democracy and the market economy would leave no room for traditional wars; these would be replaced by new threats posed by nationalisms, religious movements and transnational crime, which could only be tackled and should be tackled through solid and growing multilateral cooperation.", "Ecuador takes this opportunity to reiterate its deep commitment to peace and nurtures the hope that at a given time we will see the fulfilment of minimum international commitments on specific aspects such as the register of military expenditure in bilateral and multilateral forums such as the United Nations and, in our case, the inter-American system; the monitoring and prohibition of the manufacture, possession and use of conventional weapons such as anti‑personnel mines; the monitoring, non-proliferation and destruction of non-conventional weapons, as well as small arms and light weapons; and of course the preservation of zones of peace and zones free from weapons of mass destruction.", "Similarly, my country maintains the unswerving position that the existence of weapons of mass destruction, whether nuclear, chemical or biological, constitutes a serious threat to mankind. For that reason, it condemns all forms of arms race, wherever they may take place, without any distinctions, and fosters action taken at the regional and universal level to strengthen the non-proliferation regime and secure the total elimination of stocks of weapons of mass destruction.", "It is well known, but bears repeating, that Ecuador condemns all forms of international terrorism, including State terrorism. It considers that combating this scourge should be achieved through essentially multilateral police and judicial actions in which cooperation and transparency prevail, in strict compliance with international law and existing human rights norms, and to that end we support the adoption of an international convention in the framework of the United Nations. At all events and in any event, efforts to combat terrorism should be carried out in strict compliance with international law and human rights norms and humanitarian law.", "My delegation thanks the secretariat of the Conference for circulating the draft report to the forthcoming session of the United Nations General Assembly. It is of the view that the document adequately reflects work done during the course of this year and hopes that 2007 will be a year in which the Conference on Disarmament overcomes its stalemate, regains its relevance and begins substantive work leading to a renewed phase of efficiency and concrete results.", "As I conclude, allow me to refer to a great Ecuadorean internationalist, Dr. Luis Bossano, who with great clarity and foresight, decades before the United Nations Charter of 1945, set forth for the world the original proposal for disarmament of the mind. Today as in the past, and perhaps more than ever, we need disarmament of this type, which lies more in the spirits and hearts of men than in strategic assumptions or abstract positions.", "The PRESIDENT: I thank the distinguished Ambassador of Ecuador for his statement and for the kind words addressed to the presidency, to the six Presidents of this year, to the Friends of the Presidents and to the Board. I now give the floor to the distinguished Ambassador of the Russian Federation, Mr. Valery Loshchinin.", "Mr. LOSHCHININ (Russian Federation) (translated from Russian): Russia has unswervingly expressed support in principle for the creation of nuclear-weapon-free zones in various parts of the world as one of the key elements involved in expanding the geographical areas free of nuclear weapons, strengthening the security of non-nuclear-weapon States and consolidating international peace and security. On 8 September in Semipalatinsk representatives of Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan signed a treaty on a nuclear‑weapon-free zone in Central Asia. The treaty was drafted with the active participation of the United Nations in accordance with the principles and guidelines on the establishment of nuclear-weapon-free zones adopted by the United Nations Disarmament Commission in 1999. The establishment of a nuclear-weapon-free zone in Central Asia is an important step designed to strengthen the nuclear non-proliferation regime. We believe that this treaty will help to consolidate peace and stability in the Central Asian region and make a substantial contribution to the fight against international terrorism and efforts to prevent nuclear materials and technology from falling into the hands of non-State actors. The nuclear-weapon-free zone in Central Asia is especially significant to us because that region is close to Russia’s southern borders. Russia consistently supports the policy of the Central Asian States on the establishment of a nuclear-weapon-free zone, and welcomes the signing of the treaty.", "The PRESIDENT: I thank the distinguished Ambassador of the Russian Federation for his statement, and I now give the floor to the distinguished Ambassador of China, Mr. Cheng Jingye.", "Mr. CHENG (China) (translated from Chinese): The Chinese delegation would like to thank the delegation of Kazakhstan for briefing us on the recent signing by the five countries of Central Asia of a treaty on the establishment of a nuclear-weapon-free zone in Central Asia. I would like to set out China’s fundamental position with regard to this matter. China has been steadfast on the issue of nuclear-weapon-free zones: we respect and support the efforts made by the relevant countries and regions pursuant to consultations held among them and their voluntary agreement, based on the actual conditions in those regions, to set up nuclear-weapon-free zones. We believe that the establishment of nuclear-weapon-free zones will be propitious to the prevention of nuclear proliferation, the promotion of nuclear disarmament and the establishment of peace, security and security in the regions concerned.", "China traditionally maintains friendly cooperative relations with the five countries of Central Asia. It sets high store by and actively supports the efforts made by those five countries to establish a Central Asian nuclear-weapon-free zone and welcomes the conclusion and signature by the five countries of the treaty on the establishment of a nuclear-weapon-free zone in Central Asia. China will continue as before to support efforts by countries in other regions to establish nuclear-weapon-free zones.", "The PRESIDENT: I thank the distinguished Ambassador of China for his statement, and I now give the floor to the representative of the Syrian Arab Republic, Mr. Hussein Ali.", "Mr. ALI (Syrian Arab Republic) (translated from Arabic): Since 2004, when the CD was about to adopt a programme of work on the basis of the five Ambassadors’ initiative, some delegations have proposed new subjects for inclusion in the Conference’s agenda. At the time we believed, and we continue to believe, that this was an attempt to divert the Conference from its natural course and, on occasions, to waste the Conference’s time. Fortunately for us, in the past three years, the wisdom of the majority has prevailed and an agenda has been adopted without any amendments. We notice that some delegations have exercised their right to raise certain matters that are not included on the agenda. We have dealt with this issue in a very positive and constructive way, stating our position that there is no general consensus on the discussion of such matters and that the Conference is not the right forum to discuss them. These matters are being discussed in other forums, and the Conference has not yet succeeded in discussing the key items on its own agenda.", "In the past few days, while debating the report of the Conference, it has come to our attention that certain delegations want to give equal treatment to the items on the agenda on which there is consensus and those which have recently been raised by those delegations. We believe that this is going too far, and we categorically reject this. However, if the Conference is going to open the way for discussion of new items, our delegation has raised a number of issues, from our national perspective, which we deem to be extremely important for the work of the Conference. We therefore reiterate our request that the Conference deals with these issues during the remainder of the 2006 session and during the 2007 session. The issues in question are: firstly, ridding the Middle East of all nuclear weapons; secondly, submitting Israeli nuclear installations to comprehensive IAEA safeguards; thirdly, the issue of Israel burying its nuclear waste in the occupied Syrian Golan; fourthly, the fact that certain nuclear-weapon States are providing Israel with the latest military nuclear technology; fifthly, Israel’s use of cluster bombs and other prohibited weapons against Lebanese civilians.", "Allow me to digress somewhat and to express our shock and regret that, in the past few days, the United States Congress rejected a draft resolution submitted by a number of Democrats on restricting the use of cluster bombs close to civilian areas. We find this shocking.", "These are the subjects that we raised earlier and that we submitted to the Conference for discussion. There are also other topics of great relevance to the Conference’s work and which we would like to submit for its consideration. They include the use by American and British forces of depleted uranium during the 2003 invasion of Iraq and the use by American forces of phosphorus bombs in the Iraqi city of Falujah. American forces have already admitted to this.", "In conclusion, although we are convinced that these topics are of great relevance to the agenda, we would prefer the Conference to concentrate on the four core issues on its agenda and to deal with them in a comprehensive and balanced manner in order to adopt a programme of work that takes account of the priorities of us all.", "The PRESIDENT: I thank the distinguished representative of the Syrian Arab Republic for his statement, and I now give the floor to the distinguished representative of Belarus, Mr. Ivan Grinevich.", "Mr. GRINEVICH (Belarus) (translated from Russian): I would like to join other delegations in welcoming the signing in Semipalatinsk of the treaty on the establishment of a nuclear-weapon-free zone in Central Asia.", "The PRESIDENT: I thank the distinguished representative of Belarus for his statement.", "I have no more speakers on my list for today. Does any other delegation wish to take the floor at this stage? That does not seem to be the case.", "This concludes, then, our plenary meeting. As announced yesterday, the meeting will be followed in 10 minutes by an informal plenary meeting during which we will continue the consideration of the draft report of this year’s session of the Conference.", "The meeting rose at 11.55 a.m." ]

[ "Held at the Palais des Nations, Geneva,", "Held at the Palais des Nations, Geneva, on Tuesday, 12 September 2006, at 10.25 a.m.", "Chairman: Mr. An East Pope (Slovakia)", "The President: I declare open the 1042nd plenary meeting of the Conference on Disarmament.", "Today's plenary meeting is the following speakers: Ambassador Kailat Abustoov of Kazakhstan; Ambassador Muricio Mottarvo Samanego, Ambassador of the Russian Federation; and Ambassador Valari Loshein, China.", "Before giving the floor to speakers, I would like to extend a warm welcome to our new colleague, Ambassador Mothtarvo Samanigo, on behalf of the CD.", "I now give the floor to the Ambassador of Kazakhstan.", "Mr. Abu Sov (Kazakhstan): Mr. President, the Minister for Foreign Affairs of Kazakhstan, Kyrgyzstan and Uzbekistan, the First Vice-Minister for Foreign Affairs of Tajikistan and the Ambassador of Turkmenistan to Kazakhstan signed a nuclear-weapon-free zone in Central Asia on 8 September. I understand that the statements of ministers have been circulated.", "The signing ceremony was held in Semipalatinsk-Kazakhan province, where he was known as the nuclear test site of the Soviet Union. The decision to hold a ceremony in Semipalatinsk was very symbolic in all participating States.", "The concept of a nuclear-weapon-free zone in Central Asia can be traced to the official proposal made by Uzbekistan in 1993 at the United Nations General Assembly. The key steps taken by the President of the five countries of Central Asia in the Almaty Declaration of 1997. The General Assembly adopted a number of resolutions supporting the Central Asian Initiative.", "The agreement is the result of the work of regional experts for nine years, which expressly prohibits the production, acquisition and deployment of nuclear weapons and their components or other nuclear explosive devices in Central Asia.", "The countries of the region reaffirmed their commitment to the principles of disarmament and non-proliferation through the signing of treaties. We hope that the Central Asian Nuclear-Weapon-Free Zone will contribute to global efforts to promote disarmament priorities. It is also a major contribution to the international fight against terrorism, the prevention of nuclear material and technology into global efforts by terrorist organizations and non-State actors. The Treaty is undoubtedly an important step towards developing the peaceful uses of nuclear energy and restoring the environment in contaminated areas.", "A unique feature of the Central Asian Initiative is that all participating States have part of the former Soviet nuclear infrastructure, and Kazakhstan voluntarily renounces its fourth largest nuclear arsenals. The first regional nuclear-weapon-free zone in the North Hemispheric contiguous with two nuclear Powers in Russia and China, which have expressed support for the provisions of the new treaty.", "For nuclear-weapon-free zones to enter into force, the participating States of the Treaty will negotiate a treaty protocol with the nuclear Powers to commit all United Nations Security Council members to respect the nuclear status of Central Asia. These obligations include, inter alia, the non-use or threat of use of nuclear weapons against States in the region.", "Given the proximity of Central Asia to regions of concern for proliferation, including the Middle East and South Asia, new arrangements are expected to contribute significantly to strengthening peace and security in Asia. As the United Nations and other disarmament forums have made no progress over the past decade, the nuclear-weapon-free zone in Central Asia is a good example of the region's desire for success.", "The President: I thank the Ambassador of Kazakhstan for his statement and I now invite our new colleague, Mr. Motatarvo Samanigo, Ambassador of Ecuador.", "Mr. Mothtarvo Samañez (Ecuador): As this is the first time I address in this important forum in my capacity as Permanent Representative of Ecuador, I would like to start by giving you, Mr. President, and all your colleagues in the Bureau our appreciation for the work that you have done during this year, in particular by the six President and the Friends of the Chair. Despite the fact that I know it is difficult to deal with substantive issues such as the cessation of the nuclear arms race and nuclear disarmament, the prevention of nuclear war, the prevention of an arms race in outer space, assurances of non-nuclear-weapon States against the use or threat of use of nuclear weapons, new systems of weapons of mass destruction and such weapons, and transparency in armaments.", "In that regard, my delegation welcomes the openness and flexibility shown here in many countries to deal with certain aspects of disarmament in a real and candid manner, despite the fact that more than nine years of discussions have not been able to set the minimum programme of work. At the same time, however, we note with concern that effective multilateral commitments that can lead to nuclear disarmament, the elimination of weapons of mass destruction and the promotion of transparency and trust remain significant. In other words, we note with concern that there is no clear and firm determination to guarantee a world of peace that is less weapons, violence and security. Recognizing that the greatest progress made in past disarmament has been in the cold war period, it is truly sad and sad. Today, we live in a world of more armed forces and no national monopoly on armed forces, as there are more and worrying new actors on the international arms scene, such as terrorist groups, drug trafficking terrorist groups, rebel groups and warring parties.", "In line with that mind, we cannot fail to note how much of the world today, which is about 15 years ago, is how wrong. At that time, it was said that effective United Nations action showed that the door of international cooperation was unprecedented; it was felt that peace would stop the arms race and promote greater development in all regions of the world; it was assumed that the technological revolution would address the most severe poverty, education, health, housing, employment and environmental degradation, although these projections were not sufficient. The most speculation is the “lasting history”, which means, inter alia, that traditional inter-State conflicts do not happen again because they do not have the possibility of traditional wars in a world of free democracy and market economic globalization; they are replaced by nationalism, religious movements and transnational crime, which can only and should be addressed through genuine and growing multilateral cooperation.", "Ecuador takes this opportunity to reaffirm its dedication to peace and hope that the minimum international commitment in certain areas is fulfilled on a day, such as the registration of military expenditures in bilateral and multilateral forums such as the United Nations and our Inter-American System; the monitoring and prohibition of the manufacture, possession and use of conventional arms such as anti-personnel mines; monitoring, non-proliferation and destruction of non-conventional weapons and small arms and light weapons; and, of course, the protection of the zone of peace and weapons of mass destruction.", "Similarly, my country maintains the firm position that the existence of weapons of mass destruction, whether nuclear, chemical or biological, is a serious threat to humanity. To that end, my country condemns without distinction all forms of arms race, wherever it is happening, and promotes actions at the regional and world levels to strengthen the non-proliferation regime and to achieve the full elimination of weapons of mass destruction stockpiles.", "It is well known, but it can be repeated to condemn all forms of international terrorism, including national terrorism. My country believes that counter-terrorism should be achieved essentially through multilateral police and judicial actions, namely, the need for cooperation and transparency, strict compliance with international law and existing human rights norms, and we support the adoption of an international convention within the framework of the United Nations. In any event, counter-terrorism should strictly observe international law, human rights norms and humanitarian law.", "My delegation is grateful to the Secretariat of the CD for having circulated the draft report to the next session of the General Assembly. It considered that the document properly reflected the work carried out during the year and expressed the hope that the Conference on Disarmament would overcome the deadlock, its relevance and begin its substantive work in 2007 in order to enter a new stage of efficiency and concrete results.", "Finally, I would like to mention Dr. Luis Bosano, a great Ecuadorian internationalist, who is far from seeing his vision and making a unique proposal for rational disarmament to the world for decades before the Charter of the United Nations of 1945. Today, as in the past, may be more so than in the past, and we need this type of disarmament, depending more on the human minds than on strategic assumptions or abstract positions.", "The President: I thank the distinguished Ambassador of Ecuador for his statement and for his kind words addressed to the President, the six Presidents this year, the Friends of the Chair and the Bureau. I now give the floor to the distinguished Ambassador of the Russian Federation, Mr. Vády Lashiin.", "Mr. Lashiin (Russian Federation): Russia has firmly expressed its support in principle for the establishment of nuclear-weapon-free zones around the world, as one of the key elements of the expansion of the nuclear-weapon-free geographical area and strengthening the security of non-nuclear-weapon States and consolidating international peace and security. On 8 September, representatives of Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan signed the Central Asian Nuclear-Weapon-Free Zone Treaty in Semipalatinsk. The Treaty was developed in accordance with the principles and guidelines on the establishment of nuclear-weapon-free zones adopted by the United Nations Conference on Disarmament in 1999. The establishment of a nuclear-weapon-free zone in Central Asia is an important step towards strengthening the nuclear non-proliferation regime. We are convinced that this Treaty will help to consolidate peace and stability in Central Asia and make a significant contribution to the fight against international terrorism and to efforts to prevent nuclear material and technology from falling into the hands of non-State actors. The Central Asian Nuclear-Weapon-Free Zone is of particular importance to us because the region is close to the southern Russian border. Russia has consistently supported the policy of establishing a nuclear-weapon-free zone in Central Asian States and welcomed the signing of the Treaty.", "The President: I thank the distinguished Ambassador of the Russian Federation for his statement and now invite the distinguished Ambassador of China to make a statement.", "Mr. Live (China) (spoke in Chinese): The Chinese delegation wishes to thank the delegation of Kazakhstan for its briefing on the signing of the Central Asian Nuclear-Weapon-Free Zone Treaty near five countries. I would like to elaborate on this principled position. China's position on nuclear-weapon-free zones is consistent, and we respect and support the efforts of the countries and regions concerned to establish nuclear-weapon-free zones on the basis of their voluntary agreements based on the realities of the region. We believe that the establishment of nuclear-weapon-free zones is conducive to preventing the proliferation of nuclear weapons, promoting nuclear disarmament processes and promoting peace, security and stability in the region concerned.", "China has a traditional and friendly relationship with five Central Asian countries. China highly evaluated and actively supported the efforts of the five Central Asian States to establish a nuclear-weapon-free zone in Central Asia. We welcome the establishment and signing of the Central Asian Nuclear-Weapon-Free Zone Treaty. China will also support, as always, the efforts of other States to establish nuclear-weapon-free zones.", "The President: I thank the distinguished Ambassador of China for his statement, and I now give the floor to the representative of the Syrian Arab Republic, Mr. Saida Ali.", "Mr. Ali (Syrian Arab Republic): Since the adoption of the programme of work by the Conference in 2004, on the basis of the initiative of the five ambassadors, some delegations have proposed new themes for inclusion in the agenda of the Conference. At that time, we trust and continue to believe that this is an attempt to prevent the CD from doing what it should do and, in some cases, waste the time of the CD. We are fortunate that in the past three years the wisdom of most has finally been won and the agenda has been adopted without change. We note the exercise by some delegations of the right to raise a number of issues not included in the agenda. We have dealt with this issue in a positive and recommended manner, while demonstrating our position; there is no general consensus to discuss those issues and that the Conference is not discussing such issues and appropriate places. These issues are being discussed in other forums and the Conference has not been able to discuss key items on its agenda.", "In the past few days, when we debate the report of the CD, we note that some delegations wish to discuss the items on which consensus has been reached and the issues raised by those delegations have recently raised. We believe that this is too disproportionate and we cannot accept. However, if the CD is to discuss new projects, my delegation has raised some of the issues that my country considers to be extremely important for the work of the CD. We therefore reiterate our call on the CD to address these issues during the remainder of its 2006 session and during its 2007 session. The question is: first, all nuclear weapons removed from the Middle East; secondly, Israel's nuclear facilities are subject to comprehensive IAEA safeguards; thirdly, Israel has buried nuclear waste in the occupied Syrian Golan; fourthly, certain nuclear-weapon States have made up-to-date military nuclear technology available to Israel; and fifthly, Israel has used cluster bombs and other prohibited weapons against Lebanese civilians.", "I would like to make a slight departure from the subject of alarm and regret that: Over the past few days, the United States Congress vetoed a number of draft resolutions submitted by some Democratists on limiting the use of cluster bombs near civilian areas. We believe that this is alarming.", "These are issues that were previously raised and presented to the CD. There are other issues that are extremely relevant to the work of the CD and we want to submit for its consideration. This includes the use of depleted uranium by United States and British forces in the invasion of Iraq in 2003 and the use of phosphorus burning by United States forces in the city of Fluj. These facts have been acknowledged by United States forces.", "Finally, despite our conviction that the above-mentioned issue is of great relevance to the agenda, we hope that the CD will focus on four core issues on its agenda and address them in a comprehensive and balanced manner in order to adopt a programme of work that takes into account the priorities of all of us.", "The President: I thank the distinguished representative of the Syrian Arab Republic for his statement, and I now give the floor to the distinguished representative of Belarus, Mr. Ivan Guriñović.", "Mr. Gridniović (Belarus): I would like to join other delegations in welcoming the signing of the Central Asian Nuclear-Weapon-Free Zone Treaty in Semipalatinsk.", "The President: I thank the distinguished representative of Belarus for his statement.", "The statement on the list of speakers for today is as follows. Does any other delegation wish to make the floor? There appears to be no.", "The present plenary meeting was thus closed. As announced yesterday, informal plenary meetings will be held at 10 a.m. after the conclusion of the Conference to continue consideration of the draft report of the current annual session of the Conference.", "The meeting rose at 11.55 a.m." ]

[ "第一〇四三次全体会议最后记录", "2006年9月14日星期四上午10时30分", "在日内瓦万国宫举行", "主 席：安东·平特先生(斯洛伐克)", "主席：我宣布裁军谈判会议第1043次全体会议开幕。", "我代表本会议和我本人，热烈欢迎日本众议院议长河野洋平先生阁下。", "河野先生在日本政府中的工作成就卓著，今天他将第一个发言。现在请日本众议院议长河野洋平先生发言。", "河野先生(日本)：今天是个吉日良晨，是2006年的最后一届全体会议，因此首先请允许我由衷地感谢各位让我在这个时候发言。作为众议院议长，国会在开会时我是不能出国的。我是国会休会之际，借参加圣彼得堡“八国集团议长会议”之前的机会访问日内瓦的。我多年来一直在积极参加裁军问题、特别是核裁军问题的工作，目前担任25年前成立的日本议员促进国际裁军协会主席。因此，我说今天能向各位裁军谈判会议的代表发言，真是荣幸之至，这并不是信口开河。", "在改变人的生活和城乡面貌方面，十八、十九世纪的工业革命是人类历史上的一个最大的转折点。然而，说到对人类生存的影响，二十世纪中叶研制出核武器，其影响的深远性，不亚于工业革命。", "这种非人道的武器，破坏力极其强大，而不幸的是直接用在了我的祖国的两个城市(广岛和长崎)上，爆炸距今已很久，但幸存者仍在遭受放射性疾病之苦。这两次原子弹爆炸，四个月内死者有214,000人，即使是现在，许多人也必须忍受可怖的后效。此外，幸存者的后裔也生活在恐惧中，担心潜在的后效。尽管这样，到目前为止，各国政府仍然未能克服和遏制核武器这个威胁人类生存的东西的存在。", "要一下子消除核武器，显然困难重重，因此国际社会退而求其次，构筑《核不扩散条约》制度，该条约于36年前的1970年生效。作为国际不扩散制度的一个主要支柱，《不扩散条约》对维持和平与安全作出了巨大的贡献。该制度能在这点上有所成就，是因为核武国保证就核裁军开展诚意谈判，无核武国同意放弃研制核武器，并获得在国际视察下和平利用核能源的保障。", "然而遗憾的是，近年来，《不扩散条约》受到严重动摇。原因是什么？原因之一，是核武国的核裁军努力不仅成就不足，而且似乎还有一种趋势，即以核武器要挟，迫使对手就范。要提高对核不扩散制度的信任，就必须恪守核武国为开展裁军努力、无核武国为不研制核武器而议定的承诺。", "我也知道，有些国家对这个制度深为不满，因为它承认有些国家是核武国，而另一些国家则不是。甚至在日本也有所谓的“鹰派人士”强烈反对批准《不扩散条约》。如果我们单以主权平等概念为重，那么这也是一条理由。", "但对日本人来说，这使人想起二十世纪初太平洋海军裁军问题。当时，日本是一个年轻的新兴国家，但对其海军吨位的规定远低于美英，引起舆论大哗。这是日本退出国际合作体系，最后走上战争道路的原因之一。结果，这场战争不仅使邻国，而且也使我们本国损失巨大，苦难深重—数百万人丧生，包括两座美丽的历史名城被原子弹毁于一旦。", "强烈诉求主权平等的国家的想法，我们是可以理解的。然而，单纯地追求强权，决不是明智之道。其实，我认为无核武国应该走这样的道路：力促核武国履行它们对核裁军的承诺，同时恪守《不扩散条约》制度。", "日本人民直接面对广岛和长崎的现实，知道在核袭击下人民要忍受什么样的苦难。但是，60年过去了，各国领导人，包括核武国的领导人已换代，不了解核武器带来的可怕毁灭的人越来越多。", "我们必须立志通过各种途径将原子弹爆炸的这种悲惨现实转达给全世界的后代。我获悉，负责裁军谈判的许多外交官都访问过广岛和长崎，包括通过参加裁军研究金方案。我希望各位通过这次访问经历，认识到裁军问题不只是在数量上做文章，而是事关人类生存，或者是造成还是避免给人民带来巨大痛苦的问题。", "国际社会长期来一直在关注裁军谈判会议瘫痪的问题。但是，今年在六主席倡议下，我们注意到裁谈会在许多问题上开展了实质性讨论，包括关于裂变材料禁产条约的讨论。重点辩论的结果给我们带来了一定程度的乐观。在欢迎这种乐观情绪的同时，我强烈希望会因此而采取进一步的行动。我希望各位克服过去那种往后看、用联系阻碍进展的情况，为今后的积极发展循环扫清道路，使各个议程项目能够按其成熟程度取得进展。", "特别是，我们认为美国就裂变材料禁产条约提出的建议很有建设性意义。这是1995年《不扩散条约》审议和延期大会在“核不扩散和裁军的原则和目标”中议定的条约，作为落实《全面禁试条约》的一项多边裁军和不扩散措施。当时我作为日本外务大臣参加了这次会议。国际社会真诚渴望立即开始关于裂变材料禁产条约的谈判，这种想法越来越强烈。", "当然，就目前的条约草案本身，各国有不同的想法，但这些分歧应该在谈判中，通过交换意见和想法予以解决。为了抓住今年届会上产生的势头，在明年的届会上开始实际谈判，我希望各国尽全力达成协商一致，甚至在今年正式届会结束后就这样做。", "昨天，我有机会参观了日内瓦艺术和历史博物馆，玻璃柜内陈列着许多炮弹、手枪和刺刀，玻璃柜都上了锁。我希望全世界的所有核武器能尽早像这样储藏到上锁的玻璃柜内。", "我刚从政时，读过一本关于鼓掌的书。裁谈会内不需要鼓掌。要鼓掌，必须先开展实质性谈判。", "最后我想说，全世界都在观望，期待裁军谈判会议明年取得卓著的成就。", "主席：聆听了日本众议院议长的发言后，我要欢迎裁军谈判会议的一名新同事，美利坚合众国的克里斯蒂娜·罗卡大使。", "罗卡大使已经卓有成就，她的经验丰富，专业见解独到，肯定能大大推动本机构的工作。我要向她保证我们将全力合作。", "现在请罗卡大使发言。", "罗卡女士(美利坚合众国)：很荣幸到这里，很高兴与各位在一起。我来到这里，既出于个人的信念，也由于我国致力于复兴裁谈会。", "如各位所知，我国助理国务卿拉德梅克去年五月来日内瓦提出了一项裂变材料禁产条约，明确表明了这项承诺。他希望我们能在本届会议结束之前完成谈判。显然，这个愿望没有实现。但是，裁谈会今年的工作为我们取得进展奠定了基础。我们今年通过六主席进程取得了很大的进展，我们正在朝着开展认真谈判的共同目标前进。美国将继续与各位一起开展建设性的工作，尽快以协商一致的方式通过提交联合国的最后报告，我期望与各位一起努力，使裁谈会保持其相关性，并继续加强今年开始的势头。", "主席：感谢你作的简短发言，现在请阿拉伯叙利亚共和国发言。", "阿里先生(阿拉伯叙利亚共和国)：主席先生，首先请允许我和你一起欢迎美利坚合众国驻裁军谈判会议大使阁下，并祝愿她的工作圆满成功。", "有些代表团，包括我国代表团，在以往的各届会议上谈到过以色列军队对黎巴嫩平民使用集束炸弹和磷弹的问题。每一天我们都得悉许多非常严重的事实。我现在不去一一列举，只是想朗读以色列记者Meron Rappapont2006年9月12日在《国土报》上登载的一篇文章的一些节选。这位记者写道：", "“‘我们的所作所为失去了理智，凶狠残暴，集束炸弹投遍村村镇镇，’在战争期间使用集束炸弹和磷弹的问题上，所谓的以色列国防军驻黎巴嫩火箭炮分队队长引用他们营长的话说，‘以色列军队发射了约800枚集束炸弹，其中有120万多枚集束子炸弹’。以色列军队的炮兵也确认军队在战争中使用国际法普遍禁止的磷弹。据他们说，上述炸弹绝大多数是在战争最后10天发射的。火箭炮分队队长说，尽管都知道多管火箭炮系统平台很不精确，但仍被大量使用。多管火箭炮系统是一种履带式或轮式机动火箭发射台，能发射大量基本上是无制导的弹药。该平台发射的基准火箭没有制导，精度很差，射程约32公里。火箭能在预设的高度爆炸，释放子弹药，用较少量的炸弹地毯式地覆盖地面的敌军和人员。这种武器的使用是有争议的，它不精确，能大面积地对地面上的不确定目标带来严重破坏，误差率可以偏离预定目标1200米。”", "以色列记者在文章中还说：", "“联合国认为，在黎巴嫩，以色列军队发射的集束炸弹约40%没有着发，成为未爆炸弹药留在地面，实际上是在大地上撒了成千上万的地雷，在战争过后很长一段时间仍将造成伤亡。由于哑弹率高，据认为在黎巴嫩地面上约有50万枚、我再说一遍50万枚未爆炸弹药。”", "该以色列记者还说：", "“分队长承认看见装载着磷弹的卡车开往以色列北部的炮兵阵地。如果被磷弹击中，通常会造成严重烧伤，缓慢痛苦地死亡。国际法禁止使用造成过度伤害和不必要痛苦的武器，许多专家认为磷弹直接属于这一类。国际红十字会确认国际法禁止对有人的地点，不管是民用的还是军用的有人地点使用磷弹和其他燃烧弹。”", "以色列《国土报》的文章引述到此。", "鉴于这个问题的重要性，叙利亚驻日内瓦代表团代办通过会议秘书处致函给你，要求在题为“军备透明”的议程项目7之下讨论这一问题。我国代表团要求将该函作为会议正式文件分发。因此，该文件应自然被列入2006年的会议报告。", "主席：感谢尊敬的叙利亚代表的发言。", "没有人再要求发言了。还有代表团想在本阶段发言吗？好像是没有了。", "这次全体会议到此结束。如昨天宣布的，这次会议后10分钟将举行一次非正式全体会议，继续审议会议报告草稿。", "全体会议现在休会，但我要告诉大家一个消息，我希望各位都在等待这个消息。秘书处现在要分发仍未审议的段落汇编，在非正式全体会议开始作讨论。因此请大家留在自己的座位上等待文件分发，以便能熟悉未审议的段落案文。", "上午10时55分散会" ]

[ "CONFERENCE ON DISARMAMENT CD/PV.1043 14 September 2006 \n ENGLISH", "FINAL RECORD OF THE ONE THOUSAND AND FORTY-THIRD PLENARY MEETING", "Held at the Palais des Nations, Geneva,", "on Thursday, 14 September 2006, at 10.30 a.m.", "President: Mr. Anton PINTER (Slovakia)", "GE.06-64313 (E) 311006 221106", "The PRESIDENT: I declare open the 1043rd plenary meeting of the Conference on Disarmament.", "On behalf of the Conference and on my own behalf, I would like to extend a warm welcome to His Excellency Mr. Yohei Kono, Speaker of the House of Representatives of Japan.", "Mr. Kono has had a distinguished career within his country’s Government, and he will be our first speaker for today. I now invite the Speaker of the House of Representatives of Japan, Mr. Yohei Kono, to address the Conference.", "Mr. KONO (Japan): At the outset, let me offer my heartfelt thanks to all of you for allowing me to speak on this auspicious day, the last formal plenary session for 2006. As the Speaker of the House of Representatives I cannot go abroad while the Diet is still in session. On this occasion, while the Diet is out of session, I have seized the opportunity to visit Geneva before attending the “G-8 Parliamentary Speakers’ Meeting” in St. Petersburg. I have been actively engaged in disarmament issues, in particular nuclear disarmament, for many years, and I currently chair the Association for the Promotion of International Disarmament of Japanese parliamentarians, which was established 25 years ago. Therefore, these are not empty words when I say what an incredible honour it is to be addressing you today, delegates to the Conference on Disarmament.", "In terms of transforming the lives of people and changing the appearance of cities and rural communities alike, the industrial revolution of the eighteenth and nineteenth centuries was the greatest turning point in the history of the human race. Nevertheless, when we speak of impact on human survival, the development of nuclear weapons in the mid-twentieth century was no less profound than the industrial revolution.", "This inhumane weapon of enormous destructive power, which continues to cause suffering to its survivors through radiation sickness long after the blast, was unfortunately used directly on two cities of my homeland\n within four months, and even now many must endure the horrible after-effects. Furthermore, the offspring of survivors must also live in constant fear of potential after-effects. Despite this, governments to date have been unsuccessful at overcoming and containing the existence of nuclear weapons, a threat to human survival.", "With the prospects of eliminating nuclear weapons clearly a difficult task to achieve in one step, the international community opted for the second best policy of constructing the Nuclear Non-Proliferation Treaty regime, which entered into force 36 years ago in 1970. As the main pillar of the international non-proliferation regime, the NPT has contributed greatly to the maintenance of peace and security. This has been achieved through this regime, in which the nuclear-weapon States (NWS) undertake to pursue negotiations in good faith on nuclear disarmament, while the non-nuclear-weapon States (NNWS) agree to forgo the development of nuclear weapons and are guaranteed the peaceful uses of nuclear energy under international inspections.", "And yet, in recent years the NPT regime has regrettably been seriously shaken. What has been the cause of this? One such cause is that not only are the results of nuclear disarmament efforts by the nuclear-weapon States insufficient, but it would appear there is movement towards forcing opponents into submission through threats aided by nuclear weapons. In order to increase confidence in the nuclear non-proliferation regime, the undertaking agreed to by the nuclear-weapon States to pursue disarmament efforts and by the non-nuclear-weapon States not to develop nuclear weapons must be strictly upheld.", "I understand there is deep-rooted disagreement in some States for this regime, which recognizes some countries as nuclear-weapon States while the others are not. Even in Japan there was strong opposition from so-called “hawks” to the ratification of the NPT, and if we focus solely on the notion of sovereign equality, then there will be a case for this.", "However, for the Japanese, this brings to mind the Pacific naval disarmament issue of the early twentieth century. At the time public opinion in the young emerging nation of Japan was on the boil as to why Japanese naval tonnage was set considerably less than that of the United States and Britain. This was one factor contributing to Japan’s withdrawal from the international cooperative system and eventually to its path to war. As a consequence, this war caused tremendous damage and suffering in neighbouring countries and also in our country - millions of deaths including the nuclear destruction of two beautiful historic cities.", "The sentiment behind the countries who strongly appeal to sovereign equality is not beyond our comprehension. Nonetheless, the mere pursuit of power is never a prudent path to travel. Rather, I believe that the non-nuclear-weapon States should embark on a path to strongly urge the nuclear-weapon States to implement their undertakings towards nuclear disarmament while strictly complying with the NPT regime.", "The people of Japan, through direct confrontation of the reality of Hiroshima and Nagasaki, know what kind of hardship the people must endure under a nuclear attack. However, the passage of 60 years has brought about a generational change in the leaders of countries, including nuclear-weapon States, and an increasing number of people are unaware of the terrible devastation generated by nuclear weapons.", "We must be determined to pass down by all means this tragic reality of atomic bombings to the next generation in the world. I have been informed that many diplomats responsible for disarmament negotiations here have already visited Hiroshima and Nagasaki, including through participation in the Disarmament Fellowship Programme. I hope that you have come away from this experience with a recognition that disarmament issues are not merely about manipulating numbers, but about the existence of humanity, or about whether to cause or avert incredible pain and anguish to people.", "The international community has long been concerned about the paralysis of the Conference on Disarmament. However, this year, under the P-6 initiative, it has come to our attention that the CD has held substantive discussions on many varied issues, including a fissile", "material cut-off treaty. The results of focused debates have given us a certain amount of optimism. While welcoming this mood, I strongly desire that this will lead to further action. I hope that you will overcome the past, backward-looking situation of preventing progress through linkages and clear the way for a future circle of positive growth in which each agenda item is advanced according to its ripeness.", "In particular, we believe that the proposal put forward by the United States on an FMCT has constructive significance. This is a treaty that was agreed to in the “Principles and objectives for nuclear non-proliferation and disarmament” at the 1995 NPT Review and Extension Conference, which I attended as the Foreign Minister of Japan, as a multilateral disarmament and non-proliferation measure to follow the Comprehensive Test-Ban Treaty. The international community has earnestly craved for the immediate commencement of negotiations on an FMCT, and those feelings are intensifying.", "Of course, countries have differing views concerning the draft treaty itself in its current state, but these differences should be resolved in negotiations through an exchange of ideas and thoughts. In order to seize the momentum given birth to during this year’s session and start actual negotiations in the new session next year, I hope that each country makes their utmost efforts to build consensus, even after the end of this year’s formal session.", "Yesterday, I had a chance to visit the Museum of Art and History in Geneva, where many artillery shells, pistols and swords are displayed in locked glass cases. I am hopeful that all the nuclear weapons in the entire world will be similarly stored in locked glass cases at the earliest possible date.", "When I first became a politician, I read a book about hand-clapping. There is no need for clapping in the CD. Before clapping, it is important to engage in substantive negotiations.", "Finally, I would like to conclude by saying that the world is watching and anticipates momentous results next year from the Conference on Disarmament.", "The PRESIDENT: After listening to the address of the Speaker of the House of Representatives of Japan, I would like to welcome a new colleague to the Conference on Disarmament, Ambassador Christina Rocca of the United States of America.", "Ambassador Rocca has already had a distinguished career, and I am sure that her experience and professional insight will be a major catalyst for the work of this body. I wish to assure her of our entire cooperation.", "I now give the floor to Ambassador Rocca.", "Ms. ROCCA (United States of America): It is an honour to be here, and I am delighted to be amongst you. I am here out of a sense of personal conviction and national dedication to the revival of this institution.", "As you know, this commitment was clearly demonstrated when our Assistant Secretary Rademaker came to Geneva to table an FMCT last May. He expressed the hope that we could complete negotiation by the end of this session. Clearly, that has not materialized. However, the CD work this year has built the foundation from which we can all move forward. We have made a lot of progress this year through the P-6 process, and we are moving towards our common goal of getting down to serious negotiation. The United States will continue to work with you in a constructive manner for the swift adoption, by consensus, of the final report to the United Nations, and I look forward to working with all of you to keep the CD relevant and to continue to build on the momentum begun this year.", "The PRESIDENT: I thank you for your brief remarks, and I now recognize the Syrian Arab Republic.", "Mr. ALI (Syrian Arab Republic) (translated from Arabic): Mr. President, allow me at the outset to join you in welcoming Her Excellency the Ambassador of the United States of America to the Conference on Disarmament and to wish her every success in her work.", "Some delegations, including my own, have spoken at previous sessions about the use of cluster bombs and phosphorus shells by the army of Israel against Lebanese civilians. With each passing day, we are learning many very grave facts. I am not going to enumerate them now, but will simply read some excerpts from an article written by the Israeli journalist Meron Rappapont in the Haaretz newspaper on 12 September 2006. The journalist wrote:", "(continued in English)", "“‘What we did was insane and monstrous. We covered entire towns in cluster bombs.’ The head of the so-called IDF rocket unit in Lebanon said, regarding the use of cluster bombs and phosphorus shells during the war, quoting his battalion commander, that ‘the Israeli army fired around 800 cluster bombs containing over 1.2 million cluster bomblets’. In addition, soldiers in the Israeli army artillery units certified that the army used phosphorus shells during the war, widely forbidden by international law. According to their claim, the vast majority of said explosive ordnance was fired in the final 10 days of the war. The rocket unit commander stated that multiple-launch rocket system (MLRS) platforms were heavily used in spite of the fact that they were known to be highly inaccurate. MLRS is a track or tyre-carried mobile rocket-launching platform capable of firing a very high volume of mostly unguided munitions. The basic rocket fired by the platform is unguided and imprecise, with a range of about 32 kilometres. The rockets are designed to burst into submunitions at a planned altitude in order to blanket enemy army and personnel on the ground with smaller explosive rounds. The use of such weaponry is controversial, mainly due to its inaccuracy and ability to wreak great havoc against undetermined targets over large areas of territory, with a margin of error as much as 1,200 metres from the intended target to the area hit.”", "(continued in Arabic)", "The Israeli journalist adds, in his article:", "(continued in English)", "“The cluster bombs which do not detonate on impact - believed by the United Nations to be around 40 per cent of those fired by the Israeli army in Lebanon ‑ remain on the ground as unexploded munitions, effectively littering the landscape with thousands of landmines which will continue to claim victims long after the war. Because of their high level of failure to detonate, it is believed that there are around 500,000 - I repeat, 500,000 - unexploded munitions on the ground in Lebanon.”", "(continued in Arabic)", "The Israeli journalist added:", "(continued in English)", "“The commander had admitted to seeing trucks loaded with phosphorus rounds on their way to artillery groups in the north of Israel. A direct hit from a phosphorus shell typically causes severe burns and a slow, painful death. International law forbids the use of weapons that cause excessive injury and unnecessary suffering, and many experts are of the opinion that phosphorus rounds fall directly in that category. The International Red Cross has determined that international law forbids the use of phosphorus and other types of flammable rounds against personnel posts, civilian and military.”", "(continued in Arabic)", "Thus ends the quote from the article in the Israeli Haaretz newspaper.", "Given the importance of this subject, the Chargé d’Affaires of the Syrian Mission here in Geneva has sent you a letter through the Conference secretariat requesting that the issue be discussed under item 7 of our agenda, entitled “Transparency in armaments”. Our delegation requests that this letter be circulated as an official document of the Conference. Naturally, this document should therefore be included in the Conference’s report for 2006.", "The PRESIDENT: I thank the distinguished delegate of Syria for his statement.", "There are no more requests for the floor. Does any delegation wish to take the floor at this stage? That does not seem to be the case.", "This concludes our plenary meeting. As announced yesterday, this meeting will be followed in 10 minutes’ time by an informal plenary meeting during which we will continue the consideration of the Conference’s draft report.", "This plenary meeting is adjourned, but I would like to provide you with a piece of information, which I hope all of you are waiting for. The secretariat will now distribute the compilation of the paragraphs which are still outstanding and which we will start to discuss during the informal plenary meeting. So please wait in your seat for the text so that you can familiarize yourself with the outstanding texts of the paragraphs.", "The meeting rose at 10.55 a.m." ]

[ "Held at the Palais des Nations, Geneva,", "Thursday, 14 September 2006, at 10.30 a.m.", "Held at the Palais des Nations, Geneva", "Chairman: Mr. An East Pope (Slovakia)", "The President: I declare open the 1043th plenary meeting of the Conference on Disarmament.", "On behalf of the Conference and I myself, I extend a warm welcome to His Excellency Mr. Yukioi, President of the Japanese Chamber of Deputies.", "Mr. Hanoi's achievements in the Government of Japan, and he will be the first speaker today. I now give the floor to Mr. Hanoi, President of the Japanese Chamber of Deputies.", "Mr. Hanoi (Japan): This morning is the last plenary meeting in 2006, and let me begin by thanking you for this time. As the Speaker of the House of Representatives, I cannot leave the country when I meet. On the occasion of the adjournment of the National Assembly, I took the opportunity to visit Geneva before the meeting of the Speaker of the Group of Eight in St. Peterburg. I have been actively participating in the work on disarmament, in particular nuclear disarmament, and are currently President of the Japanese parliamentarians established 25 years ago to promote international disarmament. I therefore say that today we can make a statement to the Conference on Disarmament and that it is indeed an honour to do so, and that this is not a sign of the opening.", "In terms of changing human lives and urban and rural landscapes, the industrial revolution of the eighteenth and nineteenth centuries is a major turning point in human history. However, it was said that in the twenty-first century, nuclear weapons were developed and their effects were far-reaching and not an industrial revolution.", "This inhumane weapons have been devastating, and unfortunately are used directly in two cities in my ancestral country, Hiroshima and Nagasaki, which have been long, but survivors are still suffering from radioactive diseases. These two bullets were explosions, with 214,000 deaths in four months, even now, and many people must end the horrible aftermath. In addition, the descendants of survivors are also living in fear, fearing potential gains. Despite that, to date, Governments have not been able to overcome and curb the presence of nuclear weapons as a threat to human survival.", "It is clear that the elimination of nuclear weapons is a serious problem and that the international community has asked for its second time to build the nuclear Non-Proliferation Treaty regime, which entered into force in 1970 36 years ago. As a key pillar of the international non-proliferation regime, the NPT has made a great contribution to maintaining peace and security. This system can be achieved at this point because the nuclear-weapon States have pledged to negotiate in good faith on nuclear disarmament, without the consent of the nuclear-weapon States to renounce the development of nuclear weapons and to secure the peaceful uses of nuclear energy sources under international inspections.", "Regrettably, however, in recent years the NPT has been severely slackened. What is the reason why? For one reason, nuclear disarmament efforts in the nuclear-weapon State are not only inadequate, but there appears to be a trend that is, in the possession of nuclear weapons, forced to serve as a paradigm. In order to increase confidence in the nuclear non-proliferation regime, it is important to adhere to the commitments agreed by the nuclear-weapon States to undertake disarmament efforts and to refrain from the development of nuclear weapons.", "I am also aware that some States are deeply dissatisfaction with this system because it recognizes that some States are nuclear-weapon States, while others are not. Even in Japan, the so-called “agers” strongly reject the ratification of the NPT. It is also a justification if we are to focus on the concept of sovereign equality alone.", "However, for the Japanese people, this would lead to the disarmament of the Pacific Navy at the beginning of the twentieth century. At that time, Japan was a young emerging country, but its naval metrics were far less than the United States and attracted a great deal of opinion. This is one of the reasons for Japan's withdrawal from the international cooperation system and the final road to war. As a result, the war has not only caused neighbouring countries, but also caused enormous losses to our country, with deep suffering — millions of people killed, including the two horrendous historic cities being destroyed by the bullets.", "The idea of a State that strongly claims the sovereign equality is understandable. However, the mere pursuit of power is not wise. Indeed, I believe that a nuclear-weapon State should pursue such a way as to urge nuclear-weapon States to honour their commitment to nuclear disarmament, while upholding the NPT regime.", "The people of Japan face the reality of Hiroshima and Nagasaki directly and know what suffering the people want to bear in nuclear attacks. However, in the past 60 years, leaders from various countries, including nuclear-weapon States, have been replaced and there is no understanding of the growing number of people who have caused the terrible destruction of nuclear weapons.", "We must convey the tragic reality of the explosion of atomic bomb to future generations around the world through various means. I have been informed that many diplomats responsible for disarmament negotiations have visited Hiroshima and Nagasaki, including through participation in the disarmament fellowship programme. I hope that, through this visit, it will be understood that disarmament is not only a quantitative article but rather a problem of human survival or a problem that causes or avoids causing great suffering to the people.", "The international community has long been concerned about the paralysis of the Conference on Disarmament. However, this year, under the six President's initiative, we note that the CD has held substantive discussions on a number of issues, including discussions on a fissile material cut-off treaty. The result of the focus debate has given us some degree of optimism. While welcoming this optimism, I strongly hope that further action will be taken. I would like to overcome the situation of the past, the obstacles to progress, the way forward for the future positive development cycle, which will allow progress on all agenda items at their maturity.", "In particular, we believe that the United States' proposal for a fissile material cut-off treaty is constructive. This is a treaty agreed by the 1995 NPT Review and Extension Conference in the “Principles and Objectives for Nuclear Non-Proliferation and Disarmament” as a multilateral disarmament and non-proliferation measure to implement the CTBT. At that time, I participated as Minister of Foreign Affairs of Japan. The international community is keen to start negotiations on a fissile material cut-off treaty immediately, which is becoming increasingly strong.", "Of course, with regard to the current draft treaty itself, States have different ideas, but these differences should be addressed through exchange of views and ideas. In order to seize the momentum generated during this year's session and to start practical negotiations at next year's session, I hope that all countries will do everything possible to reach consensus, even after the end of the formal session.", "Yesterday, I had the opportunity to visit the Geneva Arts and History Museum, which included many shells, grenades and knocks, and the glass counter. I hope that all nuclear weapons around the world will be stored as soon as possible as possible in the glass counter.", "I have just read a book on creativity. There is no need to be absorption within the CD. Substantive negotiations must be preceded by incentives.", "In conclusion, I would like to say that the world is watching and looking forward to the fruitful achievements of the Conference on Disarmament next year.", "The President: After listening to the statement of the Speaker of the Japanese Chamber of Deputies, I would like to welcome a new colleague from the Conference on Disarmament, Ambassador Christopher Roka of the United States of America.", "Ambassador Roka had made a difference, her experience had been rich and professional insights were unique, and it was certainly that the work of the institution could be greatly facilitated. I would like to assure her of our full cooperation.", "I now give the floor to Ambassador Roka.", "Ms. Roka (United States of America): It is an honour to join you. I come here, both for personal beliefs and for the renewal of the CD.", "As you are aware, our Assistant Secretary, Ladmek, issued a fissile material cut-off treaty in Geneva last May, which clearly demonstrates. He hoped that we would complete the negotiations before the end of the session. It is clear that this aspiration is not achieved. But this year's work lays the foundation for progress. We have made considerable progress this year through the six Presidential Process, and we are moving forward towards a shared goal of serious negotiations. The United States will continue to work constructively with all parties to adopt the final report of the United Nations as soon as possible by consensus, and I look forward to working with all to maintain its relevance and to continue to strengthen the momentum that started this year.", "The President: Thank you for your brief statement, and I now give the floor to the Syrian Arab Republic.", "Mr. Ali (Syrian Arab Republic): Allow me at the outset to join you, Mr. President, in welcoming the Ambassador of the United States of America to the Conference on Disarmament and wish her success in her work.", "Some delegations, including my delegation, addressed the use of cluster bombs and phosphorus by Israeli forces against Lebanese civilians at previous sessions. Every day we have learned many very serious facts. I shall not turn to a list of some of the options that I think to read Israeli journalist Meron Rappapont of 12 September 2006 in the Landsss of the Landsse. The journalist wrote:", "“With the loss of our minds, the brutality of the perpetrators, the cluster bombs in the town of villages, the use of cluster bombs and phosphorus during war, the so-called Israeli Defense Forces rocket squads in Lebanon cited their battalions, saying that the Israeli army had launched approximately 800 cluster bombs, of which more than 1.2 million were cluster bombs. The shelling of the Israeli army also confirmed that the military used phosphorus that were generally prohibited by international law in war. According to them, the vast majority of the above-mentioned bombs were launched for the last 10 days of war. The rocket wing team leader stated that, despite the fact that the multi-launching rocket systems platform was not accurate, a great deal of use was still being used. The multi-stage rocket artillery system is a vehicle launch point of excellence or rotary, capable of launching a large number of uncontrolled ammunition. The baseline rocket launched by the platform was not oriented, quite modest and about 32 km. The rocket can be prefabricated with the release of submunitions and the use of fewer bombets to cover hostile forces and personnel on the ground. The use of such weapons is controversial, and it is imprecisely and can cause serious damage to the uncertain targets on the ground, which may be incompatible with the target of 1,200 metres.", "Israeli journalists also stated in their articles:", "“The United Nations believes that, in Lebanon, about 40 per cent of the cluster bombs launched by the Israeli army have not been sent and remain on the ground for the unexploded ordnance, in practice, tens of thousands of mines have been dispersed on a large scale and that, for a long period of time after the war, they will continue to cause casualties. Because of the high level of arsenal, it is believed that there are about 500,000 people on the ground in Lebanon, and I repeat a total of 500,000 unexploded ordnance.", "The Israeli journalist also stated:", "“The head of the team acknowledged that the truckloaded with phosphate opened to the artillery position in northern Israel. In the event of a pyrethroid attack, it is usually causing serious burns and painful deaths. The use of weapons causing excessive harm and unnecessary suffering by international law is prohibited, and many experts consider that phosphate is directly the category. The International Committee of the Red Cross recognizes that international law prohibits the use of phosphate and other burning shells in places where persons are civil or military.", "The articles of the Israeli Ha'aretz refer to this.", "In view of the importance of this issue, the delegation of Syria in Geneva wrote to you through the secretariat of the Conference requesting that this issue be addressed under agenda item 7, entitled “Transparency in armaments”. My delegation requests that the letter be circulated as an official document of the Conference. The document should therefore be naturally included in the 2006 conference report.", "The President: I thank the distinguished representative of Syria for his statement.", "No further statement was requested. Does any delegation wish to make a statement at this stage? Goodness is not.", "This plenary meeting ended. As announced yesterday, 10 minutes after that meeting will hold an informal plenary to continue its consideration of the draft report of the Conference.", "The plenary is now adjourning, but I would like to tell you a message that I hope that you will wait for that information. The Secretariat will now circulate a compilation of the paragraphs that have not been considered and begin discussions in the informal plenary. Therefore, all remain in their seats for the distribution of documents in order to familiarize themselves with the text of the paragraphs not considered.", "The meeting rose at 10.55 a.m." ]

[ "第1045次全会最后记录", "2006年9月15日星期一中午12时20分 在日内瓦万国宫举行", "主 席：安东·平特先生 (斯洛伐克)", "主席：我宣布裁军谈判会议第1045次全会开始。", "现在请各位正式通过昨天非正式全会就年度报告草案暂时达成的共识，年度报告草案已载入CD/WP.543号文件，我希望各位手头都有这份文件。", "我们正在审议的CD/WP.543号文件包含了昨天我们口头作出的所有修改。现在请那些提议修改第14、15、18、24、27和29段的代表团发言，不论你们看到的文本是否已作相应修改。", "似乎已经修改了。请意大利发言。", "贝内迪克特斯先生(意大利)：第17段提到了一份由荷兰提交的文件，但是没有提到意大利于9月6日提交的文件。", "主席：回答尊敬的意大利代表，我记得昨天没有代表对这一段提出异议，这一段已暂时通过。", "请摩洛哥代表团发言。", "本贾巴尔先生(摩洛哥)：我想就是第14 (a)段打错了一个字。我想正确的英文应该是“with general focus”[中文是“主要重点”]，这里不需要用冠词“the”。", "主席：麻烦您重复一下这项建议。", "本贾巴尔先生(摩洛哥)：好的，在第14 (a)段中，这句话后半部分是“with general focus”，这里不需要冠词“the”。例如第14 (b)段就没用冠词。我想就是打错了。", "主席：谢谢。请意大利发言。", "贝内迪克特斯先生(意大利)：我必须说，我很抱歉再次发言，但是我已经非正式地提醒过秘书处，那份文件必须真正视为一份文件，因为我们已正式请求将这份文件作为裁谈会正式文件散发。我认为，重印这一页并列入意大利的文件，不是什么严重问题。谢谢，对此我很抱歉。", "主席：没有人质疑那份文件不算是文件。这份文件已登记为CD/1796文号，但是昨天没有代表提出异议。昨天，您没有要求将这份文件纳入报告草案的文本中。", "现在有请保加利亚代表团发言。", "东切夫先生(保加利亚)：提一点技术性意见。第29段倒数第三行，我想我们可以删掉“文件”一词前的冠词“the”，这句话就改为“包括作为裁军谈判会议文件提交的各项有关提案”。", "主席：请白俄罗斯发言。", "格里涅维奇先生(白俄罗斯)：我对一个技术性错误提个建议，也可能是打印错误。在第2页目录中，第三部分的页数是指“本会议的实质性工作”。显然，我们必须说这一章节在第8页和第9页上，而不仅仅是报告草案的第8页。", "主席：谢谢您提出这一疏漏或者说错误。我能否再次恳请意大利代表团告诉我，你们是否愿意解决这项建议？", "贝内迪克特斯先生(意大利)：我知道，我们正处在一个十分艰难的时刻，但是我出于职责无法接受这个事实，作为历任主席之友之一，这份文件我们已经研究了3个月时间，却没有在文本中得到认可，没有在这一段中列出。", "主席：谢谢。如果现场对意大利提出的建议没有保留意见，这一建议就将纳入文本的最终版本。请伊朗伊斯兰共和国发言。", "伊斯拉米扎先生(伊朗伊斯兰共和国)：对于究竟要不要这份文件，我不打算把事情弄得很麻烦，但是这份文件是在9月6日提交；具体的文件题目和内容我想不起来了。如果我们至少可以了解一些相关内容，那么所有代表就能比较容易地决定是否赞成这项建议。否则，我们不停地谈论这份文件，但坦率地讲，我国代表团连文件内容都不知道。", "主席：意大利代表团愿意就文件内容提供信息吗？请发言。", "贝内迪克特斯先生(意大利)：好的，即使我必须说，我现在没有带这份文件，但我会试着说明一下。这份文件主要研究裁谈会议程的发展演变。如果各位记得，这是当时特雷扎大使作为历任主席之友之一正在做的一个项目。我们研究了以往所有报告的议程，并就该问题编写了一份报告，报告中没有使用我们就该问题进行的那部分协商内容。如果各位记得，在俄罗斯担任主席期间，就使用了这份文件的部分章节，我们当时还承诺，将提交一份后续文件，并且决定以国家名义提交后续文件，阐述我们对议程问题的看法和展望。", "主席：现在有请伊朗代表团发言。", "伊斯拉米扎先生(伊朗伊斯兰共和国)：主席先生，请允许我通过您感谢我们的意大利同事作以上说明。如果这份文件是意大利代表以国家名义提交的，而不是作为主席之友提交的，那么我国代表团对这份文件就不会有任何困难。", "主席：我可以确定这份文件是以国家名义提交的。现在有请阿尔及利亚代表团发言。", "哈利夫先生(阿尔及利亚)：请允许我倒回去一点。我有一个问题，我需要主席帮我澄清一个问题。在我看来，各国代表团都在报告的不同项目和章节下提交了工作文件。为什么我们在报告中只提到了一两个国家的文件，而将其他各国代表团提交的所有工作文件都转到附录里？我就是请主席澄清这一点。", "主席：为回答您的问题，我想强调指出，昨天我已经告诉各国代表团，提交给裁谈会的所有文件都将放在附件一中。附件一是报告的重要组成部分。但是昨天，没有一个代表团质疑这份报告中只提到一国文件的事实，也没有就这一情况提出异议。当时，我们逐段审议了整篇报告。昨天，各国代表团有机会、有可能提出这个问题，但是最后没人提，所以我认为，没有任何理由重新讨论这个问题。", "请阿尔及利亚发言。", "哈利夫先生(阿尔及利亚)：很抱歉再次发言，但是既然报告还没有通过，我们就有权利提问题。我刚才只是提问题。我不是质疑将CD/2006/CRP.1号文件列入第17段，我只是想知道为什么。", "主席：下面请尊敬的荷兰大使发言。", "兰德曼先生(荷兰)：我非常遗憾讨论这个问题，我已经向我的意大利同事指出，我是今天上午才知道报告中提到了荷兰的文件，而且在当前情况下，他坚持要考虑这份文件的谈判历史，这样做的唯一结果就是删掉这一段。如果现在要求这样做，当然就应该这样做。我们不应该在这个问题上浪费时间。这份文件有其历史意义，因为在至关重要的时刻，我从一开始就努力帮助各国代表团直观地描绘出我们会如何组织今年这些主体讨论。我希望，这在当时是一份有用的文书。其实，它就是一张组织结构表，当然我十分感谢报告中提到了这份文件，但是的确不应该再浪费时间，进一步讨论这份文件。我必须说，我对这场不必要的讨论感到非常遗憾，作为一名专业的谈判人员，我可以肯定地预见到这场讨论的结果。但是主席先生，为了方便您的工作，为了让意大利同事满意，您当然可以删掉这一段。", "主席：谢谢您考虑周全、灵活处理。下面请法国代表团发言。", "里瓦索先生(法国)：我们应该坚持昨天达成的共识。我要呼应伊朗同事的发言，但我可能会得出相反的结论。假如意大利的文件是作为主席之友提交的，那么我们可能会斟酌是否应该将这份文件纳入报告，因为这一点我们昨天没有明确解决。但是，意大利代表团刚才告诉我们，这份文件是以国家名义提交的，而且我们也同意，除文件CRP.1之外，其他所有文件必须放在附件中。我没有心情再谈昨天已经同意的事情，因此我呼吁我们的意大利同事灵活处理。", "主席：下面请意大利代表团发言。", "贝内迪克特斯先生(意大利)：我必须说，我又来讲这个问题实在是不好意思。但是目前，我出于职责无法在这个问题上开绿灯。我想不明白，为什么不能列入我国文件，然后重印第7页。我必须说，我已经提醒过秘书处，既然这属于国家文件，这些文件就理应纳入报告。抱歉。", "主席：下面请加拿大代表团发言。", "迈耶先生(加拿大)：我深感遗憾。我们的荷兰同事已经指出了所引用文件的性质，这不是通常意义上的文件。这是一张时间表，只不过是用图表形式列出了历任主席的工作日期和议程项目。因此，本着对我们意大利同事的尊重，这是一份“规格不同”的文件，不像意大利的文件是一份实质性文件，因此我建议，最简单的办法就是依照您的理解，将所有实质性文件列在附件中。但是，这份会议文件/时间表性质不同。而且，约翰内斯·兰德曼先生已经高风亮节地提出了这一点。因此，我们就不要把问题过于复杂化了。", "主席：下面请芬兰代表团发言。", "卡希洛托先生 (芬兰)：主席先生，我想我们所有代表都有过奉命行事的经历，而且我想如果可以休会3分钟，我们就能讨论一下这个问题，这样可能会比较方便，也有利于会议进展。", "主席：谢谢您的建议。我决定，不是休会3分钟，而是休会5分钟。现在休会。", "会议于中午12时45分休会，12时50分复会。", "主席：现在全会复会。我愿向各位介绍一下情况。荷兰代表团和意大利代表团之间已经达成共识，如果撤掉荷兰文件，意大利代表团就不再坚持将本国文件列入第17段。请荷兰发言。", "兰德曼先生(荷兰)：主席先生，我不得不纠正您的话。根本没有任何共识。我提出了撤回这份文件。这份文件甚至都不是我放在报告里的，但是您删掉它我接受。没有共识。肯定没有。", "主席：谢谢。根据这一点，我想请各国代表团告诉我，对删掉第17段是否有任何保留意见。似乎没有。第17段删掉。", "根据保加利亚代表团提出的建议，我想请各位注意第29段。“文件”一词前面的冠词也要删掉。", "根据白俄罗斯代表团提出的意见，第三部分的页数将作修改。至于具体页数，将明确为第8页和第9页。", "以上是报告草案文本所作的一系列修改。我看到，在场代表没有任何保留意见。", "接下来，我要告诉各位，报告草案中所有空白处(如会议届数)将由秘书处负责填写。", "此外，在通过报告前提交给秘书处的所有文件将列入附件一。", "我能否认为文件CD/WP.543所载的裁军谈判会议年度报告整体通过？", "请伊朗伊斯兰共和国发言。", "伊斯拉米扎先生(伊朗伊斯兰共和国)：主席先生，我国代表团对接受报告没有任何困难，但由于裁谈会上一次正式会议上我们曾经有过各种激烈的争论，我们已得知某些代表团还将提交文件并作为正式文件散发。我们至今没有看到这些文件。我们希望，这类文件的内容不会让我国即伊朗伊斯兰共和国卷入争吵中。同时，我要保留一项权利：如果需要，我国将有权提交文件，适当阐述所有提到我国的段落。", "主席：感谢您的发言，下面请叙利亚代表团发言。", "阿里先生(阿拉伯叙利亚共和国)：主席先生，我们今天通过秘书处转给您两封信函，将作为裁谈会的正式文件散发。我国是否会最终批准报告，将取决于这两封信函能否成为正式文件，并载入报告附件。", "主席：我可以确定，秘书处已经收到您提到的文件。", "我能否认为文件CD/WP.543所载的年度报告整体通过？", "就这样决定。", "主席：秘书处将以裁军谈判会议正式文件的形式散发报告的所有正式语文版本。", "现在有请本次全会发言者名单上的代表发言。作为惯例，在裁军谈判会议2006年会议结束之前，我也会作一点总结发言。", "下面请尊敬的芬兰大使卡里·卡希洛托先生代表欧盟发言。", "卡希洛托先生(芬兰)：主席先生，我谨代表欧盟发言。保加利亚和罗马尼亚这两个申请加入欧盟的国家赞同欧盟的发言。", "我要祝贺您，主席先生。", "主席：荷兰大使。", "兰德曼先生(荷兰)：主席先生，提醒您注意会议程序。抱歉，代表有午餐安排。您是不是打算一直开到下午两点？为什么不在下午3点复会呢？", "主席：我能否请各国代表团告诉我，其他代表是不是也有午餐任务或安排，还是只有荷兰请求正式全会休会？请摩洛哥发言。", "本贾巴尔先生(摩洛哥)：主席先生，我们也有安排。我们支持荷兰大使。", "主席：亲爱的同事们，你们的主席无限灵活。因此，休会至下午3点。我们将于今天下午3点准时开始。", "中午1时休会。" ]

[ "CONFERENCE ON DISARMAMENT CD/PV.1045 15 September 2006 \n ENGLISH", "FINAL RECORD OF THE ONE THOUSAND AND FORTY-FIFTH PLENARY MEETING", "Held at the Palais des Nations, Geneva,", "on Friday, 15 September 2006, at 12.20 p.m.", "President: Mr. Anton PINTER (Slovakia)", "The PRESIDENT: I declare open the 1045th plenary meeting of the Conference on Disarmament.", "At this time I should like to invite you to formalize the provisional agreement reached at the informal plenary meeting yesterday on the draft annual report as contained in document CD/WP.543 that is, I hope, now in front of you.", "Document CD/WP.543 that we are considering contains all the oral changes we made yesterday. I would like to ask those delegations that have made suggestions for change in paragraphs 14, 15, 18, 24, 27 and 29 whether the text in front of them corresponds to the suggestions.", "That seems to be the case. Italy, you have the floor.", "Mr. BENEDICTIS (Italy): In paragraph 17 there is a mention of a document which was presented by the Netherlands, but there is no mention of the document which was presented by Italy on 6 September.", "The PRESIDENT: In response to the distinguished delegate of Italy, I would like to recall that the paragraph was not contested yesterday, and it has been provisionally adopted.", "The delegation of Morocco, you have the floor.", "Mr. BENJABER (Morocco): I think there is just a typing mistake in paragraph 14 (a). I think it should be “with general focus”. We do not need the “the” there.", "The PRESIDENT: Can you repeat that suggestion once again please?", "Mr. BENJABER (Morocco): Yes, in paragraph 14 (a), in the last part of the sentence, “with general focus”. The “the” is not needed. We do not have it in 14 (b), for example. Just a typing mistake, I think.", "The PRESIDENT: Thank you. Italy, you have the floor.", "Mr. BENEDICTIS (Italy): I must say I am sorry to take the floor again, but I reminded the secretariat informally that that document should be considered as a document, since we requested it officially to be circulated as an official document of the CD. I do not think that it is a terrible issue to reprint this page and to add the Italian document. Thank you, and I am sorry for this.", "The PRESIDENT: Well, no one questions that it is not a document. It is a document which is registered under the symbol CD/1796, but this was not contested yesterday. You did not ask that this document be included in the text of the draft report.", "I now give the floor to the delegation of Bulgaria.", "Mr. DONTCHEV (Bulgaria): Just a technical observation. In paragraph 29, on the third line from the bottom, I would imagine we can delete the “the” before “documents”, giving “including those submitted as documents to the Conference on Disarmament”.", "The PRESIDENT: Belarus, you have the floor.", "Mr. GRINEVICH (Belarus) (translated from Russian): I have a proposal relating to a technical mistake, possibly a misprint. On page 2 in the list of contents, part III, the page number referring to the substantive work of the Conference, obviously we have to say that that section is on pages 8 and 9, not just 8, as indicated in the draft report.", "The PRESIDENT: Thank you for the reminder of the omission or the mistake made. May I once again appeal to the delegation of Italy to know whether it is ready to resolve its proposal?", "Mr. BENEDICTIS (Italy): I know that we are at a very difficult moment, but I am not in a position to accept the fact that the document on which we have been working for three months, as one of the Friends of the Presidents, which are not recognized in the text, is not listed in this paragraph.", "The PRESIDENT: Thank you. If there are no reservations in the room with regard to the Italian proposal, this proposal will be reflected in the final version of the text. Iran, you have the floor.", "Mr. ESLAMIZAD (Islamic Republic of Iran): I am not going to make things difficult either to have it or not, but the document was submitted on 6 September; I do not recall what the exact title and content are. If we could at least have some briefing on it, then perhaps it might be easier for everybody, either to go along with the proposal or not. Otherwise we are talking about a document whose content my delegation frankly does not know.", "The PRESIDENT: Is the Italian delegation ready to provide information on the content of the document? You have the floor.", "Mr. BENEDICTIS (Italy): Yes, even if I must say that I do not have the document with me, I will try. The idea was to make a study on the evolution of the agenda of the CD. As you will remember, it was one of the items on which Ambassador Trezza was working as one of the Friends of the President. We studied all the previous reports on the issue of the agenda and made a report on this issue without also using the part on the consultation that we made on this issue. As you recall, during the Russian presidency, a part of this document was used, on which we also had the commitment to present a further document and on which we decided to present it on a national basis to give a further scenario of our perception of the issue of the agenda.", "The PRESIDENT: I now give the floor to the delegation of Iran.", "Mr. ESLAMIZAD (Islamic Republic of Iran): If I may, I would like to thank through you, Mr. President, our Italian colleagues for providing the briefing. If this document has been submitted in the national capacity of the Italian representative and not as a Friend of the President, my delegation would not have any difficulty with it.", "The PRESIDENT: I can confirm that it has been submitted in the national capacity. I now give the floor to the delegation of Algeria.", "Mr. KHELIF (Algeria) (translated from Arabic): Allow me to go back a bit. I have a question, I need a clarification. It seems to me that all delegations submitted working papers under the various items and parts of the report. Why should we mention just one or two documents in the report and relegate all the other working papers submitted by delegations to the annex? I just want clarification of this point.", "The PRESIDENT: In response, I would like to stress that yesterday the delegations were informed that all documents submitted to the Conference will be recorded in appendix I. This will be part of the report. But yesterday not a single delegation questioned or contested the fact that there was only one document referred to in this report. We went through all the paragraphs. Delegations had a chance and possibility to raise this issue, so I do not see any reason why we should return to this discussion once again.", "You have the floor, Algeria.", "Mr. KHELIF (Algeria) (translated from French): I am sorry to take the floor again, but since the report has not yet been adopted, we have the right to raise questions. It was just a question. I am not disputing the placing of document CD/2006/CRP.1 in paragraph 17, I just wanted to know why.", "The PRESIDENT: I now give the floor to the distinguished Ambassador of the Netherlands.", "Mr. LANDMAN (Netherlands): I regret very much this discussion, and I have pointed out to my Italian colleague that it was only pointed out to me this morning that this reference to a Dutch paper was there and that the only result of his insistence under the circumstances in taking into account the negotiating history of this document would be that this reference would also disappear. If that is required now, of course it should be done. We should not waste time on it. It had its historic significance in the sense that at the crucial time at the beginning I tried to help all delegations to visualize how we could organize this year with these focused discussions. It was, I hope, a useful instrument. It was basically an organigram, and of course, I am appreciative that it is mentioned, but it should not indeed be a cause for further discussions and wasting time on this report. I must say that I regret very much this unnecessary discussion, with a very predictable result for a professional negotiator. But, Mr. President, to facilitate your task and satisfy my Italian colleague, you can of course take this paragraph out.", "The PRESIDENT: I thank you for your reflection and flexibility. I now give the floor to the delegation of France.", "Mr. RIVASSEAU (France) (translated from French): We should stick to what we agreed on yesterday. I would like to echo the comment made by my Iranian colleague but I would draw maybe the opposite conclusions. If the document submitted by Italy was (which it was not) a document of the Friends of the Chair, then perhaps we could wonder about whether or not it should be included, because it is a point which we didn’t expressly settle yesterday. But the Italian delegation has just told us that it was a document submitted in its national capacity, and we have agreement that, except for document CRP.1, all those documents have to be in the appendix. I’m not in the mood to reopen yesterday’s agreement, so I call on our Italian colleague to be flexible.", "The PRESIDENT: I now give the floor to the delegation of Italy.", "Mr. BENEDICTIS (Italy): I must say that it is even more embarrassing to go again on this issue, but for the moment I am not in a position to give clearance to this. I do not see why it cannot be possible to reproduce page 7 with the inclusion of the national document. I must say that I have reminded the secretariat that these documents also, since it is a national document, should have been included. I am sorry.", "The PRESIDENT: I now give the floor to the delegation of Canada.", "Mr. MEYER (Canada): I really feel this is regrettable. Our Dutch colleague had pointed out the nature of the paper cited, which is not a document in the usual sense. It was a visual aid that simply put in chart form the dates and items that had already been distributed by the presidency. So with all respect to our Italian colleague, it means “of a different order”, and it is not a document of substance, as was the Italian document, and therefore I suggest the easiest way is to proceed with your understanding that all the substantive documents are listed in an annex. But, this conference paper/visual aid is of a different order. But Johannes Landman was gracious enough as well to offer it up. So let’s not complicate our things overly here.", "The PRESIDENT: I now give the floor to the delegation of Finland.", "Mr. KAHILUOTO (Finland): Mr. President, I think all of us have had experience in working under instructions, and I think it might be convenient and conducive if you perhaps called a three-minute suspension for the possibility of having some discussions on this issue.", "The PRESIDENT: Thank you for the suggestion. I suspend the meeting not for three, but for five minutes. The meeting is suspended.", "The meeting was suspended at 12.45 p.m. and resumed at 12.50 p.m.", "The PRESIDENT: We resume our formal plenary meeting. I would like to share some information with you. There is an understanding between the Dutch and Italian delegations that if the Dutch document is dropped, the Italian delegation will not insist on having their document listed in paragraph 17. The Netherlands, you have the floor.", "Mr. LANDMAN (Netherlands): Mr. President, I have to correct you. There is no understanding whatsoever. I offered to withdraw this. I did not even put it there, but I accept that you take it out. No understanding. Surely not.", "The PRESIDENT: Thank you. With this, I would like to ask delegations whether there are any reservations to deleting paragraph 17. That doesn’t seem to be the case. Paragraph 17 is deleted.", "With regard to the suggestion of the delegation of Bulgaria, I would like to refer you to paragraph 29. The definite article in front of the word “document” will be deleted as well.", "And with regard to the observation of the delegation of Belarus, there will be changes with regard to the pages in part III. As far as the pages are concerned, there will be pages 8 and 9 mentioned.", "These are the changes in the text of the draft report which have been made, and I see no reservations from the floor.", "I would proceed further and inform you that all the blanks in the draft report, such as those related to the number of meetings, will be filled in by the secretariat.", "Furthermore, all documents that have been submitted to the secretariat before the adoption of the report will be added to appendix I.", "May I take it that the annual report of the Conference on Disarmament in its entirety, as contained in document CD/WP.543, is adopted?", "Iran, you have the floor.", "Mr. ESLAMIZAD (Islamic Republic of Iran): Mr. President, my delegation does not have any difficulties with the report as it is, but because of all the bitter discussions we had during the previous formal meeting of the CD, we were informed that certain delegations are going to submit documents to be circulated as official documents. We have not seen these documents yet. We hope that the contents of such documents will not be such that might drag my country, the Islamic Republic of Iran, into the quarrel. At the same time, should it be the case, I would like to reserve the right to submit a document duly addressing any references to my country.", "The PRESIDENT: I thank you for your statement, and I now recognize the delegation of Syria.", "Mr. ALI (Syrian Arab Republic) (translated from Arabic): We have sent two letters to you today, Mr. President, through the secretariat, for circulation as official documents of the CD. Our final approval of the report is conditional upon acceptance of these two letters as official documents and their inclusion in the annex to the report.", "The PRESIDENT: I can confirm that the secretariat has received the documents you mentioned.", "May I take it that the annual report, in its entirety, as contained in document CD/WP.543, is adopted?", "It was so decided.", "The PRESIDENT: The secretariat will issue the report as an official document of the Conference in all the official languages.", "I will now move to the list of speakers for this plenary meeting. As customary, I will also make some concluding remarks before the conclusion of the 2006 session of the Conference on Disarmament.", "I now give the floor to the distinguished Ambassador of Finland, Mr. Kari Kahiluoto, who will speak on behalf of the European Union.", "Mr. KAHILUOTO (Finland): Mr. President, I am speaking on behalf of the European Union. The acceding countries, Bulgaria and Romania, align themselves with this statement.", "I wish to congratulate you, Mr. President -", "The PRESIDENT: The Ambassador of the Netherlands.", "Mr. LANDMAN (Netherlands): Mr. President, about your procedure. I am sorry. It is 1 p.m. There are engagements for lunch. Are you intending to go on until 2 p.m.? Why not reconvene at 3 p.m.?", "The PRESIDENT: May I ask the delegations whether there are other lunch duties or commitments, or is this the only request for the suspension of the formal plenary meeting? Morocco, you have the floor.", "Mr. BENJABER (Morocco) (translated from Arabic): We have other commitments, Mr. President. We support the Ambassador of the Netherlands.", "The PRESIDENT: Dear colleagues, the flexibility of your Chair knows no limits. Therefore, the meeting is adjourned until 3 p.m. We will start at 3 p.m. sharp this afternoon.", "The meeting rose at 1 p.m." ]

[ "Final record of the 1045th plenary meeting", "Held at the Palais des Nations, Geneva, on Monday, 15 September 2006, at 12.20 p.m.", "Chairman: Mr. An East Pope (Slovakia)", "The President: I declare open the 1045th plenary meeting of the Conference on Disarmament.", "I would now be grateful if you would formally adopt the provisional consensus reached in the informal plenary yesterday on the draft annual report, which was contained in document CD/WP.543, and I wish to have the paper at all times.", "The CD/WP.543, which we are considering, contains all the changes that we have made orally yesterday. Delegations wishing to modify paragraphs 14, 15, 18, 24, 24, 25 and 29 are invited to make statements, regardless of whether the text you have seen has been revised accordingly.", "It seems to be revised. Italy was requested to make a statement.", "Mr. Bindürkt (Italy): In paragraph 17, reference was made to a document submitted by the Netherlands, but no reference was made to the document submitted by Italy on 6 September.", "The President: Responding to the distinguished representative of Italy, I recall that there was no objection to this paragraph yesterday, which was provisionally adopted.", "The delegation of Morocco was invited to make a statement.", "Mr. Benjabar (Morocco): I think that paragraph 14 (a) was wrong. I think that the right English should be “with a general focus” [in Chinese as “the main focus”], which does not need to be word “the”.", "The President: I am troubled to repeat this recommendation.", "Mr. Benjabar (Morocco) said that in paragraph 14 (a), the second half of the sentence was “with a general focus”, which was not required to speak “the”. For example, paragraph 14 (b) did not make use of the name. I think that is wrong.", "The President: Thank you. Italy was requested to make a statement.", "Mr. Bindoute (Italy): I must say that I am apologizing for taking the floor again, but I have informally reminded the Secretariat that the document must be truly considered as a document because we have formally requested that the document be circulated as an official document of the Conference. I think that this page is reprinted and included in the Italian document, and what is serious. I am apologized for that.", "The President: There was no question about the document. The document was registered as CD/1796, but no objection was raised yesterday. Yesterday, you did not request that this document be included in the text of the draft report.", "The delegation of Bulgaria is now invited to make a statement.", "Mr. Ortefan (Bulgaria): The point is technical. In the third line of paragraph 29, I would like to delete the words “the” before the word “document”, which read “including proposals submitted as documents of the Conference on Disarmament”.", "The President: Belarus is invited to make a statement.", "Mr. Gridniović (Belarus): I may add to a technical error or to acronym. In the second page, the page for part three refers to “the substantive work of the Conference”. It is clear that we must say that this chapter is on pages 8 and 9, not just page 8 of the draft report.", "The President: Thank you for the omission or error. May I again ask the delegation of Italy to tell me whether you are willing to resolve this recommendation?", "Mr. Bindikt (Italy): I know that we are at a very difficult moment, but I cannot accept this fact as a friend of the previous President, which we have studied three months without the approval of the text and has not been included in that paragraph.", "The President: Thank you. If there was no reservation to the Italian proposal on the ground, that proposal would be included in the final version of the text. The Islamic Republic of Iran is invited to make a statement.", "Mr. Islamaza (Islamic Republic of Iran): Without that document, I do not intend to make things cumbersome, but this document was submitted on 6 September; and specific documentation topics and content I think not. If we are at least aware of some of the relevant elements, all delegates will be more vulnerable to deciding whether to endorse the recommendation. Otherwise, we do not talk about this document, but frankly, my delegation's content is not known.", "The President: Does the delegation of Italy wish to provide information on the content of the document? Please speak.", "Mr. Bindoute (Italy): We are good, even if I must say that I do not bring this document, but I will test. This document focuses on the evolution of the agenda of the CD. If you recall, this was a project that was being done by Ambassador Tréza as a Friends of the President. We have studied the agenda of all previous reports and prepared a report on this issue, which does not use the part of our consultations on this issue. If you recall that, during the Russian presidency, we committed ourselves at that time to submit a follow-up document and decided to submit a follow-up document on behalf of the State to elaborate our views and prospects on the agenda.", "The President: I now give the floor to the Iranian delegation.", "Mr. Islamaza (Islamic Republic of Iran): Mr. President, allow me to thank our Italian colleagues for their statement. If that document was submitted by the representative of Italy on behalf of the State, rather than as a Friends of the Chair, my delegation would not have any difficulty in that document.", "The President: I may determine that this document is submitted on behalf of the State. The delegation of Algeria is now invited to make a statement.", "Mr. Khalifi (Algeria): Allow me to reverse this point. I have a problem, and I need the President to help me to clarify one issue. In my view, delegations submitted working papers under different items and chapters of the report. Why, in the report, we refer only to the documents of one two countries, and all the working papers submitted by other delegations are transferred to the appendix? I am asking the President to clarify that.", "The President: In response to your questions, I would like to emphasize that yesterday I have told delegations that all documents submitted to the Conference will be included in annex I. Annex I is an important part of the report. Yesterday, however, there was no delegation to question the fact that the report referred only to a State document and to question that. At that time, we considered the entire report on a case-by-case basis. Yesterday, delegations had the opportunity and the possibility to raise the issue, but finally did not mention, so I think there was no reason to revisit the issue.", "Algeria is invited to make a statement.", "Mr. Khalifi (Algeria): I apologize for taking the floor again, but since the report has not been adopted, we have the right to mention. I have just referred to the issue. I am not questioning the inclusion of document CD/2006/CRP.1 in paragraph 17, but I would simply like to know why.", "The President: I now give the floor to the distinguished Ambassador of the Netherlands.", "Mr. Ladmann (Netherlands): I very regret that this issue is under discussion, and I have said to my Italian colleague that I know this morning the Netherlands document and, in the current circumstances, he insisted on considering the history of the document, the only result of which was to delete it. If that is now required, this should of course be done. We should not waste time on this issue. This document has its historical significance, since at a critical moment, I have worked to help delegations to show how we will organize these subjects this year. I hope that this was then a useful instrument. Indeed, it is an organization chart, and I would of course like to thank the report for referring to that document, but it should not be lost for further discussion. I must say that I regret this unnecessary discussion and, as a professional negotiator, I can certainly foresee the outcome of this discussion. However, in order to facilitate your work, Mr. President, you may, of course, delete this paragraph.", "The President: Thank you for the full and flexible processing of this week. The delegation of France is invited to make a statement.", "Mr. Rivasso (France): We should uphold the consensus reached yesterday. I would like to appeal to the Iranian colleague, but I may draw the contrary conclusions. If the Italian document is submitted as a Friends of the Chair, then we may, at the discretion of the President, be included in the report, since this is not explicitly addressed yesterday. However, the delegation of Italy has just told us that this document is submitted on behalf of the State and we agree that all other documents must be included in the annex, in addition to document CRP.1. I do not think about what has been agreed yesterday, and I therefore call on our Italian colleagues to be flexible.", "The President: I now give the floor to the delegation of Italy.", "Mr. Bindoute (Italy): I must say that it is not good for me to speak about this issue. At present, however, I cannot open a green light on this issue because of my responsibilities. I would not understand why we cannot be included in our document and then reprinted p. 7. I must say that I have reminded the Secretariat that, since this is a national document, those documents should be incorporated into the report. Apologies.", "The President: I now give the floor to the delegation of Canada.", "Mr. Mayier (Canada): I deeply regret. Our Dutch colleagues have pointed to the nature of the documents cited, which is not a document of the general sense. This is a time frame, but it is only the time and agenda items for the work of the successive Presidents in the form of the map. As a result, in respect of our Italian colleague, this is a “relevant” document that does not, like the Italian document, be a substantive document, and I recommend that the most simple approach be to include all substantive documents in the annexes in accordance with your understanding. However, this document/scheduling document is different. Moreover, Mr. Johns Ridmann has raised this point in a fervent. Therefore, we should not complicate the problem.", "The President: I now give the floor to the delegation of Finland.", "Mr. Kahiloto (Finland): Mr. President, I think that all of us have the experience of doing so, and I think that if three minutes are to be adjourned, we can discuss this issue, which may be more convenient and beneficial to the progress of the Conference.", "The President: Thank you for your recommendation. I decided not to adjourn three minutes, but to adjourn five minutes. The meeting will now be adjourned.", "The meeting was suspended at 12.45 p.m. and resumed at 12.50 p.m.", "The President: The plenary will now resume. I would like to make a presentation to you. There was consensus between the delegation of the Netherlands and the delegation of Italy that, if the Dutch document was withdrawn, the delegation of Italy would no longer insist on the inclusion of national documents in paragraph 17. The Netherlands is invited to make a statement.", "Mr. Randaman (Netherlands): I have to rectify you, Mr. President. There is no consensus. I propose the withdrawal of this document. It is not even my report, but you have removed it. There is no consensus.", "The President: Thank you. On that basis, I would like to ask delegations to inform me that there is any reservation to delete paragraph 17. There appears to be no, para.", "In accordance with the recommendations of the Bulgarian delegation, I would like to draw your attention to paragraph 29. The words before the word “document” should also be deleted.", "Based on the comments made by the delegation of Belarus, the page for part three will be revised. For specific pages, it will be clear at pages 8 and 9.", "The above is a series of amendments to the draft report. I see that there is no reservation to the present representative.", "Next, I would like to inform you that all gaps in the draft report (e.g. the number of meetings) will be filled by the Secretariat.", "In addition, all documents submitted to the Secretariat prior to adoption of the report will be included in annex I.", "May I take it that the annual report of the Conference on Disarmament contained in document CD/WP.543 is adopted as a whole?", "The Islamic Republic of Iran is invited to make a statement.", "Mr. Islamaza (Islamic Republic of Iran): Mr. President, my delegation has no difficulty in receiving the report, but, as we have had a lot of debate at the previous formal meeting of the Conference, we have learned that certain delegations will submit documents and circulate them as official documents. We have not yet seen these documents. We hope that the content of such a document will not involve my country, the Islamic Republic of Iran, in the rhetoric. At the same time, I would like to retain a right that, if necessary, my country will be entitled to submit a document that would give due account to all references to our country.", "The President: Thank you for your statement, and I now give the floor to the Syrian delegation.", "Mr. Ali (Syrian Arab Republic): Mr. President, we transmit to you, through the Secretariat, two letters that will be circulated as an official document of the CD. Should my country ultimately approve the report, it will depend on whether the two letters will become an official document and include the annexes to the report.", "The President: I can determine that the Secretariat has received the documents that you have mentioned.", "May I take it that the annual report contained in document CD/WP.543 is adopted as a whole?", "It was so decided.", "The President: The Secretariat will circulate the all official languages of the report in the form of an official document of the Conference on Disarmament.", "Statements on the list of speakers for this plenary meeting are now requested. As a practice, I will also make a concluding statement before the Conference on Disarmament meeting in 2006.", "I now give the floor to the distinguished Ambassador of Finland, Mr. Cariqloto, on behalf of the European Union.", "Mr. Kahiloto (Finland): On behalf of the European Union, Mr. President. Bulgaria and Romania align themselves with the EU statements by the two countries that have applied to join the EU.", "I would like to congratulate you, Mr. President.", "President: Ambassador of the Netherlands.", "Mr. Randaman (Netherlands): Mr. President, reminds you of the proceedings. To apologize, the representative has a luncheon arrangement. Is you not intending to start two points to the afternoon? Why are not resumed at 3 p.m.?", "The President: May I ask delegations to inform me that other representatives are not either on board or arrangement, or that only the Netherlands has requested a formal adjournment of the plenary meeting? Morocco was requested to make a statement.", "Mr. Benjabar (Morocco): We have also arrangements, Mr. President. We support the Ambassador of the Netherlands.", "The President: Thank colleagues for love, and your President has no flexibility. Therefore, the meeting was adjourned to 3 p.m. We will begin today at 3 p.m.", "The meeting was suspended at 1 p.m." ]

[ "2006年11月20日至12月28日，日内瓦", "临时议程项目10", "按照第十二条的规定审查《公约》的实施情况", "介绍与《公约》相关的新的科学和 技术发展的背景资料文件", "秘书处编写", "导 言", "1. 第六次审查会议筹备委员会在其报告(BWC/CONF.VI/PC/2)第22段中决定请秘书处编写一份介绍与《公约》相关的新的科学和技术发展的背景资料文件，该文件应根据缔约国提交的资料和有关国际组织提供的资料加以汇编。秘书处现在按照这一要求编写了本文件。", "2. 第二次、第三次和第四次审查会议 [1] “意识到微生物学、遗传工程和生物技术等领域有关科学和技术发展引起的担忧，以及将其用于违背公约目标和规定的用途的可能性，重申各缔约国在第一条内所作的承诺适用于所有此类发展。”除以上所列领域的科学和技术发展外，第四次审查会议还增列了“分子生物学。……以及基因组研究成果的任何应用”。", "3. 本文件论述了自第五次审查会议以来这些领域出现的重大进展以及新出现的各个学科，其中包括：生物技术；基因组学；蛋白质组学；生物信息学和计算生物学；系统生物学；药物的发现、设计和释放；合成生物学和生物工程；以及若干相关的其他发展。本文件还附有值得关注的实验概览(附件一)和经常被指出与《公约》特别相关的实际实验概述(附件二)。", "4. 下列缔约国为本文件的编写向秘书处提供了资料：澳大利亚、捷克共和国、荷兰、葡萄牙、瑞典、联合王国和美利坚合众国。这些缔约国提供的资料的全文以及后来提交的任何来不及纳入本文件的资料全文可上网查阅：http://www.unog.ch/bwc, “第六次审查会议”一节内。本文件的编写还参考了一些政府间组织、国际组织和专业科学组织提供的文件。", "5. 在判定哪些发展也许同《公约》相关时，本文件采取的是包容的方针。尽管本文件论述的进展显然可应用于预防、保护或其他和平目的，这些进展也有可能被用来违反《公约》的目标和规定。将一项进展纳入本文件，不表示秘书处对其是否为《公约》所允许作出任何评断。", "生物技术", "6. 生物技术为公共卫生、农业和经济带来了好处，又反过来促进了生命科学，推动了发展。生物技术的商业应用很广，对生物技术的依赖程度在这几年有了很大提高。发展中国家也越来越受益于生物技术。2005年3月在奥地利举办的联合国工业发展组织全球伙伴研讨会上发表的一篇论文指出，1991年至2002年期间，一些发展中国家在卫生生物技术的发展方面发表的论文数量和申请到的专利数量都大为增加。[2]", "7. 小的生物技术公司，尤其是与学术机构有挂靠关系的小公司，其人员流动率很高，这加快了新进展在各机构之间的传播速度。这些公司往往只依赖少数几样可能的产品。如果研制成功，这些公司(及其知识产权)通常会被较大的公司买下。如果不成功，通常即停业。这种流动性高的就业环境有利于知识(无形生物技术)的传播。", "8. 有明确的迹象显示，有形和无形的生物技术确实正在传播。一次性生物反应器就是一种有助于传播的手段。它们是自给式生产装置，配套齐全，随时可使用。其大小从1到500公升不等，使用后可丢弃，无需清洗、消毒和核证。", "生物勘探", "9. 生物勘探是指寻找那些可能成为药物、农业和工业原料来源的存在于大自然但先前未被发现可作为原料来源的生物多样性。生物勘探工作所收集的材料可包括基因序列、蛋白质、复杂的生物化合物或整个生物体。生物勘探工作还可发现许多新物种，特别是不同的微生物。近几年来，通过生物勘探，还产生了也许可用作新的抗生素、抗病毒化合物、抗癌剂、抗氧化剂、抗糖尿病剂、免疫抑制化合物、杀昆虫剂的材料，以及高低温度稳定性、高低氢离子指数(pH)耐受性和高低盐耐受性的遗传密码序列。此外，还调查了有哪些微生物剂将来有可能用作病原体。对于原先不为人知的病原体或与已知病原体有关的微生物，调查了是否存在媒介和天然贮主。这使风险管理方案得到了改进，为将来的疾病突发提供一定程度的预警，并增进了对微生物多样性及推论出来的微生物功能的了解。", "10. 若干进展为生物勘探的发展提供了基础。如果没有在微生物培养、血清学观测、提纯技术、遗传物质扩增能力、基因组技术及药物的发现、设计和释放等方面取得了进展，是不可能发展出目前的生物勘探的。", "高通量筛选", "11. 自第五次审查会议以来，在生物活性化合物特定性质的重复性实验室分析工作的自动化和微型化方面，取得了很大进展。这些进展投入应用后，大大提高了样品处理效率和速度。采用高通量筛选技术，可以针对特定活性筛选大量的化合物(文库――见组合生物化学)，诸如搜寻可与特定受体结合的化合物或可使特定的酶失去活性的的化合物。采用这种技术，还可测试单一化合物是否具有种种可能的活性。已研制出具有此一能力的DNA芯片(寡核微阵列)，通常用于基础和应用研究，以监测基因表达程度，从而确定基因的功能、评估基因变异范围和阐明治疗用药的新靶点。因此，这种技术对其他许多科技领域的工作极有帮助。", "12. 高通量技术的进展要归功于许多不同领域的一些发展，包括筛选形式微型化、液体处理、信号检测、机器人技术、生物信息学和生物鉴定等领域。由于有了这些进展，用户每天可以针对特定活性筛选100,000多种化合物。因此，一个研究项目现在经常能筛选超过100万种的化合物，如果以人工方式进行筛选，将需要数以百万计的实验室人工时。", "生物微处理", "13. 微型化和自动化方面的进展也被用来生产能进行整个生物学试验的功能分立器件，而过去需要一个实验室来进行这种试验。它们被称为“芯片上的实验室”。微流体和微加工技术的进展被用来生产出从显微镜切片大小到光盘大小不等的器件。现在已不再有必要进行宏观尺度的工作了，例如在放置了各种烧瓶的实验室工作台上工作。使用微微公升(10⁻¹²公升)的原始样品和同样小量的试剂即可重复同样的工序。这些器件一般只用来进行一种特定的活动，诸如DNA分析、免疫测定、细胞分析或酶活性测量。它们可以完全自动化，为完成规定活动而进行许多步骤，诸如分离样品、稀释样品、添加试剂、混合和检测反应。", "14. 高级的“芯片上的实验室”可以是充分整合的器件，能够从事所有阶段的工作，从置入样品一直到判读结果。它们更通常与标准的实验室设备(诸如外部探测器)连接。由于进行试验不再需要那么多的专门设备和培训，可以研制出能够在新环境中使用的器件。这种器件在流行病学应用方面有很大的潜力，可用来检测和诊断流行病、为流行病定性和采取应对措施(见检测技术)。", "基因组学", "15. 如果基因是DNA的具有某种功用的亚单位，携带某种物质(例如蛋白质)的密码，那么基因组就是生物体内全部基因的集合。技术进步大大加快了对基因进行鉴定、定性和操纵的速度。与《公约》相关的许多科技发展就是立足于基因测序方面的进展的。由于目前已经产生了大量的基因信息，现在可以分析基因组而不仅仅是分析个别基因了。在确保可以公开获得基因组信息方面所作的一致努力，有助于基因组学(研究基因组的学问)取得进展。", "DNA测序", "16. 测序就是测定构成遗传信息的核苷酸排列顺序。换言之，它是将物质转化为抽象的信息。基因测序并非新技术。一段时间以来，有经验的科学家已经在从事测序了。在第五次审查会议召开之前，自动化程度和效率有了很大提高，从而能够对整个基因组进行测序：最早是真核生物基因组(一种酵母菌)，1997年；第一个动物基因组，1998；和人类基因组，2001年。人类基因组测序的进展可以说明自动化程度不断提高的趋势所产生的影响。“人类基因组计划”(国际合作测序计划)本来打算使用相当多的高度专业性设施和经验丰富的科学家在15年内完成这项工作。随着技术的进步，有关的工作人员费用成为限制性因素。由于不断的自动化和微型化，硕士生替代了博士后研究员，本科生随后替代了硕士生，而没受过什么高等教育的技术员又替代了本科生。由于测序技术的进步，一个商业部门的竞争者尽管晚了将近10年才着手进行这项工作，却能够与国际合作测序计划同时发表人类基因组草图。", "17. 自上次审查会议以来，DNA测序技术继续在发展，提高了对先前不为人知的生物体进行鉴定和定性的能力。过去这四年来，效率和自动化程度一直在提高。有关费用每12至18个月就会减半。利用当前的一些进展，诸如毛细管测序机和DNA芯片，能够同时对大量菌株(包括病原体)进行测序，以研究同一物种内部的顺序差异。目前正在研制能够读出单拷贝顺序的机器。这可以大大减少测序错误(与目前的多拷贝扩增做法相比)，能够更准确地读出个别细胞的基因组，并促进功能基因组学和蛋白质组学的发展。", "DNA合成", "18. DNA合成是与DNA测序相反的过程。它是将序列数据转化回物质。生成与某一信息序列相对应的DNA物质，也并非新技术。但是，生成过程的效率和自动化程度有了很大提高。1970年代，能够以人工方式生成DNA序列。1980年代，发展出先进的方法，能够非常容易地合成出短串DNA。1990年代，自动化机器开始出现，技术员能够一手将原始序列数据输入，另一手则接收短的DNA片段。由于技术的进步，产生的DNA链长可达大约40,000个碱基对，缩短了生产时间，减小了所合成的DNA链中的误差，而且能够将DNA链组合在一起，形成整个基因组。2002年和2003年进行的实验表明，能够从无到有地合成出病毒的整个基因组，而这些病毒的功能与天然病毒完全一样(例如参看附件二所列的脊髓灰质炎病毒实验)。", "19. 目前，半自动的DNA合成机可生产长串的DNA序列，误差率小至10,000个碱基对中有一个错误。老式的合成机已在互联网的拍卖网站上出售，单价在5000美元至10,000美元间。使用很容易获得的部件，按照互联网上可查到的规程，能够从无到有地制造出简单的DNA测序机，费用约为10,000美元。就DNA合成而言，目前的限制性因素是生产DNA链的费用和时间。最近对费用/时间趋势进行的统计分析表明，这两个因素每12至18个月就会减半。现在，DNA片段的生产费用约为每个碱基对0.10美元。例如，如果要生产出天花病毒的整个结构(分成许多区段来生产)，费用约为18,600美元。这方面的进步，部分得益于技术的商业化。全世界都有基因测序公司，可以上网向其购买DNA片段，以快递方式交货。第二次审查会议之时需要一间专用实验室以人工方式化许多人工年完成的生产工作，现在几乎可以立即完成，而且费用不高。", "DNA沉默", "20. 植物、真菌和动物(包括人类)对某类病毒都具有一种古老的防御机制。某类病毒遗传信息(称为dsRNA)一旦在细胞中出现，就会启动一种机制(称为RNA干扰，或RNAi)，对阅读遗传物质并将遗传信息转化为物质的过程进行干扰，从而中断dsRNA的复制。这个过程是2001年才被阐明的，研究人员很快就认识到，它可以被当作一种实验室工具来使用。如果合成出与特定DNA序列相对应的dsRNA，就可以启动防御机制，中断基因序列转化为物质的过程。换言之，可以有选择地关闭特定序列复制活动。这种能力正越来越重要，因为DNA测序的发展使得功能不明的基因序列信息的数量大为增加。若能随意地关闭特定的序列或基因，科学家就可以观察该序列或基因的不存在会对生物系统造成何种影响，从而确定其功能。可以举例来说明这个工具的功用：到2003年5月，研究人员使用这个工具确定了某种蠕虫的1722个基因的功能，其中有许多功能是过去所不知道的。目前正在实施一个项目，要利用这种技术来确定人类基因组中每个基因的功能。", "21. DNA沉默还可用于治疗。某些基因也许与某种疾病有关联。使用DNA沉默技术，可以关闭这些基因，从而减轻症状、防止疾病恶化或治愈疾病。目前正在研究如何使用DNA沉默技术来防治艾滋病毒、肝炎和癌症。2004年的一个实验还使用这种技术降低了小鼠的胆固醇。临床应用仍然是一个问题。最近的研究结果显示，科学家在克服这一障碍上有了很大进展。一个办法是使用病毒来启动DNA。", "DNA重排(或改组)", "22. 若要生成某些特性得到强化的序列，传统的遗传工程方法主要是从一个地方切下一段DNA序列，然后插入另一个地方。这是一种方向确定的工作：将两个分开的序列的特性组合起来，产生出第三个序列，而其特性比前两个序列中的任一序列的特性都更为有效。这个过程称为“定向进化”。要使用这种遗传工程方法，必须逐一产生每个新的序列，以人工方式予以组合，然后进行筛选，以确定何种组合具有理想的特性。这个过程要重复若干次，使用一代又一代的子序列，以优化这个过程。与此不同的是，DNA重排(或改组)是使用同一序列的各种有关版本的文库(诸如有关物种的基因)，将它们断开，然后重组，从而产生基本序列的新版本。这个方法实际上可同时对多个物种进行配对。具有特定功能的子序列的产生率要高于老的方法。DNA重排技术提高了产生各种各样的基因序列的效率。", "23. 2002年，DNA重排技术被用来组合了四种微生物的基因序列，所产生的新序列的活性比最优的母序列高于270至540倍。DNA重排的结果还表明，母序列的最佳组合不一定是把与子序列最为相近的母序列组合在一起。(与人们的直觉相反的是，如果希望子序列有一个良好的A部分和一个良好的B部分，则一开始就把一个有良好A部分的母序列与另一个有良好B部分的母序列组合在一起，并不一定是最佳的。)这一点，使得采用“定向进化”的方法进行重排变得很复杂。即使能够用老方法得到最优化的序列，DNA重排技术产生同一结果的时间也要快得多。", "24. DNA重排技术已经进步到能够重排整个基因组的地步。使用有关的细菌进行的这种实验已经完成。一次重排的结果相当于进行20代的定向进化。也有人进行了改进人分子的工作。2003年，研究人员成功地生成了人细胞活素(与信号和免疫系统相关的一组分子)，其活性是天然人细胞活素的10倍。这些技术还被用来改进基因疗法中使用的病毒。DNA重排技术的限制性因素仍然是筛选和分离出具有最理想强化特性的子序列的能力。高通量筛选方面的进展正慢慢地克服这些弱点。", "基因组医学", "25. 在了解基因组方面取得的进展表明，基因序列对于疾病的发生有重要的作用，包括对病原体和对被感染者而言。病原体的基因组提供了关于其感染性、毒性及其他疾病决定因素的信息。这有助于发展出新的检测技术、诊断机制、预防手段的疗法。被感染者的基因序列使其容易患上某种疾病，也可解释为什么某些疗法对特定的人不大有效以及为什么某些病人有异常或极严重的副作用。这样就有可能发展出与病人的特定基因组成相适应的预防手段或疗法。目前正在开展所需的研究工作。基因组医学要做到有效，必须先对人类基因多样性进行编目。“HapMap”项目正在从事这项工作 [3] 。这项国际努力所产生的信息可公开自由查阅。基因组医学的发展已经表明，某些药物在某些地理区域更为有效，可能具有种族或地域特异性。", "26. 除非基因组测序的费用和时间大幅减少，否则基因组医学将难以充分发挥其效用。根据种族或地域共性来观测，也许能在较短期间内得到一些益处。这样，就可以针对亚人口进行药物的优化。基因组医学已经被发现可具体应用于疾病的检测、诊断、预防和治疗。", "蛋白质组学", "27. 如果基因组学是研究生物体中的所有基因，那么蛋白质组学就是研究所有基因编码蛋白质。它包括研究其结构和功能以及相互之间如何作用以调节生物系统。蛋白质组学与功能基因组学相关，后者研究基因特别是蛋白质的编码基因的功能。蛋白质构成了大多数生物功能的基础。它们与疾病密切相关――要么引起疾病(例如，炭疽毒素由三个蛋白质构成)，要么是宿主中的目标(炭疽毒素在人细胞上的结合受体同样是一个蛋白质)。还有人推测，某些蛋白质可作为具有感染能力的自复制病原体，一般称为“朊粒”(感染性蛋白粒子)。朊粒被认为引起了动物和人的种种神经退行性病变。", "28. 蛋白质组学一个发展迅速的领域是比较研究。可以标记和检测不同生长条件、菌株或物种的蛋白质。这种方法可以鉴定出哪些蛋白质同毒性、与宿主或环境发生作用和耐抗生素性相关。蛋白质组学提供的信息还可用来改进探测系统、诊断、疫苗和疗法。通过这方面的研究，已经找到了新的药物和疫苗靶点，包括对付疟原虫的药物和疫苗靶点。蛋白质组学还有助于了解致病性、研究宿主与病原体之间的作用(包括体液免疫反应)和评估抗微生物药的作用机制。", "29. 传统上，蛋白质组学使用凝胶电泳和质谱联用技术。这两个领域及包括核苷酸测序、复杂混合物分析、芯片技术和算法在内的其他一些领域的进展加强了蛋白质组学的研究能力。已经可利用新的手段来研究蛋白质的功能和作用了，特别是高亲和性结合试剂。在从复杂的环境中分离出小分子方面，也取得了很大进展，连极少量的小分子也可以分离出来。危险生物蛋白质处理技术也有所改进。现在可以化学合成出有关的基因并使用宿主细胞进行表达和纯化，而无需使用生物体本身，从而可降低相关工作所需要的安全保障级别。在使用非凝胶技术产生、分离和分析蛋白质混合物方面也有进展，尽管其中一些蛋白质混合物先前难以表达。现在，蛋白质上的标记可以很小，产生后无需除去，而且可以直接从原料回收分泌的蛋白质，无需进行离心分离。", "高亲和性结合试剂", "30. 由于最近的一些进展，现在能够抑制或调节特定蛋白质靶点的表达。目前使用的是两类高亲和性结合试剂：aptamer (“短核酸”或“核酸配体”)和tadpole (“蝌蚪状物质”)。前者是短的单链核酸或肽配体，用于靶点确认和检测试剂以及作为蛋白质组学的一种功能手段。也正在探讨用于治疗的可能性。此外，还在动物中试验过能否用来抑制血栓的形成和治疗与年龄相关的眼睛退行性变化。蝌蚪状物质的头部是蛋白质，尾部是DNA (寡核苷酸)。它们能够与特定靶点(诸如炭疽毒素的三个蛋白质中的一个)结合，而且容易量化(由于其尾部是DNA)，因而可用于疾病诊断、监测和环境检测(见检测技术)。", "生物信息学和计算生物学", "31. 基因组学和蛋白质组学的发展产生了大量的信息。例如，2005年8月，三个最大的基因序列数据库存储了165,000种生物的1,000亿条序列数据。其中的Genbank数据库的存储量每18个月翻一番。知识的增加与想法和信息的公开交流相互促进，加速了医学、工业和农业的发展。", "32. 数据量之大以及生物作用之复杂，意味着已不再能够以人工方式来加以处理。计算机的费用越来越低，计算能力越来越高，而且为分析和数据管理建立了特定的一些平台，这些都有助于信息的处理。将分析大量数据的技术应用于这个领域，被称为“生物信息学”。生物信息学正在创造新的科研和商业可能性。如果能够把生物信息学与高通量筛选技术结合起来，就有可能减少进行研究的时间以及将科学发现转化为现实商业产品的时间。", "33. 计算生物学比数据分析更进一步，探讨的是计算与生物学之间更广泛的界面。已经知道有四个主要的交界点。首先，生物学家可以利用一些计算手段(软件或硬件)来获取、存储、管理、查询和分析生物数据，以解决非常具体和明确界定的问题。其次，可以利用一些计算模型来测试想法、作出定量预测和帮助解释实验数据。第三，计算原理或抽象化过程可以提供容易被理解的理论，用来说明所研究的生物学作用。第四，科学家越来越依靠：高端的总计算中心；管理良好、易于访问的数据库；数字图书馆；高速网络；和数据获取技术，例如基因组测序机。", "34. 可获得的信息有各种各样的类型和格式，包括：序列；曲线图；几何信息；标量场和向量场；组织型态；约束条件；图象；和文字叙述。生物信息学和计算生物学的进展为处理这些信息提供了手段，包括：", "(1) 加大了在低费用平台上存储和分析大量信息的能力；", "(2) 提高了数据分发和通信技术的效率，从而能够共用和管理地域分布很广的大型复杂数据源；", "(3) 有各种以互联网为基础的手段，能够在全世界范围内容易地查看生物信息；", "(4) 有统一的数据格式，能够将多个数据流综合在一起；", "(5) 加强了搜索方法，能够搜索存储在不同地点的各种不同类型的信息。", "系统生物学", "35. 系统生物学被认为将生理学带入了前所未有的复杂程度。它不只是研究可见尺度的生物体作用机制，而且还深入到分子尺度。它的基本前提是，可观测到的生物行为是由动态地相互作用的一组复杂的分子活动所造成的。这种相互作用使生物系统又增加了一层复杂性。例如，人(例如参加审查会议的代表)的基因数目比简单生物(例如蠕虫)的基因数目多不了多少。会议代表和蠕虫的基因数目差不多，因而元件的数目也差不多，那么又如何解释二者在复杂程度上的明显差异呢？答案在于调控机制的复杂性，而不在于结构的复杂性。人的不同元件之间的相互作用比蠕虫复杂。系统生物学研究的就是一个离散生物系统中的分子网络之间的复杂的相互作用。", "36. 在过去，科学家可能只研究生物通道的单一方面，例如控制细胞对感染的反应。系统生物学则可以更广泛地研究特定的刺激对多个不同通道的影响，例如细胞对感染的反应所引发的一连串其他反应，而这些反应又反过来对最先的反应产生反调节影响。研究表明，许多的分子相互作用先前未被发现，事实上存在着利用新的信号通道进行调节的全新机制。", "37. 系统生物学研究工作分成四步。第一步，利用各种手段收集有关系统的信息，这些手段包括：高通量筛选技术、基因组学进展、蛋白质组学工具和生物信息学各数据库的数据挖掘。第二步，由于信息量太大，无法以人工处理，须使用用计算生物学技术来处理这些信息，以便对该系统的所有组成分子进行定量分析，然后纳入一个图形网络模型。第三步，可使用该模型来探讨对该系统进行操纵会如何影响其功能。最后，对计算出来的预测值与实验得到的经验值进行比对，然后使用所产生的数据来改进该模型。最终的目标是让系统模型准确地再现整个系统，并且能够进行准确的模拟实验。", "38. 因此，系统生物学有助于对分子与系统相互作用所产生的影响进行模拟，从而促进药物的发现、设计和释放，特别是通过合理的药物设计。系统生物学还具有更广泛的医学影响，因为几乎所有疾病都可以被视为基因、分子或环境因素对生物系统进行的操纵。研究一个患病的系统与一个健康的系统有何差异，可以了解与疾病有关的过程是如何相互作用和控制的。这就为新的诊断和治疗方法提供了可能性，而且为改进基因组医学开启了大门。", "39. 全面综合的系统生物学仍处于婴儿期。计算工具的能力仍有不足，无法高效率地处理种类繁多、数量巨大的现有数据。但是，在研究生物调控特别是神经生物学和免疫学领域各种复杂的调控机制的相互作用方面，取得了相当大的进展。", "生物调控(神经生物学和免疫学)", "40. 科学文献表明，具有生物活性的生化物质和具有生物调控作用的肽能够以十分明确的方式调节生理系统和过程，诸如脑和免疫系统。这类生物调控化合物有很大的商机，因为它们为减轻痛苦、抑郁和多种精神障碍提供了新的可能性。有迹象表明，它们有可能用来操控知觉、感觉、认知、情绪、心境、意志、机体控制和警惕性。生物调控剂的用途在过去被认为很有限，因为有关化合物在环境中容易不稳定。微囊化的进展使得生物调控剂的商业开发成为可能。", "41. 人们研究了哪些分子线路和控制系统对机体功能进行调控，还研究了何种微扰会造成各种变化和疾病状态，从而发现了许多生物调控剂的靶点。人们还化了许多工夫研究不同疾病状态下产生了哪些物质(转录谱分析)。研究的对象还包括病原体是如何克服种种免疫反应或治疗手段(例如抗生素)的。人们正越来越了解生物活性化合物的结构对其与特定分子靶点的亲和性和反应性有何影响，这样就可以对研制工作进行优化。例如，日益明显的是，生物活性化合物的三维折叠对其功能具有关键的作用。这些分子的生产技术有了进步，就可以生产出更复杂的结构。生物活性化合物大型文库的存在，有利于进行高通量筛选。因此，越来越有可能查明哪一种化合物可以干扰特定的生物过程。目前，大部分相关信息是工业界产生的，被其视为商业所有权信息。现在，正努力让更多的这类信息能够供公众查阅，以协助全世界的研究人员开展工作和找到新的药物靶点。", "药物的发现、设计和释放", "42. 过去五年来，在确定、产生和利用生物活性物质(药物)方面，出现了许多发展。这导致了新的预防手段，例如疫苗，也导致了新的治疗手段，例如抗微生物剂。巨额的资金注入了生物防御领域的工作。最近，在亚单位和DNA疫苗方面也有所进展。", "组合生物化学", "43. 借助高通量筛选技术，能够在短时间内评估出为数众多的生化结构用作药物的可能性。因此，最好也有能力生产出为数众多的不同生化物质以供筛选。传统的生物化学能够通过一种称为固相合成的过程而一个氨基酸又一个氨基酸地构建蛋白质。新技术则可在“网眼袋”中进行个别构建，每一步完成后均可加以组合，从而大大提高氨基酸序列的多样性(液相平行合成)。还可以标记每次构建出来的序列，从而能容易地读出氨基酸的顺序和了解其结构。液相平行合成还扩大了可进行的化学反应的范围，这使得所生成的结构的多样性大为增加。最近的进展使得产品的纯度有了提高。由于上述种种进展，加上自动化、微型化和生物信息学的应用，已经很快地产生了大量的合成化合物(文库)。", "44. 药物设计的早期发展表明，对够大的文库进行筛选，最后总会找到具有理想特性的生化结构。组合生物化学的进展现在产生了空前庞大的文库。但是，循这个方向努力，看来收益不大。最近的趋势是，对使用大型的一般文库不大感兴趣，转而使用更具有针对性的、化合物种类不那么繁多的文库，围绕一个主题进行变化和筛选，以便针对具体的特性实现优化。这对于药物发现过程中的希望很大的(或“先导”)化合物的进一步开发特别有用。这样做，可以评估先导化合物的某些改变是否可提高效率和具有其他的理想特性。从组合生物化学中产生的信息可有效说明化合物的化学调节对生物活性有何影响。因此，所提供的数据也也系统生物学和合理的药物设计相关。", "合理的药物设计", "45. 人们对生物系统特别是不同元件之间的相互作用有了进一步了解，发现若干分子对于保持健康十分重要或者在疾病的发生上起了一定作用(见生物调控)。X射线晶体学和核磁共振成像等领域的发展，使人们能够得到靶点分子的结构图和与它们发生作用的分子的结构图。知道了这些相互作用是如何发生的，就有助于设计出能够与特定靶点发生作用的分子，从而产生所希望产生的影响。在查明了靶点分子的结构后，可以根据已知的相互作用来预测与靶点分子发生相互作用的药物应具有何种结构。可利用的数据越多，所作的预测就可能越准确。", "46. 生物信息学和计算生物学的进展促使人们开发出计算机硬件和软件来制作各种相互作用模型。使用这类计算机对大型文库进行虚拟筛选，其速率比使用最先进的生化技术进行筛选还要快得多。结果产生的合理设计分子一旦被设计出来，又可纳入传统的药物开发方案。实际上，这种计算机化的合理药物设计方法是与组合生物化学方法和高通量筛选技术平行使用的。可以用传统的方法来确定先导化合物，然后用合理药物设计技术对其进行优化。", "药物寻靶", "47. 药物的效用取决于其到达所需发生作用的机体部位的能力。如果能确保药物只与理想靶点发生作用，就可进一步提高其效用。这意味着该药物有较大的部分发生作用，没有被浪费在与非靶点的分子发生作用上。这样，还可将不良反应或副作用的风险减至最低。", "48. 尽管目前还未找到真正有效的、针对选定靶点的药物释放系统，但已取得相当大的进展了。针对不同靶点的寻靶系统的文库越来越丰富。目前，主要使用三种方法来改进药物寻靶。第一种方法是，封装药物的胶囊的结构有助于寻靶(见微囊化)。第二种方法是，对种种病毒和细菌进行操纵后，用作释放工具，利用其天生的能力来有选择地感染特定的细胞(例如，见基因疗法)。第三种方法是，将药物与设计成能够识别特定靶点的载体分子结合起来。上述所有方法都依赖分子识别系统。识别系统有选择地识别出靶点并与靶点结合，然后才释放药物。这些药物释放系统还可进一步加强，以加大靶点接纳药物的可能性。", "微囊化", "49. 将生物活性物剂予以包囊，可以保护这些物剂不受蒸发、氧化和污染等环境因素的影响，还可提高靶点识别能力，从而提高其特异性。包囊材料可以有各种各样，其中包括有机聚合物、水胶体、糖、蜡、脂肪、金属或无机氧化物。包囊的设计目的是保持所封装物剂的功能，直到抵达需要这些物剂之处。这就需要有各种释放机制，以确保在到达目的地后能发生作用。到目前为止，所开发的释放机制包括：控制释放、延迟释放、靶向释放(见药物寻靶)、生物降解释放和盐诱导释放。通用的微囊化方法有两种：物理方法和化学方法。物理微囊化技术可包括喷干、流化床涂装、共挤和转盘式喷雾，而化学微囊化通常使用聚合、相分离、溶剂蒸发和凝聚等技术。", "50. 微囊化并非新技术，但在第五次审查会议之后有了许多新用途。因此，越来越容易在市场上获取这种技术。它目前用于水处理、食品生产、农业和化妆品工业以及生物修复和有害废物管理。它也正在成为癌治疗技术和皮肤缺损治疗技术的一部分。", "生物制约和生物生产", "51. 生物制药是使用可大规模种植的基因改造植物来生产复杂的生物活性分子，而无需使用工业设施。它为生物化合物的低技术、低成本、高效益、大规模生产提供了可能性。将希望得到的物质的基因加到植物中，然后让植物自然生长，要么植物本身被用作载体(在食用植物的情况下)，要么收获和处理有关的分子。对植物作这样的利用，可降低生产成本和生产技术要求(在以遗传工程方法处理过植物之后)，并可构建无法以传统方法生产出来的或者生产成本极高的复杂的生物活性结构，例如疫苗或抗体。", "52. 转基因(以遗传工程方法处理过的)植物――包括米、土豆、玉米、水果、蔬菜和烟草――已被用来生产：β-胡萝卜素；人乳蛋白质；霍乱抗原；腹泻病原体抗原；乙型肝炎疫苗；艾滋病毒抗原；狂犬病亚单位疫苗；人糖蛋白；人血红蛋白；和乙型肝炎抗原。还正在开发能够生产抗体来防备生物武器的植物。由于从设计到投产的时间较长以及监管费用较高，生物制药的特许应用并不普遍，近期内不会成为一种标准方法。此外，还在细菌、酵母菌、丝状真菌、昆虫和哺乳动物组织中培养出人工基因序列的蛋白质表达系统。", "药物释放(给药)", "53. 药物进入生物体通常有三种途径：吸入、口服和透皮。吸入给药有其优点，包括：开始起作用的速度快；分布较平均；和涵盖范围可能较广。吸入给药依赖空气生物学和气雾化技术，被用来对人、动物和植物进行预防给药和治疗给药。在以下两个重要领域取得了进展：制备生物结构，使其适于喷雾给药；提高给药器具的效率。粉末技术和微粒工程的重大发展改进了微粒弥散能力、微粒形态控制及物理和化学稳定性。例如，超临界流体的开发使化合物兼具液体和气体的性质，克服了活性物剂的纯化所遇到的复杂问题。同样，由于多孔大微粒制造技术的进步，过去被认为不适于有效吸入的较大物质也可通过优化喷雾给药方式吸入了。目前使用三种不同的喷雾给药系统：含推进剂的剂量吸入器、干粉吸入器和雾化器。其中每一种系统的应用都有其问题。第五次审查会议之后的进展解决了其中许多问题。", "54. 气雾化技术日益应用于疾病的治疗。它们被广泛用于治疗哮喘和慢性肺部阻塞疾病。正在开发类似的喷雾器具，将用于治疗糖尿病、人生长激素缺乏、前列腺癌和子宫内膜异位症。应用范围并不限于人的给药。这个领域的进展还使杀虫剂等物剂的大面积散播成为可能，例如在空中散播苏云金芽孢杆菌气雾剂，以保护森林不受云杉芽虫之害(见生物虫害控制)。还进行了动物研究，以评估吸入有毒微粒的生物影响。进行的气雾化研究还包括在大面积水域上散播细菌，作为水处理工作的一部分。空气生物学也被用来评估耕种和农业用生物气雾剂的羽特性。因此，这些技术比举行第五次审查会议之时更为普遍。", "55. 口服给药技术也有进步。口服给药或食入的问题在于胃肠分解生物结构的能力。生物活性物质在被吸收和传递至其应发生作用的区域之前，通常已经变性乃至已被消化。微囊化技术的进步在很大程度上克服了这些问题。最近的研究表明，能够将蛋白分子予以包囊，使它们能够不受影响地通过胃，与肠粘膜结合，进入血流。", "56. 不久以前，经皮透入还不是一种可行的给药机制。它需要一种载体(例如昆虫)来弄破皮肤，将生物活性化合物送入血流。由于研制出转基因(经过基因操纵的)昆虫和更加了解某些载体(例如传播疟疾和西尼罗病毒的蚊子)是如何抵御住杀昆虫剂的，透皮给药技术已经更为进步。能越过皮肤障碍的化学溶液也有了很大改进。某些技术已经证实有用，而且有了商业应用，例如尼古丁贴片可用来帮助戒烟。加强化学穿透方面的工作成果使得较大蛋白质经皮透入的效率增加了100倍。", "合成生物学和生物工程", "57. 本文件所论及的许多进展都是发展出可以提高能力的新技术以及将工程原则应用于生物学，诸如可以提高自动化程度及减少从事经常重复的活动所需要的时间和费用。生物学与工程学重叠的范围日益扩大，促成了生命科学新方法即合成生物学的诞生，这种方法主要是利用对生物系统的了解而开始从无到有地构建出生物系统。合成生物学的关键要求是，就像用预先包装的电子元件组装成线路版一样，生物元件也能组装成生物系统。", "58. 合成生物学对生物学家和工程师都具有吸引力，但两者对待这种新方法的角度十分不同。工程师认为，通过合成生物学可以制造出生物器具来做现有技术无法做到的事。生物学家则认为，通过这种功效很大的新方法，可以了解生物功能的基本原则。两者合力制作具有理想性质的生物系统模型，实际产生出这种系统，对其功能进行测试并加以调整，直到这些系统能够适当运行。目前，还需根据经验作相当大的改进，但随着经验的积累，需作的改进有可能越来越少。在整个过程中，获得的知识又反过来用于改进设计和构建工作。因此，对生物系统运行和设计原则的认识进步得很快。", "59. 合成生物学吸收了工程学的一些概念，例如标准化和抽象化。这些概念是进行以功能为主的设计所不可或缺的，对于生物元件的开发也很重要。在其他工程领域，可以从架上取下一个部件，并知道它与器具中已经使用的部件是兼容的。至于合成生物学，目前正努力确保世界各地构建出来的不同生物元件组合在一起可以运行，而且它们都使用一致的、标准化的参数[4] 。抽象化对于开发基于元件的生物系统也很重要。一个人无须了解一个过程的每一步，也可对这个过程作出贡献。一项复杂的工作可以分解成不同的层面，有可能成为任何一个层面的专家而无须对其他层面有深入了解。例如，不熟悉每一个元件是如何生产出来的，也可以设计出电气线路版。这就使得整个过程更容易掌握，有助于实现商业化。", "60. 合成生物学的概念是在第五次审查会议之后发展出来的。它十分成功地被用于设计生物系统。例如，2003年，一种细菌经过基因再造后，在爆炸物旁边繁殖会改变颜色。这种细菌被用来查明未爆炸弹药或地雷的位置。可以把经过基因再造的细菌撒布在一个区域内，如果在TNT旁边繁殖，它就会发绿色荧光。同样，2004年，研究人员开发了一种DNA计算机，可用来搜寻前列腺癌和肺癌的早期征兆以及控制生物活性药物的释放。", "其他相关发展", "纳米技术", "61. 纳米技术被称为“一种制造极微小物质的聪明手段”。尽管许多进展只涉及无机物质的操纵，因而与生命科学无关，但生物系统的结构元素很小，确实属于纳米技术的范围。所以，操纵生物系统以产生具有特定目的的器具，也许可被认为是一种纳米技术。", "62. 在生物系统的所有特性中，最受纳米技术研究人员注意的就是“自组装”特性。DNA及合成DNA已被用来制造物件、品格和器具。在构建复杂结构时，它们可用作元件，也可用作接合剂。生物系统目前的纳米技术应用包括：分子成像和检测；疗法效率测定报告；多功能治疗手段；疾病预防和控制；及各种提高能力的技术。正在研发中的有：结构体控制和台架搭建；纳米机械装置；和自复制纳米系统。目前已制造出来的器件包括：一个能截断RNA分子的合成DNA结构；能释放精确剂量的药物以治疗青光眼的隐形眼镜。", "基因疗法", "63. 基因功能与疾病之间存在着联系。作用异常的不良基因会引发许多疾病。基因疗法就是用健康的复制基因来替代不良基因。这是因为某些病毒能够将DNA复制回宿主的基因组中。基因疗法使用载体将健康基因运载到靶细胞。研发中的载体包括多种经过基因改造的病毒，其中有逆转录病毒、腺病毒、腺伴随病毒和单纯疱疹病毒，这些病毒的致病基因已被去除，腾出的空间可植入健康的基因。通常选择病毒作为载体，因为病毒能够针对某些细胞寻靶(见药物寻靶)。现在已经有了相当大的载体文库，其中的载体可针对不同的组织。此外，还研发出许多非病毒给药机制。它们需要直接下药，还需要大量的DNA, 而且只适用于某些类型的组织。", "64. 尽管基因疗法自第五次审查会议以来取得了很大进展，尤其是在靶向载体的研发方面，但它仍不是一种已证明有效的技术。在动物模型试验中，这种疗法取得了不错的效果，包括使耳聋的天竺鼠恢复了听觉。对人进行的几次临床试验却不如预期。释放系统和基因表达率仍有很大的问题要解决。", "病毒基因工程", "65. 基因疗法中使用的许多病毒所含的遗传物质与包括人在内的其他生物所含的遗传物质相似(DNA)。但是，其他病毒用的是另一种形式的遗传物质(RNA)。对DNA进行操纵和基因工程，已经是一项行之有效和普遍使用的技术，而对RNA病毒进行操纵，其挑战性较高。RNA较不稳定，应用基因重组技术比较困难。目前已研发出另外的处理RNA病毒的方法。通过逆向基因工程，可以把RNA复制成互补DNA(有时需要利用某种病毒蛋白质或辅助病毒)，然后把互补DNA植入细菌，就能够用传统的技术进行操纵了。自第五次审查会议以来，可按此法操纵的序列长度大为增加。现在已能够对最大的RNA病毒(例如引起严重急性呼吸道综合症(非典型性肺炎)的冠状病毒)进行逆向基因工程了。DNA经修饰后，即可取出并植入一个系统，再转化回RNA。然后可将RNA相植入一个允许细胞(有时又需要利用某种病毒蛋白质或辅助病毒)，该RNA将被阅读，从而构建出最后的病毒。这个机制增进了对病毒如何复制的了解，为开发新的疫苗和载体提供了可能性。", "66. 最近，有人使用类似的技术重新生成了引起1918-1919年流感大流行的病毒。生成的经过基因操纵的病毒具有以人工重新引入的原病毒的表面结构。原先不具有致病性的病毒在加入了这样的表面结构之后，在动物模型中就变成具有致病性的毒株。而且，被这一病毒感染，会表现出1918-1919年大流感的特定症状(见附件二所列的1918年流感实验)。", "抗病毒药物", "67. 目前仍未研制出具有类似于抗生素的特性的安全、有效抗病毒药物。尽管自第五次审查会议以来取得了进展，诸如研制出一些据说对痘病毒感染有效的药物，但副作用很大，极有可能使这些药物无法用于预防。使用单克隆或多克隆抗体等其他手段对付病毒，也取得了进展，据说可有效对付痘病毒和委内瑞拉马脑脊髓炎病毒。在研发非特异性免疫兴奋剂方面也有进展，这种物剂通过免疫调节作用或细胞活素，可引起全身防御反应。这方面的一个成功实例是使用X干扰素治疗艾滋病毒/艾滋病。", "检测技术", "68. 由于若干领域取得了进展和产生了提高能力的技术，检测和鉴定技术也大有进步。相关的发展包括：荧光检测分子种类增多；聚合酶链式反应扩增速度加快；基因探针系统得到改进和特异性得到加强；微阵列技术有了进步；试剂冻干技术；抗体作用增强；短核酸(核酸配体)的出现和抗原识别；纳米技术，包括量子点和金纳米粒子的应用；渐逝波检测技术；光散射表面细胞质基因组共振；金属包覆漏波导技术；使用超声波、电泳和介电泳改进检测限度；生物发光技术；和自发荧光检测技术。", "69. 自第五次审查会议以来，生物检测设备已更为灵敏、易用和价廉。微型化和自动化程度越来越高。适用于实地环境而且可在市场上买到的技术越来越多。手持式快速诊断设备和近实时环境取样设备也已研制出来。目前正在研发各种检测方法，包括通过使用：抗体；高亲和性结合试剂；光学检测；生物发光；纤维素试纸；和纳米技术。", "生物虫害控制", "70. 一些领域的进展带动了生物虫害控制系统(生物杀虫剂)的研究。这种系统近期内还不大可能取代化学杀虫方法，因为在配制、作用速度和效率方面仍有问题。最常提到的正在研发中的生物虫害控制系统是使用苏云金芽孢杆菌来控制植物虫害。正在研发的用作生物虫害控制剂的其他毒素包括发光杆菌、虫媒假单胞菌和噬线虫杆菌。有人在研究如何生产出含有苏云金芽孢杆菌中的杀虫毒素的转基因作物。目前的工作重点是寻找作用更强的毒素和扩大目标范围。苏云金芽孢杆菌中的毒素也被植入其他微生物，诸如杆状病毒或其他细菌，用作生物控制剂。", "附 件 一", "值得关注的实验", "1. 各方，包括专业科研机构和缔约国，为了确定何种实验值得关注而作了种种努力。其中一些实验已经进行过，发表于同行评审的科学期刊；另一些实验被认为理论上有可能。所有实验都具有技术挑战性，只有经费充足、协调良好的研究项目才有条件进行。", "2. 美国国家科学院2004年发表的“恐怖主义时代的生物技术研究”报告列出了七种值得关注的实验，它们是：", "(1) 证明如何使疫苗失效；", "(2) 对有疗效的抗生素或抗病毒剂产生耐药性；", "(3) 加强病原体的毒性或使非病原体产生毒性；", "(4) 提高病原体的传染能力；", "(5) 改变病原体的宿主范围；", "(6) 能够规避诊断和检测手段；", "(7) 能够使生物剂或毒素武器化。", "3. 为了协助编写本文件，澳大利亚提供了以下的值得关注的实验清单：", "(1) 使疫苗失效；", "(2) 使病原生物对有疗效的抗生素或抗病毒剂产生耐药性；", "(3) 加强病原体的毒性或使非病原体产生毒性；", "(4) 提高病原体的传染能力；", "(5) 改变病原体的宿主范围；", "(6) 能够规避以通用方法进行的诊断和/或检测；", "(7) 进行病原体基因测序；", "(8) 合成病原微生物；", "(9) 使用异源表达系统(及相关生产技术)大规模生产蛋白质；", "(10) 对生命衰减疫苗生产过程进行优化；", "(11) 能够使生物剂或毒素武器化；", "(12) 用天花病毒进行的任何实验。", "附 件 二", "经常被指出与《公约》特别相关的实际实验", "1. 在探讨与《公约》相关的科学和技术发展时经常提到下列四个实验；", "(1) Expression of Mouse Interleukin-4 by a Recombinant Ectromelia Virus Suppresses Cytolytic Lymphocyte Responses and Overcomes Genetic Resistance to Mousepox (“重组缺肢病毒中的鼠白介素4表达抑制了淋巴细胞溶解反应并克服了对鼠痘的基因抵抗”)作者为Ronald J.Jackson、Alistair J. Ramsay、Carina D. Christensen、Sandra Beaton、Diana F. Hall和Ian A. Ramshaw。发表于Journal of Virology, 第75卷第3期，2001年2月，第1205-1210页；", "(2) Chemical Synthesis of Poliovirus cDNA： Generation of Infectious Virus in the Absence of Natural Template(“脊髓灰质炎病毒互补DNA的化学合成：在没有天然模板的情况下产生感染性病毒”)，作者为Jeronimo Cello、Aniko V. Paul和Eckard Wimmer。发表于Science, 第297卷第5583期， 2002年8月9日，第1016-1018页。", "(3) Characterization of the Reconstructed 1918 Spanish Influenza Pandemic Virus(“重造1918年西班牙大流感病毒特性分析”)，作者为Terrence M. Tumpey、Christopher F. Basler、Patricia V. Aguilar、Hui Zeng、Alicia Solórzano、David E. Swayne、Nancy J. Cox、Jacqueline M. Katz、Jeffery K. Taubenberger、Peter Palese和Adolfo García-Sastre。发表于Science, 第310期，2005年10月7日，第77-80页；和", "(4) Characterization of the 1918 influenza virus polymerase genes(“1918年流感病毒聚合酶基因特性分析”)， 作者为Jeffery K. Taubenberger、Ann H. Reid、Raina M. Lourens、Ruixue Wang、Guozhong Jin 和Thomas G. Fanning。发表于Nature, 第437卷，2005年10月6日，第889-893页。", "此外，正在进行与禽流感有关的实验工作。", "鼠痘实验", "2. 研究人员试图产生一种可用来控制鼠群繁殖的病毒，因为鼠繁殖得太多，对谷物生产造成很大损害。研究人员将母鼠卵中的一种蛋白质植入鼠痘病毒，以图改变这种鼠病原体。目的是刺激鼠的免疫系统，使其自行绝育。为了加强鼠体内的抗体反应，他们还植入了另一种基因，即白介素4编码基因。产生的病毒对受感染的鼠的致死率是100%，这些鼠中有的是对天然鼠痘遗传免疫，有的曾接种过鼠痘疫苗。该实验让人关注的是，包括天花病毒在内的有关病毒可能也会产生类似的作用。", "脊髓灰质炎病毒实验", "3. 2002年，一组研究人员从脊髓灰质炎病毒的基因序列成功地人工生成了具有致病性的活的脊髓灰质炎病毒。序列信息是从互联网上的一个公开文库获取的。该序列被分解成若干较小的区段。各区段的序列信息通过互联网传送给合成DAN的商业公司，公司则把实体DNA邮寄回研究人员，由他们将这些区段结合起来，产生病原体的基因组。然后，使用该基因组产生实际的病原体。一些后续实验已开始使用这一程序重新生成较大的病毒，也有人表示打算合成一种细菌。尽管过去四年来技术有进步，现在还不可能使用这一技术重新产生所有病毒。", "1918年流感实验", "4. 2005年期刊中报告的研究结果表明，两个研究组成功地重新生成了引起1918-1919年流感大流行的病毒株系。他们从被感染者的组织样本中得到流感病毒的基因序列，然后用该序列重新组成已灭绝的这种病原体。对其序列和不同结构元素的分析表明，它有可能是一种发生突变后的禽流感病毒。有人还开展了研究，以查明何种结构特性使其能够如此有效地感染人类并使人致命。", "禽流感实验", "5. 随着对流感病毒的认识日益加深，有人已开始设法让造成目前禽类大批死亡的病毒株系也能感染人并且能在人与人之间传染。其目的是进一步了解这种宿主物种的改变是如何在大自然中发生的，又如何才会引起人流感的超大流行。若干实验室报告说，它们正试图将禽流感病毒的基因与人流感病毒混合。", "[1] BWC/CONF.II/13、BWC/CONF.III/23、BWC/CONF.IV/9。", "[2] “发展中国家在卫生生物技术领域的创新”，工发组织全球伙伴研讨会，2005年3月3日至4日，奥地利维也纳。详见：http://www.unido.org/file-storage/download/？file_id=35240。", "[3] 见www.hapmap.org。", "[4] 例如：“标准生物部件登记册”，麻省理工学院恩迪实验室，见：http://parts.mit.edu。" ]

[ "SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/INF.428 September 2006Original: ENGLISH", "Geneva, 20 November – 8 December 2006", "Item 10 of the provisional agenda", "Review of the operation of the Convention as provided for in its Article XII", "BACKGROUND INFORMATION DOCUMENT ON NEW SCIENTIFIC AND TECHNOLOGICAL DEVELOPMENTS RELEVANT TO THE CONVENTION", "Prepared by the Secretariat", "Introduction", "1. In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to compile a background information document on new scientific and technological developments relevant to the Convention, to be compiled from information submitted by States Parties as well as from information provided by relevant international organisations. The Secretariat has prepared this document in accordance with that request.", "2. The Second, Third and Fourth Review Conferences[1], conscious of apprehensions arising from relevant scientific and technological developments, inter alia, in the fields of microbiology, genetic engineering and biotechnology, and the possibilities of their use for purposes inconsistent with the objectives and the provisions of the Convention, reaffirmed that the undertaking given by the States Parties in Article I applies to all such developments. The Fourth Review Conference supplemented the list of scientific and technological developments with molecular biology… and any applications resulting from genome studies.", "3. This document discusses significant developments in these fields since the Fifth Review Conference, as well as the evolution of new disciplines. It covers: biotechnology; genomics; proteomics; bioinformatics and computational biology; systems biology; drug discovery, design and delivery; synthetic biology and biological engineering; as well as a number of other relevant developments. Annexed to this document are an overview on identifying experiments of concern (Annex I), and a list of actual experiments often quoted as being particularly relevant to the Convention (Annex II).", "4. The following States Parties submitted information to the Secretariat for the preparation of this document: Australia, Czech Republic, the Netherlands, Portugal, Sweden, the United Kingdom, and the United States of America. The full texts of the submissions from these States Parties, as well as any subsequent submissions received too late to include in this document, are available online at http://www.unog.ch/bwc in the Sixth Review Conference section. Information in this document has also been drawn from a variety of documents made available by intergovernmental, international and professional scientific organizations.", "5. An inclusive approach has been taken in determining which developments may be of relevance to the Convention. Although the advances discussed in this document have obvious applications for prophylactic, protective or other peaceful purposes, they may also have the potential to be applied in contravention of the objectives and provisions of the Convention. Inclusion of a development in this document does not imply any assessment by the Secretariat of its permissibility or otherwise under the Convention.", "Biotechnology", "6. Biotechnology has yielded public health, agricultural, and economic benefits as well as feeding back into the life sciences to improve development. Numerous commercial applications have been found and the last few years have seen dramatic increases in reliance on this technology. The benefits derived from biotechnology can be found increasingly in developing countries. A paper presented at the United Nations Industrial Development Organization's Global Partners Symposium in Austria in March 2005, records that both the number of papers published and patents awarded, to various developing States for developments in health biotechnology, rose dramatically between 1991 and 2002.[2]", "7. The high turnover of staff at small biotechnology companies, especially those attached to academic institutions, has increased the rate at which developments spread between institutions. These companies are often dependent on a small number of potential products. If their efforts are successful, they (and their intellectual property) tend to be bought up by larger companies. If they fail, they tend to be liquidated. This dynamic employment environment is conducive for the spreading of knowledge (intangible biotechnology).", "8. There are clear indications that biotechnology, both tangible and intangible, is indeed spreading. Disposable bioreactors are one example of a technology which enables this dissemination. These are self-contained production devices delivered with all the necessary fixtures and fittings as ready for use. The come in sizes from 1 to 500 litres and when used can be disposed of, eliminating the need for cleaning, sterilisation and validation.", "Bioprospecting", "9. Bioprospecting is the search for previously unrecognised, naturally occurring, biological diversity that might serve as a source of material for medicine, agriculture and industry. Material gathered in bioprospecting may include genetic sequences, proteins, complex biological compounds or entire organisms. Bioprospecting has also led to the identification of many new species, especially different microbes. In recent years, bioprospecting has produced candidates for new antibiotics, antiviral compounds, anticancer agents, antioxidants, anti-diabetic agents, immunosuppressive compounds, insecticides, as well as genetic sequences encoding high and low temperature stability, high or low pH tolerance and high or low salt tolerance. Surveys for microbial agents which might act as pathogens in the future have also been carried out. Vectors and natural reservoirs have been examined for previously unknown pathogens or microbes related to known pathogens. This improves risk management programmes, provides a degree of early warning for future disease outbreaks and enhances understandings of microbial diversity and inferred microbial function.", "10. A number of advances have underpinned the development of bioprospecting. Without developments in microbial cultivation, seriological surveys, extraction and purification techniques, abilities to amplify genetic material, genomics techniques, and drug discovery, design and delivery, current bioprospecting efforts would not be possible.", "High-Throughput Screening", "11. Since the Fifth Review Conference there has been considerable progress in automating and miniaturising repetitive laboratory tasks for examining biologically active compounds for properties of interest. Application of these advances led to significant improvements in the efficiency and speed of processing samples. High-throughput screening technologies allow large numbers of compounds (libraries – see combinatorial biochemistry) to be screened for specific activities, such as looking for a compound to bind to a particular receptor, or inactivate a specific enzyme. They also allow a single compound to be tested for numerous possible activities. Such an ability was developed for DNA chips (oligonucleotide microarrays) which are commonly used in basic and applied research, to monitor the levels of expression of genes, in identifying the functions of genes, assessing genetic variation, and elucidating new targets for therapeutic drugs. They therefore enable numerous other fields of scientific and technological endeavour.", "12. Advances in high-throughput technologies were produced by an amalgamation of developments in a wide number of fields, including miniaturised screening formats, liquid handling, signal detection, robotics, bioinformatics and conducting biological assays. These advances now allow a user to screen more than 100,000 compounds per day for a desired activity. As a result research projects can now regularly screen in excess of 1 million compounds, a task, if conducted by hand, which would take millions of laboratory-hours.", "Biological Microprocessing", "13. Advances in miniaturisation and automation have also been applied to produce discrete functional devices capable of conducting entire biological tests, previously requiring a laboratory. They have been described as being a \"lab-on-a-chip\". Advances in microfluidics and microfabrication have allowed the production of devices ranging in size from a microscope slide to a compact disc. It is no longer necessary to work on a macro scale, such as a laboratory bench with flasks of material. The same processes can be replicated with picolitres (10⁻¹² of a litre) of initial sample and equally small volumes of reagents. These devices are generally produced to carry out one specific activity, such as DNA analysis, an immunoassay, cell analysis, or for measuring enzyme-activity. They can be fully automated and can conduct numerous steps to complete their prescribed activity, such as breaking down the sample, diluting it, adding reagents, mixing it and detecting reactions.", "14. Advanced forms of the \"lab-on-a-chip\" can be fully integrated and carry out all the stages from sample introduction, through to interpreting the results. More commonly, they can be connected to standard laboratory equipment, such as external detectors. Reducing the amount of specialist equipment and training required to undertake these tests allows devices to be developed for use in new environments. Such devices have great potential for epidemiology and, therefore, for detecting, diagnosing, characterising and responding to disease outbreaks (see detection technology).", "Genomics", "15. If a gene is a working sub-unit of DNA which encodes a specific product, such as a protein, then the genome is the entire collection of genes within an organism. Advances in technology have dramatically increased the speed at which it is possible to identify, characterise and manipulate genes. Advances in sequencing genes underlie many of the scientific and technological developments relevant to the Convention. Due to the large amounts of genetic information being generated, it is now possible to talk in terms of genomes as opposed to individual genes. Progress in genomics (the study of genomes) has been assisted by concerted efforts to ensure genomic information remains open source.", "DNA Sequencing", "16. Sequencing is the identification of the order of the nucleotides which make up genetic information. In other words, it involves turning the physical material into abstract information. It is not a new technology. Experienced scientists have been conducting sequencing for some time. Prior to the Fifth Review Conference there had been significant advances in automation and efficiency. This permitted entire genomes to be sequenced: the first eukaryotic genome (a yeast) in 1997; the first animal genome in 1998; and the human genome in 2001. Advances made during the sequencing of the human genome illustrate the impact of this trend toward increasing automation. The Human Genome Project (the international collaborative effort to elucidate the sequence) aimed to accomplish the task in 15 years using a relatively large number of highly specialised facilities staffed by experienced scientists. As technology improved, the limiting factor became the associated staffing costs. Automation and miniaturisation have allowed post-doctoral researchers to be replaced by master's students; master's students to be replaced by undergraduates; and technicians, with only minimal higher learning, to replace the undergraduates. Adoption of sequencing advances allowed a commercial competitor to publish a draft of the human genome at the same time as the international coalition, despite have started on the project almost ten years later.", "17. DNA sequencing technology has continued to evolve since the last Review Conference increasing the ability to identify and characterise previously unknown organisms. Efficiency and levels of automation have continued to increase over the last four years. The associated costs are falling by a factor of two every 12-18 months. Current developments, such as capillary sequencing machines and DNA Chips, are enabling studies of sequence variation within species by sequencing large numbers of strains, including pathogens, in parallel. Existing work also focuses on creating machines capable of reading a single copy of a sequence. This will significantly reduce the numbers of errors incorporated into a sequence (compared to the current approach of amplifying multiple copies), allowing the genome of an individual cell to be read more accurately and enable advances in functional genomics and proteomics.", "DNA Synthesis", "18. DNA synthesis is the reverse process to DNA sequencing. It involves turning the sequence data back into physical material. The ability to generate physical DNA to match a sequence of information is also not new. There have, however been significant improvements in the efficiency and automation of the process. In the 1970s it was possible to generate DNA sequences by hand. During the 1980s advanced methods were developed to allow short strings of DNA to be synthesised much more easily. In the 1990s, automated machines began to appear which allowed a technician to feed raw sequence data in at one end and receive short fragments of DNA from the other. Advances in the interim have increased the length of the stands which can be produced to around 40,000 base pairs, reduced the time taken to produce the strands, decreased the number of errors which appear in the finished strands and allowed for strands to be joined together to form entire genomes. Experiments in 2002 and 2003 demonstrated that it was possible to assemble the entire genomes of viruses from scratch and that these viruses could then function as well as their natural counterparts (see, for example, the polio virus experiment in Annex II).", "19. Semiautonomous DNA synthesis machines can currently produce long strands of DNA sequence and have had their error rate reduced to 1 in 10,000 base pairs. Older versions of these machines are already appearing for sale on Internet auction sites for between $5,000 and $10,000. Simple DNA sequencers can be built from scratch from commonly available components using instructions available on the Internet for around $10,000. Current restraining factors on DNA synthesis are the cost and time taken to produce the strands of DNA. Recent statistical analyses of cost/time trends indicate these factors halve every 12 to 18 months. Currently, the cost for DNA fragments is around $0.10 per base pair. For context, if the entire structure of the smallpox virus were to be produced (in numerous segments) it would cost in the region of $18,600. This progress has been helped in part by the commercialisation of the technology. Gene sequencing companies, from which DNA fragments can be purchased online and express delivered, have appeared throughout the world. An exercise which would have taken a dedicated laboratory numerous human-years to produce by hand at the time of the Second Review Conference can now be achieved at a moderate cost almost immediately.", "DNA Silencing", "20. Plants, fungi and animals (including humans) all share an ancient defence against certain types of virus. The presence of certain viral genetic information (known as dsRNA) in a cell starts a mechanism (known as RNA interference or RNAi) to stop the dsRNA replicating, by interfering with the process by which genetic material is read and converted into a product. This process was described as recently as 2001, and researchers soon realised it could be adapted for use as a laboratory tool. By creating dsRNA which corresponded to a specific DNA sequence they could fool the defence mechanism into stopping the sequence from being translated into a product. In other words it is possible to selectively switch off the operation of a given sequence. This capability became increasingly important as the amount of genetic sequence information, with unknown function, increased dramatically thanks to developments in DNA sequencing. Being able to switch off a sequence or gene at will allowed scientists to see the effect of its absence on a biological system. This permits them to identify its function. As an example of the power of this tool, by May 2003 researchers had used this approach to determine the function of 1,722 genes of a species of worm, many of which were previously unknown. A project is already underway to use this technology to determine the function of every gene in the human genome.", "21. DNA silencing also has therapeutic applications. Genes can be associated with diseases. DNA silencing can switch off these genes, alleviating symptoms, preventing a disease from taking hold or curing it. Efforts are already underway to use DNA silencing to counter HIV, hepatitis and cancer. An experiment in 2004 also used these techniques to reduce cholesterol in mice. Clinical delivery remains a problem. Recent research suggests scientists are well on their way to overcoming this hurdle. One approach is to use a virus to deliver the RNAi.", "DNA Shuffling", "22. In order to create a sequence with enhanced properties, traditional genetic engineering relied on being able to cut a DNA sequence from one place and insert it into another location. This involved a directed attempt to combine properties from two separate sequences to create a third with properties more efficient than either of its antecedents. This process was known as directed evolution. Using genetic engineering it was necessary to develop each new sequence one at a time, combining sequences by hand and then screening for combinations with the desired characteristics. The process was repeated several times with successive sets of offspring to optimise the process. DNA shuffling, on the other hand, takes a library of related versions of the same sequence (such as genes from related species), breaks them apart and then recombines them into new versions of the basic sequence. It effectively allows for the simultaneous mating of numerous species. It produces a higher yield of functional offpring than can be achieved from the older approach. DNA shuffling improves the efficiency with which a wide diversity of genetic sequences can be derived.", "23. DNA shuffling was used in 2002 to combine sequences from four microbes to produce a new sequence with 270 to 540 times greater activity than the best parental sequence. Results from DNA shuffling also suggest that the best combination of parents might not be those most closely resembling the offspring. (Counterintuitively, if you want a sequence with a good part A and a good part B, it may not be best to start off with one parent with a good part A and another with a good part B.) This complicates attempting the same process using the directed evolution. Even if it is possible to obtain the optimised sequence using older techniques, DNA shuffling produces the same results significantly faster.", "24. DNA shuffling has progressed to the point where it is now possible to shuffle entire genomes. Experiments have already been completed using related bacteria. The results from a single shuffle were comparable to 20 generations of directed evolution. Work has been carried out on improving human molecules. Researchers in 2003 succeeded in producing a human cytokine (a group of molecules involved in signalling and the immune system) with ten times the activity of the one that appears naturally. These techniques have also been employed to optimise viruses for use in gene therapy. The limiting factor on DNA shuffling remains the ability to screen for and isolate offspring with the most enhanced desired properties. Developments in high-throughput screening are slowly addressing these shortcomings.", "Genomic Medicine", "25. Advances in the understanding of genomics have demonstrated that genetic sequences play an important role in disease, both for the pathogen and those infected. The genome of a pathogen provides information about its infectivity, virulence and other disease-determining factors. This allows novel detection technologies, diagnosis mechanisms, prophylactics and therapeutics to be devised. The genetic sequence of those infected confers a disposition to certain diseases and also explains why certain therapies are less effective in specific individuals and why some patients suffer unusual or extreme side effects. This offers the possibility of developing prophylactic or therapeutic regimes to match a patient’s specific genetic make-up. The required research is already underway. A pre-requisite of effective genomic medicine is a catalogue of human genetic diversity. Such an effort is underway in the form of the HapMap Project.[3] Information generated by the international effort is freely available in the public domain. Developments in genomic medicine have already indicated that certain drugs are more efficient in certain geographic regions, offering a capacity for ethnic or geographic specificity.", "26. Genomic medicine will not develop its full utility until the costs and time taken to sequence a genome are considerably reduced. There may be some shorter-term benefits from observations based upon common ethnic or geographic traits. This would allow drugs to be optimised for a sub-population. Tangible uses are already being found for genomic medicine in detecting, diagnosing, preventing and treating disease.", "Proteomics", "27. If genomics is the study of all the genes in an organism, then proteomics is the study of all the proteins encoded by those genes. It incorporates elements of both their structure and function as well as how they interact to regulate biological systems. Proteomics is related to functional genomics, as it examines the function of genes, specifically those encoding proteins. Proteins form the basis of the majority of biological functions. They are closely related to disease – either because they cause it (for example, the anthrax toxin is composed of three proteins), or because they are targeted in the host (equally the receptor the anthrax toxins binds to on human cells is a protein). It has also been postulated that certain proteins can act as self-replicating, infectious pathogens, better known as prions. Prions are believed to cause a variety of neurodegenerative disorders in animals and humans.", "28. One rapidly expanding area within proteomics is that of comparative studies. Proteins from different growth conditions, strains or species can be labelled and detected. This approach allows the identification of proteins that have a role in virulence, interaction with the host or the environment, and antibiotic resistance. Proteomics also provides information which can be used to improve detection systems, diagnoses, vaccines and therapeutics. Studies have already led to the identification of novel drug and vaccine targets, including for the parasite which causes malaria. They are also contributing to characterisation of pathogenicity, the study of host-pathogen interactions, including the humoral immune response, and the evaluation of mechanisms of action for anti-microbials.", "29. Traditionally, proteomics has involved a combination of gel electrophoresis and mass spectrometry. Advances in these and other fields, including nucleotide sequencing, complex mixture analysis, chip-based approaches, and algorithms, have enhanced proteomics capabilities. New tools have become available for studying the functioning and interactions of proteins, most noticeably high-affinity binding reagents. There have also been considerable advances made in isolating small molecules from complex environments, even if they are present in very small quantities. Handling proteins from dangerous organisms has also progressed. It is now possible to chemically synthesise the relevant gene, and express and purify it from a host cell, negating the need for the presence of the organism itself, possibly reducing the level of the safety and security precautions required for the work. Other developments include progress in non-gel techniques for creating, separating and analysing protein mixtures, even those it had been previously difficult to express. It is now possible to mark proteins with tags so small that they do not need to be removed after production, and to recover secreted proteins directly from feedstock without need for centrifugation.", "High-Affinity Binding Reagents", "30. Recent advances have provided a capacity to inhibit or modulate the expression of specific protein targets. Two classes of these high-affinity binding reagents are currently used: aptamers and tadpoles. Aptamers are short, single-stranded nucleic acid or peptidic ligands. They have been used in target validation, detection reagents and as functional proteomics tools. Their use as therapeutics has also been explored. They have been tested in animal models to inhibit blood clot formation and to treat age-related degenerative changes to the eye. Tadpoles are comprised of a protein head with a DNA (oligonucleotide) tail. Their ability to bind to specific targets (such as one of the three proteins which comprise the anthrax toxin) combined with their easy quantification (due to their DNA tails) has led to their development for use in disease diagnosis, surveillance and environmental detection (see detection technology).", "Bioinformatics and Computational Biology", "31. Developments in genomics and proteomics have produced a huge amount of information. For example, in August 2005 the three largest repositories of gene sequence information contained 100 billion bases of sequence data from 165,000 organisms. The contents of one of these repositories, Genbank, doubles in size every 18 months. The synergy between increasing knowledge and the open exchanges of ideas and information is accelerating advances in medicine, industry, and agriculture.", "32. The amount of data available and the complexity of biological interactions means that manipulating it by hand is no longer feasible. The decreasing cost and increasing power of computers, as well as the development of specific platforms for analysis and data management, have provided a medium for handling this information. The application of large-scale data analysis techniques in this field has become known as bioinformatics. Bioinformatics is creating new scientific and commercial opportunities. The ability to combine bioinformatics with high-throughput screening technologies offers the potential to reduce the time it takes to conduct research, as well as the time taken to convert a discovery into a viable commercial product.", "33. Computational biology goes beyond data analysis to look at the broader interface between computing and biology. Four key points of overlap have been identified. First, there are computational tools (software or hardware) which allow biologists to acquire, store, manage, query and analyse biological data to solve very specific and precisely defined problems. Second, there are computational models which can be used to test insights, make quantitative predictions and help interpret experimental data. Third, computational perspective or abstraction can provide well-understood constructs which can be used to characterise the biological function of interest. Fourth, scientists increasingly rely on high-end general computing centres; well-managed, accessible data repositories; digital libraries; high-speed networks; and data acquisition technologies, such as genome sequencers.", "34. The types and format of the information becoming available varies widely and includes: sequences; graphs; geometric information; scalar and vector fields; patterns of organization; constraints; images; and prose. Advances in bioinformatics and computational biology have provided tools to deal with this, including:", "(i) Increased capacity for the storage and analysis of large amounts information on low-cost platforms;", "(ii) Enhanced efficiency for data distribution and communications technology permitting the sharing and operation of large, complex data sources with a wide geographic distribution;", "(iii) Internet-based tools enabling simple world-wide access to biological information;", "(iv) Common data formats that permit the integration of multiple data streams; and", "(v) Enhanced search methods capable of dealing with a variety of different types of information stored in geographically disparate locations.", "Systems Biology", "35. Systems biology has been described as the expansion of physiology into unprecedented levels of complexity. Instead of studying how the body works on the visible scale, it has been expanded to the molecular scale. It is based upon the premise that observable biological behaviour is caused by a complex system of dynamically interacting molecular events. These interactions add another layer of complexity to a biological system. For example, the number of genes found in humans (such as review conference delegates) is not significantly larger than the number found in simpler organisms (such as worms). How can the obvious difference in complexity between a conference delegate and a worm be explained if they have similar numbers of genes, and therefore similar numbers of components? The answer is that it is a complexity of regulation as opposed to a complexity of structure. Interactions between the various components were found to be more complex in humans than in worms. Systems biology is the study of the complex interactions between networks of molecules in a discrete biological system.", "36. Previously scientists may have examined a single facet of a biological pathway, for example, the control of a cellular response to infection. Systems biology permits them to look more broadly at the affect of a particular stimulus on multiple different pathways, for example other cascades initiated by the cellular response to infection which in turn have a counter-regulatory effect on the one identified first. These studies are demonstrating that there are many molecular interactions which have not been previously identified and that there exist entirely new regulatory mechanisms using novel signalling pathways.", "37. Systems biology entails a four-stage process. First, information about the system is gathered using variety of tools, including high-throughput screening technology, genomics advances, proteomics devices and data mining of bioinformatics databases. Second, the amount of information involved is too large to manipulate by hand and is, therefore, manipulated using computational biology techniques in an attempt to quantify all the molecular elements that make up the system and map them into a single graphical network model. Third, the model can be used to establish how the manipulation of the system affects its functioning. Finally, the computational predictions can be checked against empirical experimentation, and the data produced can then be used to improve the model. The ultimate goal would be to produce a model of the system which accurately reproduced the entire system and which allowed accurate simulated experimentation.", "38. Systems biology, therefore, contributes to drug discovery, design and delivery, especially through rational drug design, by assisting the modelling of effects of molecules interacting with the system. Systems biology also has wider medical implications, as it is possible to frame almost all disease as a manipulation of biological systems by genetic, molecular or environmental factors. By studying how a system suffering from a disease differs from a healthy counterpart, information on how disease-related processes interact and are controlled can be inferred. This is providing possibilities for new diagnostic and therapeutic approaches as well as opening the door to improved genomic medicine.", "39. Fully integrated systems biology is still in its infancy. There are still shortcomings in the ability of computational tools to handle the variety and quantity of information currently available in an efficient manner. There has, however, been significant progress in examining the interactions of complex regulatory mechanisms in bioregulation, especially in neurobiology and immunology.", "Bioregulation (Neurobiology and Immunology)", "40. Scientific publications have shown that biologically-active biochemicals and bioregulatory peptides can modulate physiological systems and processes such as the brain and the immune system in very precise ways. There is considerable commercial interest in these bioregulatory compounds as they offer novel opportunities for the relief of pain, depression, and a wide range of mental disorders. There are indications that through their use it will be possible to manipulate perception, sensation, cognition, emotion, mood, volition, bodily control and alertness. Use of bioregulators has been considered limited in the past because the compounds involved tend to be environmentally unstable. Developments in microencapsulation are allowing the commercial development of these agents.", "41. Efforts to identify the molecular circuits and control systems which regulate the functioning of the body, in addition to studies designed to show what perturbations cause various alterations and disease states, have identified a wide range of targets for bioregulators. Considerable efforts have been made to study what products are produced in various disease states (transcriptional profiling). Such studies extend to how pathogens overcome various immune responses or treatments (such as antibiotics). An increasing understanding of how the structure of biologically active compounds affects their affinity for and reactivity with specific molecular targets provides capabilities for optimising their development. For example, it is becoming increasingly apparent that the three-dimensional folding of biologically active compounds plays a key role in their function. Advances in the production of these molecules allow for more complex structures to be produced. The availability of large libraries of biologically active compounds allows for high-throughput screening. As a result, it is becoming increasingly feasible to identify a compound to perturb a specific biological process. Industry has generated much of the relevant information to date, and views it as commercial proprietary information. Current efforts are underway to make more of this information publicly available to assist researchers around the world in their work and in the identification of new drug targets.", "Drug Discovery, Design and Delivery", "42. There have been numerous developments over the last five years with respect to identifying, creating and making use of biologically active substances (drugs). This is leading to new prophylactics, such as vaccines, and therapeutics, such as anti-microbial agents. Significant funding has been injected into the field for biodefence work. Recent efforts have also made progress on sub-unit and DNA vaccines.", "Combinatorial Biochemistry", "43. The development of high-throughput screening technologies has made it possible to assess, in a short time, the potential for use as drugs of large numbers of biochemical structures. A parallel capability to produce numerous different biochemicals to be screened was therefore desirable. Traditional biochemistry allowed proteins to be built amino acid by amino acid, in a process known as solid-phase synthesis. New techniques contain the individual constructions within \"mesh bags\", allowing their contents to be combined after each step to significantly increase the diversity of the amino acid sequence (solution-phase parallel synthesis). It has also become possible to tag each construction so that the order of the amino acids can be read easily and their structure understood. Solution-phase parallel synthesis also increases the range of chemical reactions which can be performed, significantly increasing variations of structures which can be created. Recent developments have also refined the purity of products. These advances, when combined with automation, miniaturization and bioinformatics permit the rapid creation of large numbers of synthetic compounds (libraries).", "44. Early developments in drug design suggested that if a large enough library was screened, a biochemical structure with desirable characteristics would eventually be found. Advances in combinational biochemistry provide for libraries of an unparalleled scale. Rewards from this approach appear to have been few, however, and recent advances have seen a move away from the use of large, general libraries towards more focused, less diverse libraries where variations on a theme are used to screen for optimisation against a specific characteristic. This has proven particularly useful for the further development of promising (or \"lead\") compounds in drug discovery. It allows variations of the lead compound to be assessed for efficiency and other desirable characteristics. Information generated from combinatorial biochemistry effectively describes how chemical modulation of compounds affects biological activity. It therefore also provides data relevant to systems biology and rational drug design.", "Rational Drug Design", "45. Advances in the understanding of biological systems, especially in the interactions of the various components, have highlighted that a number of molecules are important for the maintenance of health or play a role in the onset of disease (see bioregulation). Developments, such as those in x-ray crystallography and nuclear magnetic resonance imaging (NMR), have also permitted the structure of target molecules and the structures which interact with them to be mapped. Understanding how these interactions occur opens the door to designing molecules which will interact with specific targets to produce a desired effect. If the structure of a target molecule is known, it is possible to draw upon known interactions to predict what a drug that will interact with it will look like. The more data there is to draw upon, the more accurate the prediction is likely to be.", "46. Developments in bioinformatics and computational biology have allowed the construction of computer hardware and software to model these interactions. These computers allow virtual screening to be run on massive libraries far faster than can be achieved using even the most advanced biochemical techniques. The product is a rationally-designed molecule which when designed can be fed into the traditional drug development programme. In practice, this computerised rational drug design is used in parallel with combinatorial biochemistry and high-throughput screening. Traditional approaches may be used to identify a lead compound, which can then be optimised using rational drug design techniques.", "Drug Targeting", "47. The efficiency of a drug depends upon its ability to reach the part of the body it needs to interact with. The efficiency of a drug can be further improved by ensuring that it only interacts with its desired target. This means that there is more of it to act, because it has not been wasted interacting with molecules which were not targeted. It also minimises the risk of unwanted reactions or adverse effects.", "48. Although a truly efficient, selective targeted delivery system remains elusive, considerable progress has been made. There is a growing library of targeting systems for different targets. Three approaches form the basis of current efforts to improve drug targeting. First, drugs have been encapsulated with a structure to enhance targeting (see microencapsulation). Second, numerous viruses and bacteria have been manipulated for use as delivery devices, taking advantage of their natural ability to selectively infect specific cells (for example, see gene therapy). Third, drugs have been joined to carrier molecules designed to recognise specific targets. All of these systems rely upon molecular recognition systems. They selectively recognise and bind to their targets before releasing the drug. These delivery systems can be further enhanced to increase the take-up of the drug by the target.", "Microencapsulation", "49. Coating biologically active agents can protect them from environmental factors, such as evaporation, oxidation and contamination. It can also improve target recognition and therefore specificity. Coatings can be made from a variety of materials including organic polymers, hydrocolloids, sugars, waxes, fats, metals or inorganic oxides. The coatings are designed to preserve the functionality of their contents until they arrive where they are needed. This requires a variety of release mechanisms, to ensure that they are able to interact when they reach the desired location. Release mechanisms developed to date include controlled release, delayed release, targeted release (see drug targeting), biodegradable release, and salt-induced release. There are two common approaches to microencapsulation: the physical and the chemical. Physical microencapsulation can include spray drying, fluid bed coating, co-extrusion and rotary-disk atomisation; while chemical microencapsulation commonly uses polymerisation, phase separation, solvent evaporation and coacervation.", "50. This technology is not new but has found many new uses since the Fifth Review Conference. As a result, it is becoming increasingly available commercially. It is currently used in water treatment, food production, agriculture and the cosmetics industry, as well as in bioremediation and hazardous waste management. It is also being developed as part of a cancer treatment and for the treatment of damaged skin.", "Biopharming and Bioproduction", "51. Biopharming is the use of genetically altered plants which can be grown in large numbers to produce complex biologically active molecules without the need for industrial facilities. It offers the possibility of a low-technology, cost-efficient form of mass production for biological compounds. The gene for a desired substance is inserted into the plant, which then can be grown naturally and either used as a delivery device itself (in the case of food plants) or have the molecule harvested and processed. Using plants in this manner reduces the cost of production, lowers the technical threshold for production (once the plant has been engineered) and allows for the construction of complex biologically active structures (such as vaccines or anti-bodies) which could not be produced using traditional approaches, or for which such production was prohibitively expensive.", "52. Transgenic (genetically engineered) plants - including rice, potatoes, maize, fruits, vegetables, and tobacco - have been developed to produce: beta carotene; human milk proteins; cholera antigens; antigens for diarrhoeal pathogens; the hepatitis B vaccine; AIDS antigens; sub-unit vaccines for rabies; human glycoproteins; human haemoglobin; and hepatitis B antigens. Plants are also in development for the production of antibodies to protect against biological weapons. Relatively long lead times and high regulatory costs have meant that licensed applications are uncommon, and biopharming may not become a standardised approach for some time. Protein expression systems for artificial genetic sequences have also been developed in bacteria, yeast, filamentous fungi, insects and mammalian tissue.", "Drug Delivery", "53. There are the three common routes of entry for a drug into an organism: inhalation, oral, and trans-dermal. Inhalation offers advantages, including the rapid speed of onset, a more even distribution, and the potential for wide-area coverage. Delivery by inhalation relies upon aerobiology and aerosol technology and has been developed for administering prophylactics and therapeutics to humans, animals and plants. Advances have been made in two important areas: the preparation of biological structures to make them suitable for aerosol delivery, and the efficiency of the delivery devices themselves. There have been important developments in powder technology and particle engineering which have improved particle dispersibility, control of particle morphology, and physical and chemical stability. For example, the development of supercritical fluids (SCF) provides compounds with the properties of both liquids and gasses, which also overcomes complications in purifying the active agent. Equally, advances in the construction of large porous particles allows optimised aerosol delivery of substances larger than those traditionally considered suitable for effective inhalation. There are three different aerosol delivery systems in current usage: propellant metered-dose inhalers, dry powder inhalers, and nebulizers. Each of these three systems has had to face hurdles in utility. Advances since the Fifth Review Conference have addressed many of these issues.", "54. Aerosol technologies are increasingly applied to the treatment of disease. They are in widespread use for the treatment of asthma and chronic obstructive pulmonary disease. Similar models are in development for the treatment of diabetes, human growth hormone deficiency, prostate cancer and endometriosis. Applications have not been limited to human delivery. Advances in this field have also led to the wide-area dissemination of agents as pesticides, such as the aerial distribution of aerosols of Bacillus turingiensis to protect forests from the spruce bud-worm (see biological pest control). Animal studies have also been carried out to assess the biological impact of inhalation of toxic particles. There have also been aerosolization studies conducted for disseminating bacteria over large areas of water as part of water treatment. Aerobiology has also been used to assess the plume characteristics of biological aerosols for use in farming and agriculture. These technologies are, therefore, more widely available than they were at the time of the Fifth Review Conference.", "55. Progress has also been made in oral delivery techniques. Problems with oral delivery, or ingestion, stem from the ability of the stomach and intestines to break down biological structures. Biologically active compounds are normally denatured or even digested before they can be taken up and travel to the areas where they should act. Advances in microencapsulation have, to a large extent, overcome these problems. Recent research has provided the ability to coat proteinaceous molecules so that they can pass through the stomach unaffected and bind to the mucosal lining of the intestines, where they can enter the blood stream.", "56. Until recently, trans-dermal penetration has not been a feasible delivery mechanism. It required a vector, such as an insect, to break the skin and deliver the biologically active compounds into the bloodstream. The approach has become more sophisticated both through the development of transgenic (genetically manipulated) insects and through an increased understanding of how certain vectors, such as the mosquitoes which spread malaria and West Nile Virus, overcome insecticides. There have also been significant improvements in chemical solutions for crossing the skin barrier. Certain technologies have already been proven and found commercial applications, such as the nicotine-administering patches to help smokers give up. Work carried out with chemical penetration enhancers has increased 100-fold the trans-dermal penetration of relatively large proteins.", "Synthetic Biology and Biological Engineering", "57. Many of the advances discussed in this paper have involved the development of novel enabling technologies and the application of engineering principles to biology, such as those required to enhance automation and reduce the time and cost of often-repeated activities. This growing overlap between biology and engineering has facilitated a new approach to the life sciences, synthetic biology, which focuses on using knowledge of biological systems to begin to construct them from scratch. Key to synthetic biology is a requirement for biological components which can be combined to produce a biological system in a manner reminiscent of the way in which a circuit board is compiled from pre-packaged electronic components.", "58. Synthetic biology has attracted both biologists and engineers, who tend to view it in very different lights. Engineers see synthetic biology as a way to fabricate biological devices to do what no current technology is able to. Biologists see it as a powerful new way to learn about the principles underlying biological function. Both come together to model biological systems with desirable properties, create these systems in reality, test them for functionality and adjust them until they work properly. The empirical refinement required is currently considerable, although it is likely to decrease with experience. Throughout the process the knowledge gained is fed back into design and construction. As a result, understanding of the principles of the operation and design of biological systems is advancing rapidly.", "59. Synthetic biology has absorbed concepts from the engineering sciences, such as standardisation and abstraction. These concepts underlie any attempt to establish a process for function-oriented design and are important for the development of biological components. In other engineering disciplines, it is possible to take a component off the shelf and know that it is compatible with those already used in a device. For synthetic biology, efforts are underway to ensure that the various biological components constructed around the world are interoperable and use consistent, standardised parameters.[4] Abstraction is also important for the development of component-driven biological systems. An individual does not have to understand every step of a process to contribute to it. A complex task can be broken down into different strata and it is possible to become an expert at any level without an in depth knowledge of other levels. For example, it is possible to design an electrical circuit board without being familiar with how each component can be produced. This makes the process more accessible, helping it to be commercialised.", "60. Synthetic biology has developed as a concept since the Fifth Review Conference. There have been notable successes in using it to design biological systems. For example, in 2003 a bacterium was re-engineered to change colour when it grew in the presence of an explosive. This was developed for use in locating unexploded ordnance or landmines. The re-engineered bacteria could be sprayed over an area and where it grew in the presence of TNT, it would glow fluorescent green. Similarly, in 2004 researchers produced a DNA computer to search for early signs of prostate and lung cancer and control the delivery of biologically active drugs.", "Other Relevant Developments", "Nanotechnology", "61. Nanotechnology has been described as \"a clever means of making incredibly small things\". Although many of the advances relate to the manipulation of non-organic matter and therefore fall outside the life sciences, structural elements of biological systems do fall within the size requirements for nanotechnology. Manipulating biological systems to create devices with a specific purpose might therefore be considered nanotechnology.", "62. Of all the properties found in biological systems, self-assembly has received particular attention from nanotechnologists. DNA and its synthetic versions have been used to make objects, lattices and devices. These have been used both as components and as joining agents in the construction of complex structures. Current nanotechological applications for biological systems include molecular imaging and detection, reporters for therapy efficiency determination, multifunctional therapeutics, disease prevention and control and various enabling technologies. Under development are architectural controls and scaffolding, nanomechanical devices, and self-replicating nano-systems. Devices built to date include a synthetic DNA structure which cuts up RNA molecules, and contact lenses which release precise dosages of medication to treat glaucoma.", "Gene Therapy", "63. There is a link between the functioning of genes and disease. Faulty genes working in an abnormal manner cause many diseases. Gene therapy is the attempt to replace these faulty genes with a healthy copy. It is built upon the ability of certain viruses to copy DNA back into a host’s genome. In gene therapy, a vector is used to transport the healthy gene to the target cells. Vectors under development include a range of engineered viruses, including retroviruses, adenoviruses, adeno-associated viruses and herpes simplex viruses, which have had their disease causing genes removed and the space made available for insertion of the healthy gene. Viruses are often selected for use as vectors because of their ability to target certain cells (see drug targeting). A considerable library of vectors targeting different tissues has been developed. Numerous non-viral delivery mechanisms have also been created. They require both direct administration and a large amount of DNA, and are only compatible for use with certain tissue types.", "64. Although considerable progress has been made on gene therapy since the Fifth Review Conference, especially in the development of targeted vectors, it remains an unproven technology. Notable successes have been achieved in animal models, including restoring hearing to deaf guinea pigs. The few human clinical trials which have taken place have been, however, less successful than hoped. There are still significant issues to be overcome for delivery systems and gene expression rates.", "Genetic Engineering of Viruses", "65. Many of the viruses used in gene therapy contain genetic material similar to that found in other organisms, including humans (DNA). Other viruses, however, use an alternate form of genetic material (RNA). While the ability to manipulate and genetically engineer DNA is well established and in common use, manipulating viruses which use RNA poses more of a challenge. RNA is less stable and is less amenable to recombinant genetic techniques. Alternative strategies to deal with RNA viruses have been developed. RNA can be copied into a complementary DNA version through reverse genetic engineering (sometimes requiring the presence of certain viral proteins or helper viruses) which can then be inserted into bacteria where they can be manipulated using traditional techniques. There has been significant progress since the Fifth Review Conference in the size of sequence with which this can be accomplished. It is now possible to reverse-genetic-engineer the very largest RNA viruses, such as the coronavirus which causes SARS. After modification, the DNA can then be removed and inserted into a system to convert it back to RNA, where it can be inserted into a permissive cell (again sometimes with certain viral proteins or helper viruses) where it will be read and the resulting viruses constructed. This mechanism has improved understanding of how viruses replicate and has presented options for the development of new vaccines and vectors.", "66. Similar technology has recently been used to recreate the influenza virus which caused the 1918-1919 pandemic. The resulting manipulated virus included surface structures from the original virus which had been artificially reintroduced. The addition of these structures converted formerly non-pathogenic viruses into a pathogenic strain in animal models. Furthermore, those infected with the virus demonstrated symptoms characteristic of the 1918-1919 strain (see the 1918 influenza experiments in Annex II).", "Anti-Viral Drugs", "67. Effective, safe anti-viral drugs, with properties similar to antibiotics, remain elusive. Although progress has been made since the Fifth Review Conference, such as the development of a number of drugs reportedly effective against pox virus infection, their side-effects may well preclude these drugs from prophylactic use. Alternative strategies, such as the use of monoclonal or polyclonal antibodies, for use against viruses have also advanced, with reports of effective treatments for both pox viruses and Venezuelan Equine Encephalitis. There has also been progress in developing non-specific immunostimulators, which prompt a general defensive response through immunomodulators or cytokines. One successful example of this approach is interferon-alpha used in the treatment of HIV-AIDS.", "Detection Technology", "68. Advances and enabling technologies drawn from a number of fields have led to significant improvements in detection and identification technologies. Relevant developments include: an increased range of fluorescent detection molecules; more rapid polymerase chain reaction (PCR) amplification strategies; refinement of gene probe systems and enhanced specificity; advances in microarray technologies; freeze-drying or lyophilisation of reagents; more robust antibodies; the advent of aptamers and antigen recognition; nanotechnolgies, including the use of quantum dots and gold nanoparticles; evanescent wave detection technologies; light scattering surface plasmon resonance; metal clad leaky waveguide technology; improved detection limits through the use of ultrasound, electrophoresis and dielectrophoresis; bioluminescence technology; and auto-fluorescent detection techniques.", "69. Since the Fifth Review Conference, biological detection equipment has become more sensitive, easier to use and cheaper. It is increasingly miniaturised and autonomous. There are increasing numbers of commercially available technologies suitable for use in field environments. Hand-held devices for rapid diagnosis and near real-time environmental sampling have been developed. Numerous approaches to detection are currently being pursued, including through the use of: antibodies; high-affinity binding reagents; optical detection; bioluminescence; dip sticks; and nanotechnology.", "Biological Pest Control", "70. Advances in a number of fields have stimulated research into biological pest control systems (biopesticides). It is unlikely that such systems will replace chemical approaches in the near future, as there are still problems with formulation, speed of action and efficiency. The most commonly cited biological pest control system currently developed is the use of Bacillus thuringiensis to control plant pests. Other toxins under development for use as biological pest control agents include those found in Photorhabdus luminescens, Pseudomonas entomophila, and Bacillus nematocida. Research to produce transgenic crops incorporating the pesticidal toxin found in Bacillus thuringiensis has been undertaken. Current work centres upon finding more powerful toxins and expanding the range of targets. The toxin found in Bacillus thuringiensis has also been inserted into other microorganisms, such as baculovirus or other bacteria, for use as biological control agents.", "Annex I", "Identifying Experiments of Concern", "1. There have been numerous attempts, including by professional scientific bodies and by States Parties, to characterise experiments of concern. Some of these experiments have already been conducted and published in peer-reviewed scientific literature; others are considered theoretically possible. All are technically challenging and require well-funded and coordinated research programmes.", "2. The United States National Academy of Sciences included in its report Biotechnology Research in the Age of Terrorism, published in 2004, a list of seven experiments of concern, namely those which would:", "(i) Demonstrate how to render a vaccine ineffective;", "(ii) Confer resistance to therapeutically useful antibiotics or antiviral agents;", "(iii) Enhance the virulence of a pathogen or render a non-pathogen virulent;", "(iv) Increase transmissibility of a pathogen;", "(v) Alter the host range of a pathogen;", "(vi) Enable evasion of diagnostic and detection modalities;", "(vii) Enable the weaponization of a biological agent or toxin.", "3. In its contribution for the preparation of this document, Australia provided the following list of experiments of concern:", "(i) Rendering a vaccine ineffective;", "(ii) Conferring resistance to therapeutically useful antibiotics or antiviral agents in pathogenic organisms;", "(iii) Enhancing the virulence of a pathogen or rendering a non-pathogen virulent;", "(iv) Increasing the transmissibility of a pathogen;", "(v) Altering the host range of a pathogen;", "(vi) Enabling the evasion of diagnosis and/or detection by established methods;", "(vii) Undertaking genetic sequencing of pathogens;", "(viii) Synthesising pathogenic microorganisms;", "(ix) Large-scale protein production employing heterologous expression systems (and associated production technology);", "(x) Optimisation of live attenuated vaccine production processes;", "(xi) Enabling the weaponisation of a biological agent or toxin;", "(xii) Any experiment with the smallpox virus.", "Annex II", "Actual Experiments Often Quoted as Being Particularly Relevant to the Convention", "1. Four experiments are often discussed when scientific and technological developments relevant to the Convention are considered:", "(i) Expression of Mouse Interleukin-4 by a Recombinant Ectromelia Virus Suppresses Cytolytic Lymphocyte Responses and Overcomes Genetic Resistance to Mousepox, by Ronald J. Jackson, Alistair J. Ramsay, Carina D. Christensen, Sandra Beaton, Diana F. Hall, and Ian A. Ramshaw. Published in the Journal of Virology, Vol. 75, No. 3, February 2001, pp.1205-1210;", "(ii) Chemical Synthesis of Poliovirus cDNA: Generation of Infectious Virus in the Absence of Natural Template, by Jeronimo Cello, Aniko V. Paul, and Eckard Wimmer. Published in Science, Vol. 297. No. 5583, 9 August 2002: pp.1016-1018;", "(iii) Characterization of the Reconstructed 1918 Spanish Influenza Pandemic Virus, by Terrence M. Tumpey, Christopher F. Basler, Patricia V. Aguilar, Hui Zeng, Alicia Solórzano, David E. Swayne, Nancy J. Cox, Jacqueline M. Katz, Jeffery K. Taubenberger, Peter Palese, and Adolfo García-Sastre. Published in Science, Vol. 310, 7 October 2005, pp. 77-80; and", "(iv) Characterization of the 1918 influenza virus polymerase genes, by Jeffery K. Taubenberger, Ann H. Reid, Raina M. Lourens, Ruixue Wang, Guozhong Jin and Thomas G. Fanning. Published in Nature, Vol. 437, 6 October 2005, pp. 889-893.", "In addition, work is currently underway on experiments involving avian influenza.", "The Mousepox Experiment", "2. The researchers were attempting to produce a virus which could be used to control a mice population which had gotten out of control causing significant damage to grain production. They were attempting to alter a mouse pathogen, mousepox, by inserting a protein found in eggs in female mice. It was an attempt to provoke the immune system of the mice to sterilise themselves. To enhance antibody response in the mice, they also inserted another gene, that encoding IL-4. The virus produced was 100% lethal in infected mice, including those which were either genetically immune to natural mousepox and those which had been vaccinated against it. The experiment raised concerns that a similar effect could be reproduced in related viruses, including smallpox.", "The Polio Virus Experiment", "3. In 2002, a group of researchers managed to artificially create a live and pathogenic polio virus from its genetic sequence. The sequence information was obtained from an open on-line repository. It was broken down into a number of smaller segments. The sequences of the segments were submitted over the internet to commercial DNA synthesising companies, who mailed the physical DNA back to the researchers, who were then able to join the segments back together to make the genome of the pathogen. The genome was then used to generate the actual pathogen. Follow-up experiments have started to use this process to re-create larger viruses, and plans to synthesise a bacteria have also been revealed. Despite advances in technology over the last four years, it is still not possible to use this technique to reproduce all viruses.", "The 1918 Influenza Experiments", "4. The research reported in these 2005 publications indicated that two research teams had succeeded in recreating the strain of influenza virus which caused the 1918-19 pandemic. They reassembled this extinct pathogen from its sequence, which they compiled from tissue samples from those infected. Analysis of its sequence and various structural elements indicate that it was likely a mutated avian influenza virus. Research has also been undertaken to characterise what structural properties allowed it to infect humans and kill them so efficiently.", "Avian Influenza Experiments", "5. As an extension of the increasing knowledge of influenza viruses, efforts have already begun to force the strain responsible for the current pandemic of bird deaths to be able to infect and become transmissible between humans. This work is aimed at improving the understanding about how this host species change occurs in the wild and what it takes to make a pandemic human super-flu. A number of laboratories have reported trying to mix the genes of the avian influenza virus with human influenza viruses.", "[1] BWC/CONF.II/13, BWC/CONF.III/23, and BWC/CONF.IV/9.", "[2] Health Biotechnology Innovation in Developing Countries, UNIDO, Global Partners Symposium, Vienna, Austria, 3-4 March 2005. For more information see: http://www.unido.org/file-storage/download/?file_id=35240.", "[3] See: www.hapmap.org.", "[4] For example: Registry of Standard Biological Parts, the Endy Lab, Massachusetts Institute of Technology, see: http://parts.mit.edu." ]

[ "Geneva, 20 November-28 December 2006", "Item 10 of the provisional agenda", "Review of the implementation of the Convention in accordance with Article 12", "Presentation of background documents on new scientific and technological developments relevant to the Convention", "Prepared by the Secretariat", "Introduction", "In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to prepare a background paper on new scientific and technical developments relevant to the Convention, which should be compiled in accordance with information submitted by States parties and information provided by relevant international organizations. The Secretariat has now prepared this document in accordance with that request.", "The Second, Third and Fourth Review Conferences “to recognize the concerns arising from scientific and technical developments in the areas of microbiology, genetic engineering and biotechnology, as well as the possibility of using them for purposes contrary to the objectives and provisions of the Convention, and to reaffirm that the commitments made by States parties in Article 1 apply to such developments.” In addition to scientific and technical developments in the areas listed above, the fourth Review Conference added the “cultry biomass”. ... and any application of the results of the study by the Genetic Group”.", "The present document addresses significant progress in these areas since the Fifth Review Conference and emerging disciplines, including biotechnology; genetics; eggs; biological information and calculation of biology; systems biology; detection, design and release of drugs; synthetic biology and bioengineering; and a number of other relevant developments. The present document also contains a note of interesting experiments (annex I) and a summary of practical experiments that are often referred to in the Convention (annex II).", "The following States Parties provided information to the Secretariat for the preparation of the present document: Australia, the Czech Republic, the Netherlands, Portugal, Sweden, the United Kingdom and the United States of America. The full text of the information provided by these States parties and any subsequent submissions that are not included in the present document are available online: http://www.unog.ch/bwc, “sixth Review Conference” section. The preparation of this document also takes into account the documentation provided by a number of intergovernmental organizations, international organizations and professional scientific organizations.", "In determining which development may be relevant to the Convention, this document is an inclusive approach. Despite the fact that the progress discussed in this document is clearly useful for the prevention, protection or other peaceful purposes, these progress may also be used to violate the objectives and provisions of the Convention. The inclusion of a progress in this document does not indicate whether the Secretariat would make any assessment of the Convention.", "Biotechnology", "Biotechnology brings benefits to public health, agriculture and the economy, and in turn promotes life science and promotes development. The extent of reliance on biotechnology has increased considerably in the years. Developing countries are also increasingly benefiting from biotechnology. A paper published at the United Nations Industrial Development Organization Global Partners Seminar held in Austria in March 2005 noted that the number of papers and the number of patents issued by some developing countries for the development of health biotechnology increased significantly between 1991 and 2002. [2]", "Small biotechnical companies, particularly small companies with academic institutions, have high mobility rates, which accelerate the spread of new progress among agencies. These companies often rely only on a few potential products. If successful development is developed, these companies (and their intellectual property) are often purchased by larger companies. In the absence of success, it is usually the suspension. This highly mobile employment environment is conducive to the dissemination of knowledge (non-physical biotechnology).", "There is clear indication that tangible and intangible biotechnology is indeed being disseminated. A one-time bioresponsibility is a means to facilitate dissemination. They are self-sufficient production devices and are ready to use them. Their sizes vary from 1 to 500 to the end of use without laundering, poisoning and certification.", "Biological exploration", "Bio exploration means finding biodiversity that may become a source of drugs, agriculture and industrial raw materials is natural but not previously identified as a source of raw materials. The materials collected by bioprospecting may include genetics, eggs, complex biological compounds or biota as a whole. Bioprospecting can also identify many new species, in particular different microbis. In recent years, bioprospecting has also resulted in licences for new antibiotics, anti-virus compounds, anti-drug agents, anti-diabetes, anti-virus sterilization, anti-stereotypical material, and high temperature stability, high-hydride evasion indices (pH) resistant and highly salt-resilient genetic codes. In addition, microbiological agents were surveyed for possible future use as pathogens. The existence of media and natural stores was investigated for microbiologicals previously unknown or associated with known illnesses. This has resulted in improved risk management programmes, providing a degree of early warning for future outbreaks of disease, and enhancing knowledge of micro-biodiversity and fertile microbiological functions.", "Several progress provides the basis for the development of bioexploration. The lack of progress made in microbiological development, vascular observatory, pure technology, increased capacity for genetic substances, detection, design and release of genetics and medicines is not possible to develop the current bio exploration.", "High-level screening", "Since the Fifth Review Conference, significant progress has been made in the automation and miniization of the work of the repetitive laboratory analysis of the specific nature of bio-independent compounds. These progress has increased significantly the efficiency and speed of the samples processing. The use of high-quality screening techniques allows for the screening of a large number of compounds (cash - see a combination of biochemicals), such as the search for compounds that can be combined with a particular body or may deprive a particular slogan. The use of such technologies could also test whether a single compound is likely to be active. DNA cores with this capacity, often used for basic and application studies to monitor the extent of gene expression, thus identifying genetic functions, assessing the extent of genetic variability and identifying new target points for the treatment of medicines. Therefore, such technologies are very helpful in many other scientific and technological areas.", "Progress in high-quality technologies is due to a number of developments in many different areas, including the screening of forms of microchemicals, liquid handling, signal testing, machine technology, bioinformation and biological identification. As these progress has been made, users can screen more than 10,000 compounds each day for specific living features. As a result, a research project is now regularly able to screen more than 1 million compounds, which will require millions of laboratory manuals if manually screened.", "Biological microprocessing", "Progress in miniization and automation has also been used to produce functional subsidiaries capable of conducting the entire biology test, and a laboratory was required in the past to conduct such tests. They are referred to as “camps”. Progress in micro- and micro-processing technologies has been used to produce items ranging from micronutrients to CD-ROMs. There is no longer a need to work on macro metrics, such as the placement of laboratory work stations with various bottles. The same order could be repeated by the original samples using micro-moil (10-12 litres) and the same small test agent. They are generally used only to carry out a specific activity, such as DNA analysis, immunization measurement, cell analysis or visual measurement. They can be completely automated and many steps have been taken to complete the mandated activities, such as secession samples, rare interpretation samples, the addition of probation, hybrid and testing responses.", "High-level “coordinated laboratories” can be fully integrated and capable of carrying out all stages of work, starting from the replacement of samples to the outcome of the judgement. They are more generally connected to standard laboratory equipment (such as external detection). Because the test does not require more specialized equipment and training, it can be developed for the equipment that can be used in the new environment. Such devices have great potential for epidemiological applications that can be used to detect and diagnose epidemics, characterize epidemics and respond to them (see test technology).", "Genetic group", "If genetics are a sub-unit of DNA with some power, the genetic group is a pool of all genetics in biota. Technological progress has significantly accelerated the pace of identification, profiling and manipulation of genetics. Many scientific and technological developments related to the Convention are based on progress in the genetic sequence. Due to the fact that a large number of genetic information has been generated, it is now possible to analyse the gene pool, not only to analyse individual genetics. Coordinated efforts to ensure that the information of the Genetic Group can be obtained publicly, contribute to progress in the genetic pool (in the study of the gene group).", "DNA sequence", "The order is to determine the order of nuclear acid that constitutes genetic information. In other words, it translates material into abstract information. Genetic patterns are not new technologies. Over a period of time, experienced scientists have been in the process. Prior to the fifth Review Conference, the level of automation and efficiency had increased considerably, enabling the measurement of the entire Genetic group: The first is the Genetic Group of Real Nuclear Biogens (a fertile brick), 1997; the first animal genetic group, 1998; and the Human Genetic Group, 2001. Progress in the human grace process can explain the impact of the growing trend of automation. The “Human Genome Plan” (International Cooperation Proclamation Plan) has intended to use a significant number of highly specialized facilities and experienced scientists to complete this work within 15 years. As technology progresses, the related staff costs are restrictive. Because of the ongoing automation and miniization, the master's post-harvest was replaced by a doctor who had no higher education. As a result of the advances in the ordering technologies, the competition in a commercial sector, despite the fact that almost 10 years later, has been able to work with the international cooperation order plan to make the human Genetic basket.", "Since the last Review Conference, DNA speculation technology has continued to develop and has increased the ability to identify and characterize previously unknown biological bodies. Over the past four years, efficiency and automation have been increasing. The costs will be reduced by half from 12 to 18 months. The current progress, such as the MCP and DNA cores, can be measured simultaneously with a large number of micronutrients, including pathogens, to study the sequencing differences within the same species. A machine capable of reading a leaflet is being developed. This could significantly reduce the speculation errors (as compared to the current multi-beam expansion approach), which could be more accurate in terms of the gene pool of individual cells and promote the development of functional genetics and eggs.", "DNA", "DNA is a process contrary to DNA. It is redirecting the data into substance. The generation of DNA substances relative to the sequence of information is not new technologies. However, the efficiency and automation of the generation process have increased considerably. In the 1970s, DNA series could be generated by artificial means. In the 1980s, the development of advanced methods was very easy to consolidate DNA. In the 1990s, the automated machine started and the technic was able to import the raw data into one hand, while another received short DNA. As a result of technological advances, DNA chain chiefs can reach about 40,000 bases, reduce production time, reduce the error in the synthetic DNA chain, and enable the DNA chain to be combined with the entire gene pool. The survey conducted in 2002 and 2003 showed that the entire gene pool with no geospatial syndrome was able to function as the natural virus (e.g., the poliomyelitis test listed in annex II).", "At present, semi-selective DNA synthetics can produce a long series of DNA sequences, which are erroneous to 10,000 alkali. The old-age synthetics have been sold on the Internet's website, with prices ranging from $50 to $10,000. The use of easily accessible components allows for the creation of a simple DNA sequence, in accordance with the protocols available on the Internet, at approximately $10,000. For DNA synthesis, the current restrictive factor is the cost and time of producing the DNA chain. Recent statistical analysis of cost/time trends shows that both factors will be reduced by half every 12 to 18 months. The production costs for DNA are now approximately $0.10 per alkali. For example, if the entire structure of the activation of the veterans is to be produced in many parts, the cost is approximately $18,600. Progress in this regard has benefited in part from the commercialization of technologies. The world has genetic sequence companies that can be used to purchase DNA paragraphs in order to deliver quickly. At the time of the Second Review Conference, a dedicated laboratory was required to manualize the production of many people in the year, which is now almost complete and costly.", "DNA Silence", "Plans, vacuums and animals (including humans) have a stereotyped defence mechanism. In the case of a particular type of genetic information (known as dsRNA) and once in the cell, a mechanism (known as a statistical interference, or a national representative) would be launched to interfere in the process of reading genetic material and translating genetic information into material, thereby disrupting the reproduction of dsRNA. This process was clarified only in 2001, and the researchers were soon aware that it could be used as a laboratory tool. If synthetics are relatively suited to specific DNA sequences, the defence mechanism can be activated to disrupt the gene order into a material process. In other words, there is a choice to shut down specific recreation activities. This capacity is becoming increasingly important, as the development of the DNA sequence has resulted in an increase in the number of unaccounted genetics. In cases where specific sequences or genes can be closed, scientists can observe what the absence of the order or gene would have implications for the biological system, thereby identifying their functions. Examples can be made of the usefulness of this tool: by May 2003, researchers used this tool to identify 1722 genetic functions of a certain pest, many of which were not known in the past. A project is under way to use such technologies to determine the functioning of each genetic group.", "DNA silence can also be used for treatment. Certain genetics may be linked to a disease. The use of DNA Silence technologies could be closed, thereby mitigating symptoms, preventing disease degradation or treating diseases. The use of DNA silent technologies to combat HIV, hepatitis and cancer is being studied. This technology was also used in a 2004 experiment to reduce the choleraol. clinical applications remain a problem. Recent studies show that scientists have made considerable progress in overcoming this obstacle. One way is to launch DNA using the virus.", "DNA top (or restructuring)", "Traditional genetic engineering methods are to be strengthened in order to generate certain characteristics, mainly from the next paragraph DNA in one local context, followed by the insertion of another place. This is a process determined in the direction: bringing together two separate sequences of characteristics and producing a third order, which is more effective than the characteristics of the first two series. This process is referred to as “direction”. To use this genetic engineering approach, it is necessary to produce each new order, manually and then screening to determine what combinations are ideal. This process would duplicate a number of times, using a further generation of subsets to optimize the process. Unlike this, DNA releasing (or reconfiguration) is the treasury of the various relevant versions of the same sequence (e.g. the genetics of the species concerned) and then restructured to produce a new version of the basic order. This approach may in fact be accompanied by multiple species. The trigger of a particular function is higher than the old methodology. The DNA heavy technology has increased efficiency in generating a variety of genetic sequences.", "In 2002, DNA heavy technologies were used to portfolio the genetics of four micro-organisms, resulting in a new degree of living compared to the best matrimonials of 270 to 540 times. The outcome of the DNA releasing also indicates that the best combination of the parenting process is not necessarily combined with the most congested parenthood. (i) Contrary to the fact that, if there is a good part of A and a good B component, a good part of A was initially tied to another good B component, and not necessarily the best. This makes the use of the “removal” approach more complex. Even if the most optimization of the old methodology is available, the time for DNA heavy technology to produce the same result is much faster.", "DNA heavy technology has progressed towards releasing the entire gene pool. This experiment was completed using the relevant bacteriological test. The result of one releasing is that of 20 generation. There were also improvements in the work of humans. In 2003, researchers succeeded in generating human cell vibrant (a group of individuals associated with signals and immunization systems), which was 10 times the natural cell. These technologies are also used to improve the use of the virus in genetic therapy. The restrictive elements of DNA heavy technology remain the ability to screen and separate the most desirable strengthening features. Progress in high-quality screening is slowly overcoming these weaknesses.", "Genetic medicine", "The progress made in the knowledge of the gene group shows that the gene order has an important role to play in the occurrence of diseases, including in the case of illnesses and the infected. The gene group of the disease has provided information on its causes of infection, toxicity and other diseases. This contributes to the development of new testing technologies, diagnostic mechanisms and preventive tools. The gene order of the infected person makes it vulnerable to a disease or explain why certain therapy is less effective for specific persons and why certain patients have an abnormal or very serious side role. This would make it possible to develop preventive tools or therapy adapted to the specific gene composition of the patient. Research needs are being carried out. Genetic group medicine needs to be effective and must be developed on the basis of human genetic diversity. The “HapMap” project is under way [3]. The information generated by this international effort is openly accessible. The development of gene-based medicine has shown that certain drugs are more effective in certain geographical regions and may be racial or geographically diverse.", "Unless the cost and time of the genes sequence have been reduced substantially, the gene pool of medicine will be difficult to achieve its full effectiveness. According to race or geographical coexistence, it may be useful for a short period of time. Thus, the optimization of medicines for the Asian population could be achieved. Genetic medicine has been found to be used specifically for disease detection, diagnosis, prevention and treatment.", "Psychology", "If genetics are all genetics in the study of biotechnicals, the eggs are researching all genetics. It includes researching its structure and functions and how each other can play a role in regulating biological systems. The eggs are relevant to functional genetics, which examine the function of genetics, especially eggs. eggs form the basis for most biological functions. They are closely related to the disease or cause illness (e.g., the three eggs composition) or the objectives of the boarding owners (e.g., the combination of oxin toxins in human cells is also a egg). It was also observed that certain eggs could be used as a self-replication of vectors with the ability to infection, commonly referred to as “blues” (sexual eggs). The particles were deemed to have resulted in various neurological diseases for both animals and people.", "A fast-moving area for eggs is a comparative study. The logic of different long-term conditions, strains or species can be marked and tested. This approach can identify the toxicity of eggs, the role of boarding or the environment and the issue of resistance. The information provided by eggs can also be used to improve detection systems, diagnosis, vaccines and therapy. Through this study, new drug and vaccine target points have been identified, including drug and vaccine target points to combat malaria insects. The eggs also contribute to the understanding of the role of vectors, researchers and pathogens (including hydro immunization responses) and assessment of the role of anti-biotic drugs.", "Traditionally, the use of concrete swimming and mass speculation technologies by the PPS. Progress in these two areas and in other areas, including nuclear stereotypes, complex mixture analysis, core technology and accounting law, has strengthened research capacity for eggs. New tools have been available to study the functionality and role of eggs, in particular high-parent and sexual combinations. Much progress has also been made in separating small elements from a complex environment, and very few of them could be separated. Hazardous biomass treatment technologies have also improved. It is now possible that the relevant genes and the use of boarding cells be expressed and purely, without the need to use biomass itself, thereby reducing the level of safety and security required for related work. Progress has also been made in the use of non-content technologies for the generation, separation and analysis of egg mixtures, although some of these eggs were previously difficult to express. At present, the logic mark can be very small, with no need to be removed and can be recovered directly from the raw materials for the reproduction of the eggs, without having to be separated.", "High-level and sexual combination of probation agents", "As a result of recent progress, it is now possible to curb or regulate the expression of specific egg target points. The two types of high- and sexual combinations are currently being used: the aptamer (“ Short-nuclear acid” or “nuclear-company”) andtadpole (“forms”). The former is a short single chain of nuclear acid or acetic body, which is used to identify and test agents at the target point and as a functional means of the eggs. The possibility of treatment is also being explored. In addition, in animals, tests have been carried out to curb the formation and treatment of the blood pill and the age-related eye changes. The head of the pyrethroid is egg, and the end is DNA (Organium nuclear acid). They can be combined with specific target points (e.g., one of the three eggs of anhydrumlen toxin) and easily quantified (as their end is DNA), which can be used for disease diagnosis, monitoring and environmental monitoring (see test technology).", "Biology and calculation of biology", "The development of genetics and eggs generates considerable information. For example, in August 2005, three largest gene sequence databases stored tens of thousands of species of biomass. The storage of the Genbank database has doubled every 18 months. The increase in knowledge is mutually reinforcing with the open exchange of ideas and information, which accelerates the development of medicine, industry and agriculture.", "The magnitude of data and the complexity of biological roles imply that it is no longer capable of being processed by artificial means. The cost of computers is increasingly low and the ability to calculate is increasingly high and a specific platform has been established for analysis and data management, which can facilitate the processing of information. The technology to analyse a large number of data should be used in this area, known as “Biodiology”. Bioinformation is creating new scientific and commercial possibilities. If bioinfoology can be combined with high-quality screening techniques, it will be possible to reduce the time of research and to translate science into realistic commercial products.", "The calculation of biology comparative data analysis is more further developed to explore the broader spectrum between the calculation and biology. Four main border points have been known. First, bioologists have access to a number of means of calculation ( software or hardware) to obtain, store, manage, search and analyse biological data to address very specific and clearly defined issues. Secondly, a number of calculation models could be used to test ideas, make quantitative projections and help interpret experimental data. Thirdly, the calculation of the process of reasoning or abstracting may provide the doctrine that is understandable to describe the biological role of the studies. Fourthly, scientists are increasingly dependent on: high-end pool of calculations; the management of good and accessible databases; digital libraries; high-people networks; and data access technologies, such as graces.", "The information available includes a variety of types and formats, including: order; trajectory; trajectory maps; a number of information; tendering and loading; organization-oriented; restraint; graphic; and text description. Biographical information and progress in the calculation of biology provide the means to address these information, including:", "(1) Strengthen the capacity to store and analyse a large number of information on low-cost platforms;", "(2) Improve the efficiency of data distribution and communication technologies so that large and complex data sources of geographical distribution can be shared and managed;", "(3) There are various Internet-based tools that can easily access biological information worldwide;", "(4) There is a unified data format that combines multiple data flows;", "(5) The search method has been strengthened to search for different types of information stored in different locations.", "Systematic biology", "Systematic biology is considered to be an unprecedented degree of complexity. It is not only a mechanism for researching the biophysical role of the measurements, but also an in-depth metric. Its basic premise is that the biological conduct that can be observed is caused by a complex group of actors that interact dynamically. This interaction adds to the complexity of the biosystem. For example, the number of people (e.g. representatives participating in the Review Conference) is much greater than the number of genetics (e.g., stereotypes). The number of conferences and pests is mixed, and therefore the number of treasury items is too low, and how to explain the apparent differences between them in terms of complexity? The answer lies in the complexity of the mechanism, not in the complexity of the structure. Interaction between different treachelors is complex. The research on biology in the system is a complex interplay between the networks of dispersed biosystems.", "In the past, scientists may study only a single aspect of the biological corridor, such as the control of cell responses to infection. System-based biology can study more broadly the impact of specific incentives on different corridors, such as a collusion of other reactions triggered by the response to infection, which in turn have a negative impact on the first response. Studies have shown that many elements have previously been uncovered and that there is a new mechanism for regulating the use of new signal channels.", "The biological studies of the system are divided into four steps. As a first step, the use of tools to collect information on the system included data exhumation of high-quality screening techniques, genetic progress, eggs and biological information databases. In the second step, since information is too large, it is not possible to deal with these information by using biomass-based technologies in order to provide quantitative analysis of all constituent elements of the system before incorporating a graphic network model. Thirdly, the model could be used to explore how the system's manipulation would affect its functioning. Finally, the calculation of the projected value was compared with the experience gained by the experiment and then the data generated were used to improve the model. The ultimate goal is to enable the systematic model to correctly recycle the system as a whole and to conduct accurate simulation experiments.", "Therefore, systematic biology contributes to simulation of the impact of interpersonal and systematic interactions, thereby contributing to the detection, design and release of drugs, in particular through sound drug design. Systematic biology also has a broader medical impact, since almost all diseases can be considered to be manipulated in biological systems by genetics, elements or environmental factors. The study of the difference between a disease system and a healthy system can understand how the disease-related process interacts and controls. This provides a possibility for new diagnostic and treatment methods and opens doors for the improvement of genetic pool medicine.", "A comprehensive and integrated system biology is still in the infant period. The ability to calculate the tools remains inadequate to deal efficiently with a wide range of available data. However, considerable progress has been made in the study of the interactions of various complex mechanisms in the area of biomonitoring, in particular neurology and immunization.", "Biomonial regulation ( neurobiology and immunization)", "Scientific literature indicates that the fundamentals of bio-life biomass and biomonial roles can be regulated in a very clear manner, such as the brain and immunization system. Such biotransfer compounds have a large number of traders because they offer new possibilities for alleviating suffering, depression and multiple mental barriers. There are indications that they are likely to be used in the management of know-how, feelings, perceptions, feelings, feelings, feelings, hearts, will, aircraft control and vigilance. The use of biotransfer agents has been considered limited in the past, since the relevant compounds are vulnerable to instability in the environment. The progress of micronutrients makes the commercial development of biomony agents possible.", "There are studies on the intersection and control systems that regulate the functioning of the machine, and what microsays can lead to changes and disease patterns, thereby finding targets for many biomony agents. There are also a number of works to study the material generated by different diseases (referral spectrum analysis). The object of the study also includes how the disease is overcoming various means of immunization response or treatment (e.g., antibiotics). There is a growing understanding of the impact of the structure of bioingener compounds on their lovedness and responsiveness with the target points of specific elements, which can be optimized. For example, it is becoming increasingly evident that the trivial convergence of biogener compounds is crucial for their functions. The production technologies of these elements have been advanced and can produce more complex structures. The existence of a large-scale arsenal of bio-life compounds facilitates high-quality screening. Thus, it is increasingly possible to identify which compounds may interfere with specific biological processes. At present, most of the relevant information is generated by the industrial community and is seen as a commercial ownership information. More such information is now being made available to the public to assist researchers worldwide in their work and in finding new drug target points.", "Drug detection, design and release", "Over the past five years, there have been a number of developments in the identification, generation and use of biomass (drug). This has led to new preventive instruments, such as vaccines, as well as new treatment instruments, such as microbiological agents. Large funds inject the work in the area of biological defence. More recently, progress has been made in the area of AAD and DNA vaccines.", "Shared biomass", "Using high-quality screening techniques, it is possible to assess, within a short period of time, the possibility of a large number of biochemical structures being used as medicines. Therefore, it would be preferable to be able to produce a number of different biomass for screening. Traditional biochemicals can build eggs through a process known as solidification. New technologies can be constructed individually in the “net eye kits” and can be pooled once a step is completed, thus significantly increasing the diversity of the diagrams (comparables). It is also possible to mark the order of each generation so that it can be easily read out and understand its structure. Parallel combinations have also expanded the scope of the available chemical response, which has resulted in a large increase in the structure generated. Recent progress has resulted in an increase in the purity of products. As a result of the above developments, combined with the application of automated, mini-chemical and biological information, a significant number of synthetic compounds have been generated soon.", "Early developments in drug design suggest that a sufficient pool of books is screened and that the final master will find an ideallytic structure. Progress in the portfolio of biochemicals has now resulted in an unprecedented large pool. However, in line with this direction, it appears that there is little gains. The recent trend is that there is little interest in the use of large-scale general treasury and the use of more targeted, less diverse pools of compounds to change and screen around one theme in order to optimize specific characteristics. This is particularly useful for the further development of much-needed (or “lead”) compounds in the drug detection process. In doing so, it is possible to assess whether certain changes in prefabricated compounds can improve their efficiency and other ideals. The information generated from a combination of biochemicals can effectively explain the impact of the chemical regulation of the compounds on the living nature. The data provided therefore also relate to the systematic biology and sound drug design.", "Sound drug design", "There is further understanding of the interaction between biosystems, in particular different metadata, that a number of elements have played a role in maintaining health or in the occurrence of diseases (see biomonial control). Developments in the area of X-rays and nuclear electromagnetics have enabled the structural maps of target-point elements and the structure of those who play their role. It is known how these interactions occur, which can help to design elements that can play a role with specific target points, thus creating the desired impact. With the identification of the structure of the target point elements, it is possible to predict the structure of the drug that interacts with the target point elements on the basis of known interaction. More data available may be more accurate.", "Progress in biology and the calculation of biology has resulted in the development of computer hardware and software to produce a variety of models of interaction. The use of such computers is a virtual screening of the large pool, which is much faster than the screening of the most advanced technologies. A reasonable designr resulting from the outcome could be included in traditional drug development programmes once designed. In practice, the sound drug design of this computerization is used in parallel with a combination of biochemical methods and high-cost screening techniques. Traditional approaches could be used to identify pre-content compounds and then to optimize the use of sound drug design techniques.", "Drug tracing targets", "The effectiveness of drugs depends on the ability of them to reach the required strengths. It would be useful to ensure that drugs are only functional with ideal target points. This means that the substance has a significant part of its role and has not been destroyed to play a role with non-targeted actors. Thus, the risk of adverse reactions or deputy roles could be minimized.", "Despite the fact that there is no truly effective drug release system targeting selected target points, considerable progress has been made. The pool of searching systems for different target points is increasingly rich. Currently, three methods are used primarily to improve drug access targets. The first approach is that the structure of the plant containing drugs helps to locate targets (see micronutrient). The second approach is the use of the various kinds of virus and bacteriological manipulation as a means of release and the ability to use their lifetimes to select specific cells (e.g., genetic therapy). The third approach is to combine drug with the design of an agent capable of identifying specific target points. All of the above-mentioned methods are dependent on the identification system of elements. The identification system has chosen to identify targets and combine target points before releaseing drugs. These drug release systems can also be further strengthened to increase the possibility of receiving drugs at target points.", "Micronutrients", "The inclusion of biomass agents could protect the impact of these agents from environmental factors such as evaporation, oxinization and pollution, and also enhance the identification of target points so as to enhance their specificity. The package can contain a wide range of materials, including organic blends, waterbers, sugar, fat, metals or futiles. The purpose of the package is to maintain the functionality of the sealed agent until the arrival is required. This requires a variety of release mechanisms to ensure that they can play a role in reaching their destinations. To date, the release mechanisms developed include control of release, delayed release, targeted release (see drug search targets), biodeal interpretation and salinary release. There are two common micronutrient methods: physical and chemical methods. Physical micronutrients can include spraying, streaming, crowding and transgender spraying, while chemical micronutrients typically use combinations, secessions, solvent vapation and polymerging technologies.", "Micronutrients are not new technologies but there are many new uses after the Fifth Review Conference. It is therefore becoming increasingly easier to access such technologies in the market. It is currently used for water treatment, food production, agriculture and sterile industries and bio-recovery and hazardous waste management. It is also becoming part of the cancer treatment technology and the pyramid treatment technology.", "Biological constraints and bioproduction", "Biomedic medicines are used for the production of complex bio-life agents using large-scale nutrients, without the need to use industrial facilities. It offers possibilities for low-technical, low-cost, high-efficiency and large-scale production. Genetic weights of the substances to be obtained will be added to the plant and then the natural head of the plant or plant itself is used as a body (in the case of food plants) or to collect and process the relevant elements. The use of plants could reduce production costs and production technology requirements (after dealing with plants through genetic engineering methods) and could create complex bio-life structures that could not be produced by traditional methods or would be extremely costly for production, such as vaccines or resistances.", "Genetics (which have been dealt with by genetic engineering methods) and plants, including rice, potato, maize, fruit, vegetables and tobacco, have been used for production: eta-Healb; human eggs; cholera; diarrhoea resistance; diarrhoea hepatitis vaccine; HIV resistance; vaccines; rabyia unit vaccines; heal eggs; vibene eggs; and hepatitis. Plans that can be produced to protect biological weapons are also being developed. Because of the length of time from the design to the production and the high regulatory costs, the licence application of biological medicine is not widespread and in the near future will not be a standard approach. In addition, in Bacteriological, fertilum, sterily, Kosophical and mammal organizations have developed eggs for artificial genetics.", "Release of drugs (subject to medicines)", "Drug access to biomass is usually three ways: inhalation, slogan and lapse. Inhalation has the advantage of pharmacies, including the speed of starting the role; the average distribution; and the scope of coverage may be broader. Inhalation of the drug dependence on air biology and anti-soil technologies has been used to prevent pharmacies, animals and plants. Progress has been made in the following two important areas: a system of bionutrients that are suitable for spraying to medicines; and increased efficiency in the delivery of pharmacies. The major developments in the powder technology and microparticles have improved the ability to disperse, the control of particles and physical and chemical stability. For example, the development of a supra-ccumber influenza caused the nature of liquids and gases and overcome complex problems encountered by the purification of active agents. Similarly, as a result of the advances in polyclinical production technologies, the larger substances that have been considered not to be effective inhaled could be absorbed by optimizing sprays. Three different spraying systems are currently being used: dose inhalers containing propitants, dry powder inhalers and sympathizers. Each of these systems has problems. Progress after the Fifth Review Conference has addressed many of these issues.", "Hydrogenic technologies are increasingly used for disease treatment. They are widely used to treat asthane and Chronne. Similar sprayers are being developed for treatment of diabetes, lack of vibrants, pre-reuterine cancers and stereotypes in the uters. The scope of application is not limited to human pharmacies. Progress in this area has also made it possible to spread large parts of insecticide-treated agents, such as airborne Symumvan lobbis to protect forests from pests (see biological pest control). An animal study was also conducted to assess the biological impact of inhaling toxic particles. Aeroforestation study also includes webcasting in large-scale waters as part of water treatment. Air biology is also used to assess the plethic of farming and agricultural biomass. Therefore, these technologies are more prevalent than the fifth Review Conference.", "There has also been progress in the delivery of pharmacies. The problem of oral pharmacies or food entry lies in the ability of the gasoline to distract the biological structure. Biologically active substances are usually transcended and even distracted before they are absorbed and communicated to regions in which they should play a role. Progress in microfinance technologies has largely been overcome. Recent studies have shown that eggs can be brought together so that they can not be affected by stomaching, in conjunction with sings, into bloodshed.", "Shortly ago, it was not a feasible mechanism for pharmacies. It requires a body (e.g., insects) to disparate skins and to transport biomass into bloodshed. Because of the development of trans-generative pyrethroids and the increased understanding of how certain veterans (e.g. malaria transmission and mosquito nets of the Siniro virus) are being resisted by pyrethroids, the pyrethroid technology has been more advanced. There has also been significant improvements in the chemical solvents that have crossed skin barriers. Some technologies have proved useful and have commercial applications, such as Ngudens, which could be used to help to smoking. The results of the strengthening of the work on chemical wearing increased by 100 times the efficiency of higher eggs.", "Syntheticology and bioengineering", "Much of the progress addressed in this document is the development of new technologies that can enhance capacity and the use of engineering principles for biology, such as increasing automation and reducing the time and costs required to engage in recurring activities. The scope of the overlap between biology and engineering has increased, leading to the emergence of new life sciences, namely, synthetic biology, which have begun to build a biological system free from land. The key requirement for synthetic biology is that, as in the pre-reduced electronic fiduciary form of a bibliography, biomass can also be assembled into a biological system.", "Synthetic biology is attractive to bioologists and engineers, but the perspective of these new approaches differs. In the view of the engineers, existing technologies could not be achieved through the manufacture of biological devices. Bioologists are of the view that the basic principles of biofunction can be understood through this great new approach. Both complicity produces an ideal biosystem model that actually produces such systems, test and adapts its functions until such systems are properly operational. There is also a need for considerable improvements based on experience, but with the accumulation of experience, improvements are likely to grow. Throughout the process, knowledge obtained is in turn used to improve design and build work. Thus, awareness of the operation of the biological system and the principles of design can be advanced soon.", "Synthetic biomass absorbs some of the concepts of engineering, such as standardization and imagery. These concepts are essential for the design of functional ownership and are also important for the development of biomass. In other areas of work, the next component could be taken from the lead, and it was understood that it was compatible with the components already used in the equipment. With regard to synthetic biology, efforts are being made to ensure that the different biomass portfolios developed around the world are operational and that they use consistent and standardized parameters [4]. It is also important to develop biosystems based on metadata. One person does not need to understand every step in a process or to contribute to that process. A complex work could be distracted at different levels and could become an expert at any level without further knowledge at any other level. For example, it would not be familiar with how each dollar would be produced or could design the electrical route. This makes it easier for the entire process to gain commercialization.", "The concept of synthetic biology was developed after the Fifth Review Conference. It was successfully used to design biosystems. For example, in 2003, a bacteriological, after genetic regeneration, changed the colours in the vicinity of the explosives. This bacteriological is used to identify the location of unexploded ordnance or mines. In one region, gene regenous bacteria can be replicated and green lights will be triggered if they are to be cultivated around TNT. Similarly, in 2004, researchers developed a DNA computers that could be used to search for early symptoms of preschool and pneum cancer and to control the release of biologically active medicines.", "Other relevant developments", "Nanotechnology", "Nanotechnology is referred to as “a means of smarting very small substances”. Although many progress relates only to the manipulation of unwarranted substances, it is not relevant to life sciences, the structure of the biological system is small and does fall within the scope of nanotechnology. Thus, the manipulation of biosystems for the generation of tools with specific purposes is also considered an nanotechnology.", "In all the characteristics of the biological system, the most nanotechnical researchers are mindful of the “self-contained” characteristics. DNA and SynDNA have been used to manufacture materials, products and equipment. When complex structures are constructed, they can be used as cocontinents. The current nanotechnical applications of the biological system include: molecular imagery and testing; therapy efficiency measurement reports; multifunctional treatment tools; disease prevention and control; and technologies that enhance capacity. In R&D, there are structural controls and wings; nanomechanics; and replication of the Nano system. The equipment currently manufactured includes a synthetic DNA structure that allows the interdiction of the escalating of the escalators; the release of accurate dose of drugs to treat the hidden eye.", "Genetic therapy", "There are links between genetic functions and diseases. The adverse gene effects of an abnormal nature trigger many diseases. Genetic therapy is a healthy replication of genetics to replace adverse genetics. This is because some of the virus can replicate DNA into the gene pool of DNA owners. Genetic therapy uses pyrethroids to target cells. The virginals in R&D include a number of gene-reformed viruses, including antiretrovirals, viruses, healing and single-size measles, whose genes have been removed and the space released can be pushed into health genetics. Frequently, the virus is capable of targeting certain cells (see drug search targets). There is now a considerable body of books, which can target different organizations. In addition, many non-virus mechanisms have been developed. They need direct drugs and a significant number of DNAs, and apply only to certain types of organizations.", "Despite the significant progress made since the Fifth Review Conference, particularly in the area of development of target-loads, it is not a proven and effective technology. In the animal model test, this therapy has been devastated, including the re-recovery of the rats of the alaf. Several clinical trials were not expected. The release system and the rate of gene expression remain a major problem.", "Genetic engineering", "Many of the genetic substances used in genetic therapy are similar to the genetics contained in other biomass, including persons (DNA). However, other virus use is another form of genetic material (2002). The manipulation and gene engineering of DNA has been a useful and widespread technology, while the manipulation of DRs is high. The application of genetic restructuring techniques is more volatile. Additional methods for dealing with the issue of the DR have been developed. By contrast to genetic works, it can be replicated into complementary DNA (sometimes it would be necessary to use a certain pyrethroid or auxiliary virus) and then to incorporate DNA into bacteria, which can be manipulated using traditional technologies. Since the Fifth Review Conference, the length of the process that could be manipulated has increased considerably. It is now possible to carry out counter-generative genetic engineering for the largest number of DRs (e.g. those that cause serious acute respiratory syndrome (non- typical pneumonia). DNA was preferable and incorporated into a system for re-entry. It would then be possible to garner a cell (sometimes it would be necessary to make use of some of the pyrethroid or auxiliary virus), which would be read in order to build the final virus. This mechanism promotes knowledge of how the virus can be replicated and provides possibilities for the development of new vaccines and vectors.", "More recently, similar technologies have been used to reactivate the virus resulting from the pandemic of 1918-191919. The generation of genetically manipulated viruses has the surface structure of the virus that has been retroactive. In the case of the former non-aclusive virus, after joining such a surface structure, it has become a disease-specific drug strain in the animal model. Moreover, the infection of the virus will show a specific symptom of the pandemic of 1918-1919 (see the 1918 influenza experiment set out in annex II).", "Anti-virus", "There is still a lack of development of safe and effective anti-virus drugs with similar characteristics. Although progress has been made since the Fifth Review Conference, such as the development of a number of reportedly effective drugs for the infection of the virus, the Deputy has a great role to make it possible to prevent them. Other means, such as the use of single symmetries or symmetries, have also made progress in dealing with the virus, which is said to be effective against the veterans and the Maoitis virus in Venezuela. Progress has also been made in the area of research and development of non-sex immunizations, which can result in a full-scale defence response through the role of immunization regulation or cell subsistence. One successful example of this is the use of X interference with HIV/AIDS.", "Monitoring technologies", "Monitoring and identification technologies have also made significant progress as a result of progress in a number of areas and technologies that have generated capacity. The related developments include the increase in the number of opioid testants; the accelerated pace of merging chain responses; improved and adversarial enhancements in the genetic system; advances in micronutrient technologies; increased resistance; the increase in the use of short-nuclear acid (nuclear acidifications) and resistance; the application of nanotechnical technologies, including nutrients and gold-miln particles; the increasing use of insecticide-treated tests; the use of pyrethroids; and the use of pyrotechnic technology; and the improvement of mosquito technology; and the use of pyrotechnic technology; and the use of pyrotechnic technology.", "Since the Fifth Review Conference, biological testing equipment has become more sensitive, user-friendly and affordable. The level of miniization and automation is increasing. There is a growing number of technologies that apply to the field environment and are available on the market. Interactive rapid diagnostic equipment and near-time environmental sampling equipment have also been developed. A variety of testing methods are being developed, including the use of: resistance; high-level and sex combination of testors; optical tests; biomass; fibre-test paper; and nanotechnology.", "Biological pest control", "Progress in a number of areas has led to the study of the biological pest control system (biological insecticides). This system is not likely to replace the chemical philosophical approach in the near future, as problems remain with regard to the availability, speed and efficiency of the system. The most commonly referred to the biological pest control system in the development of research and development is to control plant and pests through the use of Sumvanumbons. Other toxins used as biological pest control agents are being developed, including pyrethroids, philosophical breaks and pests. There was a study on how to produce genetic crops containing insecticide-treated toxins containing Syungi. The current focus is on finding more powerful toxins and scaling-up targets. The toxins in Symumvan bacteria are also pushed into other micro-organisms, such as pyrethroids or other bacteria, for biological control agents.", "Annex I", "Provoking experiments", "All parties, including specialized scientific institutions and States parties, have made various efforts to determine what tests merit attention. Some of these experiments have been carried out and scientific journals were published for peer evaluation; others were considered theoretically possible. All experiments have technical challenges, with only adequate funding and coordination of good research projects.", "The report of the National Academy of the United States of America, published in 2004, on the study of biotechnology in the era of terrorism, sets out seven noteworthy experiments:", "(1) How to make vaccines ineffective;", "(2) Acquiescence or resistance with treatment;", "(3) Enhance the toxicity of the disease or the toxicity of the non-communicable disease;", "(4) Improve the transmission capacity of vectors;", "(5) Changes in the accommodation of the disease;", "(6) The possibility of circumventing diagnostic and test means;", "(7) Biological or toxins can be made available.", "In order to assist in the preparation of this document, Australia provided the following focused experimental lists:", "(1) Excluding vaccines;", "(2) Making the disease biological aptitude for therapeutic or anti-virus agent;", "(3) Enhance the toxicity of the disease or the toxicity of the non-communicable disease;", "(4) Improve the transmission capacity of vectors;", "(5) Changes in the accommodation of the disease;", "(6) The possibility of circumventing diagnosis and/or testing by generic means;", "(7) Genetic order of the disease;", "(8) Synthetical microbiology;", "(9) Large-scale production of eggs using different source expression systems (and related production technologies);", "(10) The optimization of the process of production of life-threatening vaccines;", "(11) Making biological or toxins chemical;", "(12) Any experiment with the use of the pyrethroid.", "Annex II", "It is often noted that practical experiments with particular relevance to the Convention", "The following four experiments were frequently referred to in the exploration of scientific and technical developments relating to the Convention;", "(1) Expression of Mouse Interleukin-4 by a Recombinant Ectromelia Virus Rees Cytolytic Lymphocyte Responses and Overcomes Genetic Resistance to Mousepox (“The rat4 in the Restitution Restructification of the Immunopa cell responds and overcome the gene resistance to the ratifications”) is the author of Ronald J. J. J. Jackson, Aairs., Dhana, Dals. Published in Journal of Virology, vol. 75, No. 3, February 2001, pp. 1205-1210;", "(2) Chemical Synthesis of Poliolor cDNA: The generation of Infectious Virus in the Absence of Natural Template (the “chemical synthesis of polio complementarity DNA: the generation of sexually transmitted infections in the absence of a natural template”), author of Jaeronimo Cello, Aniko V. Paul and Eckard Wimmer. Published in Science, vol. 297 No. 5583, 9 August 2002, pp. 1016-1018.", "(3) Characterization of the Reconstructed 1918 Spanish Influenza Pandemic Virus (“Reformation of Spain's Epidemic Sexuality Analysis of 1918”), author Terrence M. Tumpey, Charistopher F. Basler, Patricia V. Aguilar, Hui Zeng, Alicia Solórzano, David E. Swayne, Nancy J. J. Jox, Keffeque, Kristerz, Kristeren, Kol. Published in Science, 310, 7 October 2005, pp. 77-80; and", "(4) Characterization of the 1918 influenza virus polymertiross (the “Asses of gene characteristics of the virus of 1918”, Author Jaeffery K. Taubenberger, Ann H. Reid, Raina M. Lourens, Ruix Wang, Guozhong Jin and Thomas G. Fanning. Published in Nature, vol. 437, 6 October 2005, pp. 889-893.", "In addition, experimental work related to avian flu is under way.", "ratification experiment", "Researchers have attempted to produce a virus that could be used to control cereals, as rats have grown too much, causing considerable damage to cereal production. The researchers have pushed a egg in the babies in order to modify the dose. The purpose is to stimulate the ratifier immunization system to sterilize them. In order to strengthen the response of the ratifiers, they have also pushed into another genetic, namely, white pyrethroid4. The resulting rate of death for infected rats is 100 per cent, with the natural dental genetic immunizations and the vaccination of rats. The experiment gave concern that the relevant virus, including the cyclical virus, could also have a similar role.", "The polio virus test", "In 2002, a group of researchers succeeded in manipulating the poliomyelitis virus with disease. The sequence of information is obtained from a public book on the Internet. The order was divided into a number of smaller sections. The orderal information in the various sectors is transmitted to the commercial company of SynDAN through the Internet, while the company has sent entity DNAmail backers, who combine these paragraphs and produce the gene pool of the vector. The use of the gene group then produced actual illnesses. A number of follow-up experiments have started to use this process to re-establish the larger virus, as well as the intention to consolidate a bacteriological. Despite advances in technology over the past four years, it is not possible to use this technology to re-establish all viruses.", "Influenza experiment 1918", "The results reported in the 2005 journal indicate that the two research groups succeeded in reshaping the HIV-influence caused by the pandemic in 1918-191919. They received a genesis of the virus from the organization sample of the infected person, which was then reintroduced by the order. An analysis of its sequence and various structural elements indicates that it is likely to be a post-introcency influenza virus. Research was also carried out to identify the structural characteristics that would enable them to be so effectively infected with human beings and to put human beings dead.", "Avian influenza experiment", "With the growing awareness of the virus, efforts have been made to make the current number of deaths of veterans of poultry, which can also be infected with persons and are able to spread among people. The aim is to further understand how the changes in the main species occur in nature and how the overex pandemic of human influenza can be created. Several laboratories reported that they were attempting to combine the genes of the Avian virus with the virus.", "Alternative BWC/CONF.II/13, BWC/CONF.III/23, BWC/CONF.IV/9.", "[2] “Innovating developing countries in the area of health biotechnology”, UNIDO Global Partners Seminar, Vienna, Austria, 3-4 March 2005. For further information: http://www.unido.org/file-storage/download/? file_id=35240.", "See www.hapmap.org.", "[4] See, for example, “Case of Standard Biological Components”, Ndi Laboratory of the Institute of Science and Technology of the Province, available at: http://parts.mit.edu." ]

[ "2006年11月20日至12月8日，日内瓦 临时议程项目10 按照第十二条的规定审查《公约》的实施情况", "上次审查会议以来其它国际组织中 可能与《公约》有关的发展情况的背景资料文件", "由秘书处编写", "一、导 言", "1. 第六次审查会议筹备委员会在报告(BWC/CONF.VI/PC/2)第22段中决定请秘书处汇编一份背景资料文件，介绍上次审查会议以来其它国际组织中可能与《公约》有关的发展情况。秘书处按这项要求编制了本文件。", "2. 本文件回顾联合国(包括安全理事会、秘书处、专门机构和各委员会)和其它国际组织以及一些特别有关的国际商业和科学组织(如国际科学理事会和国际空运协会)中的发展情况。条目力尽简洁，网址供进一步参考。如果有的发展情况在以前的《生物武器公约》文件中提到过，就列出这些文件的出处，本文只略作更新。请注意本文件凡提到“公约”的地方，除另外说明外，都是指《生物武器公约》。", "3. 秘书处采取了一项全面的方法，来确定与《公约》有关系的问题。有些组织被列入，是因为虽然它们没有直接或明确介入生物武器问题，但它们的活动可能与第三条(防止生物武器转让)、第四条(国家执行，特别是在恐怖主义问题方面)、第七条(在使用或威胁使用生物武器情况下的援助)或第十条(和平利用生物科学和技术)的有关规定。附件按活动领域列出各组织的名单。", "二、联合国和专门机构", "1540委员会 http://disarmament2.un.org/Committee1540/", "4. 联合国安全理事会(安理会)于2004年4月28日通过了关于不扩散大规模毁灭性武器的第1540号决议。该决议申明，生物武器(作为一种大规模毁灭性武器)的扩散，对国际和平与安全构成威胁，安理会将对任何这种威胁采取适当、有效的行动，安理会表示严重关注，非国家行为者可能会获得、开发、贩运或使用这些武器(和所需的资源或材料)。为对付这种威胁，安理会按照《联合国宪章》第七章行事，决定：", "(1) 任何国家均不应协助非国家行为者开发、获得、制造、拥有、运输、转让或使用生物武器；", "(2) 任何国家均应通过并执行禁止这种活动的法律；", "(3) 任何国家均应采取国内措施，包括建立适当的管制制度，防止与生物武器有关的材料扩散。", "5. 为支持这项决议，安理会建立了一个委员会，由安全理事会的15名成员组成。委员会由一些专家提供辅助，由联合国裁军事务部提供服务。第1540号决议给予委员会两年的授权：在2006年4月27日的第1673号决议中，安理会又将这一授权展续两年。第1673号决议还请1540委员会与各国以及国际、区域和次区域组织一起探讨交流经验、获得的教益以及是否有可能促进执行这两项决议所涉领域的方案等问题。", "6. 1540委员会在执行这两项决议方面取得了相当大的进展。该委员会主席最近的一份报告[1] (在授权展期前出版)表明，截至2006年4月20日，129个国家提交了详细说明有关的国家法律和措施的报告；62个国家没有提交任何国家报告；79个国家由于1540委员会随后要求澄清而提供了额外资料。关于执行《公约》的国家框架：", "(1) 56个国家至少谈到了一些禁令；", "(2) 75个国家在刑法中对违反禁令实行惩罚；", "(3) 最常报导的已实行的禁令是禁止制造或生产或获得生物武器。", "7. 在为了控制获得与武器相关的材料而采取的立法和执法措施方面：", "(1) 54个国家提供了资料；", "(2) 大多数国家详细介绍了生物安全和生物保障立法和规章；", "(3) 17个国家报告了会计立法和规章；", "(4) 大多数国家对人、牲畜和植物病原体实行不同的法律，并分别有不同的执行机构负责落实这些法律，通常是公共卫生、牲畜卫生和植物管制机构；", "(5) 有些国家报告了管制基因工程的额外立法；", "(6) 48个国家报告了与危险生物制剂有关的许可或登记要求的立法；", "(7) 49个国家报告了对违反生物安全和生物保障措施的刑事或行政惩罚和制裁。", "8. 国家报告提供的资料汇编进一个数据库，有许多资料可以在委员会的网站上查阅。", "经济和社会理事会(经社理事会) http://www.unece.org/trans/danger/danger.htm", "9. 经社理事会在制定危险货物，包括感染性生物制剂和毒素的运输准则方面发挥重要作用。经社理事会有一个危险货物运输(危险货运)和全球化学品统一分类和标签制度问题专家委员会。危险货物运输问题小组委员会自从2002年第五次审查会议结束以来举行了六次会议。它的职责有：修订两个关键文本，一个是《联合国关于危险货物运输的建议书》(其中载有联合国规章版本)[2] 和《联合国试验和标准手册》[3]。", "10. 《联合国关于危险货物运输的建议书》制定的目的是为了考虑进技术进步、新的物质和材料的出现、现代运输系统的不断变化以及保护人、财产和环境的要求。它不适用于海空危险货物的散装运输，这类情况分别由国际海事组织和国际民事航空组织负责处理(见下文有关章节)。", "11. 附于《建议书》的规章范本有一个按危险性列出的危险货物一览表。第6类是毒性物质和感染性物质；第九类可能也相关，它包括基因改变的生物体。毒素按急性口服、皮肤接触和吸入毒性的致死剂量中值来定性。感染性物质分两类：A类和B类。A类包括的感染性物质是：如果与其运输形式发生接触，能对健康的人或牲畜造成永久性残疾、生命威胁或致命疾病。B类包括其它所有感染性物质。根据感染性物剂的性质或有关的毒性详细规定了不同的包装措施。", "粮食及农业组织(粮农组织)", "http://www.fao.org", "12. 2004年的专家会议和缔约国会议审议了粮农组织与《公约》有关的一些活动(见BWC/MSP/2004/MX/INF.1和BWC/MSP/2004/MX/INF.2)。粮农组织在预防和应对自然灾害和人为灾害以及复杂的紧急情况方面发挥关键作用。它制定了一些应急管理最佳做法的技术指南，目前正在合并成综合紧急情况防备和应对手册。粮农组织有各种方案和部门处理预防、准备和预警以及影响和需求评估、紧急救济和复原等问题。它还为《国际植物保护公约》提供服务。", "预防、准备和预警", "13. 除了向成员国提供技术援助，提高它们防止或减轻紧急情况的能力以外，粮农组织还通过各种防范行动，如通过跨界动物和植物瘟疫和疾病紧急预防系统和粮农组织/国际兽疫局/卫生组织跨界动物疾病渐进控制全球框架，协助它们尽量减轻灾害的不利影响。粮农组织的备灾援助包括：在区域、国家和地方各级为风险管理和应急，如包括生物安全等建立体制框架(粮农组织与环境署和卫生组织在一个生物安全工作组开展合作)；建立区域和国家预警及粮食信息系统；建立和管理粮食保障储备；制定用于发生灾难时的备灾计划。良好紧急情况管理做法方案在紧急情况防备方面发挥关键作用。关于预警，粮农组织参加粮农组织/兽疫局/卫生组织全球预警系统。关于这些活动的详细情况，见BWC/MSP/2004/MX/INF.1和BWC/MSP/2004/MX/INF.2。", "影响和需求评估、紧急救济和复原", "http://www.fao.org/reliefoperations/index_en.asp", "14. 紧急情况一宣布，第一步就是评估人道主义援助需求。粮农组织/世界粮食计划署作物和粮食供应评估团作出这种评估。世界粮食计划署然后提供紧急人道主义救济。紧急农业救济由粮农组织特别救济行动处提供，它进行自己的需求评估、筹集资源、进行监测和影响评估，就复原方案的编制提供咨询和支持。", "《国际植物保护公约》", "http://www.ippc.int", "15. 自从上次《生物武器公约》审查会议以来，《国际植物保护公约》议定了包括以下标准在内的新的国际标准或国际标准修订本：", "(1) 《生物控制物剂和其它有益生物体的运输、装运、进口和释放准则》；[4]", "(2) 《植物检疫术语汇编》；[5]", "(3) 检疫性有害生物的有害生物风险分析，包括环境风险和改性活生物体的分析；[6]", "(4) 受管制的非检疫性有害生物的有害生物风险分析[7]。", "国际海事组织(海事组织)", "http://www.imo.org/Newsroom/mainframe.asp？topic_id=861", "16. 海事组织参与危险货物运输工作有很长的历史。1960年代制定《国际危险货物海运规则》，以处理迫在眉睫的安全和保障问题。2002年，海事组织开会审查其工作的安全问题，对《国际危险货物海运规则》作了更新。这次会议规定《国际危险货物海运规则》为强制性规范，有效地确立了一项具有国际法律约束力的文书，以确保危险品(包括毒素和感染性物质)的海运安全和保障。除对《国际危险货物海运规则》作修订外，海事组织还日益积极地参与海运安全的活动，并发展了一整套海运安全制度。2002年12月对1974年的《国际海上人命安全公约》通过了一些修正案，包括新的《国际船舶和港口设施保安规则》。2004年通过了《港口保安做法守则》。对《国际船舶和港口设施保安规则》在较大范围港口区的保安方面的规定作了补充。", "人道主义事物协调厅(人道协调厅) http://ochaonline.un.org/", "17. 人道协调厅的任务是与国家和国际人道主义行为者一起动员和协调有效和有原则的人道主义行动，以减轻自然灾害和复杂的紧急情况下人的痛苦；倡导穷人权利；促进备灾防灾；推动可持续解决；从事政策和资料的拟订。促使人道协调厅介入某一活动的情况有两种：(1) 如果它超出联合国某一机构的业务能力；或者(2) 如果成员国提出人道主义援助的要求。", "18. 人道协调厅已经参加了一些涉及化学、生物、放射性和核物剂的活动。它没有应对生物武器事件的具体政策，很可能会委托它的某一人道主义伙伴来协调人道主义反应。如果某一事件没有触发大规模的内部或跨界人员流动，人道协调厅不可能介入。人道协调厅的外地工作人员没有经过培训，他们也没有应急计划来处理涉及生物武器的事件。", "19. 人道协调厅具备内部应急能力，有一个24小时监测和警备系统，可以在短时间内向发展迅速的灾难事件部署工作人员。人道协调厅还支持若干“快速部署能力”机制和网络，使人道主义社团能够对紧急情况和灾难作出迅速反应。", "20. 军民协调处是联合国系统内调集联合国驻国家代表所要求的军事资产的中心，其中包括：", "(1) 《使用军事和民防资源救灾的指导方针》；", "(2) 《机构间常设委员会关于复杂紧急情况下军民关系的参考文件》；", "(3) 在复杂紧急情况下使用军事和民防资源支助人道主义活动；", "(4) 为提供人道主义指导使用军事护卫队或武装护卫队；", "(5) 国别指导。", "只有在所有其它资源用尽后才要求军事和民防资源。军民协调处可要求捐助国提供人员、具体的专门知识和/或设备。这种资产向受灾国免费提供。", "21. 军民协调处有一个有关资产登记册，充当交换所，针对国家、政府间和非政府组织提出的援助要求在登记册中寻找合适的资产。在资产所有国准许部署某一资产后，军民协调处再对资产的运输和启用进行协调，登记册目前有防备和应对化学武器事件方面的各种资产，包括以下模块：援助受核、生物和化学物剂影响的人口；机动试验室；保护。人道协调厅目前在更新核、生物和化学物剂方面的登记册，已要求各国就检测车、感测队、去污染、流动实验室、检测资产、援助和保护等提供资料。", "联合国救灾协调和灾害评估小组", "22. 救灾协调和灾害评估小组是一个待命小组，由联合国成员国、人道协调厅、开发署、世界粮食计划署、儿童基金会和卫生组织提名并供资的灾难管理专业人员组成。如有要求，救灾协调和灾难评估小组可迅速派一组人员到受灾国，评估优先需求，支持国家能力。救灾协调和灾难评估小组着重于自然灾害，因此在处理继发症方面有着很久的历史。", "突发环境事件科", "23. 突发环境事件伙伴关系股是人道协调厅和联合国环境计划署(环境署)共有的一个单位，其中设有环境问题待命专家组。它动员和协调国际上对具有重大环境影响的突发环境事件和自然灾害作出的反应，在环境灾害方面提供类似于救灾协调和灾害评估小组在自然灾害方面所提供者的能力。该专家组有三个核心职能：提供紧急援助；提供应对防备援助；为突发环境事件伙伴关系充当秘书处。关键的职能有：监测、通知、评估、动员援助、经纪业务、充当信息交换所、提供财政援助。", "人道协调厅的其它协调活动", "24. 人道协调厅还有一个储存登记册，登记有在应对某一紧急情况时可资利用的国家资产。要利用，必须征得拥有该资产国家的同意。登记册目前有一系列疫苗(既有预防用的，也有感染后用的)。还有一份灾害管理专长名录登记册，记载灾害管理专业人员的详细情况。它登记的专门知识范围从普通灾害到应对非常专门化的领域，并包括进联合国、政府间组织、非政府组织和国家的人员。", "25. 人道协调厅还有灾害应对联系点名录，列有经指定在某些事件中起领导作用的组织，如粮农组织、卫生组织、禁止化学武器组织、原子能机构、世界粮食计划署和国际空运协会。", "联合国秘书长", "http://www.un.org/News/ossg/sg/index.shtml", "26. 1982年以来，秘书长经大会委托承担调查使用或据称使用生物、化学或毒素武器的情况。2004年《公约》缔约国会议和专家会议审议了在这种情况下供他使用而建立的机制。自从上次介绍了这种机制的情况后，没有相应的新发展(BWC/MSP/2004/MX/INF.3)。", "27. 自从上次《公约》审查会议以来，秘书长公布了一些有关的报告。载有专门针对《公约》提出的建议的报告有：", "(1) 《一个更加安全的世界：我们的共同责任》(2004年)：由威胁、挑战和改革问题高级别小组汇编。作为高级别小组审议集体安全和防止扩散的挑战的一部分，它既研究恐怖主义的问题，也研究大规模毁灭性武器的问题。[8]", "(2) 《大自由：实现人人享有发展、安全和人权》(2005年)：该报告是落实千年首脑会议成果的一部分，它有一个关于免于恐惧的自由问题的章节，部分论述灾难恐怖主义和大规模毁灭性武器。报告建议加强公共卫生，作为对生物恐怖主义的主要防卫，报告还就《公约》提出了具体的建议。[9]", "(3) 《团结反恐：全球反恐战略建议》(2006年)：是落实千年首脑会议成果的又一项报告，它就大规模毁灭性武器和恐怖主义以及使不同利害攸关方参与确保不误用生物技术并对它们的努力作协调的必要性提出了一些建议。[10]", "联合国开发计划署(开发署) http://www.undp.org/", "28. 开发署内设有联合国灾难管理培训方案，并在建立国际疫苗研究所方面发挥了作用。", "联合国灾难管理培训方案(灾难管理方案) http://www.undmtp.org/", "29. 灾难管理方案是联合国会员国、联合国系统以及国际和非政府组织的一个学习平台，处理危机、紧急情况和灾难等问题。灾难管理方案提高人们对需要更有效的危机和灾难管理以减少风险和脆弱性的认识。灾难管理方案的目标是：减少方案国家危机和灾难的发生率和影响；消除这种事件的风险和对此的脆弱性；推广危机和灾难预防、准备、减轻、应对和恢复等方面的有效的国家和区域战略；在危机和灾难管理的所有阶段鼓励有效的协调和合作。", "30. 近年来，灾难管理方案举办了70多次讲习班，参加者有来自非洲、拉丁美洲和加勒比、亚洲和太平洋、中东和独立国家联合体的约6,000人。目前，培训模块包括灾难管理的许多一般性问题。", "国际疫苗研究所 http://www.ivi.org", "31. 国际疫苗研究所为发展中国家减少可防疫的疾病作出贡献。它通过新疫苗的合作研究以及基础和应用实验研究、产品开发、培训和技术援助方案来实现这个目标。该组织列出的新成就有：", "(1) 建立科学家和技术专家小组；", "(2) 建立疫苗研究网络；", "(3) 制订加速疫苗发展和采用的方案；", "(4) 测量亚洲儿童在一些疾病方面的疾病负担；", "(5) 制订日本脑炎问题方案；", "(6) 提供技术援助和培训方案；", "(7) 与疫苗生产商建立合作网络；", "(8) 提供疫苗临床评价方面的培训。", "联合国教育、科学及文化组织(教科文组织) http://www.unesco.org/ethics", "32. 教科文组织近年来在科学和技术伦理领域越来越活跃，目前将该主题列为它5个重点领域之一。它的目标是加强科学进步与其发生的文化、法律、哲学和宗教背景之间的伦理关系。2005年专家会议和缔约国会议在讨论科学家行为守则时审议了教科文组织的活动(BWC/MSP/2005/MX/INF.1)。", "33. 在上次审议教科文组织的活动后，有了三个重要的发展。第一，在2005年10月，教科文组织大会通过了《世界生物伦理与人权宣言》。[11] 该宣言为处理医药、生命科学和有关技术应用于人和环境时所提出的伦理问题提供了一个框架。第二，教科文组织汇编了科学技术伦理方面的一系列数据库，通称为“全球伦理观察站”。[12] 全球伦理观察站于2005年12月15日启动，目的是作为全世界伦理活动的一个资源中心。", "34. 最后，教科文组织所设的世界科学知识和技术伦理委员会(科技伦理委员会)继续研究科学家行为守则问题。教科文组织大会2005年10月的会议表明，不是所有国家都确信在科学伦理领域制订一份规范性文书的必要性，因此，进一步的工作，包括发起可行性研究，尚未成熟。这次会议请教科文组织与科技伦理委员会思考科学伦理的问题。因此，科技伦理委员会正在思考教科文组织如何促进科学技术伦理和责任的国际辩论。它已制定了一项2006和2007年活动的三点计划，即：扩大科学伦理领域的调查范围，以确定需采取进一步国际行动的主题；与各区域的科学家、哲学家和决策者举行磋商；与联合国会员国的有关组织和利害攸关方进行磋商。科技伦理委员会在日本、印度和泰国举行了三次全国性磋商会。在欧洲和拉丁美洲也举行了两次区域磋商会，还计划于2007年在非洲和中东举行两次磋商会。", "联合国环境规划署(环境署) http://www.unep.org", "35. 环境署除了是本文件其他部分所述的活动的伙伴以外(见卫生组织部分的生物安全工作组以及人道协调厅部分的环境应急伙伴关系)，它还支持一些与《生物武器公约》有关的国际协定，包括《生物多样性公约》和《巴塞尔公约》。", "《生物多样性公约》 http://www.biodiv.org", "36. 在《生物多样性公约》的框架下，《卡塔赫纳生物安全议定书》[13] 载有一系列的措施、政策和程序，以尽量减少生物技术可能对环境和人的健康带来的风险。它主要处理将被故意引入环境的转基因生物体的跨界流通、转让、处理和使用的问题以及转基因农产品的问题。它采用若干手段，包括：促进知情协议程序，简化农产品制度，风险评估，风险管理和应急程序，出口单证，生物安全信息交换所，能力建设和融资，公众认识和参与。生物安全信息交换所是促进落实议定书方面的一个信息交换机制。[14] 它的任务是：促进有关转基因活生物体的科学、技术和环境信息和经验的交流；协助缔约方执行《生物安全议定书》。", "《管制有害废物跨界移动及其处置的巴塞尔公约》 http://www.basel.int", "37. 《巴塞尔公约》界定的有害废物包括毒素、对生态有毒和感染性物质。自从上次《生物武器公约》审查会议以来，《巴塞尔公约》的重点转移到了加强执行方面，包括：积极促进清洁技术和清洁生产方法的使用；进一步减少有害废物的移动；防止和监测非法贩运；提高体制和技术能力；进一步建立培训和技术转让的区域和次区域中心；修订传染性废物准则。", "38. 《巴塞尔公约》秘书处制定了一些可能与《生物武器公约》有关的技术准则。[15] 这些准则包括：国内立法范本，国内盘存的方法性指南，物理化学处理/生物处理指南，无害环境的生物医学和保健废料管理指南，关于有害的感染性物质的指导文件。《巴塞尔公约》承认《联合国关于危险货物运输的建议书》所用的感染性物质分类。", "世界海关组织(海关组织) http://www.wcoomd.org", "39. 海关组织近年来对其安全程序作了一次战略审查。2004年6月海关组织理事会会议建立了一个高级别战略小组，以制定全球贸易安全和便利方面的标准。2005年6月24日通过《全球贸易安全和便利标准框架》。[16] 《框架》的目标是保护世界贸易，使之不受国际恐怖主义，有组织的犯罪和日益增多的海关违法行为的威胁。它还为促进国际贸易的合法货物的流通提供了一个结构性平台。《框架》有四个核心原则：促进电子信息，风险管理，促进检查和业务伙伴关系。如果有要求，海关组织协助成员国进行旨在建设能力的诊断性研究。这些研究的结果是为了确定执行状况，就可能的可持续解决办法提出建议。", "世界卫生组织(卫生组织) http://www.who.int", "40. 2004年专家会议和缔约国会议较为深入地审议了卫生组织在疾病监督、检测、预防、减少和应对方面的活动。为这几次会议编写的背景资料文件包括：全球疫情预警和反应网络，卫生组织协作中心，流行病预警和应对行动处，危机中卫生行动处(见BWC/MSP/2004/MX/INF.1 和 BWC/MSP/2004/MX/INF.2)。", "减少危险病原体的生物风险方案", "41. 在管理故意使用生物制剂造成的健康风险方面，卫生组织就国家和国际上的准备工作专门出版了一些文件。第一个出版的是1970年的“生物和化学武器所涉健康问题”，该出版物在2004年作了大量的修订，题目改为“生物和化学武器的公共卫生对策：卫生组织指南”。[17] 这份供卫生部使用的政策指南文件载有关于以下问题的各章：评估对公共卫生的威胁、生物和化学物剂、公共卫生准备和对策、法律问题、国际援助渠道以及技术附件。", "42. 世界卫生大会2002年5月18日第WHA55.16号决议承认流行病可能是生物制剂的故意使用所致。[18] 第WHA55.16号决议请总干事加强对这类事件的全球准备和应对，向成员国提供各种手段和支持，以增强它们的卫生系统，特别是卫生应急准备和对策。最近，世界卫生大会2005年5月23日第WHA58.3号决议通过了经修订的《国际卫生条例》。[19] 《国际卫生条例》(2005年)请卫生组织在发生“引起国际关注的公众卫生紧急情况”时应要求向成员国提供援助(关于《国际卫生条例》的其他方面的详情，见下文)。随后又通过了2005年5月25日第WHA58.29号决议，[20] 呼吁卫生组织就实验室生物安全和扼制微生物和毒素的问题提供支持。", "43. 针对上述任务，于2006年在流行病预警和应对行动处设立了减少危险病原体生物风险方案。该方案由以前两个现成的小组，即偶然和故意的新出现病原体和危险病原体流行病相合并，以便能够提出更加全面的以公共卫生为导向的方法。该方案设在日内瓦卫生组织总部，包括有关可能故意使用生物制剂的若干项目。这些项目有：故意流行病的防备、负责任的生命科学研究、实验室生物安全、实验室生物保障、全球实验室目录和网络、医院流行病防备。该方案还有危险病原体方面的公共卫生专门知识，如炭疽热、普鲁氏、尼帕、土拉、病毒性出血热、萨斯、天花等方面的公共卫生专门知识。", "44. 一些国家请求卫生组织提供技术援助，以加强它们在应对可能故意使用生物制剂方面的国家卫生准备计划。为满足这些要求，该方案制定并在实地试验了一项能力评估准则，可望在2007年初以前公布。目前正在制定一份培训一揽子方案，以支持该准则的实施。该准则与其他有关国家卫生准备方面的活动一样，在2005年6月在日内瓦举行的一次会议上由伙伴加以审查。[21]", "45. “实验室生物安全手册”第三版最近出版，其中有一节关于实验室生物安全。该手册有若干种卫生组织正式语文本。[22] 该手册所述的实验室生物安全概念现在已经在题为“实验室生物安全指南”的文件中发表，该文件正在通过卫生组织网页发布，征求进一步的投入和意见。卫生组织在生物安全方面与联合国其他机构，包括环境署和粮农组织(通过生物安全问题工作组)、联合国危险货物运输问题专家委员会(见关于经社理事会的一节)、《巴塞尔公约》和《生物多样性公约》(两者均由环境署提供服务)等机构进行合作。它还与许多其他的国际、区域和国家组织在这个专题上开展合作。", "46. 题为“生命科学研究：公共卫生的机会和风险：问题定位”的文件 [23] 于2005年出版，现在还在努力使卫生组织成员国、公共卫生和生命科学界、国际和非政府组织、私人和安全部门就负责任的生命科学研究开展对话。", "47. 卫生组织还在与可能故意使用生物制剂有关的其他主题和疾病开展工作(如流感防备、食品安全、化学和放射性的卫生紧急情况、社会心理后果)。此外，由于卫生组织在流行病方面的任务，一旦需要全球警报和应对能力，则将由全球疫情预警和反应网络来负责。[24]", "48. 卫生组织专门处理可能故意使用生物制剂以造成伤害的公共卫生问题。在开展活动时，卫生组织认识到必须与传统上不与卫生组织合作的国际框架进行交流，如执法和保安组织(如国际刑警、禁止化学武器组织)和其他安全倡议(如《生物武器公约》)。同样，卫生组织鼓励各国卫生部与本国的对应安全部门(如军方、情报、执法、民防)合作，以便管理可能故意使用生物制剂造成的健康风险。卫生组织在努力达到它的目标时，在处理涉及国家安全的问题中恪守政治中立，对保持192个成员国对其的信任至关重要。", "《经修订的国际卫生条例》 http://www.who.int/csr/ihr/en/", "49. 如上所示，世界卫生大会2005年5月通过了一项更新《国际卫生条例》的决议。该决议序言部分具体提到了原来的决议，说卫生组织“着重处理因生物和化学制剂以及放射性核材料造成的事件而可能产生的公共卫生后果，不管它的性质是自然发生，偶然释放还是故意行为。”[25] 经修订的《国际卫生条例》将于2007年6月生效。", "50. 《国际卫生条例》的修订是为了确保有效的预防，防止、控制并在公共卫生方面应对疾病的国际传播，并采取与公共卫生风险相称，严格局限于公共卫生风险，并避免国际交通和贸易受到不必要干扰的方式。新的《国际卫生条例》第5条要求各国在卫生组织的援助下，发展、加强并维持检测、通知和报告相关疾病事件的能力。第6条请各国不仅要将具体疾病的突发通知卫生组织，而且要将可能构成“引起国际关注的公共卫生紧急情况”的所有事件通知卫生组织，它的附件二提供了一份“决定文书”，用于确定某一事件是否可能构成这种紧急情况。第13条规定义务：发展、加强和维持迅速有效地应对引起国际关注的公共卫生风险和公共卫生紧急情况的能力。授权卫生组织订立准则，帮助各国这样做。它还可以应要求提供技术援助和效益评估。", "三、其他国际组织", "国际遗传工程和生物技术中心", "51. 国际遗传工程和生物技术中心始创于1983年，目的是协助发展中国家发展分子生物和生物技术。它的活动有：", "(1) 为发展中国家开展生命科学研究；", "(2) 通过培训、筹资和咨询服务在发展中国家建设研究能力；", "(3) 在国际上推广生物技术。", "该中心也在科学论理和责任方面开展工作，已经制订出了一系列原则，以协助制订科学家行为守则。2005年专家会议和缔约国会议审议了这项工作(见BWC/MSP/ 2005/MX/INF.1)。", "国际民用航空组织(民航组织)", "52. 民航组织为《民用航空公约》(《芝加哥公约》)服务。虽然《芝加哥公约》主要处理做法上的原则，但其附件18处理危险货物安全空运的问题。它规定，危险货物空运必须遵守相关条例，在这里称为“技术规范”。它的目的不仅是要保证安全，而且还要促进自由贸易。“技术规范”有效期两年，本两年期于2006年12月到期。它采用《联合国关于危险货物运输的建议书》对感染性物质的分类制度(见关于经社理事会的一节)。“技术规范”一书可以向民航组织购买。关于感染性物质的章节于2005年修订。[26] 民航组织还编制了一份感染性物质空运的指导性文件。[27] 与之配套的包装规范目前在审查中，现在还在进行公开磋商，定于2007年3月完成。", "红十字国际委员会(红十字会)", "53. 红十字会开展各种活动提高对《公约》的认识，并通过“生物技术、武器与人道”项目提高执行《公约》的效益。它还有一个紧急援助能力，可以介入使用生物武器的事件。", "生物技术、武器与人道项目 http://www.icrc.org/web/eng/siteeng0.nsf/htmlall/bwh？opendocument", "54. 在第五次审查会议的两次届会中间，红十字会发起了生物技术、武器和人道倡议。该项目发起的原由是红十字会保护和援助武装冲突受害者的任务以及对滥用生物技术发展的可能性日增的认识日益提高。该倡议起头是2002年9月在瑞士蒙特尔举行的一次专家会议。这次会议为讨论与生物技术、生物武器、裁军法、国际人道主义法、论理和社会责任等领域有关的问题提供了一个论坛。红十字会在会上发布了它向各国政府、科学家、生物技术业和民间社会提出的“生物技术、武器和人道呼吁”。它确认了生物技术的发展可能被滥用的危险性日增，强调了不采取行动对禁止放毒和故意传播疾病的新旧规则的威胁，并呼吁其目标对象重申这些规则，采取一系列实际的预防措施。", "55. 红十字会在提出呼吁后，就开始通过一系列的区域会议使科学界介入。区域会议举行的讨论，加上该组织的专门知识，产生了一些新的资源。红十字会就科学家的有关责任编制了一份指导，其中包括个人可以采取的实际步骤清单。[28] 它还研究了立法和伦理之间的关系，并着重于最佳做法的开拓，它拟订了可以纳入行为守则或最佳做法的一些原则。[29] 红十字会还对加强国家落实《公约》的努力作出了贡献，包括起草了一份执行《公约》的法律范本。[30]", "紧急援助 http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList78/187938589127C98BC1256B66005DFEC3", "56. 红十字会的核心任务是保护战争和国内暴力受害者的生命和尊严，向他们提供援助。红十字会援助方案的发起是为了“保护受害者的生命和健康，减轻他们的痛苦，并确保冲突的后果(疾病、伤害、饥饿、流离失所或者暴露于恶劣的自然条件)不致于损害他们的未来。”红十字会还有任务争取对冲突期间非法战术的责任获得承认，这包括努力防止或制止违反国际人道主义法的行为。", "57. 红十字会内部有两个司参与援助工作：卫生和救济司负责实际问题；后勤司负责后勤事项。红十字会没有出版物表明它准备或能够援助因生物武器的使用而受到痛苦的人。红十字会的首要关注仍然是工作人员的安全。因此，根据目前的安排，红十字会不能帮助澄清或应对故意煽动而发生的疾病或中毒事件。", "刑警组织 http://www.interpol.int/Public/BioTerrorism/", "58. 刑警组织生物恐怖主义方案(反生物恐怖方案)发起于2004年，目的是：", "(1) 提高对威胁的认识；", "(2) 制订警察培训方案；", "(3) 加强执行现行立法的努力；", "(4) 促进新立法的制订；", "(5) 鼓励在生物恐怖主义方面的机构间合作。", "59. 它主要涉及通过国家措施和国际合作处理非国家行为者获得和使用生物武器的问题。方案小组的规模虽小，但得到一个指导委员会和一个专家顾问组的支持。刑警组织反生物恐怖方案的第一个步骤是于2005年3月1日至2日在法国里昂其总部主办生物恐怖主义问题全球会议。这次会议为该方案今后的活动制订了一份路线图，包括：", "(1) 以刑警组织作为领导机构，建立一个供全球执法人员使用的培训方案和资源中心；", "(2) 编制供发行并在刑警组织网站上公布的培训手册和调查指南；", "(3) 加强公共卫生人员、海关和执法人员之间以及在国际组织之间的合作；", "(4) 为需要在适当应对生物恐怖主义事件方面建设能力的国家提供区域培训；", "(5) 制订事件应对指南，在生物恐怖主义方面有专门的指令板块；", "(6) 在与其他资源链接的刑警组织有限制的网站上公布生物恐怖主义方面的信息。", "60. 为了使有关人员认识到所涉的问题，并为能力建设提供培训，刑警组织反生物恐怖方案正在举办一系列的区域讲习班。到目前为止举行了三次：2005年11月在南非；2006年3月在新加坡；2006年7月在智利。还计划在中东和独立国家联合体举办两次这样的讲习班。上述资源中心也已开发，可上网查阅。[31] 刑警组织反生物恐怖方案还在编制培训材料，并举行桌面演习，它于2006年7月发布了《生物恐怖主义事件预先计划和应对指南》。[32]", "61. 刑警组织反生物恐怖方案最近还启动了一项“生物犯罪”项目，其重点将是确保各国从执法角度充分准备、防止并有能力应对非国家行为者使用或威胁使用生物武器。它将加强执法防止生产或运输生物武器方面的援助或合作的法律基础，并确保《公约》禁止的活动被列入国家法律框架，使执法机构有在生物武器实际被使用前禁止获得它们的授权。", "经济合作与发展组织(经合组织) http://www.oecd.org", "62. 经合组织国际未来方案设于1990年，目的是仔细调查社会经济方面的问题，编写材料，充当一个论坛，以协助决策者制订政策议程和拟订长期应付挑战的战略。由于日益认识到生物技术可以被用于生产毁灭性的有害物剂，但也可以对技术发展和经济增长作出贡献，因此近年来，国际未来方案越来越关注生物安全、双重用途科学和科学责任等问题。", "63. 2004年1月在巴黎举行的经合组织科学部长会议讨论负责任的管理对帮助实现科学自由和安全关注之间的平衡的作用。因此，国际未来方案于2004年9月在意大利的弗拉斯卡帝主办了一次会议，题目是“促进生物科学的负责任管理：避免对研究和资源的潜在滥用”。据主席的总结说，这次会议为国际未来方案解决这个问题建立了一个框架。[33] 要采取的步骤有：", "(1) 编制各国在生物安全方面采取的政策和法律办法清单；", "(2) 建立一个工作组，对清单进行差距分析；", "(3) 建立一个生物安全和科学行为守则信息交换所，协助信息交换和提高认识；", "(4) 利用在行为守则方面取得的经验教训建立并加强行为守则的国家和国际监督机制；", "(5) 定期举行各利害攸关方的主要参与者会议，以促进上述工作。", "64. 已经在上述方面采取了行动，一个专门的网站介绍了其中一些成果。[34] 提供的信息有：经合组织在生物安全和行为守则方面的作用，主要行为者和组织，词汇表，主题的背景资料，与许多组织编写的背景文件和资源的链接，相关行为守则的档案库。", "禁止化学武器组织(禁化武组织)", "http://www.opcw.org", "65. 禁化武组织是《化学武器公约》的执行组织，该公约与《生物武器公约》有许多明显的相似之处，尤其是在普遍化、国家执行、援助和保护以及促进和平利用科学技术等方面。禁化武组织自上次《公约》审查会议以来的发展详情可查阅该组织的年度报告。[35]", "66. 上次《生物武器公约》审查会议结束时，《化学武器公约》拥有147个缔约国。到2005年底，它已有175个缔约国(而《生物武器公约》则有155个缔约国)。2003年有11个国家加入《化学武器公约》，2004年有9个，2005年有8个。缔约国的增加，主要是由于2003年第一次《化学武器公约》审查会议上通过的普遍化行动计划。《化学武器公约》还通过了一项关于国家执行的行动计划，此后主办了一系列关于国家执行各方面的讲习班和培训班。", "67. 禁化武组织还在过去三年里开展了许多主动行动，以加强国际合作，其中包括以下方面的方案：加强国家化工业和分析实验室的能力建设；支持科技信息的会议及其交流；帮助发展中国家的科学家在先进的实验室实习；支持发展中国家的研究项目；捐赠旧设备。在化学武器使用事件后的保护和援助方面，禁化武组织主办了各种讲习班和培训班，目前正在开发一个数据库，以协助《化学武器公约》缔约国执行该《公约》第10条(涉及援助和保护，相当于《生物武器公约》第7条)。禁化武组织还在研究与人道协调厅联合环境股建立伙伴关系的问题，包括环境署和人道协调厅分别提供的实际援助和协调。", "世界动物卫生组织(动物卫生组织)", "68. 2004年专家会议和缔约国会议审查了动物卫生组织的许多有关活动，主要着重于疾病检测、监测、预防、减轻和应对以及在发生使用化学武器和可疑的疾病突发情况时的援助。(详情请见BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/ MX/INF.2 and BWC/MSP/2004/INF.1)。", "69. 上述背景资料文件编制以来，动物卫生组织一直在扩大与《公约》有关的活动。对《陆生动物卫生法典》和《水生动物卫生法典》都做了更新，修订版于2006年发布。", "70. 动物卫生组织还开始更加重视由于违反《公约》而造成的动物疾病突发事件。2006年4月，动物卫生组织公布了关于兽医和公共卫生服务对源于动物的生物灾难的作用及防备问题的科学和技术审查报告。[36] 其中包括故意传播疾病。它载有以下方面的文章：", "(1) 风险评估和对策管理；", "(2) 设计有效的流行病监测系统(在发达国家和发展中国家)；", "(3) 公众认识和风险通报；", "(4) 国家疾病事件个案研究；", "(5) 最近在疾病模型方面的发展情况；", "(6) 《生物武器公约》；", "(7) 关于对动物的生物袭击和发展这种武器的方案的历史性调查；", "(8) 区别自然和非自然的疾病突发；", "(9) 微生物法医学；", "(10) 国际组织的作用；", "(11) 今后的科技发展。", "四、国际商业和科学组织", "国际问题学术机构间专门小组(学术机构间小组) http://www.interacademies.net/", "71. 学术机构间小组于1993年发起，充当全世界科学院的全球网络，以协助其成员开展合作，更好地就全球问题的科学方面向政府和民间社会提供咨询意见。学术机构间小组规约具体规定五个目标：", "(1) 就具有全球重要性的问题的科学方面向政府和国际组织提供咨询意见；", "(2) 促进科学院间的合作，交换信息和经验以及达成共识；", "(3) 国家科学院的能力建设；", "(4) 援助没有科学院的国家的科学界建立科学院；", "(5) 主办会议、讲习班和研讨会以及就国际上严重关注的主题发表声明或报告。", "72. 2004年，由于人们越来越关注生物科学研究可能被恶意利用的问题，因此学术机构间小组设立了一个生物安全工作组。工作组的任务是编制一份原则声明，可以指导科学院和科学机构制订行为守则。声明于2005年12月1日发布，[37] 并于随后一个星期提交给《生物武器公约》缔约国会议，该会议正在审议科学家行为守则的内容、通过和颁布的问题。学术机构间小组的《生物安全声明》载有提高认识、安全、教育和信息、问责制以及监督等方面的内容。已有68个科学院批准了这项声明。", "国际空运协会(空运协会) http://www.iata.org/whatwedo/security_issues/index.htm", "73. 空运协会是一个全球性的贸易组织，由约260个航空公司组成。它对安全的主要兴趣是预防对航空器的袭击。但是它也参加制订生物安全和生物保障以及危险货物运输方面的最佳做法和条例范本。空运协会充当空运危险货物专门知识中心。它为其成员航空公司制订《危险货物条例》。它还规定单证、装卸和培训的标准，积极推动航空货运业通过并采用这些标准。空运协会专门有一个培训和发展学院，以几种语言提供课程并颁发毕业证书。", "74. 《危险货物条例》由空运协会危险货物委员会制订，该委员会由选自成员航空公司的12名专家组成。《条例》采用《联合国关于危险货物运输的建议书》的分类法(见关于经社理事会的一节)。条例修订本每两年出版一次。第48版《条例》将于2007年1月1月生效。", "国际科学理事会(科学理事会) http://www.icsu.org", "75. 国际科学理事会是一个国家和国际科学组织的全球伞形组织，为2005年专家会议和缔约国会议编写的背景资料中有介绍(BWC/MSP/2005/MX/INF.2)。它与教科文组织/世界科学知识和技术伦理委员会合作制订科学行为守则的原则。(详情请见关于教科文组织的一节。)", "附 件", "按活动领域分类的组织一览表", "活动领域 组 织 \n国家刑事和反恐立法、条例和措施\t1540委员会、刑警组织、禁化武组织、红十字会\n生物制剂和毒素(在实验室等等)的安全和保障\t1540委员会、卫生组织、粮农组织、动物卫生组织、经合组织\n生物制剂和毒素的安全运输\t经社理事会、环境署、海关组织、海事组织、民航组织、空运协会\n伦理和行为守则\t教科文组织、经合组织、红十字会、基因工程和生物技术中心、国际问题学术机构间专门小组、国际科学理事会\n 疾病监测和预警 卫生组织、粮农组织、动物卫生组织 \n发生使用生物武器情况时的援助、保护和对策\t卫生组织、粮农组织、动物卫生组织、人道协调厅、开发署、环境署、联合国秘书长、红十字会\n促进和平利用生物科学和技术，包括能力建设和自由贸易\t卫生组织、粮农组织、动物卫生组织、开发署(国际疫苗研究所)、基因工程和生物技术中心、海事组织、民航组织、海关组织", "[1] S/2006/257。", "[2] 《联合国危险货物运输建议书》，第十四修订版，2005年，http://www.unece.org/ trans/danger/publi/unrec/rev14/14files_e.html。", "[3] 《联合国试验和标准手册》，第四修订版，2004年，http://www.unece.org/ trans/danger/publi/manual/pubdet_manual.html。", "[4] http://www.ippc.int/cds_upload/1146657660135_ISPM3.pdf。", "[5] http://www.ippc.int/servlet/CDSServlet？status=ND0xMzI5Mi4yNTA4MSY2PWVuJjMzPWV 2ZW50cyYzNzlpbmZv。", "[6] http://www.fao.org/docrep/008/y5874e/y5874e00.htm。", "[7] http://www.fao.org/docrep/007/y5722e/y5722e00.htm。", "[8] http://www.un.org/secureworld/。", "[9] http://www.un.org/largerfreedom/。", "[10] http://www.un.org/unitingagainstterrorism/。", "[11] http://unesdoc.unesco.org/images/0014/001461/146180E.pdf。", "[12] http://www.unesco.org/shs/ethics/geobs。", "[13] http://www.biodiv.org/biosafety/default.aspx。", "[14] http://www.biodiv.org/chm/default.aspx。", "[15] http://www.basel.int/meetings/sbc/workdoc/techdocs.html。", "[16] http://www.wcoomd.org/ie/en/press/wco%20-%20framework%20final%20en%2023-8.pdf。", "[17] http://www.who.int/csr/delibepidemics/biochemguide/en/index.html。", "[18] http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf。", "[19] http://www.who.int/gb/ebwha/pdf_files/WHA58/WHA58_3-en.pdf。", "[20] http://www.who.int/csr/labepidemiology/WHA58_29-en.pdf。", "[21] http://www.who.int/csr/resources/publications/deliberate/WHO_CDS_EPR_LYO_2005_26/ en/index.html。", "[22] http://www.who.int/csr/resources/publications/biosafety/WHO_CDS_CSR_LYO_2004_11/ en/。", "[23] http://www.who.int/csr/resources/publications/deliberate/WHO_CDS_CSR_LYO_2005_20/ en/ index.html。", "[24] http://www.who.int/csr/outbreaknetwork/en/。", "[25] WHA55.16, http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf。", "[26] http://www.icao.int/icaonet/dcs/9284.html。", "[27] http://www.icao.int/icaonet/dcs/9284/guidance_doc_infectious_substances.pdf。", "[28] http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList515/7358E6A439390A02C 1256E21004E1195。", "[29] http://www.icrc.org/Web/Eng/siteeng0.nsf/html/66NC2R?OpenDocument&style", "[30] http://www.icrc.org/Web/eng/siteeng0.nsf/html/review-859-p573。", "[31] http://www.interpol.int/Public/BioTerrorism/links/。", "[32] http://www.interpol.int/Public/BioTerrorism/BioterrorismGuide.pdf。", "[33] http://www.oecd.org/dataoecd/30/56/33855561.pdf。", "[34] http://www.biosecuritycodes.org。", "[35] http://www.opcw.org/en/annualreport_menu.html。", "[36] http://www.oie.int/eng/publicat/rt/A_RT25_1.htm。", "[37] http://www.interacademies.net/?id=5405。" ]

[ "SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/INF.228 September 2006Original: ENGLISH", "Geneva, 20 November – 8 December 2006", "Item 10 of the provisional agenda", "Review of the operation of the Convention as provided for in its Article XII", "BACKGROUND INFORMATION DOCUMENT ON DEVELOPMENTS SINCE THE LAST REVIEW CONFERENCE IN OTHER INTERNATIONAL ORGANIZATIONS WHICH MAY BE RELEVANT TO THE CONVENTION", "Prepared by the Secretariat", "I. Introduction", "1. In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to compile a background information document on developments since the last Review Conference in other international organizations which may be relevant to the Convention. The Secretariat has prepared this document in accordance with that request.", "2. This document reviews developments in the United Nations (including the Security Council, Secretariat, specialised agencies, and committees) and other international organizations, as well as in some particularly relevant international commercial and scientific organizations (such as the International Council for Science and the International Air Transport Association). Entries have been kept as concise as possible, and Internet addresses are provided for further information. Where developments have been covered in earlier BWC documents, references to those documents are provided and only brief updates have been included here. Please note that any reference to \"the Convention\" in this document means the Biological Weapons Convention, unless otherwise specified.", "3. The Secretariat has taken an inclusive approach to determining what may be relevant to the Convention. Some organizations have been included because although they are not directly or explicitly involved with biological weapons issues, their activities may be related to the provisions of Article III (preventing transfer of biological weapons), Article IV (national implementation, particularly with respect to terrorism), Article VII (assistance in the case of use or threat of use of biological weapons) or Article X (peaceful uses of biological science and technology). The annex provides a listing of organizations by area of activity.", "II. The United Nations and Specialised Agencies", "1540 Committee", "http://disarmament2.un.org/Committee1540/", "4. On 28 April 2004 the United Nations Security Council (UNSC) adopted Resolution 1540 on the Non-Proliferation of Weapons of Mass Destruction. The resolution affirmed that the proliferation of biological weapons (as a type of weapon of mass destruction) posed a threat to international peace and security and that the UNSC would take appropriate and effective action against any such threat. The UNSC expressed grave concern that these weapons (and the required resources or materials) might be acquired, developed, trafficked or used by non-state actors. To counter this threat, the UNSC, acting under Chapter VII of the Charter of the United Nations, decided that:", "(i) all states should refrain from assisting non-state actors from developing, acquiring, manufacturing, possessing, transporting, transferring or using biological weapons;", "(ii) all states should adopt and enforce laws to prohibit such activities; and", "(iii) all states should take domestic measures, including establishing appropriate control regimes, to prevent the proliferation of materials associated with biological weapons.", "5. To support the resolution, the UNSC established a committee, comprising the fifteen members of the Security Council. The committee has been aided by a number of experts and is serviced by the UN Department for Disarmament Affairs. Resolution 1540 gave a two-year mandate to the committee: in Resolution 1673 of 27 April 2006, the UNSC renewed this mandate for another two years. Resolution 1673 also invited the 1540 Committee to explore with states and international, regional and sub-regional organizations experience-sharing, lessons learned and the availability of programmes which might facilitate the implementation of areas covered by the resolutions.", "6. The 1540 Committee has made considerable progress in implementing the resolutions. The most recent report from its Chairman[1] (published just prior to the renewal of the mandate) indicates that as of 20 April 2006: 129 states had submitted a report detailing relevant national laws and measures; 62 states had failed to submit any national reports; and 79 states have provided additional information resulting from subsequent requests for clarification by the 1540 Committee. In relation to national frameworks to implement the Convention:", "(i) 56 states cover at least some of the prohibitions;", "(ii) 75 states penalise violations of the prohibitions in their criminal codes; and", "(iii) the manufacture/production and acquisition of biological weapons are the prohibitions most commonly reported as having been implemented.", "7. For legislative and enforcement measures to control access to weapons related materials:", "(i) 54 states provided information;", "(ii) The majority detailed biosafety and biosecurity legislation and regulations;", "(iii) 17 states reported legislation and regulations for accounting;", "(iv) Most states have different laws for human, animal and plant pathogens and different implementing organizations are responsible for these laws – usually public health, veterinary health and plant control agencies;", "(v) Some states reported additional legislation to regulate genetic engineering;", "(vi) 48 states reported legislation for licensing or registration requirements in relation to hazardous biological agents; and", "(vii) 49 states reported criminal or administrative penalties and sanctions for violations of biosafety and biosecurity measures.", "8. Information from the national reports was compiled into a database, much of which is available on the Committee’s website.", "Economic and Social Council (ECOSOC)", "http://www.unece.org/trans/danger/danger.htm", "9. ECOSOC plays an important role in establishing guidelines for the transport of dangerous goods, including infectious biological agents and toxins. ECOSOC has a Committee of Experts on the Transport of Dangerous Goods (TDG) and on the Globally Harmonized System of Classification and Labelling (GHS). The sub-committee on the Transport of Dangerous Goods has met six times since the Fifth Review Conference concluded in 2002. Amongst its duties is the revision of two key texts: the UN Recommendations on the Transport of Dangerous Goods (which include UN Model Regulations)[2] and the UN Manual of Tests and Criteria.[3]", "10. The UN Recommendations on the Transport of Dangerous Goods are designed to account for technical progress, the advent of novel substances and materials, the changing dynamics of modern transport systems and a requirement to protect people, property and the environment. They do not apply to the bulk transport of dangerous goods by sea or by air: these are covered, respectively, by the International Maritime Organization and the International Civil Aviation Organization (see the respective sections below).", "11. The model regulations appended to the Recommendations include a scheduled characterisation of dangerous goods. Class 6 covers toxic and infectious substances; perhaps also relevant is Class 9 which includes genetically modified organisms. Toxins are characterised according to the median lethal dose for acute oral, dermal and inhalation toxicity. Infectious agents are divided into two categories: A and B. Category A includes infectious substances which are transported in a form that, when exposure to it occurs, is capable of causing permanent disability, life-threatening or fatal disease in otherwise healthy humans or animals. Category B encompasses all other infectious substances. Depending on the nature of the infectious agent or toxin involved, different packaging precautions are detailed.", "Food and Agriculture Organization (FAO)", "http://www.fao.org", "12. A number of FAO activities relevant to the Convention were considered during the Meeting of Experts and Meeting of States Parties in 2004 (see BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2). FAO plays a critical role in preventing and responding to natural and human-made disasters as well as complex emergencies. It has developed a number of technical guides on best practices for emergency management and is currently consolidating them into a comprehensive emergency preparedness and response manual. FAO has different programmes and departments to cover prevention, preparedness and early warning, as well as impact and needs assessments, emergency relief and rehabilitation. It also services the International Plant Protection Convention.", "Prevention, Preparedness and Early Warning", "13. In addition to providing member states with technical assistance to strengthen their capacity to prevent or mitigate emergencies, the FAO also assists them in minimising the adverse effects of disasters through precautionary actions, for example through the Emergency Prevention System for Transboundary Animal and Plant Pests and Diseases (EMPRES) and the FAO/OIE/WHO Global Framework for the Progressive Control of Transboundary Animal Diseases (GF-TADs). FAO’s preparedness assistance includes: the development of institutional frameworks at the regional, national and local levels for managing risk and coping with emergencies, including, for example, biosafety (FAO collaborates with UNEP and WHO in a working group on biosafety); the development of regional and national early warning and food information systems; the establishment and management of food security reserves; and the formulation of preparedness plans to be used in the event of a disaster. The Good Emergency Management Practice programme (GEMP) plays a key role in emergency preparedness. For early warning, the FAO participates in the FAO/OIE/WHO Global Early Warning System (GLEWS). See BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2 for more information on these activities.", "Impact and Needs Assessments, Emergency Relief and Rehabilitation", "http://www.fao.org/reliefoperations/index_en.asp", "14. Once an emergency has been declared the first step is assessing the need for humanitarian assistance. The FAO/World Food Programme Crop and Food Supply Assessment Missions produce such an assessment. The World Food Programme then provides emergency humanitarian relief. Emergency agricultural relief is provided by the FAO’s Special Relief Operations Service, which carries out its own needs assessment, mobilises resources, conducts monitoring and impact assessments and advises and supports the preparation of rehabilitation programmes.", "International Plant Protection Convention (IPPC)", "https://www.ippc.int", "15. Since the last BWC review conference, the Interim Commission on Phytosanitary Measures (ICPM) of the IPPC has agreed on new or revised international standards including:", "(i) Guidelines for the Transport, Shipment, Import and Release of Biological Control Agents and other Beneficial Organisms;[4]", "(ii) A Glossary of Phytosanitary Terms;[5]", "(iii) Pest Risk Analysis for Quarantine Pests, including analysis of environmental risks and living modified organisms;[6] and", "(iv) Pest Risk Analysis for Regulated Non-Quarantine Pests[7].", "International Maritime Organization (IMO)", "http://www.imo.org/Newsroom/mainframe.asp?topic_id=861", "16. The IMO has a long history of involvement in the transport of dangerous goods. In the 1960s the International Maritime Dangerous Goods code (IMDG) was developed to address pressing safety and security issues. The IMDG was updated in 2002 when the IMO met to review security facets of its work. During this meeting the IMDG was made mandatory, effectively establishing an international legally binding instrument to ensure the maritime safety and security of dangerous goods (including toxic and infectious substances). In addition to revising the IMDG, the IMO has become increasingly active in maritime security and has developed an entire maritime security regime. In December 2002 a number of amendments to the 1974 International Convention for the Safety of Life at Sea (SOLAS) were adopted, including the new International Ship and Port Facility Code (ISPS). In 2004, the Code of Practice on Security in Ports (CPSP) was adopted, complementing the provisions of the ISPS with respect to security of the wider port area.", "Office for the Coordination of Humanitarian Affairs (OCHA)", "http://ochaonline.un.org/", "17. OCHA is tasked with mobilising and coordinating effective and principled humanitarian action in partnership with national and international humanitarian actors in order to alleviate human suffering in natural disasters and complex emergencies; advocate for the rights of people in need; promote preparedness and prevention; facilitate sustainable solutions; and engage in policy and information development. Two triggers exist for OCHA’s involvement in an event: (1) if it exceeds the operational capacity of one UN agency; or (2) if a request has been made by a member state for humanitarian assistance.", "18. OCHA has already participated in a number of exercises involving chemical, biological, radiological and nuclear agents. It has no specific policies for biological weapons events and will likely defer to one of its humanitarian partners to co-ordinate a humanitarian response. It is unlikely that OCHA would become involved unless an event triggered large movements of people either internally or across borders. OCHA field staff are not trained, nor do they maintain emergency plans, to deal with events involving biological weapons.", "19. OCHA maintains an in-house emergency response capacity, supported by a 24-hour monitoring and alert system, to deploy staff at short notice to rapidly evolving catastrophic events. In addition OCHA supports several \"surge capacity\" mechanisms and networks that enable the humanitarian community to respond quickly to emergencies and disasters.", "20. The Civil Military Co-ordination Service (CMCS) is the focal point within the UN System for mobilising military assets requested by UN country representatives, and includes:", "(i) Guidelines on the Use of Military and Civil Defence Assets in Disaster Relief;", "(ii) Inter-agency Standing Committee Reference Paper on Civil Military Relations in Complex Emergencies;", "(iii) The Use of Military and Civil Assets in Support of Humanitarian Activities in Complex Emergencies;", "(iv) The Use of Military or Armed Escorts for Humanitarian Guidance; and", "(v) Country-specific guidance.", "Only after all other resources are exhausted are military and civil defence assets requested. CMCS can request personnel, specific expertise and/or equipment from donor states. Such assets are provided free of charge to the disaster-stricken country.", "21. The CMCS maintains a register of relevant assets and acts as a clearing house, matching requests for assistance from states, intergovernmental and non-governmental organizations against the register. Following approval to deploy an asset by the state that owns it, CMCS then coordinates its transport and initiation. The register currently includes various assets relating to the preparedness and response to biological weapons events. These include modules on: assistance to populations affected by nuclear, biological and chemical agents; mobile laboratories; and protection. OCHA is currently attempting to update its register with respect to nuclear, biological and chemical agents and has requested states to provide information on detection vehicles, sensor teams, decontamination, mobile laboratories, detection assets, assistance and protection.", "UN Disaster Co-ordination and Assessments Teams (UNDAC)", "22. UNDAC is a stand-by team of disaster management professionals nominated and funded by UN Member States, OCHA, UNDP, the World Food Programme, UNICEF, and the WHO. Upon request, an UNDAC team is rapidly deployed into a disaster-struck country to assess priority needs and to support national capacity. UNDAC focuses on natural disasters and as a result has a long history of dealing with secondary disease.", "Environmental Emergencies Section", "23. The Group of Environmental Standby Experts is housed in the Environmental Emergencies Partnership, a joint unit shared between OCHA and the UN Environment Programme (UNEP). It mobilises and coordinates the international response to environmental emergencies and natural disasters with major environmental impacts, providing a similar capacity for environmental disasters as UNDAC does for natural disasters. The group has three core functions: to provide emergency assistance; to provide response preparedness assistance; and to act as a secretariat to the Environmental Emergencies Partnership. Key functions include: monitoring; notification; assessment; mobilization of assistance; brokerage; acting as an information clearing house; and providing financial assistance.", "Other OCHA Coordination Activities", "24. OCHA also possesses a Register of Stockpiles comprising national assets which could be made available to respond to an emergency. Permission is required from the state which owns the asset. The Register currently includes a range of vaccines (both prophylactic and post-exposure). There is also a Register of Rosters of Disaster Management Expertise which contains details of disaster management professionals. It contains expertise ranging from general disaster to response to highly specialised fields and incorporates personnel from the UN, intergovernmental organizations, non-governmental organizations and states.", "25. OCHA also maintains a Directory of Contact Points for Disaster Response, listing organizations which have been designated to take the lead in certain events, such as the FAO, WHO, OPCW, IAEA, the World Food Programme and the International Air Transport Association.", "Secretary-General of the United Nations", "http://www.un.org/News/ossg/sg/index.shtml", "26. Since 1982, the Secretary-General has been tasked by the General Assembly with investigating the use or alleged use of biological, chemical or toxin weapons. The mechanism developed for his use in such instances was considered during the 2004 Meeting of Experts and Meeting of States Parties of the Convention. There have been no relevant developments since this mechanism was last described (BWC/MSP/2004/MX/INF.3).", "27. The Secretary-General has published a number of relevant reports since the last review conference of the Convention. Those which contain recommendations specific to the Convention include:", "(i) A More Secure World: Our Shared Responsibility (2004): compiled by the High Level Panel on Threats, Challenges and Change. As part of its consideration of collective security and the challenge of preventing proliferation, the High Level Panel examined both terrorism and weapons of mass destruction.[8]", "(ii) In Larger Freedom: Towards Development, Security and Human Rights For All (2005): part of the follow-up to the outcome of the Millennium Summit, this report included a section on Freedom from Fear which in part addressed catastrophic terrorism and weapons of mass destruction. The report recommended strengthening public health as the primary defence against biological terrorism, and also made specific recommendations on the Convention.[9]", "(iii) Uniting Against Terrorism, Recommendations for a Global Counter-Terrorism Strategy (2006): a further follow-up on the outcome of the Millennium Summit, the report makes a number of recommendations on weapons of mass destruction and terrorism, and on the need to engage and coordinate the efforts of different stakeholders to ensure that biotechnology is not misused.[10]", "United Nations Development Programme (UNDP)", "http://www.undp.org/", "28. UNDP is home to the UN Disaster Management Training Programme and was instrumental in establishing the International Vaccine Institute.", "United Nations Disaster Management Training Programme (DMTP)", "http://www.undmtp.org/", "29. DMTP is a learning platform addressing crises, emergencies and disasters for UN Member States, the UN system and international and non-governmental organizations. DMTP raises awareness of the need for more effective crisis and disaster management to reduce risks and vulnerabilities. DMTP’s objective is to: reduce the incidence and impact of crisis and disaster occurrences in programme countries; eliminate risks and vulnerabilities to such events; promote effective national and regional strategies in crises and disaster prevention, preparedness, mitigation, response and recovery; and encourage efficient coordination and collaboration at all phases of crisis and disaster management.", "30. Over recent years, DMTP has conducted more than 70 workshops involving around 6,000 participants in Africa, Latin America and the Caribbean, Asia and the Pacific, the Middle East, and the Commonwealth of Independent States. Currently, training modules cover many general aspects of disaster management.", "International Vaccine Institute (IVI)", "http://www.ivi.org", "31. The IVI contributes to the reduction of vaccine-preventable diseases in developing countries. It attempts to achieve this by collaborative research for new vaccines, as well as programs of basic and applied laboratory research, product development, training, and technical assistance. The organization lists recent achievements as including:", "(i) creating teams of scientists and technical specialists;", "(ii) forming networks for studies of vaccines;", "(iii) developing a program to accelerate the development and introduction of vaccines;", "(iv) measuring the disease burden in Asian children for a range of diseases;", "(v) developing a program for Japanese encephalitis;", "(vi) providing technical assistance and training programs;", "(vii) forming collaborative networks with vaccine manufacturers; and", "(viii) providing training in the clinical evaluation of vaccines.", "United Nations Educational, Scientific and Cultural Organization (UNESCO)", "http://www.unesco.org/ethics", "32. UNESCO has become increasingly active in the area of scientific and technological ethics in recent years and currently lists the topic as one of its five priority areas. It aims to strengthen the ethical link between scientific advancement and the cultural, legal, philosophical and religious context in which it occurs. UNESCO’s activities were considered during the 2005 Meeting of Experts and Meeting of States Parties, dealing with codes of conduct for scientists (BWC/MSP/2005/MX/INF.1).", "33. There have been three important developments since UNESCO’s activities were last considered. First, in October 2005, the General Conference of UNESCO adopted a Universal Declaration on Bioethics and Human Rights.[11] The declaration provides a framework for dealing with the ethical issues highlighted by medicine, life sciences and associated technologies as applied to human beings and the environment. Second, UNESCO has compiled a series of databases on ethics in science and technology collectively known as the Global Ethics Observatory (GEObs).[12] GEObs, launched on 15 December 2005, is designed to serve as a resource hub of ethics activities around the world.", "34. Finally, the World Commission on Ethics of Scientific Knowledge and Technology (COMEST), which is housed in UNESCO, has continued to examine codes of conduct for scientists. The October 2005 meeting of the UNESCO General Conference demonstrated that not all states were convinced of the necessity to develop a normative instrument in the area of scientific ethics and that as a result any further work, including initiating a feasibility study, would be premature. UNESCO and COMEST were requested to reflect on the question of scientific ethics. As a result COMEST is reflecting on how UNESCO can contribute to the international debate on scientific and technological ethics and responsibility. It has set out a three-point plan for its activities in 2006 and 2007, namely to: survey the wider field of scientific ethics in an attempt to identify topics for future international action; conduct consultations with scientists, philosophers and policymakers in all regions; and undertake consultation with relevant organizations and stakeholders in UN member states. COMEST has held three national consultations in Japan, India and Thailand. There have also been two regional consultations in Europe and Latin America, with an additional two planned for 2007 in Africa and the Middle East.", "United Nations Environment Programme (UNEP)", "http://www.unep.org", "35. As well as being a partner in activities covered elsewhere in this paper (see the Working Group on Biosafety in the WHO section, and the Environmental Emergencies Partnership in the OCHA section), UNEP also supports a number of international agreements which may be relevant to the BWC, including the Convention on Biological Diversity and the Basel Convention.", "The Convention on Biological Diversity (CBD)", "http://www.biodiv.org", "36. Under the framework of the CBD, the Cartagena Protocol on Biosafety[13] encompasses a range of measures, policies and procedures for minimising potential risks that biotechnology may pose to the environment and human health. It deals primarily with the cross border movement, transfer, handling and use of genetically modified organisms that are to be intentionally introduced into the environment, and with genetically modified farm commodities. It employs a number of tools, including: advance informed agreement procedure; a simplified system for agricultural commodities; risk assessment; risk management and emergency procedures; export documentation; the Biosafety Clearing House; capacity building and financing; and public awareness and participation. The Biosafety Clearing House (BCH) is an information exchange mechanism to facilitate the implementation of the protocol.[14] It was mandated to: facilitate the exchange of scientific, technical, environmental information on, and experience with, living modified organisms; and to assist parties to implement the Biosafety Protocol.", "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal", "http://www.basel.int", "37. Hazardous waste, as defined by the Basel Convention, includes toxic, ecotoxic and infectious substances. Since the last BWC review conference, the focus of the Basel Convention has shifted to strengthening implementation, including by: actively promoting the use of cleaner technologies and production methods; reducing further the movement of hazardous waste; preventing and monitoring illegal traffic; improving institutional and technical capabilities; further developing regional and sub-regional centres for training and technology transfer; and revising infectious waste guidelines.", "38. The Secretariat of the Basel Convention has developed a number of technical guidelines which might be relevant to the BWC.[15] These include: model national legislation; a methodological guide for undertaking national inventories; guidelines on physico-chemical treatment / biological treatment; guidelines on the environmentally sound management of biomedical and healthcare wastes; and a guidance paper on hazardous infectious substances. The Basel Convention recognises the classifications of infectious substances used in the UN Recommendations on the Transport of Dangerous Goods.", "World Customs Organization (WCO)", "http://www.wcoomd.org", "39. The WCO has carried out a strategic review of its security-related procedures in recent years. The June 2004 WCO Council Sessions established a High Level Strategic Group (HLSG) to develop standards to secure and facilitate global trade. The Framework of Standards to Secure and Facilitate Global Trade was adopted on 24 June 2005.[16] The Framework is aimed at protecting world trade from the threats posed by international terrorism, organised crime and ever-increasing customs offences. It also provides a structured platform to facilitate the movement of legitimate goods being traded internationally. The Framework has four core principles: advance electronic information; risk management; outbound inspection; and business partnerships. If requested, the WCO will assist Member States in undertaking diagnostic studies aimed at capacity building. The outcomes of these studies are designed to determine implementation status and provide suggestions for possible sustainable solutions.", "World Health Organization (WHO)", "http://www.who.int", "40. WHO activities related to disease surveillance, detection, prevention, mitigation and response were considered in some depth during the Meeting of Experts and Meeting of States Parties in 2004. The background information papers prepared for these meetings covered: the Global Outbreak Alert and Response Network (GOARN); the WHO Collaborating Centres; the Department for Epidemic and Pandemic Alert and Response (EPR); and the Department for Health Action in Crises (see BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2).", "Programme for Biorisk Reduction for Dangerous Pathogens", "41. WHO has published several documents specifically related to national and international preparedness for managing the health risks posed by the deliberate use of biological agents. First published in 1970 as “Health Aspects of Biological and Chemical Weapons” this publication was extensively revised in 2004, with the new title “Public Health Response to Biological and Chemical Weapons: WHO Guidance”[17]. This policy guidance document for Health Ministries contains chapters on assessing the threat to public health, biological and chemical agents, public health preparedness and response, legal aspects, and international sources of assistance, as well as technical annexes.", "42. That epidemics might be due to the possible deliberate use of biological agents was acknowledged by the World Health Assembly with resolution WHA55.16 of 18 May 2002[18].", "WHA55.16 requests the Director-General to strengthen global preparedness for and response to such events, and to provide tools and support for Member States to strengthen their national health systems, especially health emergency preparedness and response. More recently, the World Health Assembly adopted the revised International Health Regulations (IHR) with resolution WHA58.3 of 23 May 2005[19]. The IHR (2005) requires WHO, among others, to provide assistance to States Parties, on request, in the event of a \"Public Health Emergency of International Concern\" (see below for more detail on other aspects of the IHR). This was followed by the adoption of resolution WHA58.29 of 25 May 2005[20] that called for WHO to provide support on laboratory biosafety and containment of microorganisms and toxins.", "43. In response to these mandates, the Biorisk Reduction for Dangerous Pathogens (BDP) programme was created in 2006 within the Department of Epidemic and Pandemic Alert and Response (EPR). BDP combines two previously existing teams, the Accidental and Deliberate Epidemics with the Emerging and Dangerous Pathogens, to be able to deliver a more comprehensive public health oriented approach. BDP is based in the WHO headquarters in Geneva and includes several projects relevant to the possible deliberate use of biological agents. These projects include: Preparedness for Deliberate Epidemics, Responsible Life Science Research, Laboratory Biosafety, Laboratory Biosecurity, Global Laboratory Directory and Networks, Hospital Epidemic Preparedness. BDP also maintain public health expertise on Dangerous Pathogens such as anthrax, brucellosis, nipah, tularaemia, Viral Haemorrhagic Fevers, SARS, smallpox, etc.", "44. A number of countries have requested WHO technical assistance to strengthen their national health preparedness plans for responding to the possible deliberate use of biological agents. To address these requests, BDP has developed and field-tested a capacity assessment guideline, which is expected to be published by early 2007. A training package to support the application of the guidelines is being developed. The guidelines, along with other relevant activities on national health preparedness, were reviewed with partners at a meeting held in Geneva in June 2005.[21]", "45. The third edition of the \"Laboratory Biosafety Manual\" has been recently published and contains a section on Laboratory biosecurity. The Manual is available in several WHO official languages.[22] The laboratory biosecurity concepts included in the Manual have now been articulated in the document \"Laboratory Biosecurity Guidance\", which is being made available through the WHO Web pages for further inputs and comments. WHO collaborates on biosafety with other UN agencies, including UNEP and FAO (through the Working Group on Biosafety); the UN Committee of Experts on the Transport of Dangerous Goods (see the ECOSOC section); the Basel Convention and the Convention on Biological Diversity (both serviced by UNEP). It also collaborates with a wide range of other international, regional and national organizations on this topic.", "46. The document \"Life science research: Opportunities and risks for public health: Mapping the Issues\"[23] has been published in 2005 and work is continuing to engage dialogue with WHO Member States, the public health and life science communities, international and non-governmental organizations, private and security sectors on responsible life science research.", "47. WHO also works on other subjects and diseases (e.g. pandemic influenza preparedness, food safety, chemical and radiological health emergencies, psychosocial consequences) which have relevance to the possible deliberate use of biological agents. In addition, as a result of WHO’s mandate on epidemic diseases, if and when global alert and response capabilities are requested, they will come from the Global Outbreak Alert and Response Network (GOARN).[24]", "48. WHO exclusively focuses on the public health aspects of the possible deliberate use of biological agents to cause harm. In implementing activities, WHO acknowledges the need to interact with international frameworks which have not traditionally worked with WHO, such as law enforcement and security organizations (e.g. Interpol, the Organisation for the Prohibition of Chemical Weapons) and other security initiatives (e.g. the Biological Weapons Convention). Likewise, WHO encourages Ministries of Health to work with their national security counterparts (e.g. military, intelligence, law enforcement, civil protection) for managing the health risks caused by the possible deliberate use of biological agents. In pursuing its goals, WHO's strict preservation of political neutrality in addressing issues of national security concern is essential to maintain the trust of its 192 Member States.", "Revised International Health Regulations", "http://www.who.int/csr/ihr/en/", "49. As noted above, the World Health Assembly adopted a resolution updating the International Health Regulations (IHR) in May 2005. The preamble to this resolution makes specific reference to the earlier resolution stating that the WHO \"focuses on the possible public health consequences of an incident involving biological and chemical agents and radionuclear material, regardless of whether it is characterized as a natural occurrence, accidental release or a deliberate act.\"[25] The revised IHR will enter into force in June 1997.", "50. The IHR were revised to ensure the effective prevention, protection against, control of and public health response to the international spread of disease in ways that are commensurate with and restricted to public health risks, and which avoid unnecessary interference with international traffic and trade. Article 5 of the new IHR requires states, with the assistance of the WHO, to develop, strengthen and maintain a capacity to detect, notify and report relevant disease events. Article 6 requires states to notify WHO not just of outbreaks of specific diseases, but of all events that may constitute \"public health emergencies of international concern\", with Annex 2 providing a \"decision instrument\" to be used to determine whether an event may constitute such an emergency. Article 13 has obligations to develop, strengthen and maintain a capacity to promptly and effectively respond to public health risks and public health emergencies of international concern. WHO is mandated to create guidelines to help states do this. It can also provide technical assistance and efficiency assessments upon request.", "III. Other International Organizations", "International Centre for Genetic Engineering and Biotechnology (ICGEB)", "51. The ICGEB was launched in 1983 to aid the development of molecular biology and biotechnology in developing countries. Its activities include:", "(i) conducting research in the life sciences for the benefit of developing countries;", "(ii) research capacity-building in developing countries through training, funding and advisory services; and", "(iii) promoting biotechnology internationally.", "The ICGEB has also done work on scientific ethics and responsibility and has been developing a series of principles to aid the development of codes of conduct for scientists. This work was considered during the Meeting of Experts and Meeting of States Parties in 2005 (see BWC/MSP/2005/MX/INF.1.)", "International Civil Aviation Organization (ICAO)", "52. ICAO services the Convention on Civil Aviation (Chicago Convention). Although most of the Chicago Convention deals with principles of practice, its Annex 18 addresses the Safe Transport of Dangerous Goods by Air. It states that the transport of dangerous goods by air must comply with the relevant regulations, in this case known as the Technical Instructions. It is designed not only to ensure safety and security but also to facilitate free trade. The Technical Instructions are valid for two-year periods; the current biennium expiring at the end of December 2006. They use the classification system for infectious substances of the UN Recommendations of the Transport of Dangerous Goods (see the section on ECOSOC). Copies of the Technical Instructions can be purchased from ICAO. The sections relating to infectious substances were revised in 2005[26]. ICAO has also developed a guidance document for the transport of infectious substances by air[27]. The attendant packaging instructions are currently under review and there is a public consultation underway which is due to be completed in March 2007.", "International Committee of the Red Cross (ICRC)", "53. The ICRC has conducted activities to raise awareness of the Convention, as well as increase the efficiency of its implementation through its project on \"Biotechnology, Weapons and Humanity\". It also has an emergency assistance capacity which could become involved in incidents involving the use of biological weapons.", "Project on Biotechnology, Weapons and Humanity", "http://www.icrc.org/web/eng/siteeng0.nsf/htmlall/bwh?opendocument", "54. Between the two sessions of the Fifth Review Conference, the ICRC launched its initiative on Biotechnology, Weapons and Humanity. The project was motivated by the ICRC’s mandate to protect and assist the victims of armed conflict and growing perceptions of the increasing potential for the misuse of biotechnological developments. The initiative began with a meeting of experts in Montreux, Switzerland in September 2002. This provided a forum to discuss concerns related to the fields of biotechnology, biological weapons, disarmament law, international humanitarian law, ethics and social responsibility. At the meeting the ICRC unveiled its Appeal on Biotechnology, Weapons and Humanity, addressed to governments, scientists, the biotechnology industry and civil society. It identified the growing danger that the advances in biotechnology might be misused, highlighted the threat which inaction poses to ancient and modern rules prohibiting poisoning and the deliberate spreading of disease, and called for a reaffirmation of these rules from its target audiences and for them to take a series of practical preventative measures.", "55. Following on from its appeal the ICRC began to engage the scientific community through a series of regional meetings. The discussions held at these meetings, in combination with the expertise of the organization have led to the production of a number of resources. The ICRC produced a guide to the relevant responsibilities of scientists, which included a list of practical step which individuals can take[28]. It also examined the link between legislation and ethics, focusing on the development of best practice, and developed a number of principles which could be incorporated into codes of conduct or best practices[29]. The ICRC has also contributed to efforts to strengthen the national implementation of the Convention, including by drafting a model law to implement the Convention[30].", "Emergency Assistance", "http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList78/187938589127C98BC1256B66005DFEC3", "56. The core mission of the ICRC is to protect the lives and dignity of victims of war and internal violence and to provide them with assistance. The assistance programme of the ICRC was initiated \"to protect the victims' lives and health, to ease their plight and to ensure that the consequences of conflict - disease, injury, hunger, displacement or exposure to the elements - do not jeopardize their future\". The ICRC is also mandated to attempt to gain acceptance of responsibility for unlawful tactics during conflicts. This includes efforts to prevent or end violations of international humanitarian law.", "57. There are two internal ICRC divisions involved with assistance: the Health and Relief Division for practical aspects; and the Logistics Division for logistical matters. The ICRC has no published materials indicating that it is prepared or able to provide assistance to those suffering as a result of the use of a biological weapon. The over-riding concern of the ICRC remains the safety and security of its staff. As a result, under the current arrangements the ICRC might not be in a position to help clarify or respond to disease events or intoxications which could have been deliberately instigated.", "Interpol", "http://www.interpol.int/Public/BioTerrorism/", "58. The Interpol Bioterrorism Programme (IBP) was launched in 2004 to:", "(i) raise awareness of the threat;", "(ii) develop police training programmes;", "(iii) strengthen efforts to enforce existing legislation;", "(iv) promote the development of new legislation;", "(v) encourage interagency cooperation on bioterrorism.", "59. It deals primarily with addressing, through national measures and international cooperation, the acquisition and use of biological weapons by non-state actors. The programme team is small but is supported by a steering committee and a group of expert consultants. As its first step the IBP hosted the Global Conference on Bioterrorism from 1-2 March 2005 at its headquarters in Lyon, France. This conference established a road map for future IBP activities, including:", "(i) establishing a training programme and resource centre at the disposal of worldwide law enforcement, with Interpol as the lead agency;", "(ii) preparing training manuals and investigative guides for distribution and to be made available on Interpol’s website;", "(iii) enhancing cooperation between public health officials, customs and law enforcement and additionally, between international organizations;", "(iv) providing regional training for countries in need of capacity building in the appropriate responses to a bioterrorist incident;", "(v) creating an incident response guide, with specific blocks of instruction in bioterrorism;", "(vi) making information on bioterrorism available on the restricted Interpol website with links to other resources.", "60. In order to sensitise the necessary personnel to the issues involved, as well as for providing the training for capacity building, IBP is in the process of holding a series of regional workshops. Three have been held to date: South Africa in November 2005; Singapore in March 2006; and Chile in July 2006. Two more are planned in the Middle East and the Commonwealth of Independent States. The resource centre mentioned above also been developed and is available online[31]. The IBP has also been developing training materials and conducting tabletop exercises, and in July 2006 launched the Bioterrorism Incident Pre-planning and Response Guide[32].", "61. The IBP has also recently begun a \"biocriminalization\" project, which will focus on ensuring that states are, from a law-enforcement perspective, adequately prepared for, protected from and able to respond to the use or threat of use of biological weapons by non-state actors. It will strengthen the legal basis for assistance or cooperation in law enforcement to prevent the production or transport of biological weapons, and ensure that the activities prohibited by the Convention are included in national legal frameworks so that law enforcement agencies have the mandate to interdict attempts to acquire biological weapons before they are actually used.", "Organization for Economic Cooperation and Development (OECD)", "http://www.oecd.org/", "62. The OECD's International Futures Programme was set up in 1990 to perform economic and social horizon scanning and to prepare material and act as a forum to aid decision makers in setting policy agendas and mapping strategies to deal with challenges over the longer term. As a result of increasing recognition that biotechnology can be used to produce harmful agents for destructive purposes as well as contributing to technological development and economic growth, in recent years the IFP has been increasingly concerned with biosecurity, dual-use science and scientific responsibility.", "63. The meeting of OECD Scientific Ministers in Paris in January 2004 addressed the role of responsible stewardship in helping to achieve a balance between scientific freedom and security concerns. In response the IFP hosted the conference \"Promoting Responsible Stewardship in the Biosciences: Avoiding Potential Abuse of Research and Resources\" in September 2004 in Frascati, Italy. This meeting, according to the Chairman’s summary, established a framework for the IFP to address this issue[33]. Steps to be undertaken included:", "(i) inventorying policy and legal approaches to biosecurity in all states;", "(ii) establishing a working party to perform gap analysis on the inventory;", "(iii) developing a clearing house on biosecurity and scientific codes of conduct to aid information exchange and awareness raising;", "(iv) using lessons learned from experiences with codes of conduct to develop and enhance national and international oversight mechanisms for codes of conduct; and", "(v) holding regular meetings of key players from all the various stakeholders to facilitate the above.", "64. Action has been taken on these fronts and some of the results are available on a dedicated website[34]. Information provided includes: the role of OECD in biosecurity and codes of conduct; key players and organizations; a glossary; background information on these topics; links to background documents and resources developed by a large number of organizations; as well as an archive of relevant codes of conduct.", "Organization for the Prohibition of Chemical Weapons (OPCW)", "http://www.opcw.org", "65. The OPCW is the implementing organization for the Chemical Weapons Convention (CWC), which has a number of obvious parallels with the BWC, notably in the areas of universalisation, national implementation, assistance and protection, and promotion of peaceful uses of science and technology. Details of developments in the OPCW since the last review conference of the Convention can be found in the organization’s annual reports[35].", "66. At the end of the last review conference of the BWC, the CWC had 147 states parties. By the end of 2005 it had 175 (in contrast to 155 for the BWC). Eleven new states joined the CWC in 2003, nine in 2004 and eight in 2005. This increase is widely attributed to the action plan on universalisation adopted at the First Review Conference of the CWC in 2003. The CWC also adopted an action plan on national implementation, and has since hosted a wide range of workshops and training courses on various aspects of national implementation.", "67. The OPCW has also undertaken numerous initiatives to enhance international cooperation over the last three years. These have included programs to: enhance capacity-building in national chemical industries and analytical laboratories; to support conferences and exchange of scientific and technical information; to enable scientists from developing countries to do internships in advanced laboratories; to support research projects in developing countries; and to donate used equipment. In the area of protection against and assistance after the use of chemical weapons, the OPCW held various workshops and training programs, and is in the process of developing a database designed to assist CWC States Parties in implementing Article X of the CWC (which deals with assistance and protection, and is equivalent to Article VII of the BWC). The OPCW is also looking to create a partnership with OCHA’s Joint Environment Unit, which comprises the provision of practical assistance and co-ordination from UNEP and OCHA respectively.", "World Organization for Animal Health (OIE)", "68. Many of the relevant activities of the OIE were reviewed during the Meeting of Experts and Meeting of States Parties in 2004 which focused on disease detection, surveillance, prevention, mitigation and response as well as assistance in the case of use of biological weapons and suspicious outbreaks of disease. (For more information see BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/MX/INF.2 and BWC/MSP/2004/ INF.1.)", "69. Since these background information documents were prepared, the OIE has continued to expand activities relevant to the Convention. Both the Terrestrial and Aquatic Codes have been updated with revised versions being released in 2006.", "70. The OIE has also begun to focus more strongly on animal disease outbreaks resulting from a violation of the Convention. In April 2006 the OIE released a Scientific and Technical Review on the role and preparedness of veterinary and public health services in biological disasters of an animal origin[36]. This included intentional spreading of disease. It contained articles on:", "(i) risk assessment and response management;", "(ii) designing effective epidemiological surveillance systems (in both developed and developing countries);", "(iii) public perception and risk communication;", "(iv) case studies of national disease events;", "(v) recent developments in disease modelling;", "(vi) the Biological Weapons Convention;", "(vii) historical surveys of biological attacks against animals and programmes developing such weapons;", "(viii) distinguishing between natural and unnatural disease outbreaks;", "(ix) microbial forensics;", "(x) the role of international organizations; and", "(xi) future scientific and technological developments.", "IV. International Commercial and Scientific Organizations", "InterAcademy Panel on International Issues (IAP)", "http://www.interacademies.net/", "71. The IAP was launched in 1993 to act as a global network of the world’s scientific academies to assist its members collaborate to better advise governments and civil society on the scientific aspects of global issues. IAP’s statute sets out five specific objectives:", "(i) to provide advice to governments and international organizations on scientific aspects of issues of global importance;", "(ii) to promote cooperation, the exchange of information and experiences as well as developing common visions between scientific academies;", "(iii) to build capacity of the national scientific academies;", "(iv) to assist scientific communities in countries without scientific academies to establish them; and", "(v) to organise conferences, workshops and symposia as well as issuing statements or reports of topics of major international concern.", "72. In 2004 the IAP established a working group on biosecurity as a result of a growing concern that there was the potential for biological science research could be used for malign purposes. The working group was tasked with a creating a statement of principles which could guide scientific academies and institutions in the development of codes of conduct. The statement was released on 1 December 2005[37] and the following week was presented to the BWC Meeting of States Parties which was considering the content, adoption and promulgation of codes of conduct for scientists. The IAP Statement on Biosecurity incorporates elements of awareness, safety and security, education and information, accountability, as well as oversight. It has been endorsed by 68 scientific academies.", "International Air Transport Association (IATA)", "http://www.iata.org/whatwedo/security_issues/index.htm", "73. IATA’s is a global trade organization comprising around 260 airlines. Its main security interest is in preventing attacks on aircraft. It is, however, also involved in developing best practices and model regulations on biosafety and biosecurity, as well as on the transport of dangerous goods. IATA acts as the Centre of Expertise for the transport of dangerous goods by air. It sets Dangerous Goods Regulations for its member airlines. It also offers standards for documentation, handling and training, and actively promotes the adoption and use of those standards by the air cargo industry. IATA has a dedicated Training and Development institute which offers courses and diplomas in a number of languages.", "74. The Dangerous Goods Regulations are set by IATA’s Dangerous Goods Board, which comprises 12 experts elected from member airlines. The regulations use the classification system of the UN Recommendations on the Transport of Dangerous goods (see the section on ECOSOC). Revised versions of the Regulations cover each biennium. The 48th edition of the Regulations will come into effect 1 January 2007.", "International Council for Science (ICSU)", "http://www.icsu.org", "75. ICSU is a global umbrella organization for national and international scientific organizations. It was covered in the background information prepared for the 2005 Meeting of Experts and Meeting of States Parties (BWC/MSP/2005/MX/INF.2). It has worked with UNESCO/COMEST on developing principles for a scientific code of conduct. (For more information see the section on UNESCO.)", "Annex", "Table of Organizations by Area of Activity", "Area of Activity Organizations", "National criminal and 1540 Committee, Interpol, OPCW, ICRC anti-terrorism legislation, regulations and measures", "Safety and security of 1540 Committee, WHO, FAO, OIE, OECD biological agents and toxins (in laboratories, etc)", "Safe and secure transport of ECOSOC, UNEP, WCO, IMO, ICAO, IATA biological agents and toxins", "Ethics and codes of conduct UNESCO, OECD, ICRC, ICGEB, IAP, ICSU", "Disease surveillance and early WHO, FAO, OIE warning", "Assistance, protection and WHO, FAO, OIE, OCHA, UNDP, UNEP, UN response in the case of use of Secretary-General, ICRC biological weapons", "Promotion of peaceful uses of WHO, FAO, OIE, UNDP (IVI), ICGEB, IMO, biological science and ICAO, WCO technology, including capacity-building and free trade", "[1] S/2006/257.", "[2] UN Recommendations on the Transport of Dangerous Goods, 14^(th) Revised Edition, 2005, http://www.unece.org/trans/danger/publi/unrec/rev14/14files_e.html.", "[3] UN Manual of Tests and Criteria, 4^(th) Revised Edition, 2004, http://www.unece.org/trans/danger/publi/manual/pubdet_manual.html.", "[4] https://www.ippc.int/cds_upload/1146657660135_ISPM3.pdf.", "[5] https://www.ippc.int/servlet/CDSServlet?status=ND0xMzI5Mi4yNTA4MSY2PWVuJjMzPWV2ZW50cyYzNz1pbmZv.", "[6] http://www.fao.org/docrep/008/y5874e/y5874e00.htm.", "[7] http://www.fao.org/docrep/007/y5722e/y5722e00.htm.", "[8] http://www.un.org/secureworld/.", "[9] http://www.un.org/largerfreedom/.", "[10] http://www.un.org/unitingagainstterrorism/.", "[11] http://unesdoc.unesco.org/images/0014/001461/146180E.pdf.", "[12] http://www.unesco.org/shs/ethics/geobs.", "[13] http://www.biodiv.org/biosafety/default.aspx.", "[14] http://www.biodiv.org/chm/default.aspx.", "[15] http://www.basel.int/meetings/sbc/workdoc/techdocs.html.", "[16] http://www.wcoomd.org/ie/en/press/wco%20-%20framework%20final%20en%2023-8.pdf.", "[17] http://www.who.int/csr/delibepidemics/biochemguide/en/index.html.", "[18] http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf.", "[19] http://www.who.int/gb/ebwha/pdf_files/WHA58/WHA58_3-en.pdf.", "[20] http://www.who.int/csr/labepidemiology/WHA58_29-en.pdf.", "[21] http://www.who.int/csr/resources/publications/deliberate/WHO_CDS_EPR_LYO_2005_26/en/index.html.", "[22] http://www.who.int/csr/resources/publications/biosafety/WHO_CDS_CSR_LYO_2004_11/en/.", "[23] http://www.who.int/csr/resources/publications/deliberate/WHO_CDS_CSR_LYO_2005_20/en/index.html.", "[24] http://www.who.int/csr/outbreaknetwork/en/.", "[25] WHA55.16, http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf.", "[26] http://www.icao.int/icaonet/dcs/9284.html.", "[27] http://www.icao.int/icaonet/dcs/9284/guidance_doc_infectious_substances.pdf.", "[28] http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList515/7358E6A439390A02C1256E21004E1195.", "[29] http://www.icrc.org/Web/Eng/siteeng0.nsf/html/66NC2R?OpenDocument&style=Custo_Final.3&", "View=defaultBody2.", "[30] http://www.icrc.org/Web/eng/siteeng0.nsf/html/review-859-p573.", "[31] http://www.interpol.int/Public/BioTerrorism/links/.", "[32] http://www.interpol.int/Public/BioTerrorism/BioterrorismGuide.pdf.", "[33] http://www.oecd.org/dataoecd/30/56/33855561.pdf.", "[34] http://www.biosecuritycodes.org.", "[35] http://www.opcw.org/en/annualreport_menu.html.", "[36] http://www.oie.int/eng/publicat/rt/A_RT25_1.htm.", "[37] http://www.interacademies.net/?id=5405." ]

[ "Geneva, 20 November-8 December 2006", "Background information paper on developments that may be relevant to the Convention since the last Review Conference", "Prepared by the Secretariat", "Introduction", "In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to compile a background paper on developments that might be relevant to the Convention in other international organizations since the last Review Conference. The Secretariat has prepared this document in response to that request.", "The present document recalls developments in the United Nations (including the Security Council, the Secretariat, specialized agencies and committees) and other international organizations, as well as some of the international commercial and scientific organizations of particular relevance (such as the International Scientific Council and the International Air Transport Association). Article steadfastness is available for further information. If developments have been referred to in the previous Biological Weapons Convention documents, the present text is only updated. Please note that this document refers to “the Convention”, in addition to other clarifications, to the Biological Weapons Convention.", "The Secretariat has adopted a comprehensive approach to identifying issues of relevance to the Convention. Some organizations are included because, while they do not directly or explicitly engage in biological weapons, their activities may be relevant to article III (Prevention of the transfer of biological weapons), article IV (NEX, in particular in the area of terrorism), article 7, assistance in the use or threat of use of biological weapons), or article 10 (Peace use of biological science and technology). The annex lists the organizations in the area of activity.", "United Nations and specialized agencies", "1540 Committee http://disarmament2.un.org/Commission 1540", "The United Nations Security Council (Council) adopted resolution 1540 of 28 April 2004 on the non-proliferation of weapons of mass destruction. The resolution affirms that the proliferation of biological weapons (as a weapons of mass destruction) poses a threat to international peace and security and that the Council will take appropriate and effective action on any such threat, and expresses its grave concern that non-State actors may acquire, develop, trafficked or use such weapons (and the resources or materials required). In response to this threat, the Council, acting under Chapter VII of the Charter of the United Nations, decides:", "(1) No State shall assist non-State actors in the development, acquisition, manufacture, possession, transport, transfer or use of biological weapons;", "(2) Any State shall adopt and implement legislation prohibiting such activities;", "(3) Any State shall take domestic measures, including the establishment of an appropriate regulatory regime to prevent the proliferation of materials related to biological weapons.", "In support of the resolution, the Council established a committee composed of 15 members of the Security Council. The Committee is supported by a number of experts and serviced by the United Nations Department for Disarmament Affairs. Resolution 1540 granted the Commission a mandate for two years: in resolution 1673 of 27 April 2006, the Council extended the mandate for a further two years. Resolution 1673 also requested the 1540 Committee, in conjunction with States and international, regional and subregional organizations, to explore issues relating to the exchange of experiences, the lessons learned and the possibility of promoting the implementation of programmes in the areas covered by those resolutions.", "The 1540 Committee has made considerable progress in the implementation of these resolutions. A recent report of the Chairman of the Committee (published prior to the delegation of authority) indicated that, as at 20 April 2006, 129 States had submitted detailed national legislation and measures; 62 States had not submitted any national report; 79 States had provided additional information as a result of the request of the 1540 Committee for clarification. National framework for the implementation of the Convention:", "(1) 56 States have at least referred to a number of bans;", "(2) Seventy-five States impose penalties for violations in their criminal law;", "(3) The most commonly reported prohibition of the manufacture or production or acquisition of biological weapons.", "With regard to legislative and enforcement measures taken to control access to weapons-related materials:", "(1) 54 States provided information;", "(2) Most countries provided detailed information on biosecurity legislation and regulations;", "(3) 17 States reported on accounting legislation and regulations;", "(4) Most countries have different laws with respect to human, livestock and phytosanitary plants and have different implementing agencies responsible for the implementation of these laws, usually public health, livestock and plant control institutions;", "(5) Some States reported on additional legislation regulating genetic engineering;", "(6) 48 States reported on legislation relating to licensing or registration requirements relating to hazardous biological preparations;", "(7) 49 States reported on criminal or administrative penalties and sanctions for violations of biological and biological safeguards.", "The information provided in the national report is compiled in a database where many information is available on the Committee's website.", "Economic and Social Council (ECOSOC) http://www.unece.org/trans/danger/danger.htm", "The Economic and Social Council plays an important role in developing transport guidelines on hazardous goods, including sexually transmitted biological preparations and toxins. The Council has a Committee of Experts on the Transport of Dangerous Goods ( Dangerous Goods) and on the Globally Harmonized System of Classification and Labelling of Chemicals. The Subcommittee on the Transport of Dangerous Goods held six meetings since the end of the Fifth Review Conference in 2002. Its responsibilities are to revise two key texts, one of which is the United Nations Recommendations on the Transport of Dangerous Goods (which contains the United Nations Regulations) [2] and the United Nations Manual on Tests and Standards [3].", "The purpose of the United Nations Recommendations on the Transport of Dangerous Goods is to consider technological advances, the emergence of new substances and materials, the evolving changes in modern transport systems and the protection of persons, property and the environment. It does not apply to the distribution of dangerous goods at sea, which is dealt with by the International Maritime Organization and the International Civil Aviation Organization (see the relevant chapter below).", "In accordance with the Model Regulations, there is a list of hazardous goods classified by risk. Category 6 is toxic substances and sexually transmitted substances; category IX may also be relevant, including genetically modified organisms. toxins are classified as an acute oral, skin exposure and toxicity. STIs are divided into two categories: A and B. Emissions included in category A are the permanent disability, life threats or fatal diseases for health persons or livestock if contact with their forms of transport occurs. Category B includes all other infections. Different packaging measures are provided in accordance with the nature of the infected agent or the related toxicity.", "Food and Agriculture Organization (FAO)", "http://www.fao.org", "The 2004 expert meeting and the Conference considered a number of FAO activities related to the Convention (see BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2). FAO plays a key role in preventing and responding to natural and man-made disasters and complex emergencies. It has developed a number of technical guidance on best practices for emergency management, which is now being consolidated into a comprehensive emergency preparedness and response manual. FAO has programmes and sectors to address issues such as prevention, preparedness and early warning and impact and needs assessment, emergency relief and recovery. It also provides services for the International Plant Protection Convention.", "Prevention, preparedness and early warning", "In addition to providing technical assistance to member States to enhance their capacity to prevent or mitigate emergencies, FAO has also assisted them to minimize the adverse effects of disasters through various preventive actions, such as through the inter-border animal and plant plague and disease emergency prevention system and the FAO/International Astronautical Agency/WHO global framework for the progressive control of transboundary animal diseases. FAO disaster preparedness assistance includes the establishment of a institutional framework for risk management and emergency response at the regional, national and local levels, such as biosecurity (FAO's collaboration with UNEP and WHO in a biosafety working group); the establishment of regional and national early warning and food information systems; the establishment and management of food security reserves; and the development of disaster preparedness plans for disaster occurrence. Good emergency management practices programmes play a key role in emergency preparedness. With regard to early warning, FAO participated in the Global Early Warning System of the Food and Agriculture Organization/WHO. Details on these activities are available in BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2.", "Impact and needs assessment, emergency relief and recovery", "http://www.fao.org/reliefoperations/index_en.asp", "In emergencies, the first step is to assess humanitarian assistance needs. The FAO/World Food Programme Crops and Food Supply Assessment Assessment Assessment. The World Food Programme then provides emergency humanitarian relief. Emergency agricultural relief is provided by the FAO Special Relief Operations Service, which conducts its own needs assessment, resource mobilization, monitoring and impact assessment, providing advice and support on the development of rehabilitation programmes.", "International Convention on Plant Protection", "http://www.ippc.int", "Since the last Review Conference of the Biological Weapons Convention, the International Convention on Plant Protection has agreed on a revised version of new international standards or international standards, including the following criteria:", "(1) Guidelines for the transport, shipping, import and release of biological controlled agents and other useful biological bodies; [4]", "(2) A compilation of phytosanitary terms; [5]", "(3) Analysis of the harmful biological risks of sanitary harmful biological life, including environmental risks and the analysis of transformative living species; [6]", "(4) Disadvantaged analysis of harmful biological risks of non-becotics [7].", "International Maritime Organization (IMO)", "http://www.imo.org/Newsroom/mainframe.asp?topic_id=861", "IMO has a long history of participating in the transport of dangerous goods. In the 1960s, the rules on international maritime transport of dangerous goods were developed to address pressing security and safety issues. In 2002, IMO met to review the safety of its work and updated the International Rules on the Transport of Dangerous Goods. The Conference provided for the internationally dangerous maritime transport rules as a mandatory norm and effectively established an internationally legally binding instrument to ensure maritime safety and security of hazardous goods, including toxins and sexually transmitted substances. In addition to the revision of the International Rules on the Transport of Dangerous Goods, IMO is increasingly active in maritime safety activities and has developed a comprehensive set of maritime safety regimes. In December 2002, amendments were adopted to the 1974 International Convention on the Safety of Life at Sea, including the new International Ship and Port Facility Security Rules. In 2004, the Code of Port Security Practices was adopted. The provisions of the International Ship and Port Facility Security Rules are supplemented with respect to security in the larger port area.", "Office for the Coordination of Humanitarian Affairs (OCHA) http://ochaonline.un.org/", "The mandate of OCHA is to mobilize and coordinate effective and principled humanitarian action with national and international humanitarian actors to alleviate the suffering of people in natural disasters and complex emergencies; advocate for the rights of the poor; promote disaster preparedness; promote sustainable solutions; and engage in policy and information development. There are two situations in which OCHA is involved in a particular activity: (1) If it exceeds the operational capacity of a United Nations agency; or (2) requests for humanitarian assistance from Member States.", "OCHA has participated in a number of activities involving chemical, biological, radiological and nuclear agents. It does not have a specific policy to deal with incidents of biological weapons, and it is likely to commission a humanitarian partner to coordinate humanitarian response. If a particular incident does not trigger large-scale internal or transboundary movement, OCHA cannot intervene. OCHA field staff have not been trained and they have no contingency plans to deal with incidents involving biological weapons.", "OCHA has internal emergency response capacity, with a 24-hour monitoring and police backup system to deploy staff to develop rapid disaster events within a short time frame. OCHA also supports a number of mechanisms and networks that enable humanitarian associations to respond quickly to emergencies and disasters.", "The Civil Affairs Coordination Service is at the centre of the mobilization of military assets requested by United Nations representatives within the United Nations system, including:", "(1) Guidelines for the use of military and civil defence resources for disaster relief;", "(2) The Inter-Agency Standing Committee document on civil relations in complex emergencies;", "(3) The use of military and civil defence resources in support of humanitarian activities in complex emergencies;", "(4) Provision of humanitarian guidance for the use of military escorts or armed escorts;", "(5) Country guidance.", "Military and civil defence resources are required only when all other resources are exhausted. The Civil Service may require donor countries to provide personnel, specific expertise and/or equipment. Such assets are free of charge to the affected State.", "The Civil Affairs Coordination Service has a register of assets that serves as an exchange of information and assistance to States, intergovernmental and non-governmental organizations requires finding appropriate assets in the Register. Following the authorization of the deployment of a asset by all States of the asset, the Military Coordination Service has been coordinating the transportation and operation of the asset, which currently has various assets in the area of preparedness and response to chemical weapons, including the following modules: assistance to the population affected by nuclear, biological and chemical agents; mobile testing rooms; and protection. The Office for the Coordination of Humanitarian Affairs is currently updating its nuclear, biological and chemical agents registers and requests States to provide information on the detection of vehicles, sensors, removal of pollution, mobile laboratories, identification of assets, assistance and protection.", "United Nations Disaster Relief Coordination and Disaster Assessment Team", "The Disaster Coordination and Disaster Assessment Team is a standby team consisting of disaster management professionals nominated and funded by Member States of the United Nations, OCHA, UNDP, the World Food Programme, UNICEF and WHO. As requested, the Disaster Relief Coordination and Disaster Assessment Team could rapidly assign a group of personnel to the affected countries to assess priority needs and support national capacities. The Disaster Coordination and Disaster Assessment Panel focuses on natural disasters, and therefore has a long history of dealing with spontaneous diseases.", "Environmental Incidents Section", "The Collaborative Unit on Environmental Emergencies is a unit of OCHA and the United Nations Environment Programme (UNEP) with a standby expert group on environmental issues. It mobilizes and coordinates international responses to sudden environmental events and natural disasters that have major environmental impacts, and provides the capacity of the disaster response coordination and disaster assessment teams in natural disasters. The Group has three core functions: providing emergency assistance; providing assistance for preparedness; and acting as the secretariat for the Partnership for Emergencies. Key functions include monitoring, notification, assessment, mobilization of assistance, brokering operations, acting as clearing-house and financial assistance.", "Other coordination activities of OCHA", "OCHA also has a register of national assets that can be used in response to an emergency. It is necessary to obtain the consent of that asset State. The Register currently has a series of vaccines (both prevention and post-infected). There is also a register of disaster management expertise to document details of disaster management professionals. It registered expertise from ordinary disasters to areas that were highly specialized and included personnel from the United Nations, intergovernmental organizations, non-governmental organizations and States.", "OCHA also includes a directory of disaster response contact points, including organizations designated to lead in certain incidents, such as FAO, WHO, the Organization for the Prohibition of Chemical Weapons, IAEA, the World Food Programme and the International Air Transport Association.", "United Nations Secretary-General", "http://www.un.org/News/ossg/sg/index.shtml", "Since 1982, the Secretary-General has been entrusted by the General Assembly to investigate the use or alleged use of biological, chemical or biological weapons. The 2004 Conference of the States Parties and expert meetings of the Convention considered mechanisms established for use in such cases. Since the last presentation of the mechanism, there has been no corresponding new developments (BWC/MSP/2004/MX/INF.3).", "Since the last Review Conference of the Convention, the Secretary-General has issued a number of relevant reports. The report containing recommendations specific to the Convention is:", "(1) A safer world: our shared responsibility (2004): compiled by the High-level Panel on Threats, Challenges and Change. As part of the High-level Panel's deliberations on collective security and the challenge of preventing proliferation, it examines both terrorism and weapons of mass destruction. [8]", "(2) Universal freedoms: realization of the development, security and human rights of all (2005): This report is part of the implementation of the outcome of the Millennium Summit, and it has a chapter on freedom from fear, which deals in part with disaster terrorism and weapons of mass destruction. The report recommends that public health be strengthened as the main defence of biological terrorism and that specific recommendations be made on the Convention. [9]", "(3) Solidarity against terrorism: Global Counter-Terrorism Strategy recommendations 2006: a further report on the implementation of the outcome of the Millennium Summit, which made recommendations on weapons of mass destruction and terrorism and the need for the participation of different stakeholders in ensuring that biotechnology is not misused and that their efforts are coordinated. [10]", "United Nations Development Programme (UNDP) http://www.undp.org/", "UNDP has a United Nations disaster management training programme and has played a role in establishing the International Institute for Vaccines.", "United Nations Disaster Management Training Programme (UNRR) http://www.undmtp.org/", "Disaster management programmes are a learning platform for States Members of the United Nations, the United Nations system and international and non-governmental organizations to address issues such as crises, emergencies and disasters. Disaster management programmes raise awareness of the need for more effective crisis and disaster management to reduce risks and vulnerabilities. The goal of the disaster management programme is to reduce the incidence and impact of the national crises and disasters of the programme; to address the risks and vulnerabilities of such incidents; to promote effective national and regional strategies in the areas of crisis and disaster prevention, preparedness, mitigation, response and recovery; and to encourage effective coordination and cooperation at all stages of crisis and disaster management.", "In recent years, the Disaster Management Programme has held 70 workshops, with some 6,000 participants from Africa, Latin America and the Caribbean, Asia and the Pacific, the Middle East and the Commonwealth of Independent States. At present, training modules include a number of general issues in disaster management.", "International Institute of Vaccines http://www.ivi.org", "The International Institute for Vaccines contributes to reducing preventable diseases in developing countries. It achieves this goal through research on new vaccines and pilot studies, product development, training and technical assistance programmes. New achievements by the organization include:", "(1) Establishment of a panel of scientists and technical experts;", "(2) Establishment of a vaccine research network;", "(3) Develop programmes to accelerate the development and use of vaccines;", "(4) To measure the burden of disease among Asian children in a number of diseases;", "(5) Development of Japan's programme on the issue of menonia;", "(6) Technical assistance and training programmes;", "(7) Establish a network of cooperation with vaccine producers;", "(8) Training in clinical evaluation of vaccines.", "United Nations Educational, Scientific and Cultural Organization (UNESCO) http://www.unesco.org/ethics", "UNESCO has been increasingly active in the area of science and technology ethics in recent years, which is now one of its five focus areas. It aims to strengthen the ethical relationship between scientific progress and its cultural, legal, philosophical and religious backgrounds. The 2005 expert meeting and the Conference considered the activities of UNESCO (BWC/MSP/2005/MX/INF) when discussing the code of conduct for scientists.", "Three important developments were made after the last review of the activities of UNESCO. First, in October 2005, UNESCO adopted the World Declaration on Bioethics and Human Rights. [11] The Declaration provides a framework for addressing ethical issues raised in the context of medicine, life science and related technologies. Secondly, UNESCO compiled a series of databases on science and technology ethics, known as “Global Ethics Observatory”. [12] The Global Ethics Observatory was launched on 15 December 2005 to serve as a resource centre for ethical activities worldwide.", "Finally, the World Scientific Knowledge and Technology Ethics Commission established by UNESCO continued to study the issue of the code of conduct for scientists. The October 2005 session of the UNESCO General Assembly indicated that not all States were convinced of the need to develop a normative instrument in the area of science ethics and that further work, including the launch of feasibility studies, had not been mature. The meeting invited UNESCO to reflect on scientific ethics with the CST. Therefore, the Committee on Science and Technology is thinking about the international debate on how UNESCO can promote science and technology ethics and responsibilities. It has developed a three-point plan for activities in 2006 and 2007: to expand the scope of research in the area of science ethics to identify topics for further international action; to hold consultations with scientists, philosophicalists and policymakers in all regions; and to consult with relevant organizations and stakeholders of the United Nations Member States. The CST held three national consultations in Japan, India and Thailand. Two regional consultations were also held in Europe and Latin America, and two consultations were planned for Africa and the Middle East in 2007.", "United Nations Environment Programme (UNEP) http://www.unep.org", "In addition to being a partner for the activities described in other parts of this document (see the WHO Working Group on Biosafety and the Environment Emergency Partnership, part of the Office for the Coordination of Humanitarian Affairs), UNEP supports a number of international agreements related to the Biological Weapons Convention, including the Convention on Biological Diversity and the Basel Convention.", "Convention on Biological Diversity http://www.biodiv.org", "Within the framework of the Convention on Biological Diversity, the Cartagena Biosafety Protocol [13] contains a range of measures, policies and procedures to minimize the risks that biotechnology may pose to environmental and human health. It deals mainly with cross-border circulation, transfer, treatment and use of genetics that would be deliberately introduced into the environment and the issue of genetics. It employs a number of instruments, including: promoting informed agreement procedures, streamlining agricultural systems, risk assessment, risk management and emergency procedures, export documents, biosecurity information exchange, capacity-building and financing, public awareness and participation. The Biosafety Information Exchange is a clearing-house mechanism for facilitating the implementation of the Protocol. [14] Its mandate is to promote the exchange of scientific, technical and environmental information and experience on genetically modified organisms; to assist Parties in the implementation of the Biological Safety Protocol.", "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal http://www.basel.int", "The harmful wastes defined in the Basel Convention include toxins, ecological toxic and sexually transmitted substances. Since the last Review Conference of the Biological Weapons Convention, the Basel Convention has shifted its focus to strengthening implementation, including active promotion of the use of cleaner technologies and cleaner production methods; further reduction of the movement of hazardous wastes; prevention and monitoring of illicit trafficking; strengthening institutional and technical capacities; further establishment of regional and subregional centres for training and technology transfer; and the revision of guidelines on communicable waste.", "The Basel Convention secretariat has developed technical guidelines that may be relevant to the Biological Weapons Convention. [15] These guidelines include model domestic legislation, methodological guidance on national inventories, guidelines on physical chemical handling/life handling, guidance on environmentally sound biomedical and health waste management, guidance documents on hazardous infections. The Basel Convention recognizes the classification of sexually transmitted substances used in the United Nations Recommendations on the Transport of Dangerous Goods.", "World Customs Organization (CO) http://www.wcoomd.org", "Customs organizations have conducted a strategic review of their security procedures in recent years. A high-level strategic group was established at the June 2004 meeting of the Customs Organization Board to develop standards for global trade security and facilitation. A standard framework for global trade security and facilitation was adopted on 24 June 2005. [16] The objective of the Framework is to protect world trade from international terrorism, organized crime and the growing threat of customs violations. It also provides a structural platform to promote the flow of legitimate goods from international trade. The Framework has four core principles: promoting electronic information, risk management and promoting inspection and operational partnerships. If requested, customs organizations assist member States in conducting diagnostic studies aimed at building capacity. The results of these studies are to determine the status of implementation and make recommendations on possible sustainable solutions.", "World Health Organization (WHO) http://www.who.int", "The 2004 expert meeting and the Conference considered in depth WHO activities in disease surveillance, detection, prevention, reduction and response. Background information papers prepared for these meetings include the Global Network for Early Warning and Response, the WHO Collaboration Centre, the Epidemic Early Warning and Response Action Service, the Health Action Service in Crisis (see BWC/MSP/2004/MX/INF.1 and BWC/MSP/2004/MX/INF.2).", "Biological risk reduction programmes for hazardous vectors", "In the area of managing the health risks posed by the intentional use of biological agents, WHO has published a number of documents on national and international preparatory work. The first publication was “Status of bio and chemical weapons” in 1970, which was revised in 2004 and replaced with “Public Health Responses to Biological and Chemical Weapons: WHO Guidelines”. [17] The policy guidance document for use by the Ministry of Health contains chapters on the assessment of threats to public health, biological and chemical agents, public health preparedness and response, legal issues, international assistance channels and technical annexes.", "The World Health Assembly, in its resolution WHA55.16 of 18 May 2002, recognized that epidemics may be the result of deliberate use of biological agents. [18] In its resolution WHA55.16, the Director-General was requested to strengthen global preparedness and response to such incidents by providing Member States with various means and support to strengthen their health systems, in particular health emergency preparedness and response. Recently, the World Health Assembly, in its resolution WHA58.3 of 23 May 2005, adopted the revised International Health Regulations. [19] The International Health Regulations (2005) requested WHO to provide assistance to Member States when “public health emergencies of international concern” (for further information on the International Health Regulations, see below). Subsequently, resolution WHA58.29 of 25 May 2005, [20] called upon WHO to provide support on laboratory biosecurity and the sterilization of microbiological and toxins.", "In response to the above-mentioned mandate, in 2006 the Epidemic Early Warning and Response Action Service established a programme to reduce the risk of hazardous vectors. The programme is combined by two previously existing groups, i.e., occasional and deliberate new pathogens and dangerous vectors, so that a more comprehensive approach to public health can be suggested. The programme is based at WHO headquarters in Geneva, including a number of projects that may deliberately use biomass. These projects include intentional epidemiological preparedness, responsible life scientific research, laboratory biosafety, laboratory biosafety, global laboratory catalogues and networks, and hospital epidemiological preparedness. The programme also includes public health expertise in hazardous vectors, such as cohort, Pruz, Nyala, virginal blood, Sas and spaces.", "Some States requested technical assistance from WHO to strengthen their national health preparedness plans in response to possible intentional use of biological preparations. To meet these requirements, the programme developed and tested a competency assessment guideline on the ground, which is expected to be published by early 2007. A training package is being developed to support the implementation of the guidelines. The guidelines were reviewed by partners at a meeting held in Geneva in June 2005, as in other countries with regard to health preparedness. [21]", "The third edition of the “ Laboratory Biosafety Manual” was recently published, with a section on laboratory biomass safety. The handbook has several WHO official languages. [22] The concept of laboratory biosafety, as described in the handbook, has now been published in the document entitled “Britical biosafety guide”, which is being issued through the WHO web page to seek further input and advice. WHO cooperates with other United Nations agencies, including UNEP and FAO (through the Working Group on Biosafety), the United Nations Committee of Experts on the Transport of Dangerous Goods (see section on the Economic and Social Council), the Basel Convention and the Convention on Biological Diversity (both UNEP services). It also cooperates with many other international, regional and national organizations on this topic.", "The paper entitled “Legal research: opportunities and risks of public health: positioning of issues” [23] was published in 2005, and efforts are being made to engage WHO member States, public health and life sciences, international and non-governmental organizations, private and security sectors in dialogue on responsible life sciences.", "WHO is also working on other themes and diseases that may be deliberately used for biological preparations (e.g. influenza preparedness, food security, chemical and radiological health emergencies, social psychological consequences). In addition, since WHO's mandate on epidemics requires global warning and response capabilities, it will be responsible for the global epidemic early warning and response networks. [24]", "WHO deals specifically with public health issues that may be deliberately used to cause harm. In carrying out its activities, WHO recognized the importance of exchanging international frameworks traditionally not cooperating with WHO, such as law enforcement and security organizations (e.g. the International Criminal Police, the Organization for the Prohibition of Chemical Weapons) and other security initiatives (e.g. the Biological Weapons Convention). Similarly, WHO encouraged the Ministry of Health to cooperate with national counterparts in the security sector, such as the military, intelligence, law enforcement and civil defence, in order to manage the health risks posed by the intentional use of biological agents. In its efforts to achieve its objectives, WHO adheres to political neutrality in dealing with issues relating to national security, which is crucial to maintaining the confidence of 192 Member States.", "Revised International Health Regulations http://www.who.int/csr/ihr/en/", "As indicated above, the World Health Assembly adopted a resolution to update the International Health Regulations in May 2005. The preamble to the resolution specifically refers to the previous resolution stating that WHO “to focus on the public health consequences that may arise from biomass and chemical preparations, as well as radiological nuclear material, whether their nature is natural, occasional release or intentional conduct”. [25] The revised International Health Regulations will enter into force in June 2007.", "The revision of the International Health Regulations is intended to ensure effective prevention, prevention, control and international dissemination of diseases in the field of public health, as well as to apply strictly to public health risks and to avoid international traffic and trade being subject to unnecessary interference. Article 5 of the new International Health Regulations requires States, with assistance from WHO, to develop, strengthen and maintain the capacity to detect, inform and report related diseases. Article 6 requests States not only to notify WHO of the sudden outbreak of specific diseases but also to inform WHO of all incidents that may constitute “public emergencies of international concern”, its annex II provides a “decision” to determine whether a particular incident may constitute such an emergency. Article 13 provides for the development, strengthening and maintenance of the capacity to respond promptly and effectively to public health risks and public health emergencies of international concern. WHO is mandated to establish guidelines to help countries to do so. It may also require technical assistance and effectiveness assessment.", "Other international organizations", "International Centre for Genetic Engineering and Biotechnology", "The International Centre for Genetic Engineering and Biotechnology began in 1983 with the aim of assisting developing countries in the development of biomass and biotechnology. Its activities are:", "(1) Life scientific research for developing countries;", "(2) Building research capacity in developing countries through training, financing and advisory services;", "(3) Promoting biotechnology internationally.", "The Centre has also worked in the area of science and accountability and has developed a number of principles to assist in the development of a code of conduct for scientists. The 2005 expert meeting and the Conference considered this work (see BWC/MSP/2005/MX/INF.1).", "International Civil Aviation Organization (ICAO)", "ICAO services the Civil Aviation Convention (the Chicago Convention). Although the Chicago Convention deals primarily with the principle of practice, its annex 18 addresses the issue of the safe transport of dangerous goods. It stipulates that the transport of dangerous goods must comply with the relevant regulations, known as “technical norms”. It aims not only to guarantee security but also to promote free trade. The term “technical norms” expires in December 2006. It adopts the United Nations Recommendations on the Transport of Dangerous Goods by classification of sexually transmitted substances (see section on ECOSOC). The term “technical norms” could be purchased to ICAO. The chapter on sexually transmitted substances was revised in 2005. [26] ICAO has also prepared a guidance document on the transport of sexually transmitted substances. [27] The accompanying guidelines for packaging are currently under review and open consultations are now under way and will be completed in March 2007.", "International Committee of the Red Cross (ICRC)", "The ICRC undertakes various activities to raise awareness of the Convention and improve the effectiveness of the implementation of the Convention through the Biotechnology, Weapons and Humane project. It also has an emergency assistance capacity to intervene in the use of biological weapons.", "Biotechnology, weapons and humanitarian projects are available at http://www.icrc.org/web/engsiteeng0.nsf/htmlall/bwh?opendocument", "During the two sessions of the Fifth Review Conference, the ICRC launched the Biotechnology, Arms and Humane Initiative. The project was launched with increased awareness of the mandate of the ICRC to protect and assist victims of armed conflict and of the potential for the abuse of biotechnology. The initiative culminated in an expert meeting held in Monteer, Switzerland, in September 2002. The meeting provided a forum for discussing issues related to biotechnology, biological weapons, disarmament law, international humanitarian law, doctrine and social responsibility. At that meeting, the ICRC issued its “Biotechnology, weapons and humanitarian appeals” to Governments, scientists, biotechnology and civil society. It recognized the potential increase in the risk of abuse of biotechnology, stressed the threat of non-action to new old rules prohibiting poisoning and intentional transmission of diseases, and called on its target to reaffirm those rules and to take a range of practical preventive measures.", "Following a call by the ICRC, the scientific community has been involved through a series of regional meetings. The discussions held at the regional meetings, together with the expertise of the organization, resulted in new resources. ICRC has prepared a guidance on the relevant responsibilities of scientists, including a list of practical steps that individuals can take. [28] It also examines the relationship between legislation and ethics and focuses on the opening of best practices, which has developed principles that could incorporate codes of conduct or best practices. [29] The ICRC also contributed to strengthening national efforts to implement the Convention, including the drafting of a model law on the implementation of the Convention. [30]", "Emergency assistance http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList78/187938589127C981256B66005DFEC3", "The core mandate of the ICRC is to protect the lives and dignity of victims of war and domestic violence and to provide assistance to them. The ICRC assistance programme was launched to “protect the lives and health of victims, to alleviate their suffering and to ensure that the consequences of the conflict ( Diseases, injuries, hunger, displacement or exposure to harsh natural conditions) do not undermine their future”. The ICRC is also mandated to seek recognition of the responsibility for illegal tactics during conflicts, including efforts to prevent or combat violations of international humanitarian law.", "Two divisions within the Red Cross are involved in assistance: the Health and Relief Division is responsible for practical issues; the Logistics Division is responsible for logistics matters. The ICRC has no publication indicating that it is ready or able to assist those suffering from the use of biological weapons. The primary focus of the ICRC remains the safety of staff. Therefore, in accordance with the current arrangements, ICRC cannot help clarify or respond to incidents of intentional incitement or poison.", "INTERPOL http://www.interpol.int/Public/Bio Terrorism/", "The INTERPOL Bioterrorism Programme (ADB) was launched in 2004 with the aim of:", "(1) Raise awareness of threats;", "(2) Development of police training programmes;", "(3) Strengthen efforts to implement existing legislation;", "(4) Promote the development of new legislation;", "(5) Inter-agency cooperation in biological terrorism is encouraged.", "It relates mainly to the issue of access to and use of biological weapons by non-State actors through national measures and international cooperation. The size of the programme team is small, but is supported by a steering committee and an expert advisory group. The first step of the INTERPOL anti-biotic programme was the hosting of the Global Conference on Bioterrorism at its headquarters in Lyon, France, from 1 to 2 March 2005. The conference developed a road map for future activities of the programme, including:", "(1) The establishment of a training programme and resource centre for global law enforcement personnel, as a lead agency;", "(2) Preparation of training manuals and survey guides for release and published on the INTERPOL website;", "(3) Strengthen cooperation between public health personnel, customs and law enforcement officials and international organizations;", "(4) Provision of regional training to States that need to be able to respond adequately to bioterrorism events;", "(5) The development of an incident response guide with specific instructions in bioterrorism;", "(6) Information on bioterrorism is published on a limited website of INTERPOL linked to other resources.", "A series of regional workshops are being held in the INTERPOL anti-biracism programme in order to raise awareness of the issues involved and provide training for capacity-building. Three meetings have been held thus far: South Africa in November 2005; Singapore in March 2006; Chile in July 2006. Two such workshops are also planned in the Middle East and the Commonwealth of Independent States. The above-mentioned Resource Centre has also been developed and accessible. [31] The INTERPOL Anti-Bioracy Programme also develops training materials and conducts desk exercises, which issued a pre-planning and response guide for bioterrorism events in July 2006. [32]", "INTERPOL anti-biotic programmes have recently launched a “biotic crime” project focusing on ensuring that States are fully prepared, prevented and able to respond to the use or threat of use of biological weapons by non-State actors from a law enforcement perspective. It will strengthen the legal basis for law enforcement to prevent assistance or cooperation in the production or transport of biological weapons and ensure that the activities prohibited by the Convention are included in the national legal framework to prohibit the acquisition of their authorization by law enforcement agencies prior to their actual use.", "Organization for Economic Cooperation and Development (OECD) http://www.oecd.org", "The OECD International Future Programme was established in 1990 with the aim of carefully investigating socio-economic issues, preparing materials and acting as a forum to assist policymakers in developing policy agendas and developing strategies for long-term response challenges. Because of the growing recognition that biotechnology can be used for the production of destructive harmful substances, it can also contribute to technological development and economic growth, international future programmes have been increasingly concerned with biosecurity, dual-use science and scientific responsibility in recent years.", "The OECD Conference of Science, held in Paris in January 2004, discussed the role of responsible management in helping to achieve a balance between scientific freedom and security concerns. Thus, in September 2004, the International Future Programme hosted a conference entitled “Caceful management for biosciences: avoiding potential misuse of research and resources”. According to the Chair's summary, the conference established a framework for future international programmes to address this problem. [33] Steps to be taken:", "(1) Preparation of a list of policies and legal approaches adopted by States in relation to biosecurity;", "(2) Establishment of a working group to conduct a gap analysis of the list;", "(3) The establishment of a biosafety and scientific code of conduct clearing house to assist in information exchange and awareness-raising;", "(4) Establishing and strengthening national and international monitoring mechanisms for codes of conduct using lessons learned in the conduct of codes of conduct;", "(5) Regular meetings of key stakeholders to promote the above-mentioned work are held.", "Actions have been taken in this regard, and a dedicated website presents some of these results. [34] Information provided on the role of OECD in biosecurity and codes of conduct, key actors and organizations, glossary, thematic background information, links to background documents and resources developed by many organizations, and the archives of the relevant code of conduct.", "Organization for the Prohibition of Chemical Weapons (OPC)", "http://www.opcw.org", "The OPCW is an implementing organization of the Chemical Weapons Convention, which has many clear similarities with the Biological Weapons Convention, particularly in the areas of universalization, national execution, assistance and protection and the promotion of the use of science and technology. Details on developments since the last Review Conference of the Convention are available on the annual report of the organization. [35]", "At the end of the last Review Conference of the Biological Weapons Convention, the Chemical Weapons Convention had 147 States parties. By the end of 2005, 175 States parties had been in place, while the Biological Weapons Convention had 155 States parties. In 2003, 11 States acceded to the Chemical Weapons Convention, 9 in 2004 and 8 in 2005. The increase in the State party is due mainly to the universalization of action plans adopted at the first CWC Review Conference in 2003. The Chemical Weapons Convention has also adopted a plan of action on national execution and has since hosted a series of workshops and training courses on all aspects of national execution.", "IOM has also undertaken a number of initiatives over the past three years to strengthen international cooperation, including programmes to strengthen national capacity-building in industrial and analytical laboratories; to support meetings and exchanges of scientific and technological information; to assist scientists in developing countries in advanced laboratory internships; to support research projects in developing countries; and to donation of equipment. In the area of protection and assistance after the use of chemical weapons, the OPCW hosted workshops and training sessions, and a database is being developed to assist States parties to the Chemical Weapons Convention in the implementation of article 10 of the Convention (which involves assistance and protection, equivalent to article 7 of the Biological Weapons Convention). WCV also examines partnerships with the Joint Environment Unit of OCHA, including practical assistance and coordination provided by UNEP and OCHA, respectively.", "World Animal Health Organization (WMO)", "The 2004 expert meeting and the Conference reviewed a number of relevant activities of the organization, focusing primarily on disease detection, monitoring, prevention, mitigation and response, and assistance in the use of chemical weapons and suspicious emergencies. (For further information, see BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/MX/INF.2 and BWC/MSP/2004/INF.", "Since the preparation of the above-mentioned background information documents, the organization has been expanding its activities related to the Convention. Both the Land and Animal Health Code and the Water and Animal Health Code were updated and the revised edition was published in 2006.", "WHO has also begun to pay greater attention to the sudden-onset events caused by the violation of the Convention. In April 2006, WHO published a scientific and technical review of the role and preparedness of veterinary and public health services for biodisasters originating in animals. [36] This includes intentional transmission of diseases. It contains articles on:", "(1) Risk assessment and response management;", "(2) Design effective epidemiological surveillance systems (in both developed and developing countries);", "(3) Public awareness and risk communication;", "(4) Case studies on national diseases;", "(5) Recent developments in disease models;", "(6) Biological Weapons Convention;", "(7) The historic survey of programmes on bioattacks and the development of such weapons against animals;", "(8) Distinction of natural and non-natural diseases;", "(9) Microbiological medicine;", "(10) Role of international organizations;", "(11) Future scientific and technological developments.", "International commercial and scientific organizations", "Academic Inter-Agency Panel on International Issues (Academic Inter-Agency Group) http://www.interacademies.net/", "The academic inter-agency group launched in 1993 to serve as a global network of the Academy of Sciences worldwide to assist its members in their cooperation to better advise Governments and civil society on the scientific aspects of global issues. The statute of the academic inter-agency group specifies five objectives:", "(1) advise Governments and international organizations on scientific aspects of issues of global importance;", "(2) Promote cooperation among the Academy, exchange of information and experience, and consensus-building;", "(3) Capacity-building at the National Academy of Sciences;", "(4) The scientific community of countries that have not yet done so has a Academy of Sciences;", "(5) Hosted conferences, workshops and seminars and statements or reports on themes of serious international concern.", "In 2004, the Academic Inter-Agency Panel established a Working Group on Biosafety as a result of increased attention to issues that could be used by biotechnical research. The task of the Working Group was to prepare a declaration of principles that could guide the development of codes of conduct by the Academy and scientific institutions. The declaration was issued on 1 December 2005, [37] and subsequently submitted to the Conference of the Parties to the Biological Weapons Convention a week, which is considering the content, adoption and promulgation of the code of conduct of scientists. The Biosafety Statement of the Academic Inter-Agency Panel contains elements of awareness-raising, security, education and information, accountability and oversight. This statement has been approved by 68 colleges.", "International Air Transport Association (IA) http://www.iata.org/whatwedo/security_issues/index.htm", "The Air Transport Association is a global trading organization consisting of about 260 airlines. Its main interest in security is to prevent attacks on aircraft. However, it also participates in the development of model best practices and regulations for biosecurity and transport of dangerous goods. The Air Transport Association serves as the Centre for the Expertise on Air Transport of Dangerous Goods. It developed the Dangerous Goods Regulations for its members' airlines. It also sets standards for documents, loading and training, and actively promotes the adoption and application of these standards by the air cargo industry. The Air Transport Association has a specialized training and development college to deliver courses and award graduation certificates in several languages.", "The Dangerous Goods Regulations were developed by the Air Transport Association Committee on Dangerous Goods, consisting of 12 experts selected from the member airline. The Regulations apply the United Nations Recommendations on the Transport of Dangerous Goods (see section on ECOSOC). The revised regulations are published every two years. The 48th edition of the Regulations will enter into force in January 2007.", "International Scientific Council (CST) http://www.icsu.org", "The International Council of Science is a global umbrella organization for national and international scientific organizations and provides information on background information prepared for the 2005 expert meeting and the Conference (BWC/MSP/2005/MX/INF.2). It works with UNESCO/World Commission on Science Knowledge and Technology to develop the principles of scientific codes of conduct. (For more details, see section on UNESCO. (b)", "Annex", "List of organizations classified in the area of activity", "(a) A national criminal and counter-terrorism legislation, regulations and measures 1540 Committee, INTERPOL, the OPCW, the International Committee of the Red Cross, Biomaterials and Toxicology (in laboratory etc.), the 1540 Committee, WHO, FAO, animal health, OECD, the Organization for the Safety of Biomaterials and toxins, the Economic and Social Council, UNEP, customs organizations, IMO, ICAO, the Air Transport Association, Ethics and Code of Conduct, UNESCO, the OECD, the International Centre for Genetic Engineering and Biotechnical Research, the International Scientific Council, the World Health Organization, assistance for the protection and use of biological weapons, including the United Nations Development Agency, the World Health Organization;", "S/2006/257.", "[2] United Nations proposal for the transport of dangerous goods, fourteenth revised edition, 2005: http://www.unece.org/trans/danger/publi/unrec/rev14/14files_e.html.", "[3] United Nations Manual on Tests and Standards, fourth revised edition, 2004, http://www.unece.org/trans/danger/publi/manual/pubdet_manual.html.", "[4] http://www.ippc.int/cds_upload/1146657660135_ISPM3.pdf.", "[5] http://www.ippc.int/servlet/CDSServlet? Status=ND0xMz I5Mi4yNTA4MSY2PWVu Jj Mz PWV 2ZW50cyYz NzlpbmZv.", "[6] http://www.fao.org/docrep/008/y5874e/y5874e00.htm.", "[7] http://www.fao.org/docrep/007/y5722e/y5722e00.htm.", "[8] http://www.un.org/secureworld/.", "[9] http://www.un.org/largerfreedom/.", "[10] http://www.un.org/unitingagainstterrorism/.", "[11] http://unesdoc.unesco.org/images/0014/0014 61/146180E.pdf.", "[12] http://www.unesco.org/shs/ethics/geobs.", "[13] http://www.biodiv.org/biosafety/default.aspx.", "[14] http://www.biodiv.org/chm/default.aspx.", "[15] http://www.basel.int/meetings/sbc/workdoc/techdocs.html.", "[16] http://www.wcoomd.org/ie/en/press/wco%20-%20framework%20final%20en%2023-8.pdf.", "[17] http://www.who.int/csr/delibepidemics/biochemguide/en/index.html.", "[18] http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf.", "[19] http://www.who.int/gb/ebwha/pdf_files/WHA58/WHA58_3-en.pdf.", "[20] http://www.who.int/csr/labepidemiology/WHA58_29-en.pdf.", "[21] http://www.who.int/csr/resources/publications/defene/WHO_CDS_EPR_LYO_2005_26/ en/index.html.", "[22] http://www.who.int/csr/resources/publications/biosafety/WHO_CDS_LYO_2004_11/ en/.", "[23] http://www.who.int/csr/resources/publications/defene/WHO_CDS_LYO_2005_20/ en/index.html.", "[24] http://www.who.int/csr/outnetwork/en/", "[25] WHA55.16, http://www.who.int/gb/ebwha/pdf_files/WHA55/ewha5516.pdf.", "[26] http://www.icao.int/icaonet/dcs/9284.html.", "[27] http://www.icao.int/icaonet/dcs/9284/guidance_doc_infect_substances.pdf.", "[28] http://www.icrc.org/Web/Eng/siteeng0.nsf/iwpList515/7358E6A439390A021256E21004E1195.", "[29] http://www.icrc.org/Web/Eng/siteeng0.nsf/html/66NC2R?OpenDocument&style", "[30] http://www.icrc.org/Web/eng/siteeng0.nsf/html/review-859-p573.", "[31] http://www.interpol.int/Public/Bio Terrorism/links/.", "[32] http://www.interpol.int/Public/Bio TerrorismGuide.pdf.", "[33] http://www.oecd.org/dataoecd/30/56/33855561.pdf.", "[34] http://www.biosecuritycodes.org.", "[35] http://www.opcw.org/en/annual_menu.html.", "[36] http://www.oie.int/eng/publicat/rt/A_RT25_1.htm.", "[37] http://www.interacademies.net/?id=5405." ]

[ "附属履行机构", "第二十五届会议", "2006年11月6日至14日，内罗毕", "临时议程项目10和11", "《公约》之下的能力建设", "《京都议定书》之下的能力建设", "关于全球环境基金在拟订能力建设 业绩指标方面进展的报告", "秘书处的说明[1]", "概 要 \n本文件报告全球环境基金(环境基金)在拟订能力建设业绩指标方面取得的进展以及环境基金评估其能力建设活动的计划。附属履行机构在审议定期监测能力建设框架的步骤时不妨考虑环境基金在这一领域所取得的进展。", "目 录", "段 次 页 次", "一、导 言.................................................. 1 - 3 3", "A. 任 务.................................................... 1 3", "B. 本说明的范围....................................... 2 3", "C. 附属履行机构可采取的行动......................... 3 3", "二、全球环境基金在监测能力建设方面的活动..... 4 - 7 3", "A. 能力建设指标的拟订.............. 4 - 6 3", "B. 气候变化秘书处拟订的一套参考性的业绩指标............................................ 7 4", "三、全球环境基金对能力建设的评估............... 8 - 15 4", "一、导 言", "A. 任 务", "1. 在第4/CP.9号决定中，缔约方会议决定，在有关能力建设的事项上，全球环境基金应在其为气候变化重点领域拟订能力建设业绩指标的工作中考虑到第2/CP.7号决定所附的能力建设框架，并且与公约秘书处协商开展这项工作。附属履行机构(履行机构)在其第二十三届会议上 [2] 请秘书处按照第4/CP.9号决定报告环境基金在拟订能力建设业绩指标方面的进展情。", "B. 本说明的范围", "2. 本文件报告全球环境基金在拟订能力建设业绩指标方面取得的进展以及环境基金评估其能力建设活动的计划。", "C. 附属履行机构可采取的行动", "3. 履行机构在审议定期监测能力建设框架的步骤时不妨考虑本报告。", "二、全球环境基金在监测能力建设方面的活动", "A. 能力建设指标的拟订", "4. 环境基金与其评估办公室、执行机构和《气候公约》秘书处合作，正在拟订用以衡量能力建设工作影响的指标。指标基于以下战略支助领域：", "(a) 构思和制定政策、立法、战略和方案的能力", "(b) 执行政策、立法、战略和方案的能力", "(c) 吸收所有利害关系方参与并达成共识的能力", "(d) 调动信息和知识的能力", "(e) 监测、评估、报告和学习的能力。", "5. 联合国开发计划署(开发计划署)和环境基金 [3] 对能力建设的定义是“一个过程，通过这一过程，个人、实体(团体、组织或机构)以及系统(国家或社会)提高其个人和集体能力，为的是(a) 履行核心职能，解决问题，确定并实现目标，以及(b) 了解和处理广义的可持续发展需要”。开发计划署和环境基金都承认能力建设是一个改变的过程，目的是促使不同行动者采纳新的责任、技能、行为、价值观和政策。", "6. 开发计划署和环境基金确定了能力建设的三个层次：", "(a) 个人――通过培训、在实践中学习、参与、掌控、启迪、鼓舞、问责和责任，改变态度和行为；", "(b) 组织或机构―― 整体表现和功能能力，例如任务、工具、指南、信息管理系统；", "(c) 系统――机构和个人在其中活动的政策、经济、管理和问责方面的总体框架。", "B. 气候变化秘书处拟订的一套参考性业绩指标", "7. 在上文第4段所列的开发计划署/环境基金的五个战略支助领域的基础上，秘书处为能力建设拟订了业绩指标，[4]并把这些指标与第2/CP.7号决定所附的能力建设框架中陈述的需要联系起来。", "三、全球环境基金对能力建设的评估", "8. 环境基金评估办公室探讨了用以评估环境基金能力建设活动的实现情况的一系列办法。环境基金修订了其最初的办法，该办法所依据的构想是将项目的能力建设活动作为不连续的干预行动进行评估，修订后的方法是对国家进行分析，在区域背景下审视这些国家。这一观点考虑到了这样一个事实：一贯、一致和互补性是环境基金支持能力建设工作的重要方面。在许多情况下，所针对的环境问题在区域或分区域的层面处理，例如通过区域项目处理。此外，有必要在同一地域范围内，在所有重点领域，以一致的和相关联的方式评估能力提高的程度。", "9. 利用这一修订后的办法，评估办公室打算研究全球基金所有能力建设支持活动的结果，既包括其扶持活动和小额赠款方案，也包括在面对具有全球意义的一个或多个共同的环境挑战的两个(或多个)相邻国家开展的区域项目对国家产生的结果。这一研究工作将在各国考察国家和区域干预行动的性质和结果，并将这些与政策、以机构和个人为重点的能力建设目标相联系。", "10. 评估重点将有两个：第一，通过环境基金的项目和方案方法进行能力建设活动的分区域案例研究，以评估全球环境结果、相关性、效率、可持续性和有效性；其次，通过思考关键结果以及如何达到这些结果，评估将拟订一系列协议，这些协议将使得即将进行的年度业绩审评、国家方案评估和第四次全面业绩审评能够广泛评估能力建设活动的完成情况。", "11. 评估中针对的关键问题将包括：", "(a) 国家所有权和国内机构/利害关系方参与查明通过环境基金项目要缩小的能力差距，包括在区域一级；", "(b) 环境基金项目与国家政策和需要的相关性，包括将环境基金项目纳入国家政策和计划以及培养区域能力以解决跨界环境问题；", "(c) 在培养所需的环境管理能力方面取得的成果；", "(d) 环境基金所支持的能力建设努力的有效性、效率和可持续性。", "12. 根据得到环境基金支持的广泛能力建设活动的经验，评估将在特定区域的两个国家进行，既包括区域项目，也包括小额赠款方案项目。对各种报告的书面审评，再加上在两个国家开展的实地工作，将为评估提供数据资料。", "13. 评估方法将包括定性方法和定量方法，例如文献审评、项目和方案文件审评、与环境基金秘书处、履行机构/执行机构的代表以及国内利害关系方和受益人的半正式面谈、分区域实地研究以及其他方法，例如必要时可采用问卷调查。", "14. 评估将考虑方法方面的难题，例如能力建设的动态性质、影响能力建设和业绩的环境因素的多重性以及基准信息和监测能力建设的项目的缺乏。评估将产生一份关于环境基金的能力建设干预活动所处环境的报告、两份国家背景情况研究报告以及一份综合报告。", "15. 评估应于2006年10月启动，2007年11月将向环境基金理事会提交一份评估报告。[5] 评估工作将对环境基金进一步拟订能力建设业绩指标作出贡献。", "[1] * 本文件逾期交送翻译，是为了纳入工作的最新进展情况。", "[2] FCCC/SBI/2005/23, 第86 (c)段。", "[3] 开发计划署/环境基金，“能力建设指标”，开发计划署/环境基金Resource Kit No.4, 2003年11月，可查阅<http://www.undp.org/gef/undp-gef_monitoring_evaluation/ sub_undp-gef_monitoring_ evaluation_documents/CapDevIndicator%20Resource%20Kit_Nov03_Final.doc>。", "[4] FCCC/SBI/2004/9, 附件三。", "[5] 详情见环境基金评估办公室的《能力建设评估选择方案文件，环境基金能力建设活动评估》，修订4,2006年8月28日。" ]

[ "[] UNITED \n NATIONS \n [] Distr. \n GENERAL \n FCCC/SBI/2006/22 \n 2 October 2006 \n Original: English \n \nSUBSIDIARYBODYFORIMPLEMENTATION \nTwenty-fifthsession \nNairobi,6–14November2006 \nItems10and11 oftheprovisionalagenda Capacity-buildingundertheConvention \nCapacity-buildingundertheKyotoProtocol", "Report on progress of the Global Environment Facility in developing capacity-building performance indicators", "Note by the secretariat[1]", "Contents", "Paragraphs Page", "I. Introduction ‎1–‎3 2", "A. Mandate ‎1 2", "B. Scope of the note ‎2 2", "C. Possible action by the Subsidiary Body for Implementation ‎3 2", "II. Activities by the Global Environment Facility on monitoring capacity-building ‎4–‎7 2", "A. Development of indicators of capacity development ‎4–‎6 2", "B. Indicative set of performance indicators prepared by the climate change secretariat ‎7 2", "III. Global Environment Facility evaluation of capacity development ‎8–‎15 2", "I. Introduction", "A. Mandate", "1. The Conference of the Parties (COP), by its decision 4/CP.9, decided that the Global Environment Facility (GEF) should, on matters relating to capacity-building, take into account, in its work relating to the development of capacity-building performance indicators for the climate change focal area, the capacity-building framework annexed to decision 2/CP.7, and undertake this work in consultation with the Convention secretariat. The Subsidiary Body for Implementation (SBI), at its twenty-third session,[2] requested the secretariat to report on the progress of the GEF in developing capacity-building performance indicators, consistent with decision 4/CP.9.", "B. Scope of the note", "1. This document reports on progress made by the GEF in developing capacity-building performance indicators, and on plans by the GEF to evaluate its capacity development activities.", "C. Possible action by the Subsidiary Body for Implementation", "1. The SBI may wish to take this report into account when considering steps to regularly monitor the capacity-building framework.", "II. Activities by the Global Environment Facility on monitoring capacity-building", "A. Development of indicators of capacity development", "1. The GEF is developing indicators for measuring impacts of capacity development components in collaboration with its Evaluation Office, implementing agencies and the UNFCCC secretariat. The indicators are based on the following strategic areas of support:", "a. Capacity to conceptualize and formulate policies, legislation, strategies and programmes", "b. Capacity to implement policies, legislation, strategies and programmes", "c. Capacity to engage and build consensus among all stakeholders", "d. Capacity to mobilize information and knowledge", "e. Capacity to monitor, evaluate, report and learn.", "2. The United Nations Development Programme (UNDP) and the GEF[3] define capacity development as “the process by which individuals, entities (groups, organizations or institutions) and systems (countries or societies) increase their individual and collective abilities, (a) to perform core functions, resolve problems and define and achieve objectives, and (b) to understand and deal with their development needs within a broad context and in a sustainable manner”. Both organizations recognize that capacity development is a process of change that aims to induce various actors to adopt new responsibilities, skills, behaviours, values and policies.", "3. The UNDP and the GEF identify three levels of capacity development:", "a. Individual – changing attitudes and behaviour through training, learning by doing, participation, ownership, motivation, morale, accountability and responsibility;", "b. Organizational or institutional – overall performance and functional capabilities, e.g. mandates, tools, guidelines, information management systems;", "c. Systemic – overall policy, economic, regulatory and accountability frameworks within which institutions and individuals operate.", "B. Indicative set of performance indicators prepared by the climate change secretariat", "1. The secretariat developed performance indicators for capacity-building,[4] based on the UNDP/GEF’s five strategic areas of support listed in paragraph 4 above, and linked them to the needs presented in the capacity-building framework annexed to decision 2/CP.7.", "III. Global Environment Facility evaluation of capacity development", "1. The GEF Evaluation Office has explored a range of approaches towards assessing the achievements of GEF capacity development activities. The GEF has revised its initial approach, which was based on the concept of evaluating the capacity development activities of projects as discrete interventions, to an analysis of countries viewed within their regional context. This perspective addresses the fact that coherence, consistency and complementarities are important dimensions of GEF support to capacity development. In many cases, targeted environmental issues are addressed at a regional or subregional level, for example by regional projects. Furthermore, there is a need to assess the extent to which capacity has been raised in a coherent and connected manner across focal areas in the same geographical context.", "2. Using this revised approach, the Evaluation Office intends to study the results of all GEF capacity development support, from its enabling activities and small grants programme, through to the national results of regional projects, in two (or more) neighbouring countries that share one or more common environmental challenge of global importance. The study will examine in each country the nature and results of the national and regional interventions and relate these to policy, institutional and individually focused capacity development targets.", "3. The focus of the evaluation will be twofold: first, a subregional case study of capacity-building/development activities across the GEF project and programme modalities to assess global environmental results, relevance, effectiveness, sustainability and efficiency; second, by reflecting on the key results and how they were achieved, the evaluation will develop a set of protocols, which will enable forthcoming Annual Performance Reviews, Country Programme Evaluations and the Fourth Overall Performance Study to evaluate the achievements of capacity development activities on a broader scale.", "4. The key issues addressed in the evaluation will include:", "a. Country ownership and involvement of national institutions/stakeholders in identification of capacity gaps to be alleviated through GEF projects, including at the regional level;", "b. Relevance of GEF projects to country policies and needs, including the integration of GEF projects into national policies and plans and the development of regional capacity to address environmental issues that cross national boundaries;", "c. The results achieved in developing required environmental management capacities;", "d. The effectiveness, efficiency and sustainability of GEF-supported efforts for capacity development.", "5. The evaluation will be conducted in two countries of a selected region, based on experience of a broad range of GEF-supported capacity development activities, from regional to small grants programme projects. A desk review of various reports, combined with field work in the two countries, will provide data inputs for the evaluation.", "6. The evaluation methodology will include qualitative and quantitative approaches, including literature reviews, reviews of project and programme documents, semi-structured interviews with representatives of the GEF Secretariat, implementing agencies/executing agencies and in-country stakeholders and beneficiaries, subregional field studies, and other approaches, such as questionnaire surveys as needed.", "7. The evaluation will take into account methodological difficulties, such as the dynamic nature of capacity development, multiplicity of contextual factors that affect capacity development and performance, and the paucity of baseline information and project monitoring of capacity development. The evaluation will produce a report on the context of GEF capacity development interventions, two country background studies and a synthesis report.", "8. The evaluation is due to be launched in October 2006, and an evaluation report is to be submitted to the GEF council in November 2007.[5] The evaluation process will contribute to further development of capacity-building performance indicators by the GEF.", "[1] ^(*) This document has been submitted late for translation in order to include information on the latest progress in this work.", "[2] FCCC/SBI/2005/23, paragraph 86 (c).", "[3] UNDP/GEF, Capacity Development Indicators, UNDP/GEF Resource Kit No. 4, November 2003, available at <http://www.undp.org/gef/undp-gef_monitoring_evaluation/sub_undp-", "gef_monitoring_evaluation_documents/CapDevIndicator%20Resource%20Kit_Nov03_Final.doc>.", "[4] FCCC/SBI/2004/9, annex III.", "[5] For details see the GEF Evaluation Office’s Capacity Development Evaluation Options Paper, Evaluation of GEF capacity development activities, Revision 4, 28 August 2006." ]

[ "Subsidiary Body for Implementation", "Twenty-fifth session", "Nairobi, 6-14 November 2006", "Item 10 and 11 of the provisional agenda", "Capacity-building under the Convention", "Capacity-building under the Kyoto Protocol", "Report on progress made by the Global Environment Facility in developing performance indicators for capacity-building", "Note by the Secretariat", "This document will report on the progress made by the Global Environment Facility (GEF) in developing capacity-building performance indicators and the GEF plan to assess its capacity-building activities. The Subsidiary Body for Implementation may wish to consider the progress made by the GEF in this area in its consideration of steps to monitor the framework for capacity-building on a regular basis.", "Paragraphs Page", "Paragraphs Page", "Introduction 1 - 3", "Mandate 1 3", "Scope of the note 2 3", "C. Possible action by the Subsidiary Body for Implementation 3", "Activities of the Global Environment Facility in monitoring capacity-building 4 - 7 3", "Development of capacity-building indicators 4 - 6 3", "A set of reference performance indicators developed by the secretariat of Climate Change 7 4", "Global Environment Facility assessment of capacity-building 8 - 15 4", "Introduction", "Mandate", "In its decision 4/CP.9, the COP decided that, in matters relating to capacity-building, the Global Environment Facility should take into account the capacity-building framework annexed to decision 2/CP.7 in its work on the development of capacity-building performance indicators for the area of climate change, and in consultation with the Convention secretariat. At its twenty-third session [2], the Subsidiary Body for Implementation (SBI) requested the secretariat to report on the progress made by the GEF in developing performance indicators for capacity-building, in accordance with decision 4/CP.9.", "Scope of the note", "The present document reports on the progress made by the Global Environment Facility in developing performance indicators for capacity-building and the GEF plan to assess its capacity-building activities.", "C. Possible action by the Subsidiary Body for Implementation", "The SBI may wish to consider this report in its consideration of steps to monitor the framework for capacity-building on a regular basis.", "Activities of the Global Environment Facility in monitoring capacity-building", "Development of capacity-building indicators", "The GEF, in cooperation with its assessment offices, implementing agencies and UNFCCC secretariats, is developing indicators to measure the impact of capacity-building efforts. The indicators are based on the following strategic support areas:", "(a) The ability to think and formulate policies, legislation, strategies and programmes", "(b) Capacity to implement policies, legislation, strategies and programmes", "(c) Absorption of the capacity of all stakeholders to participate and reach consensus", "(d) Capacity to mobilize information and knowledge", "(e) Monitoring, assessment, reporting and learning capacities.", "The definition of capacity-building by the United Nations Development Programme (UNDP) and the GEF [3] is “a process through which individuals, entities (groups, organizations or institutions) and systems (States or societies) enhance their personal and collective capacities to (a) perform core functions, identify and achieve objectives, and (b) understand and address the broader sustainable development needs”. Both UNDP and the GEF recognize capacity-building as a change process aimed at enabling different actors to adopt new responsibilities, skills, behaviour, values and policies.", "UNDP and the GEF identified three levels of capacity-building:", "(a) Individuals - change attitudes and behaviour through training, learning, participation, ownership, inspiration, accountability and responsibility in practice;", "(b) Organizational or institutional - overall performance and functional capacity, such as tasks, tools, guidance, information management systems;", "(c) System-wide framework for policy, economic, management and accountability in which institutions and individuals operate.", "A set of reference performance indicators developed by the climate change secretariat", "Based on the five strategic support areas set out in paragraph 4 above, the secretariat developed performance indicators for capacity-building, [4] and links these indicators to the needs described in the capacity-building framework annexed to decision 2/CP.7.", "Global Environment Facility assessment of capacity-building", "The GEF Evaluation Office explored a number of options to assess the implementation of GEF capacity-building activities. The GEF revised its initial approach, which was based on the idea of assessing project capacity-building activities as a continuous intervention, by analysing countries and reviewing them in the regional context. This view took into account the fact that coherence, coherence and complementarity are important aspects of GEF support for capacity-building. In many cases, the environmental issues addressed are addressed at the regional or subregional levels, such as through regional projects. In addition, there is a need to assess the extent to which capacity has been increased in a coherent and relevant manner in all focus areas.", "Taking advantage of this revised approach, the Evaluation Office intends to study the results of all capacity-building support activities of the Global Fund, including both its enabling activities and microfinance programmes, as well as the outcomes of regional projects in two (or more) neighbouring countries that face one or more global environmental challenges. This research will examine the nature and results of national and regional interventions and link them to policy, institutional and individual-focused capacity-building goals.", "The assessment will focus on two: first, subregional case studies on capacity-building activities through GEF project and project approaches to assess global environmental results, relevance, efficiency, sustainability and effectiveness; secondly, the assessment will be developed through reflection on key results and how to achieve them, which will enable the upcoming annual performance review, country programme assessment and the fourth comprehensive performance review to assess the completion of capacity-building activities.", "Key issues addressed in the assessment will include:", "(a) The participation of national ownership and domestic institutions/stakeholders in the identification of capacity gaps to be narrowed through GEF projects, including at the regional level;", "(b) The relevance of GEF projects to national policies and needs, including the integration of GEF projects into national policies and plans and the development of regional capacities to address transboundary environmental issues;", "(c) Achievements in developing the required environmental management capacity;", "(d) The effectiveness, efficiency and sustainability of capacity-building efforts supported by the GEF.", "Based on the experience of a wide range of capacity-building activities supported by the GEF, the assessment will be carried out in two countries in specific regions, including regional projects and microfinance programmes. A written review of reports, combined with field work in two countries, will provide data for the assessment.", "The assessment methodology will include qualitative methods and quantitative methods, such as the review of documentation, the review of project and programme documents, the semi-official interviews with the GEF secretariat, the representatives of the SBI/Organizational Bodies and the beneficiaries of the country, subregional field studies and other methodologies, such as questionnaire surveys where necessary.", "The assessment will consider methodological challenges, such as the dynamic nature of capacity-building, the multiple nature of environmental factors affecting capacity-building and performance and the lack of baseline information and monitoring of capacity-building projects. The assessment will result in a report on the environment of GEF capacity-building interventions, two national background studies and a synthesis report.", "The assessment is due in October 2006 and will be presented to the GEF Council in November 2007. [5] The assessment will contribute to the further development of capacity-building performance indicators by the GEF.", "* This document was sent late to translation for inclusion in the latest progress of its work.", "[2] FCCC/SBI/2005/23, paragraph 86 (c).", "[3] UNDP/GEF, “Development Assistance Indicators”, UNDP/GEF Resource Kit No.4, November 2003, available at <http://www.undp.org/gef/undp-gef_monitoring_evaluation/ sub_undp-gef_monitoring_ evaluation_documents/CapDevIndicator%20Resource%20Kit_Nov03_Final.doc>.", "[4] FCCC/SBI/2004/9, annex III.", "[5] For further information, see the Programme for Capacity-building Assessment options of the GEF Evaluation Office, the GEF Capacity-building Assessment, Revision 4, 28 August 2006." ]

[ "《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》缔约国第六次审查会议 BWC/CONF.VI/INF.528 September 2006CHINESEOriginal: ENGLISH", "2006年11月20日至12月8日，日内瓦 临时议程项目10 按照第十二条的规定审查《公约》的实施情况", "介绍《公约》在实现普遍加入方面的 现况的背景资料文件", "秘书处编写", "一、导 言", "1. 第六次审查会议筹备委员会在其报告(BWC/CONF.VI/PC/2)第22段中决定请秘书处编写一份介绍《公约》在实现普遍加入方面的现况的背景资料文件。秘书处现在按照这一要求编写了本文件。", "二、目前的情况", "2. 根据《公约》保存国政府(俄罗斯联邦、大不列颠及北爱尔兰联合王国和美利坚合众国)提供的资料，到2006年9月为止，《公约》共有155个缔约国，另有16个国家签署但尚未批准。还剩下24个国家既未签署也未批准《公约》。附件一(只有英文本)载有缔约国、签署国和既未签署也未批准的国家的完整清单。", "三、第五次审查会议以来的变化", "3. 自2001年第五次审查会议首期会议以来，有两个签署国(马里和摩洛哥)批准了《公约》，9个非签署国(教廷、安提瓜和巴布达、帛琉、东帝汶、苏丹、阿塞拜疆、吉尔吉斯斯坦、摩尔多瓦共和国、塔吉克斯坦)加入了《公约》。这使得缔约国总数增加了11个。", "4. 在同一期间内，有33个国家批准或加入了《化学武器公约》，该公约现在一共有179个缔约国。其中21个国家是2003年10月以后参加《化学武器公约》的。2003年10月，根据该年较早时召开的该公约第一次审查会议的建议，禁止化学武器组织执行理事会曾通过一项促进普遍加入该公约的行动计划。", "5. 附件二(只有英文本)的图以不同的曲线分别显示了《生物武器公约》和《化学武器公约》的批准速率。", "四、促进实现普遍加入的行动", "6. 缔约国并未采取任何具体的协调行动来鼓励更广泛地加入《公约》。历次审查会议均申明，缔约国深信普遍加入《公约》可加强国际和平与安全，并可促进关于生物剂用于和平目的方面的更广泛资料交换。因此，它们呼吁签署国“毫不迟延地”批准《公约》，并呼吁非缔约国“毫不迟延地”加入《公约》。第三次和第四次审查会议还鼓励缔约国采取行动说服非缔约国加入，而且“尤其欢迎”区域一级有助于实现更广泛地加入《公约》的倡议。但是，没有决定制定任何具体的计划或行动。", "7. 联合国大会每年关于《生物武器公约》的决议也一贯呼吁“所有尚未批准《公约》的签署国迅速予以批准”，并呼吁“尚未签署《公约》的国家尽早成为缔约国，从而有助于实现《公约》的普遍加入”。但是，也没有主张采取任何具体行动使这些呼吁得到实现。", "8. 因此，只有靠个别缔约国和区域集团来鼓励更广泛地加入《公约》了。由于并未对这样的努力进行统一记录，秘书处无法说明所采取的行动。最近的一项引人注目的行动就是欧洲联盟于2006年2月27日通过的支持《公约》的联合行动，其中包括将为促进普遍加入而举行一系列的区域研讨会[1] 。", "五、各个区域内尚未加入《公约》的国家", "9. 附件三(只有英文本)的表按区域分别列出了16个签署国和24个既未签署也未批准《公约》的国家。", "Annex I", "[English only]", "List of States Parties, signatories and non-parties to the Biological Weapons Convention", "(as at September 2006)", "I. States Parties", "1.", "2. Afghanistan", "3. Albania", "4. Algeria", "5. Antigua and Barbuda", "6. Argentina", "7. Armenia", "8. Australia", "9. Austria", "10. Azerbaijan", "11. Bahamas", "12. Bahrain", "13. Bangladesh", "14. Barbados", "15. Belarus", "16. Belgium", "17. Belize", "18. Benin", "19. Bhutan", "20. Bolivia", "21. Bosnia-Herzegovina", "22. Botswana", "23. Brazil", "24. Brunei Darussalam", "25. Bulgaria", "26. Burkina Faso", "27. Cambodia", "28. Canada", "29. Cape Verde", "30. Chile", "31. China", "32. Colombia", "33. Congo", "34. Costa Rica", "35. Croatia", "36. Cuba", "37. Cyprus", "38. Czech Republic", "39. Democratic People’s Republic of Korea", "40. Democratic Republic of the Congo", "41. Denmark", "42. Dominica", "43. Dominican Republic", "44. Ecuador", "45. El Salvador", "46. Equatorial Guinea", "47. Estonia", "48. Ethiopia", "49. Fiji", "50. Finland", "51. France", "52. Gambia", "53. Georgia", "54. Germany", "55. Ghana", "56. Greece", "57. Grenada", "58. Guatemala", "59. Guinea-Bissau", "60. Holy See", "61. Honduras", "62. Hungary", "63. Iceland", "64. India", "65. Indonesia", "66. Iran (Islamic Republic of)", "67. Iraq", "68. Ireland", "69. Italy", "70. Jamaica", "71. Japan", "72. Jordan", "73. Kenya", "74. Kuwait", "75. Kyrgyzstan", "76. Lao People’s Democratic Republic", "77. Latvia", "78. Lebanon", "79. Lesotho", "80. Libyan Arab Jamahiriya", "81. Liechtenstein", "82. Lithuania", "83. Luxembourg", "84. Malaysia", "85. Maldives", "86. Mali", "87. Malta", "88. Mauritius", "89. Mexico", "90. Monaco", "91. Mongolia", "92. Morocco", "93. Netherlands", "94. New Zealand", "95. Nicaragua", "96. Niger", "97. Nigeria", "98. Norway", "99. Oman", "100. Pakistan", "101. Palau", "102. Panama", "103. Papua New Guinea", "104. Paraguay", "105. Peru", "106. Philippines", "107. Poland", "108. Portugal", "109. Qatar", "110. Republic of Korea", "111. Republic of Moldova", "112. Romania", "113. Russian Federation", "114. Rwanda", "115. Saint Kitts and Nevis", "116. Saint Lucia", "117. Saint Vincent and the Grenadines", "118. San Marino", "119. Sao Tome and Principe", "120. Saudi Arabia", "121. Senegal", "122. Serbia", "123. Seychelles", "124. Sierra Leone", "125. Singapore", "126. Slovakia", "127. Slovenia", "128. Solomon Islands", "129. South Africa", "130. Spain", "131. Sri Lanka", "132. Sudan", "133. Suriname", "134. Swaziland", "135. Sweden", "136. Switzerland", "137. Tajikistan", "138. Thailand", "139. The Former Yugoslav Republic of Macedonia", "140. Timor Leste", "141. Togo", "142. Tonga", "143. Tunisia", "144. Turkey", "145. Turkmenistan", "146. Uganda", "147. Ukraine", "148. United Kingdom of Great Britain and Northern Ireland", "149. United States of America", "150. Uruguay", "151. Uzbekistan", "152. Vanuatu", "153. Venezuela", "154. Viet Nam", "155. Yemen", "156. Zimbabwe", "II. Signatories", "1.", "2. Burundi", "3. Central African Republic", "4. Côte d'Ivoire", "5. Egypt", "6. Gabon", "7. Guyana", "8. Haiti", "9. Liberia", "10. Madagascar", "11. Malawi", "12. Myanmar", "13. Nepal", "14. Somalia", "15. Syrian Arab Republic", "16. United Arab Emirates", "17. United Republic of Tanzania", "III. Non-parties (neither signed nor ratified)", "1.", "2. Andorra", "3. Angola", "4. Cameroon", "5. Chad", "6. Comoros", "7. Cook Islands", "8. Djibouti", "9. Eritrea", "10. Guinea", "11. Israel", "12. Kazakhstan", "13. Kiribati", "14. Marshall Islands", "15. Mauritania", "16. Micronesia (Federated States of)", "17. Montenegro", "18. Mozambique", "19. Namibia", "20. Nauru", "21. Niue", "22. Samoa", "23. Trinidad and Tobago", "24. Tuvalu", "25. Zambia", "Annex II", "[English only]", "[]", "Annex III", "[English only]", "Table showing non-adherence to the Convention by region", "AmericasandCaribbean\tAfrica\tMiddleEast andCentralAsia\tAsia andthePacific\tEuropeSignatories\tGuyanaHaiti\tBurundi,CentralAfricanRepublic,Côted'Ivoire,\tSyrianArabRepublic,UnitedArabEmirates.\tMyanmar,Nepal. Egypt, Gabon, Liberia, Madagascar, Malawi, Somalia, \n UnitedRepublicofTanzania. \n Total 2 10 2 2 0 Non-signatories\tTrinidadandTobago\tAngola,Cameroon,Chad,Comoros,\tIsrael,Kazakhstan.\tCookIslands,Kiribati,MarshallIslands,\tAndorra,Montenegro. Djibouti,Eritrea,Guinea,Mauritania, Micronesia(FederatedStatesof),Nauru, \n Mozambique,Namibia,Zambia. Niue,Samoa,Tuvalu.\t\n Total 1 11 2 8 2 \nTotalnon-parties\t3\t21\t4\t10\t2", "[1] 欧洲理事会第2006/184/CFSP号联合行动。" ]

[ "SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/INF.528 September 2006Original: ENGLISH", "Geneva, 20 November – 8 December 2006", "Item 10 of the provisional agenda", "Review of the operation of the Convention as provided for in its Article XII", "BACKGROUND INFORMATION DOCUMENT ON STATUS OF UNIVERSALITY OF THE CONVENTION", "Prepared by the Secretariat", "I. Introduction", "1. In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to compile a background information document on the status of universality of the Convention. The Secretariat has prepared this document in accordance with that request.", "II. Current status", "2. According to information supplied by the Depositary Governments of the Convention (the Russian Federation, the United Kingdom of Great Britain and Northern Ireland, and the United States of America), as of September 2006 there were 155 States Parties to the Convention, and a further 16 states which have signed but not yet ratified. This leaves 24 States which have neither signed nor ratified the Convention. Annex I (English only) contains full lists of the States Parties, signatories, and states which have neither signed nor ratified.", "III. Change since the Fifth Review Conference", "3. Since the initial session of the Fifth Review Conference in 2001, two signatories have ratified the Convention (Mali and Morocco) and nine non-signatories have acceded (Holy See, Antigua and Barbuda, Palau, Timor Leste, Sudan, Azerbaijan, Kyrgyzstan, Republic of Moldova, Tajikistan). This has increased the total number of States Parties by eleven.", "4. Over the same period, 33 states have ratified or acceded to the Chemical Weapons Convention (CWC), which now has a total of 179 States Parties. Twenty-one of these have joined the CWC since October 2003, when the Executive Council of the Organisation for the Prohibition of Chemical Weapons (OPCW) adopted an Action Plan to Promote the Universality of the CWC, following a recommendation made by the First Review Conference of the CWC earlier that year.", "5. A chart showing the respective rates of ratification of the BWC and CWC is attached as Annex II (English only).", "IV. Action to achieve universality", "6. There has been no specific coordinated action undertaken by the States Parties to encourage wider adherence to the Convention. Successive review conferences have affirmed the belief of States Parties that universal adherence to the Convention would enhance international peace and security and would facilitate the wider exchange of information for the use of biological agents for peaceful purposes. They have thus called upon signatories to ratify the Convention and upon non-signatories to accede \"without delay\". The Third and Fourth Review Conferences also encouraged States Parties to take action to persuade non-parties to accede, and \"particularly welcomed\" regional initiatives that would lead to wider accession to the Convention. But no specific plan or actions were decided.", "7. The annual United Nations General Assembly resolution on the BWC also typically calls on \"all Signatory States that have not yet ratified the Convention to do so without delay\", and upon \"those States that have not signed the Convention to become parties thereto at an early date, thus contributing to the achievement of universal adherence to the Convention\". Again, no specific action to support these calls has been endorsed.", "8. It has thus been left to individual States Parties and regional groups to encourage wider adherence. As there is no central record of these efforts, the Secretariat is unable to give an account of them. One prominent recent initiative is the European Union's Joint Action in support of the Convention, adopted on 27 February 2006, which includes a series of regional workshops designed to promote universality[1].", "V. Regional non-adherence", "9. Annex III (English only) contains a table showing the distribution by region of the 16 signatories and the 24 States which have neither signed nor ratified the Convention.", "Annex I", "[English only]", "List of States Parties, signatories and non-parties to the Biological Weapons Convention", "(as at September 2006)", "I. States Parties", "1.", "2. Afghanistan", "3. Albania", "4. Algeria", "5. Antigua and Barbuda", "6. Argentina", "7. Armenia", "8. Australia", "9. Austria", "10. Azerbaijan", "11. Bahamas", "12. Bahrain", "13. Bangladesh", "14. Barbados", "15. Belarus", "16. Belgium", "17. Belize", "18. Benin", "19. Bhutan", "20. Bolivia", "21. Bosnia-Herzegovina", "22. Botswana", "23. Brazil", "24. Brunei Darussalam", "25. Bulgaria", "26. Burkina Faso", "27. Cambodia", "28. Canada", "29. Cape Verde", "30. Chile", "31. China", "32. Colombia", "33. Congo", "34. Costa Rica", "35. Croatia", "36. Cuba", "37. Cyprus", "38. Czech Republic", "39. Democratic People’s Republic of Korea", "40. Democratic Republic of the Congo", "41. Denmark", "42. Dominica", "43. Dominican Republic", "44. Ecuador", "45. El Salvador", "46. Equatorial Guinea", "47. Estonia", "48. Ethiopia", "49. Fiji", "50. Finland", "51. France", "52. Gambia", "53. Georgia", "54. Germany", "55. Ghana", "56. Greece", "57. Grenada", "58. Guatemala", "59. Guinea-Bissau", "60. Holy See", "61. Honduras", "62. Hungary", "63. Iceland", "64. India", "65. Indonesia", "66. Iran (Islamic Republic of)", "67. Iraq", "68. Ireland", "69. Italy", "70. Jamaica", "71. Japan", "72. Jordan", "73. Kenya", "74. Kuwait", "75. Kyrgyzstan", "76. Lao People’s Democratic Republic", "77. Latvia", "78. Lebanon", "79. Lesotho", "80. Libyan Arab Jamahiriya", "81. Liechtenstein", "82. Lithuania", "83. Luxembourg", "84. Malaysia", "85. Maldives", "86. Mali", "87. Malta", "88. Mauritius", "89. Mexico", "90. Monaco", "91. Mongolia", "92. Morocco", "93. Netherlands", "94. New Zealand", "95. Nicaragua", "96. Niger", "97. Nigeria", "98. Norway", "99. Oman", "100. Pakistan", "101. Palau", "102. Panama", "103. Papua New Guinea", "104. Paraguay", "105. Peru", "106. Philippines", "107. Poland", "108. Portugal", "109. Qatar", "110. Republic of Korea", "111. Republic of Moldova", "112. Romania", "113. Russian Federation", "114. Rwanda", "115. Saint Kitts and Nevis", "116. Saint Lucia", "117. Saint Vincent and the Grenadines", "118. San Marino", "119. Sao Tome and Principe", "120. Saudi Arabia", "121. Senegal", "122. Serbia", "123. Seychelles", "124. Sierra Leone", "125. Singapore", "126. Slovakia", "127. Slovenia", "128. Solomon Islands", "129. South Africa", "130. Spain", "131. Sri Lanka", "132. Sudan", "133. Suriname", "134. Swaziland", "135. Sweden", "136. Switzerland", "137. Tajikistan", "138. Thailand", "139. The Former Yugoslav Republic of Macedonia", "140. Timor Leste", "141. Togo", "142. Tonga", "143. Tunisia", "144. Turkey", "145. Turkmenistan", "146. Uganda", "147. Ukraine", "148. United Kingdom of Great Britain and Northern Ireland", "149. United States of America", "150. Uruguay", "151. Uzbekistan", "152. Vanuatu", "153. Venezuela", "154. Viet Nam", "155. Yemen", "156. Zimbabwe", "II. Signatories", "1.", "2. Burundi", "3. Central African Republic", "4. Côte d'Ivoire", "5. Egypt", "6. Gabon", "7. Guyana", "8. Haiti", "9. Liberia", "10. Madagascar", "11. Malawi", "12. Myanmar", "13. Nepal", "14. Somalia", "15. Syrian Arab Republic", "16. United Arab Emirates", "17. United Republic of Tanzania", "III. Non-parties (neither signed nor ratified)", "1.", "2. Andorra", "3. Angola", "4. Cameroon", "5. Chad", "6. Comoros", "7. Cook Islands", "8. Djibouti", "9. Eritrea", "10. Guinea", "11. Israel", "12. Kazakhstan", "13. Kiribati", "14. Marshall Islands", "15. Mauritania", "16. Micronesia (Federated States of)", "17. Montenegro", "18. Mozambique", "19. Namibia", "20. Nauru", "21. Niue", "22. Samoa", "23. Trinidad and Tobago", "24. Tuvalu", "25. Zambia", "Annex II", "[English only]", "[]", "Annex III", "[English only]", "Table showing non-adherence to the Convention by region", "AmericasandCaribbean\tAfrica\tMiddleEast andCentralAsia\tAsia andthePacific\tEuropeSignatories\tGuyanaHaiti\tBurundi,CentralAfricanRepublic,Côted'Ivoire,\tSyrianArabRepublic,UnitedArabEmirates.\tMyanmar,Nepal. Egypt, Gabon, Liberia, Madagascar, Malawi, Somalia, \n UnitedRepublicofTanzania. \n Total 2 10 2 2 0 Non-signatories\tTrinidadandTobago\tAngola,Cameroon,Chad,Comoros,\tIsrael,Kazakhstan.\tCookIslands,Kiribati,MarshallIslands,\tAndorra,Montenegro. Djibouti,Eritrea,Guinea,Mauritania, Micronesia(FederatedStatesof),Nauru, \n Mozambique,Namibia,Zambia. Niue,Samoa,Tuvalu.\t\n Total 1 11 2 8 2 \nTotalnon-parties\t3\t21\t4\t10\t2", "[1] Council of the European Union, Joint Action 2006/184/CFSP." ]

[ "Sixth Review Conference of the States Parties to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction, BWC/CONF.VI/INF.528 September 2006CH2SE:", "Geneva, 20 November-8 December 2006", "Background information on the status of the Convention in achieving universal adherence", "Prepared by the Secretariat", "Introduction", "In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to prepare a background paper on the status of the Convention in achieving universal adherence. The Secretariat has now prepared this document in accordance with that request.", "Current situation", "According to information provided by the depositary Government of the Convention (Russian Federation, United Kingdom of Great Britain and Northern Ireland and United States of America), by September 2006, there were 155 States parties to the Convention and 16 other States had signed but had not yet ratified it. The remaining 24 States have neither signed nor ratified the Convention. Annex I (English only) contains a complete list of States parties, signatories and States that have neither signed nor ratified.", "Changes since the Fifth Review Conference", "Since the first session of the Fifth Review Conference in 2001, two Signatories (Mali and Morocco) have ratified the Convention and nine non-signatory States (Holy See, Antigua and Barbuda, Mali, Timor-Leste, the Sudan, Azerbaijan, Kyrgyzstan, the Republic of Moldova, Tajikistan) have acceded to the Convention. This has resulted in an increase of 11 States parties.", "During the same period, 33 States had ratified or acceded to the Chemical Weapons Convention, which now had 179 States parties. Of these, 21 States participated in the Chemical Weapons Convention after October 2003. In October 2003, the Executive Board of the Organization for the Prohibition of Chemical Weapons adopted a plan of action to promote universal adherence to the Convention, as recommended by the first Review Conference of the Convention, which was held earlier in the year.", "The map of annex II (English only) shows the rate of ratification of the Biological Weapons Convention and the Chemical Weapons Convention on the basis of different lines.", "Action to promote universal adherence", "The State party does not take any concrete concerted action to encourage wider adherence to the Convention. The Review Conferences affirmed the State party's conviction that universal adherence to the Convention could enhance international peace and security and could facilitate wider exchange of information on biomass for peaceful purposes. They therefore called upon signatory States to ratify the Convention without delay and called upon States not parties to accede to the Convention without delay. The Third and Fourth Review Conferences also encouraged States parties to take action to persuade non-State parties to join and, in particular, to welcome at the regional level the initiative to promote wider adherence to the Convention. However, no specific plans or actions were decided.", "The United Nations General Assembly resolution on the Biological Weapons Convention has also consistently called for “all Signatories that have not yet ratified the Convention to ratify it promptly”, and called upon “States that have not yet done so to become parties as soon as possible, thereby contributing to the universality of the Convention”. However, no concrete action was advocated to achieve those appeals.", "Therefore, it is only through individual States parties and regional groups to encourage wider adherence to the Convention. The Secretariat was unable to clarify the action taken because such efforts were not uniformly recorded. A recent remarkable action was the joint European Union action in support of the Convention, adopted on 27 February 2006, which included a series of regional workshops to promote universal adherence.", "States that have not yet done so in all regions", "The table in annex III (English only) lists 16 signatory States and 24 States that have neither signed nor ratified the Convention in the region.", "Annex I", "[English only]", "List of States Parties, neighbours and non-parties to the Biological Weapons Convention", "(as at 2006)", "States Parties", "Notes", "Afghanistan", "Albania", "Algeria", "ACT and conciliation", "Argentina", "Armenia", "Australia", "Austria", "Azerbaijan", "Bangkok", "Bahrain", "Bangladesh", "Barbados", "Belarus", "Belgium", "Belize", "Benin", "Bhutan", "Bolivia", "Bosnia-Herzegovina", "Botswana", "Brazil", "Brunei Darussalam", "Bulgaria", "Burkina Faso", "Cambodia", "Canada", "Cape Verde", "Chile", "China", "Colombia", "Congo", "Costa Rica", "Croatia", "Cuba", "Cyprus", "Czech Republic", "Democratic People's Republic of Korea", "Democratic Republic of the Congo", "Denmark", "José", "Dominican Republic", "Ecuador", "El Salvador", "Equatorial Guinea", "Estonia", "Ethiopia", "Fiji", "Finland", "France", "Gambia", "Georgia", "Germany", "Ghana", "Greece", "Chile", "Guatemala", "Equatorial Guinea-Bissau", "Holy See", "Honduras", "Hungary", "Thailand", "India", "Indonesia", "Iran (Islamic Republic of)", "Iraq", "Ireland", "Italy", "Jamaica", "Japan", "Jordan", "Kenya", "Kuwait", "Finland", "Lao People's Democratic Republic", "Latvia", "Lebanon", "Lesotho", "Libyan Arab Jamahiriya", "Liechtenstein", "Lithuania", "Luxembourg", "Malaysia", "Maldives", "Mali", "Malta", "Mauritius", "Mexico", "Monaco", "Mongolia", "Morocco", "Netherlands", "New Zealand", "Nicaragua", "Niger", "Nigeria", "Norway", "Oman", "Pakistan", "Palau", "Panama", "Papua New Guinea", "Paraguay", "Peru", "Philippines", "Poland", "Portugal", "Qatar", "Republic of Korea", "Republic of Moldova", "Romania", "Russian Federation", "Rwanda", "Saint Kitts and Nevis and Turkmenistan", "Saint Lucia", "Saint Vincent and the Grenadines", "San Marino", "Sao Tome and Principe", "Saudi Arabia", "Senegal", "Serbia", "Saint Lucia", "Sierra Leone", "Singapore", "Slovakia", "Human rights", "Solomon Islands", "South Africa", "Spain", "Sri Lanka", "Sudan", "Suriname", "Swaziland", "Sweden", "Switzerland", "Tajikistan", "Thailand", "The former Yugoslav Republic of Macedonia", "Timor-Leste Employment", "Togo", "Togo", "Tunisia", "Turkey", "Turkmenistan", "Uganda", "Ukraine", "United Kingdom of Great Britain and Northern Ireland", "United States of America", "Uruguay", "Viet Nam", "Vanuatu", "Venezuela", "Viet Nam", "Yemen", "Zimbabwe", "Signatories", "Notes", "Burundi", "Central African Republic", "Côte d'Ivoire", "Egypt", "Montenegro", "Guinea", "Haiti", "Liberia", "Madagascar", "Malawi", "Myanmar", "Nepal", "Somalia", "Syrian Arab Republic", "United Arab Emirates", "United Republic of Tanzania", "Non-parties", "Notes", "Andorra", "Angola", "Cameroon", "Chad", "Comoros", "Cook Islands", "Djibouti", "Eritrea", "Guinea", "Israel", "Kazakhstan", "Kiribati", "Marshall Islands", "Mauritania", "INTed States of origin", "Montenegro", "Mozambique", "Namibia", "Nauru", "Niue", "Samoa", "Trinidad and Tobago", "Tuvalu", "Zambia", "Annex II", "[English only]", "[]", "Annex III", "[English only]", "Table showing non-adherence to the Convention by region", "Total Americas and Caribbean Africa Middle East and CentralAsia Asia and the Pacific Europe Signatories Ziiti Burundi, Central African Republic, Côted'Ivoire, Syrian Arab Republic, United Arab Emirates. Myanmar, Nepalal. Egypt, Liberia, Madagascar, 21 Malawi, Somalia, Republicof Tanzania. Total 2102,0-signatories and Tobago, Burundi, Chad, Israel, Nepal, Republic of Korea, No. 312.", "Confirmed joint European Council action No. 2006/184/CFSP." ]

[ "附属履行机构", "第二十五届会议", "2006年11月6日至14日，内罗毕", "临时议程项目9", "与《京都议定书》第三条 第14款有关的事项", "关于《京都议定书》第三条第14款方面的 报告方法的研讨会报告", "秘书处的说明[1]", "概 要 \n本文件概述关于《京都议定书》第三条第14款方面的报告方法的研讨会情况，研讨会于2006年9月4日至6日在阿拉伯联合酋长国的阿布扎比举行。研讨会上的讨论重点是国家在报告与第三条第14款规定有关的信息方面的经验，以及第15/CMP.1号决定所规定的报告方式。本文件还包括研讨会结果一览表。", "目 录", "段 次 页 次", "一、导 言……………….. 1 - 4 3", "A. 任 务............. 1 3", "B. 范 围....................... 2 - 3 3", "C. 附属履行机构可采取的行动 4 3", "二、议事情况............................ 5 - 6 3", "三、概 述......................... 7 - 26 4", "A. 概 况........................ 7 - 9 4", "B. 在报告与《京都议定书》第三条第14款规定有关的信息方面的经验 10 - 18 5", "C. 报告方法的组成和特点 19 - 26 7", "四、结 果........................ 27 - 28 8", "附 件", "所做陈述一览表…………………………………… 10", "一、导 言", "A. 任 务", "1. 在第31/CMP.1号决定中，作为《京都议定书》缔约方会议的《公约》缔约方会议(《议定书》/《公约》缔约方会议)请秘书处在第二届会议之前举办一次研讨会，讨论可采取何种方法，报告如何最大限度地减少附件一所列缔约方(附件一缔约方)为履行第三条第1款规定的限制和减少排放量义务而执行的政策和措施对发展中国家缔约方的不利的社会、环境和经济影响。", "B. 范 围", "2. 本说明介绍秘书处根据上述任务在附属履行机构主席指导下举办的研讨会的情况，包括议事情况概述和介绍研讨会结果，下文第四章是关于结果的归纳。", "3. 尽管研讨会的重点是确定报告方法，但讨论也涵盖其他相关信息，例如关于附件一缔约方的缓解政策和措施的叙述，以及与按照《京都议定书》第三条第14款可能开展的执行进程有关的内容。", "C. 附属履行机构可采取的行动", "4. 第31/CMP.1号决定第12段请履行机构和附属科学技术咨询机构审议研讨会产生的结果，并就这些结果向《议定书》/《公约》缔约方会议第二届会议提出建议。", "二、议事情况", "5. 秘书处与阿布扎比环境署合作，于2006年9月4日至6日在阿拉伯联合酋长国阿布扎比举办了研讨会。研讨会由Al Waleed Hamad Al-Malik先生(阿联酋)和代表履行机构主席Thomas Becker先生的Eva Jensen女士(丹麦)共同主持。代表缔约方、国际组织和非政府机构的32名专家出席了研讨会。[2]", "6. 研讨会分为四场会议。第一场会议包括致欢迎辞、做介绍和进行背景陈述。在第二场会议上，缔约方代表陈述了他们在报告与第三条第14款有关的信息方面的经验。对每个人的陈述都进行了详细讨论，陈述人也回答了提出的问题。在第三场会议上进行了专题小组讨论。专题演讲人包括来自加纳、日本、沙特阿拉伯和欧盟委员会的代表。在最后一场会议上，联合主席介绍了研讨会的结果总结。", "三、概 述", "A. 概 况", "7. 背景陈述涵盖与《京都议定书》第三条第14款有关的信息报告要求的性质，以及相关的《议定书》/《公约》缔约方会议的决定。所做陈述回顾了第三条第14款的规定，即附件一所列每一缔约方应努力履行其减少排放的承诺，为此须最大限度地减轻对发展中国家缔约方、尤其是《公约》第四条第8款和第9款所特别指明的那些缔约方不利的社会、环境和经济影响。", "8. 关于本次研讨会的任务，第31/CMP.1号决定第3段请附件一缔约方提供与第三条第14款规定有关的信息，作为其年度清单报告的一部分。在该决定第8段中，《议定书》/《公约》缔约方会议一致认为，《公约》附件二所列缔约方以及有能力的附件一所列其他缔约方在履行《京都议定书》第三条第14款规定的义务时，应优先重视下列六项行动：", "(a) 为实现《公约》的目标，逐步减少或分阶段消除所有温室气体排放部门的市场缺陷、财政奖励、税收和关税免除及补贴，同时考虑到有必要进行能源价格改革，以反映市场价格和外部影响；", "(b) 取消对使用有害环境和不安全技术的补贴；", "(c) 开展矿物燃料非能源用途技术开发合作，并为此向发展中国家缔约方提供支持；", "(d) 就先进的低温室气体排放的矿物燃料技术和/或与矿物燃料有关的回收和储存温室气体技术的开发、推广和转让展开合作，鼓励推广使用这些技术；并促进最不发达国家和其他非《公约》附件一所列缔约方(非附件一缔约方)参与这项努力；", "(e) 加强《公约》第四条第8款和第9款所列发展中国家缔约方提高与矿物燃料有关的上游和下游活动效率的能力，同时考虑到必须提高这些活动的环境效率；", "(f) 协助高度依赖矿物燃料出口和消费的发展中国家缔约方实现其经济多样化。", "9. 第15/CMP.1号决定包括一个附件，附件载有《京都议定书》第七条要求的信息的编制指南，其中一个部分涉及如何报告按照第三条第14款规定尽量减少不利影响，这种报告是缔约方年度清单报告的补充信息。第15/CMP.1号决定的附件第23段和第24段是对第31/CMP.1号决定第3段和第8段中所含规定的呼应。", "B. 在报告与《京都议定书》第三条第14款规定 有关的信息方面的经验", "10. 背景陈述和附件一缔约方的许多代表提供了信息，表明缔约方就与第三条第14款有关的若干内容提出了报告。", "11. 对第四次国家信息通报和来自附件一缔约方的《京都议定书》下的进展证明报告的初步调查显示，这些信息通报和报告中含有大量与第三条第14款有关的信息的实例。几份国家信息通报和进展证明报告笼统地谈到第三条第14款所规定的义务。一些信息通报和报告传达的观点是，《京都议定书》的特殊性及其灵活机制已经是着眼于尽量减少不利影响。法国和大不列颠及北爱尔兰联合王国报告说，它们正在为与应对措施有关的不利影响拟订评估方法。", "12. 关于第15/CMP.1号决定所附指南第24段提到的优先行动，所调查的报告大都陈述了为减少市场缺陷而采取的行动(行动(a))，报告了以市场为基础的措施的执行情况，例如对产品征税以使外部环境成本内部化，还有就是电力和燃气市场的规章放宽。缔约方还报告了附件一缔约方与发展中国家在尽量减少矿物燃料的生产、配送和消费对环境的不利影响(即所谓的矿物燃料“绿色化”)方面的合作(行动(d))。此外，许多缔约方报告了它们对提高发展中国家工业能效的支持(行动(e))。", "13. 代表欧盟委员会的与会者向研讨会通报了欧洲共同体对《京都议定书》的执行情况和提交报告情况。关于内部行动，欧洲共同体正在通过将多种气体和部门定为目标以及通过利用基于市场的机制来履行自己的承诺。在国际上，欧洲共同体正在与关键的发展中国家开展缓解方面的合作，并支持受影响最大的发展中国家作出调整努力。在这方面，欧洲共同体在各优先领域开展了若干主动行动。在碳的捕获和储存方面(行动(d))， 共同体正与发展中国家在CACHET之类的项目中合作，[3] 该项目力图提高二氧化碳的捕获和气体燃料中氢的产生。在关于能效的优先领域，欧洲共同体与一些国家和区域有许多原有的和新建的伙伴关系，例如非洲、中国、印度、拉丁美洲和海湾合作理事会，海湾合作理事会包括巴林、科威特、阿曼、卡塔尔、沙特阿拉伯和阿联酋。", "14. 一名与会者的陈述报告了日本在技术开发、转让和传播领域的政策和措施所取得的成果(行动(c)和(d))，指出这些行动有可能在未来促进大量减排。在支持经济多样化方面(行动(f))，日本正在采取几项主动行动，目的是营造和强化有利于吸引外国直接投资和外国技术援助的环境。", "15. 一些与会者详尽阐述了在根据第三条第14款提出报告方面可能遇到的一般挑战和具体挑战。例如，他们指出，缓解措施的影响在各发展中国家之间可能有所不同，一些最不发达国家易受燃料价格上升的损害，而那些依赖于燃料出口的国家易受价格下跌的损害。有可能发生这样的情况：是一个缔约方可能报告它认为有助于减少某一类国家所受不利影响的措施，但在另一类国家中，情况正好相反。因此，重要的是在根据第三条第14款提出报告时考虑这些差别。另一个挑战是在非附件一缔约方的国家信息通报中难以找到与该条款有关的信息。", "16. 尽管存在这些挑战，一名与会者还是强调说，她的国家(一个附件一缔约方)已经在考虑采取第31/CMP.1号决定第8段中提到的行动，解决逐步减少市场缺陷、财政奖励和补贴(行动(a))以及电力市场规章放宽的问题。在德国，在国家气候保护综合方案(2000年和2005年)所包含的措施的系统汇编和二氧化碳减排问题部际工作组的定期汇编中报告了相关的政策和措施。关于加强非附件一缔约方的能力以提高效率(行动(e))，附件一缔约方把清洁发展机制视为促进投资和能效技术和工艺转让的手段。", "17. 尽管附件一缔约方的代表所做的陈述都反映出在报告与第三条第14款有关的信息方面所做的努力，但一位与会者在研讨会上说，该国正在对气候变化政策进行重大审查，因此指出，如何履行报告义务还为时过早。另一位来自经济转型期缔约方的代表在研讨会上说，该国没有资源来审议关于就第三条第14款提出报告的政策。不过，他又说，由于该国已经加入欧洲联盟，它必须履行相关义务，包括根据该条款提出报告的义务。", "18. 一些来自非附件一缔约方的与会者表示希望报告方法进一步细化和改进。一位与会者指出，非附件一缔约方注意到了附件一缔约方正在采取的一些政策可能对发展中国家的经济发展不利。他觉得在报告这些政策和措施方面，缔约方应指出各种政策和措施的执行成本和范围，温室气体排放的预期减少量，对国家和部门所受影响评估的定性和定量分析的结论。他提出以下一系列步骤作为按照第三条第14款可能的执行过程的范例：报告要求；政策影响评估的定性和定量方法；检查所执行的政策和措施；评估未来的政策和措施；议定的优先行动的执行情况；供资情况；保险；技术转让；进一步行动；为查明附件一缔约方是否正在努力将不利影响降至最低而制定的准则；以及遵约情况。", "C. 报告方法的组成和特点", "19. 联合主席挑选了一些与会者组成一个专题小组，以讨论以下问题：", "(a) 现已确定的报告方法有哪些？", "(b) 用于就第三条第14款提出报告的方法的组成或特点应是什么？", "20. 一名小组成员设想报告格式可以利用一张表、一个模板、一份说明或者所有这些相结合，并且应满足对一致、透明、可比、准确和完整的需要。他重申了上文第18段中提到的内容，强调认为关于第三条第14款的报告工作应采取从实践中学习的方法，因为这样的报告工作相对较新。", "21. 另一名小组成员认为，作为第一步，各国可以联系应对措施的影响评估双边合作的影响。为了使附件一缔约方的报告工作有助于开展审评，他认为方法应符合第22/CMP.1号决定附件第六部分规定的审评指南。他还指出非附件一缔约方需要报告它们正在遭受的影响。", "22. 一些小组成员认为，通过第15/CMP.1号决定，《议定书》/《公约》缔约方会议已经对报告方法提供了足够的指导(《指南》，第23到26段)，在他们看来，该决定提供了一个很好的框架。他们强调说，对附件一缔约方的要求只是“努力”尽量减少不利影响。他们认为试图分析附件一缔约方正在采取的各种政策的影响并不现实，会给工作造成不必要的负担。他们还再次断言，应当先综合考虑对任何政策影响的分析，然后才可进行报告工作。", "23. 一名与会者认为有必要注意不同类别的发展中国家之间的差异。他认为最不发达国家可能受影响最大，因此需要仔细报告这些国家可能受到的影响。", "24. 一些与会者回顾了从《公约》之下的报告和审评指南使用中吸取的教训。这些指南有的是不设限制的叙述格式，有的则是有十分具体的量的要求的格式，比如清单报告指南中就是如此。", "25. 许多与会者支持叙述性的报告方法，这样的报告可以提供对在各个部门和对各种气体采取的政策和措施的总体影响的灵活评估。由于要求报告的活动各种各样，因此在缓解的需要与效果之间取得平衡。", "26. 一些来自附件一缔约方的与会者强调了在采取缓解措施时与发展中国家缔约方合作和对话的重要性。考虑到报告方法要到2010年才会实行，这也有助于附件一缔约方采取在实践中学习的方式。另一些与会者强调说，缔约方现在应就报告方法的内容和初步格式达成一致，在以后的阶段可以审查和改进这些格式。一些与会者建议说，也许不需要进一步举办研讨会才能就此达成定论。", "四、结 果", "27. 与会者提出了如下考虑事项清单，他们认为这些事项在第三条第14款报告方面很重要：", "(a) 按照第15/CMP.1号决定中的报告指南的目标，与会者重申了一致、透明、可比、准确和完整的重要性；", "(b) 报告工作应借鉴相关的报告经验；", "(c) 所报告的信息可以采取叙述性报告、表格或二者相结合的形式；", "(d) 信息应列入年度清单报告的一个单独的部分；", "(e) 由于信息的详细程度取决于国情以及政策和措施的性质，信息的提供可以采用定性或定量的形式或者二者相结合的形式；", "(f) 也可以酌情介绍对具体区域、国家类别[4] 和发展中国家中部门的影响情况；", "(g) 为了提高报告的有效性，所报告的信息可以酌情以个别政策、政策类别和联合执行的政策为重点；", "(h) 需要就有关按照第15/CMP.1号决定尽量减少社会、经济和环境影响的广泛行动提出报告(《指南》第23段)。此外，该指南第24段所指出的行动领域为报告工作提供了一个重要的组织框架；", "(i) 评估和报告工作是一个演进的过程，采用的是在实践中学习的方式，通过这一方式可以依据所获得的经验逐渐改进这一过程。", "28. 与会者未能就以下事项达成一致：表格式的报告格式，叙述格式或是二者相结合，哪种方式更好？信息应主要是质的方面的还是量的方面的？所报告的信息的范围应集中在所有受影响的发展中国家还是某类国家、区域和/或部门。", "Annex", "[ENGLISH ONLY]", "List of presentations", "Session 1: Objectives of the workshop and background", "Presenter Party/organization Title", "Mr. Festus UNFCCC secretariat Reporting methodologies – Objective Luboyera and desired output", "Mr. Aaron Cosbey International Reporting methodologies on Article Institute for 3.14 of the Kyoto Protocol Sustainable Development", "Session 2:  Experiences with reporting information relevant to the provisions of Article 3, paragraph 14, of the Kyoto Protocol", "Presenter Party/organization Title", "Ms. Jane Amilhat European Commission The EU’s implementation and reporting, Part I: Domestic action", "Mr. Jürgen European Commission The EU’s implementation and Lefevere reporting, Part II: Emissions trading and relations with third countries", "Mr. Kunihiko Japan Japan’s policies and measures to Shimada achieve Kyoto targets and beyond", "Ms. Riitta Finland Article 3.14 challenges in Pipatti reporting", "Ms. Sonja Germany Reporting issues under Article 3.14 Butzengeiger", "Mr. Aysar A. Saudi Arabia Reporting – Approach and elements Tayeb", "[1] ^(*) 本文件迟交，是因为研讨会的时间安排。", "[2] 关于议程、背景文件和介绍可查阅《气候公约》网站：http://unfccc.int/adaptation/ adverse_effects_and_response_measures_art_48/items/3744.php。所做陈述一览表载于本文件附件。", "[3] 见 http://www.cachetco2.eu。", "[4] 例如，《公约》第4条第8段和第9段中提到的那些。" ]

[ "[] UNITED \n NATIONS \n [] Distr. \n GENERAL \n FCCC/SBI/2006/27 \n 2 October 2006 \n Original: English \n . \nSUBSIDIARYBODYFORIMPLEMENTATION \nTwenty-fifthsession \nNairobi,6–14November2006 \nItem9 oftheprovisionalagenda \nMattersrelatingtoArticle3,paragraph14,oftheKyoto Protocol", "Report on the workshop on reporting methodologies in the context of Article 3, paragraph 14, of the Kyoto Protocol", "Note by the secretariat[1]", "Contents", "Paragraphs Page", "I. Introduction ‎1–‎4 2", "A. Mandate ‎1 2", "B. Scope ‎2–‎3 2", "C. Possible action by the Subsidiary Body for Implementation ‎4 2", "II. Proceedings ‎5–‎6 2", "III. Summary ‎7–‎26 2", "A. Overview ‎7–‎9 2", "B. Experiences with reporting of information relevant to the provisions of Article 3, paragraph 14, of the Kyoto Protocol ‎10–‎18 2", "C. Components and characteristics of reporting methodologies ‎19–‎26 2", "IV. Outcomes ‎27–‎28 2", "Annex", "List of presentations ………………………………………………… 9", "I. Introduction", "A. Mandate", "1. The Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol (COP/MOP), by its decision 31/CMP.1, requested the secretariat to organize before its second session a workshop on reporting methodologies on ways to minimize adverse social, environmental and economic impacts on developing country Parties of the implementation of policies and measures by Parties included in Annex I to the Convention (Annex I Parties) in achieving their quantified emission limitation and reduction commitments under Article 3, paragraph 1, of the Kyoto Protocol.", "B. Scope", "1. This note provides information on the workshop organized by the secretariat under the guidance of the Chair of the Subsidiary Body for Implementation (SBI) in response to the above mandate. It includes an overview of the proceedings and presents the workshop outcomes, which are summarized in chapter IV below.", "2. Although the workshop focused on the identification of reporting methodologies, discussions also covered other related information, such as descriptions of mitigation policies and measures by Annex I Parties, as well as elements relating to a possible implementation process in accordance with Article 3, paragraph 14, of the Kyoto Protocol (Article 3.14).", "C. Possible action by the Subsidiary Body for Implementation", "1. In accordance with decision 31/CMP.1, paragraph 12, the SBI and the Subsidiary Body for Scientific and Technological Advice are requested to consider the output of the workshop and to make recommendations thereon to the COP/MOP at its second session.", "II. Proceedings", "1. The secretariat, in collaboration with the Environment Agency of Abu Dhabi, organized the workshop in Abu Dhabi, United Arab Emirates (UAE), from 4 to 6 September 2006. The workshop was co-chaired by Mr. Al Waleed Hamad Al-Malik (UAE) and Ms. Eva Jensen (Denmark) on behalf of Mr. Thomas Becker, Chair of the SBI. It was attended by 32 experts representing Parties, international organizations and non-governmental institutions.[2]", "2. The workshop was organized into four sessions. The first included the welcome addresses, introductions and background presentation. In the second session, presentations were made by representatives of Parties on their experiences with reporting information relating to Article 3.14. Each presentation was discussed at length and presenters responded to questions. A panel discussion was held in the third session. The panel included representatives of Ghana, Japan, Saudi Arabia and the European Commission. In the final session, the co-chairs presented a summary of the workshop outcomes.", "III. Summary", "A. Overview", "1. The background presentation covered the nature of the requirements for reporting information on Article 3.14 of the Kyoto Protocol and the associated decisions of the COP/MOP. The presentation recalled that Article 3.14 stipulates that each Annex I Party should strive to implement its reduction commitments in such a way as to minimize adverse social, environmental and economic impacts on developing country Parties, particularly those identified in Article 4, paragraphs 8 and 9, of the Convention.", "2. In the context of the mandate of this workshop, decision 31/CMP.1, paragraph 3, requested Annex I Parties to submit information relating to the provisions of Article 3.14, as part of their annual inventories. In paragraph 8 of the decision the COP/MOP agreed that Parties included in Annex II to the Convention, and other Parties included in Annex I in a position to do so, should give priority in implementing their commitments under Article 3.14 to the following six actions:", "a. The progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in all greenhouse gas (GHG) emitting sectors, taking into account the need for energy price reforms to reflect market prices and externalities, in pursuit of the objective of the Convention;", "b. Removing subsidies associated with the use of environmentally unsound and unsafe technologies;", "c. Cooperating in the technological development of non-energy uses of fossil fuels, and supporting developing country Parties to this end;", "d. Cooperating in the development, diffusion and transfer of less greenhouse-gas-emitting advanced fossil-fuel technologies, and/or technologies relating to fossil fuels that capture and store GHGs, and encouraging their wider use; and facilitating the participation of the least developed countries and other Parties not included in Annex I to the Convention (non-Annex I Parties) in this effort;", "e. Strengthening the capacity of developing country Parties identified in Article 4, paragraphs 8 and 9, of the Convention for improving efficiency in upstream and downstream activities relating to fossil fuels, taking into consideration the need to improve the environmental efficiency of these activities;", "f. Assisting developing country Parties which are highly dependent on the export and consumption of fossil fuels in diversifying their economies.", "3. Decision 15/CMP.1 includes an annex containing the guidelines for the preparation of information required under Article 7 of the Kyoto Protocol, with a section on reporting on the minimization of adverse impacts in accordance with Article 3.14, as supplementary information in Parties’ annual inventories. Paragraphs 23 and 24 of the annex to this decision echo the provisions contained in paragraphs 3 and 8 of decision 31/CMP.1.", "B. Experiences with reporting of information relevant to the provisions of Article 3, paragraph 14, of the Kyoto Protocol", "1. The background presentation and a number of representatives from Annex I Parties provided information indicating that Parties have reported on a number of elements relevant to Article 3.14.", "2. A preliminary survey of the fourth national communications and reports demonstrating progress (RDPs) under the Kyoto Protocol from Annex I Parties showed that they contain numerous examples of information relevant to Article 3.14. Several national communications and RDPs discuss the obligations under Article 3.14 in general terms. Some convey a view that the specific characteristics of the Kyoto Protocol and its flexibility mechanisms are already aimed at minimizing adverse impacts. France and the United Kingdom of Great Britain and Northern Ireland reported that they were in the process of developing assessment methodologies for adverse impacts relating to response measures.", "3. As regards the priority actions mentioned in paragraph 24 of the guidelines annexed to decision 15/CMP.1, most of the reports surveyed described actions to reduce market imperfections (action (a)) and reported on the implementation of market-based measures such as the levying of taxes on products to internalize environmental externalities and the deregulation of electricity and gas markets. Parties also reported on cooperation between Annex I Parties and developing countries on the minimization of adverse environmental impacts in the production, distribution and consumption of fossil fuels – the so‑called greening of fossil fuels (action (d)). In addition, many Parties reported on their support for industrial energy efficiency in developing countries (action (e)).", "4. Participants representing the European Commission informed the workshop on the implementation of, and reporting under, the Kyoto Protocol by the European Community. With regard to domestic action, the European Community is implementing its commitments by targeting multiple gases and sectors and by using market-based mechanisms. Internationally, the European Community is cooperating on mitigation with key developing countries and supporting the most affected developing countries in their adaptation efforts. In this regard the European Community has undertaken a number of initiatives under the various priority areas. In the area of carbon capture and storage (action (d)) the Community is cooperating with developing countries in projects such as CACHET,[3] which seeks to enhance carbon dioxide capture and hydrogen production from gaseous fuels. In the priority area on energy efficiency, the European Community has a number of ongoing and new partnerships with countries and regions, such as Africa, China, India, Latin America and the Gulf Cooperating Council, which includes Bahrain, Kuwait, Oman, Qatar, Saudi Arabia and UAE.", "5. One presentation reported on the results of Japan’s policies and measures in the area of technology development, transfer and diffusion (actions (c) and (d)) and indicated that these actions are likely to facilitate considerable emission reductions in the future. In the area of support for economic diversification (action (f)), Japan is undertaking several initiatives with a view to establishing and enhancing an enabling environment for attracting foreign direct investment and technological assistance from abroad.", "6. Some participants elaborated on a number of general and specific challenges that could be faced in reporting under Article 3.14. For example, they noted that the impacts of mitigation measures may vary among developing countries, with some least developed countries being vulnerable to increasing fuel prices, whereas countries dependent on fuel exports are vulnerable to decreasing prices. It is possible that a Party may report on measures that it deems helpful in reducing adverse impacts in one group of countries while the opposite is happening in another group of countries. It is therefore important to take these differences into account when reporting under Article 3.14. Another challenge is the difficulty in identifying information in the national communications from non-Annex I Parties that would be relevant to this article.", "7. Despite these challenges one participant highlighted that her country (an Annex I Party) is already considering the actions in decision 31/CMP.1, paragraph 8, in addressing the progressive reduction of market imperfections, fiscal incentives and subsidies (action (a)), as well as in deregulating its electricity market. In Germany, relevant policies and measures are reported in a systematic compilation of measures included in the comprehensive national climate protection programmes (2000 and 2005) and in periodic compilations of the Interministerial Working Group on CO₂ Reduction. As regards strengthening the capacity of non-Annex I Parties to improve efficiency (action (e)), Annex I Parties see the clean development mechanism as an instrument to foster investment and the transfer of energy efficient technologies and processes.", "8. Although all the presentations by representatives of Annex I Parties reflected efforts to report on information relating to Article 3.14, one participant informed the workshop that his country was undergoing a major review of climate change policy and that it was premature to indicate how the reporting obligations would be undertaken. Another participant from a Party with an economy in transition informed the workshop that his country has no resources to consider policies that target reporting on Article 3.14. However, he added that because his country has integrated into the European Union, it would have to fulfil related obligations, including those on reporting under this article.", "9. Some participants from non-Annex I Parties expressed their wish to see the elaboration and evolution of the reporting methodologies. One participant mentioned that non-Annex I Parties have noted that some of the policies that are being undertaken in Annex I Parties may be unfovourable to the economic development of developing countries. He felt that in reporting on these policies and measures, Parties should provide the cost and span of implementation of each, as well as the anticipated reduction of GHG emissions and the findings of qualitative and quantitative analyses of impact assessments on countries and sectors. He identified the following series of steps as exemplifying a possible implementation process in accordance with Article 3.14: reporting requirements; qualitative and quantitative methodologies for policy impact assessment; examination of implemented policies and measures; assessment of future policies and measures; status of implementation of agreed priority actions; funding; insurance; transfer of technology; further actions; guidelines to determine if Annex I Parties are striving to minimize adverse effects; and compliance.", "C. Components and characteristics of reporting methodologies", "1. A panel of participants selected by the co-chairs was asked to discuss the following questions:", "a. Which reporting methodologies have been identified?", "b. What should be the components or characteristics of the methodologies to be used for reporting on Article 3.14?", "2. One panellist envisaged a reporting format that would utilize a table, a template, a narrative, or a combination of these, and would be guided by the need for consistency, transparency, comparability, accuracy and completeness. He reiterated the elements mentioned in paragraph 18 above and emphasized the view that the reporting on Article 3.14 should be undertaken through a learning-by-doing process because such reporting was relatively new.", "3. Another panellist was of the view that, as an initial step, countries could assess the impacts of bilateral cooperation vis-à-vis the impacts of response measures. In order for the reporting by Annex I Parties to be useful for the review process, he felt that the approach should be in line with the review guidelines under decision 22/CMP.1, annex, Part VI. He also raised the need for non-Annex I Parties to report on the impacts they are experiencing.", "4. Some panellists felt that the COP/MOP has already provided sufficient guidance on the reporting methodologies through decision 15/CMP.1 (guidelines, paragraphs 23–26), which, in their view, provides an excellent framework. They stressed that Annex I Parties have been requested only to “strive” to minimize the adverse impacts. They felt that trying to analyse the impact of each policy being", "undertaken by each Annex I Party was not realistic and would place an unnecessary burden on the process. They also reiterated the assertion that any analysis of the impact of policies should be considered in an integrated manner before reporting is done.", "5. One participant felt that there was a need to take note of the differences between the various groups of developing countries. He felt that the least developed countries were likely to be most affected, and therefore careful reporting on the likely impacts in these countries was required.", "6. Some participants recalled the lessons learned from using reporting and review guidelines under the Convention. These guidelines range from open-ended narrative formats to formats including highly specific quantitative requirements as in the inventory reporting guidelines.", "7. Many participants supported narrative reporting, which could provide a flexible assessment of the overall impact of policies and measures taken across sectors and gases. As the reporting is mandated for a broad spectrum of activities, it requires a balance between the needs and impacts of mitigation.", "8. Some participants from Annex I Parties highlighted the importance of cooperating and holding dialogues with developing country Parties when undertaking mitigation measures. This would also help Annex I Parties adopt a learning-by-doing approach, bearing in mind that the reporting methodologies need not be applied before 2010. Other participants stressed that Parties should agree on the content and initial format of reporting methodologies now with the possibility of reviewing and improving them at a later stage. Some participants suggested that further workshops might have to be held with a view to concluding this matter.", "IV. Outcomes", "1. Participants came up with the following list of considerations they felt were important in reporting under Article 3.14:", "a. Consistent with the objectives of the reporting guidelines under decision 15/CMP.1, participants reiterated the importance of consistency, transparency, comparability, accuracy and completeness;", "b. The reporting process should be informed by relevant reporting experiences;", "c. The information reported could take the form of a narrative report, a tabular representation, or a combination of both;", "d. The information should be included under a single section of the annual inventory report;", "e. As the level of detail of the information would depend on national circumstances and the nature of the policies and measures, the information could be presented in qualitative or quantitative form or in a combination of both;", "f. Information on impacts on specific regions, categories of countries[4] and sectors in developing countries could also be presented, as appropriate;", "g. Information reported could focus on individual policies, on groups of policies and policies implemented jointly, as appropriate, insofar as it would enhance the effectiveness of the reporting;", "h. Reporting is needed on broad actions relating to the minimization of social, economic and environmental impacts in accordance with decision 15/CMP.1 (guidelines, paragraph 23). Furthermore, the areas of action under paragraph 24 of the same guidelines constitute an important organizing framework for the reporting effort;", "i. The assessment and reporting effort is an evolving process with a learning-by-doing approach whereby the process could be improved with time and based on experience gained.", "2. Participants were unable to agree on whether it was better to have a tabular format for reporting, a narrative format, or a combination of both; whether the information should be mostly quantitative or qualitative; and the extent to which the information reported should focus on developing countries affected as a whole or on separate categories of countries, regions and/or sectors.", "Annex", "List of presentations", "Session 1: Objectives of the workshop and background", "Presenter Party/organization Title", "Mr. Festus UNFCCC secretariat Reporting methodologies – Objective Luboyera and desired output", "Mr. Aaron Cosbey International Reporting methodologies on Article Institute for 3.14 of the Kyoto Protocol Sustainable Development", "Session 2:  Experiences with reporting information relevant to the provisions of Article 3, paragraph 14, of the Kyoto Protocol", "Presenter Party/organization Title", "Ms. Jane Amilhat European Commission The EU’s implementation and reporting, Part I: Domestic action", "Mr. Jürgen European Commission The EU’s implementation and Lefevere reporting, Part II: Emissions trading and relations with third countries", "Mr. Kunihiko Japan Japan’s policies and measures to Shimada achieve Kyoto targets and beyond", "Ms. Riitta Finland Article 3.14 challenges in Pipatti reporting", "Ms. Sonja Germany Reporting issues under Article 3.14 Butzengeiger", "Mr. Aysar A. Saudi Arabia Reporting – Approach and elements Tayeb", "[1] ^(*) This document was submitted late due to the timing of the workshop.", "[2] The agenda, background paper and presentations are available on the UNFCCC website at: <http://unfccc.int/adaptation/adverse_effects_and_response_measures_art_48/items/3744.php>. The list of presentations is included in the annex to this document.", "[3] See <http://www.cachetco2.eu>.", "[4] For example, those mentioned under Article 4, paragraphs 8 and 9, of the Convention." ]

[ "Subsidiary Body for Implementation", "Twenty-fifth session", "Nairobi, 6-14 November 2006", "Item 9 of the provisional agenda", "Matters relating to Article 3, paragraph 14, of the Kyoto Protocol", "Report on the workshop on reporting methods in Article 3, paragraph 14, of the Kyoto Protocol", "Note by the Secretariat", "The present document will provide an overview of the workshop on the reporting methodology for Article 3, paragraph 14, of the Kyoto Protocol, held in Abu Dhabi, United Arab Emirates, from 4 to 6 September 2006. The discussions at the workshop focused on the country's experience in reporting on information relating to Article 3, paragraph 14, and on the manner in which the report provided for in decision 15/CMP.1. The present document also includes a list of the results of the workshop.", "Paragraphs Page", "Paragraphs Page", "Paragraphs Page", "Mandate 1 3", "Introduction", "C. Possible action by the Subsidiary Body for Implementation 4 3", "Proceedings 5 - 6 3", "Overview 7 - 26 4", "Overview 7 - 9 4", "Experience in reporting on information relating to Article 3, paragraph 14, of the Kyoto Protocol 10 - 18 5", "C. Composition and characteristics of the reporting methodology 19 - 26 7", "Conclusions 27 - 28 8", "Annex", "List of presentations 10", "Introduction", "Mandate", "In decision 31/CMP.1, the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol (CMP) requested the secretariat, prior to its second session, to organize a workshop to discuss possible ways to minimize adverse social, environmental and economic impacts of policies and measures implemented by Parties included in Annex I (Annex I Parties) in meeting their emission limitation and reduction obligations under Article 3, paragraph 1.", "B. Wall", "The present note provides information on the workshop organized by the secretariat under the guidance of the Chair of the Subsidiary Body for Implementation, including an overview of the proceedings and the presentation of the results of the workshop, as summarized in chapter IV below.", "Although the focus of the workshop was on the identification of reporting methods, discussions also covered other relevant information, such as the description of mitigation policies and measures for Annex I Parties and the possible implementation process pursuant to Article 3, paragraph 14, of the Kyoto Protocol.", "C. Possible action by the Subsidiary Body for Implementation", "Paragraph 12 of decision 31/CMP.1 invited the SBI and the Subsidiary Body for Scientific and Technological Advice to consider the results of the workshop and to make recommendations on those findings to the CMP at its second session.", "Proceedings", "The secretariat organized a seminar in Abu Dhabi, United Arab Emirates, in cooperation with UNEP, from 4 to 6 September 2006. The workshop was co-chaired by Mr. Al Waleed Hamad Al-Malik (United States of America) and by Ms. Eva Jensen (Denmark), representing the Chair of the SBI, Mr. Thomas Becker. The workshop was attended by 32 experts representing Parties, international organizations and non-governmental institutions. [2]", "The workshop was divided into four meetings. The first meeting included welcoming, presenting and background presentations. At the second meeting, the representatives of Parties presented their experiences in reporting information relating to Article 3, paragraph 14. A detailed discussion of each individual's presentations was held, and the speakers responded to questions raised. Thematic panel discussions were held at the third meeting. The panellists included representatives from Ghana, Japan, Saudi Arabia and the European Commission. At the last meeting, the Co-Chairs presented the results of the workshop.", "Overview", "Overview", "Background presentations cover the nature of information reporting requirements relating to Article 3, paragraph 14, of the Kyoto Protocol and the decisions of the CMP. The presentations reviewed Article 3, paragraph 14, that each Party included in Annex I shall endeavour to meet its emission reduction commitments and, to that end, minimize adverse social, environmental and economic impacts on developing country Parties, in particular those specified in Article 4, paragraphs 8 and 9, of the Convention.", "With regard to the mandate of the workshop, paragraph 3 of decision 31/CMP.1 invited Annex I Parties to provide information relevant to Article 3, paragraph 14, as part of their annual inventory report. In paragraph 8 of that decision, the CMP agreed that Parties included in Annex II to the Convention and other Parties in Annex I in a position to do so should give priority to the following six actions in implementing their obligations under Article 3, paragraph 14, of the Kyoto Protocol:", "(a) To achieve the objectives of the Convention, the progressive reduction or phased elimination of market deficiencies, fiscal incentives, tax and tariff exemptions and subsidies in all greenhouse gas sectors, taking into account the need for energy price reforms to reflect market prices and external impacts;", "(b) Remove subsidies for the use of hazardous environmental and unsafe technologies;", "(c) Cooperation in the development of non-energy-use technologies for fossil fuels and support to developing country Parties for that purpose;", "(d) Cooperate in the development, diffusion and transfer of advanced fossil fuel technologies and/or fossil fuel-related recovery and storage technologies to encourage the diffusion of those technologies; and promote the participation of least developed countries and other Parties not included in Annex I to the Convention (non-Annex I Parties);", "(e) Enhance the capacity of developing country Parties included in Article 4, paragraphs 8 and 9, of the Convention to increase the efficiency of upstream and downstream activities related to fossil fuels, taking into account the need to enhance environmental efficiency of those activities;", "(f) Assist developing country Parties that are highly dependent on fossil fuel exports and consumption to achieve their economic diversification.", "Decision 15/CMP.1 includes an annex containing guidelines for the preparation of information required under Article 7 of the Kyoto Protocol, one of which relates in part to reporting on how to minimize adverse impacts in accordance with Article 3, paragraph 14, which is supplementary information to the annual inventory report of Parties. Paragraphs 23 and 24 of the annex to decision 15/CMP.1 are those set out in paragraphs 3 and 8 of decision 31/CMP.1.", "Experience in reporting on information relating to Article 3, paragraph 14, of the Kyoto Protocol", "Background presentations and many representatives of Annex I Parties provided information indicating that Parties reported on a number of elements related to Article 3, paragraph 14.", "Preliminary surveys of the fourth national communications and progress under the Kyoto Protocol from Annex I Parties indicate that these information briefings and reports contain significant examples of information relevant to Article 3, paragraph 14. Several national communications and progress confirm that the report generally addresses obligations under Article 3, paragraph 14. Some information briefings and reports convey the view that the speciality of the Kyoto Protocol and its flexible mechanisms have been focused on minimizing adverse impacts. France and the United Kingdom of Great Britain and Northern Ireland reported that they were developing assessment methodologies for the adverse impacts of the response.", "With regard to the priority actions referred to in paragraph 24 of the Guide annexed to decision 15/CMP.1, the report of the survey describes the actions taken to reduce market defects (action (a)) and reported on the implementation of market-based measures, such as taxation of products to internalize external environmental costs, as well as the relaxation of regulations in electricity and fuel markets. Parties also reported on cooperation between Annex I Parties and developing countries in minimizing the adverse impacts of fossil fuel production, delivery and consumption on the environment (i.e. so-called fossil fuels “greenization”) (action (d)). In addition, many Parties reported on their support for improving industrial energy efficiency in developing countries (action (e)).", "On behalf of the European Commission participants briefed the workshop on the implementation and reporting of the Kyoto Protocol by the European Community. With regard to internal action, the European Community is fulfilling its commitments by targeting multiple gases and sectors and using market-based mechanisms. At the international level, the European Community is cooperating in mitigation with key developing countries and supports adaptation efforts by the most affected developing countries. In this regard, the European Community has undertaken a number of initiatives in various priority areas. In terms of carbon capture and storage (action (d)), the Community is cooperating with developing countries in projects such as CACHET, which seeks to increase the production of carbon dioxide capture and gas fuel. In priority areas on energy efficiency, the European Community has many existing and new partnerships with a number of countries and regions, such as the African, China, India, Latin America and the Gulf Cooperation Council, including Bahrain, Kuwait, Oman, Qatar, Saudi Arabia and the United States of America.", "One speaker reported on the results achieved by Japan in policies and measures in the area of technology development, transfer and diffusion (actions (c) and (d)) indicating that these actions were likely to contribute significantly to emissions in the future. In support of economic diversification (action (f)), Japan is taking several initiatives aimed at creating and strengthening an environment conducive to attracting FDI and foreign technical assistance.", "Some participants elaborated on the general challenges and specific challenges that might be encountered in reporting under Article 3, paragraph 14. For example, they noted that the impact of mitigation measures may vary among developing countries and that some least developed countries are vulnerable to rising fuel prices, while those dependent on fuel exports are vulnerable to falling prices. This may happen: a Party may report measures that it considers to contribute to reducing the adverse impacts of a particular country, but in another category the situation is counterproductive. It is therefore important to consider these differences in reporting under Article 3, paragraph 14. Another challenge is the difficulty of finding information relating to this provision in national communications from non-Annex I Parties.", "Despite these challenges, one participant stressed that her country (a Annex I Party) had considered actions referred to in paragraph 8 of decision 31/CMP.1 to address the progressive reduction of market deficiencies, financial incentives and subsidies (action (a) and liberalization of electricity market regulations. In Germany, the relevant policies and measures were reported in a regular compilation of the systems and the inter-ministerial working group on carbon dioxide emission reductions contained in the Integrated National Climate Protection Programme (2000) and 2005. With regard to strengthening the capacity of non-Annex I Parties to increase efficiency (action (e)), Annex I Parties considered the Clean Development Mechanism as a means of promoting investment and energy efficiency technology and technology transfer.", "Although the statements made by the representatives of Annex I Parties reflected the efforts made in reporting information relating to Article 3, paragraph 14, a participant said at the workshop that the country was carrying out a major review of climate change policies, noting that implementation of reporting obligations was too early. Another representative from the transition period stated at the workshop that the country had no resources to consider the policy on reporting on Article 3, paragraph 14. He added, however, that, as the country had acceded to the European Union, it must fulfil its obligations, including reporting under that article.", "Some participants from non-Annex I Parties expressed the wish that the reporting methodology be further refined and improved. One participant noted that non-Annex I Parties noted that some of the policies being taken by Annex I Parties could negatively affect the economic development of developing countries. He felt that, in reporting on those policies and measures, Parties should point to the cost and scope of implementation of policies and measures, the expected reduction of greenhouse gas emissions and the findings of qualitative and quantitative analyses of the impact of national and sectoral assessments. He proposed the following steps as examples of possible implementation processes pursuant to Article 3, paragraph 14: reporting requirements; qualitative and quantitative methods for policy impact assessment; inspection of policies and measures implemented; assessment of future action; implementation of agreed priorities; funding; insurance; technology transfer; further action; guidelines for identifying whether Annex I Parties were working to minimize adverse impacts; and compliance.", "C. Composition and characteristics of reporting methods", "The Co-Chairs selected a group of participants to discuss the following issues:", "(a) What methods of reporting have been identified?", "(b) What are the composition or characteristics of the methodology used to report on Article 3, paragraph 14?", "One panellist envisaged that the format of the report could be used in a table, a template, a note or all of these combinations and should meet the need for consistency, transparency, comparability, accuracy and integrity. He reiterated the reference in paragraph 18 above and stressed that reporting on Article 3, paragraph 14, should be seen in practice, as such reporting was relatively new.", "Another panellist expressed the view that, as a first step, States could assess the impact of bilateral cooperation in the context of response measures. In order to enable the reporting of Annex I Parties to facilitate the review, he considered that the methodology should be consistent with the review guidelines set out in part VI of the annex to decision 22/CMP.1. He also noted that non-Annex I Parties need to report on their impact.", "Some members expressed the view that the adoption of decision 15/CMP.1 had provided sufficient guidance to the reporting methodology (Guide, paras. 23-26) and that the decision provided a good framework in their view. They stressed that the requirement for Annex I Parties was simply “to strive” to minimize adverse impacts. They were of the view that attempts to analyse the impact of policies being taken by Annex I Parties were not realistic and would impose unnecessary burdens on the work. They also reiterated their view that an analysis of any policy impact should be considered in an integrated manner before reporting could be carried out.", "One participant expressed the view that there was a need to pay attention to differences among different categories of developing countries. In his view, the least developed countries could be most affected and, therefore, there was a need for careful reporting on their possible impact.", "Some participants recalled the lessons learned from the use of reporting and review guidelines under the Convention. These guidelines are unlimited narrative formats, with very specific requirements, such as the list reporting guide.", "Many participants supported the narrative reporting methodology, which could provide a flexible assessment of the overall impact of policies and measures taken in various sectors and gases. As a result of the variety of activities requiring the report, there is a balance between mitigation needs and effectiveness.", "Some participants from Annex I Parties emphasized the importance of cooperation and dialogue with developing country Parties when taking mitigation measures. Considering that the reporting methodology would be implemented by 2010, it would also help Annex I Parties to adopt ways of learning in practice. Others stressed that Parties should now agree on the content and initial format of the reporting methodology and that these formats could be reviewed and improved at a later stage. A number of participants suggested that it might not be necessary to hold seminars to make a difference in that regard.", "Conclusions", "The list of matters considered below was raised, which they considered important in the reporting of Article 3, paragraph 14.", "(a) In accordance with the objectives of the reporting guide in decision 15/CMP.1, participants reaffirmed the importance of coherence, transparency, comparability, accuracy and integrity;", "(b) Reports should draw on relevant reporting experience;", "(c) The information reported may take the form of a narrative report, form or combination of two persons;", "(d) Information should be included in a separate part of the annual inventory report;", "(e) Since the level of detail of information depends on national circumstances and the nature of policies and measures, the availability of information can be used in the form of qualitative or quantitative form or combination of two persons;", "(f) The impact on specific regions, national categories [4] and sectors in developing countries, as appropriate;", "(g) In order to enhance the effectiveness of the report, the information reported could focus on individual policies, policy categories and joint implementation policies, as appropriate;", "(h) Reports on extensive actions to minimize social, economic and environmental impacts in accordance with decision 15/CMP.1 (para. 23 of the Guide). In addition, the area of action noted in paragraph 24 of the Guide provides an important organizational framework for reporting;", "(i) The assessment and reporting process is a process of evolution, which is based on the experience gained.", "Participants were not able to agree on the format of the report of the tables, the format of the narrative or the combination of the two, which would be better? The information should be primarily qualitative or quantitative aspects? The scope of the information reported should be concentrated in all affected developing countries or in a category of countries, regions and/or sectors.", "Annex", "[ENGLISH ONLY]", "List of presentations", "Session 1:", "Presenter/organizational title", "Mr. Festus UNFCCC secretariat reporting traditions leading Luboyera and doctor", "Mr. Aaron Cosbey International Reporting Data on Article UNITAR for 3.14 of the Kyoto Protocol Sustainable Development", "Session 2: Experiences with reporting information relevant to the provisions of Article 3, paragraph 14, of the Kyoto Protocol", "Presenter/organizational title", "Ms. Jane Amilhat European Commission The EU transmits implementation and reporting, Part I: Domestic Action", "Mr. Jürgen European Commission The EU editorials implementation and Lefevere reporting, Part II: Emissions trading and relations with third countries", "Mr. Kunihiko Japan (2011)s policies and measures to Shimada towards the Kyoto target and beyond", "Ms. Riitta Finland Article 3.14 challenges in Pipatti reporting", "Ms. Sonja Germany reported under Article 3.14 Butzengeigers", "Mr. Aysar A. Saudi Arabia reporting methods and elements Tayeb", "This document was delayed due to the timing of the workshop.", "[2] With regard to the agenda, background documents and presentations available on the UNFCCC website: http://unfccc.int/adaptation/iguef_effects_and_response_article_48/items/3744.php. The list of presentations is contained in the annex to the present document.", "See http://www.cachetco2.eu.", "[4] For example, those referred to in paragraphs 8 and 9 of article 4 of the Convention." ]

[ "2006年11月20日至12月8日，日内瓦", "临时议程项目10", "按照第十二条的规定审查 《公约》的实施情况", "介绍建立信任措施历史和运作情况的背景资料文件", "秘书处编写", "一、导 言", "1. 第六次审查会议筹备委员会在其报告(BWC/CONF.VI/PC/2)第22段中决定请秘书处编写一份介绍经第二次审查会议商定并经第三次审查会议修改过的建立信任措施历史和运作情况的背景资料文件。文件中应包括以简表列出的关于缔约国自上次审查会议以来参与这些措施情况的数据。秘书处现在按照这一要求编写了本文件。", "二、建立信任措施的历史", "2. 在1986年举行的第二次审查会议上，缔约国商定了建立信任措施的概念和一般内容，共提出四项建立信任措施。会议并未具体规定提交的方式或所用表格，但决定为此目的召开一次“缔约国科学和技术专家特别会议，以制定资料和情报的交换方式”。该特别会议于1987年举行。1991年举行的第三次审查会议再次审议了建立信任措施并商定予以修改和扩大。第四次审查会议也审议了建立信任措施，但未作任何修改。", "A. 第二次审查会议(1986年9月8日至26日)", "3. 第二次审查会议(见BWC/CONF.II/13)“铭记公约第五条和第十条的规定，并决心加强公约的权威和提高对公约条款得到执行的信任”。一致商定“缔约国应在相互合作的基础上执行以下措施，以防止或减少含混、怀疑和猜疑的发生，并增进细菌(生物)和平活动领域的国际合作”。后来被称为建立信任措施的“以下措施”是：", "(1) 建立信任措施“A”－交换情报，以说明那些符合为出于受到准许的目的处理对个人和社会有很大危险的生物材料而制定的极高国家安全标准或国际安全标准的各研究中心和实验室的情况，或专门从事与《公约》直接有关的受到准许的生物学活动的各研究中心和实验室的情况，包括其名称、地点、范围和活动概况。", "(2) 建立信任措施“B”－交换有关在类型、发展、发生地点或时间方面似乎不同于寻常的一切传染病突发和毒素造成的类似情况的资料。如有可能，提供的资料应包括最新获得的有关疾病类型、受影响的大致地理范围和病例数目的资料。", "(3) 建立信任措施“C”－鼓励在各缔约国可普遍获得的科学刊物上发表与《公约》直接有关的生物学研究成果，并促进将这一研究获得的知识用于受到准许的目的。", "(4) 建立信任措施“D”－积极促进从事与《公约》直接有关的生物学研究的科学家之间的接触，包括在相互同意的基础上交换人员进行联合研究。", "4. 第二次审查会议所做的只不过是列出了所应交换的资料，但决定“举行一次缔约国科学和技术专家特别会议，以制定资料和情报的交换方式，包括为各缔约国交换本《最后宣言》所议定的资料而拟订一些适当的表格等，使各缔约国有标准程序可以遵循。”该专家特别会议应于1987年3月31日至4月15日期间在日内瓦举行，随后应立即将工作结果告知各缔约国。", "5. 第二次审查会议还建立了一个临时机制，以供缔约国在就交换方式作出决定之前交换资料之用。会议促请各缔约国迅速采取这四项建立信任措施，并将议定的资料送交联合国裁军事务部会议又请联合国裁军事务部将收到的资料提供给所有缔约国。", "B. 制定资料和情报交换方式的缔约国科学和技术专家特别会议 (1987年3月31日至4月15日)", "6. 39个缔约国派代表参加了这次会议，世界卫生组织的一名专家也列席会议以回答技术性问题。会议报告(BWC/CONF.II/EX/2)载述了一些谅解和协议，其中对建立信任措施的资料交换方式作了详细规定。达成的协议包括：", "(1) 提交的所有资料都应以《公约》的正式语言之一提供并应送交联合国裁军事务部，并应随即照原样转交给所有缔约国；", "(2) 这些资料还应提供给世界卫生组织；", "(3) 应尽快进行资料和情报的第一次交换，并应至迟于1987年10月15日送交联合国裁军事务部；", "(4) 其后，每年的资料应至迟于4月15日提供，时间应涵盖前一日历年。", "7. 会议商定了关于每项措施的涵盖范围和应提供的资料类型的准则：例如，什么样的研究中心应包括在建立信任措施“A”内；什么样的疾病突发构成“不同于寻常的”疾病突发，因而应包括在建立信任措施“B”内。会议为建立信任措施“A”、“B”和“D”制定了标准表格(没有为建立信任措施“C”制定表格)。", "8. 会议还讨论了建立信任措施进程所涉及的经费问题。报告中指出，联合国大会1986年通过的第41/58A号决议请秘书长为第二次审查会议“《最后宣言》的有关部分的执行提供必要的协助和服务”，但联合国秘书处却表示“此种服务和协助对联合国的经常预算没有任何经费方面的影响，而公约缔约国将按照第二次审查会议通过的议事规则承担与此有关的一切费用” [1] 。这就使得情况有点不明确：联合国经常预算不会支付建立信任措施的运作费用，但《生物武器公约》缔约国也未明示要承担这一费用。(费用问题的进一步情况见以下关于建立信任措施运作情况的一节。)", "C. 第三次审查会议(1991年9月9日至27日)", "9. 按照第二次审查会议的决定，第三次审查会议审议了建立信任措施的效用。在此方面，缔约国注意到这一进程的重要性，并注意到1987年至1991年这段期间进行的资料交换。该次审查会议的《最后宣言》在其“庄严宣告”中首次提到建立信任措施，这进一步突出了这种措施的重要意义。缔约国庄严宣告：", "“决心加强公约的执行和有效性，并进一步加强公约的权威性，途径包括……建立信任措施”。", "会议促请所有缔约国在今后进行资料交换时提供资料。会议还特别呼吁没有参加第三次审查会议的缔约国也参加议定建立信任措施的执行。", "10. 在审议建立信任措施的过程中，提出了许多修改建议，其中一些建议达成了协商一致。第三次审查会议的《最后宣言》(BWC/CONF.III/23)载明：", "“为了促进更多的国家参加资料交换并进一步加强这种交换，会议一致同意重申第二次审查会议拟定的各项措施，并作下列改进：增加一项关于‘无情况可供宣布’或‘无新情况可供宣布’的宣布规定；修改和扩大关于研究中心和实验室的数据交换规定；修改关于突发传染病和毒素引起的类似情况的资料交换规定；修改关于积极促进联系的措施；增加三项新的建立信任措施，即‘宣布立法、规章和其他措施’、‘宣布以往在进攻性和/或防御性生物学研究发展方案中的活动’和‘宣布疫苗生产设施’。”", "经过如上的修正后，现行的建立信任措施包括：", "(1) 关于“无情况可供宣布”或“无新情况可供宣布”的宣布表格；", "(2) 建立信任措施“A”：研究中心、实验室和生物战防御研究与发展方案： 第1部分：交换关于研究中心和实验室的资料； 第2部分：交换关于国家生物战防御研究与发展方案的资料；", "(3) 建立信任措施“B”：交换关于突发传染病和毒素引起的类似情况的资料；", "(4) 建立信任措施“C”：鼓励发表有关成果和促进知识的利用；", "(5) 建立信任措施“D”：积极促进联系；", "(6) 建立信任措施“E”：宣布立法、规章和其他措施；", "(7) 建立信任措施“F”：宣布以往在进攻性和/或防御性生物学研究与发展方案中的活动；", "(8) 建立信任措施“G”：宣布疫苗生产设施。", "11. 第三次审查会议根据这些修正而更新了提交资料所用的表格，并修订了关于应提供何种资料的准则(这些准则已体现在表格中)。自第三次审查会议以来，这些表格再未修改，现作为附件一附于本文件之后。", "12. 会议重申，使用新表格提交的资料应至迟于每年4月15日送交联合国裁军事务部，时间涵盖前一日历年。", "13. 缔约国还指出，由于缔约国商定要执行新的程序和经过修订的程序，联合国裁军事务部因而将承担进一步的责任，并且需要裁军事务部在这方面投入更多的时间。因此，会议请联合国秘书长为裁军事务部在日内瓦的有关单位调拨必要的工作人员和提供其他所需的条件，以便利切实执行这些程序。在这方面，请秘书长接收、汇编和向缔约国提供与《公约》及第三次审查会议各项决定的执行情况有关的资料。缔约国建议，利用裁军事务部的计算机数据库系统可有助于这项工作。", "D. 第四次审查会议(1996年11月25日至12月6日)", "14. 第四次审查会议的《最后宣言》(BWC/CONF.IV/9)重申了缔约国推动建立信任措施进程的决心。在开头部分，缔约国庄严宣告：", "“决心加强公约的执行和有效性，并进一步加强公约的权威性，途径包括第二次及第三次审查会议商定的建立信任措施”。", "按照第三次审查会议的决定，第四次审查会议审议了建立信任措施的效用。缔约国欢迎在建立信任措施下进行的资料交换。它们指出，建立信任措施仍然具有重要意义，而且有助于提高透明度和建立信任。但是，也承认某些方面有待进一步改进。第四次审查会议认识到，自第三次审查会议以来，参加的情况还不普遍，且并非所有答复都及时或完整。在这方面，缔约国认识到，它们之中的一些国家在编写有关建立信任措施答复时遇到了技术困难。会议敦促所有缔约国今后应全面及时地作出宣布。", "15. 会议还注意到，1994年特别会议设立的特设小组为正在从事的一部分工作，正审议酌情将现有的和进一步改进的建立信任和透明措施纳入加强《公约》的一项制度中的问题。该特设小组当时正继续开展工作，或许这就是第四次审查会议没有对建立信任措施作任何修改的主要原因。", "E. 第五次审查会议(2001年11月19日至 12月7日和2002年11月11日至22日)", "16. 与先前各次审查会议不同的是，第五次审查会议没有通过一项最后宣言。因此，它未就建立信任措施作任何决定。", "三、建立信任措施的运作", "17. 每年在建立信任措施下提交、汇编和分发资料的工作，对于缔约国和对于作为辅助机构的联合国裁军事务部都提出了运作方面的要求。", "A. 缔约国承诺进行的工作", "18. 如上所述，《公约》每个缔约国每年都应填报建立信任措施表格，即使只是申明“无情况可供宣布”或“无新情况可供宣布”。填报时须使用这些建立信任措施表格(BWC/CONF.III/23,《最后宣言》附件，作为附件一附于本文件之后)。空白的中文表格共24页，其中为填写资料预留了空间。如果有需要，可另附新页。表格的封面页可供缔约国针对所涵盖的七个方面之中的每一方面宣布是否“无情况可供宣布”或“无新情况可供宣布”。每年应在4月15日以前将填报的资料送交联合国裁军事务部，时间涵盖前一日历年。可用联合国任一种正式语文填报，而缔约国实际上也这样做。目前，未要求缔约国指定一个国家联络点来处理与建立信任措施有关的工作。", "B. 联合国裁军事务部的作用", "19. 按照审查会议有关决定中的要求，裁军事务部接收各缔约国在建立信任措施下提交的资料，“照原样”(不翻译、不编辑、不排版、不作任何改动)汇编成一份文件。这份文件一般超过1000页，所有六种正式语文混杂在一起，印发给各缔约国常驻纽约和常驻日内瓦的代表团。常驻这两个城市的每个代表团收到一份；总共印刷大约350份。一般是在9月分发。缔约国迟交的资料作为增编文件，按同一方式印发：平均每年印发两份增编文件。附件二(只有英文本)载有迄今为止印发的建立信任措施文件的清单。", "20. 第三次审查会议的《最后宣言》暗示，建立信任措施资料的提交和汇编将在日内瓦进行，但由于裁军事务部当时的人力资源分配，这些资料先在纽约汇编，目前仍维持这一安排。", "21. 按照现有的任务规定，裁军事务部没有被明文授权发送提醒通知、对迟交或不提交采取后续行动或协助缔约国填写和提交表格。实际上，裁军事务部日内瓦办事处下的《生物武器公约》会议秘书处曾临时提供了一些咨询意见，而且为填写表格拟订了基本指南――这些指南可在其网站上查阅：http://www.unog.ch /bwc。", "22. 缔约国要求将收到的建立信任措施资料分发给所有缔约国并提供给世界卫生组织。缔约国没有明文规定不得将这些资料提供给任何其他方面，也没有表示内容是否属于机密、非公开或公开性质。某些缔约国将自己提交的建议信任措施资料放在互联网上供人自由查阅，另一些缔约国则拒绝了直接向其提出的公开查阅请求。尽管缔约国未就这个问题直接作出指示，裁军事务部仍将这些资料视为政府之间的通讯，只提供给各缔约国和世界卫生组织而不提供给任何其他方面。但是，裁军事务部图书馆藏有建立信任措施文件，供人查阅。当然，建立信任措施文件分发出去后，个别缔约国如何对待这些文件，就不是裁军事务部所能控制的了。", "23. 裁军事务部不对填报的建立信任措施资料进行任何分析，而由于格式不统一、所用语文各异，只汇编关于参与情况的最基本统计数据。传统的做法是编制关于当时填报情况的表格，作为审查会议的背景文件之一。", "24. 如上所述，从未针对支持建立信任措施的运作的经费问题作出任何明文规定。联合国已表明，任何这类费用应由《生物武器公约》缔约国承担，而缔约国也已承认这一点(见专家特别会议的报告，BWC/CONF.II/EX/2)。但是，缔约国从未实际决定支付这一费用。事实上，第三次审查会议的《最后宣言》似乎设想由裁裁军事务部拔给必要的资源。实际情况确也如此，裁军事务部从一开始就赞助了建立信任措施文件编制和印发的全部费用。这样的安排是有问题的，因为联合国的预算中没有得到正式授权可为支撑这一活动编列经费。", "C. 参与情况", "25. 建立信任措施的参与程度一直较低，大多数缔约国并不经常参与。一共有96个缔约国参与过至少一次[2] ，但在大多数年度内，只有40至50个缔约国填报。附件三(只有英文本)以简表形式列出了自上次审查会议以来的每一年以及自1987年开始实行建立信任措施以来的每一年的缔约国参与这些措施的情况。", "附 件 一", "供提交建立信任措施资料用的议定表格[3]", "第三次审查会议商定，所有缔约国都应作下列宣布：", "1. 资料交换中使用的“无情况可供宣布”或“无新情况可供宣布”的宣布表格", "措 施 无情况可供宣布 无新情况可供宣布 \n A, 第1部分 □ □ \n A, 第2 (一)部分 □ □ \n A, 第2 (二)部分 □ □ \n A, 第2 (三)部分 □ □ \n B (一) □ □ \n B (二) □ □ \n C □ □ \n D □ □ \n E □ □ \n F □ □ \n G □ □", "(请在每项措施的相应方框中填“√”。)", "日 期：_______________________________________________________________", "公约缔约国：___________________________________________________________", "2. 建立信任措施“A”：", "第1部分：交换关于研究中心和实验室的数据", "第三次审查会议商定，缔约国应继续执行下列规定：", "“交换数据，说明那些符合为出于准许目的处理对个人和社会有很大危险的生物材料而制订的要求极高的国家或国际安全标准的研究中心和实验室的情况，或专门从事与公约直接有关的准许的生物学活动的研究中心和实验室的情况，包括其名称、地点、范围和活动概况。”", "方 式", "第三次审查会议商定，缔约国应提供其领土内或其管辖或控制下任何地方每一有关设施的数据，此种设施是指有任何最高封闭性实验室的设施，而此种实验室符合1983年世界卫生组织《实验室生物安全手册》针对此种最高封闭性实验室规定的标准，诸如划分第4生物安全级(BL4级)或P4级的标准或同等标准。", "表 格 A", "第1部分：交换关于研究中心和实验室的数据[4]", "1. 设施名称[5] _________________________________________________", "2. 负责的公营或私 _________________________________________________", "营组织或公司 _________________________________________________", "3. 地点和邮政地址 _________________________________________________", "4. 所报活动的资金来源，包括说明国防部是否为活动提供全部资金或部分资金。", "5. 研究中心和/或实验室内的最高封闭性单元[6] 数目，说明各单元的大小(平方米)", "6. 如果没有最高封闭性单元，则说明最高防护级别", "7. 活动的范围和概况，包括有关微生物和/或毒素的类型", "第2部分：交换关于本国生物战防御研究与发展方案的资料", "第三次审查会议商定，缔约国应执行下列规定：", "为了提高各国生物战防御研究与发展方案的透明度，缔约国将宣布是否实行此种方案。缔约国商定按年度提供关于本国生物战防御与发展方案的详细资料，包括概述承包者和其他设施所从事工作的目的和费用。如果未实行生物战防御研究与发展方案，则提交“无情况可供宣布”报告。", "缔约国将按所附表格作出宣布，其中需提供下列资料：", "1. 正在进行的研究与发展活动的目标和概况，说明是否在下列领域进行工作：预防、病理和致病力研究、诊断技术研究、大气生物学研究、检测研究、治疗研究、毒理学研究、实际防护研究、消除污染研究和其他有关研究；", "2. 是否利用承包者或其他不属于国防部门的设施，以及为方案的此种部分提供的资金总额；", "3. 方案的组织结构及其报告关系；以及", "4. 与作为生物战防御研究与发展方案主要执行机构的国防设施和其他政府设施有关的下列资料：", "(a) 地点；", "(b) 设施的占地面积(平方米)，包括专为每一BL-2、BL-3和BL-4级实验室配置的设施的占地面积；", "(c) 雇员总数，包括合同期超过六个月的专职人员；", "(d) 以上(c)项中所报雇员按以下类别分列的数目：文职、军职、科学家、技术员、工程师、后勤和行政人员；", "(e) 科学家/工程人员学科一览表；", "(f) 下列三个领域的资金来源和供资水平：研究，发展，以及测试和评估；", "(g) 关于发表论文和报告的政策，以及已公开发表的论文和报告的清单。", "表格A：第2 (一)部分", "宣布国家生物战防御研究与发展方案", "缔约国领土内或其管辖或控制下的任何地方是否有进行生物战防御研究与发展的国家方案。此种方案的活动包括：预防、病理和致病力研究、诊断技术研究、大气生物学研究、检测研究、治疗研究、毒理学研究、实际防护研究、消除污染研究和其他有关研究。", "有/无", "如果答复为“有”，请填表格A：第2 (二)部分，说明方案的情况。", "表格A：第2 (二)部分", "国家生物战防御研究与发展方案", "说 明", "1. 说明方案的目标和供资情况，概述方案中进行的主要研究与发展活动。述及的领域应包括：预防、病理和致病力研究、诊断技术研究、大气生物学研究、检测研究、治疗研究、毒理学研究、实际防护研究、消除污染研究和其他有关研究。", "2. 说明方案的供资总额及资金来源。", "3. 此一方案的各部分是否以合同方式交由工业界、学术机构或其他不属于国防部门的设施进行？", "是/否", "4. 如果答复为“是”，为方案提供的资金总额中拨出多大比例给上述承包设施或其他设施？", "5. 概述由承包者和其他设施以第4段所指资金执行的方案的目标和研究领域。", "6. 图示方案的组织结构和报告关系(包括参与方案的各设施)。", "7. 根据表格A：第2 (三)部分宣布报告国领土内或其管辖或控制下的任何地方把很大一部分资源专用于执行国家生物战防御研究与发展方案的每一政府设施和非政府设施。", "表格A：第2(三)部分", "国家生物战防御研究与发展方案", "设 施", "请为按照表格A：第2(二)部分第7段宣布的每一设施填写一份表格。", "如果是共用的设施，只需提供与生物战防御研究与发展部分有关的资料。", "1. 设施的名称？", "2. 设施位于何处(包括地址和地理位置)？", "3. 实验室占地面积，按封闭级别分列：", "BL-2..............(平方米)", "BL-3..............(平方米)", "BL-4..............(平方米)", "实验室总占地面积....................(平方米)", "4. 每一设施的组织结构：", "一) 人员总数 ............................", "二) 人员按军职和文职分列：", "军职 ............................", "文职 ............................", "三) 人员按工作性质分列：", "科学家 ............................", "工程师 ............................", "技术员 ............................", "行政和后勤人员 ............................", "四) 科学家/工程人员学科一览表：", "五) 是否有合同人员在设施内工作？如果有，请说明大致人数：", "六) 列明设施从事的工作的资金来源，包括说明活动是否由国防部提供全部资金或部分资金？", "七) 下列方案领域的供资水平：", "研究 ............................", "发展 ............................", "测试和评估 ..............................", "八) 简述设施关于发表论文和报告的政策：", "九) 提供一份过去12个月内工作产生的公开发表的论文和报告的清单。", "(请填明作者、标题和全部参考说明。)", "5. 简述设施内进行的生物战防御工作，包括研究的微生物[7] 和/或毒素的类型以及生物气雾剂户外研究。", "3. 建立信任措施“B”：", "交换关于突发传染病和毒素引起的类似情况的资料", "第三次审查会议商定，缔约国应继续执行下列规定：", "交换有关突发传染病和毒素引起的类似情况的资料以及在类型、发展、发生地点或时间方面似乎不同寻常的一切情况的资料。在提供关于不同寻常情况的资料时，如果有可能，应提供最新获得的关于疾病类型、受影响的大致地理范围和病例数目的数据。", "方 式：", "第三次审查会议商定了下列定义：", "突发或流行是指在某一时间某一地点发生了病例数异常之多或出乎预料的某种疾病或与健康有关的事件。被视为异乎寻常的病例数将因疾病或事件及有关社区而异。", "此外还提及下列定义：", "传染病流行是指在某一时间某一地点发生了病例数异常之多或出乎预料的属于传染性或怀疑属于传染性的某种疾病。此种情况通常发展得很快，需要迅速作出反应(卫生组织内部文件CDS/Mtg/821)。", "某一社区或区域发生了某种疾病、与健康有关的具体情况或与健康有关的其它事件，而且病例明显超过正常预计。发生病例的社区或区域以及时间范围十分明确。显示发生流行病的的病例数因下列要素而异：病原体、有感染危险的人的人数和类别、过去发生过或未发生过此一疾病以及发生的时间和地点：因此，流行是相对于同一疾病在一年的同一季节、同一区域、特定人口中的通常发生率而言的。如果发现了一件在某一地区人口中长期未发生过的某种传染病的病例或如果某一地区从未见过的某种疾病首次侵入该地区，需立即报告，并需开展全面的实地调查；就此种疾病而言，如果发现有两个病例在时间和地点上有关联，就可构成足够证据，认为发生了流行病(J.M.Last所编A Dictionary of Epidemiology)”(流行病学词典)，牛津大学出版社，纽约，牛津，多伦多，1983年)。", "第三次审查会议商定：", "1. 建议缔约国参考上述定义确定“突发”的定义。", "2. 鉴于对何谓不同寻常并不存在通行标准，缔约国商定尽可能充分利用关于人类疾病和动植物疾病的现有国家报告制度以及世界卫生组织内的制度，对符合卫生组织1983年《实验室生物安全手册》分类办法中第二、第三和第四危险类标准的、生物引起的疾病按年度更新背景资料，而在各自的区域内发生此种疾病并不一定构成不同寻常的情况。[8]", "3. 会议认为下列情况下尤需交换关于似乎不同寻常的疾病突发的数据：", "疾病可能是由符合卫生组织1983年《实验室生物安全手册》分类办法中第三或第四危险类标准的生物引起时，", "4. 为了增强信任，不同寻常的传染病突发或类似情况察觉后应立即提出关于此种突发的初步报告，以后还应在年度报告中作补充说明。", "为便于缔约国采用标准程序，会议商定，在资料已知和/或适用的情况下，初步资料和年度资料的交换都应使用表格B(二)。", "5. 为改进和平细菌学(生物学)活动领域的国际合作并防止或减少发生暧昧不明、困惑猜疑的情况，鼓励各缔约国邀请其他缔约国的专家协助应对疾病的突发，并对收到的邀请作出积极的反应。", "表格B(一)", "关于应报传染病突发的背景资料", "每年的病例数目", "疾病 1988年 1989年 1990年 1991年 1992年", "表格B(二)", "关于似乎不同寻常的传染病突发和类似情况的资料", "1. 发现突发的时间 \n 2. 受影响的地点和大致地理范围 \n 3. 疾病/中毒类型 \n 4. 怀疑的病源/毒源 \n 5. 可能的病原体/致病物剂 \n 6. 系统的主要特点 \n 7. 有关的症状细节 \n -- 呼吸 \n -- 循环 \n -- 神经/行为 \n -- 肠道 \n -- 皮肤 \n -- 肾 \n -- 其他 \n 8. 不同寻常是指： \n -- 类型 \n -- 发展 \n -- 发生地点 \n -- 发生时间 \n -- 症状 \n -- 致病力特点 \n -- 抗药特点 \n -- 病原体难以断定 \n -- 存在不同寻常的传病媒介 \n -- 其他 \n 9. 主要病例的大致数目 \n 10. 全部病例的大致数目 \n 11. 死亡数 \n 12. 突发情况的发展 \n 13. 采取的措施", "4. 建立信任措施“C”：", "鼓励发表有关成果和促进知识的利用", "第三次审查会议商定，缔约国应继续执行下列规定：", "“鼓励在各缔约国可普遍获得的科学刊物上发表与公约直接有关的生物学研究成果，并促进将这一研究获得的知识用于准许的目的。”", "方 式", "第三次审查会议商定：", "1. 建议生物科学基础研究、特别是与公约直接有关的基础研究一般都应公开，应用研究在不损及国家利益和商业利益的前提下也应尽可能公开。", "2. 鼓励缔约国提供关于生物学研究成果发表政策的资料，其中特别说明须按项目A交换资料的研究中心和实验室的研究成果的发表政策以及项目B所指疾病突发情况研究成果的发表政策，并提供关于缔约国可普遍获得的有关科学刊物和其他有关科学出版物的资料。", "3. 第三次审查会议讨论了在安全处理适用本公约的生物材料方面进行合作和提供援助的问题。会议的结论是，其他国际论坛已在处理这一领域的工作，并表示支持旨在加强这种合作的努力。", "5. 建立信任措施“D”：", "积极促进联系", "第三次审查会议商定，缔约国应继续执行下列规定：", "”积极促进从事与公约直接有关的生物学研究的科学家、其他专家和设施之间的联系，包括在相互同意的基础上进行交换和互访，开展联合研究。”", "方 式", "第三次审查会议商定：", "鼓励缔约国尽可能提供资料，以积极促进科学家之间的专业联系、联合研究项目和其他活动，从而防止或减少发生暧昧不明、困惑猜疑的情况，并增进和平细菌学(生物学)活动领域的国际合作。应提供的资料如下：", "为便于各缔约国采用标准程序，第三次审查会议商定本项之下的资料交换应使用表格D。", "表 格 D", "积极促进联系", "1. 为交流而计划举行的国际会议、讨论会、研讨会和其他类似论坛", "对于每一活动，应提供下列资料：", "登记等事项的联络点 _____________________________________", "2. 关于其他机会的资料", "6. 建立信任措施“E”：", "宣布立法、规章和其他措施", "第三次审查会议商定，缔约国应执行下列规定：", "为了说明已采取哪些措施执行公约，缔约国应宣布是否订有立法、规章或其他措施：", "a. 据以禁止在其领土内或其管辖或控制下的任何地方发展、生产、储存、取得或保有公约第一条所指的微生物剂或其他生物剂或毒素、武器、设备和运载工具；", "b. 据以管制按照公约可导致人类、动物和植物发生疾病的微生物或毒素的出口或进口。", "缔约国应填写所附表格(表格E)，并应准备按联合国裁军事务部或某一缔约国的要求提供立法或规章的副本或其他措施的详细书面说明。缔约国还应按年度在所附表格中说明其立法、规章或其他措施是否有任何修改。", "表 格 E", "宣布立法、规章和其他措施", "涉及事项\t立 法\t规 章\t其他措施\t一年来有无修改\n(a)发展、生产、储存、取得或保有第一条所指微生物剂或其他生物剂或毒素、武器、设备和运载工具\t有/无\t有/无\t有/无\t有/无\n(b)微生物[10]和毒素的出口\t有/无\t有/无\t有/无\t有/无\n(c)微生物[11]和毒素的进口\t有/无\t有/无\t有/无\t有/无", "7. 建立信任措施“F”：", "宣布以往在进攻性和/或防御性生物学研究与发展方案中的活动", "为了提高透明度和公开性，缔约国应宣布自1946年1月1日以来是否开展过任何进攻性和/或防御性生物学研究与发展方案。", "如果开展过，缔约国应按表格F提供与此种方案有关的资料。", "表 格 F", "宣布以往在进攻性和/或防御性生物学研究与发展方案中的活动", "1. 公约对缔约国开始生效的日期", "2. 以往的进攻性生物学研究与发展方案：", "3. 以往的防御性生物学研究与发展方案：", "8. 建立信任措施“G”：", "宣布疫苗生产设施", "为了按第十条中商定的要求提高与公约有关的生物学研究与发展工作的透明度并扩大科学和技术知识，每一缔约国应宣布其领土内或其管辖或控制下的任何地方经各缔约国许可为人类防疫目的生产疫苗的所有政府设施和非政府设施。资料应填在所附表格G中。", "表 格 G", "宣布疫苗生产设施", "1. 设施名称：", "2. 地点(邮政地址)：", "3. 所针对疾病类型概述：", "Annex II", "[English only]", "LIST OF CONFIDENCE-BUILDING MEASURES REPORTS", "Year Covered Symbol Date Before 1991 BWC/CONF.III/2 20 May 1991 BWC/CONF.III/2/Add.1* 12 August 1991 \n\tBWC/CONF.III/2/Add.2BWC/CONF.III/2/Add.3\t26 September199126 September1991\n\tNOTE:The following reports were distributed, on hard copy only, directlyto BWC States Parties by the Department for Disarmament Affairs andnot through the United Nations official distribution channels. Theyare available only in the libraries of the Department for Disarmament Affairs in New York and Geneva. 1991 DDA/4-92/BWIII 30 April 1992 DDA/4-92/BWIII/Add.1 12 June 1992 DDA/4-92/BWIII/Add.2 12 August 1992 \n\tDDA/4-92/BWIII/Add.3DDA/4-92/BWIII/Add.4\t22 September19923 November 1992 1992 ODA/9-93/BWIII 15 May 1993 ODA/9-93/BWIII/Add.1 20 August 1993 \n\tODA/9-93/BWIII/Add.2\t15 December1993 1993 ODA/16-94/BWIII 15 May 1994 ODA/16-94/BWIII/Add.1 5 August 1994 \n ODA/16-94/BWIII/Add.2 10 April 1995 1994 CDA/14-95/BW-III 10 May 1995 CDA/14-95/BW-III/Add.1 Unknown \n\tCDA/14-95/BW-III/Add.2CDA/14-95/BW-III/Add.1\t12 September199520 February1996 1995 CDA/11-96/BW-III 22 May 1996 CDA/11-96/BW-III/Add.I 26 August 1996 \n CDA/11-96/BW-III/Add.II 21 October 1996 1996 CDA/BWC/1997/CBM 30 May 1997 \n CDA/BWC/1997/CBM/Add.1 Unknown 1997 DDA/BWC/1998/CBM Unknown \n DDA/BWC/1998/CBM/Add.1 Unknown 1998 DDA/BWC/1999/CBM Unknown DDA/BWC/1999/CBM/Add.1 Unknown DDA/BWC/1999/CBM/Add.2 Unknown \n DDA/BWC/1999/CBM/Add.3 Unknown 1999 DDA/BWC/2000/CBM Unknown \n DDA/BWC/2000/CBM/Add.1 Unknown 2000 DDA/BWC/2001/CBM Unknown DDA/BWC/2001/CBM/Add.1 Unknown DDA/BWC/2001/CBM/Add.2 Unknown \n DDA/BWC/2001/CBM/Add.3 Unknown 2001 DDA/BWC/2002/CBM 29 July 2002 DDA/BWC/2002/CBM/Add.1 18 October 2002 DDA/BWC/2002/CBM/Add.2 28 January 2003 \n DDA/BWC/2002/CBM/Add.3 24 June 2003 2002 DDA/BWC/2003/CBM 25 July 2003 DDA/BWC/2003/CBM/Add.1 9 October 2003 \n DDA/BWC/2003/CBM/Add.2 4 February 2004 2003 DDA/BWC/2004/CBM 18 June 2004 \n\tDDA/BWC/2004/CBM/Add.1DDA/BWC/2004/CBM/Add.2DDA/BWC/2004/CBM/Add.3\t23 September20043 June 200517 March 2006 2004 DDA/BWC/2005/CBM 30 June 2005 \n DDA/BWC/2005/CBM/Add.1 17 March 2006 \n 2005 DDA/BWC/2006/CBM To be announced", "Annex III", "[English only]", "Table Showing Participation in the Confidence-Building Measures", "State Party 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 Totals Year\n Afghanistan 0", "Albania 0", "Algeria 0", "Antigua and 0 Barbuda", "Argentina X X X X X X X X X X X X X X X X 16", "Armenia X X X X X X 6", "Australia X X X X X X X X X X X X X X X X 16", "Austria X X X X X X X X X X X X X X X X 16", "Azerbaijan 0", "Bahamas 0", "Bahrain 0", "Bangladesh X 1", "Barbados 0", "Belarus X X X X X X X X X X X X X 13", "Belgium X X X X X X X X X X X 11", "Belize X 1", "Benin 0", "Bhutan X 1", "Bolivia X 1", "Bosnia and X X 2 Herzegovina", "Botswana 0", "Brazil X X X X X X X X X X X X 12", "Brunei 0 Darussalam", "Bulgaria X X X X X X X X X X X X X X X X X X 18", "Burkina Faso 0", "Cambodia 0", "Canada X X X X X X X X X X X X X X X X X X X X 20", "Cape Verde 0", "Chile X X X X X X X X X X 10", "China X X X X X X X X X X X X X X X X X X 18", "Colombia X 1", "Congo (Republic 0 of the)", "Costa Rica X X 2", "Croatia X X X X X X X 7", "Cuba X X X X X X X X X X X X X X X 15", "Cyprus X X X X X X 6", "Czech Republic X X X X X X X X X X X X X X X X X X 18", "Democratic X 1 People's Republic of Korea", "Democratic 0 Republic of the Congo", "Denmark X X X X X X X X X X X X X 13", "Dominica 0", "Dominican 0 Republic", "Ecuador X X X X X 5", "El Salvador 0", "Equatorial 0 Guinea", "Estonia X X X X X X X X X X X X 12", "Ethiopia 0", "Fiji X X X X 4", "Finland X X X X X X X X X X X X X X X X X X X X 20", "France X X X X X X X X X X X X X X X X 16", "Gambia 0", "Georgia X X X X X X 6", "Germany X X X X X X X X X X X X X X X X X X X X 20", "Ghana 0", "Greece X X X X X X 6", "Grenada X 1", "Guatemala 0", "Guinea-Bissau 0", "Holy See 0", "Honduras 0", "Hungary X X X X X X X X X X X X X X X 15", "Iceland X X 2", "India X 1", "Indonesia 0", "Iran (Islamic X X X X 4 Republic of)", "Iraq X X X X 4", "Ireland X X X X X X X X X X 10", "Italy X X X X X X X X X X X X X X X X X 17", "Jamaica 0", "Japan X X X X X X X X X X X X X X X 15", "Jordan X X X 3", "Kenya 0", "Kuwait X 1", "Kyrgyzstan X 1", "Lao People's X 1 Democratic Republic", "Latvia X X X X 4", "Lebanon 0", "Lesotho 0", "Libyan Arab X X 2 Jamahiriya", "Liechtenstein X X X X X 5", "Lithuania X X X X X X X 7", "Luxembourg X X X X X X 6", "Malaysia X 1", "Maldives 0", "Mali X 1", "Malta X X X X X X X X X 9", "Mauritius X 1", "Mexico X X X X 4", "Monaco 0", "Mongolia X X X X X 5", "Morocco X X 2", "Netherlands X X X X X X X X X X X X X X X X X X X X 20", "New Zealand X X X X X X X X X X X X X X X X X 17", "Nicaragua X 1", "Niger 0", "Nigeria 0", "Norway X X X X X X X X X X X X X X X X X X X X 20", "Oman 0", "Pakistan 0", "Palau 0", "Panama X 1", "Papua New X 1 Guinea", "Paraguay X X 2", "Peru X X X 3", "Philippines X 1", "Poland X X X X X X X X X X X X X X 14", "Portugal X X X X X X 6", "Qatar X X X X X 5", "Republic of X X X X X X X X X X X X X X X 15 Korea", "Republic of 0 Moldova", "Romania X X X X X X X X X X X X X X 14", "Russian X X X X X X X X X X X X X X X X X X X X 20 Federation", "Rwanda 0", "Saint Kitts and 0 Nevis", "Saint Lucia X 1", "Saint Vincent 0 and the Grenadines", "San Marino X X X X X X 6", "Sao Tome and 0 Principe", "Saudi Arabia X X 2", "Senegal X 1", "Serbia and X X X X 4 Montenegro", "Seychelles X 1", "Sierra Leone 0", "Singapore 0", "Slovakia X X X X X X X X X X X X X X X X X X 18", "Slovenia X X X X X X X X X X X X 12", "Solomon Islands 0", "South Africa X X X X X X X X X X X 11", "Spain X X X X X X X X X X X X X X X X X X X X 20", "Sri Lanka X 1", "Sudan 0", "Suriname 0", "Swaziland 0", "Sweden X X X X X X X X X X X X X X X X X X 18", "Switzerland X X X X X X X X X X X X X X X X X X X 19", "Tajikistan 0", "Thailand X X 2", "The former X X 2 Yugoslav Republic of Macedonia", "Timor-Leste 0", "Togo X 1", "Tonga 0", "Tunisia X X X 3", "Turkey X X X X X X X X X X X X X X 14", "Turkmenistan X 1", "Uganda X 1", "Ukraine X X X X X X X X X X X X X 13", "United Kingdom X X X X X X X X X X X X X X X X X X X X 20 of Great Britain and Northern Ireland", "United States X X X X X X X X X X X X X X X X X X X X 20 of America", "Uruguay 0", "Uzbekistan X X X X X X X X 8", "Vanuatu 0", "Venezuela 0 (Bolivarian Republic of)", "Viet Nam 0", "Yemen 0", "Zimbabwe 0", "Totals 17 21 19 29 40 41 39 42 51 52 46 42 38 40 40 41 32 43 50 52", "Note: this table shows current States Parties as of 15 April 2006. States Parties which previously formed part of another state (for example, the Czech Republic and Slovakia, and the states which constituted the former Yugoslavia) are counted as having participated whenever the former state participated. This has been done on the grounds that the information submitted at the time presumably includes data on the territory that later became the new state. The figures for total submissions may therefore differ slightly from those in other reports.", "[1] 秘书处的说明，A/C.1/41/9。", "[2] 这个数目包括曾作为前国家的一部分参与过的现有各缔约国。例如，南斯拉夫作为一个整体参与过，曾作为南斯拉夫一部分的国家也算作参与过。", "[3] ^(∗) 转载自第三次审查会议的“最后宣言”的附件，BWC/CONF.III/23。", "[4] 与实验室结合的、属于固定式患者治疗单元的封闭单元应另加说明。", "[5] 对于参加国家生物战防御研究与发展方案的、有最高封闭性单元的设施，请填明设施名称并注意“根据表格A第2 (三)部分宣布”。", "[6] 根据1983年世界卫生组织《实验室生物安全手册》或同等标准。", "[7] ^(*) 包括病毒和朊粒。", "[8] ^(*) 应按表格B(一)提供此种资料。", "[9] ^(**) 此处的理解是，可包括利用遗传工程等分子生物学技术产生致病性的生物。", "[10] ^(∗) 按照公约可导致人类、动物和植物发生疾病的微生物。", "[11] ^(∗)" ]

[ "SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/INF.328 September 2006Original: ENGLISH", "Geneva, 20 November – 8 December 2006", "Item 10 of the provisional agenda", "Review of the operation of the", "Convention as provided for in its Article XII", "BACKGROUND INFORMATION DOCUMENT ON THE HISTORY AND OPERATION OF THE CONFIDENCE-BUILDING MEASURES", "Prepared by the Secretariat", "I. Introduction", "1. In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to compile a background information document on the history and operation of the confidence-building measures agreed at the Second Review Conference and revised at the Third Review Conference. The document was to include data in summary tabular form on the participation of States Parties in the measures since the last Review Conference. The Secretariat has prepared this document in accordance with that request.", "II. History of the CBMs", "2. States Parties agreed the concept and general content of the confidence-building measures (CBMs) during the Second Review Conference in 1986, introducing four CBMs. The Conference did not specify the modalities for submission, or the forms on which to submit, but established for this purpose an \"Ad Hoc Group Meeting of Scientific and Technical Experts from States Parties to Finalise the Modalities for the Exchange of Information and Data\", which was held in 1987. The Third Review Conference in 1991 re-examined the CBMs and agreed to modify and expand them. The Fourth Review Conference also examined the CBMs but did not make any changes.", "A. Second Review Conference (8 – 26 September 1986)", "3. The Second Review Conference (see BWC/CONF.II/13) \"mindful of the provisions of Article V and Article X of the Convention, and determined to strengthen its authority and to enhance confidence in the implementation of its provisions\", agreed that \"the States Parties are to implement, on the basis of mutual co-operation, the following measures, in order to prevent or reduce the occurrence of ambiguities, doubts and suspicions, and in order to improve international co-operation in the field of peaceful bacteriological (biological) activities\". The \"following measures\", which became known as the Confidence-Building Measures or CBMs, were:", "(i) CBM A – Exchange of data, including name, location, scope and general description of their activities, on research centres and laboratories that meet very high national or international safety standards established for handling, for permitted purposes, biological materials that pose a high individual and community risk or specialise in permitted biological activities directly related to the Convention;", "(ii) CBM B – Exchange of information on all outbreaks of infectious disease and similar occurrences caused by toxins that seem to deviate from the normal pattern as regards type, development, place, or time of occurrence. If possible, the information provided would include, as soon as it is available, data on the type of disease, approximate area affected, and number of cases.", "(iii) CBM C – Exchange of information on encouragement of publication of results of biological research directly related to the Convention, in scientific journals generally available to States Parties, as well as promotion of use for permitted purposes of knowledge gained in this research.", "(iv) CBM D – Exchange of information on active promotion of contacts between scientists engaged in biological research directly related to the Convention, including exchanges for joint research on a mutual agreed basis.", "4. The Second Review Conference did not go further than this outline of what information should be exchanged, but decided \"to hold an ad hoc meeting of scientific and technical experts from States Parties to finalise the modalities for the exchange of information and data by working out, inter alia, appropriate forms to be used by States Parties for the exchange of information agreed to in this Final Declaration, thus enabling States Parties to follow a standardised procedure\". This group was to meet in Geneva for the period 31 March-15 April 1987 and was to communicate the results of the work to the States Parties immediately thereafter.", "5. The Second Review Conference also established an interim mechanism to provide for exchanges of information prior to decisions on the modalities. The Conference urged States Parties to promptly apply these four CBMs and report the data to the United Nations Department for Disarmament Affairs (UNDDA), and requested UNDDA to make available the information received to all States Parties.", "B. Ad Hoc Group Meeting of Scientific and Technical Experts from States Parties to Finalise the Modalities for the Exchange of Information and Data (31 March – 15 April 1987)", "6. Representatives from 39 States Parties participated in this meeting, and an expert from the World Health Organization (WHO) was on hand to answer technical questions. Its report (BWC/CONF.II/EX/2) recorded a number of understandings and agreements detailing the modalities for the CBMs. These included agreements that:", "(i) All information submitted should be provided in one of the authentic languages of the Convention and be sent to the United Nations Department for Disarmament Affairs and be promptly forwarded, in the form received, to all States Parties;", "(ii) The information should also be made available to the World Health Organization;", "(iii) The first exchange of information and data should take place as soon as possible and be sent to the United Nations Department for Disarmament Affairs not later than 15 October 1987; and", "(iv) Thereafter information should be given on an annual basis, should be provided not later than 15 April, and should cover the previous calendar year.", "7. The meeting agreed on guidelines on what each measure covered and on the type of information to be provided for each: for example, what kind of research centres were to be included in CBM A, and what constituted a disease outbreak that \"deviated from the normal pattern\", and should thus be included in CBM B. The meeting produced standard forms for CBMs A, B and D (no form was produced for CBM C).", "8. There was also discussion of the financial implications of the CBM process. The report noted that while General Assembly resolution 41/58 A (1986) had requested the United Nations Secretary-General to \"render the necessary assistance and provide such services as may be required for the implementation of relevant parts of the Final Declaration\" of the Second Review Conference, the United Nations Secretariat had stated that \"such services and assistance would have no financial implications for the regular budget of the United Nations and that all related costs would be met by the States Parties to the Convention in accordance with the rules of procedure adopted by the Second Review Conference\"[1]. This left the situation rather unclear: the United Nations was not to pay for the operation of the CBMs from its regular budget, but neither did the BWC States Parties explicitly undertake to meet the costs. (See the section on Operation of the CBMs below for more information on the financial situation.)", "C. Third Review Conference (9 – 27 September 1991)", "9. In accordance with the decision of the Second Review Conference, the Third Review Conference considered the effectiveness of the CBMs. To this end, States Parties noted the importance of the process and recognised the exchange of information that took place between 1987 and 1991. The significance of the CBMs was further highlighted by including mention of them, for the first time, in the Solemn Declaration which opened the Final Declaration of that conference. States Parties solemnly declared:", "“Their determination to enhance the implementation and effectiveness of the Convention and to further strengthen its authority, including through the confidence-building measures.”", "All States Parties were urged to submit information to future rounds of information exchange. A specific call was made to States Parties which did not take part in the Third Review Conference to participate in the implementation of the agreed CBMs.", "10. The review of the CBMs resulted in a number of proposals for alterations, several of which reached consensus. The Final Declaration of the Third Review Conference (BWC/CONF.III/23) states:", "“With a view to promoting increased participation and strengthening further the exchange of information, the Conference agrees to reaffirm those measures established at the Second Review Conference with the following improvements: to add a declaration on \"Nothing to declare\" or \"Nothing new to declare\"; to amend and extend the exchange of data on research centres and laboratories; to amend the exchange of information on outbreaks of infectious diseases and similar occurrences caused by toxins; to amend the measure for the active promotion of contacts; and to add three new confidence-building measures entitled \"Declaration of legislation, regulations and other measures\"; \"Declaration of past activities in offensive and/or defensive biological research development programmes\"; and \"Declaration of vaccine production facilities\".”", "These amendments established the current set of CBMs, which include:", "(i) Declaration form on \"Nothing to declare\" or \"Nothing new to declare\";", "(ii) CBM A: Research centers, laboratories and biological defence research and development programmes:", "research and development programmes;", "(iii) CBM B: Exchange of information on outbreaks of infectious diseases and similar occurrences caused by toxins;", "(iv) CBM C: Encouragement of publication of results and promotion of use of knowledge;", "(v) CBM D: Active promotion of contacts;", "(vi) CBM E: Declaration of legislation, regulations and other measures;", "(vii) CBM F: Declaration of past activities in offensive and/or defensive biological research and development programmes;", "(viii) CBM G: Declaration of vaccine production facilities.", "11. The Third Review Conference updated the forms for use in submissions in line with these changes, and revised the guidelines on the information that should be provided (the guidelines were integrated into the forms). These forms, which have not changed since the Third Review Conference, are attached to this paper as Annex I.", "12. The Conference reconfirmed that submissions using the new forms should be sent to UNDDA no later than 15 April on an annual basis and should cover the previous calendar year.", "13. States Parties also noted that the new and the revised procedures would add further duties to, and make even greater demands on the time of, UNDDA. As a result, the United Nations Secretary-General was requested to allocate the necessary staff resources and other requirements based in UNDDA in Geneva to assist their effective implementation. The Secretary-General was requested to receive, compile, and make available to States Parties information related to the implementation of the Convention and of the decisions of the Third Review Conference. It was suggested that the UNDDA computer database system could facilitate this work.", "D. Fourth Review Conference (25 November – 6 December 1996)", "14. The commitment of States Parties to the CBM process was reiterated in the Final Declaration of the Fourth Review Conference (BWC/CONF.IV/9). This opened with States Parties solemnly declaring:", "“Their determination to enhance the implementation and effectiveness of the Convention and to further strengthen its authority, including through the confidence-building measures… agreed by the Second and Third Review Conferences”.", "In accordance with the decision of the Third Review Conference, the Fourth Review Conference reviewed the effectiveness of the CBMs. States Parties welcomed the exchange of information carried out under the CBMs. The continued importance of the CBMs was noted, as was their contribution to enhancing transparency and building confidence. Some scope for further improvement was, however, acknowledged. The Fourth Review Conference recognized that participation since the Third Review Conference had not been universal, and that not all responses had been prompt or complete. In this regard, States Parties recognized the technical difficulties experienced by some of their number with respect to preparing CBM responses. The Conference urged all States Parties to complete full and timely declarations in the future.", "15. The Conference also noted that the Ad Hoc Group established by the 1994 Special Conference was, as part of its work, considering the incorporation of existing and further enhanced confidence-building and transparency measures, as appropriate, into a regime to strengthen the Convention. It is possible that this continuing work of the Ad Hoc Group was the main reason the Fourth Review Conference did not make any changes to the CBMs.", "E. Fifth Review Conference (19 November – 7 December 2001 and 11 – 22 November 2002)", "16. Unlike earlier review conferences, the Fifth Review Conference did not adopt a Final Declaration. As a result, it took no decisions in relation to the CBMs.", "III. Operation of the CBMs", "17. The annual process of submitting, compiling and distributing the CBMs places operational requirements both on States Parties and on UNDDA, as the supporting institution.", "A. Undertakings by States Parties", "18. As noted above, every States Party to the Convention is to provide a CBM return each and every year, even if it is only to acknowledge that is has nothing to declare or nothing new to declare. Returns are to use the CBM forms (BWC/CONF.III/23, Annex to the Final Declaration, attached to this paper as Annex I). The blank forms are 19 pages long and include spaces for entering data. Additional pages can be attached if required. The forms begin with a cover declaration to allow States Parties to indicate if they have \"Nothing to Declare\" or \"Nothing New to Declare\" for each of the seven areas covered. Returns covering the previous calendar year are to be submitted to UNDDA by 15 April annually. Returns can be - and are - submitted in any of the official languages of the United Nations. There is currently no requirement to nominate a national contact point for dealing with the CBMs.", "B. Role of UNDDA", "19. As mandated by the decisions of the Review Conferences, UNDDA receives the CBM submissions from States Parties, compiles them \"in the form received\" (i.e. without translation, editing, formatting, or any other alteration) into a single document. This document, typically over 1,000 pages in length and containing a mixture of all six official languages, is then printed and distributed to the permanent missions of States Parties in New York and Geneva. Each permanent mission in each city receives one copy; around 350 copies are printed in total. The distribution generally takes place in September. Late submissions from States Parties are published in addendum documents, which are produced and distributed in the same way: on average, two addendum documents are published each year. Annex II (English only) contains a list of the CBM documents issued to date.", "20. The Third Review Conference implied that the CBMs would be submitted and prepared in Geneva, but because of the distribution of UNDDA staff resources at the time, the CBMs were first prepared in New York, and this arrangement has continued.", "21. Under the current mandate, UNDDA is not explicitly authorised to send reminders, to follow-up late or non-submission, or to provide assistance to help States Parties to complete and submit returns. In practice, the BWC Meetings Secretariat in UNDDA Geneva Branch has provided some ad hoc advice, and has also developed basic guidelines for completing the forms, available on its website: http://www.unog.ch/bwc.", "22. The States Parties mandated that the CBMs be distributed to States Parties and made available to the World Health Organization. There has been no explicit decision by the States Parties that the CBMs should not be made available to anyone else, and no statement as to whether the contents are confidential, private, or in the pubic domain. Some States Parties make their own CBM submissions freely available on the Internet, while some others refuse direct requests for public access. Despite the lack of direct guidance from States Parties on the question, UNDDA treats the CBMs as communications between governments, and does not transmit them to anyone other than States Parties and the WHO. Nevertheless, the CBM documents are available for perusal in the UNDDA library, and of course UNDDA has no control over what individual States Parties do with the CBM documents once they have been distributed.", "23. UNDDA carries out no analysis of the CBM returns, and due to variations in format and language of submission, compiles only the most basic statistics on participation. A tabular tally of returns to date is traditionally prepared as a background document for review conferences.", "24. As noted above, there has never been any explicit financial provision for supporting the CBM operation. The United Nations has made it clear that any costs would be met by BWC States Parties, and this has been acknowledged by the States Parties (see the Ad Hoc Expert Group report, BWC/CONF.II/EX/2). But the States Parties have never actually decided to pay such costs, and indeed the Final Declaration of the Third Review Conference seems to envisage that the necessary resources would be found within UNDDA. This is what in fact happens, and UNDDA has supported the full cost of CBM production and distribution from the outset. The arrangement is awkward, because there is no formally mandated UN budget line to support the activity.", "C. Participation", "25. The level of participation in the CBMs has remained relatively low, and the majority of States Parties do not participate regularly. While a total of 96 States Parties have participated at least once[2], in most years only 40-50 States Parties submit returns. Annex III (English only) shows data in summary tabular form on the participation of States Parties in the CBMs each year since the last Review Conference, and for each year since the measures were instituted in 1987.", "Annex I", "Agreed Forms for the Submission of the Confidence-Building Measures[3]", "At the Third Review Conference it was agreed that all States Parties present the following declaration:", "1. Declaration form on Nothing to Declare or Nothing New to Declare for use in the information exchange", "Measure Nothing to declare Nothing new to declare", "A, part 1", "A, part 2 (i)", "A, part 2 (ii)", "A, part 2 (iii)", "B (I)", "B (ii)", "C", "D", "E", "F", "G", "(Please mark the appropriate box(es) for each measure, with a tick.)", "Date: __________________________________________________________", "State Party to the Convention: ______________________________________", "2. CONFIDENCE-BUILDING MEASURE \"A\":", "Part 1: Exchange of data on research centres and laboratories", "At the Third Review Conference it was agreed that States Parties continue to implement the following:", "\"Exchange of data, including name, location, scope and general description of activities, on research centres and laboratories that meet very high national or international safety standards established for handling, for permitted purposes, biological materials that pose a high individual and community risk or specialize in permitted biological activities directly related to the Convention.\"", "Modalities", "The Third Review Conference agreed that data should be provided by States Parties on each facility, within their territory or under their jurisdiction or control anywhere, which has any maximum containment laboratories meeting those criteria for such maximum containment laboratories as specified in the 1983 WHO Laboratory Biosafety Manual such as those designated as biosafety level 4 (BL4) or P4 or equivalent standards.", "Form A, part 1", "Exchange of data on research centres and laboratories[4]", "1. Name(s) of facility[5] _______________________________________", "2. Responsible public or private _______________________________________", "organization or company _______________________________________", "3. Location and postal address _______________________________________", "4. Source(s) of financing of the reported activity, including indication if the activity is wholly or partly financed by the Ministry of Defence", "5. Number of maximum containment units[6] within the research centre and/or laboratory, with an indication of their respective size (m²)", "6. If no maximum containment unit, indicate highest level of protection", "7. Scope and general description of activities, including type(s) of micro-organisms and/or toxins as appropriate", "Part 2: Exchange of information on national biological defence research and development programmes", "At the Third Review Conference it was agreed that States Parties are to implement the following:", "In the interest of increasing the transparency of national research and development programmes on biological defence, the States Parties will declare whether or not they conduct such programmes. States Parties agreed to provide, annually, detailed information on their biological defence research and development programmes including summaries of the objectives and costs of effort performed by contractors and in other facilities. If no biological defence research and development programme is being conducted, a null report will be provided.", "States Parties will make declarations in accordance with the attached forms, which require the following information:", "(1) The objective and summary of the research and development activities under way indicating whether work is conducted in the following areas: prophylaxis, studies on pathogenicity and virulence, diagnostic techniques, aerobiology, detection, treatment, toxinology, physical protection, decontamination and other related research;", "(2) Whether contractor or other non-defence facilities are utilized and the total funding provided to that portion of the programme;", "(3) The organizational structure of the programme and its reporting relationships; and", "(4) The following information concerning the defence and other governmental facilities in which the biological defence research and development programme is concentrated;", "(a) location;", "(b) the floor areas (sqM) of the facilities including that dedicated to each of BL2, BL3 and BL4 level laboratories;", "(c) the total number of staff employed, including those contracted full time for more than six months;", "(d) numbers of staff reported in (c) by the following categories: civilian, military, scientists, technicians, engineers, support and administrative staff;", "(e) a list of the scientific disciplines of the scientific/engineering staff;", "(f) the source and funding levels in the following three areas: research, development, and test and evaluation; and", "(g) the policy regarding publication and a list of publicly-available papers and reports.", "Form A, part 2 (i)", "National biological defence research and development programme Declaration", "Is there a national programme to conduct biological defence research and development within the territory of the State Party, under its jurisdiction or control anywhere? Activities of such a programme would include prophylaxis, studies on pathogenicity and virulence, diagnostic techniques, aerobiology, detection, treatment, toxinology, physical protection, decontamination and other related research.", "Yes/No", "If the answer is Yes, complete Form A, part 2 (ii) which will provide a description of the programme.", "Form A, part 2 (ii)", "National biological defence research and development programme", "Description", "1. State the objectives and funding of the programme and summarize the principal research and development activities conducted in the programme. Areas to be addressed shall include: prophylaxis, studies on pathogenicity and virulence, diagnostic techniques, aerobiology, detection, treatment, toxinology, physical protection, decontamination and other related research.", "2. State the total funding for the programme and its source.", "3. Are aspects of this programme conducted under contract with industry, academic institutions, or in other non-defence facilities?", "Yes/No", "4. If yes, what proportion of the total funds for the programme is expended in these contracted or other facilities?", "5. Summarize the objectives and research areas of the programme performed by contractors and in other facilities with the funds identified under paragraph 4.", "6. Provide a diagram of the organizational structure of the programme and the reporting relationships (include individual facilities participating in the programme).", "7. Provide a declaration in accordance with Form A, part 2 (iii) for each facility, both governmental and non-governmental, which has a substantial proportion of its resources devoted to the national biological defence research and development programme, within the territory of the reporting State, or under its jurisdiction or control anywhere.", "Form A, part 2 (iii)", "National biological defence research and development programme", "Facilities", "Complete a form for each facility declared in accordance with paragraph 7 in Form A, part 2 (ii).", "In shared facilities, provide the following information for the biological defence research and development portion only.", "1. What is the name of the facility?", "2. Where is it located (include both address and geographical location)?", "3. Floor area of laboratory areas by containment level:", "BL2 __________________________ (sqM)", "BL3 __________________________ (sqM)", "BL4 __________________________ (sqM)", "Total laboratory floor area ____________________________ (sqM)", "4. The organizational structure of each facility.", "(i) Total number of personnel _____________________", "(ii) Division of personnel:", "Military _____________________", "Civilian _____________________", "(iii) Division of personnel by category:", "Scientists _____________________", "Engineers _____________________", "Technicians _____________________", "Administrative and support staff _____________________", "(iv) List the scientific disciplines", "represented in the scientific/", "engineering staff.", "(v) Are contractor staff working in", "the facility? If so, provide an", "approximate number.", "(vi) What is (are) the source(s) of", "funding for the work conducted", "in the facility, including", "indication if activity is", "wholly or partly financed by", "the Ministry of Defence?", "(vii) What are the funding levels", "for the following programme", "areas:", "Research ______________________", "Development ______________________", "Test and evaluation ______________________", "(viii) Briefly describe the publication", "policy of the facility:", "(ix) Provide a list of publicly-available", "papers and reports resulting", "from the work during the", "previous 12 months. (To include", "authors, titles and full", "references.)", "5. Briefly describe the biological defence work carried out at the facility, including type(s) of micro-organisms[7] and/or toxins studied, as well as outdoor studies of biological aerosols.", "3. CONFIDENCE-BUILDING MEASURE \"B\":", "Exchange of information on outbreaks of infectious diseases and similar occurrences caused by toxins", "At the Third Review Conference it was agreed that States Parties continue to implement the following:", "Exchange of information on outbreaks of infectious diseases and similar occurrences caused by toxins, and on all such events that seem to deviate from the normal pattern as regards type, development, place, or time of occurrence. The information provided on events that deviate from the norm will include, as soon as it is available, data on the type of disease, approximate area affected, and number of cases.", "Modalities", "The Third Review Conference agreed the following definition:", "An outbreak or epidemic is the occurrence of an unusually large or unexpected number of cases of an illness or health-related event in a given place at a given time. The number of cases considered as unusual will vary according to the illness or event and the community concerned.", "Furthermore, reference was made to the following definitions:", "An epidemic of infectious disease is defined as the occurrence of an unusually large or unexpected number of cases of a disease known or suspected to be of infectious origin, for a given place and time. It is usually a rapidly evolving situation, requiring a rapid response (WHO internal document CDS/Mtg/82.1).", "The occurrence in a community or region of cases of an illness, specific health-related behaviour, or other health-related events clearly in excess of normal expectancy. The community or region, and the time period in which the cases occur, are specified precisely. The number of cases indicating the presence of an epidemic will vary according to the agent, size and type of population exposed, previous experience or lack of exposure to the disease, and time and place of occurrence: epidemicity is thus relative to usual frequency of the disease in the same area, among the specified population, at the same season of the year. A single case of a communicable disease long absent from a population or first invasion by a disease not previously recognized in that area requires immediate reporting and full field investigation: two cases of such a disease associated in time and place may be sufficient evidence to be considered an epidemic. (J.M. Last, A Dictionary of Epidemiology, Oxford University Press, New York, Oxford, Toronto, 1983.)", "The Third Review Conference agreed on the following:", "1. In determining what constitutes an outbreak States Parties are recommended to take guidance from the above.", "2. Since no universal standards exist for what might constitute a deviation from the normal pattern, States Parties agreed to utilize fully existing national reporting systems on human diseases as well as animal and plant diseases, where possible, and systems within the WHO to provide annual update of background information on diseases caused by organisms which meet the criteria for risk groups II, III and IV according to the classification in the 1983 WHO Laboratory Biosafety Manual, the occurrence of which, in their respective areas, does not necessarily constitute a deviation from normal patterns.[8]", "3. Exchange of data on outbreaks that seem to deviate from the normal pattern is considered particularly important in the following cases:", "causative agent[9]^(∗) is difficult to diagnose,", "for risk groups III or IV, according to the classification in the 1983 WHO Laboratory Biosafety Manual,", "laboratories subject to exchange of data under item A,", "4. In order to enhance confidence, an initial report of an outbreak of an infectious disease or a similar occurrence that deviate from the normal pattern should be given promptly after cognizance of the outbreak and should be followed up by annual reports.", "To enable States Parties to follow a standardized procedure, the Conference has agreed that Form B (ii) should be used, to the extent information is known and/or applicable, for the exchange of initial as well as annual information.", "5. In order to improve international cooperation in the field of peaceful bacteriological (biological) activities and in order to prevent or reduce the occurrence of ambiguities, doubts and suspicions, States Parties are encouraged to invite experts from other States Parties to assist in the handling of an outbreak, and to respond favourably to such invitations.", "Form B (I)", "Background information on outbreaks of reportable infectious diseases", "Disease Number of cases per year", "1988 1989 1990 1991 1992", "Form B (ii)", "Information on outbreaks of infectious diseases and similar occurrences, that seem to deviate from the normal pattern", "1. Time of cognizance of the outbreak ......................................................", "2. Location and approximate area affected ......................................................", "3. Type of disease/intoxication ......................................................", "4. Suspected source of disease/", "intoxication ......................................................", "5. Possible causative agent(s) ......................................................", "6. Main characteristics of systems ......................................................", "7. Detailed symptoms, when applicable ......................................................", "......................................................", "8. Deviation(s) from the normal pattern as regards", "......................................................", "......................................................", "......................................................", "......................................................", "......................................................", "......................................................", "9. Approximate number of primary cases ......................................................", "10. Approximate number of total cases ......................................................", "11. Number of deaths ......................................................", "12. Development of the outbreak ......................................................", "13. Measures taken ......................................................", "4. CONFIDENCE-BUILDING MEASURE \"C\":", "Encouragement of publication of results and promotion of use of knowledge", "At the Third Review Conference it was agreed that States parties continue to implement the following:", "\"Encouragement of publication of results of biological research directly related to the Convention, in scientific journals generally available to States parties, as well as promotion of use for permitted purposes of knowledge gained in this research.\"", "Modalities", "The Third Review Conference agreed on the following:", "1. It is recommended that basic research in biosciences, and particularly that directly related to the Convention should generally be unclassified and that applied research to the extent possible, without infringing on national and commercial interests, should also be unclassified.", "2. States parties are encouraged to provide information on their policy as regards publication of results of biological research, indicating, inter alia, their policies as regards publication of results of research carried out in research centres and laboratories subject to exchange of information under item A and publication of research on outbreaks of diseases covered by item B, and to provide information on relevant scientific journals and other relevant scientific publications generally available to States parties.", "3. The Third Review Conference discussed the question of cooperation and assistance as regards the safe handling of biological material covered by the Convention. It concluded that other international forums were engaged in this field and expressed its support for efforts aimed at enhancing such cooperation.", "5. CONFIDENCE-BUILDING MEASURE \"D\"", "Active promotion of contacts", "At the Third Review Conference it was agreed that States parties continue to implement the following:", "\"Active promotion of contacts between scientists, other experts and facilities engaged in biological research directly related to the Convention, including exchanges and visits for joint research on a mutually agreed basis.\"", "Modalities", "The Third Review Conference agreed on the following:", "In order to actively promote professional contacts between scientists, joint research projects and other activities aimed at preventing or reducing the occurrence of ambiguities, doubts and suspicions and at improving international cooperation in the field of peaceful bacteriological (biological) activities, States parties are encouraged to provide information, to the extent possible:", "events dealing with biological research directly related to the Convention,", "other measures to promote contacts between scientists engaged in biological research directly related to the Convention.", "To enable States parties to follow a standardized procedure, the Third Review Conference has agreed that Form D should be used for exchange of information under this item.", "Form D", "Active promotion of contacts", "1. Planned international conferences, symposia, seminars, and other similar forums for exchange", "For each such event, the following information should be provided:", "......................................................", "......................................................", "......................................................", "......................................................", "......................................................", "......................................................", "information, registration, etc. ......................................................", "......................................................", "......................................................", "2. Information regarding other opportunities", "..........................................................................................................................................", "..........................................................................................................................................", "..........................................................................................................................................", "6. CONFIDENCE-BUILDING MEASURE \"E\"", "Declaration of legislation, regulations and other measures", "At the Third Review Conference the States parties agreed to implement the following:", "As an indication of the measures which they have taken to implement the Convention, States parties shall declare whether they have legislation, regulations or other measures:", "(a) To prohibit the development, production, stockpiling, acquisition or retention of microbial or other biological agents, or toxins, weapons, equipment and means of delivery, specified in Article I of the Convention, within their territory or anywhere under their jurisdiction or control;", "(b) In relation to the export or import of micro-organisms pathogenic to man, animals and plants or of toxins in accordance with the Convention;", "States parties shall complete the attached form (Form E) and shall be prepared to submit copies of the legislation or regulations, or written details of other measures on request to the United Nations Department for Disarmament Affairs or to an individual State party. On an annual basis States parties shall indicate, also on the attached form, whether or not there has been any amendment to their legislation, regulations or other measures.", "Form E", "Declaration of legislation, regulations and other measures", "Relating to Legislation Regulations Other Amended measures since last year", "(a) Development, production", "stockpiling, acquisition", "or retention of microbial", "or other biological agents,", "or toxins, weapons, equip-", "ment and means of delivery", "specified in Article I Yes/No Yes/No Yes/No Yes/No", "(b) Exports of micro-organisms[10] Yes/No Yes/No Yes/No Yes/No", "and toxins", "(c) Imports of micro-organisms[11] Yes/No Yes/No Yes/No Yes/No", "and toxins", "7. CONFIDENCE-BUILDING MEASURE \"F\":", "Declaration of past activities in offensive and/or defensive biological research and development programmes", "In the interest of increasing transparency and openness, States parties shall declare whether or not they conducted any offensive and/or defensive biological research and development programmes since 1 January 1946.", "If so, States parties shall provide information on such programmes, in accordance with Form F.", "Form F", "Declaration of past activities in offensive and/or defensive biological research and development programmes", "1. Date of entry into force of the Convention for the State party.", "2. Past offensive biological research and development programmes:", "whether work was performed concerning production, test and evaluation, weaponization, stockpiling of biological agents, the destruction programme of such agents and weapons, and other related research.", "3. Past defensive biological research and development programmes:", "whether or not work was conducted in the following areas: prophylaxis, studies on pathogenicity and virulence, diagnostic techniques, aerobiology, detection, treatment, toxinology, physical protection, decontamination, and other related research, with location if possible.", "8. CONFIDENCE-BUILDING MEASURE \"G\"", "Declaration of vaccine production facilities", "To further increase the transparency of biological research and development related to the Convention and to broaden scientific and technical knowledge as agreed in Article X, each State party will declare all facilities, both governmental and non-governmental, within its territory or under its jurisdiction or control anywhere, producing vaccines licensed by the State party for the protection of humans. Information shall be provided on Form G attached.", "Form G", "Declaration of vaccine production facilities", "1. Name of facility:", "2. Location (mailing address):", "3. General description of the types of diseases covered:", "Annex II", "[English only]", "LIST OF CONFIDENCE-BUILDING MEASURES REPORTS", "Year Covered Symbol Date Before 1991 BWC/CONF.III/2 20 May 1991 BWC/CONF.III/2/Add.1* 12 August 1991 \n\tBWC/CONF.III/2/Add.2BWC/CONF.III/2/Add.3\t26 September199126 September1991\n\tNOTE:The following reports were distributed, on hard copy only, directlyto BWC States Parties by the Department for Disarmament Affairs andnot through the United Nations official distribution channels. Theyare available only in the libraries of the Department for Disarmament Affairs in New York and Geneva. 1991 DDA/4-92/BWIII 30 April 1992 DDA/4-92/BWIII/Add.1 12 June 1992 DDA/4-92/BWIII/Add.2 12 August 1992 \n\tDDA/4-92/BWIII/Add.3DDA/4-92/BWIII/Add.4\t22 September19923 November 1992 1992 ODA/9-93/BWIII 15 May 1993 ODA/9-93/BWIII/Add.1 20 August 1993 \n\tODA/9-93/BWIII/Add.2\t15 December1993 1993 ODA/16-94/BWIII 15 May 1994 ODA/16-94/BWIII/Add.1 5 August 1994 \n ODA/16-94/BWIII/Add.2 10 April 1995 1994 CDA/14-95/BW-III 10 May 1995 CDA/14-95/BW-III/Add.1 Unknown \n\tCDA/14-95/BW-III/Add.2CDA/14-95/BW-III/Add.1\t12 September199520 February1996 1995 CDA/11-96/BW-III 22 May 1996 CDA/11-96/BW-III/Add.I 26 August 1996 \n CDA/11-96/BW-III/Add.II 21 October 1996 1996 CDA/BWC/1997/CBM 30 May 1997 \n CDA/BWC/1997/CBM/Add.1 Unknown 1997 DDA/BWC/1998/CBM Unknown \n DDA/BWC/1998/CBM/Add.1 Unknown 1998 DDA/BWC/1999/CBM Unknown DDA/BWC/1999/CBM/Add.1 Unknown DDA/BWC/1999/CBM/Add.2 Unknown \n DDA/BWC/1999/CBM/Add.3 Unknown 1999 DDA/BWC/2000/CBM Unknown \n DDA/BWC/2000/CBM/Add.1 Unknown 2000 DDA/BWC/2001/CBM Unknown DDA/BWC/2001/CBM/Add.1 Unknown DDA/BWC/2001/CBM/Add.2 Unknown \n DDA/BWC/2001/CBM/Add.3 Unknown 2001 DDA/BWC/2002/CBM 29 July 2002 DDA/BWC/2002/CBM/Add.1 18 October 2002 DDA/BWC/2002/CBM/Add.2 28 January 2003 \n DDA/BWC/2002/CBM/Add.3 24 June 2003 2002 DDA/BWC/2003/CBM 25 July 2003 DDA/BWC/2003/CBM/Add.1 9 October 2003 \n DDA/BWC/2003/CBM/Add.2 4 February 2004 2003 DDA/BWC/2004/CBM 18 June 2004 \n\tDDA/BWC/2004/CBM/Add.1DDA/BWC/2004/CBM/Add.2DDA/BWC/2004/CBM/Add.3\t23 September20043 June 200517 March 2006 2004 DDA/BWC/2005/CBM 30 June 2005 \n DDA/BWC/2005/CBM/Add.1 17 March 2006 \n 2005 DDA/BWC/2006/CBM To be announced", "Annex III", "[English only]", "Table Showing Participation in the Confidence-Building Measures", "State Party 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 Totals Year\n Afghanistan 0", "Albania 0", "Algeria 0", "Antigua and 0 Barbuda", "Argentina X X X X X X X X X X X X X X X X 16", "Armenia X X X X X X 6", "Australia X X X X X X X X X X X X X X X X 16", "Austria X X X X X X X X X X X X X X X X 16", "Azerbaijan 0", "Bahamas 0", "Bahrain 0", "Bangladesh X 1", "Barbados 0", "Belarus X X X X X X X X X X X X X 13", "Belgium X X X X X X X X X X X 11", "Belize X 1", "Benin 0", "Bhutan X 1", "Bolivia X 1", "Bosnia and X X 2 Herzegovina", "Botswana 0", "Brazil X X X X X X X X X X X X 12", "Brunei 0 Darussalam", "Bulgaria X X X X X X X X X X X X X X X X X X 18", "Burkina Faso 0", "Cambodia 0", "Canada X X X X X X X X X X X X X X X X X X X X 20", "Cape Verde 0", "Chile X X X X X X X X X X 10", "China X X X X X X X X X X X X X X X X X X 18", "Colombia X 1", "Congo (Republic 0 of the)", "Costa Rica X X 2", "Croatia X X X X X X X 7", "Cuba X X X X X X X X X X X X X X X 15", "Cyprus X X X X X X 6", "Czech Republic X X X X X X X X X X X X X X X X X X 18", "Democratic X 1 People's Republic of Korea", "Democratic 0 Republic of the Congo", "Denmark X X X X X X X X X X X X X 13", "Dominica 0", "Dominican 0 Republic", "Ecuador X X X X X 5", "El Salvador 0", "Equatorial 0 Guinea", "Estonia X X X X X X X X X X X X 12", "Ethiopia 0", "Fiji X X X X 4", "Finland X X X X X X X X X X X X X X X X X X X X 20", "France X X X X X X X X X X X X X X X X 16", "Gambia 0", "Georgia X X X X X X 6", "Germany X X X X X X X X X X X X X X X X X X X X 20", "Ghana 0", "Greece X X X X X X 6", "Grenada X 1", "Guatemala 0", "Guinea-Bissau 0", "Holy See 0", "Honduras 0", "Hungary X X X X X X X X X X X X X X X 15", "Iceland X X 2", "India X 1", "Indonesia 0", "Iran (Islamic X X X X 4 Republic of)", "Iraq X X X X 4", "Ireland X X X X X X X X X X 10", "Italy X X X X X X X X X X X X X X X X X 17", "Jamaica 0", "Japan X X X X X X X X X X X X X X X 15", "Jordan X X X 3", "Kenya 0", "Kuwait X 1", "Kyrgyzstan X 1", "Lao People's X 1 Democratic Republic", "Latvia X X X X 4", "Lebanon 0", "Lesotho 0", "Libyan Arab X X 2 Jamahiriya", "Liechtenstein X X X X X 5", "Lithuania X X X X X X X 7", "Luxembourg X X X X X X 6", "Malaysia X 1", "Maldives 0", "Mali X 1", "Malta X X X X X X X X X 9", "Mauritius X 1", "Mexico X X X X 4", "Monaco 0", "Mongolia X X X X X 5", "Morocco X X 2", "Netherlands X X X X X X X X X X X X X X X X X X X X 20", "New Zealand X X X X X X X X X X X X X X X X X 17", "Nicaragua X 1", "Niger 0", "Nigeria 0", "Norway X X X X X X X X X X X X X X X X X X X X 20", "Oman 0", "Pakistan 0", "Palau 0", "Panama X 1", "Papua New X 1 Guinea", "Paraguay X X 2", "Peru X X X 3", "Philippines X 1", "Poland X X X X X X X X X X X X X X 14", "Portugal X X X X X X 6", "Qatar X X X X X 5", "Republic of X X X X X X X X X X X X X X X 15 Korea", "Republic of 0 Moldova", "Romania X X X X X X X X X X X X X X 14", "Russian X X X X X X X X X X X X X X X X X X X X 20 Federation", "Rwanda 0", "Saint Kitts and 0 Nevis", "Saint Lucia X 1", "Saint Vincent 0 and the Grenadines", "San Marino X X X X X X 6", "Sao Tome and 0 Principe", "Saudi Arabia X X 2", "Senegal X 1", "Serbia and X X X X 4 Montenegro", "Seychelles X 1", "Sierra Leone 0", "Singapore 0", "Slovakia X X X X X X X X X X X X X X X X X X 18", "Slovenia X X X X X X X X X X X X 12", "Solomon Islands 0", "South Africa X X X X X X X X X X X 11", "Spain X X X X X X X X X X X X X X X X X X X X 20", "Sri Lanka X 1", "Sudan 0", "Suriname 0", "Swaziland 0", "Sweden X X X X X X X X X X X X X X X X X X 18", "Switzerland X X X X X X X X X X X X X X X X X X X 19", "Tajikistan 0", "Thailand X X 2", "The former X X 2 Yugoslav Republic of Macedonia", "Timor-Leste 0", "Togo X 1", "Tonga 0", "Tunisia X X X 3", "Turkey X X X X X X X X X X X X X X 14", "Turkmenistan X 1", "Uganda X 1", "Ukraine X X X X X X X X X X X X X 13", "United Kingdom X X X X X X X X X X X X X X X X X X X X 20 of Great Britain and Northern Ireland", "United States X X X X X X X X X X X X X X X X X X X X 20 of America", "Uruguay 0", "Uzbekistan X X X X X X X X 8", "Vanuatu 0", "Venezuela 0 (Bolivarian Republic of)", "Viet Nam 0", "Yemen 0", "Zimbabwe 0", "Totals 17 21 19 29 40 41 39 42 51 52 46 42 38 40 40 41 32 43 50 52", "Note: this table shows current States Parties as of 15 April 2006. States Parties which previously formed part of another state (for example, the Czech Republic and Slovakia, and the states which constituted the former Yugoslavia) are counted as having participated whenever the former state participated. This has been done on the grounds that the information submitted at the time presumably includes data on the territory that later became the new state. The figures for total submissions may therefore differ slightly from those in other reports.", "[1] Note from the Secretariat, A/C.1/41/9.", "[2] This figure includes those current States Parties which have participated as part of a former state. For example, the states which once constituted Yugoslavia are counted as having participated, since Yugoslavia as a whole participated.", "[3] ^(∗) From the Annex to the Final Declaration of the Third Review Conference, BWC/CONF.III/23.", "[4] The containment units which are fixed patient treatment modules, integrated with laboratories, should be identified separately.", "[5] For facilities with maximum containment units participating in the national biological defence research and development programme, please fill in name of facility and mark \"Declared in accordance with Form A, part 2 (iii)\".", "[6] In accordance with the 1983 WHO Laboratory Biosafety Manual, or equivalent.", "[7] ^(∗) Including viruses and prions.", "[8] ^(∗) This information should be provided in accordance with Form B (I).", "[9] ^(∗∗) It is understood that this may include organisms made pathogenic by molecular biology techniques, such as genetic engineering.", "[10] ^(∗) Micro-organisms pathogenic to man, animals and plants in accordance with the Convention.", "[11] ^(∗) Micro-organisms pathogenic to man, animals and plants in accordance with the Convention." ]

[ "Geneva, 20 November-8 December 2006", "Item 10 of the provisional agenda", "Review of the implementation of the Convention in accordance with Article 12", "Background information on the history and functioning of confidence-building measures", "Prepared by the Secretariat", "Introduction", "In paragraph 22 of its report (BWC/CONF.VI/PC/2), the Preparatory Committee for the Sixth Review Conference decided to request the Secretariat to prepare a background paper on the history and operation of confidence-building measures agreed upon at the Second Review Conference and modified by the Third Review Conference. The documents should include data on the participation of States parties in these measures since the last Review Conference, as set out in a brief table. The Secretariat has now prepared this document in accordance with that request.", "History of confidence-building measures", "At its second review held in 1986, the State party agreed on the concept and general content of confidence-building measures, with four confidence-building measures. The meeting did not specify the manner in which the submission was submitted or the form used, but decided to convene, for that purpose, a special meeting of scientific and technical experts of the State party to develop the means of exchange of information and information. The special session was held in 1987. The Third Review Conference, held in 1991, again considered confidence-building measures and agreed to amend and expand them. The fourth Review Conference also considered confidence-building measures without any modification.", "Second Review Conference (8-26 September 1986)", "The Second Review Conference (see BWC/CONF.II/13) “Consideration of the provisions of articles 5 and 10 of the Convention and resolves to strengthen the authority of the Convention and to raise confidence in the implementation of the provisions of the Convention”. It was agreed unanimously that “the State party should implement, on the basis of mutual cooperation, the following measures to prevent or reduce the occurrence of ambiguities, suspicions and suspicions and to promote international cooperation in the area of bacteriological (biological) peace activities”. Later referred to as “the following measures” for confidence-building measures:", "(1) Confidence-building measures “A”-elect intelligence to clarify the status of research centres and laboratories that meet the most hazardous national security standards or international security standards established for individuals and societies for purposes of acceptance, or specialized in research centres and laboratories that are authorized for biological activities directly related to the Convention, including their name, location, scope and activities.", "(2) confidence-building measures “B” - exchange of similar information on the types, development, location or time that appears to be different from all emergencies and toxins of extraordinary infectious diseases. Where possible, information should include updated information on the types of diseases, the range of affected geographical areas and the number of cases.", "(3) Confidence-building measures “C” - encourage the publication of biological research results directly related to the Convention in scientific journals accessible to States parties and to promote the use of the knowledge obtained for the purposes permitted.", "(4) Confidence-building measures “D” - actively promote contacts among scientists involved in biological studies directly related to the Convention, including through joint studies on the basis of mutual consent.", "The second Review Conference had made only the information to be exchanged, but decided that “a special meeting of scientific and technical experts of States parties would be held to develop information and intelligence exchanges, including the development of appropriate forms for States parties to exchange the information agreed in the Final Declaration”. The Special Meeting of the expert shall be held in Geneva from 31 March to 15 April 1987 and shall subsequently communicate the results of the work to the States Parties.", "The Second Review Conference also established an interim mechanism for the exchange of information by States parties prior to taking decisions on the exchange of information. The Meeting urged States parties to take these four confidence-building measures expeditiously and to transmit the agreed information to the United Nations Department for Disarmament Affairs at its meeting, and requested the United Nations Department for Disarmament Affairs to make the information available to all States parties.", "Special Meeting of States parties on the development of information and information exchange methods (31 March-15 April 1987)", "39 States parties were represented at the meeting, and a WHO expert was also represented to respond to technical issues. The report of the meeting (BWC/CONF.II/EX/2) contains a number of understandings and agreements, which provide detailed information exchange on confidence-building measures. The agreements reached include:", "(1) All information submitted shall be made available in one of the official languages of the Convention and shall be communicated to the United Nations Department for Disarmament Affairs, and shall be transmitted to all States parties accordingly;", "(2) The information should also be made available to the World Health Organization;", "(3) The first exchange of information and information should be conducted as soon as possible and should be sent to the United Nations Department for Disarmament Affairs by 15 October 1987;", "(4) Subsequently, annual information should be provided by 15 April, covering the previous calendar year.", "The Meeting agreed on guidelines on the coverage of each measure and the type of information to be provided: For example, the research centres should include in confidence-building measures “A”; what suddenly constitutes a “except unusual” disease and should include in confidence-building measures “B”. The meeting developed standard forms for confidence-building measures “A”, “B” and “D” (without forming “C” for confidence-building measures).", "The Meeting also discussed the financial implications of the confidence-building measures process. The report noted that, in its resolution 41/58A adopted by the General Assembly in 1986, the Secretary-General was requested to provide the necessary assistance and services for the implementation of the relevant parts of the Final Declaration at the Second Review Conference, but the United Nations Secretariat had indicated that “such services and assistance had no financial implications for the regular budget of the United Nations, and that States parties to the Convention would bear all costs relating to that matter in accordance with the rules of procedure adopted at the Second Review Conference”. This makes the situation unambiguous: the United Nations regular budget does not cover the operational costs of confidence-building measures, but the States parties to the Biological Weapons Convention do not expressly bear this cost. (Further information on cost issues is provided in the following section on the operation of confidence-building measures. (b)", "C. Third Review Conference (9-27 September 1991)", "In accordance with the decision of the Second Review Conference, the Third Review Conference considered the utility of confidence-building measures. In this regard, the State party notes the importance of this process and notes the exchange of information between 1987 and 1991. The Final Declaration of the Review Conference referred to confidence-building measures for the first time in its “ solemn declaration”, which further highlighted the importance of such measures. The State party solemnly declares that:", "“Responsibility to strengthen the implementation and effectiveness of the Convention and to further strengthen its authority, including through confidence-building measures”.", "The Meeting urged all States parties to provide information in the future exchange of information. The Meeting also called on States parties that had not participated in the Third Review Conference to participate in the implementation of the agreed confidence-building measures.", "In considering confidence-building measures, many amendments were made, some of which were agreed upon. The Final Declaration of the Third Review Conference (BWC/CONF.III/23) states:", "“In order to facilitate the participation of more States in the exchange of information and to further strengthen such exchanges, the Meeting agreed to reaffirm the measures developed at the Second Review Conference and to make the following improvements: an increase in the availability of announcements or new circumstances that could be announced; modification and expansion of the data exchange provisions on research centres and laboratories; modification of similar information exchange provisions on emerging infectious diseases and toxins; modification of measures for active promotion of linkages; and the addition of three new confidence-building measures, namely, the enactment of legislation, regulations and other measures, the declaration of activities in the past offensive and/or biological studies and the development programme for the production of vaccines.", "After the amendment, existing confidence-building measures include:", "(1) A declaration form on “no situation may be declared” or “news no case may be declared”;", "(2) Confidence-building measures “A”: research centres, laboratories and biowar defence research and development programmes: part 1: exchange of information on research centres and laboratories; part 2: exchange of information on national programmes for biowar defence research and development;", "(3) Confidence-building measures “B”: exchange of similar information on emerging infectious diseases and toxins;", "(4) Confidence-building measures “C”: encouraging the publication of results and the promotion of the use of knowledge;", "(5) Confidence-building measures “D”: actively promoting linkages;", "(6) Confidence-building measures “E”: announcement of legislation, regulations and other measures;", "(7) Confidence-building measures “F”: announcement of previous activities in offensive and/or defensive biological research and development programmes;", "(8) Confidence-building measures “G”: announcement of vaccine production facilities.", "The third Review Conference, in accordance with these amendments, updated the tables used for the submission of information and revised guidelines on what information should be provided (as reflected in the tables). Since the Third Review Conference, these tables have not been revised and are annexed to this document as annex I.", "The Meeting reiterated that the use of information submitted in the new tables should be sent to the United Nations Department for Disarmament Affairs by 15 April each year, covering the previous calendar year.", "The State party also notes that, as the State party agreed to implement new procedures and revised procedures, the United Nations Department for Disarmament Affairs will assume further responsibilities and that more time will be required for the Department for Disarmament Affairs in this regard. The Meeting therefore requested the Secretary-General of the United Nations to allocate the necessary staff and other conditions for the relevant units in Geneva to facilitate the effective implementation of those procedures. In this regard, the Secretary-General is requested to receive, compile and provide information on the implementation of the Convention and the decisions of the Third Review Conference. The State party suggests that the use of the computer database system of the Department for Disarmament Affairs could contribute to this work.", "Fourth Review Conference (25 November-6 December 1996)", "The Final Declaration of the Fourth Review Conference (BWC/CONF.IV/9) reaffirmed the State party's determination to promote the process of confidence-building measures. At the outset, the State party solemnly declares that:", "“Responsibility to strengthen the implementation and effectiveness of the Convention and to further strengthen its authority, including through confidence-building measures agreed at the Second and Third Review Conferences”.", "In accordance with the decision of the Third Review Conference, the Fourth Review Conference considered the utility of confidence-building measures. The State party welcomes the exchange of information under confidence-building measures. They noted that confidence-building measures remain important and contribute to transparency and confidence-building. However, it was also acknowledged that some aspects were to be further improved. The Fourth Review Conference recognized that, since the Third Review Conference, participation had not been widespread and was not timely or complete. In this regard, the State party recognizes that a number of States among them have encountered technical difficulties in preparing responses to confidence-building measures. The Meeting urged all States parties to make declarations in a comprehensive and timely manner.", "The Meeting also noted that the ad hoc group established at the 1994 special session was considering, as appropriate, the inclusion of existing and further improvements in confidence- and transparency measures in a system to strengthen the Convention. The Ad Hoc Group was continuing its work at that time, perhaps the main reason why the fourth Review Conference did not make any changes to confidence-building measures.", "E. Fifth Review Conference (19 November-7 December 2001 and 11-22 November 2002)", "Unlike previous Review Conferences, the Fifth Review Conference did not adopt a final declaration. Therefore, it has not taken any decision on confidence-building measures.", "Functioning of confidence-building measures", "Each year's work on the submission, compilation and distribution of information under confidence-building measures provides operational requirements for States parties and for the United Nations Department for Disarmament Affairs as a supporting body.", "Work undertaken by the State party", "As noted above, each State party to the Convention shall complete the form of confidence-building measures every year, even if it merely declares that “no situation may be declared” or “no new case may be declared”. These form of confidence-building measures (BWC/CONF.III/23, annex to the Final Declaration, attached as annex I to this document). There are 24 pages in the hard-clock table, with space reserved for the completion of the information. If needed, a new page could be attached. The tables can be closed by the State party for each of the seven areas covered by it to declare whether “no situation may be declared” or “no new case may be declared”. Each year, the information on the completion reports should be communicated to the United Nations Department for Disarmament Affairs by 15 April, covering the previous calendar year. The United Nations is available in one of the official languages, and the State party does so in practice. At present, no State party is requested to designate a national focal point to deal with the work related to confidence-building measures.", "Role of the United Nations Department for Disarmament Affairs", "As requested in the relevant decisions of the Review Conference, the Department for Disarmament Affairs accepted the information submitted by States parties under confidence-building measures, which was compiled in a single document “without translation, editorage, non-application, no change”. This document generally exceeds 1,000 pages, all six official languages are mixed and distributed to the Permanent Missions of States Parties to New York and Geneva. Each delegation from the two cities received a total of about 350 copies. It was generally distributed in September. The State party's late submission of information as an addendum document is issued in the same way as an average of two addenda issued annually. Annex II (English only) contains a list of confidence-building measures documents issued to date.", "The Final Declaration of the Third Review Conference implied that the submission and compilation of information on confidence-building measures would take place in Geneva, but that such information would be maintained in New York prior to the compilation of human resources at the time of the Department for Disarmament Affairs.", "In accordance with existing mandates, the Department for Disarmament Affairs has not been given a clear mandate to send reminders, follow-up or assistance to States parties in completing and submitting forms. Indeed, the secretariat of the Conference of the Parties to the Biological Weapons Convention under the Geneva Branch of the Department for Disarmament Affairs provided some advice on a temporary basis and developed basic guidance for the completion of the table - These guidelines are available on their website at http://www.unog.ch/bwc.", "The State party requests that information on confidence-building measures before it be distributed to all States parties and to the World Health Organization. The State party does not expressly stipulate that such information should not be made available to any other party or whether the content is confidential, private or public. Some States parties have placed their submissions on the Internet for free access to information on the recommended confidence-building measures, while others have denied requests for public access directly to them. Notwithstanding the State party's direct instructions on this issue, the Department for Disarmament Affairs will continue to consider this information as a communication between the Government, which is provided only to States parties and to the World Health Organization without any other aspect. However, the Library of the Department for Disarmament Affairs has a confidence-building measure paper for access. Of course, after the issuance of the confidence-building measures documents, individual States parties are treated with them and are not controlled by the Department for Disarmament Affairs.", "The Department for Disarmament Affairs does not conduct any analysis of the information on confidence-building measures completed, but only compiles the most basic statistical data on participation due to lack of uniformity in the format and the differences in the language used. Traditional practices are the preparation of a table on the situation at the time, one of the background documents for the Review Conference.", "As noted above, no specific provisions have been made on the financial implications of supporting the operation of confidence-building measures. The United Nations has indicated that any such costs should be borne by the States parties to the Biological Weapons Convention, which the State party has also recognized (see the report of the Special Meeting of Experts, BWC/CONF.II/EX/2). However, the State party has never actually decided to pay this cost. Indeed, the Final Declaration of the Third Review Conference appears to envisage the allocation of the necessary resources by the Department for Disarmament Affairs. It is true that the Department for Disarmament Affairs has, from the outset, sponsored all costs for the preparation and issuance of confidence-building measures documents. Such arrangements were problematic because the United Nations budget was not formally mandated to provide for the continuation of the activity.", "C. Participation", "The level of participation in confidence-building measures has been low and most States parties are not regularly involved. A total of 96 States parties participated in at least one [2], but only 40 to 50 States parties had completed their reports in most years. Annex III (English only) lists the participation of States parties for each year since the last Review Conference and every year since the establishment of confidence-building measures in 1987.", "Annex I", "Annex [3]", "The Third Review Conference agreed that all States parties should make the following declaration:", "The announcement form used in the exchange of information “no situation may be declared” or “no new case may be declared”", "Paragraph 2 (ii) (1992) A, part 2 (iii) Marc (1992) B (i) (1992)", "(It is requested to complete “class” in the corresponding box of each measure. (b)", "Date: _____________________________________________________________________________________________________________________________", "States parties to the Convention: _____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________", "Confidence-building measures “A”:", "Part 1: Exchange of data on research centres and laboratories", "The Third Review Conference agreed that States parties should continue to implement the following provisions:", "“Electronic data on research centres and laboratories that meet the requirements for the processing of highly hazardous biological materials for individuals and societies for the purposes of authorization, or specialized in research centres and laboratories for biological activities directly related to the Convention, including their name, location, scope and activities.", "Methodology", "The Third Review Conference agreed that States parties should provide data on each of the relevant facilities in their territories or under their jurisdiction or control, which refers to any facility at the highest level of closed laboratories, which are consistent with the standards set by the World Health Organization Laboratory Biosafety Manual of 1983 for such closed laboratories, such as the criteria or equivalent criteria for the classification of the fourth biosafety level (BL4) or P4.", "Table GA", "Part 1: Exchange of data on research centres and laboratories [4]", "List of facilities [5] ________________________________________________________________________________", "Public or private", "____________________", "Venue and postal addresses _____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________", "The source of funds for the activities reported, including information on whether the Ministry of Defence provides all funds or partial funding for activities.", "Number of the maximum closed units in the Research Centre and/or in the laboratory [6] indicating the size and size of the units (maximum)", "In the absence of a maximum closed module, the highest level of protection is indicated.", "Scope and overview of activities, including types of microbiological and/or toxins", "Part 2: Exchange of information on national programmes for biowar defence and development", "The Third Review Conference agreed that States parties should implement the following provisions:", "In order to enhance transparency in national programmes for biowar defence and development, the State party will declare whether such programmes are implemented. The State party agreed to provide detailed information on its national programme for biowar defence and development, including an overview of the purposes and costs of the work of the contractor and other facilities. If there is no biowar defence research and development programme, the report is submitted “no situation can be declared”.", "The State party will make the declaration in the accompanying table, which will require the following information:", "The objectives and profiles of ongoing research and development activities indicate whether work is carried out in the following areas: prevention, disease and vector studies, diagnostic technology studies, atmospheric biology studies, testing, treatment studies, toxicology studies, practical protection studies, removal of pollution studies and other relevant studies;", "Would use the contractor or other facilities that are not part of the defence sector and provide the total amount of funds for such parts of the programme;", "Organizational structure of the programme and its reporting relationship; and", "The following information relating to defence facilities and other government facilities as the main implementing agency of the Biowar Defence Research and Development Programme:", "(a) The location;", "(b) The area of the facility (cillary m2), including the area of the facility allocated to each BL-2, BL-3 and BL-4 laboratory;", "(c) Total number of employees, including dedicated staff for more than six months of the contract period;", "(d) Number of employees reported in subparagraph (c) above, by category of civilian, military, scientists, technical personnel, engineers, logistics and administrative personnel;", "(e) List of subjects of scientists/engineer personnel;", "(f) Funding and funding levels in the following three areas: research, development, and testing and assessment;", "(g) Policy on the publication of papers and reports, as well as the list of published papers and reports.", "Table A: Part 2 (i)", "Declaration of the National Programme for Biowar Defence and Development", "There are national programmes for biowar defence research and development in any place within the territory of the State party or under its jurisdiction or control. Activities of such programmes include prevention, disease and vector studies, diagnostic technical studies, atmospheric biology studies, testing studies, treatment studies, toxicology studies, practical protection studies, pollution elimination studies and other relevant studies.", "No", "If the response is “shall”, please complete table A: part 2 (ii) indicating the programme.", "Table A: Part 2 (ii)", "National Biowar defence Research and Development Programme", "Notes", "A description of the objectives and funding of the programme, outlining the main research and development activities undertaken in the programme. Areas covered should include prevention, disease and vector studies, diagnostic technology studies, atmospheric biology studies, testing studies, treatment studies, toxicology studies, practical protection studies, pollution elimination studies and other relevant studies.", "A description of the total funding and funding of the programme.", "Does all parts of the programme be referred to industry, academic institutions or other facilities not in the defence sector in a contractual manner?", "No.", "If the response is “and”, the proportion of the total funds provided for the programme is allocated to the above-mentioned contracting facilities or other facilities?", "An overview of the objectives and research areas of the programmes implemented by contractors and other facilities in accordance with paragraph 4.", "The organizational structure and reporting relationship of the programme is shown (including the facilities involved in the programme).", "Pursuant to table A: part 2 (iii) declares that a significant portion of the resources are earmarked for each government facility and non-governmental facility for the implementation of the national programme on biowar defence research and development, either within the territory of the reporting State or under its jurisdiction or control.", "Table A: part 2 (iii)", "National Biowar defence Research and Development Programme", "Establishment", "Please complete a table for each facility announced in paragraph 7 of table A: part 2 (ii).", "If there is a shared facility, only information relating to the biowar defence research and development components will be required.", "The name of the facility?", "Where facilities are located (including address and geographical location)?", "Laboratory area, by closed level:", "BL-2.", "BL-3.", "BL-4.", "Total area of laboratory areas.", "Organizational structure of each facility:", "Total staff", "(ii) Personnel by military service and by civilian:", "Military functions", "Civilians", "(iii) Personnel by nature:", "Scientists", "Engineers", "Technical", "Administration and logistics personnel", "(iv) List of subjects of scientists/engineer personnel:", "(v) Is there any contractor working in the facility? If so, please indicate the number of persons:", "(vi) A source of funding for the work of the facility, including whether the activities are provided by the Ministry of Defence for all funds or partial funding?", "Funding levels in the following programme areas:", "Research", "Development", "Testing and assessment", "(viii) Policy on the publication of papers and reports by the concise facilities:", "(ix) To provide a list of publicly published papers and reports generated during the past 12 months.", "(c) To request the authors, titles and all references. (b)", "Biowar defences carried out in the light facility, including studies of the types of microbiological [7] and/or toxins, as well as the studies of biosoilers.", "Confidence-building measures “B”:", "Exchange of information on similar information on emerging infectious diseases and toxins", "The Third Review Conference agreed that States parties should continue to implement the following provisions:", "Exchange of information on similar information arising from sudden communicable diseases and toxins, as well as any information that appears unusual in terms of types, development, location or time. In providing information on the exceptional circumstances, data on the types of disease, the extent of the affected geographical scope and the number of cases should be provided if possible.", "Methodology:", "The third Review Conference agreed on the following definitions:", "The sudden or endemic refers to a number of unpredictable diseases or health-related events in a given location. The number of cases considered unusual will vary depending on illness or incident and related communities.", "Reference was also made to the following definitions:", "Epidemiological epidemics refer to a disease where the number of cases has occurred in a given location or is unpredictable. This situation is usually developed soon and needs to be swiftly responsive (CDS/Mtg/821 within WHO).", "Some diseases, specific health-related circumstances or other health-related events have occurred in a community or region, and cases are clearly more likely than normal. Communities or regions where cases occur are very clear. The number of cases showing epidemics varies according to the following factors: the number and category of persons affected by the disease, the number and type of persons exposed to the risk of infection, the illness that had occurred or had not occurred in the past, and the time and place that occurred: Thus, the epidemic is in the same season, the same region and the general incidence of the specific population. If a case of a communicable disease that has not occurred in a given region for a long period of time or if a disease has never been seen in a given area has been intrused for the first time in the area, immediate reports are required and comprehensive field investigations are required; in the case of such illness, if two cases are found to be linked at the time and place, there is sufficient evidence that epidemics (J.M. Lasted A Dictionary of Epidemiology) (Apidemiology), Oxford University Press, Oxford University, New York, Oxford, Oxford, New York, Oxford.", "The Third Review Conference agreed that:", "The Committee recommends that the State party, taking into account the above definition, define the definition of “introduction”.", "In the light of the unusual and non-existent criteria for access, the State party agreed to make the fullest possible use of existing national reporting systems on human diseases and flora and fauna diseases and the system within the World Health Organization, in order to meet the criteria for the second, third and fourth hazardous categories of the WHO Laboratory Biosafety Manual of 1983, and the annual updating of background information on biological-induced diseases, which do not necessarily constitute exceptional circumstances in their respective regions. [8]", "The Meeting considered that, in particular, there was a need to exchange data on the occurrence of diseases that appeared to be unusual:", "Diseases may be caused by the biological nature of the criteria for third or fourth hazards in line with the WHO 1983 Manual on Laboratory Biosafety,", "In order to enhance trust, a preliminary report on such a sudden or similar situation should be submitted immediately after the detection of the exceptional epidemic, which should be supplemented in the annual report.", "In order to facilitate the adoption of standard procedures by States parties, the Meeting agreed that the exchange of initial and annual information should be used in the context of information known and/or applicable.", "In order to improve international cooperation in the area of peaceful bacteriological (biological) activities and to prevent or reduce situations of ambiguity, confusion, States parties are encouraged to invite experts from other States parties to assist in responding to emergencies and to respond positively to the invitation received.", "Table B (i)", "Background information on reporting emergencies", "Number of cases per year", "Disease 1988 1989", "Table B (ii)", "Information on emerging emergencies and similar information that appear to be unusually communicable diseases", "The main characteristics of the system for the detection of sudden periods of time.", "Confidence-building measures “C”:", "Encourage the publication of results and the promotion of the use of knowledge", "The Third Review Conference agreed that States parties should continue to implement the following provisions:", "“Encourage the publication of the results of biological studies directly related to the Convention in scientific journals accessible to States parties and promote the use of the knowledge obtained for the purposes permitted.”", "Methodology", "The Third Review Conference agreed that:", "It is generally appropriate to recommend that biotechnical studies, in particular those directly related to the Convention, be open and that the application of studies should be made public as possible without prejudice to national interests and commercial interests.", "The State party is encouraged to provide information on the publication of policies for the publication of the results of the biology studies, including, inter alia, the publication policy on the publication of the research results of the research centres and laboratories that are required to exchange information under item A, as well as the publication of the results of the studies on emerging diseases referred to in item B, and to provide information on scientific publications and other relevant scientific publications widely available to States parties.", "The Third Review Conference discussed the issue of cooperation and assistance in the safe handling of biological material applicable to the Convention. The Meeting concluded that other international forums had already been dealing with that area and expressed support for efforts aimed at strengthening such cooperation.", "Confidence-building measures “D”:", "Positive promotion of linkages", "The Third Review Conference agreed that States parties should continue to implement the following provisions:", "” To actively promote linkages between scientists, other experts and facilities engaged in biological studies directly related to the Convention, including through exchanges and mutual visits based on mutual consent and joint studies.”", "Methodology", "The Third Review Conference agreed that:", "The State party is encouraged to provide, to the extent possible, information to actively promote professional linkages among scientists, joint research projects and other activities, thereby preventing or reducing situations of ambiguity, confusion and international cooperation in the field of peaceful bacteriological (biological) activities. Information should be provided as follows:", "To facilitate the application of standard procedures by States parties, the third Review Conference agreed that the information exchange under this subparagraph should be used in table D.", "Table GD", "Positive promotion of linkages", "International conferences, seminars, seminars and other similar forums planned for communication", "For each activity, the following information shall be provided:", "Contact points on matters such as registration ____________________", "Information on other opportunities", "Confidence-building measures “E”:", "Declare legislation, regulations and other measures", "The Third Review Conference agreed that States parties should implement the following provisions:", "In order to clarify what measures have been taken to implement the Convention, States parties should declare whether there are legislative, regulatory or other measures:", "a. To prohibit any local development, production, storage, acquisition or maintenance of microbiological or other biological agents or toxins, weapons, equipment and means of delivery in their territories or under their jurisdiction or control;", "b. Control of the export or import of micro-organisms or toxins that may result in diseases of human, animal and plant.", "The State party should complete the attached table (Table E) and prepare a detailed written statement of legislative or other measures requested by the United Nations Department for Disarmament Affairs or a State party. The State party should also indicate whether its legislation, regulations or other measures have any changes in the form annexed to the year.", "Table GE", "Declare legislation, regulations and other measures", "(a) Development, production, storage, acquisition or maintenance of microbiological or other biological agents or toxins, weapons, equipment and delivery tools, as specified in article I, have/or no/or (b) micro-organism [10] and toxins for a period of one year.", "Confidence-building measures “F”:", "announcement of previous activities in the programme of offensive and/or defensive biology research and development", "In order to enhance transparency and openness, States parties should declare whether any offensive and/or defensive biological studies and development programmes have been carried out since 1 January 1946.", "If carried out, States parties should provide information relevant to such programmes in table F.", "Table GF", "announcement of previous activities in the programme of offensive and/or defensive biology research and development", "Date of entry into force of the Convention for States parties", "Previous programmes on offensive biology and development:", "Previous programmes on defence biological studies and development:", "Confidence-building measures “G”:", "announcement of vaccine production facilities", "In order to increase transparency in biological research and development work related to the Convention and to expand scientific and technical knowledge, as agreed in Article 10, each State Party shall declare all governmental facilities and non-governmental facilities that have produced vaccines for the purposes of human protection, either within its territory or under its jurisdiction or control. The information should be completed in the attached table G.", "Table G", "announcement of vaccine production facilities", "List of facilities:", "Location (oral address):", "Overview of the types of disease:", "Annex II", "[English only]", "LIST CONFIDENCE-BUILDING MEASURESPERS", "NOTE: The following reports were distributed on hard copy, directly available to States parties to the BWC by the Department for Disarmament Affairs andnot through the United Nations official distribution of goods only in the Turks and Caicos Islands/CONF.III/2/Add.326 September 1991: NOTE: The following reports were circulated for hard copy, 15 August 1992/B/Add.1 1993/16-94/BWIII 2005/16-94/BWIII/Add.1 5 August 2005/16-94/BWIII/Add.2 10 April 1995 CD/14-95/BW-III10 May 1995 CDA/14-95/BW-III/Add.1", "Annex III", "[English only]", "Table Showing Participation in the confidence-building measures", "State Party 87 88 89 90 91 92 93 95 97 98 99 00 01 02 03 04 05 06 Totals Year Afghanistan 00", "Albania", "07", "Introduction", "Argentina", "X X XX 6", "X X X X X X X X X X X X X X X X X X X XX 16", "X X X X X X X X X X X X X X X X X X XX 16", "Azerbaijan", "Contents", "Bahrain", "Bangladesh X", "Addendum", "X X X X X X X X X X X X X X X XX 13", "Introduction", "Belize X1", "Benin", "Bhutan X1", "X", "Bosnia and Herzegovina", "Bangladesh", "X X X X X X X X X X X X X XX 12", "Bangladesh", "X X X X X X X X X X X X X X X X X X X XX XXXXXXXXXXXX", "Burkina Faso 0", "Cambodia", "Canada X X X X X X X X X X X X X X X X XX XXXXXXXXXXXXXXX21 20", "Cape Verde", "Chile X X X X X XX X", "X X X X X X X X X X X X X X X X X X XX XX XXXX", "Colombia", "Congo", "Costa Rica X2", "X X XXX 7", "X X X X X X X X X X X X X X X X XX XXXX", "X X XX 6", "X X X X X X X X X X X X X X X X X X X X X X X X X X X XXX 18", "Democratic X1 People's Republic of Korea", "Democratic Republic of the Congo", "X X X X X X X X X X X X X X XX XX 13", "07", "Dominican Republic", "X X X XX 5", "El Salvador", "Equatorial Guinea", "X X X X X X X X X X XX 12", "Ethiopia", "XX 4", "X X X X X X X X X X X X X X X X X X XXXXXXXXXXXXXXX 20", "France X X X X X X X X X X X X X X X X X X X XX 16", "Addendum", "Introduction", "X X X X X X X X X X X X X X X X XXXXXXXXXXXXXXX 20", "Ghana", "X X X X XX 6", "Annex X", "Guatemala", "Guinea-Bissau 07", "Holy See", "India", "X X X X X X X X X X X X X X XX XXXXXXXX", "Annex X 2", "India", "Indonesia", "Iran (Islamic XX4 Republic of)", "Iraq XX 4", "X X X X X X XX X", "X X X X X X X X X X X X X X X X X X X X X X X XX 17", "Jamaica", "Japan X X X X X X X X X X X X X X X X XX XXX", "Jordan XX3", "Kenya", "Kuwait", "Annex X", "Lao People's X1 Democratic Republic", "XX 4", "Chad", "Contents", "Libyan Arab X X2", "Liechtenstein X X XX 5", "X X X X X XX 7", "Introduction", "Malaysia", "Maldives", "Mali X", "X X X X X X X XX 9", "Mauritius X", "Mexico XX 4", "Monaco", "X X XX 5", "Morocco X2", "X X X X X X X X X X X X X X X X X X X XX XXXXXXXXXX 20", "Introduction", "Nicaragua", "Philippines", "Nigeria", "X X X X X X X X X X X X X X X X X X XX XXXXXXXXXXX 20", "Oman", "Pakistan", "Contents", "Panama X", "New X1", "Paraguay X2", "Peru X XX 3", "Philippines", "X X X X X X X X X X X X X X X X XX 14", "XX 6", "X XX 5", "X X X X X X X X X X X X XXXXXXXZX Korea", "Republic of Moldova", "X X X X X X X X X X X X X X X X XX 14", "X X X X X X X X X X X X X X X X X X X XX XXXXXXXXXXXXX20", "Rwanda", "Saint Kitts and Nevis", "Saint Lucia X1", "Saint Vincent 0 and the Grenadines", "San Marino X X XX 6", "Sao Tome and Principe", "Saudi Arabia", "Senegal X", "Serbia and X XX 4 Montenegro", "X1", "Sierra Leone", "Singapore", "X X X X X X X X X X X X X X X X X X XX XXX XXX", "X X X X X X X X X X XX 12", "Solomon Islands", "South Africa X X X X X X X X X X X X XXX 11", "X X X X X X X X X X X X X X X X X X XX XXXXXXXXXXX 20", "Sri Lanka X1", "Sudan", "Contents", "Switzerland", "X X X X X X X X X X X X X X X X X X X XX XX XX XXXXX 18", "X X X X X X X X X X X X X X X X X X X X X X X X X X XY 19", "Annex", "Thailand", "former X2 Yugoslav Republic of Macedonia", "Timor-Leste 1,0", "Togo", "Addendum", "Introduction", "X X X X X X X X X X X X X X X X XX 14", "Annex X", "Uganda X", "X X X X X X X X X X X X X X XX 13", "United Kingdom X X X X X X X X X X X X X X X X X X X X X X X X X XXXX 20, Great Britain and Northern Ireland", "United States X X X X X X X X X X X X X X X X X X X X X X X X XXXXXXXXXXXXX20", "Uruguay", "X X X X X X X X X", "Vanuatu", "Venezuela 0 (Bolivarian Republic of)", "Viet Nam", "Yemen", "Zimbabwe", "Contents", "Note: This table shows the current States Parties as of 15 April 2006. States parties which have previously formed part of another State (for example, the Czech Republic and Slovakia, and the States which have registered the former Yugoslavia) are counted as representatives of the former State. This has been done on the grounds that the information submitted at the time of restoring a sufficient data on the territory, which later became the new state. The figures for total submissions may be made from those other reports.", "Note by the Secretariat, A/C.1/41/9.", "[2] This number includes existing States parties that have participated as part of the former State. For example, Yugoslavia has participated as a whole and has been involved as a part of Yugoslavia.", "[3] AD(∗) reproduced the annex to the Final Declaration of the Third Review Conference, BWC/CONF.III/23.", "[4] The closed module, in conjunction with the laboratory, which is a fixed-term patient treatment module, should be added.", "[5] For facilities participating in the National Programme for Biowar defence and development, with the highest closed units, please refer to the name of the facility and to the designation of “in accordance with Part 2 (iii) of table A”.", "[6] In accordance with the World Health Organization Laboratory Biosafety Manual 1983 or the equivalent criteria.", "[7] AD(*) includes viruses and particles.", "[8] AD(*) shall provide such information in tabular B (i).", "[9] The understanding of AD** is that the biological technologies of ethroids, such as the use of genetic engineering, can lead to disease-specific biotechnologies.", "[10] AD(∗), in accordance with the Convention, may lead to micro-organisms of disease among human, animal and plant.", "[11] AD(∗" ]

[ "附属履行机构", "第二十五届会议", "2006年11月6日至14日，内罗毕", "临时议程项目14(d)", "行政、财务和体制事项", "在《京都议定书》之下所设各机构", "任职的个人的特权和豁免", "在《京都议定书》之下所设各机构 任职的个人的特权和豁免", "秘书处的说明 [1]", "概 要 根据附属履行机构第二十四届会议的一项要求，秘书处编写了本说明，其中分析了两个问题： (a) 获得争取参加《京都议定书》第六、十二和十七条确定的机制的私有和国有实体对下述要求的书面同意，可能带来的影响和所涉资源问题：针对在《京都议定书》之下设立的机构或其成员的任何申诉、争议或要求均须按照缔约方会议暨《京都议定书》缔约方会议的决定并在秘书处总部提出； (b) 向所设机构中面临有关其正式职能和执行秘书在维护这种要求方面的作用的争议、申诉或要求的成员提供协助，可能给秘书处带来的影响，包括所涉资金问题。 根据这一分析，请附属履行机构酌情考虑和向缔约方会议暨《京都议定 \n 书》缔约方会议提出一项决定草案。", "目 录", "段 次 页 次", "一、导 言....................... 1 - 4 3", "A. 任 务..................... 1 3", "B. 说明的范围.................... 2 - 3 3", "C. 附属履行机构可能采取的行动...................... 4 4", "二、背 景..................................... 5 - 14 4", "A. 概 况.................. 5 - 6 4", "B. 私有和公有法律实体参加《京都议定书》", "之下的机制............................ 7 - 11 5", "C. 可能发生的针对所设机构任职人员的争议、", "申诉或要求的性质.............................. 12 - 14 6", "三、私有或公有法律实体对下述要求的正式同意或声明：在秘书处总部按照缔约方会议暨《京都议定书》缔约方会议的决定提出要求 15 - 34 7", "A. 宗旨和要素..................................... 15 - 22 7", "B. 发表声明在国际上的影响........................ 23 - 26 9", "C. 发表声明在国家内的影响............................. 27 - 31 10", "D. 对缔约方会议暨《京都议定书》缔约方会议", "现有决定的影响............................. 32 - 33 11", "E. 给秘书处带来的源问题............................... 34 12", "四、向面临争议、申诉和要求的所设机构任职人员", "提供协助............................................ 35 - 71 12", "A. 执行秘书的作用........................ 36 - 44 12", "B. 解决争议的安排................. 45 - 59 14", "C. 所涉资源问题................... 60 - 71 17", "五、结 论........... 72 - 75 20", "一、导　言", "A. 任 务", "1. 附属履行机构在其第二十四届会议上请执行秘书编写一个说明，对在《京都议定书》下所设机构和专家审评小组中任职人员的特权和豁免所涉及的一些问题进行分析，以供附属履行机构第二十五届会议审议：", "(a) 获得争取参加《东京议定书》第六、十二和十七条确定的机制的私有和国有实体对下述要求的书面同意，可能给国际上和各国带来的问题，包括所涉实际和法律问题及资金问题：针对在《京都议定书》下所设机构或在所设机构和专家审评小组任职人员的任何申诉、争议或要求均须按照缔约方会议暨《东京议定书》缔约方会议的决定并在秘书处总部提出；", "(b) 应请求向所设机构或专家审评小组中面临有关其正式职能的争议、申诉或要求的人员提供协助会给秘书处带来的法律和实际问题，以及在这种情况下执行秘书为和有关国家联系以进一步讨论问题可做出的选择。", "B. 说明的范围", "2. 本说明讨论的是与在所设机构中任职人员的特权和豁免有关的问题，包括：", "(a) 所涉机构和专家审评小组的活动对私有和公有实体的影响，以及可能出现的针对在所设机构中任职人员的争议、申诉和要求。", "(b) 参加《议定书》之下机制的私有和公有实体关于在秘书处总部提出争议、申诉和要求的正式同意或声明的宗旨和要素，包括这种声明对国际和国家的影响。", "(c) 在处理争议、申诉和要求方面，执行秘书可向在所涉机构中任职人员提供协助的种类；解决争议的可能安排；提供这种协助可能涉及的资金问题。", "3. 本说明应结合下列文件阅读：", "(a) 秘书处编写的说明，其中概述了与在所涉机构任职人员的特权和豁免有关的问题，并列出了缔约方会议暨《议定书》缔约方会议可考虑的各种选择 (FCCC/KP/CMP/2005/6)；", "(b) 秘书处与联合国秘书长就在所涉机构任职人员的特权和豁免进行协商情况的报告 (FCCC/SBI/2006和 FCCC/SBI/2006/20)；", "(c) 缔约方对本问题的意见 (FCCC/SBI/2006/MISC.6和Add.1)。", "C. 附属履行机构可能采取的行动", "4. 附属履行机构不妨在考虑到文件FCCC/SBI/2006/20中所载联合国法律事务厅建议的情况下，考虑采取什么行动以为在所涉机构任职人员提供必要的豁免。附属履行机构也不妨建议缔约方会议暨《议定书》缔约方会议通过一个决定草案：", "(a) 要求争取参加《京都议定书》第六、十二和十七条所确定机制的私有和公有法律实体正式同意或书面声明同意，针对在《京都议定书》之下所涉机构或专家审评小组任职人员的任何争议、申诉或要求均按照缔约方会议暨《议定书》缔约方会议的决定在秘书处总部提出；", "(b) 规定出针对在《京都议定书》之下所涉机构或专家审评小组任职人员的任何争议、申诉或要求的争议解决安排；", "(c) 要求报告秘书协助在所设机构任职人员解决针对他们的争议、申诉和要求；", "(d) 解决协助在所涉机构任职人员解决针对他们的争议、申诉和要求以及确定争议解决安排和满足可能获成功的要求，会给执行秘书带来的资金问题。", "二、背 景", "A. 概 况", "5. 一些人曾对在《京都议定书》之下所设机构(清洁发展机制执行局、联合执行监督委员会(监委会)、履约问题委员会和根据第八条设立的专家审评小组)任职人员缺少特权和豁免表示关切；为此，缔约方会议暨《议定书》缔约方会议第一届会议第一次审议了特权和豁免问题。[2]　附属履行机构第二十三和二十四届会议进一步讨论了这一问题。[3]", "6. 应缔约方请求，秘书处与联合国秘书长进行了联系，征求他对特别是在1946年《联合国特权和豁免公约》(以下简称《总公约》)的范围内，给《京都议定书》之下所设机构和专家审评小组任职人员以特权和豁免问题的意见。文件FCCC/SBI/2006/6和FCCC/SBI/2006/20即指联合国法律事务厅的有关反应。", "B. 私有和公有法律实体参加《京都议定书》之下的机制", "7. 根据《京都议定书》建立了一系列机制。《议定书》缔约方可利用这些机制促进实现根据《京都议定书》第三条第一款做出的量化的排放限制和减少排放量的承诺。有关机制包括：根据第十二条建立的清洁发展机制、根据第六条建立的联合履行机制和根据第十七条建立的排放交易机制。缔约方可授权私有和(或)公有法律实体参加这些机制(见第3/CMP.1、9/CMP.1和11/CMP.1号决定)。这样，私有或公有法律实体就直接参与了机制的落实，同时间接参与了条约的履行。目前，约有7000个私有和公有法律实体参加《京都议定书》之下的机制，包括：", "(a) 项目参与者――缔约方授权参与清洁发展机制或联合履行项目活动的私有和(或)公有法律实体；", "(b) 指定的经营实体――清洁发展机制招待局临时授权和指定并经缔约方会议暨《议定书》缔约方会议认可的国内法律实体或国际组织；", "(c) 被授权的独立实体――监委会授权的国内法律实体或国际组织；", "(d) 根据《京都议定书》被授权转让和(或)获得排放减少单位、核证的排放减少量、分配量单位或清除量单位的法律实体。", "8. 被列为项目参与者或参与排放交易的实体以外的其它有关私有实体将受到有关清洁发展机制、联合履行或排放交易的决定的影响。很多实体不和清洁发展机制执行理事会或监委会直接交往，没有被列为正式参与清洁发展机制或联合履行项目活动的单位。这种实体包括：", "(a) 直接参与清洁发展机制/联合履行项目(但不参与项目活动本身)的实体，如项目制订单位、融资机构、设备供应商和土地所有者；", "(b) 项目的受益者，如电力消费者、项目的雇员及其家属、受益于当地环境改善的社区。", "9. 《京都议定书》之下所设机构，特别是清洁发展机制执行理事会和监委会的决定直接影响全世界公有和私有部门的投资决策。清洁发展机制、联合履行和排放交易引起的投资活动是这些机制取得的成功之一，但也增加了这些机构及其成员的决策受到质疑的风险。", "10. 履行委员会的决策和活动还可能会影响到私有和公有实体。特别是，履行委员会的执行部门有权决定缔约方不履行承诺会给它们带来的后果，包括它们是否还有资格参加《京都议定书》之下的各机制。因此，招待部门的决策对实体参加这些机制的缔约方以及私有和公有法律实体有相当大影响。", "11. 专家审评小组要对缔约方履行承诺的情况进行评估，并且要查明与履行结果有关的问题。虽然专家审评小组不做决定，但其评估却是履行委员会和缔约方会议暨《议定书》缔约方会议的决策依据。", "C. 可能发生的针对所设机构任职人员的 争议、申诉或要求的性质", "12. 《京都议定书》缔约方一旦认为所设机构的决定有问题或不公正，即可通过一些程序和办法进行申诉以维护自己的利益。缔约方不可能向国家法院提出针对所设机构任职人员的申诉。但它们可以利用《京都议定书》给予的权利和办法以及缔约方会议暨《议定书》缔约方会议有关所设机构的决定中提供的程序。它们也可以直接向缔约方会议暨《议定书》缔约方会议提出申诉，例如，在讨论所设机构的报告时或在审议有关特定机构的决定时。", "13. 另一方面，受到某一所设机构的决定影响的私有和(或)公有实体则目前没有可利用的手段或程序来提出其异议、申诉或关切的问题。私有或公有法律实体没有可利用的正式程序来提出和解决它们关切的问题，这一情况增加了它们向国家法院提出申诉、质疑决定或寻求补救办法的可能性。", "14. 可能提出的针对所设机构或专家审评小组任职人员的争议、申诉和要求包括：", "(a) 超越授予权限――所设机构或专家审评小组的某些决定超越授予权限，或某些决定或对缔约方会议暨《议定书》缔约方会议决定的解释缺乏法律依据；", "(b) 实质性错误决定――基于事实错误的技术或科学结论做出的决定。这特别与下述情况有关：一些决定侵犯了私有或公有法律实体的权利，而所设机构未能按照缔约方会议暨《议定书》缔约方会议的决定采取预防措施以避免这种伤害；", "(c) 利益冲突――所设机构或专家审评小组任职人员在决策方面有利益冲突；", "(d) 违反保密原则――据称违反了保密原则；", "(e) 侵犯程序权利――据称某一所设机构或专家审评小组成员的行为不符合业务政策、程序或惯例，因而侵犯了私有和(或)公有法律实体的程序权利；", "(f) 决策有偏见――据指控，所设机构或专家审评小组的决定、建议或其它行动有偏见或不恰当。", "三、私有或公有法律实体对下述要求的正式同意或声明： 在秘书处总部按照缔约方会议暨《京都议定书》 缔约方会议的决定提出要求", "A. 宗旨和要素", "15. 可要求争取参加根据《京都议定书》第六条、第十二条和第十七条设立的机制的私有和公有法律实体通过声明等方式正式表示同意：与申请或参加机制下项目有关的任何争议、申诉或要求均须按照缔约方会议暨《议定书》缔约方会议的决定在秘书处总部提出。", "16. “在秘书处总部提出”是什么意思？这可能是下述两种意思之一：", "(a) 争议、申诉和要求可向秘书处所在东道国的一个国家法院提出；在这种情况下，秘书处必须要求按照《总部协定》[4]的规定拒绝受理，并通过争议解决安排解决争议、申诉和要求；", "(b) 争议、申诉和要求可直接向执行秘书提出，执行秘书则须按照《总部协定》通过争议解决安排解决有关问题。", "17. 在两种方案下，秘书处都法定义务确保通过争议解决安排解决争议、申诉或要求(见下面第25-26段)。", "18. 就同意任何要求均按照缔约方会议暨《议定书》缔约方会议的决定在秘书处总部提出这一规定发表声明，其目的是保护《京都议定书》所设机构任职人员不受在国家法院提出要求的影响。因此，考虑发表这种声明的实体应确保：", "(a) 声明涵盖所设机构及其成立的专家小组成员、备选成员和专家的所有活动和决定；", "(b) 私有和公有法律实体同意：针对《京都议定书》之下所设机构或所设机构或专家审评小组任职人员的所有争议、申诉和要求均在秘书处总部提出，并通过缔约方会议暨《议定书》缔约方会议的争议解决安排解决；", "(c) 私有和公有法律实体同意：通过这一争议解决安排得出的结果是最终解决办法并具有约束力。", "19. 特别是，如果发表有关声明被作为参加《京都议定书》之下各机制的一个条件，声明就需要符合下列标准：", "(a) 是书面的；", "(b) 私有和公有法律实体确认，争议解决安排对它们是开放的；", "(c) 其中要提到缔约方会议暨《议定书》缔约方会议有关争议解决安排的决定；", "(d) 其中要强调，所提到的争议解决安排是排它性的，提供完全和最后的解决办法；", "(e) 其中要明确说明，参加《京都议定书》之下各机制的条件是同意采用有关争议解决安排；", "(f) 其中要明确说明，任何其它争议、申诉或要求也要按照缔约方会议暨《议定书》缔约方会议的决定在秘书处总部提出；", "(g) 包括确认在法律上充分理解，即确认已咨询法律顾问。", "20. 提交这种书面声明是实现下列目的的条件：得到经营实体(清洁发展机制)或独立实体(联合履行)授权、登记清洁发展机制或联合履行项目活动、提交新方法或要求修改现行方法。要求列为具体项目活动的项目参与者的所有私有和公有法律实体均必须正式同意这些条件。", "21. 声明将和下列文件一起由(例如)指定的经营实体或核准的独立实体提交秘书处：申请登记项目的有关信件、一种方法的批准书或授权申请书。参加多个项目的单位只能执行一项声明。", "22. 在清洁发展机制项目或联合履行项目在缔约方会议暨《议定书》缔约方会议通过决定时已经登记的情况下，有关要求适用于指定的经营实体或核准的独立实体与所设机构的下一次互动。可要求指定的经营实体或核准的独立实体获取将提交秘书处的声明。应要求秘书处向清洁发展机制执行理事会、监委会和缔约方会议暨《议定书》缔约方会议提供所收到的最新声明。", "B. 发表声明在国际上的影响", "23. 联合国为解决争议缔结单独协议并非不寻常。根据《总公约》第八条，为通过仲裁解决不能通过谈判或和解解决的所有争议在商业协议中做出规定是联合国的惯例。对于不是基于商业协议、没有为之提供其它争议解决机制的属于私法性质的争议，联合国的惯例是缔结一项单独的仲裁协议。[5]", "24. 这种仲裁协议规定，协议各方将他们之间发生的、有关其特定法律关系的争议提交仲裁，无论这种关系是否合同中规定的。仲裁协议的形式可以是合同中的一个仲裁条款，也可以是单独的一项仲裁协议。不论是合同中的仲裁条款，还是单独的仲裁协议，都要规定出符合《联合国国际贸易法》仲裁条例的仲裁程序。多数涉及联合国的争议都是通过谈判解决的。对于不能通过和解办法解决的争议，仲裁是最终解决办法。", "25. 秘书处《总部协定》将《总公约》的适用范围延伸至在秘书处东道国履行公务的《联合国气候变化框架公约》(《公约》)及其《京都议定书》的官员和代表。这就是说，行使个人职能的所设机构任职人员在秘书处东道国履行公务时享有豁免权。反之，秘书处也必须为适当解决下列争议做出规定：", "(a) 秘书处作为一方、由合同引起的争议或属于私法性质的其它争议；", "(b) 涉及秘书处官员的争议，而该官员因其正式职务而享有豁免权，这种豁免权尚未被取消。", "26. 因此，《总部协定》在秘书处东道国将《总公约》的争议解决条款的适用范围延伸到《公约》及其《京都议定书》。", "C. 发表声明在国家内的影响", "27. 不得不说，即便第三方书面声明他们同意将争议提交指定的国际争议解决安排，在某些情况下也还会有些法律制度使争议能被诉诸国家法院。但是，如果能使国家法院确信在《京都议定书》之下有一个独立而公正的补救系统能给予第三方充分保护，国家法院就可能会尊重这种声明。", "28. 国家法院会认真核实私有实体是否已被充分告知和了解这种声明会带来的影响。因此，重要的是，声明要说明放弃诉诸国家法院的一方按照缔约方会议暨《议定书》缔约方会议批准的争议解决安排应享有的程序权利。", "29. 因此，确立私有和公有法律实体提出的争议、申诉和要求的解决程序，是切实保护所设机构和专家审评小组任职人员的一个条件。即便是在不能补发声明的情况下，争议解决安排也可能会鼓励国家法院按照缔约方会议暨《议定书》缔约方会议的决定将法律诉讼转交秘书处总部所在国的国家法院。", "30. 要国家法院承认关于将争议、申诉或要求提交某一争议解决程序的声明的效力，需要的要素应当包括：", "(a) 《议定书》之下的争议解决安排能提供一种可实现的有效补救办法；", "(b) 声明：", "1. 提供对争议、申诉和要求的独立全面审查；", "2. 满足应有程序的要求；", "3. 提供可全面和公正审理争议、申诉和要求的便于使用的系统；", "4. 使申诉者有充分机会说明其案情。", "31. 对于在非《京都议定书》缔约方国家提出的针对所设机构和专家审评小组任职人员的法律诉讼，执行秘书仍然可以根据有关私有和公有实体的声明采用缔约方会议暨《议定书》缔约方会议做出的争议解决安排。唯一的真正不同可能是，缔约方国家当局和非缔约方国家当局与执行秘书的合作程度。", "D. 对缔约方会议暨《京都议定书》缔约方会议 现有决定的影响", "32. 鉴于上面的论述，缔约方会议暨《议定书》缔约方会议将需要通过一项决定，要求争取参加清洁发展机制、联合履行和排放交易的私有和公有法律实体发表声明同意，针对所设机构和专家审评小组任职人员的任何争议、申诉和要求都将按照缔约方会议暨《议定书》缔约方会议的决定在秘书处总部提出。除其它外，这样一项决定特别要：", "(a) 规定出这种声明的要素；", "(b) 授权秘书处为下述事项提供便利：完成和提交这种声明以及向缔约方会议暨《议定书》缔约方会议、清洁发展机制执行理事会和监委会报告已提交和尚未提交声明的状况；", "(c) 使提交这种声明成为参加清洁发展机制、联合履行和排放交易的一个条件；", "(d) 按照《总部协定》建立最终和具有约束力的争议解决安排。", "33. 缔约方会议暨《议定书》缔约方会议应在这一决定中要求缔约方、清洁发展机制招待理事会和监委会确保执行这一决定，以便使被授权参加各机制的私有和公有法律实体符合这一要求。", "E. 给秘书处带来的资源问题", "34. 为保证效率，秘书处将需要分配指定人员和资金以处理和管理这些声明的编写和提交，答复私有和公有法律实体提出的有关协定的问题，并向缔约方会议暨《议定书》缔约方会议、清洁发展机制执行理事会和监委会报告已提交和尚未提交声明的情况。关于给秘书处带来的资源问题更多论述，见下面第60－70段。", "四、向面临争议、申诉和要求的所设机构 任职人员提供协助", "35. 一般来说，一个国际机构的官员或代理人在以公职身份行事时，其行为就是该机构的行为，即便其行为超越了所授权限或违反了所给指示。一般来说，只要《京都议定书》所设机构或专家审评小组的专家是以公职身份行事，有关机构就要为其行为负责。执行秘书所提供协助的范围取决于有关争议或要求是提交国家法院，还是按照缔约方会议暨《议定书》缔约方会议的决定以及参加《京都议定书》第六、十二和十七条所设机制的私有和公有法律实体的声明，在秘书处总部提出。", "A. 执行秘书的作用", "1. 在争议、申诉和诉讼提交国家法院时提供的协助", "36. 非常重要的是，被在一国家法院起诉或可能被起诉的任何所设机构或专家审评小组的成员都要立即将有关文件提交执行秘书。在处理诉讼或诉讼威胁方面，时间是关键。秘书处的法律顾问应当参加对法律诉讼或法律诉讼威胁的任何机构反应的准备工作。法律顾问将需要不受任何限制地接触所设机构和专家审评小组任职人员，以及进入秘书处的有关工作区，并在必要情况下获得外部技术或专业援助。", "37. 任何处理国家法院诉讼的制度的一个关键部分都是，立即接触审理针对任职人员案件的法院所在缔约方国家当局。在联合国，秘书长可通过驻联合国代表团系统与会员国取得联系，这使他或她在执行公务的官员、专家或组织在一会员国被起诉的情况下能寻求援助。", "38. 一个得到正式承认的与合适当局的交流渠道具有不可估量的价值，它可确保缔约方有关当局及时处理提出的要求。建议缔约方会议暨《议定书》缔约方会议通过一项决定，请所有缔约方将执行秘书应当使用的正式交流渠道通知他或她，以便就缔约方国家法院进行的针对所设机构和专家审评小组任职人员的法律诉讼进行交流。", "39. 为这类问题建立正式交流渠道的目的是，使执行秘书能请缔约方协助将有关问题提交适当的争议解决安排。适当国家当局可能可以通过斡旋说服原告利用缔约方会议暨《议定书》缔约方会议确立的争议解决安排。某些缔约方为解决与其国民的争议可能可以将缔约方会议暨《议定书》缔约方会议的安排通知其国家法院，另一些缔约方可能可以正式确认这一实际情况，但不愿或不能对私人诉讼进行及时干预。", "40. 因此，执行秘书必须有权在必要情况下雇用当地律师，因为某些司法当局只允许通过有正式执照的当地律师与法院打交道。[6]", "2. 对争议、申诉和要求的初审", "41. 多数有不平之事的私有和公有法律实体都会联系执行秘书或所设机构成员以详细申诉情况并寻求某种补救。有一系列理由说明执行秘书应当对有关问题进行初审：", "(a) 由执行秘书集中处理申诉问题可确保做出有效和一致反应，因为执行秘书可利用全秘书处所具备的必要专门知识；", "(b) 执行秘书应当拥有获得专业和外部协助的固定权力，以在必要时进行有效初审。这将确保执行秘书能在必要情况下酌情向适当组成的机构或缔约方会议暨《议定书》缔约方会议建议采取有效补救措施；", "(c) 这将确保在争议解决安排之下只考虑最困难的争议。", "42. 这是联合国使用的解决争议和要求的办法。在最初阶段，联合国争取通过谈判解决争议。联合国签订的合同规定，如果有关各方同意，可通过正式和解程序协助进行谈判。只有在用尽一切和解办法之后，联合国才会采用通过仲裁的正式争议解决程序。[7]", "43. 1996年秘书长的一个报告说明了通过两阶段办法处理第三方针对联合国的申诉的好处，其中提到：“绝大多数案件的索赔人都接受了出价，并在签署放弃表的条件下做了支付。” [8]　秘书长1985年对联合国所有争议解决机制运行情况进行的调查也得出了同样的结论。[9]　因此，有效初审的重要意义再怎么强调也不会过分。", "44. 也非常重要的是，一旦某一实体决定提交争议、申诉或要求，被作为对象的所设机构或专家审评小组的成员就要立即向执行秘书提供所有有关文件。如果通过初审不能解决问题，就必须将其提交正式争议解决安排。在仲裁过程中将需要法律顾问为争议、申诉和要求进行辩护。根据问题的复杂程度，可能需要由现有工作人员、临时雇用的专家或特别法律事务所提供这种协助。", "B. 解决争议的安排", "1. 必要的特点", "45. 争议解决安排应当根据缔约方会议暨《议定书》缔约方会议的决定做出，并应提供充分和独立的要求审查。有关程序必须确保裁决对各方都具有约束力。", "46. 一个国家的法律系统更可能会承认，关于将争议提交一个商定的争议解决安排以求获得最终裁决的正式同意或声明是有效的，但这种安排应当能提供公正、独立和具有约束力的程序，使要求人能获得对其要求的独立审查，在此之前进行的审理要充分和公正，能满足基本适当程序的要求，使要求人有适当机会陈述自己的情况。有关处理私有和公有法律实体的要求的争议解决安排的必要特点的指导原则，可见于一些国际法律文书。[10]", "47. 缔约方会议暨《议定书》缔约方会议应确保争议解决安排独立于缔约方会议暨《议定书》缔约方会议及其机构，对争议的裁决不受其指示或执行秘书指示的影响。有关安排应利用一个现有机构或单独成立一个机构。", "2. 利用联合国确立的争议解决安排", "48. 这种争议解决程序将需要专门知识。因此，非常可能的是，联合国内的一个现有争议解决安排或争议解决机制适合或很容易适应这种任务。", "49. 1995年的一个秘书长报告[11] 介绍了联合国用来裁决争议的各种机构。最常用的办法是按照《联合国国际贸易法仲裁规则》进行仲裁，往往是通过一个现有仲裁机构进行，如国际商会。国际商会采用的程序是普通仲裁程序，而不是缔约方会议暨《议定书》缔约方会议通过的有关《京都议定书》的特别需要以及《京都议定书》之下机制的运行引起的争议的规定。", "50. 联合国还成立了一个维持和平行动索偿委员会，但这类机构完全不适合作为《京都议定书》之下所产生争议的裁决机构。", "51. 联合国行政法庭裁决秘书长和工作人员之间的争议。但要使其适用，就要对该机构的章程和规则进行大量修改，然而这需要该法庭和大会的同意。这可能需要一个很长的过程，特别是考虑到大会目前正在对法庭进行改革。", "3. 创立新的争议解决安排", "52. 争议解决安排的可靠性十分重要。接受这种安排的一个先决条件是，必须所有利益相关者都认为这种安排的管理是公正、公平和无偏向的。另外也很重要的是，安排的拟议结构和程序应当是缔约方会议暨《议定书》缔约方会议确定的。解决争议、申诉或要求的地点应当是在秘书处所在的东道国，在那里《总部协定》所确立的特权和豁免制度是有效的。", "53. 为解决争议建立的机构应当由适当领域的专家组成，这些专家必须符合缔约方会议暨《议定书》缔约方会议规定的条件，按照《京都议定书》和缔约方会议暨《议定书》缔约方会议规定的程序工作。因此，可能更有效的是，为《议定书》之目的确立单独的安排，而不是试图改造其它组织的现有机制。", "54. 这种机构不需要是一个常设机构，只需在必要时能举行会议审议提交裁决的案件。参加缔约方会议暨《议定书》缔约方会议的代表或前代表，或所设机构或专家审评小组的现任或前任成员不宜在这种机构中任职。缔约方会议暨《议定书》缔约方会议或其秘书处可根据有关人员的专业知识和经验提名，设置一个专家名册，在发生争议时，每一方可选定一名成员，第三名可由双方共同选定。在双方不能就第三名人选取得一致意见的情况下，可根据议事规则规定的程序由一个独立的第三者选定主持人。", "55. 确定成立争议解决机构的缔约方会议暨《议定书》缔约方会议的决定应确保其裁决具有约束力并明确规定其操作的独立性。当然，缔约方会议暨《议定书》缔约方会议也可以预先根据争议解决机构的裁决改变实质性规则或程序，但裁决本身必须对缔约方会议暨《议定书》缔约方会议具有约束力。为进一步简化这一机构的成立和工作，世界承认的《联合国国际贸易法仲裁规则》可作为争议解决机构议事规则的基础。", "56. 为避免产生利益冲突，协助争议解决机构的工作人员在履行职责时遵从新机构主持人而不是执行秘书的指示，正像联合国行政法庭秘书处工作人员遵从法庭庭长的指示那样。[12]", "4. 接受争议解决安排", "57. 缔约方会议暨《议定书》缔约方会议对任何争议解决安排的批准都需要强调，这种安排是唯一的补救系统，《京都议定书》之下各种机制的参加者必须正式同意或声明，他们参加的条件是承认这些安排是解决任何针对所设机构或其成员的争议、申诉或要求的唯一补救系统。", "58. 缔约方会议暨《议定书》缔约方会议关于设立争议解决机构的任何决定都应当明确说明，拟设立的机构对由《京都议定书》之下各机制产生的所有争议具有专有管辖权。如果争议解决安排是可靠的，多数私有和公有法律实体都会欢迎设立这一机构，因为它将确保通过适当补救程序纠正错误，而不是违反《京都议定书》缔约方的共同意愿在一国家法院争论不休。", "59. 争议解决安排是否有效将取决于国家法院是否承认和执行缔约方会议暨《议定书》缔约方会议的决定。在起草关于设立争议解决机构和使其投入运行的的条件的决定时，缔约方应确保决定草案包括关于要求缔约方通过国家法律顾问或司法部长让本国法院了解这些安排的规定。", "C. 所涉资源问题", "60. 如上面所建议，所有针对所设机构和专家审评小组任职人员的争议、要求和诉讼均应由执行秘书利用秘书处的资源处理；秘书处可酌情扩大，根据需要聘用一些临时工作人员以及寻求外部法律和专业服务。这将有助于确保每个案件都得到专业化和一致的处理，使《京都议定书》之下各机制能从每个案件中吸取教训。由执行秘书这样集中处理申诉和要求也和《总部协定》是一致的；《总部协定》使联合国的特权和豁免制度在德国适用于《京都议定书》，并授权执行秘书在法律诉讼中代表它。", "61. 为帮助所设机构和专家审评小组任职人员处理争议、申诉和要求，需要规划资源和预算；其中主要有三个方面：", "(a) 为帮助在国家法院或争议解决机构处理争议、申诉和要求提供法律顾问；", "(b) 为争议解决安排和争议解决机构的会议提供经费；", "(c) 为国家法院或争议解决机构对索赔做出的裁定付款。", "62. 由于案件数目和范围的不确定性，现阶段不可能做出可靠的资源需求概算。秘书处2006-2007年方案预算中不包括用于处理针对所设机构或其成员的争议、申诉或要求，或履行上述责任的资金。将需要额外的专业人员和一般事务人员，其人数依提供专业法律咨询所需资金额度而定。根据推测，概算可能会从几百到几千美元不等。初期的一个办法是，由执行秘书在其总预算权限内争取必要的开支权限，并在预算期末报告任何调整。然后，根据初期的经验提出今后费用概算。", "1. 法律顾问", "63. 第一方面是处理提交国家法院的争议、申诉或要求的费用。这包括秘书处各种资源的费用，即秘书处法律顾问办公室的费用，它可能要在缔约方有关当局的协助下工作，争取说服国家法院拒绝受理有关案件。这可能很费时间并需要不少人力，因为有关法院可能需要充分详细了解争议解决安排，并需要详细说明有关机制如何能公正和客观地解决原告申诉的具体问题。最初，可能可以利用秘书处资源针对有关要求的实质进行辩护；但由于某些问题的复杂性，可能需要一个专门法律事务所或聘用专门人员来指导争议解决安排所处理案件的辩护工作。", "64. 如果一个国家法院决定行使管辖权，或如果在确定可获得有关缔约方的协助之前初审已经确定日期，就可能有必要保留当地法律顾问以争取法院拒绝受理案件。要使向国家法院提起的诉讼被驳回，可能会引起一些困难的法律问题。请求驳回起诉的依据必须是：提起诉讼的实体曾同意使用缔约方会议暨《议定书》缔约方会议通过的争议解决安排，而同意使用是参加《京都议定书》各种机制的一个条件。这则会引起一些事实问题，有关法院可能要对这些问题进行审查并征求原告的意见。由此带来的一个问题是，案件所需时间和说服国家法院驳回申诉所需费用，都将取决于许多不定因素。如果诉讼是由一个没有参加《京都议定书》之下各种机制的实体提出，所需费用就更加难以预测。", "65. 如果缔约方会议暨《议定书》缔约方会议设立了一个独立的争议解决机构，那么，当地顾问任务就会只限于说明为什么应当兑现承诺，将争议提交争议解决安排。", "66. 秘书处法律顾问办公室日前没有能力处理这类申诉。因此，可授权执行秘书在必要情况下额外招聘工作人员或聘请一名法律顾问，因此，预算中应当包括保留法律顾问的费用和参加任何审理的差旅费。", "67. 为在国家法院进行实质性法律诉讼保留法律顾问的费用可能是每年约250,000至450,000美元，这取决于向之提出申诉的管辖机构所在地、申诉的性质以及法律顾问需要的时间。", "2. 为争议解决安排和法庭提供资金", "68. 争议解决机构需要支助费用。如果采用专家名册(见上面第53-54段)，费用将只限于工作时间，虽然为了鼓励合格人员自愿报名列入名册要支付一定的酬劳。在开始阶段，争议解决安排的利用率可能是不确定的，也就是说争议解决机构多长时间开一次会、每次会议需要多长时间，都不能确定。然而，费用与争议的多少和时间是直接相关的。争议解决机构会议的支助费用每年约为100,000至150,000美元，这取决于要处理案件的数目。这些费用中包括：", "(a) 差旅费；", "(b) 日常生活补贴和争议解决机构小组人员的其它报酬；", "(c) 争议解决机构小组人员的工资。", "3. 支付裁定偿金预算", "69. 第三种费用是仲裁机构的任何决定或裁定的执行费用。很难估计这种费用或裁定偿金。一种可能是，争取为由所设机构或专家审评小组任职人员在履行职责时出现的错误引起的诉讼提供商业保险。这就需要秘书处聘请一位有良好声誉的保险经纪人对所设机构和专家审评小组任职人员所履行的职能及有关损失风险进行研究。", "70. 即便获得了保险，也会经常需要与保险公司就发生的律师费和其它费用是否合理和必要的问题进行冗长的讨论。保险是一种风险管理工具，根据其成本和覆盖范围，它有可能是一种具有吸引力的选择。这可以和保险经纪人进一步讨论。这种范围的保险费可能很高，涉及许多复杂问题。应当请秘书处就这一问题向有关保险公司进一步咨询，并向附属履行机构下届会议报告咨询结果。", "4. 秘书处支援", "71. 如上面所提到，在下列方面将需要秘书处支援：参加清洁发展机制、联合履行和排放交易的私有和公有实体的声明编写和提交的处理和管理，向缔约方会议暨《议定书》缔约方会议、清洁发展机制执行理事会和监委会提交和未提交声明的情况。处理向争议解决安排提交的争议、申诉和要求，以及在设立新的争议解决机构的情况下机构小组人员的工作，都将需要指定的秘书处协助。将需要资金支付专业和一般事务人员的工资和差旅费，包括在必要情况下调用的联合国法律事务厅人员的差旅费和其它费用。估计的秘书处支援费用每年约为250,000至270,000美元。", "五、结 论", "72. 很难确定是否会和什么时候提出针对《京都议定书》之下所设机构或这类机构任职人员的争议、申诉和要求。这种争议、申诉或要求可能会由参加《京都议定书》之下各种机制的私有和公有法律实体提出，也可能会由没有参加这些机制、但受到影响的其它法律实体提出。这种申诉可能会向世界上任何一个国家的法院提出。如前面所指出，所设机构和专家审评小组任职人员没有必要的特权和豁免权，会使他们在针对他们的申诉面前处于脆弱地位。", "73. 缔约方需要做出决定，为所设机构任职人员提供必要的特权和豁免权，以使他们能避免承担个人责任。联合国法律事务厅提出了供缔约方考虑的一些选择。", "74. 缔约方还应当考虑确定一些安排，以处理与所设机构任职人员的决定有关的争议、申诉和要求的实质问题。缔约方不妨考虑是利用联合国的现有争议解决机构，还是设立新的争议解决安排。", "75. 缔约方的这种决定将有助于缔约方、参加各种机制的私有和公有法律实体以及其它利益相关者肯定和明确，有关所设机构工作的争议、申诉和要求将在《京都议定书》范围内、而不是在世界各国的法院解决。", "[1] ^(∗) 本文的推迟提交是因为所涉问题的复杂性使得有必要进行广泛研究和磋商。", "[2] ¹ 见文件FCCC/KP/CMP/2005/6。", "[3] ² 见文件FCCC/SBI/2005/23和FCCC/SBI/2006/11和第33/CMP.1号决定。", "[4] ³ 2005年12月7日修订的《德意志联邦共和国、联合国和联合国气候变化框架公约秘书处关于公约秘书处总部的协定》。", "[5] ⁴ A/C.5/49/65, 1995年4月24日。", "[6] ⁵ 一般情况下，国家法院会根据联合国或会员国的有关联合国豁免问题的文书采取行动，因为执行《总公约》的国家法律中说明了有关豁免权。但有时联合国也不得不出庭强调其豁免权(例如，在De Luca诉联合国一案(841 F. Supp. 531, 1994)中)。在涉及《京都议定书》时，情况会更复杂，因为除在德国可根据《总部协定》或在与其缔结了有关所设机构会议的协定的东道国以外，没有其它地方可依靠豁免权。主要问题是，国家法院是否应当遵行关于采用争议解决安排的声明，或者，根据国家法院所选择的适用法律由国家法院审理有关案件是否变成了一个问题。", "[7] ⁶ 《联合国一般合同条件》第16节载有解决争议的条款，包括在必要时利用和解程序的最初阶段谈判，和解程序可以是根据《联合国国际贸易法和解条例》进行的正式和解。只有在谈判失败的情况下才采取仲裁这一正式争议解决程序(见http://un.org/Depts/ptd/pdf/genconpdf)。", "[8] ⁷ 见秘书长报告，“联合国维持和平行动融资的行政和预算方面：联合国维持和平行动的融资”，1996年9月20日，A/51/389, 第23段。", "[9] ⁸ 秘书长的报告，执行《联合国特权和豁免公约》第29节第八条的现有程序，A/C.5/49/65, 前注5。", "[10] ⁹ 《世界人权宣言》第十条；《欧洲保护人权与基本自由公约》第六条；1958年联合国《承认及执行外国仲裁裁决的公约》第五条。", "[11] ¹⁰ A/C.5/49/65, 前注8, 第7、13、17和21段。", "[12] ¹¹ 见《联合国行政法庭议事规则》(AT/11/Rev.6)第三条第1款。" ]

[ "[] UNITED \n NATIONS \n [] Distr. \n GENERAL \n FCCC/SBI/2006/21 \n 4 October 2006 \n Original: English \n \nSUBSIDIARYBODYFORIMPLEMENTATION \nTwenty-fifthsession \nNairobi,6–14November2006 \nItem14(d)oftheprovisionalagenda \nAdministrative,financialandinstitutionalmatters Privilegesandimmunitiesforindividualsservingon \nconstitutedbodiesestablishedundertheKyoto Protocol \nPrivilegesandimmunitiesforindividualsservingonconstitutedbodiesestablishedundertheKyoto Protocol \nNotebythesecretariat[1]", "Contents", "Paragraphs Page", "I. A. Introduction 1–4 3Mandate 1 2", "B. Scope of the note 2–3 2", "C. Possible action by the Subsidiary Body for Implementation 4 2", "II. Background 5–14 2", "A. Overview 5–6 2", "B. Participation of private and public legal entities in mechanisms under the Kyoto Protocol 7–11 2", "C. Nature of possible disputes, complaints or claims against individuals serving on constituted bodies 12–14 2", "III. formal consent or Declaration from private and public legal entities that claims will be made aT THE headquarters of the secretariat and in accordance with decisions of the Conference of the parties serving as THE meeting of the parties to the kyoto Protocol 15–34 2", "A. Objectives and elements 15–22 2", "B. Consequences of the declaration at the international level 23–26 2", "C. Consequences of the declaration at the national levels 27–31 2", "D. Consequences for existing decisions of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol 32–33 2", "E. Resource implications for the secretariat 34 2", "IV. Provision of assistance to INDIVIDUALS SERVING ON constituted bodies to deal with disputes, complaints and claims 35–71 2", "A. Role of the Executive Secretary 36–44 2", "B. Arrangements for dispute settlement 45–59 2", "C. Resource implications 60–71 2", "V. ConclusionS 72–75 2", "I. Introduction", "A. Mandate", "1. The Subsidiary Body for Implementation (SBI), at its twenty-fourth session, requested the Executive Secretary to prepare a note that analyses a number of issues concerning privileges and immunities for individuals serving on constituted bodies and expert review teams under the Kyoto Protocol for consideration by the SBI at its twenty-fifth session:", "a. The issues at the international and national levels, including practical and legal implications and the resource implications for the secretariat of obtaining written agreement from private and public legal entities seeking to participate in the mechanisms pursuant to the Kyoto Protocol that any complaints, claims or disputes against constituted bodies or individuals serving on constituted bodies and expert review teams (ERTs) under the Kyoto Protocol shall be brought in accordance with the decisions of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol (COP/MOP) and be made at the headquarters of the secretariat.", "b. The legal and practical issues, including the resource implications for the secretariat, of providing assistance upon request to individuals serving on constituted bodies and ERTs under the Kyoto Protocol who are faced with complaints, claims or disputes concerning their official functions and, in such cases, the options for the Executive Secretary to contact, as appropriate, the competent authorities of the country or countries in question to discuss the issues further.", "B. Scope of the note", "1. This note discusses the issues surrounding privileges and immunities for individuals serving on constituted bodies, including:", "a. The implications for private and public legal entities of the activities of constituted bodies and ERTs, as well as the possible disputes, complaints and claims that could be brought by private and public legal entities against individuals serving on constituted bodies.", "b. The objectives and elements of the formal consent or declaration to be made by private and public legal entities participating in the mechanism under the Protocol to make disputes, complaints and claims at the headquarters of the secretariat, including the consequences at the international and national levels of such a declaration.", "c. The types of assistance that could be provided by the Executive Secretary to individuals serving on constituted bodies to deal with disputes, complaints and claims; possible arrangements for dispute settlement; and the resource implications that may be associated with providing such assistance.", "2. This note should be read in conjunction with the following documents:", "a. The note prepared by the secretariat that provides an overview of the issues concerning privileges and immunities for individuals serving on constituted bodies and lays out various options for consideration by the COP/MOP (FCCC/KP/CMP/2005/6);", "b. The reports on the consultations by the secretariat with the Secretary-General of the United Nations on privileges and immunities for individuals serving on constituted bodies (FCCC/SBI/2006/6 and FCCC/SBI/2006/20);", "c. Views from Parties on this issue (FCCC/SBI/2006/MISC.6 and Add.1).", "C. Possible action by the Subsidiary Body for Implementation", "1. The SBI may wish to consider what action to take to provide the necessary immunities for individuals serving on constituted bodies and ERTs, taking into consideration the proposals from the Office of Legal Affairs of the United Nations contained in document FCCC/SBI/2006/20. The SBI may also wish to recommend a draft decision for adoption by the COP/MOP:", "a. That requires private and public legal entities seeking to participate in the mechanisms pursuant to Articles 6, 12 and 17 of the Kyoto Protocol to make a formal consent or declaration in writing that any disputes, complaints or claims against the constituted bodies or individuals serving on constituted bodies or ERTs under the Kyoto Protocol will be made in accordance with decisions of the COP/MOP and at the headquarters of the secretariat;", "b. That establishes dispute settlement arrangements for addressing any disputes, complaints or claims against constituted bodies or individuals serving on constituted bodies or ERTs under the Kyoto Protocol;", "c. That requires the Executive Secretary to assist individuals serving on constituted bodies with disputes, complaints and claims made against them;", "d. That addresses the resource implications for the Executive Secretary of assisting individuals serving on constituted bodies with disputes, complaints and claims made against them, the establishment of the dispute settlement arrangements and the settlement of possible successful claims.", "II. Background", "A. Overview", "1. The issue of privileges and immunities was first considered officially by the COP/MOP, at its first session, in response to concerns raised about the absence of privileges and immunities for individuals serving on constituted bodies established under the Kyoto Protocol (the Executive Board of the clean development mechanism, the Joint Implementation Supervisory Committee (JISC), the Compliance Committee and the ERTs under Article 8).[2] The issues were discussed further by the SBI during its twenty-third and twenty-fourth sessions.[3]", "2. In response to requests from Parties, the secretariat contacted the Secretary-General of the United Nations to obtain his views on the provision of privileges and immunities to individuals serving on constituted bodies and ERTs under the Kyoto Protocol, in particular within the context of the 1946 Convention on the Privileges and Immunities of the United Nations (hereinafter referred to as the General Convention). The responses from the United Nations Office of Legal Affairs are referred to as the documents FCCC/SBI/2006/6 and FCCC/SBI/2006/20.", "B. Participation of private and public legal entities in mechanisms under the Kyoto Protocol", "1. The Kyoto Protocol establishes a number of mechanisms that can be used by Parties to the Protocol to facilitate achievement of the quantified emission limitation and reduction commitments under Article 3, paragraph 1, of the Kyoto Protocol. These are the clean development mechanism (CDM), pursuant to Article 12, joint implementation (JI), pursuant to Article 6, and emissions trading (ET), pursuant to Article 17. Parties can authorize private and/or public legal entities to participate in these mechanisms (see decisions 3/CMP.1, 9/CMP.1 and 11/CMP.1). Private and public legal entities are thus directly involved in the implementation of the mechanisms and indirectly in treaty compliance. There are approximately 7,000 private and legal entities currently participating in the mechanisms under the Kyoto Protocol. They include:", "a. Project participants – private and/or public legal entities authorized by a Party to participate in a CDM or JI project activity;", "b. Designated operational entities (DOEs) – domestic legal entities or international organizations accredited and designated by the CDM Executive Board on a provisional basis until confirmed by the COP/MOP;", "c. Accredited independent entities (AIEs) – domestic legal entities or international organizations accredited by the JISC;", "d. Legal entities authorized to transfer and/or acquire emission reduction units (ERUs), certified emission reductions (CERs), assigned amount units (AAUs) or removal units (RUs) under Article 17 of the Kyoto Protocol.", "1. Other interested private legal entities beyond those listed as project participants or entities involved in emissions trading will be affected by decisions concerning CDM, JI or ET. There is a wide range of entities that do not have any direct dealings with the CDM Executive Board or JISC and are not listed as being officially involved in a CDM or JI project activity, but may still feel aggrieved by decisions of constituted bodies. Such entities could include:", "a. Those directly involved in a CDM/JI project (but not in the project activity itself), such as project developers, financing institutions, equipment suppliers and land owners;", "b. Beneficiaries of the project, such as electricity consumers, employees of the project and their families, communities benefiting from improvements of the local environment.", "2. The decisions of constituted bodies under the Kyoto Protocol, in particular the CDM Executive Board and the JISC, have a direct impact on investment decisions by the public and private sectors worldwide. The investment activities triggered by the CDM, JI and ET constitute one of the successes of the mechanisms, but they also increase the risk for the bodies and their members that the decisions could be contested.", "3. The decisions and activities of the Compliance Committee may also affect private and legal entities. In particular, the enforcement branch of the Compliance Committee has the power to determine the consequences for Parties of not meeting their commitments, including whether or not they are eligible to continue to participate in the mechanisms under the Kyoto Protocol. The decisions of the enforcement branch therefore have significant consequences for Parties as well as private and public or legal entities participating in these mechanisms.", "2. ERTs are called upon to assess the implementation of a Party’s commitments and identify performance related problems. While ERTs do not take decisions, their assessments form the basis for decisions of the Compliance Committee and the COP/MOP. The assessments of the ERTs are of a scientific nature and involve State Parties rather than third parties.", "C. Nature of possible disputes, complaints or claims against individuals serving on constituted bodies", "1. Parties to the Kyoto Protocol are provided with procedures and means of appeal to defend themselves whenever they consider a decision of a constituted body to be flawed and unjustified. It is unlikely that Parties would file claims in national courts against individuals serving on constituted bodies. Instead, they may be expected to make use of the rights and tools offered by the Kyoto Protocol and the procedures provided in the decisions of the COP/MOP concerning the constituted bodies. They may also bring complaints to the COP/MOP directly, for example, during the discussion of the report of the constituted body, or during consideration and preparation of decisions with respect to a particular body.", "2. On the other hand, private and/or public entities affected by decisions of a constituted body currently have no means or procedures to raise their dispute, complaints or concerns. The absence of formal procedures for private or public legal entities to bring their concerns and have them addressed increases the risk that such entities will raise complaints, contest decisions or seek redress in national courts.", "3. The possible disputes, complaints and claims that may be brought against individuals serving on constituted bodies or ERTs could include the following:", "a. Acting outside of the delegated authority – that certain determinations of a constituted body or the ERT are ultra vires their delegated authority, or that some of the decisions and/or interpretations of COP/MOP decisions had been taken without legal foundation;", "b. Substantially incorrect decisions – decisions taken are based on factually incorrect technical or scientific conclusions. This is particularly relevant where determinations infringe the rights of private or public legal entities, and the constituted body failed to take all precautionary measures as required by decisions of the COP/MOP in order to avoid such injury;", "c. Conflict of interest – that individuals serving on a constituted body or ERT have a conflict of interest concerning decisions taken;", "d. Breach of confidentiality – alleged breach of confidentiality;", "e. Violation of procedural rights – allegations that the conduct of a member of a constituted body or ERT is not in conformity with the operational policies, procedures and practices, which has resulted in the violations of procedural rights of private and/or legal entities;", "f. Bias in decision-making – accusations that the decisions, recommendations or other actions of the constituted body or ERT are biased or made improperly.", "III. Formal consent or declaration from private and public legal entities that claims will be made at the headquarters of the secretariat and in accordance with decisions of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol", "A. Objectives and elements", "1. Private and public legal entities seeking to participate in the mechanisms pursuant to Articles 6, 12 and 17 of the Kyoto Protocol could be required to give their formal consent, for example through a declaration, that any disputes, complaints or claims relating to an application for or participation in projects under the mechanisms must be brought in accordance with decisions of the COP/MOP and be made at the headquarters of the secretariat.", "2. What is meant by “made at the headquarters of the secretariat”? This could mean one of two possibilities:", "a. The disputes, complaints and claims could be made in a national court in the host country of the secretariat, in which case the secretariat has to request dismissal of the complaint under the provisions of the Headquarters Agreement,[4] and the secretariat would be obliged to resolve the dispute, complaint and claim through dispute settlement arrangements;", "b. The disputes, complaints and claims could be brought directly to the Executive Secretary, who would be obliged to resolve the matter through dispute settlement arrangements in accordance with the headquarters agreement.", "3. Under both scenarios, the secretariat is legally obliged to ensure the resolution of the dispute, complaint or claim through dispute settlement (see paras. 25–26 below).", "4. The objective of a declaration that claims will be made in accordance with decisions of the COP/MOP and be made at the headquarters of the secretariat would be to protect the individuals serving on the constituted bodies of the Kyoto Protocol from claims in national courts. Entities considering such a declaration should therefore ensure the following:", "a. That it encompasses the activities and decisions of the members, alternates and experts of the constituted bodies and expert panels established by the constituted body;", "b. That private and public legal entities agree that all disputes, complaints and claims against constituted bodies or individuals serving on constituted bodies or ERTs under the Kyoto Protocol shall be made at the headquarters of the secretariat using the dispute settlement arrangements established by the COP/MOP;", "c. That the private and public legal entities agree that decisions of this dispute settlement arrangements shall be final and binding.", "5. In particular, if the declaration is made a condition of participating in the mechanisms pursuant to the Kyoto Protocol, the following criteria would need to be met:", "a. It is made in writing;", "b. The private and public legal entities acknowledge that dispute settlement arrangements are open to them;", "c. It contains a reference to the relevant decisions of the COP/MOP concerning dispute settlement arrangements;", "d. It emphasizes that the referred dispute settlement arrangements are exclusive and provides for full and final settlement;", "e. It states clearly that participation in the mechanisms under the Kyoto Protocol is conditional upon consent to the dispute settlement arrangements;", "f. It states clearly that any other disputes, complaints or claims are to be made at the headquarters of the secretariat and in accordance with the decisions of the COP/MOP;", "g. It includes confirmation of full legal understanding, namely the confirmation that legal counsel has been consulted.", "6. The submission of such a written declaration would become a condition for the accreditation of operational (CDM) or independent (JI) entities; for the registration of a CDM or JI project activity; and for the submission of a new methodology or request for modification of an existing methodology. All private and public legal entities requesting to be listed as project participants in a particular project activity would have to formally consent to these conditions.", "7. The declaration would be submitted, for example by the DOE or the AEI, to the secretariat together with the relevant communications applying for registration of a project, approval of a methodology, or application for accreditation. Parties that participate in several projects would have to execute a single declaration.", "8. In the case of CDM or JI projects that are already registered at the time of the adoption of the decision by the COP/MOP, the requirement would apply to the next interaction of the DOE or AEI with a constituted body. The DOE or AEI could be asked to obtain the declaration, which would be submitted to the secretariat. The secretariat should be requested to provide the CDM Executive Board, the JISC and the COP/MOP with an update of the declarations received.", "B. Consequences of the declaration at the international level", "1. It is not unusual for the United Nations to enter into individual agreements regarding the settlement of disputes. Pursuant to Article VIII of the General Convention, it is the practice of the United Nations to make provisions in its commercial agreements for recourse to arbitration in all cases in which disputes cannot be settled through negotiations or amicable means. With respect to disputes of a private law character, which are not based on commercial agreements and where no other dispute settlement mechanisms are provided, it is the practice of the United Nations to enter into a separate arbitration agreement.[5]", "2. Such an arbitration agreement provides that the parties to the agreement will submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not. An arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement. Both the arbitration clauses in contracts as well as the separate arbitration agreements provide for an arbitration procedure that follows the United Nations Commission on International Trade Law (UNCITRAL) Arbitration Rules. Most disputes involving the United Nations are settled through negotiations. Arbitration constitutes the final dispute settlement mechanism where amicable means do not result in a settlement of the dispute.", "3. The Headquarters Agreement for the secretariat extends the General Convention to officials and representatives of the United Nations Framework Convention on Climate Change (Convention) and its Kyoto Protocol while they are in the host country of the secretariat on official business. This means that individuals serving on constituted bodies serving in their personal capacity enjoy immunity while on", "official business in the host country of the secretariat. In return the secretariat is obliged to make provisions for the appropriate modes of settlement of:", "a. Disputes arising out of contracts and other disputes of a private law character to which the secretariat is a party;", "b. Disputes involving an official of the secretariat, who by reason of his or her official position enjoys immunity, if such immunity has not been waived.", "4. The Headquarters Agreement accordingly extends, in the host country of the secretariat, the dispute settlement provisions of the General Convention to the Convention and its Kyoto Protocol.", "C. Consequences of the declaration at the national levels", "1. It has to be said that even if third parties declare in writing that they agree to submit disputes to a dedicated international dispute settlement arrangement, some legal systems may enable recourse to national courts in some circumstances. But such a declaration is likely to be respected by national courts if the court is convinced that there is an independent and impartial remedy system under the Kyoto Protocol that is capable of awarding sufficient protection to third parties.", "2. A national court will check carefully whether the private entity has been fully informed and advised about the implications of such a declaration. It is therefore important that the declaration describes the procedural rights of the party renouncing its access to national courts under the disputes settlement arrangements agreed by the COP/MOP.", "3. The establishment of procedures for settling disputes, complaints and claims brought by private and public legal entities is therefore a condition for effectively protecting members serving on constituted bodies and ERTs. Even where declarations cannot be obtained retroactively, the existence of dispute settlement arrangements is likely to encourage national courts to refer law suits to national courts at the headquarters of the secretariat in accordance with the decisions of the COP/MOP.", "4. The essential elements for the national courts to recognize the effect of a declaration to submit a dispute, complaint or claim to a dispute settlement process should include the following:", "a. The dispute settlement arrangements under the Protocol provide an accessible and effective remedy;", "b. The declaration:", "i. Provides for a full independent review of disputes, complaints and claims;", "ii. Satisfies due process requirements;", "iii. Provides a reasonably accessible system for a full and fair hearing of disputes, complaints and claims;", "iv. Enables the claimants to be accorded full opportunity to present their case.", "5. For possible law suits against individuals serving on constituted bodies and ERTs in States that are not Parties to the Kyoto Protocol, the Executive Secretary would still rely upon the declaration made by private and public legal entities concerned to use the dispute settlement arrangements established by the COP/MOP. The only real difference might be the degree of cooperation received by the Executive Secretary interacting with the authorities of a State Party as compared with those of a non-State Party.", "D. Consequences for existing decisions of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol", "1. In line with the discussions above, the COP/MOP would need to adopt a decision that requires private and public legal entities seeking to participate in CDM, JI and ET to make a declaration that any disputes, complaints and claims against individuals serving on constituted bodies and ERTs will be brought in accordance with decisions of the COP/MOP and made at the headquarters of the secretariat. Such a decision would inter alia:", "a. Set out essential elements of such a declaration;", "b. Authorize the secretariat to facilitate completion and submission of such declarations, and the report to the COP/MOP, the CDM Executive Board and the JISC on the status of declarations submitted and those pending;", "c. Make the submission of such a declaration a condition for participation in CDM, JI and ET;", "d. Establish final and binding dispute settlement arrangements pursuant to the Headquarters Agreement.", "2. In this decision, the COP/MOP should invite Parties, the CDM Executive Board and the JISC to ensure implementation of such a decision so that all private and public legal entities authorized to participate in the mechanisms comply with this requirement.", "E. Resource implications for the secretariat", "1. To ensure efficiency, the secretariat would need to assign dedicated staff and resources to process and manage the preparations and submission of these declarations, as well as to answer questions from private and public legal entities with respect to the agreement, and report to the COP/MOP, the CDM Executive Board and the JISC on the declarations made and those outstanding. For more discussion on the resource implications for the secretariat, see paragraphs 60–71 below.", "IV. Provision of assistance to individuals serving on constituted bodies to deal with disputes, complaints and claims", "1. Generally, the conduct of officials or agents of an international body is considered to be an act of that body if the official or agent was acting in their official capacity, even if that conduct exceeds the authority granted or contravenes instructions given. Provided that an expert serving on a constituted body or on an ERT under the Kyoto Protocol was acting in his or her official capacity, the body would generally be responsible for the act of the individual. The scope of the assistance provided by the Executive Secretary will depend on whether the dispute or claim has been filed in a national court or has been made at the headquarters of the secretariat pursuant to the declaration by private and public legal entities participating in the mechanisms under Articles 6, 12 and 17 of the Kyoto Protocol, in accordance with the decisions of the COP/MOP.", "A. Role of the Executive Secretary", "1. Assistance with disputes, complaints and suits filed in national courts", "1. It is crucial that any member of a constituted body or ERT who is sued in a national court, or threatened with such a suit, immediately forward all relevant papers to the Executive Secretary. Time is of the essence in dealing with litigation or the threat of litigation. The Legal Adviser of the secretariat ought to participate in the preparation of any institutional response to legal actions or threat of such action. The Legal Adviser will need to have unrestricted access to the individuals serving on constituted bodies and ERTs, as well as to relevant areas of work of the secretariat and, if necessary, to outside technical or professional assistance.", "2. A vital part of any system to deal with lawsuits in national courts is prompt access to the relevant authorities of the Party in whose courts the suit against the member has been instituted. In the United Nations, the Secretary-General has access to Member States through the system of Permanent Missions to the United Nations, which enables him or her to seek assistance if an official, an expert on mission or the organization is sued in the courts of that Member State.", "3. A formally recognized channel of communication to the appropriate authorities is invaluable in ensuring that the request will be handled promptly by the relevant authorities of the Party. It is recommended that the COP/MOP, in a decision, request all Parties to advise the Executive Secretary of the official channel of communication that he or she should use concerning the legal proceedings against individuals serving on constituted bodies and ERTs in a national court of a Party.", "4. The reason for establishing an official channel of communication for these matters is to enable the Executive Secretary to request assistance from the Party in order to have the matter referred to the appropriate dispute settlement arrangements. The appropriate State authorities may be able to use their good offices to convince a plaintiff to use the dispute settlement arrangements established by the COP/MOP. Some Parties may be able to notify their national courts of the arrangements made by the COP/MOP for settlement of disputes with their nationals, others may supply official confirmation of this fact but may be unwilling or unable to intervene in a timely manner in a private law suit.", "5. The Executive Secretary must thus have authority to engage local counsel if necessary because some jurisdictions permit access to courts only through properly licensed local attorneys.[6]", "2. Initial review of disputes, complaints and claims", "1. Most private and public legal entities with a grievance will contact the Executive Secretary or the member of the constituted body with details of their complaint and seek some remedy. There are a number of reasons which make it appropriate that the Executive Secretary provide an initial review of the matter:", "a. Central handling of grievances by the Executive Secretary will ensure an effective and consistent response because the Executive Secretary has access to the required expertise secretariat-wide;", "b. The Executive Secretary should have standing authority to obtain professional and external help to conduct an effective initial review, if this is necessary. This will ensure that the Executive Secretary is able to effectively recommend remedial measures, if needed, to the appropriate constituted body or the COP/MOP, as the case may be;", "c. It will ensure that only the most difficult disputes will need to be considered under the dispute settlement arrangements.", "2. This is the approach used by the United Nations to settle disputes and claims. At the first stage, the United Nations attempts to resolve disputes through negotiation. Contracts entered into by the United Nations provide that the negotiation process can be assisted by formal conciliation procedures if the parties agree. Only when all efforts to settle a case amicably have been exhausted does the United Nations turn to formal dispute resolution process through arbitration. [7]", "3. The advantages of a two-stage approach for dealing with third party claims against the United Nations were described in a 1996 report of the Secretary-General that noted, “In the vast majority of cases, the offer is accepted by the claimant and payment is made against the execution of a release form”.[8] The same conclusion is reached in the Secretary-General’s 1995 survey of the operation of all dispute resolution mechanisms in the United Nations.[9] The importance of an effective initial review thus cannot be overemphasized.", "4. Once an entity decides to submit a dispute, complaint or claim, it is also crucial that the member of a constituted body or ERT against whom the claim is made immediately forwards all relevant papers to the Executive Secretary. If the case cannot be settled during the initial review, it will have to be submitted to the formal dispute settlement arrangement. The Legal Adviser would be required to assist in defending the disputes, complaints and claims in an arbitration process. Depending on the complexity of the matter, this assistance could be provided by existing staff, by recruiting specialist temporary staff, and/or through a specialist law firm.", "A. Arrangements for dispute settlement", "1. Necessary characteristics", "1. The dispute settlement arrangements should be established by a decision of the COP/MOP and should provide for a full and independent review of claims. The procedures have to ensure that decisions are binding on the parties.", "2. A national legal system is more likely to recognize as valid the formal consent or declaration to submit a dispute for final adjudication to an agreed dispute settlement arrangement that provides a fair, independent and binding process that enables claimants to have an independent review of their claims after a full and fair hearing that satisfies basic due process requirements and enables claimants to be accorded proper opportunities to present their case. Guidance as to the necessary characteristics of dispute settlement arrangements for addressing claims by private and public legal entities can be found in a number of international legal instruments.[10]", "3. The COP/MOP should ensure that the arrangements for dispute settlement are independent of the COP/MOP and its bodies, and that the adjudication of disputes is not subject to its direction, or that of the Executive Secretary. The arrangements could either use an existing institution or be separately established.", "1. Utilize dispute settlement arrangements established by the United Nations", "1. Such a dispute settlement procedure would require specialized expertise. Consequently, it is highly unlikely that an existing dispute settlement arrangement or dispute resolution mechanism in the United Nations would be suitable or easily adaptable to this task.", "2. A 1995 report of the Secretary-General[11] described various bodies that the United Nations has utilized to adjudicate disputes. The most common method is arbitration pursuant to the UNCITRAL Arbitration Rules, often facilitated by having the arbitration administered by an established arbitral body such as the International Chamber of Commerce (ICC). The procedures to be followed by the ICC would be general arbitration procedures rather than the provisions adopted by the COP/MOP, relating to the special needs of the Kyoto Protocol and the disputes arising out of the operation of the mechanisms under the Kyoto Protocol.", "3. The United Nations has also established a Claims Commission in its peacekeeping operations, but these bodies would be totally unsuited as vehicles to adjudicate disputes arising under the Kyoto Protocol.", "4. The United Nations Administrative Tribunal adjudicates disputes between the Secretary-General and staff. However, the statutes and rules of that body would require substantial revision to make them suitable and that would require concurrence of the Tribunal as well as the General Assembly. This is likely to be a lengthy process, especially as major reforms of the Tribunal are now before the General Assembly.", "2. Creation of new dispute settlement arrangements", "1. The credibility of the dispute settlement arrangements is crucial, and a precondition to their acceptance is that they must be seen by all stakeholders to be fair, equitable and impartially administered. It follows that it is crucial that the proposed structure and procedures of the arrangements should be established by the COP/MOP. The venue for the settlement of any disputes, complaints or claims would be based in the host country of the secretariat, where the regime of privileges and immunities established by the Headquarters Agreement is in force.", "2. The body set up to settle the disputes should be composed of experts in the appropriate fields, with qualifications elaborated by the COP/MOP, working in accordance with the Kyoto Protocol and the procedures established by the COP/MOP. It may therefore be more efficient to establish separate arrangements for the purposes of the Protocol rather than try to adapt existing mechanisms from other organizations.", "3. Such a body need not be a standing body but would meet as necessary to consider cases submitted for adjudication. Delegates or former delegates of Parties to sessions of the COP/MOP or current or former members of a constituted body or ERT would not serve in this body. A roster of experts nominated by the COP/MOP or the secretariat on the basis of their professional expertise could be established, and in the event of a dispute each party would select one member and the third would be selected by both parties. In the event that they could not agree on the third member of this body, the rules of procedure could supply a process where the Presiding Officer is chosen by an independent third person.", "4. The decision of the COP/MOP that establishes the dispute settlement body should ensure that its decisions are binding and specify the operational independence of the process. Of course, the COP/MOP may prospectively change substantive rules or procedures in the light of decisions of the dispute settlement body but the decision itself must be binding on the COP/MOP. To further simplify the establishment of and work of this body, the UNCITRAL Arbitration Rules, which are accepted worldwide, could from the basis of rules of procedure of the dispute settlement body.", "5. In order to avoid the appearance of conflicts of interest the staff providing support to the dispute settlement body must, in the performance of their duties, be subject to direction by the Presiding Officer(s) of this new body and not by the Executive Secretary, just as United Nations staff serving in the Secretariat of the United Nations Administrative Tribunal are subject to direction by the President of the Tribunal.[12]", "3. Acceptance of the dispute settlement arrangements", "1. Approval by the COP/MOP of any dispute settlement arrangements would need to emphasize that they constitute the exclusive remedy system, and that participants in the mechanisms under the Kyoto Protocol must formally consent or declare that their participation is conditional on their acceptance of these arrangements as the exclusive remedy system in case of any disputes, complaints or claims against constituted bodies or members thereof.", "2. Any decision by the COP/MOP to establish a separate dispute settlement body should unequivocally state that the body has exclusive jurisdiction in respect of all disputes arising from the mechanisms under the Kyoto Protocol. If the dispute settlement arrangements are credible, the creation of the body will be welcomed by most private and public legal entities because it would ensure that errors would be subject to a competent remedial process rather than a protracted dispute in a national court against the unanimous wishes of the Parties to the Kyoto Protocol.", "3. The effectiveness of the dispute settlement arrangements will depend on national courts recognizing and enforcing the decision of the COP/MOP. In preparing the decision to establish the dispute settlement body and the conditions for putting it into operation, Parties should ensure that the draft decision includes necessary provisions obliging all Parties to inform their national courts of these arrangements through their State Legal Counsel or Attorney General.", "B. Resource implications", "1. As recommended above, all disputes, claims and suits against individuals serving on constituted bodies and ERTs should be handled by the Executive Secretary using the resources of the secretariat augmented, as appropriate, by temporary staff and such external legal and professional services as needed. This would ensure that each case is handled professionally and consistently. It would enable the Kyoto Protocol mechanisms to profit from lessons learned from each case. Such central handling of appeals and claims by the Executive Secretary is also consistent with the Headquarters Agreement, which applies the United Nations regime of privileges and immunities to the Kyoto Protocol in Germany and empowers the Executive Secretary to represent it in legal proceedings.", "2. There are three major aspects in planning the resources and budget for providing assistance to individuals serving on constituted bodies and ERTs to deal with disputes, complaints and claims:", "a. Provision of legal counsel to assist in handling the disputes, complaints and claims before national courts or before a dispute settlement body;", "b. Financing the dispute settlement arrangements and meetings of a dispute settlement body;", "c. Funds to cover the payment of awards against claims decided by the national courts or a dispute settlement body.", "3. Given the uncertainties in the number and scope of cases, it is not possible at this stage to present credible estimates of resource requirements. The 2006–2007 programme budget for the secretariat does not include resources to deal with disputes, complaints or claims against constituted bodies or members thereof, or to implement the responsibilities described above. Additional Professional and General Service staff would be required, with the numbers based on the scale of resources needed to engage specialist legal advice. Budgetary estimates could range from hundreds to thousands of dollars based on the assumptions. One approach for the initial period would be for the Executive Secretary to seek authority to incur necessary expenses within overall budgetary authority and report any adjustments at the end of the budget period. Estimates of future costs would then be made based on experience during the initial period.", "1. Legal Counsel", "1. The first aspect is the cost of addressing the disputes, complaints or claims filed in national courts. This includes the cost of secretariat resources, i.e., the Office of the Legal Adviser of the secretariat, perhaps working with the assistance of the authorities of the Party concerned, in seeking to convince the national court to dismiss the case. This may be time-consuming and labour-intensive since the court may need full details of the dispute settlement arrangements and a detailed explanation of how the mechanism can resolve the particular grievance of the plaintiff in a fair and objective manner. Initially it may be possible to utilize secretariat resources to defend the substance of the claim, but the complexity of some matters may warrant using a specialist law firm, or recruiting specialist staff, to lead the defence of the cases before the dispute settlement arrangements.", "2. If a national court decides to assume jurisdiction, or if an initial hearing has been scheduled before the assistance of the relevant Party has been secured, it may be necessary to retain local counsel in order to attempt to have the case dismissed. Obtaining dismissal of a suit instituted in a national court may result in difficult legal issues. Requests for dismissal will have to be based on the fact that the entity that instituted the litigation had agreed to use the dispute settlement arrangements adopted by the COP/MOP, agreement to which was made a condition of participation in the mechanisms under the Kyoto Protocol. This raises factual issues that a court may examine and may seek the views of the plaintiff. It follows that the duration of the case and, consequently, estimating the costs of convincing a national court to dismiss the appeal will depend on many variables. The costs are even more difficult to predict if the suit is instituted by an entity that is not participating in the mechanisms under the Kyoto Protocol.", "3. If an independent dispute settlement body is created by the COP/MOP, the task of a local counsel may be confined to showing why the agreement to submit the dispute to the dispute settlement arrangements should be enforced.", "4. The Office of the Legal Adviser of the secretariat currently has no capacity to handle these claims. Accordingly, the Executive Secretary could be authorized to recruit additional staff or retain a legal counsel to deal with such lawsuits, if necessary, and therefore funding to retain legal counsel and costs of travel to attend any hearings should be included in the budget.", "5. The costs of retaining legal counsel to engage in substantive litigation before a national court could range from about USD 250,000 to USD 450,000 annually, depending on the jurisdiction where the claim is filed, the nature of the claim, and the amount of time required by the legal counsel.", "1. Financing the dispute settlement arrangements and tribunal", "1. The cost of the support for a dispute settlement body would need to be covered. If a roster of experts was used (see paras. 53–54 above) the costs would be limited to time worked, although it may be necessary to pay an honorarium to encourage qualified persons to volunteer for the roster. There would be initial uncertainty on the utilization rate of the dispute settlement arrangements, i.e., how often, and for what duration the dispute settlement body would need to meet. However, the costs would be directly related to the number and length of disputes. The estimated costs for supporting meetings of the dispute settlement body range from about USD 100,000 to USD 150,000 annually, depending on the number of cases to be addressed. These costs would comprise the following:", "a. The cost of travel;", "b. Daily subsistence allowance and other emoluments for the panel of the dispute settlement body;", "c. Fees to be paid to the panel of the dispute settlement body.", "2. Budgeting for the payment of awards", "1. The third type of costs would be the cost of implementing any decision or award made by the arbitration body. It is hard to estimate the amount of such costs or awards. One possibility could be to attempt to obtain commercial insurance to cover the risk of litigation caused by errors committed by individuals serving on constituted bodies and ERTs in performing their duties. This would involve the secretariat engaging a reputable insurance broker to examine the functions being performed by individuals serving on constituted bodies and ERTs and the consequent risk of loss.", "2. Even if coverage were obtained, there would be the normal protracted discussions with the insurance company over whether attorney fees and other costs incurred were reasonable and necessary. Insurance is a tool for risk management and, depending on its cost and coverage, it might be an attractive option. This could be discussed further with an insurance broker. The premium for insurance for this type of coverage could be very high and involves many complex issues. The secretariat should be requested to consult further with relevant insurance agencies on this issue and report on the outcome of the consultations to the SBI at its next session.", "3. Secretariat support", "1. As noted above, secretariat support would be required to process and manage the preparation and submission of the declarations from private and public entities participating in CDM, JI and ET, and report on the submissions made and those outstanding to the COP/MOP, the CDM Executive Board and the JISC. Dedicated secretariat support would be required to deal with the disputes, complaints and claims submitted to dispute settlement, and to support the panel of the dispute settlement body, if a new body were established. Resources would be required to cover the salary and travel for Professional and General Services staff, including the travel and expenses for officials from the Office of Legal Affairs of the United Nations to provide assistance, if necessary. The estimated costs of secretariat support range from about USD 250,000 to USD 270,000 annually.", "V. Conclusions", "1. It is difficult to determine if and when disputes, complaints and claims may be made against constituted bodies under the Kyoto Protocol, or individuals serving on such bodies. Such disputes, complaints or claims may be made by private and public legal entities participating in the mechanisms under the Kyoto Protocol, or by other affected legal entities that are not participating in the mechanisms. Such claims may be brought in any national court worldwide. As has been noted, the lack of the necessary privileges and immunities for individuals serving on constituted bodies and ERTs leaves them vulnerable to such claims being brought against them.", "2. Parties need to take a decision on providing the necessary privileges and immunities to shield the individuals serving on constituted bodies from personal liability. The Office of Legal Affairs of the United Nations has provided a number of options for consideration by Parties.", "3. Parties should also consider the arrangements that should be put in place to deal with the substance of the disputes, complaints and claims concerning the decisions taken by individuals serving on constituted bodies. Parties may wish to consider whether to use existing dispute settlement bodies under the United Nations, or establish a new dispute settlement arrangement.", "4. Such a decision or decisions by Parties would help to provide certainty and clarity to Parties, private and public legal entities participating in the mechanisms, and other stakeholders that disputes, complaints and claims concerning the work of the constituted bodies will be dealt with within the framework of the Kyoto Protocol, and not in domestic courts worldwide.", "[1] ^(*) This document was submitted late owing to the extensive research and consultations made necessary by the complexity of the issues addressed.", "[2] See document FCCC/KP/CMP/2005/6.", "[3] See documents FCCC/SBI/2005/23 and FCCC/SBI/2006/11 and decision 33/CMP.1.", "[4] Agreement between the Federal Republic of Germany, the United Nations and the secretariat of the United Nations Framework Convention on Climate Change concerning the Headquarters of the Convention secretariat, amended on 7 December 2005.", "[5] A/C.5/49/65 of 24 April 1995.", "[6] Generally, national courts tend to act on letters from the United Nations, or the Member State, referring to the United Nations immunity, because that immunity is set out in national law implementing the General Convention. But, at times, the United Nations has appeared in court to assert its immunity (e.g., De Luca v. United Nations Organization, 841 F. Supp. 531 (1994)). In the case of the Kyoto Protocol the situation is more complex, because there is no immunity to rely upon other than in Germany, under the Headquarters Agreement, or in States in which a host country agreement has been concluded concerning the meeting of the constituted body. The main question will be whether the national court should enforce the declaration to use the dispute settlement arrangements becomes an issue under the applicable law chosen by the national court to resolve the case before it.", "[7] Section 16 of the United Nations General Conditions of Contract contains provisions for the settlement of disputes, including first stage negotiation using, if necessary, conciliation procedures which may be formal conciliation pursuant to the UNCITRAL Conciliation Rules. Only if negotiation is unsuccessful is there resort to the formal dispute settlement process of arbitration (see <http://www.un.org/Depts/ptd/pdf/gencon.pdf>).", "[8] See Report of the Secretary-General, Administrative and budgetary aspects of the financing of the United Nations peacekeeping operations: financing of the United Nations peacekeeping operations, A/51/389, 20 September 1996, paragraph 23.", "[9] Report of the Secretary-General, Procedures in Place for Implementation of Article VIII, Section 29, of the Convention on the Privileges and Immunities of the United Nations, A/C.5/49/65, supra note 4.", "[10] Article 10 of the Universal Declaration of Human Rights; Article 6 of the European Convention for the Protection of Human Rights and Fundamental Freedoms; Article V of the 1958 United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards.", "[11] A/C.5/49/65, supra note 8, paragraphs 7, 13, 17 and 21.", "[12] See Article 3, paragraph 1, of the Rules of the United Nations Administrative Tribunal, AT/11/Rev.6." ]

[ "Subsidiary Body for Implementation", "Twenty-fifth session", "Nairobi, 6-14 November 2006", "Item 14 (d) of the provisional agenda", "Administrative, financial and institutional matters", "Agencies established under the Kyoto Protocol", "Privileges and immunities of persons serving in the service", "Privileges and immunities of the institutions established under the Kyoto Protocol", "Note by the Secretariat**", "In accordance with a request made by the Subsidiary Body for Implementation at its twenty-fourth session, the secretariat prepared the present note analysing two questions: (a) the private and national entities that have obtained the mechanisms established pursuant to Articles 6, 12 and 17 of the Kyoto Protocol may have implications and implications for the resources involved: any complaints, controversy or requirements for bodies or members established under the Kyoto Protocol are subject to the decisions of the COP and the Conference of the Parties to the Kyoto Protocol and are presented at the headquarters of the secretariat; and (b) the role of the institutions in the formal functions and in the maintenance of such claims, including the possible financial implications for the secretariat. In accordance with this analysis, the Subsidiary Body for Implementation is invited to consider and submit a draft decision, as appropriate, to the COP and the Kyoto Protocol.", "Paragraphs Page", "Paragraphs Page", "Introduction 1 - 4 3", "Mandate 1 3", "Scope of the note 2 - 3", "C. Possible action by the Subsidiary Body for Implementation 4", "Background 5 - 14 4", "Overview 5 - 6 4", "Participation of private and public legal entities in the Kyoto Protocol", "Mechanisms under way 7 - 11 5", "C. Disputes that may arise against persons serving in established bodies", "The nature of complaints or requests 12 - 14 6", "iii. Formal consent or declaration by private or public legal entities of the request: Requests by Secretariat headquarters pursuant to decisions of the Conference of the Parties and the Kyoto Protocol 15 - 34 7", "Purposes and elements 15 - 22 7", "Impact of the declaration at the international level 23 - 26 9", "C. Impact of the statement in the country 27 - 31 10", "Conference of the Parties and the Kyoto Protocol", "Impact of existing decisions 32 - 33 11", "E. Sources to the Secretariat 34 12", "Servicing of the body in question, complaints and requests", "Assistance 35 - 71 12", "Role of the Executive Secretary 36 - 44 12", "Dispute settlement arrangements 45 - 59 14", "C. Resource implications 60 - 71 17", "Conclusions 72 - 75 20", "Introduction", "Mandate", "At its twenty-fourth session, the Subsidiary Body for Implementation requested the Executive Secretary to prepare a note on a number of issues relating to the privileges and immunities of persons serving in the institutional and expert review teams established under the Kyoto Protocol for consideration by the Subsidiary Body for Implementation at its twenty-fifth session:", "(a) The written consent of private and State entities seeking to participate in the mechanisms established in Articles 6, 12 and 17 of the Tokyo Protocol may give rise to questions posed by international and national States, including practical and legal issues and financial questions: Any complaints, controversy or requirements for the establishment of institutions established under the Kyoto Protocol or for persons serving in the establishment and expert review teams shall be submitted at the headquarters of the secretariat in accordance with the decisions of the Conference of the Parties and the Conference of the Parties to the Kyoto Protocol;", "(b) Provision of assistance to the established body or expert review teams, upon request, in relation to disputes, complaints or requests relating to their official functions, may bring legal and practical questions to the Secretariat and, in such cases, options for contact between the Executive Secretary and the States concerned for further discussion.", "Scope of the note", "The present note discusses issues relating to the privileges and immunities of persons serving in established bodies, including:", "(a) The impact of the activities of the relevant institutions and expert review teams on private and public entities, as well as possible disputes, complaints and requests for personnel serving in the established bodies.", "(b) The private and public entities participating in the mechanism under the Protocol for the purpose and elements of formal agreement or declaration on disputes, complaints and requests at Secretariat headquarters, including the impact of such statements on international and national.", "(c) In dealing with disputes, complaints and requests, the Executive Secretary may assist the categories of persons serving in the institutions concerned; the possible arrangements for resolving disputes; and the provision of funds that may be covered by such assistance.", "The present note shall be read in conjunction with the following documents:", "(a) A note prepared by the Secretariat outlining issues relating to the privileges and immunities of persons serving in the institutions concerned and setting out options that could be considered by the Conference of the Parties and the CMP (CMP) FCCC/KP/CMP/2005/6;", "(b) Report of the Secretariat on consultations with the Secretary-General of the United Nations on the privileges and immunities of persons serving in the bodies concerned (A/CN.9/WG.VI/WP.1 and Corr.1, annex). FCCC/SBI/2006 and FCCC/SBI/2006/20;", "(c) Parties' views on this issue (FCCC/SBI/2006/MISC.6 and Add.1).", "C. Possible action by the Subsidiary Body for Implementation", "The Subsidiary Body for Implementation may wish to consider what action is being taken to provide the necessary immunity to the members of the body concerned, taking into account the recommendations of the United Nations Office of Legal Affairs contained in document FCCC/SBI/2006/20. The Subsidiary Body for Implementation may also wish to recommend that the COP and the CMP adopt a draft decision:", "(a) Call for the formal consent or written statement of private and public legal entities seeking to participate in the mechanisms established under Articles 6, 12 and 17 of the Kyoto Protocol, with respect to any controversy, petitions or requests for the representation of the body or expert review teams under the Kyoto Protocol at the headquarters of the secretariat, in accordance with the decisions of the Conference of the Parties and the CMP;", "(b) Provision of dispute resolution arrangements for any dispute, complaint or request for personnel serving under the Kyoto Protocol;", "(c) To request the Secretary of the report to assist in the settlement of disputes, complaints and requests against the members of the body established;", "(d) To address the financial implications of assisting the personnel serving in the institutions involved in resolving their disputes, complaints and requests, as well as the identification of dispute resolution arrangements and meeting potential successful requests.", "Background", "Overview", "Some have expressed concern about the lack of privileges and immunities for members of the bodies established under the Kyoto Protocol (the Executive Board of the Clean Development Mechanism, the Joint Implementation Supervisory Committee (ISC), the Compliance Committee and the Expert Review Group established pursuant to Article 8); in this regard, the COP and the CMP considered the question of privileges and immunities for the first time. [2] The Subsidiary Body for Implementation further discussed this issue at its twenty-third and twenty-fourth sessions. [3]", "At the request of the Parties, the secretariat contacted the Secretary-General of the United Nations to seek his views on the privileges and immunities of the institutional and expert review teams established under the Kyoto Protocol, in particular in the context of the 1946 Convention on the Privileges and Immunities of the United Nations (hereinafter referred to as the General Convention). FCCC/SBI/2006/6 and FCCC/SBI/2006/20 refer to the relevant response of the United Nations Office of Legal Affairs.", "Participation of private and public legal entities in mechanisms under the Kyoto Protocol", "A number of mechanisms have been established in accordance with the Kyoto Protocol. The Parties to the Protocol may use these mechanisms to promote the achievement of quantified emission limitation and reduction commitments under Article 3, paragraph 1, of the Kyoto Protocol. The mechanisms include the clean development mechanism established under Article 12, the joint implementation mechanism established under Article 6 and emission trading mechanisms established pursuant to Article 17. Parties may authorize private and/or public legal entities to participate in these mechanisms (see decisions 3/CMP.1, 9/CMP.1 and 11/CMP.1. Thus, private or public legal entities are directly involved in the implementation of the mechanism and are indirectly involved in its implementation. Currently, about 7,000 private and public legal entities participate in mechanisms under the Kyoto Protocol, including:", "(a) Project participants - Parties authorize private and/or public legal entities involved in the clean development mechanism or joint implementation of project activities;", "(b) The designated operating entity - the temporary authorization and designation of the Clean Development Mechanism (CDM) and the domestic legal entities or international organizations accredited by the Conference of the Parties and the Protocol;", "(c) Authorized independent entities - domestic legal entities or international organizations authorized by the CIS;", "(d) Legal entities authorized to transfer and/or acquire emission reduction units, certified emission reductions, assigned amount units or removal units under the Kyoto Protocol.", "Other relevant private entities other than those designated as project participants or participating in emissions trading will be affected by decisions relating to the Clean Development Mechanism, joint implementation or emissions trading. Many entities do not engage directly with the Clean Development Mechanism Executive Board or the JISC, but are not included as units that participate formally in the Clean Development Mechanism or jointly in the implementation of project activities. Such entities include:", "(a) entities directly involved in the Clean Development Mechanism/Joint Implementation Project (without participation in project activities themselves), such as project development units, financing institutions, equipment suppliers and landowners;", "(b) Beneficiaries of the project, such as electricity consumers, employees of the project and their families, benefit from the local environment improved communities.", "The decisions of institutions established under the Kyoto Protocol, in particular the Executive Board of the Clean Development Mechanism and the CIS, directly affect investment decision-making in the public and private sectors worldwide. Investment activities arising from the Clean Development Mechanism, joint implementation and emissions trading are one of the success of these mechanisms, but also increased the risk that decisions of these institutions and their members are challenged.", "The implementation of the decisions and activities of the Commission may also affect private and public entities. In particular, the executive branch of the Committee has the authority to determine the consequences that Parties do not fulfil their commitments, including their eligibility to participate in the mechanisms under the Kyoto Protocol. Therefore, decision-making in the hospitality sector has a considerable impact on Parties and private and public legal entities participating in these mechanisms.", "The expert review team shall assess the implementation of commitments by Parties and identify issues related to the implementation of the outcome. Although the expert review team did not make a decision, its assessment was based on the implementation of the Committee and the Conference of the Parties and the CMP.", "C. The nature of disputes, complaints or requests that may occur against persons serving in established bodies", "The Parties to the Kyoto Protocol, once they believe that the decisions of the institution are problematic or unjust, can make complaints to defend their interests through a number of procedures and approaches. Parties are not in a position to submit a complaint to the National Court for staff serving in the established bodies. They can use the rights and approaches granted by the Kyoto Protocol and the procedures provided in the decisions of the Conference of the Parties and relevant bodies established by the Protocol. They may also lodge complaints directly to the Conference of the Parties and the CMP, for example when discussing the reports of the body established or when considering decisions concerning specific bodies.", "On the other hand, private and/or public entities affected by a decision of a given body do not currently have the means or procedures available to raise their objections, complaints or concerns. The lack of formal procedures available to private or public legal entities to raise and address their concerns adds to their possibility of submitting complaints, challenging decisions or seeking remedies to national courts.", "Possible disputes, complaints and requests for personnel serving in established bodies or expert review teams include:", "(a) Excluding the granting of authority - certain decisions of the established body or expert review teams go beyond the granting of authority or the lack of legal basis for certain decisions or interpretations of COP and CMP decisions;", "(b) Substantive error decision - decisions based on de facto technical or scientific findings. This is particularly relevant to the fact that some decisions violate the rights of private or public legal entities, while the institutions established do not take preventive measures in accordance with the decisions of the Conference of the Parties and the CMP to avoid such harm;", "(c) Conflict of interest - conflicts of interest in decision-making by established bodies or expert review teams;", "(d) Violations of the principle of confidentiality - allegedly in violation of the principle of confidentiality;", "(e) Violations of procedural rights - alleged acts of a body or expert review group members that are not in accordance with operational policies, procedures or practices, thereby violating the rights of private and/or public legal entities;", "(f) Disadvantages in decision-making - according to allegations, decisions, recommendations or other actions of the body or expert review teams are biased or inappropriate.", "iii. Formal consent or declaration by private or public legal entities of the request: Request by the secretariat headquarters in accordance with the decisions of the Conference of the Parties and the Conference of the Parties to the Kyoto Protocol", "Purposes and elements", "Private and public legal entities that seek to participate in mechanisms established pursuant to Articles 6, 12 and 17 of the Kyoto Protocol may be required to formally express their consent, including through statements: any controversy, complaints or requests relating to projects under the request or participation mechanism shall be submitted at the secretariat headquarters in accordance with the decisions of the Conference of the Parties and the CMP.", "What is the meaning of “proposed at Secretariat headquarters”? This may be one of the following two terms:", "(a) Disputes, appeals and requests may be submitted to a national court in the host country of the Secretariat; in such cases, the Secretariat must request the rejection of the acceptance in accordance with the provisions of the Headquarters Agreement [4] and resolve disputes, complaints and requests through dispute resolution arrangements;", "(b) Disputes, appeals and requests may be made directly to the Executive Secretary, and the Executive Secretary will have to resolve the issues in accordance with the dispute resolution arrangements adopted by the Headquarters Agreement.", "Under both programmes, the Secretariat has statutory obligations to ensure that disputes, complaints or requests are addressed through dispute resolution arrangements (see paras. 25-26 below).", "With regard to consent to any request, this provision was made at the headquarters of the secretariat in accordance with the decisions of the Conference of the Parties and the Conference of the Parties to the Protocol, with the aim of protecting the functions of the institutions established under the Kyoto Protocol from the request of the national courts. Therefore, entities considering making such statements should ensure that:", "(a) The declaration covers all activities and decisions of the bodies established and the members of the panel of experts established;", "(b) Private and public-private legal entities agree that all disputes, complaints and requests for the functions of the bodies or bodies established under the Kyoto Protocol or expert review teams are presented at the secretariat headquarters and are addressed through the dispute resolution arrangement between the COP and the CMP;", "(c) Private and public legal entities agree that the result of this dispute settlement arrangement is final solutions and binding.", "In particular, if the declaration is made as a condition for the participation of the mechanisms under the Kyoto Protocol, it is necessary to meet the following criteria:", "(a) Written;", "(b) Private and public legal entities recognize that dispute settlement arrangements are open;", "(c) Reference is made to decisions of the Conference of the Parties and the CMP on dispute resolution arrangements;", "(d) It was emphasized that the dispute settlement arrangement referred to was ranking and provided with a full and final solution;", "(e) It is clear that participation in the mechanisms under the Kyoto Protocol is provided that it agrees to apply the dispute resolution arrangements;", "(f) It is clear that any other dispute, complaint or request shall also be made at the headquarters of the secretariat in accordance with the decisions of the Conference of the Parties and the CMP;", "(g) Including recognition of the legal full understanding that legal counsel has been consulted.", "The submission of such written statements is a condition for the achievement of the following purposes: authorized by an operating entity (the clean development mechanism) or an independent entity (joint implementation), registration of a clean development mechanism or joint implementation of project activities, submission of new methodologies or requirements for modification of existing methodologies. All private and public legal entities requiring project participants as specific project activities must formally agree on these conditions.", "The statement will be submitted, together with the following documents, to the secretariat by (e.g., the designated operating entity or an accredited independent entity: the relevant correspondence for the registration project, an instrument of ratification or authorization. The units participating in multiple projects can only implement a declaration.", "Where the clean development mechanism project or the joint implementation project has been registered at the time of adoption by the COP and the CMP, the relevant requirements apply to the next interaction of the designated operating entity or an accredited independent entity with the established body. The designated operating entity or an accredited independent entity may be required to obtain statements to be submitted to the secretariat. The secretariat shall be requested to provide the Executive Board of the Clean Development Mechanism, the CIS and the COP and the CMP with updated statements received.", "Impact of the declaration on the international level", "The conclusion of separate agreements by the United Nations to resolve disputes is not unusual. In accordance with article 8 of the General Convention, the practice of the United Nations is established in commercial agreements to resolve all disputes that cannot be resolved through arbitration. The practice of the United Nations is to conclude a separate arbitration agreement with respect to disputes that are not based on commercial agreements and do not provide other dispute resolution mechanisms. [5]", "This arbitration agreement provides that the parties to the agreement submit disputes between them and relating to their specific legal relations to arbitration regardless of whether such relations are provided for in the contract. The form of an arbitration agreement may be an arbitration clause in the contract or a separate arbitration agreement. The arbitration proceedings in conformity with the United Nations International Trade Law Arbitration Regulations, whether the arbitration clause in the contract or a separate arbitration agreement, are required. Most disputes involving the United Nations were negotiated. Arbitration is a final solution for disputes that cannot be resolved through conciliation.", "The Secretariat Headquarters Agreement extends the scope of application of the Convention to officials and representatives of the United Nations Framework Convention on Climate Change (the Convention) and its Kyoto Protocol in the host country of the Secretariat. This means that the members of the body responsible for the exercise of their personal functions enjoy immunity in the performance of their duties in the host country of the Secretariat. On the contrary, the Secretariat must also make provision for the appropriate resolution of the following controversy:", "(a) The Secretariat, as a party, disputes arising from contracts or other disputes of private law;", "(b) The dispute involving officials of the Secretariat, which enjoys immunity because of their official functions, has not been dismissed.", "The Headquarters Agreement therefore extends the scope of application of the dispute resolution provisions of the General Convention to the Convention and its Kyoto Protocol to the host country of the Secretariat.", "C. Impact of the statement in the country", "It has to be said that even if a third party has writtenly stated that they agree to submit the dispute to the designated international dispute settlement arrangement, there are some legal systems that allow the dispute to be brought before the national courts. However, if national courts are to be convinced that an independent and impartial remedy system under the Kyoto Protocol can be adequately protected by third parties, national courts may respect such declarations.", "The National Court will seriously verify whether private entities have been fully informed and aware of the impact of such statements. It is therefore important to state the procedural rights to be enjoyed by a party that renounces recourse to national courts in accordance with the dispute resolution arrangements approved by the Conference of the Parties and the CMP.", "Therefore, the establishment of a process of settlement of disputes, complaints and requests made by private and public legal entities is a condition for the effective protection of the body established and expert review teams. Even if the dispute settlement arrangement may also encourage national courts to transmit legal proceedings to national courts at the headquarters of the Secretariat, in accordance with the decisions of the Conference of the Parties and the CMP.", "The need for elements should include:", "(a) Dispute settlement arrangements under the Protocol provide an effective remedy that can be achieved;", "(b) Statement:", "To provide an independent comprehensive review of disputes, complaints and requests;", "Requests for due process;", "Provide a system for the full and fair trial of disputes, complaints and requests;", "The applicant has sufficient opportunities to clarify its merits.", "The Executive Secretary may still apply the dispute resolution arrangements made by the Conference of the Parties and the CMP, in accordance with statements made by the private and public entities concerned. The only real difference may be the level of cooperation between national authorities and non-party national authorities and the Executive Secretary.", "Impact on existing decisions of the Conference of the Parties and the Kyoto Protocol", "In the light of the above discussion, the Conference of the Parties and the CMP will need to adopt a decision calling for the participation of private and public legal entities seeking to participate in the Clean Development Mechanism, the joint implementation and emission trading, to make a statement in favour of any controversy, complaints and requests for the staff of the established bodies and expert review teams, which will be submitted at the headquarters of the secretariat in accordance with the decisions of the COP and the CMP. In addition, such a decision is particularly important:", "(a) Provide elements for such statements;", "(b) Authorizes the secretariat to facilitate the completion and submission of such statements as well as the status of the submission and submission of statements to the Conference of the Parties and the CMP, the clean development mechanism Executive Board and the JISC;", "(c) Making the submission of such statements a condition for participation in the Clean Development Mechanism, joint implementation and emissions trading;", "(d) Establish final and binding dispute resolution arrangements in accordance with the Headquarters Agreement.", "The Conference of the Parties and the CMP shall, in that decision, request Parties, the Clean Development Mechanism (CDM) and the CIS to ensure the implementation of this decision so that private and public legal entities authorized to participate in the mechanisms are in compliance with this request.", "E. Resource implications for the Secretariat", "In order to ensure efficiency, the secretariat will need to allocate designated persons and funds to address and manage the preparation and submission of such statements, to respond to issues raised by private and public legal entities and to submit and submit declarations to the Conference of the Parties and the CMP, the clean development mechanism Executive Board and the CIS. See paragraphs 60-70 below on the resource implications for the Secretariat.", "Assistance to personnel serving in the disputed, complaints and requests", "Generally, officials or agents of an international institution acting in their public office are the conduct of that body, even if its conduct exceeds the authorized limits or violates instructions. Generally, as long as the experts of the bodies or expert review teams established under the Kyoto Protocol act in their public office, the relevant bodies are responsible for their conduct. The scope of the assistance provided by the Executive Secretary depends on the dispute or request to be submitted to the national courts or, in accordance with the decisions of the Conference of the Parties and the CMP and the statements by private and public legal entities participating in the mechanisms established under Articles 6, 12 and 17 of the Kyoto Protocol, submitted at the Secretariat headquarters.", "Role of the Executive Secretary", "Assistance provided when disputes, complaints and proceedings are submitted to national courts", "It is very important that members of any body or expert review team that has been indicted or may be prosecuted in a national court immediately submit the relevant documents to the Executive Secretary. Time is crucial in dealing with the threat of litigation or litigation. The Legal Counsel of the Secretariat shall participate in the preparation of any institutional response to the threat of legal proceedings or legal proceedings. The Legal Counsel will need unrestricted access to the staff of the established bodies and expert review teams, as well as access to the relevant work areas of the Secretariat and, where necessary, external technical or professional assistance.", "A key part of any system to deal with proceedings before national courts is the immediate contact with the State authorities of the State party in which the court dealing with the case of a member. At the United Nations, the Secretary-General could contact Member States through the United Nations delegation system, which would enable him or her to seek assistance if he was prosecuted by a Member State.", "An officially recognized channel of communication with the appropriate authorities would have an unpredictable value, and it would ensure that the relevant authorities of the Parties deal with requests in a timely manner. It is recommended that the Conference of the Parties and the CMP adopt a decision inviting all Parties to notify him or her of the official communication channels that the Executive Secretary should use in order to exchange information on legal proceedings against established bodies and expert review teams.", "The purpose of establishing formal communication channels for such issues is to enable the Executive Secretary to invite Parties to assist in the submission of relevant issues to appropriate dispute resolution arrangements. Appropriate national authorities may persuade the plaintiff to use dispute resolution arrangements established by the Conference of the Parties and the CMP through good offices. Some Parties may notify their national courts of the arrangements of the Conference of the Parties and the CMP to resolve their disputes with their nationals, while others may formally recognize this reality, they are reluctant or unable to intervene in a timely manner in private proceedings.", "Therefore, the Executive Secretary must be entitled, if necessary, to hire local lawyers, since certain judicial authorities only allow for dealing with courts through local lawyers with formal licences. [6]", "First instance of controversy, complaints and requests", "Most private and public legal entities that do not coincide with the Executive Secretary or members of the body established will contact the Executive Secretary and seek some remedy. A series of reasons indicate that the Executive Secretary should conduct the first instance of the issues concerned:", "(a) The concentration of complaints by the Executive Secretary in order to ensure an effective and coherent response, since the Executive Secretary can have the necessary expertise available to the Secretariat as a whole;", "(b) The Executive Secretary shall have the fixed power to receive professional and external assistance to conduct effective first instance where necessary. This would ensure that the Executive Secretary may, where necessary, recommend effective remedies to the appropriate body or the Conference of the Parties and the CMP;", "(c) That would ensure that only the most difficult controversy is considered under the dispute settlement arrangement.", "This is the United Nations-used solution to disputes and demands. At the initial stage, the United Nations sought to resolve disputes through negotiations. The contract concluded by the United Nations provides that negotiations may be facilitated through formal conciliation procedures, if agreed by the parties concerned. Only after all conciliation methods have been exhausted, the United Nations will adopt a formal dispute resolution process through arbitration. [7]", "A report of the Secretary-General in 1996 provided information on the benefits of dealing with third-party complaints against the United Nations through two-phase approaches, which referred to: “The vast majority of the claimants in the case had accepted the price and paid under the signing of the renunciation schedule”. [8] The Secretary-General's survey of the operation of all dispute resolution mechanisms at the United Nations in 1985 also resulted in the same conclusion. [9] Thus, the importance of effective first instance cannot be overemphasized.", "It is also very important that members of a body or expert review team designated as the subject shall immediately provide all relevant documentation to the Executive Secretary once a entity decides to submit disputes, complaints or requests. If a problem cannot be resolved through first instance, it must be submitted to formal dispute settlement arrangements. In the course of arbitration, the legal advisers will be required to defend disputes, complaints and requests. Based on the complexity of the problem, such assistance may be provided by existing staff, experts on temporary employment or special legal services.", "Dispute settlement arrangements", "The characteristics necessary", "Dispute settlement arrangements shall be made in accordance with decisions of the Conference of the Parties and the CMP and shall provide adequate and independent requests for review. The procedures must ensure that decisions are binding on all parties.", "One country's legal system may be more likely to recognize that the formal agreement or declaration on the submission of disputes to an agreed dispute settlement arrangement to obtain final decisions is effective, but such arrangements should provide fair, independent and binding procedures to enable the requesting person to obtain an independent review of his claims before the proceedings are to be fully fair and meet the requirements of the basic due process so that the requested person has the right opportunity to present his or her case. The guiding principles on the necessary characteristics of dispute resolution arrangements that deal with the requirements of private and public legal entities are reflected in some international legal instruments. [10]", "The Conference of the Parties and the CMP shall ensure that the dispute settlement arrangements are independent of the COP and the CMP and its bodies, and that the decisions of the dispute are not influenced by their instructions or by the Executive Secretary. The arrangements should take advantage of an existing body or a separate institution.", "Use of dispute resolution arrangements established by the United Nations", "This dispute resolution process will require expertise. It is therefore very likely that an existing dispute resolution arrangement or dispute resolution mechanism within the United Nations is suited or easily adapted to that task.", "A 1995 report of the Secretary-General [11] presented various bodies used by the United Nations to adjudicate disputes. The most commonly used approach is arbitration in accordance with the United Nations International Trade Law Arbitration Rules, often through an existing arbitration body, such as the International Chamber of Commerce. The procedure followed by the International Chamber of Commerce is the ordinary arbitration process rather than the provisions on the special needs of the Kyoto Protocol adopted by the Conference of the Parties and the controversy arising from the operation of the mechanisms under the Kyoto Protocol.", "The United Nations has also established a commission on claims for peacekeeping operations, but such bodies are not fully suited to the ruling body of controversy arising under the Kyoto Protocol.", "The United Nations Administrative Tribunal ruled on the controversy between the Secretary-General and staff. However, in order to make it applicable, substantial changes are needed to the statutes and rules of the institution, which require the consent of the Tribunal and the General Assembly. This may require a long process, particularly taking into account the ongoing reform of the Tribunal by the General Assembly.", "Creation of new dispute resolution arrangements", "The credibility of the dispute settlement arrangement is important. A prerequisite for acceptance of such arrangements is the need for all stakeholders to believe that the management of such arrangements is fair, fair and unbiased. It is also important that the proposed structure and procedures for the organization be established by the COP and the CMP. The location to resolve disputes, complaints or requests should be located in the host country of the Secretariat, where the system of privileges and immunities established by the Headquarters Agreement is effective.", "Institutions established to resolve disputes should be composed of experts in appropriate areas, which must be in compliance with the conditions set by the Conference of the Parties and the CMP and in accordance with the procedures established by the Kyoto Protocol and the COP and the CMP. Thus, it may be more effective to establish separate arrangements for the purposes of the Protocol rather than to try to adapt existing mechanisms of other organizations.", "Such institutions do not need to be a permanent body to meet, if necessary, to consider cases of submission of decisions. Representatives or former representatives participating in the Conference of the Parties and the CMP, or current or former members of the established body or expert review teams, are not appropriate to serve in such bodies. The Conference of the Parties and the CMP or its secretariat may establish a roster of experts on the basis of nominations of expertise and experience of the persons concerned and, in the event of controversy, each Party may select a member, and the third may be jointly chosen by the parties. In cases where the parties cannot agree on the third candidate, the moderator may be chosen by an independent third party in accordance with the procedure set out in the rules of procedure.", "The decisions of the Conference of the Parties and the CMP to establish dispute resolution bodies should ensure that their decisions are binding and clearly define the independence of their operation. The Conference of the Parties and the CMP may, of course, change substantive rules or procedures in advance in accordance with the decisions of the dispute resolution body, but the decision itself must be binding upon the COP and the CMP. In order to further simplify the establishment and work of this body, the United Nations Rules of Arbitration of International Trade Law, recognized by the world, could serve as the basis for the rules of procedure of the dispute resolution body.", "In order to avoid the creation of conflicts of interest, staff members of the dispute settlement body are in compliance with instructions from the new institutional moderator rather than the Executive Secretary, as the United Nations Administrative Tribunal secretariat is in compliance with the instructions of the President of the Tribunal. [12]", "Acceptance of dispute resolution arrangements", "The approval by the Conference of the Parties and the CMP of any dispute settlement arrangement would need to be emphasized that such arrangements are the only remedial system, and that the participants in the various mechanisms under the Kyoto Protocol must formally agree or make, provided that they are recognized as the only remedy system to resolve any dispute, complaint or request against the established body or its members.", "Any decision of the Conference of the Parties and the CMP on the establishment of dispute resolution bodies should clarify that the proposed establishment body has exclusive jurisdiction over all disputes arising from the mechanisms under the Kyoto Protocol. If dispute resolution arrangements are reliable, most private and public legal entities would welcome the establishment of this institution, as it would ensure that errors are corrected through appropriate remedial procedures, not in violation of the common will of the Parties to the Kyoto Protocol are not contested by a national court.", "The validity of dispute resolution arrangements will depend on whether national courts recognize and implement the decisions of the Conference of the Parties and the CMP. In drafting decisions on the establishment of dispute resolution bodies and conditions for their operation, Parties should ensure that the draft decision includes provisions that require Parties to inform their courts through national legal advisers or the Minister of Justice.", "C. Resource implications", "As suggested above, all disputes, requests and proceedings against the personnel serving in the established bodies and expert review teams shall be dealt with by the Executive Secretary using the secretariat's resources; the Secretariat may, as appropriate, expand to employ some temporary staff, as required, and seek external legal and professional services. This would help to ensure that each case is treated with specialization and consistency, allowing the mechanisms under the Kyoto Protocol to draw lessons from each case. It was also consistent by the Executive Secretary to focus on complaints and requests and the Headquarters Agreement; the Headquarters Agreement applied the United Nations system of privileges and immunities in Germany to the Kyoto Protocol and authorized the Executive Secretary to represent it in legal proceedings.", "Planning resources and budgets are required to assist the established institutions and expert review teams in dealing with disputes, complaints and requests, three of which are:", "(a) To assist national courts or dispute resolution bodies in dealing with disputes, complaints and requests for legal advisers;", "(b) Funding for meetings of dispute resolution and dispute resolution bodies;", "(c) Payment of awards for national courts or dispute resolution bodies for claims.", "Owing to the number and scope of cases, there is no possibility at this stage to make reliable resource needs estimates. The secretariat's programme budget for 2006-2007 does not include funds for dealing with disputes, complaints or requests against established bodies or their members or for the fulfilment of these responsibilities. Additional Professional and General Service staff will be required, depending on the level of funding required to provide professional legal advice. Based on the speculation, estimates may vary from hundreds to thousands of United States dollars. An initial approach is to seek the necessary expenses within the overall budgetary authority of the Executive Secretary and to report any adjustments at the end of the budget period. Future cost estimates were then presented based on initial experience.", "Legal advisers", "The first aspect is the cost of dealing with disputes, complaints or requests submitted to national courts. This includes the costs of the Secretariat's various resources, i.e., the Office of the Legal Counsel of the Secretariat, which may work with the assistance of the relevant authorities of the Parties in order to persuade national courts to reject the cases. This may be time-consuming and man-made, as the courts may need to be fully aware of the dispute settlement arrangement and to provide detailed information on how the mechanism can address the specific issues of the plaintiff's complaints fairly and objectively. Initially, the resources of the Secretariat could be used to defend the substance of the requirements; however, owing to the complexity of certain issues, there may be a specialized legal service or the hiring of specialized personnel to guide the defence of cases dealt with in the dispute settlement arrangement.", "If a national court decides to exercise jurisdiction or if the date has been set for the first instance prior to the determination of the assistance of the Parties concerned, it may be necessary to retain local legal advisers to seek the court's refusal to accept cases. The dismissal of proceedings before national courts may raise some difficult legal issues. The request to reject the prosecution must be based on the agreement of the entity in charge of the proceedings to use the dispute resolution arrangements adopted by the Conference of the Parties and the CMP, while agreeing to use it as a condition for participation in the Kyoto Protocol mechanisms. This raises a number of factual issues, which may be examined by the courts and consulted by the plaintiff. The question thus raised is that the time required for the case and the persuasion of the State Court to reject the charges would depend on many uncertainties. If the proceedings are made by an entity that does not participate in the various mechanisms under the Kyoto Protocol, it is more difficult to predict.", "If the Conference of the Parties and the CMP have established an independent dispute resolution body, the task of local consultants will be limited to indicating why commitments should be honoured and the dispute settlement arrangement.", "The Office of the Legal Counsel of the Secretariat had no capacity to deal with such complaints. Therefore, the Executive Secretary may be authorized to recruit additional staff or hire a legal adviser if necessary, and the budget should include the cost of retaining the legal counsel and the travel of any trial.", "The cost of retaining legal advisers for substantive legal proceedings before national courts may be approximately $250,000 to $450,000 per year, depending on the location of the competent body to submit a complaint, the nature of the complaints and the time required by the legal advisers.", "Funding for dispute resolution arrangements and tribunals", "Dispute resolution agencies need support costs. If an expert roster (see paras. 53-54 above), costs will be limited to working hours, although, in order to encourage the voluntary listing of qualified personnel to pay a certain amount of honorary work. At the beginning stage, the utilization rate of the dispute settlement arrangement may be uncertain, i.e. the lengthy opening of the dispute resolution body and the need for time for each meeting cannot be determined. However, the extent and time of the dispute are directly related. The support costs of the dispute resolution body meetings amount to approximately $100,000 to 150,000 per year, depending on the number of cases to be processed. These costs include:", "(a) Travel;", "(b) Saturday subsidies and other compensation for members of the dispute resolution body team;", "(c) The salary of the members of the dispute resolution body team.", "Budget for payment of awards", "The third cost is the cost of implementation of any decision or decision of the arbitral body. It is difficult to estimate such costs or determine the payment. One may be the commercial insurance provided by an agency or expert review team serving on the basis of an error arising in the performance of its duties. This requires the secretariat to hire a good reputational insurance broker to conduct a study on the functions performed by the established institutional and expert review team personnel and related risks of loss.", "Even if insurance has been obtained, lengthy discussions are often required with insurance companies on whether the fees and other expenses incurred are reasonable and necessary. Insurance is a risk management tool, based on its costs and coverage, which is likely to be an attractive option. This could be further discussed by insurance brokers. The scope of such premiums may be high, covering many complex issues. The secretariat should be requested to provide further advice on this issue to the relevant insurance companies and to report the results to the Subsidiary Body for Implementation at its next session.", "Secretariat support", "As mentioned above, the secretariat will be required to support the preparation and submission of statements by private and public entities participating in the Clean Development Mechanism, joint implementation and emissions trading, and to submit and submit statements to the Conference of the Parties and the CMP, the Clean Development Mechanism Executive Board and the JIS. The handling of disputes, complaints and requests submitted to the dispute settlement arrangement and the work of the body team in the context of the establishment of a new dispute resolution body will require the assistance of the designated secretariat. Funds will be required to pay salaries and travel of Professional and General Service staff, including travel and other costs for staff of the United Nations Office of Legal Affairs, where necessary. The estimated secretariat support costs are approximately $250,000 to $270,000 per year.", "Conclusions", "It was difficult to determine whether or when disputes, complaints and requests were made for persons serving in institutions or such bodies established under the Kyoto Protocol. Such disputes, complaints or requests may be raised by private and public legal entities that participate in the various mechanisms under the Kyoto Protocol or may be raised by other legal entities that do not participate in these mechanisms but are affected. Such complaints may be submitted to any court in the world. As noted earlier, the necessary privileges and immunities for the members of the established bodies and expert review teams would make them vulnerable to their complaints.", "Parties need to take decisions to provide the necessary privileges and immunities for the members of the established body in order to enable them to avoid assuming personal responsibility. The Office of Legal Affairs of the United Nations presents a number of options for consideration by Parties.", "Parties should also consider identifying arrangements to deal with the substantive issues of disputes, complaints and requests relating to decisions taken by the establishment of the body. Parties may wish to consider using existing United Nations dispute resolution bodies or establishing new dispute resolution arrangements.", "Such a decision by the Parties would help Parties, private and public legal entities participating in various mechanisms and other stakeholders to acknowledge and clarify the controversy, complaints and requests for the work of the relevant institutions would be addressed within the Kyoto Protocol, not in courts around the world.", "The postponement of the submission of this text is due to the complexity of the issues involved, resulting in the need for extensive research and consultation.", "[2] 1 See document FCCC/KP/CMP/2005/6.", "[3] 2 See documents FCCC/SBI/2005/23 and FCCC/SBI/2006/11 and 33/CMP.1.", "[4] 3 The Agreement between the Federal Republic of Germany, the United Nations and the Secretariat of the United Nations Framework Convention on Climate Change, as amended on 7 December 2005.", "[5] 4 A/C.5/49/65, 24 April 1995.", "[6] 5 General circumstances, the National Court will act in accordance with the United Nations or Member States instruments relating to the immunity of the United Nations, as the immunity is described in national legislation implementing the Convention. In some cases, however, the United Nations has to appear to highlight its immunity (for example, in the De Luca v. United Nations case (841 F. Supp. 531, 1994). In relation to the Kyoto Protocol, the situation would be more complicated because there was no other place to rely on immunity, except in Germany, in accordance with the Headquarters Agreement or with the host country that had concluded the agreement with the relevant bodies. The main problem is whether national courts should comply with statements concerning the application of dispute settlement arrangements or whether the case has been brought before a national court in accordance with applicable law chosen by national courts.", "[7] 6 Section 16 of the United Nations General Conditions of Contract contains provisions to resolve disputes, including, where necessary, negotiations at the initial stage of the reconciliation process, which can be formalized in accordance with the United Nations International Trade Law Reconciliation Regulations. The formal dispute resolution process of arbitration is only taken when negotiations fail (see http://un.org/Depts/ptd/pdf/genconpdf).", "[8] 7 See the Secretary-General's report, “Administrative and budgetary aspects of financing United Nations peacekeeping operations: financing of United Nations peacekeeping operations”, 20 September 1996, A/51/389, para.", "[9] 8 Report of the Secretary-General on the implementation of existing procedures under article 8 of the United Nations Convention on the Privileges and Immunities, A/C.5/49/65, footnote 5.", "[10] 9 Article 10 of the Universal Declaration of Human Rights; article 6 of the European Convention for the Protection of Human Rights and Fundamental Freedoms; article 5 of the 1958 United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards.", "[11] 10 A/C.5/49/65, footnote 8 above, paras. 7, 13, 17 and 21.", "[12] 11 See the Rules of Procedure of the United Nations Administrative Tribunal (AT/11/Rev.6), Article 3, paragraph 1." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11至22日", "克拉里昂-克利珀顿区环境管理计划", "一. 导言", "A. 国际海底管理局保护海洋环境的权力的有关法律框架", "1. 1982年《联合国海洋法公约》(《公约》)规定，缔约国有保护和保全海洋环境的一般义务。[1] 这项全面义务包括：防止、减少和控制任何来源的海洋环境污染，监测污染的风险或影响，评估其管辖或控制下可能对海洋环境造成大量污染或重大和有害变化的活动的潜在影响。[2] 缔约国尤其必须采取措施保护和保全稀有或脆弱的生态系统，以及衰竭、受威胁或有灭绝危险的物种和其他形式的海洋生物的生存环境。各国还应防止、减少和控制由于在其管辖或控制下使用技术而造成的海洋环境污染，或由于故意或偶然在海洋环境某一特定部分引进外来的或新物种。[3] 在国家管辖范围以外的深海底，即“区域”，由于“区域”及其资源是人类的共同继承财产，上述责任由全体《公约》缔约国共同承担。[4]", "2. 国际海底管理局代表《公约》缔约国负责管理“区域”内矿物资源，包括这些资源的探矿、勘探和开发活动。[5] 作为海底管理局责任的一部分，管理局负责采取必要措施，以确保有效保护海洋环境，使其免受这类活动可能产生的有害影响。 为此目的，海底管理局必须制定适当的规则、规章和程序，以实现下列目标：", "(a) 防止、减少和控制对包括海岸在内的海洋环境的污染和其他危害，并防止干扰海洋环境的生态平衡，特别注意使其不受诸如钻探、挖泥、挖凿、废物处置等活动，以及建造和操作或维修与这种活动有关的设施、管道和其他装置所产生的有害影响；", "(b) 保护和养护“区域”的自然资源，并防止对海洋环境中动植物的损害。[6]", "3. 1994年《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》重申这些责任，确定“《公约》对保护和保全海洋环境的重要性，以及全球环境日益受到关注”，并规定在《公约》生效至开发工作计划获得核准之间的期间，管理局除其他外应集中于“制定保护和保全海洋环境的包含适用标准的规则、规章和程序”。[7]", "4. 管理局的法律和技术委员会负责就保护海洋环境问题向理事会提出建议，并在这方面参考该领域公认专家的意见。此外，法律和技术委员会必须：", "(a) 制定并向理事会提交“区域”内的探矿、勘探和开发活动的规则，规章和程序，为此考虑到一切相关因素，包括“区域”内活动对环境影响的评价；", "(b) 经常审查这种规则、规章和程序；", "(c) 就设立一个以公认的科学方法定期观察、测算、评价和分析“区域”内活动造成的海洋环境污染危险或影响的监测方案，向理事会提出建议；", "(d) 协调理事会核准的监测方案的实施。[8]", "5. 法律和技术委员会也可以就下列事项向理事会提出建议：", "(a) 发布紧急命令，以防止“区域”内活动对海洋环境造成严重损害。理事会应优先审议这种建议；[9]", "(b) 因有充分证据证明海洋环境有受严重损害之虞，不准承包者或企业部开发某些区域；[10]", "(c) 视察人员的指导和监督事宜，这些视察员应视察“区域”内活动，以确定《公约》的规定和管理局的规章和程序得到遵守。[11]", "6. 《公约》附件三规定，为保证切实保护海洋环境免受“区域”内活动或于矿址上方在船上对从该矿址取得的矿物加工所造成的直接损害，管理局应制定规则、规章和程序。这些程序必须考虑到钻探、挖泥、取岩心和开凿，以及在海洋环境内处置、倾倒和排放沉积物、废物或其他流出物，可能直接造成这种损害的程度。[12]", "7. 《公约》规定缔约国应制定补充性法律和规章，以防止、减少和控制由悬挂其旗帜或在其国内登记或在其权力下经营的船只、设施、结构和其他装置所进行的“区域”内活动造成对海洋环境的污染。这种法律和规章的要求的效力应不低于国际海底管理局的规则、规章和程序。[13]", "8. 联合国大会在关于海洋和海洋法的各项决议中重申，管理局必须按照《公约》第一四五条继续拟订规则、规章和程序，以确保切实保护海洋环境，保护和养护“区域”的自然资源，防止“区域”内活动可能产生的有害影响对“区域”动植物造成损害。大会在这些决议中注意到《公约》第一四三和第一四五条赋予管理局的责任的重要性，这两条分别涉及海洋科学研究和海洋环境保护问题。[14]", "9. 2000年海底管理局通过《“区域”内多金属结核探矿和勘探规章》(《多金属结核规章》)，对参与深海底采矿的探矿和勘探阶段活动的国家和国家赞助实体规定全面的环境保护义务。在有关“区域”的每一活动阶段，探矿者和承包者有实质责任，评估和监测他们的业务活动对“区域”海洋环境的影响。在要求海底管理局批准探寻多金属结核矿床时，勘探者必须在其通知书中包括令人满意的书面承诺，表明探矿者会遵守《公约》和有关保护和保全海洋环境的海底管理局相关规则、规章和程序。[15] 探矿者还必须提交关于探矿活动情况的年度报告，在报告中提供资料说明其对国际海底管理局关于保护和保全海洋环境的规章的遵守情况。[16]", "10. 国家和国家赞助实体提交“区域”勘探工作计划，必须提出拟议的海洋学和环境基线研究方案的说明。这些研究是为了能够对提议的勘探活动对海洋环境的潜在环境影响进行科学评价。同时应说明防止、减少和控制污染和其他危害的拟议措施以及可能对海洋环境造成的影响的提议措施。[17] 与管理局签订勘探合同后，勘探承包者必须收集环境基线数据，供对比评估其活动可能对海洋环境造成的影响；他们也必须制订方案以监测影响和提出报告。[18] 承包者必须每年向管理局秘书长报告监测方案的执行情况和结果，并提交环境基线数据。[19]", "11. 本环境管理计划符合上述义务、责任、规则、规章和程序。《公约》和《多金属结核规章》与本文件的用语含义相同。", "B. 与保护海洋环境有关的其他国际组织和进程", "12. 管理局认识到必需与保护海洋环境方面的许多其他国际组织和进程协商开展工作。", "C. 指导原则", "13. 该计划的指导原则如下：", "(a) 人类的共同继承财产。“区域”及其资源是人类的共同继承财产。对“区域”内资源的一切权利属于全人类，由管理局代表全人类行使；", "(b) 预先防范办法。《关于环境与发展的里约宣言》[20] 原则15明文规定，在环境可能受到严重或不可逆的损害时，不得以缺乏充分科学确定性为由推迟采取有效措施防止环境退化；", "(c) 保护和保全海洋环境。所有国家都有责任保护和保全海洋环境；", "(d) 预先进行环境影响评估。预先评估可能对环境造成重大不利影响的活动；", "(e) 养护与可持续利用生物多样性。所有国家都有责任养护与可持续利用海洋生物多样性；", "(f) 透明度。管理局应当依照1998年《在环境问题上获得信息、公众参与决策和诉诸法律的公约》的规定以及管理局的规则和程序，使公众得以参与环境决策程序。", "D. 克拉里昂-克利珀顿区的界定及其他相关条款", "14. 克拉里昂-克利珀顿区位(“区域”)于东中太平洋，在夏威夷群岛之南和东南。一般理解是，管理地区的地理界限约在0°-23°30’N×115°W-160°W之间，包括在这个框格内在国家管辖范围以外的地区。“区域”的南北界限是ENE-WNW走向的克拉里昂-克利珀顿断裂带。面积约4.5×10 ⁶平方千米(km2)。", "15. 管理地区的海底大多在4 000至6 000米水深之处。地区地貌为一些海山，其中一些深度可能少于2 000米。范围广泛的海底扩张网(与构成边界的断裂带的走向约成正交)，提供了大量的平底谷地，谷地被不规则而且往往是不连续的几百米高的海脊分隔(见附件，图一)。", "16. 自1960年代开始即出现了商业开发海底多金属结核的兴趣。已在三个地区发现具有经济价值的结核：北中太平洋；南太平洋的秘鲁海盆；北印度洋中部。据认为，从结核丰度和金属含量来看，最有前途的矿床位于克拉里昂-克利珀顿区，因此预计这将是第一个被开发的地区。", "17. 目前，已有八个承包者获得面积共约520 000平方千米的勘探许可。虽然目前尚不知道开始提取矿物的时间，但国际海底管理局争取主动，负责拟订本环境管理计划，为克拉里昂-克利珀顿区未来的开采活动做好准备。", "E. 采矿作业、脆弱性和潜在影响的说明", "18. 基本的采矿作业包括：(a) 捡拾多金属结核，将其从周围的细粉海底泥浆分离；(b) 将结核扬升4 000至5 000米到海洋表面；(c) 将结核与扬升过程中夹带的海水和沉积物分离，运送到冶金加工设施。", "19. 这些作业程序都有环境风险，任何采矿工程都必须加以评估，尽量减少和减轻风险。捡起结核和去除附带的粒泥浆从根本上扰动了矿区海底生境，在近海底造成沉积物羽流。在考虑的多数办法中，扬升结核作业将同时夹带大量深海海水与附带生物群。随后将结核与用于扬升作业的海水分离时，除了排放这些海水外，还可能排放细粒沉积物和没有在海底被移走的结核残块。", "20. 评估这些影响的幅度的研究已告完成，包括收集了基线数据[21] [22] 和制定了预测排放羽流大小和持久性的数学模型。[23] 后者与上述试验采矿作业的海上观测配合同时进行。[24]", "二. 环境管理", "21. 管理海洋环境中的人类损害性活动的最佳做法一般涉及使用空间管理工具，包括设立保护区，保护被认为代表管理地区内所有各种生态、生物多样性及生态系统结构和功能的地区。在克拉里昂-克利珀顿区内，将需要在一些地区禁止可能进行的采矿活动，以保护和保全海洋环境。", "22. 克拉里昂-克利珀顿区空间管理计划的制订反映下列概念：", "A. 空间变异", "23. 克拉里昂-克利珀顿区内各处动物群落有所不同，生产力、深度和其他环境变量具有北至南和东至西梯度。为了保护克拉里昂-克利珀顿区所有各种生境和生物多样性，必须禁止在分布于梯度各点的特定地区进行破坏性海底活动。根据环境、生态和生物地理的综合数据(摘要载于多份国际海底管理局报告，见下面章节)，以及养护工作的理论和实践，似应在克拉里昂-克利珀顿区内分断层布置这些地区。", "24. 2007年举行的一个研讨会[25] 建议，一个在生态和生物地理上合理的空间管理计划设计方式是将克拉里昂-克利珀顿区划分为三个东西向养护管理层和三个北南向养护管理层，因为生态系统结构和功能的梯度主要取决于生产力。这一分层法在克拉里昂-克利珀顿区产生九个独特的次区域，各自需要一个指定的环境特受关注区。", "B. 环境特受关注区的大小", "25. 可采用多种方式设计保护区系统，以维持可持续种群和包含所有各种生境和群落。最适当的环境特受关注区系统包含内有自我维持的种群和多种生境变异性的大面积地区。尽管潜在深海采矿活动可造成的影响程度尚不清楚，但这些地区不应受实际活动的直接影响，也不应受羽流等采矿所致后果的间接影响。根据对环境数据、种群分布、种群扩散能力和距离、生态替代变量的详细审议结果，已确定每个环境特受关注区应有一个至少长与宽200千米的核心区，也就是说，核心区面积应足够大，使可能局限于克拉里昂-克利珀顿区某一分区域的物种能够维持最小可存活种群数，并包括某一分区域内所有各种生境变异性和生物多样性。此外，每个环境特受关注区的核心区周围应划出100千米宽的缓冲带，以确保核心区不受在环境特受关注区毗邻进行的活动所产生的采矿羽流影响。因此，整个环境特受关注区的总面积(包括200×200千米的核心区和周围100千米的缓冲带)应该是400×400千米(见附件，图二)。", "C. 科学设计", "26. 2007年研讨会制订的环境特受关注区设计，以普遍接受并广泛应用的海洋保护区网络设计原则为依据，[26] 其中包括保护30至50%总管理面积的要素。设计采用了国际海底管理局以前的研讨会和报告提供的地质学、海洋学和生物学替代数据，以及深海生物学方面经同行审查的科学文献和国际专家的经验。多份报告和几个研讨会已介绍了这些数据和分析(如Hannides and Smith,2003；国际海底管理局，2002年；国际海底管理局，2008年；ISBA/14/LTC/2；国际海底管理局，2011年)。在初步审查研讨会的成果后，法律和技术委员会根据合同和保留区目前的分布情况，修正了提议的环境特受关注区的位置。", "27. 在设计最初的环境特受关注区网络时，《生物多样性公约》[27] [28] 和联合国粮食及农业组织(粮农组织)关于确定和管理易受人类活动影响的生境和动物群落的标准尚未正式制定，但本设计包括了目前适用于克拉里昂-克利珀顿区的关键要素，包括保护：", "(a) “脆弱海洋生态系统”，即粮农组织公海深海底捕捞标准所界定的生态系统；[29]", "(b) 足以代表各不同生物地理区域的所有各种生态系统、生境、群落和物种的地区；", "(c) 面积足以确保选定保护的地貌的生态活力和完整性的地区。", "28. 科学设计同时考虑到现有的合同和保留区。选定的环境特受关注区位置避免与许可勘探区重叠，也尽可能避免与保留区重叠。", "29. 科学设计尚未纳入《生物多样性公约》标准提到的，因地区的独特性、生物多样性或生产力而具有特殊意义的地区，以及对非鱼类物种的生活史具有特别重要意义的地区。随着可得到的信息的增加，采矿活动的空间管理可能要反映这些因素。在此之前，这里介绍的代表性方法提供了最佳方法，用于在未扰动地区捕捉这些数值，以便在根据最佳可得科学信息进行海底结核采矿活动方面，保全和养护海洋生物多样性以及生态系统结构和功能。", "D. 灵活性", "30. 环境特受关注区的设计，均允许根据采矿活动地点的精确信息、采矿作业实际影响的测量结果，以及进一步的生物数据，修改受关注区的位置和大小。", "31. 这些概念在国际海底管理局报告已有介绍。[30] 应当指出，灵活行事和适应性环境管理工作也须适用预防原则。", "三. 愿景", "32. 国际海底管理局的愿景是，可持续开发克拉里昂-克利珀顿区位，保全其代表性和独特的海洋生境和物种。", "33. 克拉里昂-克利珀顿区内有一系列已批出多金属结核勘探和探矿权的地区。海底管理局的愿景是在促进采矿作业的同时，尽可能减少海底采矿活动的影响，保全和养护克拉里昂-克利珀顿区的海洋生物多样性及生态系统结构和功能。[31]", "34. 本环境管理计划对整个克拉里昂-克利珀顿区的环境管理采取全面兼顾办法，包括在适当情况下考虑累积影响，对新技术和开发中技术进行环境风险评估，并同时适当考虑相关的全球性倡议和新立法。", "四. 目标", "35. 本环境管理计划的目标是：", "(a) 促使以保护环境的负责任态度，按照国际海底管理局的法律框架和环境导则开发海底矿物资源；", "(b) 促进实现《可持续发展问题世界首脑会议执行计划》所定管理目标和指标，[32] 包括停止生物多样性的丧失；建立以生态系统为基础的管理方法；依照国际法和可得最佳科学信息确定海洋保护区，包括在2012年或以前确定代表性网络；", "(c) 维持整个克拉里昂-克利珀顿区的地域性生物多样性及生态系统结构和功能；", "(d) 根据以生态系统为基础的综合管理原则管理克拉里昂-克利珀顿区；", "(e) 促进保全具有代表性和独特性的海洋生态系统；", "(f) 充分利用关于克拉里昂-克利珀顿区的现有专门知识和环境数据，包括海洋学和环境基线研究；", "(g) 依照管理局的规则、规章和程序，在采集系统和设备的测试期间和其后监测环境；", "(h) 促进合作研究，并对克拉里昂-克利珀顿区内条件有更好的了解，为今后制定纳入保护和保全海洋环境适用标准的规则，规章和程序提供资料；", "(i) 促进发展中国家参与并就环境管理问题多边交换意见；", "(j) 避免承包者地区、保留区和任何环境特受关注区出现重叠情况。", "五. 战略目标", "36. 因此，本环境管理计划的战略目标是：", "(a) 确保在克拉里昂-克利珀顿区内以保护环境的负责任方式进行海底采矿，以促使有效保护海洋环境使其不受海底采矿的有关活动的影响；", "(b) 运用国际公认的养护管理工具，维持整个克拉里昂-克利珀顿区的生物多样性和生态系统结构和功能;", "(c) 可持续地作为一个整体管理克拉里昂-克利珀顿区；", "(d) 维持整个克拉里昂-克利珀顿区的地域性生物多样性及生态系统结构和功能；", "(e) 保护和养护“区域”自然资源，并减少对海洋环境的生物群的影响。", "六. 业务目标", "A. 全克拉里昂-克利珀顿区", "37. 在全克拉里昂-克利珀顿区内，本环境管理计划的业务目标是：", "(a) 建立定期更新的地区环境基线数据；", "(b) 根据开发提案酌情开展累积环境影响评估；", "(c) 审议采矿技术的技术发展对克拉里昂-克利珀顿区造成的环境风险。", "B. 合同区", "38. 在合同区内，业务目标是：", "(a) 确保采用现有最佳环保做法和技术；", "(b) 汇集和传播承包者收集的环境数据以进行环境影响评估；", "(c) 制订建立影响参比区和保全参比区的导则；", "(d) 拟订计划以确保负责任的环境管理，提高生境和动物群落的恢复能力。", "C. 环境特受关注区", "39. 在环境特受关注区内，业务目标是：", "(a) 建立一个禁止采矿活动的代表性海底地区系统，以保护生物多样性和生态系统结构和功能。这个系统必须及早建立，避免其他采矿权进一步削弱设计一个在科学上有效的系统的能力；", "(b) 使环境特受关注区包括多种见于克拉里昂-克利珀顿区的生境类型(例如，海山和断裂带结构)；", "(c) 建立一个环境特受关注区系统，避免与申请区和保留区发生重叠(这是现科学设计的基础)；", "(d) 划定禁止采矿活动地区的位置，向现有和潜在承包者提供一定的明确度。", "七. 管理目标", "A. 全克拉里昂-克利珀顿区", "40. 在全克拉里昂-克利珀顿区内，本环境管理计划的管理目标是：", "(a) 整理承包者提供的环境影响评估资料，并酌情以其他来源补充；", "(b) 审议采矿和其他人类活动的累积影响；", "(c) 就新技术和开发中技术及其潜在环境影响交流信息。", "B. 合同区", "41. 在合同区内，管理目标是：", "(a) 承包者将适用ISO 14001[33] 的原则制订具体地点的环境管理计划。这些环境管理计划由承包者在动工前连同提议的采矿计划一并提交。此为，鼓励承包者在设计自己的环境管理计划时适用国际海洋矿物学会2001年通过的《海洋采矿环境管理守则》(经修订)；[34]", "(b) 承包者将按照《采矿守则》规定，每年向秘书处提供克拉里昂-克利珀顿区的环境数据。秘书处将根据需要利用现有数据库系统和新程序，以统一格式整理这些数据，归纳到其他现有的克拉里昂-克利珀顿区数据，放进便于使用的公开数据库；", "(c) 承包者将按照规定，在其环境管理计划指定影响和保全参比区，主要目的是确保保全和促进监测受采矿活动影响的生物群落。指定的影响参比区应位于实际开采的海底矿区内。指定的保全参比区应包括一些多金属结核成矿点，以便与受影响区的生态尽量相似，并远离潜在采矿影响；", "(d) 承包者须尽量减少对已建保全区的潜在影响；管理局在评价采矿许可证申请时，应考虑可能对已建保全区产生的影响；", "(e) 鼓励承包者与其他承包者和独立专家协作，确定统一适用导则，以便在国际海底管理局指导下指定参比区；", "(f) 承包者将在其环境管理计划中包括具体措施，使受其在克拉里昂-克利珀顿区的活动影响的生物群尽可能有机会恢复。", "C. 环境特受关注区", "42. 科学和技术委员会应持续审查环境特受关注区，以确定这些区域是否适合或是否需要修正。为此，应举行一个科学/海洋保护区/管理专家研讨会，对现有环境特受关注区提案以及承包者提供的任何新数据和信息进行同行审查和评论。这个研讨会应尽早举行，其任务将是：", "(a) 审查2007和2010年研讨会原有环境特受关注提案的数据和假设；[35]", "(b) 确定方法的科学有效性；", "(c) 评估现有数据以确定环境特受关注区的面积、位置和数量等细节；", "(d) 使科学和技术委员会能够就提议的环境特受关注区向国际海底管理局理事会作出明确的建议。", "43. 在拟订有关实施环境特受关注区提案的建议时，科学和技术委员会应考虑：", "(a) 参考公认专家的意见，定期审查并在必要时修正环境特受关注区的位置、面积和特征的进程。为此可定期举行研讨会或会议，第一个应在实施环境特受关注区网络后两年举行；", "(b) 鼓励和酌情支持并发起科研项目和方案，以提高对环境特受关注区内的生态系统结构和功能的认识和了解。进行这些研究时，应尽量减少对生境和动物群落的损害。应将提议的研究活动通知海底管理局。管理局秘书处将在2011年开始这一行动，与多个国家和国际研究机构接触；", "(c) 如何鼓励在关于气候变化和海洋的科学研究方案中增加环境特受关注区作为参比区；", "(d) 监测特受关注区养护目标所得成绩的适当机制。在一定程度上，这将取决于采矿活动的影响的性质，因此应确定以那些物种为关键指标种；", "(e) 将海底管理局的环境特受关注区管理目标通知负责管理有关水柱的主管机构。环境管理计划也应在管理局的网站上公布；", "(f) 鼓励主管政府间组织采取相适应的措施，管理可能影响环境特受关注区生物多样性或环境的其他活动(例如，捕捞、航运、海洋倾弃)。管理局应与主管国际组织联系，表明希望促进克拉里昂-克利珀顿区内的科研活动；", "(g) 审查承包者资料和其他相关资料的程序(例如，每两年一次)，以及可能影响环境特受关注区的设计的相关专家的意见。科学和技术委员会应酌情向理事会报告结果，建议应采取的措施。任何改变环境特受关注区位置或性质的建议，须具有关于建议的替代地区的信息，以确保战略和业务目标维持不变。科学和技术委员会应带头制订环境标准，作为在采矿活动被视为影响环境特受关注区时，作出决定和制订规则的依据。", "八. 实施", "44. 应依照科学和技术委员会指示，由秘书处逐步实施本环境管理计划，并在适当时考虑到外部专家的意见。", "45. 这些目标的前进可能需要额外资源，应由秘书处为此拟订另一个详细提案。", "九. 审查", "46. 环境管理计划将定期接受科学和技术委员会的外部审查(视需要每两年至五年一次)，并至迟在2016年(目前已批出的克拉里昂-克利珀顿区6个承包者勘探许可证期限届满之时)计划结束前两年予以更新。", "十. 建议的优先行动", "47. 秘书处将成立一个工作组或专家顾问小组(成员包括承包者专家)，促进以承包者和选定的外部数据源建立环境数据库。这项任务应在2011年年底之前尽快开始。该工作组将与秘书处工作人员合作制订：必需的的程序和规程；以及便于使用的公开数据库。", "48. 承包者已在克拉里昂-克利珀顿区进行了大量的环境工作。应在以标准格式将由此产生的所有数据输入一个中央数据库后，对数据进行审查，以评估克拉里昂-克利珀顿区和环境特受关注区的生物地理学情况，并加以使用，以帮助该区域的环境管理。", "49. 秘书处将聘用一些专家顾问，以推动数据标准化工作，包括分类学相互校准(承包者数据集之间和克拉里昂-克利珀顿区各地区之间)。顾问将：", "(a) 收集承包者提供的资料，确定动物群集的大小，分类鉴定层级，以及具有的类群；", "(b) 召开一系列承包者和分类学专家参加的研讨会，专门讨论具体类群(例如，多毛类、线虫类、桡足类、棘皮动物和等足类)，以建立生物分类能力和开展物种一级的相互校准；", "(c) 协调实验室间的调查员访问，以完成目标类群的相互校准；", "(d) 提供收集和分析分子材料以进行分类鉴定的技术培训。", "50. 秘书处将举办与会者包括承包者代表和专家顾问的研讨会。研讨会目的是制订具体导则，供承包者用于设立影响和保全参比区。克拉里昂-克利珀顿区6个承包者目前的勘探许可证在2016年到期，研讨会至迟应在第一个许可证到期前一年召开。", "51. 秘书处将完成克拉里昂-克利珀顿区海底采矿的累积影响评估。这项工作将包括：", "(a) 评价在克拉里昂-克利珀顿区进行多个采矿作业可能对海底和水柱生态系统造成的影响；", "(b) 评价在克拉里昂-克利珀顿区进行多个采矿作业可能对开采镍、铜、钴和其他金属的采矿作业造成的影响；这些金属可以从克拉里昂-克利珀顿区多金属结核矿床回采。", "52. 根据从承包者和独立科学研究来源收集的数据和信息，国际海底管理局准备定期(例如每5至10年)出版公开发行的区域环境质量状况报告。", "附件一", "附图", "图一 克拉里昂-克利珀顿区的管理地区", "[]", "图二 环境特受关注区位置图(包括九个生物地理分区以及每个环境特受关注区的核心区和缓冲带)", "[]", "附件二", "引用文献", "Bischoff, J. L., and D. Z. Piper, eds. (1979). Marine geology and oceanography of the Pacific manganese nodule province. Marine Sciences, Vol. 9.", "Hannides, A., and C. R. Smith (2003). “The northeast abyssal Pacific plain”. In Biogeochemistry of Marine Systems, K. B. Black and G. B. Shimmield, eds., Boca Raton, Florida: CRC Press, 208-237.", "国际海底管理局(2002年)。环境数据和信息的标准化：导则的制订。国际海底管理局研讨会记录，2001年6月25-29日，牙买加金斯敦。", "国际海底管理局(2006年)。国际协作进行海洋环境研究以加强对深海环境的了解的前景。研讨会记录，2002年7月29日至8月2日，牙买加金斯敦。", "国际海底管理局(2008年)。太平洋深海结核区的生物多样性、物种范围和基因流：预测和管理深海底采矿的影响。技术研究：第3号。", "国际海底管理局(2011年)。克拉里昂-克利珀顿断裂带多金属结核矿床地质模型。技术研究：第6号。", "Oebius, H. U., H. J. Becker, S. Rolinski and J. A. Jankowski(2001). Parametrization and evaluation of marine environmental impacts produced by deep-sea manganese nodule mining. Deep-Sea Research II(48), 3453-3467.", "Ozturgut, E., J. W. Lavelle and R. E. Burns(1981). Impacts of manganese nodule mining on the environment: results from pilot-mining tests in the North Equatorial Pacific. Elsevier Oceanography Series, vol. 276, 437-474.", "Rolinski, S., J. Segschneider and J. Sundermann (2001). Long-term propagation of tailings from deep-sea mining under variable conditions by means of numerical simulations. Deep-Sea Research II (48), 3469–3485.", "[1] 《1982年12月10日联合国海洋法公约》，第一九二条。", "[2] 同上，第一九四条、第二○四条和第二○六条。与海底采矿特别有关的第一九四条第3款(d)项规定国家应采取措施，在最大可能范围内尽量减少来自在海洋环境内操作的其他设施和装置的污染,特别是为了防止意外事件和处理紧急情况，保证海上操作安全，以及规定这些设施或装置的设计、建造、装备、操作和人员配备的措施。", "[3] 同上，第一九四(5)条和第一九六(1)条。", "[4] 同上，第一三六条。", "[5] 同上，第一五七(1)条。", "[6] 同上，第一四五条；附件三，第十七(1)(b)(12)条。", "[7] 《执行协定》，附件，第一节，第5(f)段。", "[8] 《公约》，第一六五(e)-(h)条和第二一五条。", "[9] 同上，第一六五(2)(k)条。", "[10] 同上，第一六五(2)(l)条。", "[11] 同上，第一六五(2)(m)条。", "[12] 同上，附件三，第十七(2)(f)条。", "[13] 同上，第二○九(2)条。", "[14] 关于海洋和海洋法的第64/71号决议第33和34段，第63/111号决议第33和34段，第62/215号决议第33和34段以及第61/222号决议第28-30段。", "[15] 《多金属结核规章》第3(4)(d)㈠(b)条。", "[16] 同上，第5(1)(b)条。", "[17] 同上，第18(b)-(d)条。", "[18] 同上，第31(4)条；另见《第十一部分执行协定》，第一节，第7段。", "[19] 同上，第31(5)条。", "[20] 《联合国环境与发展会议的报告，1992年6月3日至14日，里约热内卢》(联合国出版物，出售品编号：C.91.I.8和更正)，第一卷：《环发会议通过的决议》，决议1，附件一。", "[21] Bischoff and Piper(1979)。", "[22] 科学和技术委员会(2010年)。", "[23] Rolinski and others(2001)；Oebius and others(2001)。", "[24] Ozturgut, Lavelle and Burns(1981)。", "[25] 见ISBA/14/LTC/2。", "[26] 例如，建立海洋保护区(包括大洋和深海生境的保护区)代表性网络的选址科学导则(生物多样性公约缔约方会议，IX/20号决定，附件二)。", "[27] 大洋和深海生境具有重要生态或生物意义并需加保护的海区的科学认定标准(同上，附件一)。", "[28] 建立海洋保护区代表性网络的选址科学导则，见脚注26。", "[29] 粮农组织，管理公海深海渔业国际导则，2009年。见http://www.fao.org/docrep/011/ i0816t/i0816t00.htm。", "[30] ISBA/14/LTC2和ISBA/15/LTC/4。", "[31] 根据ISBA/16/LTC/7号文件所定范围。", "[32] 《可持续发展问题世界首脑会议的报告，2002年8月26日至9月4日，南非约翰内斯堡》(联合国出版物，出售品编号：C.03 II.A.1和更正)，第一章，决议2，附件。", "[33] 载于国际标准化组织网站：http://www.iso14000-iso14001-environmental- management.com/。", "[34] 《海洋采矿环境管理守则》包括一项海洋采矿业的环境原则声明，并附有酌情在具体矿址适用的《作业导则》。《导则》可供业者、监管机构和其他利益相关方使用，作为制订、实施和评估环境管理计划的基准，以及在选定的海洋矿物研究、勘探和开采地点采用最佳做法的指南。这些原则和导则是根据共同的价值观指出大方向而不是规定具体做法(见www.immsoc.org/IMMS_ code.htm)。", "[35] ISBA/14/LTC/2。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Environmental Management Plan for the Clarion-Clipperton Zone", "I. Introduction", "A. Legal framework related to the powers of the International Seabed Authority on the protection of the marine environment", "1. Under the 1982 United Nations Convention on the Law of the Sea (the Convention), States parties have a general obligation to protect and preserve the marine environment.[1] This overarching obligation encompasses responsibilities to prevent, reduce and control pollution of the marine environment from any source, to monitor the risks or effects of pollution and to assess the potential effects of activities under States parties jurisdiction and control that may cause substantial pollution of or significant and harmful changes to the marine environment.[2] In particular, States parties must take measures to protect and preserve rare or fragile ecosystems, as well as the habitats of depleted, threatened or endangered species and other forms of marine life. They must also prevent, reduce and control pollution resulting from the use of technologies under their jurisdiction or control and the intentional or accidental introduction of alien or new species to a particular part of the marine environment.[3] In the deep seabed beyond national jurisdiction, that is the “Area”, those responsibilities are shared between all States parties to the Convention as the Area and its resources are the common heritage of mankind.[4]", "2. The International Seabed Authority, on behalf of the States parties to the Convention, is responsible for administering the mineral resources of the Area, including prospecting, exploration and exploitation activities for those resources.[5] As part of its responsibility, the Authority is charged with taking the measures necessary to ensure effective protection of the marine environment from the harmful effects that may arise from such activities. For that purpose, the Authority must adopt appropriate rules, regulations and procedures designed to accomplish the following:", "(a) Prevent, reduce and control pollution and other hazards to the marine environment, including the coastline, that have the potential to interfere with the ecological balance of the marine environment. In doing this, its mandate calls for particular attention to be paid to the need for protection from the harmful effects of such activities as drilling, dredging, excavating, disposing of waste, and constructing and operating or maintaining installations, pipelines and other devices related to such activities;", "(b) Protect and conserve the natural resources of the Area, preventing damage to the flora and fauna of the marine environment.[6]", "3. The 1994 Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 reaffirms those responsibilities by establishing “the importance of the Convention for the protection and preservation of the marine environment and of the growing concern for the global environment” and goes on to state that between the entry into force of the Convention and the approval of the first workplan for exploitation, the Authority shall concentrate on, inter alia, the “Adoption of rules, regulations and procedures incorporating applicable standards for the protection and preservation of the marine environment”.[7]", "4. The Legal and Technical Commission of the Authority is responsible for making recommendations to the Council on the protection of the marine environment, taking into account the views of recognized experts in that field. In addition, the Commission must:", "(a) Formulate and submit to the Council rules, regulations and procedures on prospecting, exploration and exploitation in the Area, taking into account all relevant factors, including assessments of the environmental implications of activities in the Area;", "(b) Keep such rules, regulations and procedures under review;", "(c) Make recommendations to the Council regarding the establishment of a monitoring programme to observe, measure, evaluate and analyse, by recognized scientific methods, on a regular basis, the risks or effects of pollution of the marine environment resulting from activities in the Area;", "(d) Coordinate the implementation of the monitoring programme approved by the Council.[8]", "5. The Legal and Technical Commission may also make recommendations to the Council for:", "(a) The issue of emergency orders to prevent serious harm to the marine environment arising out of activities in the Area. Such recommendations shall be taken up by the Council on a priority basis;[9]", "(b) The disapproval of areas for exploitation by contractors or the Enterprise in cases where substantial evidence indicates the risk of serious harm to the marine environment;[10]", "(c) The direction and supervision of a staff of inspectors who shall inspect activities in the Area to determine whether the provisions of the Convention and the regulations and procedures are being met.[11]", "6. Under annex III to the Convention, rules, regulations and procedures must be drawn up by the Authority to secure effective protection of the marine environment, from both harmful effects directly resulting from activities in the Area and from shipboard processing of minerals immediately above a mine site. The procedures must take into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation, as well as from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.[12]", "7. States parties to the Convention are required to adopt complementary laws and regulations to prevent, reduce and control pollution of the marine environment from activities in the Area undertaken by vessels, installations, structures and other devices flying their flag or of their registry or operating under their authority. Those laws and regulations must be no less effective than the rules, regulations and procedures of the International Seabed Authority.[13]", "8. The United Nations General Assembly, in its resolutions on oceans and the law of the sea, reiterates the importance, pursuant to article 145 of the Convention, of the ongoing development by the Authority of rules, regulations and procedures to ensure the effective protection of the marine environment for the protection and conservation of the natural resources of the Area and for the prevention of damage to its flora and fauna from the harmful effects that may arise from activities there. In those resolutions, the Assembly notes the importance of the responsibilities entrusted to the Authority by articles 143 and 145, which refer to marine scientific research and protection of the marine environment, respectively.[14]", "9. The Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (“Polymetallic Nodules Regulations”) that were adopted by the Authority in 2000 impose comprehensive environmental protection obligations on the States and State-sponsored entities involved in the prospecting and exploration phases of deep seabed mining. At every stage of their activities in relation to the Area, prospectors and contractors have substantial responsibilities to assess and monitor the effects of their operations on the marine environment of the Area. When they ask the Authority for approval to search for deposits of polymetallic nodules, prospectors must include in their notification a satisfactory written commitment to comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning the protection and preservation of the marine environment.[15] They must also submit annual reports on the status of their prospecting activities containing information on their compliance with International Seabed Authority regulations on the protection and preservation of the marine environment.[16]", "10. States and State-sponsored entities submitting plans of work for exploration in the Area must submit a description of their proposed programmes for oceanographic and environmental baseline studies. Those studies enable the scientific assessment of the potential environmental impact of the proposed exploration activities on the marine environment, and a description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts on the marine environment.[17] Once exploration contracts are signed with the Authority, exploration contractors are required to gather environmental baseline data against which to assess the likely effects of their activities on the marine environment; they must also devise programmes to monitor and report on such effects.[18] The contractors must report annually to the Secretary-General of the Authority on the implementation and results of their monitoring programmes and submit environmental baseline data.[19]", "11. The present Environmental Management Plan is consistent with those obligations, responsibilities, rules, regulations and procedures. Terms used in the Convention and Polymetallic Nodules Regulations shall have the same meaning in the present document.", "B. Other international organizations and processes related to the protection of the marine environment", "12. The Authority recognizes the need to work in consultation with the many other international organizations and processes related to the protection of the marine environment.", "C. Guiding principles", "13. The following are the guiding principles of this plan:", "(a) Common heritage of mankind. The Area and its resources are the common heritage of mankind. All rights to the resources of the Area are vested in mankind as a whole on whose behalf the Authority shall act;", "(b) Precautionary approach. Principle 15 of the Rio Declaration on Environment and Development[20] specifies that where there are threats of serious or irreversible damage to the environment, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation;", "(c) Protection and preservation of the marine environment. All States have a duty to protect and preserve the marine environment;", "(d) Prior environmental impact assessment. The prior assessment of activities that may have significant adverse impacts on the environment;", "(e) Conservation and sustainable use of biodiversity. All States have a duty to conserve and sustainably use marine biodiversity;", "(f) Transparency. The Authority shall enable public participation in environmental decision-making procedures in accordance with the Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters, 1998, and its own rules and procedures.", "D. Definition of the Clarion-Clipperton Zone area and other relevant terms", "14. The Clarion-Clipperton Zone is located in the eastern central Pacific, to the south and south-east of the Hawaiian Islands. The geographical limits of the management area have been taken to be the area beyond national jurisdiction contained within a box approximately 0°-23°30’N x 115°W-160°W. The Zone is bounded to the north and south by the ENE-WNW trending Clarion and Clipperton Fracture Zones. Its area is approximately 4.5 x 10⁶ square kilometres (km²).", "15. The seafloor in the management area lies mostly between a water depth of 4,000 and 6,000 metres. It is characterized by a number of seamounts, some of which may be fewer than 2,000 metres deep. The widespread seafloor spreading fabric, oriented approximately orthogonal to the trend of the bounding fracture zones, provides a large number of flat-floored valleys, separated by irregular, often discontinuous ridges a few hundred metres high (see annex, figure I).", "16. Since the 1960s, there has been interest in the commercial development of seafloor polymetallic nodules. Nodules of economic interest have been found in three areas: the northern central Pacific Ocean; the Peru Basin in the southern Pacific; and the centre of the northern Indian Ocean. It is thought that the most promising deposits in terms of nodule abundance and metal concentration occur in the Clarion-Clipperton Zone, and it is expected that this area will be the first to undergo development.", "17. Currently, eight contractors have been granted exploration licences totalling approximately 520,000 km². While it is not known when extraction will begin, the International Seabed Authority is being proactive and responsible in developing the present Environmental Management Plan in anticipation of future extraction activities in the Clarion-Clipperton Zone.", "E. Description of mining operations, vulnerability and potential impacts", "18. The basic mining operations include: (a) picking up the polymetallic nodules and separating them from the fine-grained seabed muds that host them; (b) lifting them 4,000 to 5,000 metres to the ocean surface; and (c) separating them from the seawater and sediment entrained in the lift operation and transporting them to a metallurgical processing facility.", "19. Each of those operations poses environmental risks that must be assessed, minimized and mitigated in any mining venture. Picking up the nodules and removing the associated fine-grained muds fundamentally disturbs the benthic habitat in the mining area and entails the generation of sediment plumes near the seafloor. For most options being considered, nodule-lifting operations will include the entrainment of significant volumes of deep-ocean seawater and associated biota. Subsequent separation of the nodules from the seawater used in the lifting operation will require the discharge of that water and potentially also fine-grained sediments and nodule fragments that have not been removed at the seafloor.", "20. Research to assess the magnitudes of those effects has been completed, including the collection of baseline data,[21]^(,)[22] and the development of mathematical models to predict the size and persistence of discharge plumes.[23] The latter have been coupled with at-sea monitoring of the test mining operations noted above.[24]", "II. Environmental management", "21. Best-practice management of damaging human activities in the marine environment generally involves the use of spatial management tools, including the protection of areas thought to be representative of the full range of habitats, biodiversity and ecosystem structure and function within the management area. In the Clarion-Clipperton Zone, areas will need to be closed to potential mining activities to protect and preserve the marine environment.", "22. The development of a spatial management plan in the Clarion-Clipperton Zone includes the concepts below.", "A. Spatial variation", "23. Faunal communities vary across the Clarion-Clipperton Zone, with north-to-south and east-to-west gradients in productivity, depth and other environmental variables. In order to protect the full range of habitats and biodiversity across the Zone, destructive seafloor activities must be excluded in particular areas distributed across those gradients. Synthesis of environmental, ecological and biogeographic data (summarized in several International Seabed Authority reports; see following sections), as well as conservation theory and practice, suggest that such areas should be distributed in a stratified pattern within the Zone.", "24. A workshop held in 2007[25] recommended that an ecologically and biogeographically reasonable approach to the design of a spatial management plan would be to divide the Clarion-Clipperton Zone into three east-west and three north-south strata for conservation management because of the strong productivity-driven gradients in ecosystem structure and function. That stratification yields nine distinct subregions within the Zone, each requiring the designation of an area of particular environmental interest.", "B. Size of areas of particular environmental interest", "25. Systems of protected areas can be designed in several ways to maintain sustainable populations and to capture the full range of habitats and communities. The most appropriate system for areas of particular environmental interest contains large areas with self-sustaining populations and a broad range of habitat variability. Those should not be affected directly by physical activity or indirectly by mining effects such as plumes, although the degree of impacts raised by potential deep sea mining is still unknown. Based on a detailed consideration of environmental data, faunal distribution, faunal dispersal capabilities and distances, and ecological proxy variables, it was determined that a core area of each area of particular environmental interest should be at least 200 km in length and width, that is, large enough to maintain minimum viable population sizes for species potentially restricted to a subregion of the Clarion-Clipperton Zone, and to capture the full range of habitat variability and biodiversity within a subregion. In addition, the core area of each area of particular environmental interest should be surrounded by a buffer zone 100 km in width to ensure that it is not affected by mining plumes from any activities immediately adjacent to an area of particular environmental interest. Thus, the dimensions of each full area of particular environmental interest (including the 200 x 200 km core area surrounded by a 100 km buffer zone) should be 400 x 400 km (see annex, figure II).", "C. Scientific design", "26. The area of particular environmental interest design developed at the 2007 workshop is based on generally accepted and widely applied principles for the design of marine protected area networks,[26] and includes an element to protect 30 to 50 per cent of the total management area. The design utilizes geological, oceanographic and biological proxy data based on previous International Seabed Authority workshops and reports, as well as the peer-reviewed scientific literature and experience of international experts in deep-sea biology. Data and analyses are described in several reports and workshops (for example, Hannides and Smith, 2003; International Seabed Authority, 2002; International Seabed Authority, 2008; ISBA/14/LTC/2; International Seabed Authority, 2011). After an initial review of the workshop outcomes, the locations of the proposed areas of particular environmental interest were amended by the Legal and Technical Commission in the light of the current distribution of contracts and reserved areas.", "27. The Convention on Biological Diversity[27]^(,)[28] and Food and Agriculture Organization of the United Nations (FAO) criteria for identifying and managing habitats and faunal communities vulnerable to human activities were not fully developed at the time of designing the initial area of particular environmental interest network, but the design covers the key elements currently applicable to the Clarion-Clipperton Zone, including the protection of:", "(a) “Vulnerable marine ecosystems” as defined by the FAO criteria for deep-sea bottom fishing in the high seas;[29]", "(b) Areas representative of the full range of ecosystems, habitats, communities and species of different biogeographic regions;", "(c) Areas of sufficient size to protect and ensure the ecological viability and integrity of the features for which they were selected.", "28. The scientific design included consideration of the existing contract and reserved areas. The placement of areas of particular environmental interest avoided overlap with licence areas, as well as reserved areas where possible.", "29. Areas of special significance for their uniqueness, biological diversity or productivity, as well as areas of special importance to the life histories of non-fish species referred to in the criteria of the Convention on Biological Diversity have not been incorporated in the scientific design. As more information becomes available, the spatial management of mining activities may have to reflect such factors. Until then, the representative approach described here provides the best way of capturing those values in undisturbed areas in order to preserve and conserve marine biodiversity and ecosystem structure and function in the context of seabed nodule mining activities based on the best available scientific information.", "D. Flexibility", "30. Any design of areas of particular environmental interest allows for the ability to modify the location and size of such areas, based on improved information about the location of mining activity, measurement of actual impacts from mining operations, and more biological data.", "31. Those concepts are described in the reports of the International Seabed Authority.[30] It should be noted that the precautionary principle applies to the exercise of flexibility and adaptive environmental management.", "III. Vision", "32. The vision of the International Seabed Authority is of a sustainably exploited Clarion-Clipperton Zone that preserves representative and unique marine habitats and species.", "33. The Clarion-Clipperton Zone incorporates a series of areas that have been assigned for exploration and prospecting rights for polymetallic nodules. The vision of the Authority is to facilitate mining while minimizing as far as practically possible the impact of seabed mining activities, and preserving and conserving marine biodiversity and ecosystem structure and function in the Clarion-Clipperton Zone.[31]", "34. The present Environmental Management Plan adopts a holistic approach to the environmental management of the Clarion-Clipperton Zone in its entirety, including, where appropriate, consideration of cumulative impacts, incorporating environmental risk assessments of new and developing technologies, while giving due consideration to relevant global initiatives and new legislation.", "IV. Goals", "35. The goals of the present Environmental Management Plan are to:", "(a) Facilitate exploitation of seabed mineral resources in an environmentally responsible manner, consistent with the legal framework and environmental guidelines of the International Seabed Authority for managing deep-sea nodule mining and protecting the deep-sea environment;", "(b) Contribute to the achievement of the management goals and targets set forth in the Plan of Implementation of the World Summit on Sustainable Development,[32] including: halting the loss of biodiversity; establishing ecosystem approaches to management; and developing marine protected areas, in accordance with international law and based on the best scientific information available, including representative networks by 2012;", "(c) Maintain regional biodiversity, ecosystem structure and ecosystem function across the Clarion-Clipperton Zone;", "(d) Manage the Clarion-Clipperton Zone consistent with the principles of integrated ecosystem-based management;", "(e) Enable the preservation of representative and unique marine ecosystems;", "(f) Capitalize upon the available knowledge and environmental data specific to the Clarion-Clipperton Zone, including oceanographic and environmental baseline studies;", "(g) Monitor the environment during and after testing of collecting systems and equipment, in accordance with the rules, regulations and procedures of the Authority;", "(h) Facilitate cooperative research and better understanding conditions within the Clarion-Clipperton Zone to inform the adoption of future rules, regulations and procedures, incorporating applicable standards for the protection and preservation of the marine environment;", "(i) Include the participation of developing countries and multilateral exchange of views on environmental management issues;", "(j) Avoid overlap between the contractor areas, reserved areas and any areas of particular environmental interest.", "V. Strategic aims", "36. The strategic aims of the present Environmental Management Plan are therefore to:", "(a) Ensure environmentally responsible seabed mining within the Clarion-Clipperton Zone, to enable effective protection of the marine environment from activities related to seabed mining;", "(b) Apply internationally accepted conservation management tools in order to maintain biodiversity and ecosystem structure and function across the Clarion-Clipperton Zone;", "(c) Sustainably manage the Clarion-Clipperton Zone as a whole;", "(d) Maintain regional biodiversity and ecosystem structure and function across the Clarion-Clipperton Zone;", "(e) Protect and conserve the natural resources of the Area and reduce impact on the biota of the marine environment.", "VI. Operational objectives", "A. Entire Clarion-Clipperton Zone", "37. The operational objectives of the present Environmental Management Plan for the entire Clarion-Clipperton Zone are to:", "(a) Establish periodically updated environmental baseline data for the region;", "(b) Undertake cumulative environmental impact assessments as necessary based on exploitation proposals;", "(c) Consider the environmental risks to the Clarion-Clipperton Zone posed by technological developments in mining technologies.", "B. Contract areas", "38. The operational objectives for the contract areas are to:", "(a) Ensure the application of the best available environmental practices and techniques;", "(b) Assemble and disseminate the environmental data collected by contractors for the purposes of impact assessment;", "(c) Establish guidelines for impact and preservation reference areas;", "(d) Develop plans to ensure responsible environmental management to enhance the recovery of habitats and faunal communities.", "C. Areas of particular environmental interest", "39. The operational objectives for the areas of particular environmental interest are to:", "(a) Protect biodiversity and ecosystem structure and function by a system of representative seafloor areas closed to mining activities. The system must be in place before additional mining claims further compromise the ability to develop a scientifically robust design;", "(b) Include a wide range of the habitat types present in the Clarion-Clipperton Zone within the areas of particular environmental interest (for example seamounts and fracture zone structures);", "(c) Establish an area of particular environmental interest system to avoid overlap with the current distribution of claimant and reserve areas (as was the basis for the current scientific design);", "(d) Provide a degree of certainty to existing and prospective contractors by laying out the location of areas closed to mining activities.", "VII. Management objectives", "A. Entire Clarion-Clipperton Zone", "40. The management objectives of the present Environmental Management Plan for the entire Clarion-Clipperton Zone are to:", "(a) Collate information from environmental impact assessments produced by contractors and supplemented where appropriate by other sources;", "(b) Consider the cumulative impacts of mining and other human activities;", "(c) Exchange information on new and developing technologies and their potential environmental impacts.", "B. Contract areas", "41. The management objectives for the contract are the following:", "(a) Contractors will apply the principles of ISO 14001[33] to the development of their site-specific environmental management plans. Such environmental management plans will be submitted with the contractor’s proposed mining plan prior to operations. In creating their environmental management plans, contractors are also encouraged to apply the Code for Environmental Management of Marine Mining adopted by the International Marine Minerals Society in 2001, as subsequently revised;[34]", "(b) Contractors will provide their environmental data from the Clarion-Clipperton Zone on an annual basis to the Secretariat, as required by the Mining Code. The Secretariat will use existing database systems and new procedures as required to organize the data into uniform formats and incorporate them with other available data from the Zone, into publicly available and easily accessible databases;", "(c) Contractors will provide in their environmental management plans the designation of the required impact and preservation reference zones for the primary purposes of ensuring preservation and facilitating monitoring of biological communities impacted by mining activities. Impact reference zones should be designated to be within the seabed claim area actually mined. Preservation reference zones should be designated to include some occurrence of polymetallic nodules in order to be as ecologically similar as possible to the impact zone, and to be removed from potential mining impacts;", "(d) Contractors are required to minimize potential impacts on established preservation zones, and the Authority should consider the potential for impact on established preservation zones in evaluating any application for a mining licence;", "(e) Contractors are encouraged to collaborate with each other and independent experts to identify guidelines for uniform application in the designation of reference zones under the guidance of the International Seabed Authority;", "(f) Contractors will include in their environmental management plans specific measures that will maximize the potential for the recovery of biota impacted by their activities in the Clarion-Clipperton Zone.", "C. Areas of particular environmental interest", "42. The Legal and Technical Commission should keep under review the areas of particular environmental interest and determine their suitability or need for amendment. This will involve holding a workshop of scientific/marine reserve/ management specialists to peer-review and critique the existing proposal and any new data and information from the contractors. The tasks of the workshop, to be convened as soon as practicable, would be to:", "(a) Review the data and assumptions in the original area of particular environmental interest proposal from the 2007 and 2010 workshops;[35]", "(b) Determine the scientific validity of the approach;", "(c) Assess existing data to define the details of the size, location and number of required areas of particular environmental interest;", "(d) Enable the Legal and Technical Commission to make a clear recommendation relating to the area of particular environmental interest to the Council of the International Seabed Authority.", "43. In developing a recommendation for the implementation of the area of particular environmental interest proposal, the Legal and Technical Commission should consider:", "(a) The process to review, and amend where necessary, the location, size and characteristics of the areas of particular environmental interest at regular intervals, taking into account the views of recognized experts. This may be achieved through workshops or meetings at regular intervals, the first of which should take place two years after implementation of the area of particular environmental interest network;", "(b) Encouraging and, where appropriate, supporting and initiating scientific research projects and programmes to enhance knowledge and understanding of the ecosystem structures and functions in the areas of particular environmental interest. Such research should be conducted so as to minimize the damage to habitat and faunal communities. The Authority should be notified of proposed research activities. The Secretariat of the Authority will begin this action in 2011 by making contact with a wide variety of national and international research agencies;", "(c) How to encourage the inclusion of the area of particular environmental interest sites as reference areas in scientific research programmes on climate change and the oceans;", "(d) Suitable mechanisms for monitoring the achievement of the conservation objectives for the area. This will depend to an extent upon the nature of mining impacts, and hence what may be identified as key indicator species;", "(e) The communication of the Authority’s management goals for the areas of particular environmental interest to competent agencies responsible for the management of the water column. The Environmental Management Plan should also be posted on the website of the Authority;", "(f) Encouraging competent intergovernmental organizations to adopt compatible measures for other activities that may affect biodiversity or the environment in the area of particular environmental interest (for example, fishing, shipping, ocean dumping). The Authority should make contact with competent international organizations and communicate the desire to foster scientific activities in the Clarion-Clipperton Zone;", "(g) The process of reviewing contractor and other relevant data (for example, every two years), as well as the advice of relevant experts that may affect the design of the area of particular environmental interest system. Where appropriate, the Legal and Technical Commission should report the results to the Council and advise on measures to be taken. Any proposal to alter the location or nature of an area of particular environmental interest will require information on any suggested alternative to ensure that the strategic and operational objectives are maintained. The Legal and Technical Commission should lead the development of environmental standards that will inform the decision and rules to be made if mining activities are seen to affect areas of particular environmental interest.", "VIII. Implementation", "44. The present Environmental Management Plan should be implemented progressively by the Secretariat as directed by the Legal and Technical Commission, taking into account external expert views as appropriate.", "45. Additional resources may be needed to take these objectives forward and this should be the subject of a separate detailed proposal to be developed by the Secretariat.", "IX. Review", "46. The Environmental Management Plan will be subject to periodic external review by the Legal and Technical Commission (every two to five years, as required) and updated at least two years in advance of the end of the plan in 2016 (coinciding with the end of currently granted exploration licences for six of the contractors in the Clarion-Clipperton Zone).", "X. Recommended priority action", "47. The Secretariat will set up a working group or an expert consultant group, including contractor experts to facilitate the establishment of environmental databases using contractors’ and selected external data sources. That task should be initiated as soon as possible and before the end of 2011. The group will work with Secretariat staff to develop the required procedures and protocols and publicly available and easily accessible databases.", "48. The contractors have carried out significant environmental work in the Clarion-Clipperton Zone. When all of the resultant data has been standardized in a central database, it should be reviewed in order to assess the biogeography of the Zone and the areas of particular environmental interest, and used to assist the environmental management of the region.", "49. The Secretariat will retain a set of expert consultants to facilitate data standardization, including taxonomic intercalibration, across contractor datasets and the Clarion-Clipperton Zone. The consultants will:", "(a) Collect information from contractors to establish the size of faunal collections, the level of taxonomic identification and the range of taxa available;", "(b) Convene a series of workshops focused on specific taxa (for example, polychaetes, nematodes, copepods, echinoderms and isopods) bringing together contractors and taxonomic experts to build taxonomic capacity and initiate species-level intercalibration;", "(c) Coordinate a series of investigator visits between laboratories to complete taxonomic intercalibration of targeted taxa;", "(d) Provide training in techniques for collection and analysis of molecular material for taxonomic identification.", "50. The Secretariat will host a workshop including contractor representatives and expert consultants. The objective of the workshop will be to develop specific guidelines for the contractors to use in the establishment of impact and preservation reference zones. The current exploration licences for six of the contractors in the Clarion-Clipperton Zone will expire in 2016, and the workshop should be held at least one year prior to the first licence expiration date.", "51. The Secretariat will complete a cumulative impact assessment for seabed mining in the Clarion-Clipperton Zone. The work will include:", "(a) Evaluation of the potential impacts of multiple mining operations in the Clarion-Clipperton Zone on benthic and water column ecosystems;", "(b) Evaluation of the potential impacts of multiple mining operations in the Clarion-Clipperton Zone on other mining operations for nickel, copper, cobalt and other metals that could be recovered from the Zone’s polymetallic nodule deposits.", "52. The International Seabed Authority will aim to periodically (for example, every 5 to 10 years) issue a publicly available environmental quality status report of the region, based on the data and information compiled from contractors and independent science.", "Annex I", "Figures", "Figure I Clarion-Clipperton Zone management area", "[]", "Figure II Location of the areas of particular environmental interest, indicating the nine biogeographic subregions, the core of each area of particular environmental interest and the buffer zones", "[]", "Annex II", "Literature cited", "Bischoff, J. L., and D. Z. Piper, eds. (1979). Marine geology and oceanography of the Pacific manganese nodule province. Marine Sciences, Vol. 9.", "Hannides, A., and C. R. Smith (2003). “The northeast abyssal Pacific plain”. In Biogeochemistry of Marine Systems, K. B. Black and G. B. Shimmield, eds., Boca Raton, Florida: CRC Press, 208-237.", "International Seabed Authority (2002). Standardization of Environmental Data and Information: Development of Guidelines. Proceedings of the International Seabed Authority Workshop held on 25-29 June 2001 in Kingston, Jamaica.", "International Seabed Authority (2006). Prospects for international collaboration in marine environmental research to enhance understanding of the deep-sea environment. Proceedings of the Workshop held on 29 July-2 August 2002 in Kingston, Jamaica.", "International Seabed Authority (2008). Biodiversity, Species Ranges and Gene Flow in the Abyssal Pacific Nodule Province: Predicting and Managing the Impacts of Deep Seabed Mining. Technical Study: No. 3.", "International Seabed Authority (2011). A Geological Model of Polymetallic Nodule Deposits in the Clarion-Clipperton Fracture Zone. Technical Study: No. 6.", "Oebius, H. U., H. J. Becker, S. Rolinski and J. A. Jankowski (2001). Parametrization and evaluation of marine environmental impacts produced by deep-sea manganese nodule mining. Deep-Sea Research II (48), 3453-3467.", "Ozturgut, E., J. W. Lavelle and R. E. Burns (1981). Impacts of manganese nodule mining on the environment: results from pilot-mining tests in the North Equatorial Pacific. Elsevier Oceanography Series, vol. 276, 437-474.", "Rolinski, S., J. Segschneider and J. Sundermann (2001). Long-term propagation of tailings from deep-sea mining under variable conditions by means of numerical simulations. Deep-Sea Research II (48), 3469-3485.", "[1] United Nations Convention on the Law of the Sea of 10 December 1982, art. 192.", "[2] Ibid., arts. 194, 204 and 206. Of particular relevance to deep seabed mining is art. 194 (3) (d), which provides that States shall take measures to minimize to the fullest possible extent pollution from installations and devices in exploration or exploitation of the natural resources of the seabed and subsoil, in particular measures for preventing accidents and dealing with emergencies, ensuring the safety of operations at sea and regulating the design, construction, equipment, operation and manning of such installations or devices.", "[3] Ibid., arts. 194 (5) and 196 (1).", "[4] Ibid., art. 136.", "[5] Ibid., art. 157 (1).", "[6] Ibid., art. 145, annex III, art. 17 (1) (b) (xii).", "[7] Implementing Agreement, annex, section 1, para. 5 (f).", "[8] Convention, arts. 165 (e)-(h) and 215.", "[9] Ibid., art. 165 (2) (k).", "[10] Ibid., art. 165 (2) (l).", "[11] Ibid., art. 165 (2) (m).", "[12] Ibid., annex III, art. 17 (2) (f).", "[13] Ibid., art. 209 (2).", "[14] Resolution 64/71 on oceans and the law of the sea, paras. 33 and 34; and resolution 63/111, paras. 33 and 34; resolution 62/215, paras. 33 and 34; and resolution 61/222, paras. 28-30.", "[15] Polymetallic Nodules Regulations, Reg. 3 (4) (d) (i) (b).", "[16] Ibid., Reg. 5 (1) (b).", "[17] Ibid., Reg. 18 (b)-(d).", "[18] Ibid., Reg. 31 (4); see also Part XI Implementing Agreement, annex, section 1, para. 7.", "[19] Ibid., Reg. 31 (5).", "[20] Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3‑14 June 1992 (United Nations publication, Sales No. E.91.I.8 and corrigenda), vol. I: Resolutions adopted by the Conference, resolution 1, annex I.", "[21] Bischoff and Piper (1979).", "[22] Legal and Technical Commission (2010).", "[23] Rolinski and others (2001); Oebius and others (2001).", "[24] Ozturgut, Lavelle and Burns (1981).", "[25] See ISBA/14/LTC/2.", "[26] See for example, Scientific guidance for selecting areas to establish a representative network of marine protected areas, including in open ocean waters and deep-sea habitats (Conference of the Parties to the Convention on Biological Diversity decision IX/20, annex II).", "[27] Scientific criteria for identifying ecologically or biologically significant marine areas in need of protection in open ocean waters and deep-sea habitats (ibid., annex I).", "[28] Scientific guidance for selecting areas to establish a representative network of marine protected areas, see footnote 26.", "[29] FAO, International Guidelines for the Management of Deep-Sea Fisheries in the High Seas, 2009. Available from http://www.fao.org/docrep/011/i0816t/i0816t00.htm.", "[30] ISBA/14/LTC/2 and ISBA/15/LTC/4.", "[31] In line with the scope set out in document ISBA/16/LTC/7.", "[32] Report of the World Summit on Sustainable Development, Johannesburg, South Africa, 26 August-4 September 2002 (United Nations publication, Sales No. E.03.II.A.1 and corrigendum), chap. I, resolution 2, annex.", "[33] Available from the website of the International Organization for Standardization at: http://www.iso14000-iso14001-environmental-management.com/.", "[34] The Code for Environmental Management of Marine Mining consists of a statement of Environmental Principles for the marine mining industry, followed by a set of Operating Guidelines for application as appropriate at specific mining sites. These Guidelines are designed to serve industry, regulatory agencies and other stakeholders as benchmarks for development, implementation and assessment of environmental management plans and as advice on best practices at sites targeted for marine mineral research, exploration and extraction. The Principles and Guidelines set broad directions in a context of shared values rather than prescribing specific practices (see www.immsoc.org/IMMS_code.htm).", "[35] ISBA/14/LTC/2." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Environmental management plan for the Clarion-Clipperton Zone", "Introduction", "A. Relevant legal framework of the powers of the International Seabed Authority to protect the marine environment", "1. Under the 1982 United Nations Convention on the Law of the Sea ( \" the Convention \" ), States parties have a general obligation to protect and preserve the marine environment. [1] This comprehensive obligation includes: preventing, reducing and controlling pollution of the marine environment from any source, monitoring the risks or effects of pollution and assessing the potential effects of activities under its jurisdiction or control that may cause significant pollution or significant and harmful changes to the marine environment. [2] In particular, States parties must take measures to protect and preserve rare or fragile ecosystems, as well as the habitat of depleted, threatened or endangered species and other forms of marine life. States should also prevent, reduce and control pollution of the marine environment resulting from the use of technology under their jurisdiction or control, or the intentional or accidental introduction of alien or new species in a particular part of the marine environment. [3] In the deep seabed beyond the limits of national jurisdiction, the Area, since the Area and its resources are the common heritage of mankind, these responsibilities are shared by all States parties to the Convention. [4]", "On behalf of the States parties to the Convention, the International Seabed Authority is responsible for the management of mineral resources in the Area, including prospecting, exploration and exploitation of such resources. [5] As part of the responsibilities of the Authority, the Authority is responsible for taking the necessary measures to ensure the effective protection of the marine environment from harmful effects that may arise from such activities. To that end, the Authority must establish appropriate rules, regulations and procedures to achieve the following objectives:", "(a) To prevent, reduce and control pollution and other hazards to the marine environment, including the coast, and to prevent interference with the ecological balance of the marine environment, with particular attention to protecting it from harmful effects arising from activities such as drilling, dredging, digging, waste disposal and the construction and operation or maintenance of installations, pipelines and other devices related to such activities;", "(b) To protect and conserve the natural resources of the Area and prevent damage to the flora and fauna of the marine environment. [6]", "The 1994 Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 reaffirms these responsibilities and establishes “the importance of the Convention for the protection and preservation of the marine environment and the growing concern for the global environment” and provides that, between the entry into force of the Convention and the approval of plans of work for development, the Authority shall focus, inter alia, on “the establishment of rules, regulations and procedures for the protection and preservation of the marine environment, including applicable standards”. [7]", "4. The Legal and Technical Commission of the Authority shall be responsible for making recommendations to the Council on the protection of the marine environment, taking into account the views of recognized experts in this field. In addition, the Legal and Technical Commission must:", "(a) To establish and submit to the Council rules, regulations and procedures for prospecting, exploration and exploitation in the Area, taking into account all relevant factors, including the assessment of the environmental impact of activities in the Area;", "(b) Keep such rules, regulations and procedures under review;", "(c) To make recommendations to the Council on the establishment of a monitoring programme for the periodic observation, measurement, evaluation and analysis of the risks or effects of pollution of the marine environment caused by activities in the Area by recognized scientific methods;", "(d) Coordinating the implementation of the monitoring programme approved by the Council. [8]", "5. The Legal and Technical Commission may also make recommendations to the Council on:", "(a) Issue emergency orders to prevent serious harm to the marine environment from activities in the Area. The Council shall give priority to such recommendations;[9]", "(b) Not permit the contractor or the Enterprise to develop certain areas because there is sufficient evidence that the marine environment is at risk of serious harm; [10]", "(c) The direction and supervision of inspectors who shall inspect activities in the Area to ascertain compliance with the provisions of the Convention and the rules and procedures of the Authority. [11]", "Annex III to the Convention provides that the Authority shall establish rules, regulations and procedures to ensure the effective protection of the marine environment from direct damage caused by activities in the Area or by the processing of minerals from a mine site on board that site. These procedures must take into account the extent to which such damage may be directly caused by drilling, dredging, core and drilling, as well as by the disposal, dumping and discharge of sediment, waste or other effluents within the marine environment. [12]", "The Convention requires States parties to enact supplementary laws and regulations to prevent, reduce and control pollution of the marine environment from activities in the Area carried out by vessels, installations, structures and other devices flying their flag or registered in their territory or operating under their authority. The requirements of such laws and regulations shall be no less effective than the rules, regulations and procedures of the International Seabed Authority. [13]", "In its resolutions on oceans and the law of the sea, the General Assembly reaffirmed the need for the Authority to continue to develop rules, regulations and procedures, in accordance with article 145 of the Convention, to ensure the effective protection of the marine environment, the protection and conservation of the natural resources of the Area and the prevention of damage to its flora and fauna from harmful effects that may arise from activities in the Area. In those resolutions, the Assembly noted the importance of the responsibilities entrusted to the Authority under articles 143 and 145 of the Convention, which deal, respectively, with marine scientific research and the protection of the marine environment. [14]", "In 2000, the Authority adopted the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (the Polymetallic Nodules Regulations), which establish a comprehensive environmental protection obligation for States and State-sponsored entities involved in the prospecting and exploration phases of deep seabed mining. At each stage of activities relating to the Area, prospectors and contractors have a substantive responsibility to assess and monitor the impact of their operational activities on the marine environment of the Area. When the Authority is required to authorize the exploration for polymetallic nodule deposits, the prospector must include in its notification a satisfactory written undertaking that the prospector will comply with the Convention and the relevant rules, regulations and procedures of the Authority relating to the protection and preservation of the marine environment. [15] Prospectors are also required to submit annual reports on prospecting, providing information on their compliance with the International Seabed Authority regulations for the protection and preservation of the marine environment. [16]", "States and State-sponsored entities submitting plans of work for exploration in the Area are required to provide a description of the proposed programme for oceanographic and environmental baseline studies. These studies are intended to enable a scientific assessment of the potential environmental impact of the proposed exploration activities on the marine environment. Proposed measures for the prevention, reduction and control of pollution and other hazards, as well as proposed measures for possible impacts on the marine environment, should also be described. [17] Following a contract for exploration with the Authority, exploration contractors shall collect environmental baseline data against which to assess the likely effects of their activities on the marine environment; they shall also establish programmes to monitor and report on the effects. [18] Contractors are required to report annually to the Authority on the implementation and results of the monitoring programme and to submit environmental baseline data. [19]", "11. This environmental management plan is consistent with the above-mentioned obligations, responsibilities, rules, regulations and procedures. The terms of the Convention and the Regulations for Polymetallic Nodules have the same meaning as in this document.", "B. Other international organizations and processes relevant to the protection of the marine environment", "12. The Authority recognizes the need to work in consultation with many other international organizations and processes concerned with the protection of the marine environment.", "C. Guidelines", "13. The guiding principles of the plan are as follows:", "(a) The common heritage of mankind. The Area and its resources are the common heritage of mankind. (a) All rights in the resources of the Area belong to mankind as a whole and shall be exercised by the Authority on behalf of mankind as a whole;", "(b) Precautionary approach. Principle 15 of the Rio Declaration on Environment and Development specifies that where there is a risk of serious or irreversible damage to the environment, lack of full scientific certainty may not be used as a reason to delay effective measures to prevent environmental degradation;", "(c) Protection and preservation of the marine environment. All States have a responsibility to protect and preserve the marine environment;", "(d) Prior environmental impact assessment. Pre-assessment of activities that may have significant adverse effects on the environment;", "(e) Conservation and sustainable use of biodiversity. All States have responsibilities for the conservation and sustainable use of marine biodiversity;", "(f) Transparency. The Authority shall enable public participation in environmental decision-making processes in accordance with the provisions of the 1998 Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters and the rules and procedures of the Authority.", "D. Definition of the Clarion-Clipperton Zone and other relevant provisions", "The Clarion-Clipperton Zone (“the Area”) is located in the Central-East Pacific Ocean, south and south-east of the Hawaiian Islands. It is generally understood that the geographical boundary of the regulatory area is approximately 0°-23°30'Nx115°W-160°W, including in this box areas beyond national jurisdiction. The North-South boundary of the Area is the Clarion-Clipperton Fracture Zone leading to ENE-WN. The area is approximately 4.5 x 10 6 square kilometres (km2).", "15. Most of the seabed of the managed area is between 4,000 and 6,000 metres deep. The landscape is some seamounts, some of which may be less than 2,000 metres deep. A wide-ranging network of seafloor expansion (which is about to have a positive relationship with the direction of the fracture zones that make up the boundary) provides a large number of flat-floor valleys that are separated by irregular and often inconsistent hundreds of metres of ridges (see annex, figure I).", "16. Interest in the commercial exploitation of seabed polymetallic nodules has emerged since the 1960s. Economically valuable nodules have been found in three areas: the North Central Pacific; the Peru Basin in the South Pacific; and the Central North Indian Ocean. The most promising deposits are thought to be located in the Clarion-Clipperton Zone in terms of nodule abundance and metal content, and this is therefore expected to be the first area to be exploited.", "17. At present, eight contractors have obtained exploration permits for an area of approximately 520,000 square kilometres. While the timing of the start of the extraction of minerals is not known, the International Seabed Authority has sought to take the initiative to develop this environmental management plan in preparation for future mining activities in the Clarion-Clipperton Zone.", "E. Description of mining operations, vulnerability and potential impacts", "18. Basic mining operations include: (a) the recovery of polymetallic nodules and their separation from the fine powdered seafloor mud around them; (b) the lifting of nodules up to 4,000 to 5,000 metres to the sea surface; and (c) the separation of nodules from seawater and sediments caught in the lifting process and their transport to metallurgical processing facilities.", "19. These operational procedures have environmental risks and any mining work must be assessed to minimize and mitigate risks. The pick-up of nodules and the removal of incidental particles of mud have fundamentally disturbed the seabed habitats of the mine and created sediment plumes near the seabed. In most of the options considered, the lifting of nodules would be accompanied by a large amount of deep sea water and associated biota. When nodules are subsequently separated from seawater used for lifting operations, in addition to the discharge of those seawater, it is possible to release fine sediments and nodule debris that have not been removed from the seabed.", "20. Studies to assess the extent of these impacts have been completed, including the collection of baseline data [21] [22] and the development of mathematical models for predicting the size and persistence of emission plumes. [23] The latter is carried out in conjunction with the maritime observations of the above-mentioned test mining operations. [24]", "Environmental management", "21. Best practices in the management of harmful human activities in the marine environment generally involve the use of space-based management tools, including the establishment of protected areas to protect areas that are considered to represent the full range of ecological, biological and ecosystem structures and functions in the area under management. In the Clarion-Clipperton Zone, a ban on possible mining activities will be required in some areas to protect and preserve the marine environment.", "The development of a space management plan for the Clarion-Clipperton Zone reflects the following concepts:", "A. Space variability", "23. Animal communities vary across the Clarion-Clipperton Zone, with productivity, depth and other environmental variables ranging from north to south and east to west. In order to protect all habitats and biodiversity in the Clarion-Clipperton Zone, destructive seabed activities in specific areas distributed across the gradients must be prohibited. On the basis of integrated environmental, ecological and biogeographic data (summarized in several reports of the International Seabed Authority, see chapter below), as well as the theory and practice of conservation work, it may be advisable to place these areas in the Clarion-Clipperton Zone at a fault zone.", "24. A workshop[25] held in 2007 recommended that an ecologically and biogeographically sound space management plan be designed to divide the Clarion-Clipperton Zone into three east-west and three north-south-south conservation management, since the gradient of ecosystem structures and functions depends largely on productivity. This stratification creates nine distinct subregions in the Clarion-Clipperton Zone, each requiring a designated area of particular environmental interest.", "B. Size of areas of particular environmental interest", "25. Protected area systems can be designed in a variety of ways to maintain sustainable stocks and to encompass all habitats and communities. The most appropriate area of special environmental interest system includes large areas of self-sustaining stocks and multiple habitat variability. While the extent to which potential deep-sea mining activities can impact is not yet clear, these areas should not be directly affected by actual activities or indirectly by mining consequences such as plumes. Based on a detailed review of environmental data, population distribution, stock diffusion capacity and distance, and ecological alternative variables, it has been determined that each area of particular environmental interest should have a core area of at least 200 km long and wide, that is, the core area should be sufficiently large to allow species that may be limited to a subregion within the Clarion-Clipperton Zone to maintain the minimum number of viable species and to include all habitat variability and biodiversity within a given subregion. In addition, a 100-kilometre-wide buffer zone should be drawn around the core of each area of special environmental interest to ensure that the core area is not affected by mining plumes arising from activities carried out in close proximity to the area of special environmental interest. The total area of particular environmental interest (including a core area of 200 x 200 km and a buffer zone of 100 km) should therefore be 400 x 400 km (see annex, figure II).", "C. Scientific design", "26. The design of areas of particular environmental interest, developed at the 2007 workshop, is based on universally accepted and widely applied principles for the design of networks of marine protected areas,[26] which include elements for the protection of 30 to 50 per cent of total managed areas. It was designed using geological, oceanographic and biological alternative data from previous International Seabed Authority workshops and reports, as well as peer-reviewed scientific literature and the experience of international experts in deep-sea biology. These data and analyses have been presented in several reports and in several workshops (e.g., Hannides and Smith, 2003; International Seabed Authority, 2002; International Seabed Authority, 2008; ISBA/14/LTC/2; International Seabed Authority, 2011). Following a preliminary review of the outcome of the workshop, the Legal and Technical Commission amended the location of the proposed area of particular environmental interest in the light of the current distribution of contracts and reserved areas.", "27. In the design of the initial network of areas of particular environmental interest, the criteria for the identification and management of vulnerable habitats and animal communities of the Convention on Biological Diversity [27] [28] and the Food and Agriculture Organization of the United Nations (FAO) have not yet been formalized, but the design includes key elements currently applicable to the Clarion-Clipperton Zone, including protection:", "(a) “Vulnerable marine ecosystems”, i.e. ecosystems as defined by the FAO high seas deep seabed fishing standards; [29]", "(b) Areas that are sufficiently representative of all ecosystems, habitats, communities and species of different biogeographic regions;", "(c) Areas of area sufficient to ensure the ecological viability and integrity of the selected protected features.", "28. Scientific design takes into account existing contracts and reserved areas. The location of the selected area of particular environmental interest avoids overlap with the permitted exploration area and, to the extent possible, with the reserved area.", "29. Scientific design has not yet been incorporated into the Convention on Biological Diversity criteria in areas of special significance due to the uniqueness of the region, biodiversity or productivity, and in areas of particular importance to the life history of non-fish species. As the availability of information increases, space management of mining activities may need to reflect these factors. Prior to this, the representative approach presented here provides the best way to capture these values in undisturbed areas in order to preserve and conserve marine biodiversity and ecosystem structures and functions in the context of seabed nodule mining based on the best available scientific information.", "Flexibility", "30. The design of areas of particular environmental interest allows for changes in the location and size of areas of concern based on accurate information on the location of mining activities, measurements of the actual impact of mining operations and further biological data.", "31. These concepts are described in the report of the International Seabed Authority. [30] It should be noted that the precautionary principle is also to be applied to flexible and adaptive environmental management.", "III. Vision", "32. The vision of the International Seabed Authority is the sustainable development of the Clarion-Clipperton Zone, preserving its representative and unique marine habitats and species.", "33. The Clarion-Clipperton Zone contains a series of areas for which exploration and prospecting rights for polymetallic nodules have been granted. The vision of the Authority is to promote mining operations while minimizing the impact of seabed mining activities and to preserve and conserve marine biodiversity and ecosystem structures and functions in the Clarion-Clipperton Zone. [31]", "34. The environmental management plan takes a comprehensive approach to environmental management throughout the Clarion-Clipperton Zone, including, where appropriate, considering cumulative impacts, environmental risk assessment of new and developing technologies, with due consideration to relevant global initiatives and new legislation.", "Objectives", "The objectives of this environmental management plan are:", "(a) Promote the development of seabed mineral resources in a responsible manner to protect the environment, in accordance with the International Seabed Authority legal framework and environmental guidelines;", "(b) To promote the achievement of the management goals and targets set out in the Plan of Implementation of the World Summit on Sustainable Development, including the cessation of the loss of biodiversity; the establishment of ecosystem-based management approaches; and the identification of marine protected areas in accordance with international law and the best available scientific information, including representative networks by 2012;", "(c) Maintaining geographical biodiversity and ecosystem structures and functions throughout the Clarion-Clipperton Zone;", "(d) Management of the Clarion-Clipperton Zone in accordance with the principles of integrated ecosystem-based management;", "(e) Promote the preservation of representative and unique marine ecosystems;", "(f) Make full use of existing expertise and environmental data on the Clarion-Clipperton Zone, including oceanographic and environmental baseline studies;", "(g) Monitoring the environment during and after testing of collecting systems and equipment, in accordance with the rules, regulations and procedures of the Authority;", "(h) To promote cooperative research and a better understanding of conditions in the Clarion-Clipperton Zone and to provide information for the future development of rules, regulations and procedures incorporating applicable standards for the protection and preservation of the marine environment;", "(i) Promoting the participation of developing countries and multilateral exchange of views on environmental management issues;", "(j) Avoiding duplication of areas of particular environmental interest in the contractor ' s area, reserved areas and any environmental areas.", "V. Strategic objectives", "36. The strategic objectives of this environmental management plan are, therefore:", "(a) To ensure that seabed mining in the Clarion-Clipperton Zone is carried out in a responsible manner that protects the environment in order to promote the effective protection of the marine environment from activities related to seabed mining;", "(b) Maintaining biodiversity and ecosystem structures and functions throughout the Clarion-Clipperton Zone, using internationally recognized conservation management tools;", "(c) Sustainable and holistic management of the Clarion-Clipperton Zone;", "(d) Maintaining geographical biodiversity and ecosystem structures and functions throughout the Clarion-Clipperton Zone;", "(e) To protect and conserve the natural resources of the Area and to reduce the impact on the biota of the marine environment.", "VI. Operational objectives", "A. All the Clarion-Clipperton Zone", "37. In the entire Clarion-Clipperton Zone, the operational objectives of the environmental management plan are:", "(a) Establishment of regular regional environmental baseline data;", "(b) Carry out cumulative environmental impact assessments, as appropriate, based on development proposals;", "(c) Consider the environmental risks posed by technological developments in mining technologies to the Clarion-Clipperton Zone.", "B. Contract area", "38. In the contract area, the operational objectives are:", "(a) Ensuring the use of available best environmental practices and technologies;", "(b) Compile and disseminate environmental data collected by contractors for environmental impact assessments;", "(c) Develop guidelines for the establishment of impact reference zones and preservation reference zones;", "(d) Develop plans to ensure responsible environmental management and improve the resilience of habitats and animal communities.", "C. Areas of particular environmental interest", "39. In areas of particular environmental interest, the operational objectives are:", "(a) The establishment of a representative seabed area system that prohibits mining activities to protect biodiversity and ecosystem structures and functions. Such a system must be established at an early stage to avoid further erosion of the ability of other mining rights to design a system that is scientifically effective;", "(b) Areas of particular environmental interest include a variety of habitat types (e.g. seamounts and fracture zone structures) found in the Clarion-Clipperton Zone;", "(c) Establish a system of areas of particular environmental interest to avoid overlap with the application and reserved areas (which is the basis for the current scientific design);", "(d) Delineation of prohibited mining activity areas to provide some clarity to existing and potential contractors.", "VII. Management objectives", "A. All the Clarion-Clipperton Zone", "40. In the entire Clarion-Clipperton Zone, the management objectives of this environmental management plan are:", "(a) Collate and supplement, as appropriate, environmental impact assessments provided by contractors;", "(b) Consideration of the cumulative impact of mining and other human activities;", "(c) Exchange information on new and developing technologies and their potential environmental impacts.", "B. Contract area", "41. In the contract area, the management objectives are:", "(a) The contractor will apply ISO 14001 [33] to develop site-specific environmental management plans. These environmental management plans are submitted by the contractor together with the proposed mining plan prior to commencement. In doing so, contractors are encouraged to apply the Code for the Environmental Management of Marine Mining adopted by the International Marine Minerals Institute in 2001 (revised); [34]", "(b) Contractors will provide environmental data for the Clarion-Clipperton Zone to the Secretariat on an annual basis, as required by the Mining Code. The secretariat will use existing database systems and new procedures, as required, to collate the data in a uniform format, summarize other available data in the Clarion-Clipperton Zone and place them in a user-friendly public database;", "(c) Contractors will designate impact and preservation reference areas in their environmental management plans, as required, primarily to ensure the preservation and promotion of the monitoring of biological communities affected by mining activities. The designated impact reference area shall be located in the seabed area actually mined. The designated preservation reference areas should include some polymetallic nodule mining sites in order to be as similar as possible to the ecosystems of the affected areas and to be far from potential mining impacts;", "(d) The contractor shall minimize the potential impact on the established preservation area; in evaluating the application for a mining licence, the Authority shall consider the possible impact on the established preservation area;", "(e) Encourage contractors, in collaboration with other contractors and independent experts, to identify uniform application guidelines for the designation of reference areas under the guidance of the International Seabed Authority;", "(f) Contractors will include in their environmental management plans specific measures to maximize the opportunity for the recovery of biota affected by their activities in the Clarion-Clipperton Zone.", "C. Areas of particular environmental interest", "42. The Committee on Science and Technology should keep under review areas of particular environmental interest to determine whether they are suitable or need to be amended. To that end, a scientific/MPA/management expert workshop should be held to peer review and comment on existing proposals for areas of particular environmental interest and on any new data and information provided by contractors. The seminar should be held as soon as possible and its tasks would be:", "(a) To review the data and assumptions of the original proposal for the 2007 and 2010 workshops of particular environmental interest; [35]", "(b) To determine the scientific validity of the methodology;", "(c) Assess the available data to determine details of the size, location and number of areas of particular environmental concern;", "(d) To enable the Committee on Science and Technology to make clear recommendations to the Council of the International Seabed Authority on the proposed areas of particular environmental interest.", "43. In developing its recommendations for the implementation of the proposal on areas of particular environmental interest, the Committee on Science and Technology should consider:", "(a) The process of periodically reviewing and, where necessary, revising the location, size and characteristics of areas of particular environmental interest, taking into account the views of recognized experts. This could be done through regular workshops or conferences, the first of which should take place two years after the implementation of the network of areas of particular environmental interest;", "(b) Encourage and support, as appropriate, and initiate scientific research projects and programmes to raise awareness and understanding of the structure and functions of ecosystems in areas of particular environmental interest. In carrying out these studies, damage to habitats and animal communities should be minimized. The Authority shall be notified of the proposed research activities. The secretariat of the Authority will initiate this initiative in 2011 and engage with a number of national and international research institutions;", "(c) How to encourage the inclusion of areas of particular environmental interest as reference areas in scientific research programmes on climate change and oceans;", "(d) Appropriate mechanisms for monitoring the achievement of conservation objectives in areas of particular concern. To some extent, this will depend on the nature of the impact of mining activities, and therefore the species should be identified as key indicators;", "(e) Inform the Authority of the management objectives of areas of particular environmental interest to the Authority and the competent bodies responsible for the management of the water column concerned. The environmental management plan should also be published on the website of the Authority;", "(f) Encourage competent intergovernmental organizations to take appropriate measures to regulate other activities (e.g., fishing, shipping, ocean dumping) that may affect biodiversity or the environment in areas of particular environmental concern. The Authority shall contact the competent international organizations to indicate their desire to promote scientific research in the Clarion-Clipperton Zone;", "(g) Procedures for reviewing contractor and other relevant information (e.g., on a biennial basis), as well as the views of relevant experts that may affect the design of areas of particular environmental interest. The Committee on Science and Technology shall report on the results to the Council, as appropriate, recommending measures to be taken. Any proposal to change the location or nature of areas of particular environmental interest would require information on the proposed alternative areas to ensure that strategic and operational objectives are maintained. The Committee on Science and Technology should take the lead in developing environmental standards as a basis for decision-making and rule-making when mining activities are seen as affecting areas of particular environmental interest.", "Implementation", "44. The environmental management plan shall be implemented progressively by the secretariat, taking into account, as appropriate, the views of outside experts, as directed by the Committee on Science and Technology.", "45. The advancement of these objectives may require additional resources, for which the secretariat should prepare another detailed proposal.", "IX. Review", "46. The environmental management plan will be subject to a regular external review by the Committee on Science and Technology (every two to five years, as required) and will be updated no later than two years before the end of the 2016 plan (by the expiration of the current six contractors ' exploration licences for the Clarion-Clipperton Zone).", "X. Suggested priority actions", "47. The secretariat will establish a working group or panel of experts (including contractors ' experts) to facilitate the establishment of environmental databases using contractors and selected external data sources. This task should begin as soon as possible before the end of 2011. The working group will work with Secretariat staff to develop the necessary procedures and protocols and an accessible public database.", "48. The contractor has undertaken extensive environmental work in the Clarion-Clipperton Zone. The resulting data should be reviewed to assess the biogeography of the Clarion-Clipperton Zone and areas of particular environmental interest and be used in a standardized format for environmental management in the region, following their entry into a central database.", "49. The secretariat will engage a number of expert consultants to promote data standardization, including taxonomic intercalibration (between contractor data sets and between areas of the Clarion-Clipperton Zone). The consultants will:", "(a) Collect the information provided by the contractor to determine the size of the herd, the level of classification and the class of the herd;", "(b) Convening a series of workshops with contractors and taxonomic experts devoted to specific groups (e.g., polychaetes, nematodes, pebbles, thorny fauna and so forth) to build bioclassification capacity and conduct intercalibration at the species level;", "(c) Coordination of inter-laboratory investigator visits to complete inter-calibration of target groups;", "(d) Provide technical training in the collection and analysis of molecular material for classification purposes.", "50. The secretariat will organize workshops for participants, including representatives of contractors and expert consultants. The objective of the workshop was to develop specific guidelines for contractors to use in establishing impact and preservation reference zones. The current exploration licence for six contractors in the Clarion-Clipperton Zone expires in 2016 and the workshop should be held no later than one year before the expiration of the first licence.", "51. The secretariat will complete the cumulative impact assessment of seabed mining in the Clarion-Clipperton Zone. This will include:", "(a) An assessment of the possible impact of multiple mining operations in the Clarion-Clipperton Zone on the benthic and water column ecosystems;", "(b) Evaluate the potential impact of multiple mining operations in the Clarion-Clipperton Zone on mining operations for nickel, copper, cobalt and other metals that could be recovered from polymetallic nodule deposits in the Clarion-Clipperton Zone.", "52. On the basis of data and information collected from contractors and independent scientific research sources, the International Seabed Authority intends to publish, on a regular basis (for example, every 5 to 10 years), publicly available reports on the state of the environment in the region.", "Annex I", "Figure", "Figure I Management area of the Clarion-Clipperton Zone", "[Chuckles]", "Figure II Positioning of areas of particular environmental interest (including nine biogeographic zones and core and buffer zones for each area of particular environmental interest)", "[Chuckles]", "Annex II", "References", "Marine geology and ocenography of the Pacific manganese nodule policy.", "In Biogeochemistry of Marine Systems, K.B. Black and G.B. Shimmield, eds., Boca Raton, Florida: CRC Press, 208-237.", "International Seabed Authority (2002). Standardization of environmental data and information: development of guidelines. Proceedings of the International Seabed Authority Workshop, 25-29 June 2001, Kingston, Jamaica.", "International Seabed Authority (2006). Prospects for international collaboration in marine environmental research to enhance understanding of the deep sea environment. Proceedings of the workshop, Kingston, Jamaica, 29 July-2 August 2002.", "International Seabed Authority (2008). Biodiversity, species range and gene flow in the Pacific deep-sea nodule province: predicting and managing the impacts of deep seabed mining. Technical research: No. 3.", "International Seabed Authority (2011). Geological model of polymetallic nodule deposits in the Clarion-Clipperton Fracture Zone. Technical Research: No. 6.", "Oebius, H.U., H.J. Becker, S. Rollinski and J.A. Jankowski (2001). Parameterration and evaluation of marine environmental effects developed by deep-sea manduese nodule Mining.", "Impacts of manganese nondulling on the environment: results from the North Economic Pacific.", "Rollinski, S., J. Segschneider and J. Sundermann (2001). Long-term cooperation of tailings from deep-sea under capable conditions by meanings of numerical simulities.", "[1] United Nations Convention on the Law of the Sea of 10 December 1982, article 192.", "[2] Ibid., articles 194, 204 and 206. Article 194, paragraph 3 (d), which is of particular relevance to seabed mining, provides that States shall take measures to minimize, to the maximum extent possible, pollution from other installations and installations operating in the marine environment, in particular with a view to preventing accidents and dealing with emergencies, ensuring safety at sea, and providing for the design, construction, equipment, operation and staffing of such installations or devices.", "[3] Ibid., articles 194 (5) and 196 (1).", "[4] Ibid., article 126.", "[5] Ibid., article 157 (1).", "[6] Ibid., art. 145; annex III, art.", "[7] Implementation Agreement, annex, sect. I, para. 5 (f).", "[8] Convention, articles 165 (e)-(h) and 215.", "[9] Ibid., article 165(2)(k).", "[10] Ibid., art. 165(2)(l).", "[11] Ibid., article 165(2)(m).", "[12] Ibid., annex III, article 17(2)(f).", "[13] Ibid., article 209 (2).", "[14] Paragraphs 33 and 34 of resolution 64/71 on oceans and the law of the sea, paragraphs 33 and 34 of resolution 63/111, paragraphs 33 and 34 of resolution 62/215 and paragraphs 28-30 of resolution 61/222.", "[15] Regulation 3(4)(d)(i)(b) of the Regulations on polymetallic nodules.", "[16] Ibid., article 5(1)(b).", "[17] Ibid., article 18 (b)-(d).", "[18] Ibid., article 31(4); see also Part XI Implementation Agreement, sect. I, para. 7.", "[19] Ibid., article 31 (5).", "[20] Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992 (United Nations publication, Sales No. E.91.I.8 and corrigenda), vol. I: Resolutions adopted by the Conference, resolution 1, annex I.", "[21] Bischoff and Piper (1979).", "[22] Committee on Science and Technology (2010).", "[23] Rollinski and others (2001); Obius and others (2001).", "[24] Ozturgut, Lavelle and Burns (1981).", "[25] See ISBA/14/LTC/2.", "[26] For example, the scientific guidelines on site selection for representative networks of marine protected areas, including those of ocean and deep-sea habitats (COP decision IX/20, annex II).", "[27] Criteria for scientific identification of ecologically or biologically significant and protected marine areas in the oceans and deep-sea habitats (ibid., annex I).", "[28] Scientific guidelines on site selection for a representative network of marine protected areas, see footnote 26.", "[29] FAO, International Guidelines for the Management of Deep-sea Fisheries in the High Seas, 2009. See http://www.fao.org/docs/011/i0816t/i0816t00.htm.", "[30] ISBA/14/LTC2 and ISBA/15/LTC/4.", "[31] In accordance with the scope set out in ISBA/16/LTC/7.", "[32] Report of the World Summit on Sustainable Development, Johannesburg, South Africa, 26 August-4 September 2002 (United Nations publication, Sales No. E.03.II.A.1 and corrigendum), chap. I, resolution 2, annex.", "[33] Available on the ISO web site: http://www.iso14000-iso14001-environment.com/.", "[34] The Code for the Environmental Management of Marine Mining includes a statement of environmental principles for the marine mining industry, with operational guidelines applicable to specific mine sites, as appropriate. The Guidelines are available to practitioners, regulators and other stakeholders as a benchmark for the development, implementation and evaluation of environmental management plans and as a guide for the application of best practices in selected marine mineral research, exploration and mining sites. These principles and guidelines point in the direction rather than in the specific approach based on shared values (see www.immsoc.org/IMMS_code.htm).", "[35] ISBA/14/LTC/2." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11日至22日", "法律和技术委员会主席关于委员会第十七届会议的工作总结报告", "一. 导言", "1. 法律和技术委员会于2011年7月4日开始工作，比理事会和大会会议提早一周。会议持续到2011年7月13日。委员会共举行了15次会议。", "2. 委员会下列成员出席了第十七届会议期间的会议：Frida M. Armas-Pfirter、David Billett、Eusebio Lopera Caballero、Miguel dos Santos Alberto Chissano、Laleta Davis-Mattis、Elva Escobar、Sandor Mulsow Flores、Denis Khramov、Woong-Seo Kim、Walter de Sá Leitão、Sudhakar Maruthadu、Nobuyuki Okamoto、Andrzej Przybycin、Christian Reichert和Mahmoud Samy。按照惯例，Russell Howorth在理事会正式当选之前也于2011年7月12日出席了委员会会议，接替辞去委员职务的Isikeli Mataitoga并一直工作到其任期结束。下列成员通知秘书长他们无法参加本届会议：Jean-Marie Auzende、Baïdy Diène、Kennedy Hamutenya、Said Hussein、Asif Inam、Emmanuel Kalngui、Elena Sciso、Adam Tugio和张海啟。", "3. 委员会选举David Billett为主席，Frida M.Armas-Pfirter为副主席。", "4. 委员会于2011年7月4日通过了议程(ISBA/17/LTC/1)，在第十七届会议期间审议了下列事项：", "^(*) 因技术原因于2011年7月19日重新印发。", "(a) 评价承包者根据《“区域”内多金属结核探矿和勘探规章》提交的年度报告；", "(b) 有关定期审查多金属结核探矿工作计划执行情况的资料；", "(c) 审查两份请求核准勘探多金属结核工作计划申请书；", "(d) 审查两份请求核准勘探多金属硫化物工作计划申请书；", "(e) 克拉里昂-克利伯顿区断裂带环境管理计划草案；", "(f) 题为“深海化合生态系统的环境管理：采用空间办法的理由和考虑因素”的讲习班的建议；", "(g) 其他事项。", "二. 承包者的活动", "A． 审评承包者根据《“区域”内多金属结核探矿和勘探规章》提交的年度报告", "5. 委员会于2011年7月7日、8日和12日举行闭门会议，审查和评价承包者根据《“区域”内多金属结核探矿和勘探规章》提交的年度报告。向委员会提供了秘书处编写的年度报告初步分析(ISBA/17/LTC/CRP.2)，这为委员会开展工作提供了便利。为此目的，委员会依惯例分成了(a) 法律和财务方面；(b) 环境方面和(c) 技术问题三个工作组。工作组对年度报告进行了初步审查并编写了评价结果草稿，供委员会进一步审议。委员会关于承包者年度报告的报告和建议载于ISBA/17/LTC/8号文件。", "6. 委员会在审查年度报告时，提出以下一般性意见：", "(a) 多数年度报告大体上遵循委员会规定的一般格式，一般只局限于他们根据委员会上次评审后提出的建议，在报告所述期间进行的活动。个别报告局限于前几年进行的评审工作；", "地质工作", "(b) 在报告所述期内，勘探工作进展缓慢。一些报告没有提到地质、采矿或冶金相关活动的细节；", "(c) 委员会以前的评价提到，在形态、形式或规模上，(多金属)结核矿的分类没有统一形式。应尽早制定一个标准；", "采矿试验和拟议采矿技术", "(d) 技术方面没有取得进展，尤其是(多金属)结核矿的开采和冶金加工。几个承包者尚未开始发展自己的技术能力，如果这些承包者集中资源协调合作，也许效果会更好；", "环境监测和评估", "(e) 承包者2010年环保工作的质量普遍高于往年。但仍然缺少承包者提供的原始数据。强烈要求承包者提供数字格式的原始数据，以便把它们列入国际海底管理局的数据库中；", "财务", "(f) 不是所有的承包者都按照委员会的建议(见ISBA/15/LTC/7号文件)对支出进行了细分。规定对支出进行细分，这样管理局才能对报告的支出进行评审，从而对不同的承包者进行比较。", "(g) 委员会建议管理局秘书长请提案国说明认证财务报表的权威机构。", "其他事项", "(h) 在报告期间观察到的一个积极趋势是，一些承包者已开始分析结核采矿的经济可行性数据，从而提出对市场趋势、金属价值、所需投资和预期回报的分析。", "B． 有关定期审查多金属结核探矿工作计划执行情况的资料", "7. 向委员会提供了对各承包者执行工作计划情况定期审查的程序说明，指出审评将由秘书长和各承包者在今后几个月里共同进行。为协助工作，还向委员会提供了对承包者所报告支出的分析以及承包者在过去10年期间所开展环境工作的总结。委员会为协助秘书长与承包者进行讨论提出了评论和技术意见。", "8. 关于承包者执行工作计划的问题，委员会对缺乏资源评估和环境基线研究原始数据表示关切。委员会指出，缺乏这些数据妨碍对管理局在该区域的活动进行评估，例如制定区域环境管理计划。委员会关于这个问题的建议载于本报告附件一。", "9. 在财政支出方面，委员会注意到承包者报告的财政支出差异很大。委员会重申，如果承包者不遵守委员会2009年发布的“财务报告指南建议”，就很难对实际和直接的勘探支出进行任何评审。本年度对6个承包者的定期审核是在勘探阶段结束之前最后一次调整方案活动。因此，委员会建议在6个承包者的下一个五年活动方案中列入预经济可行性研究，说明对下一阶段多金属结核勘探投资的回报。委员会还建议秘书处组织召开承包者会议，在议程中明确规定把财务评估列为未来报告的组成部分。", "三. 请求核准勘探工作计划的申请书", "A. 审查两份关于请求核准在保留区内勘探多金属结核的工作计划的申请书和提交理事会的建议", "10. 委员会举行闭门会议，继续审议关于请求核准在克拉里昂-克利珀顿区保留区内勘探多金属结核的工作计划的申请书，委员会在2008年收到这两份由瑙鲁担保、瑙鲁海洋资源公司提交和由汤加担保、汤加近海采矿有限公司提交的申请书。", "1. 瑙鲁海洋资源公司", "11. 委员会回顾它首次开会审议该公司申请书的时间是2008年5月21日、22日、26日和27日。由于委员会未能在就该申请书向理事会提出建议的问题上达成协商一致意见，委员会决定将利用下一个可能的机会继续审议申请书。此事项被列入委员会第十五届会议议程。委员会在这届会议上获悉，申请方在2009年5月5日给管理局法律顾问的信中以全球经济环境和其他关切问题为由，请求推迟审议其申请书。当时，委员会对这一请求给予了应有的注意，并决定在另获通知前进一步推迟审议这一项目。", "12. 2010年5月4日申请方在给管理局秘书长的信中，请求委员会尽早重审其申请书。2011年4月29日，瑙鲁海洋资源公司向秘书长提供了有关委员会面前的待审申请书的最新资料，反映了所有权、法人治理和所筹资金方面的变化。申请方表示将2008年提交的申请书内所载资料换成这一最新资料。", "13. 委员会于2011年7月4日、5日和6日召集会议审议此申请书。在开始详细审查申请书之前，委员会邀请申请方指定代表Peter Jacob(在Charles Morgan和David Heydon陪同下)介绍申请书。随后，委员会成员提出问题，以便在举行闭门会议详细审查申请书之前，澄清申请书的某些方面。", "14. 2011年7月6日，委员会决定建议理事会核准瑙鲁海洋资源公司勘探多金属结核的工作计划。委员会提交理事会的报告和建议载于ISBA/17/C/9号文件。", "2. 汤加近海采矿有限公司", "15. 委员会回顾它于2008年5月21日、22日、26日和27日首次开会审议汤加近海采矿有限公司的申请书。由于委员会未能在就该申请书向理事会提出建议的问题上达成协商一致意见，委员会决定将利用下一个可能的机会继续审议申请书。此事项被列入委员会第十五届会议议程。委员会在这届会议上获悉，申请方在2009年5月5日给管理局法律顾问的信中以全球经济环境和其他关切问题为由，请求推迟审议其申请书。当时，委员会对这一请求给予了应有的注意，并决定在另获通知前进一步推迟审议这一项目。", "16. 2011年4月28日，汤加近海采矿有限公司向秘书长提供了有关委员会面前的待审申请书的最新资料。随后，此事项被列入委员会第十七届会议议程。", "17. 委员会于2011年7月5日、6日和7日举行闭门会议审议该申请书。委员会注意到申请方提交的最新资料，以及对2008年5月23日由委员会主席通过秘书长转交的问题的书面答复。", "18. 在开始详细审查申请书之前，委员会邀请申请方代表汤加近海采矿有限公司国家事务经理Paul Taumoepeau(在汤加首席检察官Aminiasi Kefu、土地、测量和自然资源部Rennie Vaiomounga、鹦鹉螺矿业公司战略开发副总裁Michael Johnston和鹦鹉螺矿业公司环境事务经理Samantha Smith的陪同下)介绍申请书。随后，委员会成员提出问题，以便在举行闭门会议详细审查该申请书之前，澄清申请书的某些方面。2011年7月6日，委员会决定请委员会主席通过秘书长向申请方转交一份问题清单。2011年7月7日申请方对问题作出正式答复。", "19. 2011年7月7日，理事会决定建议理事会核准汤加近海采矿有限公司勘探多金属结核的工作计划。委员会提交理事会的报告和建议载于ISBA/17/C/10号文件。", "B. 审查两份关于请求核准多金属硫化物勘探工作计划的申请书和提交理事会的建议", "20. 委员会召集闭门会议，审议两份关于请求核准多金属硫化物勘探工作计划的申请书。申请书分别由中国大洋矿产资源研究开发协会(中国大洋协会)在2010年5月7日和俄罗斯联邦政府在2010年12月24日提出。", "1. 中国大洋矿产资源研究开发协会", "21. 委员会在2011年7月5日和8日的闭门会议上审议了中国大洋协会的申请书。在开始详细审查该申请书之前，委员会邀请申请方代表大洋协会秘书长金建才(在国家海洋局第二海洋研究所副所长李家彪和国家海洋局第二海洋研究所高级研究员陶春辉的陪同下)介绍申请书。随后，委员会成员提出问题，以便在举行闭门会议详细审查该申请书之前，澄清申请书的某些方面。2011年7月6日，委员会决定请委员会主席通过秘书长向申请方转交一份问题清单。2011年7月8日申请方对问题作出正式答复。", "22. 2011年7月8日，委员会决定建议理事会核准中国大洋协会提交的多金属硫化物勘探申请书。委员会指出它期待收到根据《规章》要求以及将在适当时候印发的对承包者提出的关于多金属硫化物勘探可能对环境造成的影响的指导建议提交的各份报告，包括相关数据。委员会的报告和建议载于ISBA/17/C/11号文件。", "2. 俄罗斯联邦政府", "23. 委员会在2011年7月8日的闭门会议上审议了俄罗斯联邦政府提交的申请书。在开始详细审查该申请书之前，委员会邀请申请方代表副部长Sergei Donskoi (在圣彼得堡极地海洋地质调查考察队首席地质学家Mikhail Sergeev和圣彼得堡海洋地质研究所副所长Georgy Cherkashov陪同下)介绍申请书。随后，委员会成员提出问题，以便在举行闭门会议详细审查该申请书之前，澄清申请书的某些方面。", "24. 2011年7月8日，委员会决定建议理事会核准俄罗斯联邦政府提交的多金属硫化物勘探申请书。委员会指出它期待收到根据《规章》要求以及将在适当时候印发的对承包者提出的关于可能对环境造成的影响的指导建议提交的各份报告，包括相关数据。申请方代表在介绍申请书之后答复委员会的提问时，表示愿意向管理局提供多年来从有关大西洋中脊的海洋科学研究中收集到的广泛的历史数据集，委员会对此表示赞赏。委员会的报告和建议载于ISBA/17/ C/12号文件。", "四. “区域”活动对环境的影响", "A. 关于指导承包者评估多金属硫化物勘探可能产生的环境影响的建议", "25. 委员会回顾，2005年它已开始审查根据2004年国际海底管理局举办的“多金属硫化物及富钴铁锰结壳沉积物：在勘探中建立环境基线和相关监控方案”的讲习班成果提出的建议草案。然而，委员会当时把关于硫化物和结壳的环境建议审议工作推迟到这些资源的探矿和勘探规章通过之后。", "26. 委员会请秘书处编写建议草案的更新本，供2012年下届会议审议和通过。委员会指出，环境建议必须在勘探活动开始前提出。关于硫化物，承包者有机会在勘探活动开始前提出关于数据类型和管理的建议。委员会特别指出，必须毫不拖延地制定让承包者遵守的数据收集和管理议定书。", "B. 审议克拉里昂-克利珀顿区环境管理计划草案", "27. 2011年7月11日委员会举行公开会议，审查的克拉里昂-克利珀顿区环境管理计划草案(见ISBA/17/LTC/WP.1号文件)。委员会指出，制定克拉里昂-克利珀顿区环境管理计划特别及时，因为瑙鲁海洋资源有限公司和瑙鲁和汤加近海采矿有限公司提出的申请书已表明各方对该“区域”深海底采矿的兴趣在增加。委员会还指出，该计划草案是在2010年11月国际海底管理局召开的讲习班上编写的，讲习班有广泛的利益攸关者(承包者代表、委员会几名成员、国际组织和非政府组织代表和科学界代表)参加。委员会认为，这是一项以可获得的最佳数据、包括承包商提供的数据为基础编写的全面计划。", "28. 为了落实《规章》要求的预防方式，委员会决定提出ISBA/17/LTC/7号文件所载的克拉里昂-克利珀顿区环境管理临时计划，三年后再进行审查。该计划包括建立2010年讲习班确定的9个环境特受关注区的网络，作为临时保护区。在三年期间，委员会、秘书处、承包者及其担保国将开展环境管理计划确定的一些具体行动。委员会还决定建议理事会通过一项关于执行环境管理计划、包括采取若干相关行动的决定草案(载于本报告附件二)。这些行动包括暂缓五年向从事勘探或开发的承包者分配这些区域。环境管理计划适用时将采取灵活方式，以便在承包者和其他有关机构提供更多的科学、技术、环境基线和资源评估的数据后加以改进。委员会应继续与所有利益攸关者进一步对话，确保在9个环境特受关注区方面相互补充，如环境管理计划所述，这些环境特受关注区的确切位置可以加以审查。", "C. 审查“深海化合生态系统的环境管理：空间基方式的理由和考虑”讲习班提出的建议", "29. 委员会审议了2010年5月31日至6月4日在法国迪纳尔举办的“深海化合生态系统的环境管理：空间基方式的理由和考虑”讲习班的报告(国际海底管理局第9号技术研究报告)。委员会注意到讲习班提出的指导方针是对其工作的重要贡献。委员会还注意到国际大洋中脊协会秘书处，一个研究世界海洋化学合成生态系统的国际项目办公室的来信，信中对矿产资源管理和活跃热液喷口生态系统的养护表示关注。", "五. 交流对委员会优先行动的意见", "30. 委员会注意到本届会议是委员会现任成员的最后一次会议，因而借此机会交流关于委员会预期未来工作量及其对委员会工作安排的影响的意见。一些成员强调，考虑到《联合国海洋法公约》和1994年《关于执行〈联合国海洋法公约〉第十一部分的协定》提出的任务，委员会需要考虑如何改进其运作和工作的实践。有人还建议请秘书处编写一份报告，其中提出2012年新的法律和技术委员会5年期指示性工作方案，因为这将为新的委员会提供一个工作背景和框架。也有人指出，按照进化方式，秘书处需要审查可用于支持委员会工作的资源。", "31. 根据国际海洋法法庭海底争端分庭的咨询意见，委员会指出需要把下列问题纳入今后的工作计划：", "(a) 委员会指出需要对《“区域”内多金属结核探矿和勘探规章》进行必要的调整，使它们在最佳环境实践、保护生物多样性和进一步发展预防方式等方面与《“区域”内多金属硫化物探矿和勘探规章》保持一致。委员会请秘书处编写一份《多金属结核规章》的必要修改清单，供委员会明年审议；", "(b) 委员会指出，担保国有责任制定法律和规章以及采取适当和必要的行政措施，确保其管辖的人士履约和接受海底争端分庭在这方面给予的指导。委员会建议，国际海底管理局应负责编写协助担保国履行义务的示范立法，把它作为其工作方案的一部分，但视可用资源情况而定；", "(c) 委员会指出，海底争端分庭已表示应考虑设立承包者或担保国都没有责任的损害赔偿机制，委员会应在适当时候审议这个问题；", "(d) 实施监察方案和提供监察人员。", "32. 委员会还回顾，理事会曾要求它考虑指导《硫化物规章》关于垄断“区域”活动的第23条第7款的执行问题，委员会应在适当的时候处理这个问题。", "33. 鉴于委员会的工作量大幅度增加，委员会成员建议考虑将来每年举行两届会议。它回顾说，国际海底管理局每年召开两届甚至三届会议，这已成为过去的实践。委员会指出，在理事会和大会举行会议前几个月委员会单独举行会议的做法会使它提高工作效率，也意味着可以把重大问题的建议提前发给各成员国。像目前情况那样，委员会第二次会议可以在国际海底管理局届会前一周举行。鉴于委员会的工作对国际海底管理局的实质性工作极其重要，委员会建议向委员会所有会议提供全面服务和资金，把它作为国际海底管理局经常会议服务需求的一部分。", "34. 委员会强调委员会所有成员充分参与委员会工作的重要性。它敦促那些提名委员会成员的国家政府确保其成员能够出席和参加委员会的所有会议。它还建议秘书长向各国政府汇报那些由自愿信托基金供资参加委员会会议的成员出席会议的情况。", "35. 有人指出，该委员会还必须了解联合国大会研究国家管辖范围以外区域海洋生物多样性的养护和可持续利用问题不限成员名额非正式特设工作组的工作。国际海底管理局需要特别关注在审议过程中可能涉及的与“区域”活动相关的问题。", "六. 结束", "36. 主席表示，委员会全体成员感谢那些将在2011年结束任期的成员。会议于2011年7月13日闭幕。", "附件一", "数据管理议定书", "问题", "1. 迫切和适时需要管理局更新有关向秘书处提交承包者收集的科学和技术数据的可接受资料格式方面的数据管理规定。这同样适用于资源评估活动以及环境基线研究。", "2. 委员会第十七届会议期间，特别提请它注意在开展下列活动后迫切和适时需要更新其数据管理规定：", "(a) 审查承包者提交的有关其2010年开展的活动的年度报告；", "(b) 介绍其年度报告(ISBA/17/LTC/L.3和ISBA/17/LTC/CRP.1)中所述的承包者开展的环保工作。", "背景", "3. 承包者同秘书处之间目前的科学和技术数据管理安排(主要是数据格式，而不是数据类型/参数)是围绕承包者提交年度报告方面的规定来发挥职能的，这些规定载于《结核规章》和大约10年前委员会就多金属结核方面公布的准则[1] 之中。", "4. 虽然2010年审议了指导承包者评估区域内多金属结核勘探活动可能对环境造成的影响的建议(ISBA/16/LTC/7)，但未提及提交数据的格式。", "5. 因此，解决可接受的数据格式的数据管理问题(包括数据处理、共享和存储)问题的紧迫性，源于数据收集仪器化方面最近相当的技术进步以及信息通信和技术领域同样的进步。此外，使用可访问数字数据库进行存取的电子软件来为资源或环境评估收集数据的模式，现被国际科学和技术界接受为最佳做法。除非向其提交的数据是以商定的电子格式提交的，否则，秘书处无法从事这项工作。", "6. 适时性源于这一情况，即2011年大体上是在克拉里昂-克利珀顿区进行结核勘探工作的7个承包者第二个五年期的结束年。此外，如果理事会听取委员会的建议，2011年也将有可能发放沿印度洋脊勘探海底块状硫化物的第一份合同。", "评论意见", "7. 围绕承包者提交资源评估和环境研究产生的数据和信息方面的新的科学和技术数据管理程序需要同时满足下列两方面的需要：", "(a) 捕获所有的历史数据；", "(b) 未来的实地工作。", "8. 目前的年度报告中列入了对有关工作(实地工作/考察、对以前的考察的后续工作，和(或)对过去的工作的审查)的介绍，这些介绍一般都做得很好，虽然采用的格式大相径庭。然而，委员会相当关切的是，年度报告中提出的科学和技术数据并未采用适于输入秘书处受委托加以维护的中央化元数据库管理系统的格式。", "9. 问题源于《“区域”内多金属结核探矿和勘探规章》(附件四，第10节)要求承包者提交的年度报告涵盖其在勘探区的活动，并适时提供，“详尽资料”。此外，《规章》第31条第5款规定，承包者有义务每年向秘书长提交书面报告，说明监测方案的执行情况和结果，并为此提交数据和资料。但是，这条规定并没有谈及数据格式。最近几年也未解决这一问题。例如，2001年的讲习班非常详细地讨论了有关数据类型的问题，但没有讨论数据格式问题。同样，最近的2010年指导评估环境影响的基线数据研究的建议重点关注的是数据类型，但未关注数据格式问题。", "10. 作为前进的方向，委员会建议秘书长可采取两个可能的累积行动方针。第一个可能性是，承包者向委员会进行口头报告，以及通过提交年度报告文件来答复任何问题和提供进一步的数据(见ISBA/8/LTC/2，第90段)。解决这一问题的第二个方式是秘书长，作为一个优先事项，组织一场关于数据管理的讲习班，以显示承包者、其担保国、秘书处和委员会之间的平等的伙伴关系。这也将是一种方式，可落实《规章》第31条第6款规定的承包者、担保国和其他有关国家或实体同管理局合作，制订并实施方案，监测和评价深海底采矿对海洋环境的影响的义务。", "附件二", "国际海底管理局理事会有关克拉里昂-克利珀顿区环境管理计划的决定草案", "国际海底管理局理事会，", "考虑到法律和技术委员会根据1982年12月10日《联合国海洋法公约》(《公约》)第一六五条第2款e项提出的建议，[2]", "回顾《公约》第一四五条，其中规定应按照《公约》对“区域”内活动采取必要措施,以确保切实保护海洋环境,不受这种活动可能产生的有害影响，", "又回顾，根据《公约》第一六二条，理事会有权制订管理局对于其权限范围以内的任何问题或事项所应遵循的具体政策，", "还回顾联合国大会第63/111号决议曾呼吁各国和各级有关国际组织迅速考虑如何根据科学资料，包括采用《关于环境与发展的里约宣言》[3] 原则15规定的预防性方法，在《公约》框架范围内，根据国际法和生态系统综合管理原则，更好地统一处理脆弱的海洋生物多样性面临的危险，", "认为在区域一级执行一个全面的环境管理计划是适当和必要的措施之一，以确保有效保护称为克拉里昂-克利珀顿区的区域的海洋环境，使其免遭在该区域的活动可能造成的有害影响，该计划应列入建立特别环境利益区域的一个代表性网络的规定，", "确认目前持有与国际海底管理局签署了在克拉里昂-克利珀顿区勘探多金属结核合同的那些实体根据《公约》、《关于执行1982年12月10日《联合国海洋法公约》第十一部分的协定》[4] 和《“区域”内多金属结核探矿和勘探规章》[5] 而享有的权利，尤其是保障它们根据合同在分配用于勘探区域的合同期权利，", "又确认应对克拉里昂-克利珀顿区的国家管辖范围以外地区正在发生或潜在会发生的一系列人类活动加以管理，同上要根据国际法考虑到所有相关的行为体，", "1. 欢迎法律和技术委员会提出文件ISBA/17/LTC/7所载的有关克拉里昂-克利珀顿区的一项环境管理计划的建议，该建议将在初步的三年期内执行，其中包括临时指定有特别环境利益的九个区域组成一个网络，并实施《规章》要求的预防方法；", "2. 注意到将以灵活方式实施该计划，以便该计划可随着承包者和其他有关机构提供更多的科学、技术和环境基线和资源评估数据而加以改进；", "3. 请法律和技术委员会向理事会报告该环境管理计划的实施情况；", "4. 鼓励与所有利益攸关方进一步开展对话，以确保有特别环境利益的九个区域方面的互补性，其确切位置可根据环境管理计划所述情况加以审查；", "5. 决定，从本决定通过之日起的五年期间内或在法律和技术委员会或理事会进行进一步审查前，不再批准请求核准在第1段所述有特别环境利益的区域进行勘探或开采的工作计划申请书；", "6. 又决定，根据《公约》、《协定》、《规章》和发放的克拉里昂-克利珀顿区多金属结核勘探合同的条款来实施本决定；", "7. 鼓励按照《公约》第一四三条的规定在第1段所述有特别环境利益的区域开展海洋科学研究，并通过管理局传播此类研究成果；", "8. 请国际海底管理局秘书长采取措施，鼓励为发展中国家和技术较不那么发达的国家制定在克拉里昂-克利珀顿区，包括在第1段所述有特别环境利益的区域的开展海洋科学研究的方案，包括通过管理局“区域”内海洋科学研究捐赠基金来这样做；", "9. 又请秘书长向管理局成员、管理局观察员和有关国际组织等尽可能广泛地传播本决定。", "[1] ISBA/8/LTC/2和环境数据和信息标准化：2001年6月25日至29日在牙买加金斯顿举办的国际海底管理局制定准则讲习班会议记录。", "[2] 《联合国条约汇编》，第1833卷，第31363号。", "[3] 《联合国环境与发展会议的报告，1992年6月3日至14日，里约热内卢》第1卷：《环发会议通过的决议》。(联合国出版物，出售品编号C.93.1.8和更正)，决议1，附件一。", "[4] 同上，第1836卷，第31364号。", "[5] ISBA/6/A/18，国际海底管理局大会关于《“区域”内多金属结核探矿和勘探规章》的决定。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Summary report of the Chair of the Legal and Technical Commission on the work of the Commission at its seventeenth session", "I. Introduction", "1. The Legal and Technical Commission commenced its work on 4 July 2011, one week in advance of the meetings of the Council and Assembly, and met until 13 July 2011. The Commission held 15 meetings.", "2. The following members of the Commission participated in the meetings during the seventeenth session: Frida Armas-Pfirter, David Billett, Eusebio Lopera Caballero, Miguel dos Santos Alberto Chissano, Laleta Davis-Mattis, Elva Escobar, Sandor Mulsow Flores, Denis Khramov, Woong-Seo Kim, Walter de Sá Leitão, Sudhakar Maruthadu, Nobuyuki Okamoto, Andrzej Przybycin, Christian Reichert and Mahmoud Samy. Following past practice, Russell Howorth also participated in the meetings of the Commission prior to his formal election by the Council on 12 July 2011 for the remainder of the term of office of Isikeli Mataitoga, who had resigned from the Commission. The following members informed the Secretary-General that they would be unable to attend the session: Jean-Marie Auzende, Baïdy Diène, Kennedy Hamutenya, Said Hussein, Asif Inam, Emmanuel Kalngui, Elena Sciso, Adam Tugio and Haiqi Zhang.", "3. The Commission elected David Billett as Chair and Frida Armas-Pfirter as Vice-Chair.", "4. The Commission adopted its agenda (ISBA/17/LTC/1) on 4 July 2011 and considered the following matters during the seventeenth session:", "(a) Evaluation of the annual reports of contractors submitted pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area;", "(b) Information on the periodic review of implementation of plans of work for exploration for polymetallic nodules;", "(c) Review of two applications for approval of a plan of work for exploration for polymetallic nodules in the Area;", "(d) Review of two applications for approval of a plan of work for exploration for polymetallic sulphides in the Area;", "(e) A draft environmental management plan for the Clarion-Clipperton Fracture Zone;", "(f) Recommendations from the workshop on “Environmental management of deep-sea chemosynthetic ecosystems: justification of and considerations for a spatially based approach”;", "(g) Other matters.", "II. Activities of contractors", "A. Evaluation of the annual reports of contractors submitted pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area", "5. On 7, 8 and 12 July 2011, the Commission reviewed and evaluated, in closed meetings, the annual reports submitted by contractors pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area. To facilitate its work, the Commission was provided with a preliminary analysis of the annual reports prepared by the secretariat (ISBA/17/LTC/CRP.2). For this purpose and following its common practice, the Commission divided itself into three working groups on (a) legal and financial aspects, (b) environmental aspects and (c) technological aspects. The working groups carried out a preliminary review of the annual reports and prepared a draft evaluation for further consideration by the Commission. The report and recommendations of the Commission concerning the annual reports of the contractors are contained in document ISBA/17/LTC/8.", "6. The Commission also made the following comments of a general nature:", "(a) The majority of the annual reports largely followed the general format prescribed by the Commission and generally confined themselves to work carried out during the reporting year under consideration, in accordance with the suggestions made by the Commission after previous evaluations. A few reports were limited to reviewing work that had been carried out in earlier years;", "Geological work", "(b) Exploration work proceeded slowly during the reporting period. Some reports did not contain any details of geology, mining or metallurgy related activity;", "(c) As pointed out in earlier Commission evaluations, no uniformity exists in the classification of nodules based on morphology, shape or size. A standard needs to be evolved at the earliest opportunity;", "Mining tests and proposed mining technology", "(d) Progress still remains to be made on technology-related issues, particularly with respect to the mining and metallurgical processing of nodules. A few contractors have yet to begin to develop their technological capacity and it may therefore be beneficial if such contractors made a concerted effort by pooling their resources;", "Environmental monitoring and assessment", "(e) The environmental work reported by contractors in 2010 is generally of better quality than that reported in previous years. However, there is still a lack of raw data being provided by contractors. Contractors are strongly requested to provide raw data in digital format for inclusion in the database of the International Seabed Authority;", "Financial", "(f) Not all contractors provided a breakdown of expenditure, as recommended by the Commission (see ISBA/15/LTC/7). Such a breakdown is requested so that the Authority can conduct an evaluation of the reported expenditure and facilitate comparisons between the different contractors;", "(g) The Commission recommends that the Secretary-General of the Authority request sponsoring States to indicate who is the correct authority for certification of financial statements;", "Other matters", "(h) A positive trend observed during the reporting period is that some of the contractors have started analysing data on the economic feasibility of nodule mining, thereby generating analysis on market trends, metal values, investments required and expected returns.", "B. Information on the periodic review of implementation of plans of work for exploration for polymetallic nodules", "7. The Commission was provided with a note on the procedure for the periodic review of the implementation of the plan of work by each contractor and noted that this review would be undertaken jointly by the Secretary-General and each contractor in the coming months. To facilitate its work, the Commission was also provided with an analysis of reported expenditure by the contractors and a summary of environmental work carried out by contractors during the past 10 years. The Commission provided comments and technical advice to assist the Secretary-General in his discussions with contractors.", "8. With respect to the implementation by the contractors of their plans of work, the Commission expressed its concern over the lack of raw data associated with resource assessment and environmental baseline studies. It noted that the lack of such data was an impediment to the assessment of activities in the Area by the Authority, such as the creation of a regional environmental management plan. The recommendations of the Commission in this respect are contained in annex I to the present report.", "9. With respect to financial expenditure, the Commission noted significant variations in reported financial expenditure between the contractors. It also reiterated the difficulty in making any evaluation of actual and direct exploration expenditure when the contractors had not followed the recommendations for guidance on financial reporting issued by the Commission in 2009. For six contractors, the periodic review carried out in the current year was the last opportunity to adjust the programme of activities before the end of the exploration phase. Therefore, the Commission recommended that the programme of activities for the next five years for those six contractors should include an economic pre-feasibility study providing an indication of the level of returns that could be generated for any investment in the exploitation of nodules, which was the next phase of activities. The Commission also suggested that the secretariat organize a meeting with contractors in which a specific provision would be included in the agenda to include financial appraisal as a component of future reporting.", "III. Applications for approval of plans of work for exploration", "A. Review of two applications for approval of plans of work for exploration for polymetallic nodules in reserved areas and recommendations to the Council", "10. The Commission convened in closed meetings to resume its consideration of two applications for approval of plans of work for exploration for polymetallic nodules in reserved areas in the Clarion-Clipperton Zone that it had received in 2008 from Nauru Ocean Resources Incorporated (NORI), sponsored by Nauru, and Tonga Offshore Mining Limited (TOML), sponsored by Tonga.", "1. Nauru Ocean Resources Incorporated", "11. The Commission recalled that it first met to consider the application on 21, 22, 26 and 27 May 2008. As the Commission had not reached consensus with respect to a recommendation to the Council in relation to the application, it had decided to continue its consideration of the application at the next possible opportunity. The matter was placed on the agenda of the Commission for the fifteenth session. At that session, the Commission was informed that, by a letter dated 5 May 2009 addressed to the Legal Counsel of the Authority, the applicant had requested that consideration of its application be postponed in light of global economic circumstances and other concerns. At that time, the Commission took due note of the request and decided to defer further consideration of the item until further notice.", "12. In a letter dated 4 May 2010 addressed to the Secretary-General of the Authority, the applicant requested that its application be reconsidered by the Commission at the earliest opportunity. On 29 April 2011, NORI submitted to the Secretary-General updated information relating to the pending application before the Commission that reflected changes relating to ownership, corporate governance and raised capital. The applicant indicated that this updated information superseded the material contained in the application submitted in 2008.", "13. The Commission convened to consider the application on 4, 5 and 6 July 2011. Prior to commencing a detailed examination of the application, the Commission invited the designated representative of the applicant, Peter Jacob, accompanied by Charles Morgan and David Heydon, to present the application. Members of the Commission then asked questions to clarify certain aspects of the application before convening in closed session to review the application in detail.", "14. On 6 July 2011, the Commission decided to recommend to the Council approval of the plan of work for exploration for polymetallic nodules by NORI. The report and recommendations of the Commission to the Council are contained in document ISBA/17/C/9.", "2. Tonga Offshore Mining Limited", "15. The Commission recalled that it first met to consider the application by TOML on 21, 22, 26 and 27 May 2008. As the Commission had not reached consensus with respect to a recommendation to the Council in relation to the application, it had decided to continue its consideration of the application at the next possible opportunity. The matter was placed on the agenda of the Commission for the fifteenth session. At that session, the Commission was informed that, by a letter dated 5 May 2009 addressed to the Legal Counsel of the Authority, the applicant had requested that consideration of its application be postponed in light of global economic circumstances and other concerns. At that time, the Commission took due note of the request and decided to defer further consideration of the item until further notice.", "16. On 28 April 2011, TOML submitted to the Secretary-General updated information relating to the pending application before the Commission. The matter was then placed on the agenda of the Commission for the seventeenth session.", "17. The Commission considered the application in closed meetings on 5, 6 and 7 July 2011. The Commission took note of the updated information submitted by the applicant, as well as the written answers to questions transmitted on 23 May 2008 by the Chair of the Commission through the Secretary-General.", "18. Prior to commencing a detailed examination of the application, the Commission invited the representatives of the applicant, Paul Taumoepeau, TOML Country Manager, accompanied by Aminiasi Kefu, Solicitor-General of Tonga, Rennie Vaiomounga, Ministry of Lands, Survey and Natural Resources, Michael Johnston, Vice-President of Strategic Development, Nautilus Minerals Incorporated, and Samantha Smith, Environment Manager, Nautilus Minerals Incorporated, to present the application. Members of the Commission then asked questions to clarify certain aspects of the application before convening in closed session to examine the application in detail. On 6 July 2011, the Commission decided to request the Chair of the Commission to transmit a list of questions to the applicant through the Secretary-General. A formal response to those questions was provided by the applicant on 7 July 2011.", "19. On 7 July 2011, the Commission decided to recommend to the Council the approval of the plan of work for exploration for polymetallic nodules by TOML. The report and recommendations of the Commission to the Council are contained in document ISBA/17/C/10.", "B. Review of two applications for approval of plans of work for exploration for polymetallic sulphides and recommendations to the Council", "20. The Commission convened in closed meetings to consider two applications for the approval of plans of work for exploration for polymetallic sulphides. The applications were submitted on 7 May 2010 by China Ocean Mineral Resources Research and Development Association (COMRA) and on 24 December 2010 by the Government of the Russian Federation.", "1. China Ocean Mineral Resources Research and Development Association", "21. The Commission considered the application by COMRA in closed meetings on 5 and 8 July 2011. Prior to commencing a detailed examination of the application, the Commission invited the representative of the applicant, Jin Jiancai, Secretary-General of COMRA, accompanied by Li Jiabiao, Deputy Director of the Second Institute of Oceanography of the State Oceanic Administration, and Tao Chunhui, Senior Researcher of the Second Institute of Oceanography of the State Oceanic Administration, to present the application. Members of the Commission then asked questions to clarify certain aspects of the application before convening in closed session to examine the application in detail. On 6 July 2011, the Commission decided to request the Chair of the Commission to transmit a list of questions to the applicant through the Secretary-General. A formal response to those questions was provided by the applicant on 8 July 2011.", "22. On 8 July 2011, the Commission decided to recommend to the Council approval of the application for exploration for polymetallic sulphides submitted by COMRA. The Commission noted that it looked forward to the submission of reports, including relevant data, as required by the Regulations and any recommendations for the guidance of contractors on the possible environmental impacts of exploration for polymetallic sulphides to be issued in due course. The report and recommendations of the Commission are contained in document ISBA/17/C/11.", "2. Government of the Russian Federation", "23. The Commission considered the application by the Government of the Russian Federation in closed meetings on 8 July 2011. Prior to commencing a detailed examination of the application, the Commission invited the representative of the applicant, Deputy Minister Sergei Donskoi, accompanied by Mikhail Sergeev, Chief Geologist of the Polar Marine Geosurvey Expedition, Saint Petersburg, and Georgy Cherkashov, Deputy Director of the Institute of Marine Geology, Saint Petersburg, to make a presentation. Members of the Commission then asked questions to clarify certain aspects of the application before convening in closed session to examine the application in detail.", "24. On 8 July 2011, the Commission decided to recommend to the Council the approval of the application for exploration for polymetallic sulphides submitted by the Government of the Russian Federation. The Commission noted that it looked forward to the submission of reports, including relevant data, as required by the Regulations and any recommendations for the guidance of contractors on the possible environmental impacts to be issued in due course. The Commission also expressed its appreciation that, in response to questions by the Commission following the presentation of the application, the representatives of the applicant had expressed their willingness to provide the Authority with access to extensive historical datasets from marine scientific research gathered over many years on the Mid-Atlantic Ridge. The report and recommendations of the Commission are contained in document ISBA/17/C/12.", "IV. Environmental implications of activities in the Area", "A. Recommendations for the guidance of contractors for the assessment of possible environmental impacts arising from exploration for polymetallic sulphides", "25. The Commission recalled that in 2005 it had started to review draft recommendations that had been formulated based on the outcomes of the workshop held by the Authority in 2004 on “Polymetallic sulphides and cobalt-rich ferromanganese crusts deposits: establishment of environmental baselines and an associated monitoring programme during exploration”. At that time, however, the Commission had deferred consideration of the environmental recommendations for sulphides and crusts until the adoption of the regulations on prospecting and exploration for these resources.", "26. The Commission requested the secretariat to prepare for the next session an updated version of the draft recommendations for consideration and adoption in 2012. The Commission noted that environmental recommendations needed to be in place before exploration activities commenced. In the case of sulphides, there was an opportunity to issue recommendations for contractors on the type and management of data prior to the beginning of the exploration. The Commission particularly noted that it was necessary to put in place without delay a protocol that contractors would be advised to follow on the collection and management of data.", "B. Consideration of the draft environmental management plan for the Clarion-Clipperton Zone", "27. On 11 July 2011, the Commission convened in open meetings to review the draft environmental management plan for the Clarion-Clipperton Zone (see ISBA/17/LTC/WP.1). The Commission noted that it was particularly timely to establish an environmental management plan for the Clarion-Clipperton Zone because of the increased interest in deep seabed mining in that area as shown by the applications from NORI and TOML. The Commission also noted that the draft plan had been prepared at a workshop convened by the Authority in November 2010 in which a broad range of stakeholders (representatives of contractors, several members of the Commission, representatives from international and non-governmental organizations and the scientific community) had participated. The Commission expressed the view that this was a comprehensive plan, based on the best available data, including those supplied by contractors.", "28. To give effect to the precautionary approach called for by the regulations, the Commission decided to recommend a provisional environmental management plan for the Clarion-Clipperton Zone as contained in document ISBA/17/LTC/7, to be reviewed after three years. The plan includes the establishment of a network of nine areas of particular environmental interest identified by the 2010 workshop as provisional protected areas. During the three-year period, certain specific actions would be carried out by the Commission, the secretariat, contractors and their sponsoring States as identified in the environmental management plan. The Commission also decided to recommend to the Council for adoption a draft decision relating to the implementation of the environmental management plan, including a number of relevant actions (contained in annex II to the present report). Such actions would include a five-year moratorium on the allocation of such areas for contractors engaged in exploration or exploitation. The environmental management plan will be applied in a flexible manner so that it can be improved as more scientific, technical and environmental baseline and resource assessment data are supplied by the contractors and other interested bodies. Further dialogue should continue with all stakeholders to ensure complementarity with regard to the nine areas of particular environmental interest, the precise location of which may be reviewed as described in the environmental management plan.", "C. Consideration of the recommendations emanating from the workshop on “Environmental management of deep-sea chemosynthetic ecosystems: justification of and considerations for a spatially based approach”", "29. The Commission considered the report of the workshop on “Environmental management of deep-sea chemosynthetic ecosystems: justification of and considerations for a spatially based approach”, held in Dinard, France, from 31 May to 4 June 2010 (International Seabed Authority, Technical Study: No. 9). The Commission took note of the guidelines proposed by the workshop as an important contribution to its work. The Commission also took note of a communication received from the secretariat of InterRidge, an international project office for research on chemosynthetic ecosystems in the oceans of the World, in which concerns were raised about the management of mineral resources and the conservation of active hydrothermal vent ecosystems.", "V. Exchange of views on priority actions for the Commission", "30. Observing that the session marked the last meeting of the current membership of the Commission, the Commission took the opportunity to share views on the anticipated future workload of the Commission and its effects on the organization of its work. Some members highlighted the need for the Commission to consider ways to improve its functioning and working practices, taking into account its mandate under the United Nations Convention on the Law of the Sea and the 1994 Agreement relating to the implementation of Part XI of the Convention. It was also suggested that the secretariat should be requested to prepare a report, including an indicative five-year work programme for the incoming Legal and Technical Commission in 2012, as this would provide the new Commission with a context and framework for its work. It was also noted that, in line with the evolutionary approach, the secretariat would need to review the resources available to it to support the work of the Commission.", "31. In the light of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea, the Commission noted that the following issues needed to be incorporated into its future workplan:", "(a) The Commission noted the need to make necessary adjustments to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area to bring them into line with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area with respect to best environmental practices and the protection of biodiversity, as well as the further development of the precautionary approach. The Commission requested the secretariat to prepare for its consideration next year a list of such necessary revisions to the Nodules Regulations;", "(b) The Commission noted the responsibility for sponsoring States to enact laws and regulations and to take administrative measures that are appropriate and necessary for securing compliance by persons under its jurisdiction and the guidance given by the Chamber in that respect. The Commission suggested that the Authority should be tasked, as part of its work programme and subject to resources being made available, with preparing model legislation to assist sponsoring States in fulfilling their obligations;", "(c) The Commission noted that the Chamber had indicated that mechanisms should be considered to compensate for damage when neither the contractor nor the sponsoring State is responsible, and that this issue should be taken up by the Commission in due course;", "(d) Implementation of monitoring programmes and provision for a staff of inspectors.", "32. The Commission also recalled that the Council had requested it to consider the question of providing guidance on the implementation of Regulation 23, paragraph 7, of the Sulphides Regulations relating to monopolization of activities in the Area and that this matter should be addressed in due course.", "33. In light of the substantial increase in the workload of the Commission, members of the Commission suggested that consideration should be given to holding two sessions per year in future. It was recalled that this had been the practice in the past when the Authority convened two or even three sessions per year. The Commission noted that the practice of holding a separate meeting of the Commission several months in advance of the meetings of the Council and Assembly would enable it to work more efficiently and would also mean that recommendations on key issues could be circulated to member States well in advance. The second meeting of the Commission would commence one week in advance of the session of the Authority as was currently the case. The work of the Commission was fundamental to the substantive work of the Authority and the Commission recommended that all meetings of the Commission should be fully serviced and funded as part of the regular conference servicing requirements of the Authority.", "34. The Commission emphasized the importance of full participation in the work of the Commission by all members of the Commission. It urged those Governments nominating members of the Commission to ensure that their members were able to attend and participate in all meetings of the Commission. It also suggested that the Secretary-General should report back to Governments on the attendance of those members whose participation in the meetings of the Commission was supported from the voluntary trust fund.", "35. It was noted that the Commission also needed to be aware of the work of the United Nations General Assembly Ad Hoc Open-ended Informal Working Group to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction. Special attention needed to be given by the Authority to the issues related to the activities in the Area that could be involved in that regard.", "VI. Conclusion", "36. The Chair expressed the appreciation of the entire membership of the Commission to those members who would be ending their terms of office in 2011. The meeting was closed on 13 July 2011.", "Annex I", "Data management protocol", "Issue", "1. There is an urgent and timely need for the Authority to update its data management requirements with regard to acceptable data format(s) for submission to the secretariat of scientific and technical data collected by contractors. This applies equally to resource assessment activities as well as environmental baseline studies.", "2. During the seventeenth session, the Commission was made particularly aware of the urgent and timely need for the Authority to review its data management requirements following:", "(a) Its review of the annual reports submitted by the contractors on the activities carried out in 2010;", "(b) A presentation on environmental work carried out by contractors as described in their annual reports (ISBA/17/LTC/L.3 and ISBA/17/LTC/CRP.1).", "Background", "3. Current scientific and technical data management arrangements between a contractor and the secretariat (principally data format rather than data type/ parameters) function around the annual reporting requirements for contractors contained in the Nodules Regulations and in the guidelines issued some 10 years ago by the Commission in relation to polymetallic nodules.[1]", "4. While recommendations for the guidance of contractors for the assessment of the possible environmental impacts arising from exploration for polymetallic nodules in the Area (ISBA/16/LTC/7) were considered in 2010, they did not make reference to the format by which data is submitted.", "5. The urgency to address this data management matter of acceptable data format(s) (including data handling, sharing and storage), therefore results from the considerable recent technological advances that have taken place in data gathering instrumentation and similarly in the information communications and technology area. Furthermore, modelling of data gathered either for resource or environmental assessments using electronic software accessing digital databases is now accepted as best practice by the international scientific and technical community. The secretariat cannot engage in this work unless data submitted to it is in an agreed electronic format.", "6. The timeliness results from the fact that 2011 is generally the end of the second five-year period for seven contractors involved in nodule exploration in the Clarion-Clipperton Zone. Also, 2011 will likely see the awarding of the first contract to explore for seabed massive sulphides along the Indian Ocean Ridge, should the Council follow the recommendation of the Commission.", "Commentary", "7. New scientific and technical data management procedures surrounding the submission by contractors of data and information resulting from resource assessments and environmental studies need to address both:", "(a) The capturing of all historic data; and", "(b) Future fieldwork.", "8. Current annual reports include reference to work (fieldwork and cruises, follow-up work to previous cruises and/or reviews of past work) that is generally well presented although the formats vary considerably. However, it is of considerable concern to the Commission that the scientific and technical data as presented in the annual reports is not in a format that is suitable for input into a centralized metadatabase management system which the secretariat is tasked to hold and maintain.", "9. The problem arises since the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (annex 4, section 10) require the contractor to submit an annual report covering its activities in the exploration area and containing, as applicable, “information in sufficient detail”. Moreover, as set out in Regulation 31, paragraph 5, the contractor has the obligation to report annually in writing to the Secretary-General on the implementation and results of the monitoring programme and to submit data and information for this purpose. However, this Regulation does not address the data format(s). Nor has this been addressed in recent years. For example, the 2001 workshop addressed in great detail the issues surrounding data types but not data formats. Likewise, the most recent 2010 recommendations for providing guidance on baseline data requirements for the assessment of environmental impacts focus on data types but not on data formats.", "10. As a way forward, the Commission recommended two possibly cumulative courses of action for the Secretary-General. A first possibility is that contractors report verbally to the Commission, as well as through the submission of the annual report document to respond to any questions and provide further data (see ISBA/8/LTC/2, para. 99). The second manner to address this issue is for the Secretary-General to organize, as a matter of priority, a workshop on data management as an expression of a partnership of equals between the contractors and their sponsoring States, the secretariat and the Commission. These would also be a way to give effect to the obligation incumbent upon contractors, sponsoring States and other interested States or entities to cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the impacts of deep seabed mining on the marine environment as provided in regulation 31, paragraph 6, of the Regulations.", "Annex II", "Draft decision of the Council of the International Seabed Authority relating to an environmental management plan for the Clarion-Clipperton Zone", "The Council of the International Seabed Authority,", "Taking into account the recommendations of the Legal and Technical Commission pursuant to article 165, paragraph 2 (e), of the United Nations Convention on the Law of the Sea of 10 December 1982,[2]", "Recalling article 145 of the Convention, which requires that necessary measures shall be taken in accordance with the Convention with respect to activities in the Area to ensure effective protection for the marine environment from harmful effects, which may arise from such activities,", "Recalling also that, pursuant to article 162 of the Convention, the Council has the power to establish the specific policies to be pursued by the Authority on any question or matter within the competence of the Authority,", "Recalling further that the General Assembly of the United Nations in its resolution 63/111 called upon States and relevant international organizations at all levels to urgently consider ways to integrate and improve, on a scientific basis, including the application of precaution as set out in principle 15 of the Rio Declaration on Environment and Development,[3] the management of risks to vulnerable marine biodiversity within the framework of the Convention, consistent with international law and the principles of integrated ecosystem-based management,", "Considering that the implementation of a comprehensive environmental management plan at the regional level is one of the measures appropriate and necessary to ensure effective protection of the marine environment of that part of the Area known as the Clarion-Clipperton Zone from harmful effects that may arise from activities in the Area and that such a plan should include provision for the establishment of a representative network of areas of particular environmental interest,", "Recognizing the rights of those entities which presently hold contracts with the International Seabed Authority for exploration for polymetallic nodules in the Clarion-Clipperton Zone pursuant to the Convention, the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982[4] and the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area,[5] in particular their security of tenure over areas allocated for exploration, in accordance with their contracts,", "Recognizing also that a range of human activities occurring, or potentially occurring, in areas beyond national jurisdiction in the Clarion-Clipperton Zone should be managed taking into account all relevant actors according to international law,", "1. Welcomes the recommendation by the Legal and Technical Commission relating to an environmental management plan for the Clarion-Clipperton Zone as contained in document ISBA/17/LTC/7, to be implemented over an initial three-year period, which includes the designation, on a provisional basis, of a network of nine areas of particular environmental interest, and gives effect to the precautionary approach as called for by the Regulations;", "2. Notes that the plan will be applied in a flexible manner so that it may be improved as more scientific, technical and environmental baseline and resource assessment data are supplied by contractors and other interested bodies;", "3. Requests the Legal and Technical Commission to report to the Council on the implementation of the environmental management plan;", "4. Encourages further dialogue with all stakeholders to ensure complementarity with regard to the nine areas of particular environmental interest, the precise location of which may be reviewed as described in the environmental management plan;", "5. Decides that, for a period of five years from the date of this decision or until further review by the Legal and Technical Commission or the Council, no application for approval of a plan of work for exploration or exploitation should be granted in the areas of particular environmental interest referred to in paragraph 1;", "6. Also decides to apply this decision in accordance with the Convention, the Agreement, the Regulations and the terms of the contracts on exploration for polymetallic nodules issued in respect of the Clarion-Clipperton Zone;", "7. Encourages the conduct of marine scientific research in the areas of particular environmental interest referred to in paragraph 1 in accordance with article 143 of the Convention, and the dissemination of the results of such research through the Authority;", "8. Requests the Secretary-General of the International Seabed Authority to take steps to encourage the development of programmes for marine scientific research in the Clarion-Clipperton Zone, including in the areas of particular environmental interest referred to in paragraph 1, for the benefit of developing States and technologically less developed States, including through the Endowment Fund for Marine Scientific Research in the Area of the Authority;", "9. Also requests the Secretary-General to communicate this decision as widely as possible, including to members of the Authority, observers to the Authority and relevant international organizations.", "[1] ISBA/8/LTC/2; and Standardization of Environmental Data and Information: Development of Guidelines — Proceedings of the International Seabed Authority’s Workshop held in Kingston, Jamaica, 25-29 June 2001.", "[2] United Nations, Treaty Series, vol. 1833, No. 31363.", "[3] Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992, vol. I, Resolutions Adopted by the Conference (United Nations publication, Sales No. E.93.1.8 and corrigendum), resolution 1, annex 1.", "[4] Ibid., vol. 1838, No. 31364.", "[5] ISBA/6/A/18, decision of the Assembly of the International Seabed Authority relating to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Summary report of the Chairman of the Legal and Technical Commission on the work of the Commission at its seventeenth session", "Introduction", "1. The Legal and Technical Commission commenced its work on 4 July 2011, one week before the meetings of the Council and the Assembly. The meeting continued until 13 July 2011. The Committee held 15 meetings.", "2. The following members of the Committee attended the seventeenth session: Frida M. Armas-Pfirter, David Billett, Eusebio Lopera Caballero, Miguel dos Santos Alberto Chissano, Lalita Davis-Mattis, Elva Escobar, Sandor Mulsow Flores, Denis Khramov, Woong-Seo Kim, Walter de Sá Leitão, Sudhakar Maruthadu, Nobuyuki Okamoto, Andrzej Przybycin, Christian Reichert and Mahmoud Samy. In accordance with established practice, Russell Howorth also attended the Committee on 12 July 2011, prior to his formal election to the Council, to replace Isikeli Mataituga, who had resigned from the Committee, and to serve until the end of his term. The following members informed the Secretary-General that they would not be able to participate in the session: Jean-Marie Auzende, Baïdy Diène, Kennedy Hamutenya, Said Hussein, Asif Inam, Emmanuel Kalungui, Elena Ciso, Adam Tugio and Zhang Kai.", "3. The Committee elected David Billett as Chairman and Frida M. Armas-Pfirter as Vice-Chairman.", "4. The Commission adopted its agenda on 4 July 2011 (ISBA/17/LTC/1) and considered the following during its seventeenth session:", "^ (*) Reissued for technical reasons on 19 July 2011.", "(a) Evaluation of the annual reports submitted by contractors pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area;", "(b) Information on the periodic review of the implementation of the plan of work for prospecting for polymetallic nodules;", "(c) Examination of two applications for approval of plans of work for exploration for polymetallic nodules;", "(d) Examination of two applications for approval of plans of work for exploration for polymetallic sulphides;", "(e) Draft environmental management plan for the Clarion-Clipperton Zone fracture zone;", "(f) Recommendations of the workshop entitled “Environmental management of deep-sea fusion ecosystems: rationale and considerations for a space approach”;", "(g) Other matters.", "II. Activities of contractors", "Review of the annual reports submitted by contractors pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area", "The Commission held closed meetings on 7, 8 and 12 July 2011 to review and assess the annual reports of contractors submitted pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area. The Commission was provided with a preliminary analysis of the annual report prepared by the Secretariat (ISBA/17/LTC/CRP.2), which facilitated its work. To that end, the Commission has been divided into three working groups: (a) legal and financial; (b) environmental; and (c) technical. The working group undertook a preliminary review of the annual report and prepared a draft evaluation for further consideration by the Commission. The report and recommendations of the Commission on the annual reports of contractors are contained in document ISBA/17/LTC/8.", "6. In examining the annual report, the Committee makes the following general observations:", "(a) Most annual reports generally follow the general format established by the Commission and are generally limited to their activities during the reporting period, as recommended by the Commission following its previous review. Individual reports are limited to reviews conducted in previous years;", "Geological work", "(b) The slow progress of exploration during the reporting period. Some reports do not mention details of geological, mining or metallurgical-related activities;", "(c) Previous evaluations of the Commission have mentioned that there is no uniform format for the classification of (multimetal) nodules. A standard should be developed as early as possible;", "Mining tests and proposed mining technologies", "(d) There has been no progress in technology, particularly in the mining of (multimetall) nodules and metallurgy. Several contractors have not yet begun to develop their technical capabilities and may be more effective if they pool resources to coordinate their cooperation;", "Environmental monitoring and assessment", "(e) The quality of the contractor ' s environmental work in 2010 was generally higher than in previous years. However, raw data from contractors is still lacking. The contractor is strongly requested to provide raw data in digital format for their inclusion in the International Seabed Authority database;", "Financial", "(f) Not all contractors have broken down their expenditures as recommended by the Commission (see document ISBA/15/LTC/7). A breakdown of expenditures is required so that the Authority can evaluate the reported expenditures and compare them with different contractors.", "(g) The Commission recommends that the Secretary-General of the Authority request the sponsor to clarify the authority that certifies the financial statements.", "Other matters", "(h) A positive trend observed during the reporting period was that some contractors had begun to analyse data on the economic feasibility of nodule mining, thus providing an analysis of market trends, metal values, required investments and expected returns.", "B. Information on the periodic review of the implementation of the plan of work for prospecting for polymetallic nodules", "7. The Commission was provided with a procedural note on the periodic review of the implementation of the plan of work by the various contractors, noting that the review would be conducted jointly by the Secretary-General and the contractors in the coming months. The Commission was also assisted by an analysis of expenditures reported by contractors and a summary of the environmental work carried out by contractors over the past 10 years. The Commission provided comments and technical advice to assist the Secretary-General in his discussions with the contractors.", "8. With regard to the implementation of the plan of work by contractors, the Commission expressed concern about the lack of raw data for resource assessment and environmental baseline studies. The Committee noted that the lack of such data hampered the assessment of the activities of the Authority in the region, such as the development of regional environmental management plans. The recommendations of the Board on this issue are contained in annex I to the present report.", "9. With regard to financial expenditures, the Board noted significant variations in the financial expenditures reported by contractors. The Commission reiterated that it would be difficult to conduct any evaluation of actual and direct exploration expenditures if contractors did not comply with the recommendations of the Financial Reporting Guide issued by the Commission in 2009. The regular review of six contractors during the year was the last time the programme activities were adjusted before the end of the exploration phase. Accordingly, the Commission recommended that a pre-feasibility study be included in the programme of activities of the six contractors for the next five-year period on the return on investment in the next phase of exploration for polymetallic nodules. The Commission also recommended that the secretariat organize a meeting of contractors, with a clear indication in its agenda of the financial assessment as an integral part of future reports.", "III. Applications for approval of plans of work for exploration", "A. Review of two applications for approval of plans of work for exploration for polymetallic nodules in reserved areas and recommendations to the Council", "10. In closed meetings, the Commission continued its consideration of applications for approval of plans of work for exploration for polymetallic nodules in the reserved area of the Clarion-Clipperton Zone. In 2008, the Commission received two applications from Nauru sponsored by Nauru Ocean Resources Inc. and Tonga sponsored by Tonga Offshore Mining Limited.", "Nauru Ocean Resources Inc.", "11. The Commission recalled that it had met for the first time to consider the company ' s application on 21, 22, 26 and 27 May 2008. As the Commission was unable to reach consensus on a recommendation to the Council on the application, the Commission decided to continue its consideration of the application at the next possible opportunity. The matter was included in the agenda of the fifteenth session of the Commission. At that session, the Commission was informed that, in a letter dated 5 May 2009 addressed to the Legal Counsel of the Authority, the applicant had requested that its application be deferred on the grounds of the global economic environment and other concerns. At that time, the Committee took due note of the request and decided to defer further consideration of the item until further notice.", "12. In a letter dated 4 May 2010 addressed to the Secretary-General of the Authority, the applicant requested the Commission to reconsider its application as soon as possible. On 29 April 2011, Nauru Ocean Resources Inc. provided the Secretary-General with an update on the pending applications before the Committee, reflecting changes in ownership, corporate governance and funding. The applicant indicated that the information contained in the application submitted in 2008 had been replaced by that latest information.", "13. The Commission convened on 4, 5 and 6 July 2011 to consider the application. Before proceeding to a detailed examination of the application, the Committee invited the applicant ' s designated representative, Peter Jacob, accompanied by Charles Morgan and David Heydon, to present the application. Members of the Commission then asked questions in order to clarify certain aspects of the application before holding a closed meeting to examine the application in detail.", "14. On 6 July 2011, the Commission decided to recommend to the Council the approval of a plan of work for exploration for polymetallic nodules by Nauru Ocean Resources. The report and recommendations of the Commission to the Council are contained in document ISBA/17/C/9.", "Tonga Offshore Mining Limited", "15. The Committee recalled that it had first met on 21, 22, 26 and 27 May 2008 to consider the application of Tonga Offshore Mining Limited. As the Commission was unable to reach consensus on a recommendation to the Council on the application, the Commission decided to continue its consideration of the application at the next possible opportunity. The matter was included in the agenda of the fifteenth session of the Commission. At that session, the Commission was informed that, in a letter dated 5 May 2009 addressed to the Legal Counsel of the Authority, the applicant had requested that its application be deferred on the grounds of the global economic environment and other concerns. At that time, the Committee took due note of the request and decided to defer further consideration of the item until further notice.", "16. On 28 April 2011, Tonga Offshore Mining Limited provided the Secretary-General with updated information on the pending applications before the Committee. The matter was subsequently included in the agenda of the seventeenth session of the Commission.", "17. The Commission considered the application in closed meetings on 5, 6 and 7 July 2011. The Committee took note of the updated information submitted by the applicant and the written replies to the questions transmitted by the Chairman of the Committee through the Secretary-General on 23 May 2008.", "18. Before proceeding to a detailed examination of the application, the Commission invited the applicant to present the application on behalf of Paul Taumoepeau, National Affairs Manager of Tonga Offshore Mining Limited (along with Aminiasi Kefu, Chief Prosecutor of Tonga, Rennie Vaiomounga, Ministry of Lands, Surveying and Natural Resources, Michael Johnston, Vice-President of Strategic Development, Nautilus Minerals, and Samantha Smith, Environmental Affairs Manager, Nautilus Minerals). Members of the Commission then asked questions in order to clarify certain aspects of the application before holding a closed meeting to examine the application in detail. On 6 July 2011, the Committee decided to request the Chair of the Committee to transmit a list of issues to the applicant through the Secretary-General. On 7 July 2011, the applicant formally responded to the questions.", "19. On 7 July 2011, the Council decided to recommend to the Council the approval of a plan of work for exploration for polymetallic nodules by Tonga Offshore Mining Limited. The report and recommendations of the Commission to the Council are contained in document ISBA/17/C/10.", "B. Review of two applications for approval of plans of work for exploration for polymetallic sulphides and recommendations to the Council", "20. The Commission convened in closed session to consider two applications for approval of plans of work for exploration for polymetallic sulphides. The applications were submitted by the China Ocean Mineral Resources Research and Development Association (COMRA) on 7 May 2010 and by the Government of the Russian Federation on 24 December 2010.", "1. China Ocean Mineral Resources Research and Development Association", "21. The Commission considered the application of COMRA in closed session on 5 and 8 July 2011. Prior to commencing a detailed review of the application, the Commission invited the applicant to present the application on behalf of the Secretary-General of COMRA, Kim Jiancheng (accompanied by Li Jia Piao, Deputy Director of the Second Institute of Oceanography of the National Oceanic Bureau and Tao Chun Fai, Senior Research Fellow of the Second Institute of Oceanography of the National Oceanic Bureau). Members of the Commission then asked questions in order to clarify certain aspects of the application before holding a closed meeting to examine the application in detail. On 6 July 2011, the Committee decided to request the Chair of the Committee to transmit a list of issues to the applicant through the Secretary-General. On 8 July 2011, the applicant formally responded to the questions.", "22. On 8 July 2011, the Commission decided to recommend to the Council the approval of the application for exploration for polymetallic sulphides submitted by COMRA. The Commission noted that it looked forward to receiving reports, including relevant data, in accordance with the requirements of the Regulations and the recommendations for guidance to contractors on possible environmental impacts arising from exploration for polymetallic sulphides to be issued in due course. The report and recommendations of the Committee are contained in document ISBA/17/C/11.", "2. Government of the Russian Federation", "23. The Committee considered the application submitted by the Government of the Russian Federation in closed session on 8 July 2011. Before proceeding to a detailed examination of the application, the Commission invited the applicant to present the application on behalf of Sergei Donskoi, Deputy Minister (accompanied by Mikhail Sergei Sergeyev, Chief Geologist of the polar marine geological survey expedition in St. Petersburg, and Georgy Cherkashov, Deputy Director of the Marine Geology Institute in St. Petersburg). Members of the Commission then asked questions in order to clarify certain aspects of the application before holding a closed meeting to examine the application in detail.", "24. On 8 July 2011, the Commission decided to recommend to the Council the approval of the application for exploration for polymetallic sulphides submitted by the Government of the Russian Federation. The Commission noted that it looked forward to receiving reports, including relevant data, in accordance with the requirements of the Regulations and the recommendations for guidance to contractors on possible environmental impacts, which would be issued in due course. The Commission expressed its appreciation to the representative of the applicant for his willingness to provide the Authority with extensive historical data sets collected over the years from marine scientific research on the Mid-Atlantic Ridge following the presentation of the application. The report and recommendations of the Committee are contained in document ISBA/17/C/12.", "Environmental impacts of activities in the Area", "A. Recommendations for the guidance of contractors in assessing the potential environmental impacts arising from exploration for polymetallic sulphides", "The Commission recalled that, in 2005, it had begun to review the draft recommendations based on the results of the workshop on polymetallic sulphides and cobalt-rich ferromanganese crusts: establishing environmental baselines and related control programmes in exploration, held by the International Seabed Authority in 2004. However, the Commission deferred consideration of the environmental recommendations for sulphides and crusts until after the adoption of the regulations on prospecting and exploration for those resources.", "26. The Commission requested the Secretariat to prepare an updated version of the draft recommendations for consideration and adoption at its next session, in 2012. The Commission noted that environmental recommendations must be made prior to the commencement of exploration activities. In the case of sulphides, the contractor had the opportunity to make recommendations on data types and management prior to the commencement of exploration activities. In particular, the Commission noted the importance of establishing without delay a protocol for data collection and management to be adhered to by contractors.", "Consideration of the draft environmental management plan for the Clarion-Clipperton Zone", "27. On 11 July 2011, the Commission held a public meeting to review the draft environmental management plan for the Clarion-Clipperton Zone (see document ISBA/17/LTC/WP.1). The Committee noted that the development of an environmental management plan for the Clarion-Clipperton Zone was particularly timely, as applications by Nauru Ocean Resources Ltd. and Nauru and Tonga Offshore Mining Ltd. had shown increased interest in deep seabed mining in the Area. The Commission also noted that the draft plan had been prepared at a workshop convened by the International Seabed Authority in November 2010 with the participation of a wide range of stakeholders (representatives of contractors, several members of the Commission, representatives of international organizations and non-governmental organizations and representatives of the scientific community). In the opinion of the Committee, this is a comprehensive plan based on the best available data, including that provided by the contractor.", "28. In order to give effect to the precautionary approach required by the Regulations, the Commission decided to present an interim environmental management plan for the Clarion-Clipperton Zone, as contained in document ISBA/17/LTC/7, to be reviewed after three years. The plan includes the establishment of a network of nine areas of special environmental interest identified at the 2010 workshop as temporary protected areas. During the three-year period, the Commission, the secretariat, contractors and their sponsoring States will undertake some of the specific actions identified in the environmental management plan. The Committee also decided to recommend to the Governing Council the adoption of a draft decision on the implementation of the environmental management plan, including a number of related actions (see annex II to the present report). These actions include a five-year moratorium on the allocation of such areas to contractors engaged in exploration or exploitation. The environmental management plan will be applied in a flexible manner to improve upon the provision of additional scientific, technical, environmental baseline and resource assessment data by contractors and other relevant bodies. The Committee should continue to engage in further dialogue with all stakeholders to ensure complementarity in the nine areas of particular environmental interest, the exact location of which could be reviewed, as indicated in the environmental management plan.", "C. Review of the recommendations of the workshop on “Environmental management of deep-sea chemical ecosystems: rationale and considerations for a space-based approach”", "The Committee considered the report of the workshop on “Environmental management of deep-sea chemical ecosystems: rationale and considerations for a space-based approach”, held in Dinar, France, from 31 May to 4 June 2010 (International Seabed Authority technical study No. 9). The Commission noted that the guidelines emanating from the Workshop constituted an important contribution to its work. The Committee also took note of a letter from the InterRidge secretariat, an international project office for the study of the world ' s marine chemical synthesis ecosystem, which expressed concern about the management of mineral resources and the conservation of active hydrothermal vent ecosystems.", "Exchange of views on priority actions of the Committee", "30. Noting that the current session was the last meeting of current members of the Commission, the Commission took the opportunity to exchange views on the anticipated future workload of the Commission and its implications for the organization of its work. Some members stressed the need for the Commission to consider how to improve its functioning and practice, taking into account the mandate set out in the United Nations Convention on the Law of the Sea and the 1994 Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea. It was also suggested that the Secretariat be requested to prepare a report proposing an indicative programme of work for the new Legal and Technical Commission for a five-year period in 2012, as that would provide a background and framework for the work of the new Commission. It was also pointed out that, in an evolutionary manner, the Secretariat needed to review the resources available to support the work of the Committee.", "31. On the basis of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea, the Commission noted the need to include the following issues in its future work plan:", "(a) The Commission noted the need to make the necessary adjustments to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area to bring them into line with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area in terms of best environmental practices, the protection of biodiversity and the further development of the precautionary approach. The Commission requested the secretariat to prepare a list of necessary modifications to the polymetallic nodules regulations for consideration by the Commission next year;", "(b) The Commission noted that it was the responsibility of the sponsoring State to adopt laws and regulations and to take appropriate and necessary administrative measures to ensure the compliance of persons under its jurisdiction and to receive guidance in that regard from the Seabed Disputes Chamber. The Committee recommended that the International Seabed Authority be responsible for preparing model legislation to assist sponsoring States in fulfilling their obligations as part of its programme of work, subject to the availability of resources;", "(c) The Commission noted that the Seabed Disputes Chamber had indicated that consideration should be given to the establishment of a mechanism for compensation for damages for which neither the contractor nor the sponsoring State was responsible, and that the Commission should consider the issue in due course;", "(d) Implementation of an inspection programme and provision of inspectors.", "The Commission also recalled that the Council had requested it to consider guiding the implementation of article 23, paragraph 7, of the Sulphides Regulations concerning monopolistic activities in the Area and that the Commission should address the issue in due course.", "33. In view of the significant increase in the workload of the Committee, members of the Committee recommended that consideration be given to holding two sessions per year in the future. It recalled that the International Seabed Authority held two or even three sessions per year, which had become a practice in the past. The Committee noted that the practice of holding separate meetings of the Committee several months prior to the sessions of the Council and the General Assembly would enhance its efficiency and would mean that recommendations on major issues could be circulated to Member States in advance. As is currently the case, the second meeting of the Commission could be held one week before the session of the International Seabed Authority. In view of the importance of the work of the Committee for the substantive work of the International Seabed Authority, the Committee recommends that all meetings of the Committee be fully serviced and funded as part of the regular conference servicing requirements of the International Seabed Authority.", "34. The Committee stressed the importance of the full participation of all members of the Committee in the work of the Committee. It urged those Governments that had nominated members of the Committee to ensure that their members were able to attend and participate in all meetings of the Committee. It also recommended that the Secretary-General report to Governments on the participation of members of the Committee financed from the voluntary trust fund.", "35. It was noted that the Committee must also be informed of the work of the Ad Hoc Open-ended Informal Working Group of the General Assembly to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction. The International Seabed Authority needs to pay particular attention to issues related to the activities of the Area that may be relevant in the course of its deliberations.", "VI. Conclusion", "36. The Chair expressed the appreciation of all members of the Committee to those members whose terms would end in 2011. The meeting closed on 13 July 2011.", "Annex I", "Data management protocol", "Problem", "There is an urgent and timely need for the Authority to update its data management requirements with regard to the format of acceptable information to be submitted to the Secretariat for scientific and technical data collected by contractors. The same applies to resource assessment activities and environmental baseline studies.", "2. During its seventeenth session, the Commission drew particular attention to the urgent and timely need to update its data management requirements following the following activities:", "(a) Review of the annual reports submitted by contractors on their activities carried out in 2010;", "(b) A description of the environmental work undertaken by the contractor, as described in its annual report (ISBA/17/LTC/L.3 and ISBA/17/LTC/CRP.1).", "Background", "3. The current arrangements between the contractor and the secretariat for the management of scientific and technical data (mainly data formats rather than data types/parameters) function around the requirements for the submission of annual reports by the contractor, as set out in the nodules regulations and the guidelines issued by the Commission some 10 years ago in respect of polymetallic nodules [1].", "4. Although the recommendations for the guidance of contractors for the assessment of the possible environmental impacts arising from exploration for polymetallic nodules in the Area were considered in 2010 (ISBA/16/LTC/7), no reference was made to the format for the submission of data.", "5. The urgency of addressing the issue of data management in acceptable data formats, including data processing, sharing and storage, thus stems from recent considerable technological advances in the instrumentation of data collection, as well as from similar advances in information communication and technology. In addition, models for data collection for resource or environmental assessments using electronic access to digital databases are now accepted as best practice by the international scientific and technological community. The Secretariat could not do so unless the data submitted to it were submitted in an agreed electronic format.", "6. The timeliness stems from the fact that 2011 was largely the end of the second five-year period for the seven contractors conducting nodule exploration in the Clarion-Clipperton Zone. In addition, if the Council were to hear the Commission ' s recommendations, it would be possible in 2011 to issue the first contract for the exploration of seafloor massive sulphides along the Indian Ocean Ridge.", "Comments", "7. New scientific and technical data management procedures surrounding the submission by contractors of data and information from resource assessments and environmental studies need to address both:", "(a) Capture all historical data;", "(b) Future field work.", "8. The current annual report includes a description of the work (field work/visits, follow-up to previous missions, and/or review of past work), which is generally well done, although the format used varies widely. However, the Commission was concerned that the scientific and technical data presented in the annual report did not follow a format suitable for input into the centralized metadata management system entrusted to the secretariat for maintenance.", "The problem arises from the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (annex IV, sect. 10) requiring contractors to submit annual reports covering their activities in the exploration area and to provide “detailed information” in due course. In addition, under regulation 31 (5) of the Regulations, the contractor is obliged to submit annually a written report to the Secretary-General on the implementation and results of the monitoring programme and to submit data and information to that end. However, this provision does not address data formats. The problem has not been resolved in recent years. For example, the 2001 workshop discussed in great detail issues related to data types, but did not discuss data formats. Similarly, the recommendations of the recent 2010 baseline data study guiding the assessment of environmental impacts focused on the type of data, but not on the format of the data.", "10. As a way forward, the Committee recommended two possible cumulative courses of action for the Secretary-General. The first possibility is for the contractor to present an oral report to the Commission and to respond to any questions and provide further data by submitting an annual report document (see ISBA/8/LTC/2, para. 90). The second way to address this issue is for the Secretary-General, as a matter of priority, to organize a workshop on data management to demonstrate an equal partnership between contractors, their sponsoring States, the Secretariat and the Commission. This would also be a way to implement the obligation of contractors, sponsoring States and other interested States or entities under regulation 31, paragraph 6, of the Regulations to cooperate with the Authority in the development and implementation of programmes to monitor and evaluate the impacts of deep seabed mining on the marine environment.", "Annex II", "Draft decision of the Council of the International Seabed Authority relating to an environmental management plan for the Clarion-Clipperton Zone", "The Council of the International Seabed Authority,", "Taking into account the recommendation of the Legal and Technical Commission pursuant to article 165, paragraph 2 (e), of the United Nations Convention on the Law of the Sea of 10 December 1982,[2]", "Recalling article 145 of the Convention, which provides that the necessary measures shall be taken in accordance with the Convention in respect of activities in the Area to ensure effective protection of the marine environment from harmful effects that may arise from such activities,", "Recalling also that, in accordance with article 162 of the Convention, the Council is empowered to formulate specific policies for the Authority with respect to any question or matter within the scope of its competence,", "Recalling also that the United Nations General Assembly, in its resolution 63/111, called upon States and relevant international organizations at all levels to urgently consider ways to improve the integrated treatment of risks to vulnerable marine biodiversity within the framework of the Convention, in accordance with international law and the principles of integrated ecosystem management, based on scientific information, including the precautionary approach as set out in principle 15 of the Rio Declaration on Environment and Development,", "Considering that the implementation of a comprehensive environmental management plan at the regional level is one of the appropriate and necessary measures to ensure the effective protection of the marine environment in the region known as the Clarion-Clipperton Zone from harmful effects that may result from activities in that area, and that the plan should include provisions for the establishment of a representative network of areas of special environmental interest,", "Recognizing the rights of those entities currently in possession of contracts with the International Seabed Authority for exploration for polymetallic nodules in the Clarion-Clipperton Zone under the Convention, the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 and the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area, in particular to safeguard their contractual rights under the contract period allocated for exploration areas under the contract,", "Recognizing also that a range of ongoing or potential human activities in areas beyond national jurisdiction in the Clarion-Clipperton Zone should be managed, and that all relevant actors should be taken into account in accordance with international law,", "1. Welcomes the proposal of the Legal and Technical Commission for an environmental management plan for the Clarion-Clipperton Zone, as contained in document ISBA/17/LTC/7, to be implemented over the initial three-year period, including the temporary designation of nine areas of special environmental interest to form a network and to implement the precautionary approach required by the Regulations;", "Notes that the plan will be implemented in a flexible manner so that it may be improved as contractors and other relevant bodies provide additional scientific, technical and environmental baseline and resource assessment data;", "3. Requests the Legal and Technical Commission to report to the Council on the implementation of the environmental management plan;", "4. Encourages further dialogue with all stakeholders to ensure complementarity among the nine regions with special environmental interests, the precise location of which could be reviewed in the light of the circumstances described in the environmental management plan;", "5. Decides that applications for approval of plans of work for exploration or exploitation in areas of particular environmental interest referred to in paragraph 1 shall not be approved for a period of five years from the date of adoption of the present decision or until further review by the Legal and Technical Commission or the Council;", "6. Decides also to apply the present decision in accordance with the provisions of the Convention, the Agreement, the Regulations and the contracts issued for exploration for polymetallic nodules in the Clarion-Clipperton Zone;", "7. Encourages the conduct of marine scientific research in the areas of particular environmental interest referred to in paragraph 1 of article 143 of the Convention and the dissemination of the results of such research through the Authority;", "Requests the Secretary-General of the International Seabed Authority to take measures to encourage the development of programmes for marine scientific research in the Clarion-Clipperton Zone, including in the areas of particular environmental interest referred to in paragraph 1, for developing countries and less technologically developed States, including through the Endowment Fund for Marine Scientific Research in the Area of the Authority;", "9. Also requests the Secretary-General to disseminate the present decision as widely as possible to the members of the Authority, observers to the Authority and relevant international organizations.", "[1] ISBA/8/LTC/2 Standardization of environmental data and information: Proceedings of the workshop on the development of guidelines for the International Seabed Authority, Kingston, Jamaica, 25-29 June 2001.", "[2] United Nations, Treaty Series, vol. 1833, No. 31363.", "[3] Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992, vol. 1: Resolutions adopted by the Conference. Resolution 1, annex I.", "[4] Ibid., vol. 1836, No. 31364.", "[5] ISBA/6/A/18, Decision of the Assembly of the International Seabed Authority relating to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area." ]

[ "主席： 约瑟夫·戴斯先生 (瑞士)", "上午10时10分开会。", "议程项目114", "接纳新会员加入联合国", "主席(以英语发言)：我谨请大会审议安全理事会关于南苏丹共和国要求加入联合国的的申请的积极建议。", "如文件A/65/905所述，安全理事会建议接纳南苏丹共和国为联合国会员国。因此，印发了一项决议草案，文号为A/65/L.84。", "我现在请南非代表介绍决议草案A/65/L.84。", "拉德贝先生(南非)(以英语发言)：我谨表示南非对非洲国家集团7月份主席、卢旺达常驻代表尤金-理查德·加萨纳先生阁下的感谢，他给予我国代表团代表非洲会员国介绍本项历史性决议草案的殊荣。", "2011年7月9日，世界目睹一个新的非洲国家——南苏丹共和国——诞生。在结束了长达数十年、导致数百万人死亡的战争之后，苏丹人民在2005年取得历史性的突破，商定了一项解决他们分歧的计划，并开始走上持久和平的道路。这一协议载于苏丹共和国政府同苏丹人民解放运动之间达成的《全面和平协议》。《协议》的重要支柱之一是就自决进行全民投票和南苏丹独立的权利。", "1960年12月14日大会通过的第1514(XV)号决议，是争取非殖民化、自决和独立斗争中的一个重要里程碑。该决议是对非洲大陆和其他地方的大多数人民开展反对殖民主义、压迫和种族隔离的斗争的启发。", "非洲的男女创始者在非洲统一组织的创始文件以及它的继承组织——非洲联盟——的《组织法》中商定维持独立后继承的殖民地边界，这是鉴于该殖民主义遗产有其敏感性和复杂性。为此原因，在1月9日南苏丹人民关于自决的全民投票之后，非洲联盟立即通过一项庄严宣言，其中确认了过去殖民时代遗留下来的各种特殊挑战以及苏丹人民所面临国家问题的独特性质。在这方面，非洲国家元首和政府首脑确认苏丹是一个特殊的情况，并不否定有关尊重殖民边界的神圣原则。", "我极为荣幸地代表非洲国家集团，在大会这里介绍有关接纳南苏丹共和国为联合国会员国的决议草案，并宽慰地获悉，这一行动绝不构成分离主义倾向的先例。为此原因，苏丹共和国成为第一个承认其新邻国南苏丹共和国独立和主权的国家。决议草案A/65/L.84获得了联合国的非洲会员国和非洲联盟的一致和充分的支持。", "我们非洲人仍然感谢全体多边组织，特别是联合国，在我们寻求独立、自由和自决的努力中所起的作用。我们重申我们对《联合国宪章》基本原则的集体信念和承诺。", "在整个大陆和全世界所有爱好和平的人民的支持下，我们提请大会审议文件A/65/L.84所载的关于接纳南苏丹共和国为联合国会员国的决议草案。历史赋予我们在座各位见证南苏丹共和国被接纳为联合国第193个会员国的难得和独特的荣誉。", "主席(以法语发言)：大会现在就题为“接纳南苏丹共和国为联合国会员国”的决议草案A/65/L.84作出决定。我现在请秘书处代表发言。", "中野先生(大会和会议管理部)(以英语发言)：我谨宣布，自决议草案提交以来，除了文件A/65/L.84所列的代表团外，下列国家也已成为决议草案的提案国：阿富汗、安道尔、阿根廷、亚美尼亚、巴哈马、孟加拉国、巴巴多斯、加拿大、中国、哥斯达黎加、古巴、捷克共和国、厄瓜多尔、法国、格林纳达、危地马拉、圭亚那、洪都拉斯、冰岛、印度、爱尔兰、牙买加、哈萨克斯坦、吉尔吉斯斯坦、墨西哥、黑山、荷兰、巴拿马、秘鲁、波兰、大韩民国、罗马尼亚、俄罗斯联邦、新加坡、瑞士、东帝汶、特立尼达和多巴哥、土耳其和乌克兰。", "主席(以法语发言)：我是否可认为大会接受安全理事会的建议并以鼓掌方式通过决议草案A/65/L.84？", "决议草案A/65/L.84获得通过(第65/308号决议)。", "主席(以法语发言)：因此，我宣布接纳南苏丹共和国为联合国会员国。", "我请礼宾处处长陪同南苏丹共和国代表团到其在大会堂内的席位就座。", "南苏丹共和国代表团在陪同下到其在大会堂内的席位就座。", "主席(以法语发言)：我非常荣幸地代表大会欢迎南苏丹共和国成为联合国新会员国。这不仅是非洲、而且也是国际社会的历史性欢乐时刻。今天，我们欢迎南苏丹共和国这个年轻国家成为我们中的一员。上周六，该国在其首都朱巴正式宣布独立，令人瞩目。", "南苏丹独立事实上是若干年前启动的进程的最终结果。通过谈判达成并执行2005年《全面和平协议》，以及于今年1月举行全民投票，是和平解决冲突局势的榜样，也是为人民利益谋求和平和进行合作的典范。我对苏丹接受全民投票的结果并成为第一个承认南苏丹这个年轻国家的国家表示敬意。", "联合国一直支持导致南苏丹独立的进程，并随时准备在此成就基础上再接再厉，继续支持苏丹和南苏丹作出努力，以期找到未决问题的和平解决办法，彼此和平、和睦相处。", "今天，我们接纳南苏丹为国际大家庭成员，与所有其他会员国平等，享有同样的权利并负有同样的责任。联合国的普遍性及其《宪章》所载各项价值观由此得到加强。我深信，南苏丹将帮助促进联合国所倡导的安全、和平、繁荣、各国人民友好与合作的目标。这有利于南苏丹、该区域和整个非洲大陆的人民。", "我祝愿南苏丹共和国人民和政府和平、繁荣和成功。我祝贺他们最近获得独立，并热烈欢迎该国成为联合国大家庭第193个会员国。", "我现在请秘书长潘基文先生阁下发言。", "秘书长(以英语发言)：此时此刻，在这个地方，世界齐集一堂，异口同声地说，“欢迎南苏丹加入国际大家庭。”就在几天前，我有幸出席了在朱巴举行的独立庆典。我感受到了南苏丹这个世界最新国家的精力、潜力和极大的喜悦。在我的眼里，冉冉升起的国旗象征着经历了长期内战、失去了这么多亲人、背井离乡，以及从未放弃希望的南苏丹人民抱有越来越多的希望。", "他们现在到达了一个重要里程碑，但征途仍在继续。是的，前头的任务巨大，但该国的潜力也是如此。它拥有丰富的自然资源，有可耕地，有尼罗河水，当然还有其自豪和勤劳的人民。当我们帮助该区域巩固其成果时，我们承诺帮助南苏丹塑造其未来。我们对苏丹领导人和南苏丹领导人一道表示敬意。他们在举行一次表达人民民主意愿的成功全民投票方面表现出了勇气和决心。", "应当尽快解决边界、资源分享和移民问题。当务之急是，他们应本着他们迄今所表现出的同样的务实精神和领导才能化解其未决分歧。每一方的福祉和未来繁荣都取决于另一方。南北双方有着共同的命运。它们必须看到彼此作为真正伙伴而非对手的未来。", "联合国、非洲联盟、国际非政府组织和各会员国在帮助北南双方致力于和平、发展与人权方面一直是强有力的亲密伙伴。当我们前进时，我们的持续承诺至关重要。让我们一道忠于使人人均享有和平、正义和机会的事业。让我们一道对我们的最新会员国的公民说：“你们现在与我们坐在一起。我们支持你们”。", "主席(以法语发言)：我感谢秘书长的发言。", "我现在请卢旺达常驻代表发言。他将以非洲国家的名义发言。", "加萨纳先生(卢旺达)(以英语发言)：在这个对于联合国和非洲都具有历史意义的时刻，我极为荣幸地以非洲国家的名义发言。我祝贺南苏丹共和国于星期六宣布独立，并于今天被接纳为联合国第193个会员国。", "在过去几十年内战和血腥斗争中，南苏丹人民展示了其勇气和坚忍不拔的精神。我称赞他们在今年1月大规模、和平地参加全民自决公投时所展现的责任感。", "这对于联合国，对于其会员国来说，都是一个借鉴。无论一场冲突持续多久，无论它可能造成多大的悲伤与痛苦，只要有勇气和坚定决心，最终“痛苦过后会有笑容，雨后就会天晴”(引自一首著名的摇滚叙事曲)。经过数十载的痛苦，在250万人为争取独立而献出了生命之后，我们今天正在庆祝一个国家的诞生——这是一个民族的阳光，是年轻一代的笑容。", "如果没有两国元首——南苏丹总统萨尔瓦·基尔·马亚尔迪特阁下和苏丹总统奥马尔·哈桑·艾哈迈德·巴希尔阁下——的卓越领导，这个令人瞩目的成就就不可能实现。他们是两位非凡的政治家。这些年来，他们证实自己意志坚定、热爱和平而且值得信赖。他们克服重重逆境，成功终结了我们大陆上持续时间最长的内战之一，并引导和平进程持续向前迈进，从签署《全面和平协议》到2011年成功组织透明的全民投票。", "今天，在我们纪念那些在苏丹内战中牺牲的人们的时候，我不能不向“Anyanya I”和苏丹人民解放运动的领导人，特别是向Gordon Muortat Mayen先生和约翰·加朗先生表示敬意。他们不论身处何方，肯定都会为他们的斗争取得成功结果而感到无比高兴。", "今天，我们正在庆祝第54个非洲国家被接纳为联合国会员国。在我们为自由和尊严战胜战争而欣喜的同时，我们不能忘记南苏丹共和国是一个正面临诸多巨大挑战的新国家。内战的伤痕仍清晰可见，国际社会有责任支持这个新诞生的国家逐步实现并巩固和平，建立一个民主国家，并通过减贫、建设基础设施以及让国家走上繁荣的正确轨道来实现发展。", "我相信，南苏丹人已明确展现其领导才干、坚强的意志以及聪明才智，有能力迅速向前迈进并实现他们已为之奋斗了几十年的远大理想。他们已经把通过谈判和民主公投来实现独立的理念载入史册。", "在这方面，我们希望南苏丹共和国及其姐妹国——苏丹共和国——会很快解决那些与执行《全面和平协议》有关的悬而未决的问题。那些问题包括：停止敌对行动，以政治手段解决南科尔多凡州问题，根据《全面和平协议》确定阿卜耶伊地区的最终地位，南北边界划分以及举行与青尼罗河州有关的政治协商。我们还要鼓励依傍流经本国国土的同一条河——尼罗河——的两国政府和人民团结起来，顺利解决其他分治后安排问题，例如国籍、自由迁移、民众定居及尊重关于石油与原油资源的协议等问题。", "最后，请允许我衷心感谢秘书长潘基文先生。自其任命以来他就亲自参与苏丹和平进程，并在适当的地方明智选择了合适的人选。实际上，如果没有负责苏丹问题的秘书长特别代表海尔·门克里欧斯先生和担任苏丹全民投票问题小组主席的坦桑尼亚前总统本杰明·姆卡帕阁下的不懈努力，就不可能发生我们所庆贺的这个历史事件。这就是非洲国家集团一致赞同秘书长作为候选人竞选连任的原因之一。", "同样，请允许我感谢另一位非洲之子—南非前总统塔博·姆贝基阁下，他在担任非洲联盟高级别执行小组负责人期间，作出了巨大努力，支持并促进双方谈判。这些谈判旨在全面和公正地解决与《全面和平协议》相关的未决问题——这是持久和平的一项前提条件。", "最后，我再次衷心感谢马亚尔迪特总统领导这个新共和国建设一个民主、公正和繁荣的社会。我们非洲人民将支持他。", "主席(以法语发言)：我现在请吉尔吉斯斯坦常驻代表Talaibek Kydyrov阁下发言，他将代表亚洲国家集团发言。", "Kydyrov先生(吉尔吉斯斯坦)(以英语发言)：我非常荣幸地代表亚洲国家集团并且以该集团7月份主席的身份，欢迎题为“接纳南苏丹共和国为联合国会员国”的决议草案A/65/L.84获得通过。这项决议草案是由卢旺达代表团以非洲国家集团主席的身份提交的。", "亚洲集团各会员国欢迎南苏丹共和国于2011年7月9日宣布独立，从而宣告正式成立，并重申它们坚定致力于维护南苏丹共和国的主权、独立、领土完整和民族团结。", "亚洲集团确认联合国可发挥关键作用，支持南苏丹共和国努力巩固和平，防止重陷暴力，并为此尽早制定一项战略，为国家和平建设优先重点提供支持，以便为可持续和平与发展奠定基础。", "有鉴于此，亚洲集团欢迎安全理事会7月8日在其第6576次会议上通过了第1996(2011)号决议，欢迎自7月9日起设立初始期限为一年的联合国南苏丹特派团，以帮助这个新国家开展长期的建国和发展工作。", "亚洲集团还欢迎秘书长任命其负责南苏丹共和国问题的特别代表，并表示它相信秘书长将通过其特别代表来协调联合国系统在南苏丹共和国的各项活动，并支持国际社会采取协调一致的做法，以实现南苏丹共和国的稳定和平与经济发展。", "我们欢迎苏丹共和国和南苏丹共和国两国政府坚定致力于和平共存，以实现稳定和两国繁荣，并开展对话来解决悬而未决的问题。", "亚洲集团赞赏非洲联盟和次区域组织积极参与巩固苏丹和南苏丹和平与安全的进程，并鼓励它们继续这方面的努力。", "亚洲集团欢迎安全理事会在7月13日通过的第1999(2011)号决议中提出的接纳南苏丹共和国为联合国会员国的建议。我荣幸地代表亚洲集团表示，我们坚决并充分支持通过第65/308号决议，我们认为，该决议将给两国乃至整个区域带来长期稳定。", "最后，请允许我就这一历史性事件向南苏丹人民和国家表示真诚祝贺，并祝愿他们实现真正的繁荣和更美好的未来。", "主席(以法语发言)：我现在请爱沙尼亚常驻代表发言，他将以东欧国家的名义发言。", "Kolga先生(爱沙尼亚)(以英语发言)：我荣幸地代表东欧国家集团发言，欢迎南苏丹共和国成为联合国第193个会员国。", "众所周知，南苏丹迈进这个会堂的历程既非一帆风顺，也非短暂。正因如此，在这一历史性时刻，由里克·马查尔·泰尼-杜尔贡副总统率领的南苏丹代表团今天在此出席会议更为令人赞赏。1月份的全民投票清楚显示，南苏丹人民一致向往自决。那些表达了自己意见的人中几乎99%投票选择了主权。本周末，我们看到梦想成真，人们在朱巴庆祝正式宣布独立和萨尔瓦·基尔总统宣誓就职。", "今天，南苏丹走到了一个时代的终结，它也开始了一个更为重要的纪元，那就是过渡到一个完全正常运转、负责任和繁荣的国家。东欧国家集团准备与南苏丹在这条道路上密切合作。", "我们还愿借此机会，赞扬苏丹政府在整个全民投票过程中发挥的建设性作用，并指望它今后继续合作。我们愿呼吁双方协作，从速解决所有与充分履行《全面和平协议》有关的未决事宜。", "最后但并非最不重要的是，我们愿再次真诚祝贺南苏丹人民及政府，并热烈欢迎他们加入主权国家大家庭。", "主席(以法语发言)：我现在请巴西常驻代表发言，她将以拉丁美洲和加勒比国家的名义发言。", "维奥蒂夫人(巴西)(以英语发言)：我荣幸地代表拉丁美洲和加勒比国家集团，热烈欢迎南苏丹成为联合国第193个会员国。我们要在本次历史性会议上向南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生阁下致意。", "这对于所有苏丹人、非洲大陆乃至联合国来说，都是一个美好的时刻。接纳南苏丹加入本组织是实现所有苏丹人和平与稳定漫长进程的结果。南北苏丹人民及其领导人都应为这一成功结果受到赞扬。在祝贺他们的同时，我们还要鼓励他们实现两国和平安全地毗邻共存并为各自社会的发展而共同努力的远景目标。", "苏丹政府第一个承认了南苏丹的独立，这是未来合作与彼此尊重的良好兆头，这样的未来是我们都想支持并帮助实现的。我们对双方承诺并希望解决《全面和平协议》的未决事宜感到鼓舞。我们赞赏非洲联盟在导致签署《全面和平协议》的整个进程中及《协议》执行期间发挥的重要作用。我们将继续支持前总统塔博·姆贝基领导的非洲联盟高级别执行小组努力协助两国解决未决事宜。", "我们还要赞扬联合国特别是安全理事会不懈努力，在这一历程中帮助苏丹人民。我们必须继续这样做。", "在欢迎南苏丹加入联合国的同时，拉丁美洲和加勒比国家重申，它们与非洲有着历史和文化渊源，致力于并支持该大陆的经济、社会和政治发展。", "我们极为满意地注意到南苏丹共和国庄严承诺遵守并履行《联合国宪章》中所载的各项义务。我们随时准备在联合国活动的各个领域与南苏丹政府及人民展开密切合作。我们一定会向他们提供援助与全力支持。", "我代表拉丁美洲和加勒比国家集团，对南苏丹共和国政府及人民取得成功、实现和平与稳定致以最良好的祝愿。", "主席(以法语发言)：我现在请卢森堡常驻代表发言，他将代表西欧和其它国家集团发言。", "卢卡斯女士(卢森堡)(以法语发言)：我特别荣幸地代表西欧和其它国家集团欢迎南苏丹共和国成为联合国第193个会员国。", "这确实是一个历史性时刻，是南苏丹悠久历史上新篇章的开端。南苏丹人民作出了民主决定，要谋求独立，并且在主权国家大家庭中占据一席之地。为南苏丹独立举行和平公投以及2011年7月9日在来自世界各地众多知名人士见证下宣布独立，是根据2005年所签署《全面和平协议》在南苏丹解决长期冲突并实现其和平进程的最终成果。", "在我们见证一个新国家的诞生时，我们也看到了它面前的挑战。我们鼓励南苏丹领导人接受多元主义和多样性，并且为一个建立在法治和尊重人权和基本自由基础上的民主、公平和包容性社会奠定基础。我们鼓励南苏丹共和国和苏丹共和国两国政府和人民努力处理独立后的各种问题。我们相信，两国当局将迅速达成睦邻友好协议，造福两国人民和整个区域。", "西欧和其他国家集团期待南苏丹在联合国工作中发挥积极的建设性作用。我们承诺继续与南苏丹共和国紧密合作，以期实现持久和平、繁荣和正义，并且满足该国人民的需求和期望。", "主席(以法语发言)：我现在请美利坚合众国代表发言，她将代表东道国发言。", "赖斯女士(美利坚合众国)(以英语发言)：上周六，我有幸在朱巴见证了南苏丹共和国巨大、美丽的国旗第一次升起。人群雀跃欢呼，在这欢呼声中，人们可以听到一个新的国家宣示自己的声音。", "今天，同一面旗帜将自豪地与其它192面旗帜一起飘扬。南苏丹将在主权国家之林中获得它应有的一席之地。我谨代表本组织的东道国美国以及美国人民，热烈欢迎南苏丹共和国成为联合国最新一个会员国。", "这个充满希望的历史性一天是在人们遭受巨大苦难和几乎难以想像的损失之后才到来的。这个世界上最年轻国家的独立是对南苏丹人民的证明。它也是对所有渴望自由者的激励。但愿南苏丹争取自由的斗争能够始终提醒我们去坚持所有人民的普遍权利，铭记那些仍处在枷锁之下的人，帮助人们摆脱饥饿和绝望，并且给世界上支离破碎的地方带来希望。", "南苏丹是一个新生的国家，但它拥有长期的友谊。美国人民与南苏丹人民之间的纽带可以回溯到几十年前。美国在南苏丹努力寻求和平、加强民主并为其所有公民提供机会和创造繁荣时，仍将是它的坚定朋友。我们期待着在南苏丹肩负起作为国际大家庭一个正式主权成员的权利与责任时，同它并肩努力。", "2010年9月在联合国，奥巴马总统说过：“战争的黑暗过后，新的和平与进步的一天就会到来。”与上周六一样，今天对南苏丹人民来说就是这样一个日子。我们将支持他们努力寻求建立植根于两个有生存能力国家毗邻共处的持久和平。我们在他们为持久民主、繁荣与正义创造条件时，将与他们站在一起。我们在他们力求满足其国民随着国旗一同升起的殷切希望时，将与他们合作努力。", "请允许我再次代表美利坚合众国说：“祝贺你们，欢迎你们！”", "主席(以法语发言)：我现在请苏丹常驻代表发言。", "奥斯曼先生(苏丹)(以阿拉伯语发言)：作为苏丹共和国常驻代表，我要再次祝贺南苏丹共和国，并且正如我们在7月8日——亦即南苏丹共和国宣布独立的前一天——所做的那样，重申我们承认这个国家。我昨天说过，我们都是同一个大家庭的一员。我们北方被称为苏丹共和国，而新的国家的名称是南苏丹共和国。我们的名字中都有“苏丹”两个字。正如我昨天所说的那样，我们都是苏丹人，而且仍将是苏丹人。", "尽管我们同属一个家庭，但这个家庭已经发展壮大，而且现在有了两个家园——一个在北方，一个在南方。我们为之努力的正是这一目标。我要向国际社会传递为谋求我们两国人民的福祉而团结一致、开展合作和协调的明确信息。我们两国人民有很多共同之处，他们有共同的历史、血缘、文化和社会。这些共同之处仍将是我们与南苏丹共和国合作的基础。", "我们已经掀开我们历史上新的一页，我们将向所有人伸出双手。南苏丹问题长期以来给我们与许多国家的关系蒙上了阴影，但是，随着这新的一页掀开，我们和我们南苏丹的兄弟们已经把战争带来的痛苦与创伤抛在身后。我们展望未来，并期待同所有受影响国家，特别是较大的国家，保持良好的关系。", "我们知道，我们生活在各种利益相互交织的全球化时代。我们将尊重其他各方的利益，希望他们也尊重我们的利益，包括我们的多元性和意见的多样性，这绝不应当对局势造成影响。", "正如巴希尔总统所说，我们将竭尽全力向新国家南苏丹共和国提供一切力所能及的援助。在我们的母亲大陆，我们不仅在地理上，而且在情感和精神上，都是他们最近的邻国。", "最后，我谨指出，如果没有双方领导人——北方的奥马尔·哈桑·巴希尔总统，南方已故的约翰·加朗·德马比奥、萨尔瓦·基尔·马亚尔迪特总统、里克·马查尔·泰尼-杜尔贡、登格·阿洛尔·库尔、戴维·登格·阿索贝伊、Ezekiel Lol Gatkuoth和其他人——所作的贡献，就不可能取得这一结果。我向他们各位表示敬意。", "南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生的讲话", "主席(以法语发言)：大会现在将听取南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生阁下的讲话。", "南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生在陪同下走上讲台。", "主席(以法语发言)：我非常高兴地代表大会欢迎南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生阁下来到联合国，并请他向大会讲话。", "马查尔·泰尼-杜尔贡先生(南苏丹)(以英语发言)：今天，我既荣幸又谦卑地站在这里，向刚才投票赞成南苏丹加入联合国的大会成员，转达南苏丹共和国人民和政府的深切谢意。我们特别感谢卢旺达共和国以非洲国家集团的名义提出大会刚才通过的决议，并感谢南非共和国介绍该决议。", "作为联合国的新会员，南苏丹共和国保证遵守《联合国宪章》规定的所有义务。我今天向大会保证，南苏丹共和国将成为国际社会一个负责任的成员，并将遵守国际法规定的所有义务。我们正在努力尽快加入所有相关的国际公约和条约，尤其是关于人权的公约和条约。", "在我们庆祝这一时刻之际，我们也缅怀我们已经离世的公民，尤其是约翰·加朗·德马比奥同志。28年前，加朗先生同苏丹人民解放运动和苏丹人民解放军的其他坚定勇敢的领导人一道，发动了英勇的解放斗争。在那场斗争中，数百万人付出了生命，人们饱受难以言状的痛苦。他们的牺牲将不会被忘记。", "那场斗争终于在2005年导致了《全面和平协议》的签署。我谨借此机会向所有对《全面和平协议》的谈判和签署作出贡献的各方表示衷心的赞赏，其中包括美国、肯尼亚、埃塞俄比亚、联合王国、挪威和许多其他国家，当然还有联合国本身。", "《协议》规定举行有关自决的全民投票。全民投票从2011年1月9日开始，按照最高国际标准正式举行。超过98%的投票赞成分离。7月9日，南苏丹共和国宣告独立并被正式承认为主权国家。", "我们非常清楚，如果没有我们许多朋友的承诺与支持，我们就无法走到这一步。我们从心底里感谢所有那些在我们漫长旅途上帮助我们并致力于确保我国和平与安全的国家、多边组织和非政府组织以及它们的资助者。我们向政府间发展管理局(伊加特)的成员国、伊加特伙伴论坛、非洲联盟及其高级别执行小组、欧洲联盟、阿拉伯国家联盟和联合国表示赞扬，它们为全体苏丹人民寻求永久和平的长期努力，提供了坚定的支持和指导。", "在《全面和平协议》的执行进程中存在许多挑战。我们感谢塔博·姆贝基总统、梅莱斯·泽纳维总理，以及美国、挪威、联合王国和其他国家政府，为支持该进程所做的工作。我们也感谢潘基文秘书长始终重视《全面和平协议》的充分执行。我们就安全理事会成员最近通过一项决议，授权设立一个新的南苏丹巩固和平特派团，向它们表示赞赏。我们也感谢大会愿意通过联合国的各个专门机构，支持和补充该特派团的工作。", "这些努力是各国人民为寻求和平而团结一致、彼此合作的重要例子。它们也表明了尊重各国人民自决权的重要性。我代表南苏丹人民和我本人表示，任何言辞都道不尽我们深深的感激之情。凭借他们的毅力和奉献，他们帮助终结了非洲最漫长的内战之一。他们的继续努力和不懈支持对于维持和平将是至关重要的。", "今天，我也要赞扬苏丹共和国总统奥马尔·哈桑·巴希尔元帅展现智慧，签署《全面和平协议》，着手执行该协议——特别是举行有关自决的全民投票——并且带着勇气接受了全民投票的结果。我们还称赞并欢迎苏丹共和国决定成为第一个承认南苏丹共和国主权和独立的国家。", "我们最深切、最诚挚地希望迅速、和平地解决北南双方之间的所有未决问题。我们对我们的前同胞并不怀恨在心。我们仍然是和平伙伴，并且坚持睦邻原则。我们将本着合作精神通过对话化解我们的分歧。特别是，我们必须就继续合作机制、共同边界的划定与互惠管理，以及阿卜耶伊的最终地位等问题达成协议。", "我们将继续同苏丹共和国一道努力，力求为达尔富尔、南科尔多凡州和青尼罗州的人民伸张正义。我们的根本希望和愿望是看到苏丹和南苏丹这两个毗邻国家和平共处。两国必须有生存能力，而且必须保持稳定。我们将力求建设一个确保我们两国能够和平地相互合作和相互支持的未来。", "在经历多年战争之后，我们希望我们的新国家成为促进本区域和平的力量。我们将同我们的所有邻国和平相处。我对这些国家说，南苏丹共和国将是促进安全、正义、自由、共同和平与繁荣的所有人类努力中的一个伙伴。让我们大家为实现这些目标共同努力。", "铭记这一点，我们敦促我们的埃塞俄比亚和厄立特里亚兄弟和平、友好地化解他们的分歧。我们呼吁我们的索马里兄弟姐妹寻求持久和平。我们向所有努力从头开始建立民主和法治的人们致敬。我们鼓励本区域各国齐心协力，争取消除上帝抵抗军这一祸患。我们还与我们的区域伙伴和世界其他国家一道打击恐怖主义。", "当我们努力促进本区域和平时，我们还必须在国内建设一个强大、有生存能力的国家。我们对民主、多元化、包容性、法治以及思想、信仰和言论自由作出了庄严承诺。我们将拥护宽容和团结。我们将爱国，不论我们的文化和族裔背景如何。我们的多样性将使我们感到骄傲，并且是我们的力量源泉，也是我们据以保护每个人自由思考和自由发言权利的基础。", "我们决不会让不稳定威胁吓倒我们。萨尔瓦·基尔·马亚尔迪特总统再次宣布对所有不论出于何种原因拿起过武器的人实行大赦，这样他们就能同我们一道努力建设我们的新国家。我们希望国家太平。我们知道，这意味着我们的政府必须包括所有声音。", "基尔总统于7月9日签署的《过渡宪法》将是争取为南苏丹共和国制定一部永久宪法的广泛协商进程的起点。这部宪法必须满足我们全体人民的愿望。这些协商和永久宪法的制定将在一个定于近期内任命的基础广泛的政府领导下进行。我国政府将优先重视公共利益。透明度和问责制将是重中之重。", "我们面临一个极为艰巨的议程。我们必须首先履行我们所承担的提供安全和扩大法治的职责。我们还必须改变我国农村地区面貌。农业将是一个主要投资领域，也是我们据以使我国经济多样化的基础。我们必须为我们的所有儿童提供免费普及基础教育。我们必须将初级保健服务扩大到南苏丹全国各地。我们必须建设我们的物质基础设施，重点是公路。我们必须在一个讲求透明度的文化中建立我们的机构。我们必须提升妇女在社会中的作用和目标。我们必须促成内部和解与团结。", "当我们开始我们的征程时，无论我们的希望多么强烈，我们都很难想象我们今天达到这一程度。今天，我们必须一道向前迈进，以实现我们人民的愿望。我们立志建立一个使儿童能够无所畏惧地上学的南苏丹。我们立志建立一个为每个住宅供电供水的南苏丹。我们立志建立一个使每个人都有机会获得保健服务和每个家庭餐桌上都有足够食物的南苏丹。我们立志建立一个使我们的所有儿女都能如兄弟姐妹般相处、我们的国家与我们的邻国和世界能够和平共处的南苏丹。", "这就是我们的志向。从此时此刻起，我们的任务就是实现这一志向。我们感谢我们的伙伴和朋友持续帮助我们进行这一努力。我们欢迎和需要这种帮助。我们非常感谢他们迄今的投入，并感谢他们重新承诺继续提供支持。我们可以向他们保证，他们的投资将受到保护，他们的努力将受到尊重，他们的意见将受到重视。", "我们现在正全心全意地致力于为我们的儿童建立更美好的未来。在今天在此齐聚一堂的国际社会的帮助和支持下，我们深信，我们定会取得成功。", "主席(以法语发言)：我谨代表大会感谢南苏丹共和国副总统刚才所作的发言。", "南苏丹共和国副总统里克·马查尔·泰尼-杜尔贡先生在陪同下离开讲台。", "主席(以法语发言)：为纪念这一历史性时刻，我谨通知各会员国，在本次会议休会之后，紧接着将在代表入口处前举行南苏丹共和国国旗升旗仪式。", "上午11时10分散会。" ]

[ "President:\tMr. Deiss\t(Switzerland)", "The meeting was called to order at 10.10 a.m.", "Agenda item 114", "Admission of new Members to the United Nations", "Application for admission (A/65/900)", "Letter from the President of the Security Council (A/65/905)", "Draft resolution (A/65/L.84)", "The President (spoke in French): I should like to invite the General Assembly to consider the positive recommendation by the Security Council on the application for admission to membership in the United Nations of the Republic of South Sudan.", "The Security Council has recommended the admission of the Republic of South Sudan to membership in the United Nations, as stated in document A/65/905. In this connection, a draft resolution has been issued as document A/65/L.84.", "I now give the floor to the representative of South Africa to introduce draft resolution A/65/L.84.", "Mr. Radebe (South Africa): I wish to express South Africa’s gratitude to the Permanent Representative of Rwanda, His Excellency Mr. Eugène-Richard Gasana, Chair of the Group of African States for the month of July, for affording my delegation the singular honour of introducing this historic draft resolution on behalf of African Member States.", "On 9 July 2011, the world witnessed the birth of a new State of Africa, the Republic of South Sudan. After decades of war that caused millions of deaths, in 2005 the people of the Sudan made a historic breakthrough when they agreed on a plan to resolve their differences and begin a journey towards lasting peace. That agreement was enshrined in the Comprehensive Peace Agreement, entered into between the Government of the Republic of the Sudan and the Sudan People’s Liberation Movement. One of the key pillars of the Agreement was the right to a referendum on the self-determination and independence of South Sudan.", "The General Assembly’s adoption of resolution 1514 (XV), on 14 December 1960, was a significant milestone in the struggle for decolonization, self-determination and independence. The resolution served as an inspiration to the majority of people on the African continent and elsewhere in their struggle against colonialism, oppression and apartheid.", "The founding fathers and mothers of Africa agreed in the founding documents of the Organization of African Unity and the Constitutive Act of its successor, the African Union, to maintain colonial borders inherited after independence, given the sensitivities and complexities of that colonial inheritance. It was for that reason that the African Union, immediately following the 9 January referendum on self-determination by the people of southern Sudan, adopted a solemn declaration in which it recognized the exceptional challenges inherited from the colonial past, as well as the unique nature of the national question confronting the people of the Sudan. In that regard, African heads of State and Government acknowledge that the Sudan represents an exceptional case that does not negate the sacrosanct principle of respect for colonial borders.", "I stand here before the General Assembly with the distinct honour to introduce, on behalf of the Group of African States, the draft resolution on the admission of the Republic of South Sudan to membership in the United Nations, comfortable in the knowledge that this act in no way creates a precedent for secessionist tendencies. It was for this reason that the Republic of the Sudan was the first country to recognize the independence and sovereignty of its new neighbour, the Republic of South Sudan. Draft resolution A/65/L.84 has the unanimous and full support of the African States Members of the United Nations, as well as of the African Union.", "As Africans, we continue to be grateful for the role that multilateral organizations in general, and the United Nations in particular, have played in our quest for independence, freedom and self-determination. We reaffirm our collective faith in and commitment to the fundamental principles of the United Nations Charter.", "With the support of the entire continent and all peace-loving people across the world, we present for the Assembly’s consideration the draft resolution contained in document A/65/L.84, on the admission of the Republic of South Sudan for membership in the United Nations. History has bestowed on all of us here the rare and distinct honour of witnessing the admission of the Republic of South Sudan as the 193rd Member State of the United Nations.", "The President (spoke in French): The General Assembly will now take a decision on draft resolution A/65/L.84, entitled “Admission of the Republic of South Sudan to membership in the United Nations”. I give the floor to the representative of the Secretariat.", "Mr. Nakano (Department for General Assembly and Conference Management): I should like to announce that, since the submission of the draft resolution and in addition to those delegations listed in document A/65/L.84, the following countries have also become sponsors of the draft resolution: Afghanistan, Andorra, Argentina, Armenia, the Bahamas, Bangladesh, Barbados, Canada, China, Costa Rica, Cuba, the Czech Republic, Ecuador, France, Grenada, Guatemala, Guyana, Honduras, Iceland, India, Ireland, Jamaica, Kazakhstan, Kyrgyzstan, Mexico, Montenegro, the Netherlands, Panama, Peru, Poland, the Republic of Korea, Romania, the Russian Federation, Singapore, Switzerland, Timor-Leste, Trinidad and Tobago, Turkey and Ukraine.", "The President (spoke in French): May I take it that the General Assembly accepts the recommendation of the Security Council and adopts draft resolution A/65/L.84 by acclamation?", "Draft resolution A/65/L.84 was adopted (resolution 65/308).", "The President (spoke in French): I therefore declare the Republic of South Sudan admitted to membership of the United Nations.", "I request the Chief of Protocol to escort the delegation of the Republic of South Sudan to its place in the General Assembly Hall.", "The delegation of the Republic of South Sudan was escorted to its place in the General Assembly Hall.", "The President (spoke in French): It is a great honour for me to welcome, on behalf of the General Assembly, the Republic of South Sudan as a new Member of the United Nations. This is a historic and joyous moment not only for Africa, but also for the community of nations. Today, we welcome among us this young country, whose independence was formally declared in Juba, its capital, last Saturday. That is remarkable.", "The independence of South Sudan is in fact the culmination of a process launched several years ago. The negotiation and implementation of the 2005 Comprehensive Peace Agreement, as well as the referendum that was held in January, are examples of the peaceful settlement of a conflict situation and a model of peace and cooperation for the good of peoples. I pay tribute to the Sudan for having accepted the outcome of the referendum and, moreover, for having been the first country to recognize that young nation.", "The United Nations backed the process leading to independence, and is ready to build on that success and to continue to support the Sudan and South Sudan in their effort to find a peaceful solution to outstanding issues and to live in peace and harmony.", "Today, we welcome South Sudan to the community of nations, equal to all other Member States and with the same rights and responsibilities. The universality of the United Nations and the values enshrined in its Charter are thereby enhanced. I am confident that South Sudan will help to promote the objectives of security, peace, prosperity, friendship and cooperation among peoples, as advocated by the United Nations. That is for the good of the people of South Sudan, the region and the entire African continent.", "I wish the people and the Government of the Republic of South Sudan peace, prosperity and success. I congratulate them on their recent independence, and wish them a warm welcome as the 193rd Member State in the community of the United Nations.", "I now give the floor to the Secretary-General, His Excellency Mr. Ban Ki-moon.", "The Secretary-General: At this moment, in this place, the world gathers to say in one voice, “Welcome South Sudan. Welcome to the community of nations”. Just days ago, I was honoured to attend the independence ceremony in Juba. I felt the energy, the potential and the pure joy of the world’s newest nation. In my eyes, the rising flag symbolized the rising hopes of the people of South Sudan — all those who endured the long civil war, all those who lost so many loved ones, all those who left their homes and fled their communities, and all those who held fast to hope.", "Now they have reached an important milestone, but the journey continues. Yes, the task ahead is great, but so, too, is the country’s potential, with its abundant natural resources, its arable land, the waters of the Nile and, of course, its proud and hard-working people. We pledge to help South Sudan shape its future as we help the region consolidate its gains. Together, we salute the leaders of both the Sudan and South Sudan. They showed courage and commitment in bringing about a successful referendum that expressed the democratic will of the people.", "Matters of borders, the sharing of resources and migration should be dealt with as soon as possible. It is imperative that they resolve their outstanding differences with the same pragmatism and leadership they have each shown so far. The well-being and future prosperity of each depends on the other. South and North share a common destiny. They must see a future as true partners, not as rivals.", "The United Nations, the African Union, international non-governmental organizations and individual Member States have been strong and close allies in helping the North and South work towards peace, development and human rights. Our continuing commitment will be essential as we go forward. Together, let us stay true to the cause of peace, justice and opportunity for all. Together, let us say to the citizens of our newest Member State, “You now sit with us. We stand with you”.", "The President (spoke in French): I thank the Secretary-General for his statement.", "I now give the floor to the Permanent Representative of Rwanda, who will speak on behalf of the African States.", "Mr. Gasana (Rwanda): It is a great honour and a privilege for me to speak on behalf of the African States at this historic moment for the United Nations and for Africa. I congratulate the Republic of South Sudan on the proclamation of its independence on Saturday and on its admission today as the 193rd State Member of the United Nations.", "The people of South Sudan have demonstrated courage and resilience over decades of civil war and bloody struggle, and I commend them for the sense of responsibility they showed last January in massively and peacefully participating in the referendum for their self-determination.", "This is a lesson for the United Nations and for its Members. No matter how many years a conflict may last, no matter how much sorrow and bitterness it may cause, ultimately, with courage and determination, “there should be laughter after pain, there should be sunshine after rain”, to quote a popular rock ballad. After decades of pain, with two and half million people martyred for independence, we are now celebrating the birth of a nation — sunshine for a people and a smile for younger generations.", "This resounding success would not have been achieved without the remarkable leadership of two heads of State, two remarkable statesmen: President Salva Kiir Mayardit of South Sudan and President Omer Hassan Al-Bashir of the Sudan. They have demonstrated over the years that they are men of commitment, men of peace and men of honour. Against all odds, they managed to put an end to one of the longest civil wars on our continent and steered the peace process, from the signing of the Comprehensive Peace Agreement (CPA) in 2005 to the successful organization of a transparent referendum in 2011.", "As we commemorate those who lost their lives in the Sudanese civil war, I cannot fail today to pay tribute to the leaders of Anyanya I and of the Sudan People’s Liberation Movement, particularly Gordon Muortat Mayen and John Garang, who, wherever they may be, are surely more than happy at this successful outcome to their struggle.", "We are today celebrating the admission of the fifty-fourth African State to membership of the United Nations. While we rejoice at the victory of freedom and dignity over war, we cannot forget that the Republic of South Sudan is a new State that is facing enormous challenges. The scars of the civil war are still palpable, and the community of nations has the duty to support this newborn State in the process of securing and consolidating peace, creating a democratic State and achieving development by reducing poverty, building infrastructures and putting the country on the right track to prosperity.", "The South Sudanese, I believe, demonstrably have the leadership, strength of will and resources to rapidly move forward and to secure the heroic ideals they have fought for decades to achieve. They have added to the annals of history the notion of independence through a negotiated and democratic referendum.", "In that respect, we express the hope that the Republic of South Sudan, together with its sister country the Republic of the Sudan, will soon settle the issues that are outstanding in connection with the implementation of the CPA. Those issues include a cessation of hostilities and a political settlement in Southern Kordofan, the final status of Abyei in accordance with the CPA, the demarcation of the North-South boundary, and political consultation on Blue Nile. We further encourage the two Governments and the two peoples, united by the same Nile streaming through their land, to smoothly address other post-secession arrangements, such as the issue of nationality, free movement of people, and the establishment of and respect for agreements on oil and petroleum resources.", "Let me conclude by expressing our sincere appreciation to Mr. Ban Ki-moon, the Secretary-General, for his personal involvement in the Sudan peace process since his appointment and for his wisdom in choosing the right men in the right places. Indeed, this historic event could not have been celebrated without the tireless efforts of Haile Menkerios, his Special Representative for the Sudan, and of former President Benjamin Mkapa of Tanzania, Chair of his panel on the referendums in the Sudan. This is one of the reasons for the unanimous endorsement by the African Group of the Secretary-General’s candidature for a second term.", "Similarly, allow me to voice our gratitude to another son of Africa, former President Thabo Mbeki of South Africa, for the tremendous work he has done at the helm of the African Union High-Level Implementation Panel to support and facilitate both parties in their negotiations aimed at the full and just resolution of the remaining CPA-related issues — a prerequisite for a lasting peace.", "Finally, we extend our heartfelt appreciation once again to President Mayardit as he leads the new Republic in building a democratic, just and prosperous society. We, Africa, will stand by him.", "The President (spoke in French): I now give the floor to His Excellency Mr. Talaibek Kydyrov, Permanent Representative of Kyrgyzstan, who will speak on behalf of the Group of Asian States.", "Mr. Kydyrov (Kyrgyzstan): I have the great honour, on behalf of the Asian Group and in my capacity as Chair of the Group for the month of July, to welcome the adoption of resolution 65/308, entitled “Admission of the Republic of South Sudan to membership in the United Nations”, submitted by the delegation of the Republic of Rwanda in its capacity as Chair of the African Group.", "The Member States of the Asian Group welcome the establishment of the Republic of South Sudan on 9 July 2011, when it proclaimed its independence, and reaffirm their strong commitment to the sovereignty, independence, territorial integrity and national unity of the Republic of South Sudan.", "The Asian Group recognizes the vital role of the United Nations in supporting the Republic of South Sudan in its efforts to consolidate peace and prevent a return to violence and, therefore, in developing at the earliest a strategy in support of national peacebuilding priorities, in order to lay the foundation for sustainable peace and development.", "In view of that, the Asian Group welcomes resolution 1996 (2011), adopted by the Security Council at its 6576th meeting, on 8 July, and the establishment, as of 9 July, of the United Nations Mission in the Republic of South Sudan (UNMISS) for an initial period of one year to help the new nation in its long-term State-building and development.", "The Group also welcomes the appointment by the Secretary-General of his Special Representative for the Republic of South Sudan, and expresses its confidence that the Secretary-General, through his Special Representative, will coordinate all activities of the United Nations system in the Republic of South Sudan, and support a coherent international approach to a stable peace and economic development in the Republic of South Sudan.", "We welcome the strong commitment of both the Government of the Republic of the Sudan and the Republic of South Sudan to peaceful coexistence in order to achieve stability and mutual prosperity, and to engaging in dialogue to resolve the outstanding issues.", "The Asian Group expresses its appreciation to the African Union and subregional organizations for their active engagement in consolidating peace and security, both in the Sudan and in South Sudan, and encourages them to continue these efforts.", "The Asian Group welcomes the recommendation of the Security Council in its resolution 1999 (2011), adopted on 13 July, that the Republic of South Sudan be admitted to membership of the United Nations. On behalf of the Asian Group, I have the honour to express our strong and full support for the adoption of resolution 65/308, which we believe will bring long-term stability to both countries and the region as a whole.", "In conclusion, let me express our sincere congratulations to the people and the country of South Sudan for this historic event and wish them real prosperity and a better future.", "The President (spoke in French): I now give the floor to the Permanent Representative of Estonia, who will speak on behalf of the Eastern European States.", "Mr. Kolga (Estonia): I have the honour to speak on behalf of the Group of Eastern European States to welcome the Republic of South Sudan as the 193rd State Member of the United Nations.", "As we all know, the journey of South Sudan to this Hall has been neither easy nor short. The presence of the delegation of South Sudan here today, headed by Vice-President Riek Machar Teny-Dhurgon, is therefore all the more appreciated at this historic moment. The referendum in January was a clear sign that the people of South Sudan are united in their dream for self-determination. Almost 99 per cent of those who expressed themselves voted for sovereignty. This weekend, we saw the dream come true, with people in Juba celebrating when independence was officially declared and President Salva Kiir sworn into office.", "South Sudan stands at the end of one era today, but only at the beginning of an even more important one, which is transition to a fully functional, responsible and prosperous nation State. The members of the Group of Eastern European States are prepared to work in close cooperation with South Sudan on this road.", "We would also like to take this opportunity to commend the Government of the Sudan for its constructiveness throughout the referendum process and to count on its continued cooperation in the future. We would like to call on both sides to engage in resolving all the outstanding issues related to the full implementation of the Comprehensive Peace Agreement in an expedited manner.", "Last but not least, once again we would sincerely like to congratulate the people and the Government of South Sudan and to wish them a warm welcome to the family of sovereign nations.", "The President (spoke in French): I now give the floor to the Permanent Representative of Brazil, who will speak on behalf of the Latin American and Caribbean States.", "Mrs. Viotti (Brazil): On behalf of the Group of Latin American and Caribbean States, I have the honour to express our warmest welcome to the Republic of South Sudan as the 193rd Member of the United Nations. We extend our greetings at this historic meeting to His Excellency Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan.", "This is a fine moment for all Sudanese, for the African continent and for the United Nations. The admission of South Sudan to the Organization is the culmination of a long process to bring peace and stability to all Sudanese. The peoples of the Sudan, both North and South, and their leadership are to be commended for this successful outcome. As we congratulate them, we also encourage them to fulfil the vision of two States living side by side in peace and security and working together for the development of their societies.", "The fact that the Government of the Sudan was the first to recognize the independence of South Sudan bodes well for a future of cooperation and mutual respect, which we all want to support and to help usher in. We are encouraged by the commitment and desire of both parties to the resolution of the pending issues of the Comprehensive Peace Agreement (CPA). We appreciate the important role played by the African Union throughout the process that led to the CPA and during its implementation. We will continue to support the efforts of the African Union High-Level Implementation Panel, under the leadership of former President Thabo Mbeki, to assist the two States in resolving outstanding issues.", "We also praise the tireless efforts of the United Nations, and in particular of the Security Council, in helping the Sudanese people in their journey. We must continue to do so.", "In welcoming the Republic of South Sudan to the United Nations, the Latin American and Caribbean States renew their historical and cultural bonds with Africa and their commitment to, and solidarity with, the continent’s economic, social and political development.", "We note with great satisfaction the solemn commitment of the Republic of South Sudan to abiding by and fulfilling the obligations contained in the Charter of the United Nations. We stand ready to cooperate closely with the Government and people of South Sudan in all areas of United Nations activity. They can count on our solidarity and our full support.", "On behalf of the Group of Latin American and Caribbean States, I express our best wishes for success, peace and prosperity to the Government and people of the Republic of South Sudan.", "The President (spoke in French): I now give the floor to the Permanent Representative of Luxembourg, who will speak on behalf of the Group of Western European and other States.", "Ms. Lucas (Luxembourg) (spoke in French): It is a special honour for me to welcome, on behalf of the Group of Western European and other States, the Republic of South Sudan as the 193rd Member of the United Nations.", "This is a truly historic moment and the beginning of a new chapter in the long history of South Sudan, whose people have taken the democratic decision to assume their independence and to take their place in the family of sovereign nations. The peaceful referendum for South Sudan’s independence and the declaration of independence on 9 July 2011, witnessed by numerous dignitaries from all over the world, were the culmination of a process to settle a long-standing conflict and to achieve peace in South Sudan, in conformity with the Comprehensive Peace Agreement, signed in 2005.", "As we witness the birth of a new State, we also see the challenges ahead. We encourage South Sudan’s leaders to embrace pluralism and diversity and to lay the foundation for a democratic, fair and inclusive society based on the rule of law and respect for human rights and fundamental freedoms. We encourage the Governments and the peoples of the Republic of South Sudan and of the Republic of the Sudan in their efforts to address post-independence issues. We trust that the authorities of the two countries will swiftly reach good-neighbourly agreements, for the benefit of their peoples and the wider region.", "The Group of Western European and other States looks forward to South Sudan playing an active and constructive role in the work of the United Nations. We pledge to continue working closely with the Republic of South Sudan with a view to achieving durable peace, prosperity, and justice and to meeting the needs and expectations of its people.", "The President (spoke in French): I now give the floor to the representative of the United States of America, who will speak on behalf of the host country.", "Ms. Rice (United States of America): On Saturday, I had the privilege of standing in Juba and watching as the huge, beautiful flag of the Republic of South Sudan was raised for the first time. The crowd roared, and in that wave of joy one could hear a new nation claiming its voice.", "Today, that same flag will fly proudly among 192 others. South Sudan will take its rightful place among the community of sovereign nations. On behalf of the United States, the host country to the Organization, and the American people, I warmly welcome the Republic of South Sudan as the newest Member of the United Nations.", "This historic and hopeful day was reached only after great suffering and almost unimaginable loss. The independence of the world’s newest country is a testament to the people of South Sudan. It is also an inspiration to all who yearn for freedom. May the memory of South Sudan’s own struggle for liberty always serve as a reminder to us to insist on the universal rights of all people, to remember those still in shackles, to lift up the hungry and the desperate and to bring hope to the broken places of the world.", "South Sudan’s statehood is new, but its friendship is not. The bonds between the American people and the people of South Sudan go back many decades. The United States will remain a steadfast friend as South Sudan works to pursue peace, strengthen its democracy and provide opportunity and prosperity for all of its citizens. We look forward to working alongside South Sudan as it shoulders the rights and the responsibilities of a full and sovereign member of the community of nations.", "At the United Nations in September 2010, President Obama said, “After the darkness of war, there can be a new day of peace and progress”. Today, like Saturday, is such a day for the people of South Sudan. We will support them as they work for an enduring peace rooted in coexistence between two viable States. We will stand by them as they forge the conditions for lasting democracy, prosperity and justice. And we will partner with them as they seek to meet the high hopes of their citizens that have been raised along with their flag.", "On behalf of the United States of America, let me say again, congratulations, and welcome.", "The President (spoke in French): I now give the floor to the Permanent Representative of the Sudan.", "Mr. Osman (Sudan) (spoke in Arabic): As the Permanent Representative of the Republic of the Sudan, I should like once again to congratulate the Republic of South Sudan and to reaffirm, as we did on 8 July — the day before the proclamation of the independence of the Republic of South Sudan — our recognition of that country. I said yesterday that we are members of the same family. We in the north are called the Republic of the Sudan; the name of the new State is the Republic of South Sudan. We have Sudan in common. We are all Sudanese and will remain Sudanese, as I said yesterday.", "While we are the same family, that family has grown and now has two homes — one in the north and one in the south. It is to that end that we have worked. I have a very clear message of solidarity, cooperation and coordination for the well-being of our two peoples to convey to the international community. Our two peoples have much in common — their history, blood, culture and society. These will remain the bases of our cooperation with the Republic of South Sudan.", "We have turned a new page of our history, and we extend our hand to all. This issue has cast a long shadow over our relations with many States, but as this new page turns, we and our brothers in South Sudan have put bitterness and the wounds of war behind us. We look forward to the future and to excellent relations with all the countries that have been affected, in particular the larger States.", "We know that we are living in an era of globalization, in which all interests are interrelated. We will respect the interests of other parties, in the hope that they will respect ours, including our diversity and the diversity of opinions, which should in no way affect the situation.", "As President Al-Bashir has said, we will make every possible effort to provide whatever assistance we can to the new State of the Republic of South Sudan. We are its closest neighbour in our mother continent, not just geographically but also in terms of our feelings and spirit.", "I would like to conclude by saying that this outcome would not have been possible without the contributions of leaders on both sides — President Omer Hassan Al-Bashir in the North and, in the South, the late John Garang de Mabior, President Salva Kiir Mayardit, Riek Machar Teny-Dhurgon, Deng Alor Kuol, David Deng Athorbei, Ezekiel Lol Gatkuoth and others. I pay tribute to them all.", "Address by Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan", "The President (spoke in French): The Assembly will now hear an address by His Excellency Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan.", "Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan, was escorted to the rostrum.", "The President (spoke in French): On behalf of the General Assembly, I have the great pleasure to welcome to the United Nations His Excellency Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan, and to invite him to address the General Assembly.", "Mr. Machar Teny-Dhurgon (South Sudan): I am both honoured and humbled to stand here today to convey the profound gratitude of the people and Government of the Republic of South Sudan to the members of the General Assembly, who have just voted in favour of South Sudan’s accession to membership of the United Nations. We are particularly grateful to the Republic of Rwanda for proposing, on behalf of Group of African States, the resolution that the Assembly has just adopted, as well as to the Republic of South Africa for introducing the resolution.", "As a new Member of the United Nations, the Republic of South Sudan undertakes to respect all of its obligations under the Charter of the United Nations. I pledge to the Assembly today that the Republic of South Sudan will be a responsible member of the international community and will respect all of its obligations under international law. We are working to accede as quickly as possible to all relevant international conventions and treaties, not least those related to human rights.", "As we celebrate this moment, we also honour the memory of our citizens who are no longer with us, not least my comrade John Garang de Mabior. Twenty-eight years ago, Mr. Garang, alongside other brave and resolute leaders of the Sudan People’s Liberation Movement and Sudan People’s Liberation Army, launched a valiant struggle for liberation. That struggle cost our people millions of lives and untold suffering. Their sacrifices will not be forgotten.", "Eventually, in 2005, the struggle culminated in the signing of the Comprehensive Peace Agreement (CPA). I would like to take this opportunity to express our sincere appreciation to all those who contributed to the negotiation and signing of the CPA, including the United States, Kenya, Ethiopia, the United Kingdom, Norway and many others, including, of course, the United Nations itself.", "The Agreement provided for a self-determination referendum to take place. That referendum was duly held beginning on 9 January 2011, and was conducted according to the highest international standards. More than 98 per cent of the votes were cast in favour of separation. On 9 July, the Republic of South Sudan declared its independence and was duly recognized as a sovereign State.", "We are deeply aware that we would not have been able to reach this point without the commitment end support of our many friends. We say thank you from the bottom of our hearts to all of the countries and multilateral and non-governmental organizations, and those who fund them, which helped us during our long journey and were committed to securing peace and security in our country. We pay tribute to the member countries of the Intergovernmental Authority on Development (IGAD), the IGAD Partners Forum, the African Union and its High-Level Implementation Panel, the European Union, the Arab League of States and the United Nations for their steadfast support and guidance to all of the Sudanese people in their long search for permanent peace.", "The Comprehensive Peace Agreement implementation process has involved many challenges. We are grateful to President Thabo Mbeki, Prime Minister Meles Zenawi and the Governments of the United States, Norway and the United Kingdom, among others, for their work in support of the process. We also thank Secretary-General Ban Ki-moon for his constant focus on the full implementation of the Comprehensive Peace Agreement. We express our appreciation to the members of the Security Council for recently adopting a resolution mandating a new peace consolidation mission in South Sudan. And we thank the General Assembly for its willingness to support and supplement the work of that mission through the specialized agencies of the United Nations.", "Those efforts are an important example of unity and collaboration among all peoples in the pursuit of peace. They also demonstrate the importance of respecting the right of all peoples to self-determination. On behalf of the people of South Sudan and on my own behalf, there are no words sufficient to express the depth of our gratitude. Through their persistence and dedication, they have helped to bring an end to one of Africa’s longest civil wars. Their continued efforts and unyielding support will be crucial to sustain the peace.", "I would also like to pay tribute today to Field Marshal Omer Hassan Al-Bashir, President of the Republic the Sudan, for his wisdom in signing the Comprehensive Peace Agreement, for proceeding with its implementation — in particular the holding of the self-determination referendum — and for courageously accepting the outcome of the referendum vote. We also applaud and welcome the Republic of the Sudan’s decision to be the first State to recognize the sovereignty and independence of the Republic of South Sudan.", "It is our deepest and most sincere wish to resolve all outstanding matters between the North and the South swiftly and peacefully. We do not harbour bitterness towards our former compatriots. We remain partners in peace and committed to the principles of good neighbourliness. We will work out our differences through dialogue and in a spirit of cooperation. In particular, we must agree on mechanisms for continued cooperation, the demarcation and mutually beneficial management of the common border and the final status of Abyei.", "We will continue to work together with the Republic of the Sudan to seek justice for the people of Darfur, Southern Kordofan and Blue Nile. Our fundamental hope and desire is to see peaceful coexistence between the two neighbouring States of the Sudan and South Sudan. Both States must be viable and stable. We will strive to build a future in which our two countries can work cooperatively in peace with one another and be mutually supportive.", "After many years of war, we want our new country to be a force for peace in our region. We shall live in peace with all our neighbours. To them, I say that the Republic of South Sudan will be a partner in all human endeavours that promote security, justice, liberty, common peace and prosperity. Let us all work together towards such ends.", "With that in mind, we urge our brothers in Ethiopia and Eritrea to resolve their differences peacefully and amicably. We appeal to our brothers and sisters in Somalia to seek lasting peace. We salute all those who work to build democracy and the rule of law from the ground up. We encourage all countries of the region to come together to eradicate the scourge of the Lord’s Resistance Army. We will also join our regional partners and the rest of the world in the fight against terrorism.", "While we work to foster peace in our region, we must also build a strong and viable nation at home. We have made a solemn commitment to democracy, pluralism, inclusiveness, the rule of law, and the freedoms of thought, belief and expression. We will embrace tolerance and unity. We will be patriotic regardless of our cultural and ethnic backgrounds. Our diversity will be a source of pride and strength and the basis upon which we protect everyone’s right to think and speak freely.", "We must not allow the threat of instability to deter us. President Salva Kiir Mayardit has reiterated his declaration of amnesty to all those who have taken up arms for whatever reason, so that they can join us in the work of building our new nation. We want a peaceful nation. We know that that means including all voices in our Government.", "The Transitional Constitution, signed by President Kiir on 9 July, will be the starting point for an extensive consultation process to produce a permanent constitution for the Republic of South Sudan. It must be a constitution that fulfils the aspirations of all our people. Those consultations and the enactment of the permanent constitution will take place under a broad-based Government, to be appointed in the near future. Our Government will prioritize the public interest. Transparency and accountability will be central.", "We have a daunting agenda in front of us. We must first fulfil our responsibility to provide security and extend the rule of law. We must also transform our rural areas. Agriculture will be a major area of investment and the basis on which we diversify our economy. We must provide free universal basic education to all our children. We must extend primary health care across the whole of South Sudan. We must build our physical infrastructure, with a focus on roads. We must build our institutions in a culture of transparency. We must enhance the role of women and their purpose in society. And we must enable internal reconciliation and unity.", "When we started our journey, we could hardly imagine that the road would lead us to this point, however much we hoped. Now, we must move forward together to fulfil our people’s aspirations. We aspire to a South Sudan where children go to school without fear. We aspire to a South Sudan where every house is provided with electricity and water. We aspire to a country where everybody has access to health care and where every family has enough food on the table. We aspire to a South Sudan where all our sons and daughters live in brotherhood and sisterhood and where our nation lives at peace with our neighbours and the world.", "That is our aspiration. Our task from this moment forward is to make it a reality. To our partners and friends, we are grateful for their continued help in that endeavour, which is both welcome and needed. We very much appreciate their dedication to date and their", "renewed commitment to continue with their support. We can assure them that their investments will be protected, their efforts respected and their advice heeded.", "We now dedicate ourselves wholeheartedly to building a better future for our children. With the help and support of the international community together here today, we are confident of our success.", "The President (spoke in French): On behalf of the General Assembly, I wish to thank the Vice-President of the Republic of South Sudan for the statement that he has just made.", "Mr. Riek Machar Teny-Dhurgon, Vice-President of the Republic of South Sudan, was escorted from the rostrum.", "The President (spoke in French): To mark this historic moment, I should like to inform Member States that the flag of the Republic of South Sudan will be raised at a ceremony that will take place in front of the delegates’ entrance immediately following the adjournment of this meeting.", "The meeting rose at 11.10 a.m." ]

[ "Chairman: Mr. Deiss (Switzerland)", "The meeting was called to order at 10.10 a.m.", "Agenda item 114", "Admission of new Members to the United Nations", "The President: I should like to invite the General Assembly to consider the positive recommendation of the Security Council concerning the application of the Republic of South Sudan for admission to membership in the United Nations.", "As indicated in document A/65/905, the Security Council recommends the admission of the Republic of South Sudan to membership in the United Nations. Accordingly, a draft resolution has been issued under the symbol A/65/L.84.", "I now give the floor to the representative of South Africa to introduce draft resolution A/65/L.84.", "Mr. Radbe (South Africa): I would like to express South Africa's gratitude to His Excellency Mr. Eugene-Richard Gasana, Permanent Representative of Rwanda, Chairman of the Group of African States for the month of July, for the privilege of introducing this historic draft resolution on behalf of African Member States.", "On 9 July 2011, the world witnessed the birth of a new African country, the Republic of South Sudan. After decades of war, which claimed millions of lives, the people of the Sudan made a historic breakthrough in 2005, agreeing on a plan to resolve their differences and embarking on the path of lasting peace. This agreement is contained in the Comprehensive Peace Agreement between the Government of the Republic of the Sudan and the Sudan People ' s Liberation Movement. One of the key pillars of the Agreement is the right to a referendum on self-determination and the independence of South Sudan.", "Resolution 1514 (XV), adopted by the General Assembly on 14 December 1960, was an important milestone in the struggle for decolonization, self-determination and independence. The resolution was an inspiration for the majority of people on the African continent and elsewhere in their struggle against colonialism, oppression and apartheid.", "The male and female founders of Africa agreed in the founding documents of the Organization of African Unity and in the Constitutive Act of its successor organization, the African Union, to maintain the colonial borders inherited after independence, given the sensitivity and complexity of that colonial legacy. For that reason, immediately after the referendum of the people of South Sudan on self-determination on 9 January, the African Union adopted a solemn declaration that recognized the special challenges inherited from the colonial past and the unique nature of the national problems facing the people of the Sudan. In that regard, African heads of State and Government recognized that the Sudan was a special case and did not negate the sacred principle of respect for colonial borders.", "It is a great honour for me, on behalf of the Group of African States, to introduce here in the General Assembly the draft resolution on the admission of the Republic of South Sudan to membership in the United Nations and to be reassured to learn that this action in no way constitutes a precedent for the separatist tendencies. For that reason, the Republic of the Sudan became the first country to recognize the independence and sovereignty of its new neighbour, the Republic of South Sudan. Draft resolution A/65/L.84 enjoys the unanimous and full support of the African States Members of the United Nations and the African Union.", "We in Africa remain grateful for the role played by all multilateral organizations, in particular the United Nations, in our quest for independence, freedom and self-determination. We reaffirm our collective faith in and commitment to the fundamental principles of the United Nations Charter.", "With the support of all peace-loving people throughout the continent and the world, we invite the General Assembly to consider the draft resolution contained in document A/65/L.84 on the admission of the Republic of South Sudan to membership in the United Nations. History has given us here the rare and unique honour to witness the admission of the Republic of South Sudan as the 193rd Member of the United Nations.", "The President (spoke in French): The Assembly will now take a decision on draft resolution A/65/L.84, entitled “Admission of the Republic of South Sudan to membership in the United Nations”. I now give the floor to the representative of the Secretariat.", "Mr. Nakano (Department for General Assembly and Conference Management): I should like to announce that since the submission of the draft resolution, in addition to the delegations listed in document A/65/L.84, the following countries have also become sponsors of the draft resolution: Afghanistan, Andorra, Argentina, Armenia, Bahamas, Bangladesh, Barbados, Canada, China, Costa Rica, Cuba, Czech Republic, Ecuador, France, Grenada, Guatemala, Guyana, Honduras, Iceland, India, Ireland, Jamaica, Kazakhstan, Kyrgyzstan, Mexico, Montenegro, Netherlands, Panama, Peru, Poland, Republic of Korea, Romania, Russian Federation, Singapore, Switzerland, Timor-Leste, Trinidad and Tobago, Turkey and Ukraine.", "The President (spoke in French): May I take it that the General Assembly accepts the recommendation of the Security Council and adopts draft resolution A/65/L.84 by acclamation?", "Draft resolution A/65/L.84 was adopted (resolution 65/308).", "The President (spoke in French): I therefore declare the Republic of South Sudan admitted to membership in the United Nations.", "I request the Chief of Protocol to escort the delegation of the Republic of South Sudan to its seat in the General Assembly Hall.", "The delegation of the Republic of South Sudan was escorted to its seat in the General Assembly Hall.", "The President (spoke in French): On behalf of the General Assembly, I have the great honour to welcome the Republic of South Sudan as a new Member of the United Nations. This is a historic moment of joy not only for Africa but also for the international community. Today, we welcome the Republic of South Sudan, a young nation, as one of us. Last Saturday, the country officially declared independence in its capital, Juba, which is remarkable.", "The independence of South Sudan is in fact the culmination of a process initiated several years ago. The negotiation and implementation of the 2005 Comprehensive Peace Agreement, as well as the holding of a referendum in January this year, are examples of a peaceful resolution of the conflict and of peace and cooperation for the benefit of the people. I pay tribute to the Sudan for accepting the results of the referendum and becoming the first country to recognize South Sudan as a young nation.", "The United Nations has supported the process leading to the independence of South Sudan and stands ready to build on this achievement and to continue to support the efforts of the Sudan and South Sudan to find peaceful solutions to outstanding issues and to live in peace and harmony with each other.", "Today, we accept South Sudan as an international extended family member, enjoying the same rights and responsibilities as all other Member States. The universality of the United Nations and the values enshrined in its Charter have thus been strengthened. I am confident that South Sudan will help to promote the goals of security, peace, prosperity, friendship and cooperation among peoples, as advocated by the United Nations. This benefits the people of South Sudan, the region and the African continent as a whole.", "I wish the people and Government of the Republic of South Sudan peace, prosperity and success. I congratulate them on their recent independence and warmly welcome that country as the 193rd Member of the United Nations family.", "I now give the floor to the Secretary-General, His Excellency Mr. Ban Ki-moon.", "The Secretary-General: At this very moment, in this very place, the world has come together to say, “Welcome South Sudan to the family of nations”. Just a few days ago, I had the privilege of attending the independence celebrations in Juba. I feel the energy, potential and great joy of the newest nation in the world of South Sudan. In my eyes, the rising flag symbolizes the long civil war, the loss of so many loved ones, the displacement of people from their homes and the growing hope of the people of South Sudan, who have never given up hope.", "They have now reached an important milestone, but the journey continues. Yes, the task ahead is enormous, but so is the potential of the country. It has abundant natural resources, arable land, Nile water and, of course, its proud and hard-working people. As we help the region consolidate its gains, we are committed to helping South Sudan shape its future. We join in paying tribute to the leaders of the Sudan and South Sudan. They have shown courage and determination in holding a successful referendum expressing the democratic will of the people.", "Borders, resource-sharing and migration should be addressed as soon as possible. It is imperative that they resolve their outstanding differences with the same pragmatism and leadership they have shown so far. The well-being and future prosperity of each depends on the other. The North and the South share a common destiny. They must see the future of each other as true partners, not adversaries.", "The United Nations, the African Union, international non-governmental organizations and Member States have been strong and close partners in helping both North and South to commit to peace, development and human rights. As we move forward, our continued commitment is crucial. Let us all be faithful to the cause of peace, justice and opportunity for all. Let us say together to the citizens of our newest Member State: “You are sitting with us now. We support you.”", "The President (spoke in French): I thank the Secretary-General for his statement.", "I now give the floor to the Permanent Representative of Rwanda. He will make a statement on behalf of the African States.", "Mr. Gasana (Rwanda): It is a great honour for me to speak on behalf of the African States at this historic moment for both the United Nations and Africa. I congratulate the Republic of South Sudan on its declaration of independence on Saturday and its acceptance today as the 193rd Member of the United Nations.", "In the past decades of civil war and bloody struggle, the people of South Sudan have shown courage and perseverance. I commend them for their sense of responsibility when they participated in the referendum on self-determination on a massive and peaceful basis last January.", "That is a lesson for the United Nations, and for its Member States. No matter how long a conflict lasts, no matter how much grief and suffering it may cause, with the courage and determination to end up “a smile after pain and a sky after rain” (as quoted in a famous rock-and-roll narrative). We are celebrating today the birth of a nation, after dozens of pains and the loss of 2.5 million lives in the struggle for independence — It's a people's sun, a young generation's smile.", "This remarkable achievement would not have been possible without the outstanding leadership of both heads of State — His Excellency Salva Kiir Mayardit, President of South Sudan, and His Excellency Omar Hassan Ahmad Al-Bashir, President of the Sudan. They are two extraordinary statesmen. Over the years, they have proved their will to be firm, peace-loving and trustworthy. Overcoming many adversitys, they succeeded in ending one of the longest civil wars on our continent and in leading the peace process forward, from the signing of the Comprehensive Peace Agreement to the successful organization of a transparent referendum in 2011.", "Today, as we honour those who lost their lives in the Sudan's civil war, I cannot but pay tribute to “Anyanya I” and the leadership of the Sudan People's Liberation Movement, in particular to Mr. Gordon Muortat Mayen and Mr. John Garang. Wherever they may be, they will certainly be greatly pleased with the successful outcome of their struggle.", "Today, we are celebrating the admission of the 54th African country to membership in the United Nations. As we rejoice in the triumph of freedom and dignity over war, we cannot forget that the Republic of South Sudan is a new country that is facing enormous challenges. The scars of the civil war are still clear, and it is the responsibility of the international community to support this new State in its progressive progress and consolidation of peace, to build a democratic State and to achieve development by reducing poverty, building infrastructure and putting the country on the right path to prosperity.", "I am confident that the South Sudanese have clearly demonstrated their leadership, strong will and ingenuity and the ability to move forward quickly and to achieve the great ideals for which they have fought for decades. They have enshrined in history the idea of achieving independence through negotiation and a democratic referendum.", "In that regard, we hope that the Republic of South Sudan and its sister State, the Republic of the Sudan, will soon resolve the outstanding issues related to the implementation of the Comprehensive Peace Agreement. Those issues included the cessation of hostilities, the political settlement of the Southern Kordofan issue, the determination of the final status of the Abyei Area in accordance with the Comprehensive Peace Agreement, the demarcation of the North-South border and the holding of political consultations related to Blue Nile State. We would also like to encourage the same river that flows through our national territory. Nile — The Governments and peoples of the two countries are united to successfully resolve other post-secession arrangements, such as nationality, freedom of movement, population settlement and respect for agreements on oil and crude oil resources.", "In conclusion, allow me to express my sincere appreciation to the Secretary-General, Mr. Ban Ki-moon. Since his appointment, he has personally been involved in the peace process in the Sudan and has wisely chosen the right person in the right place. Indeed, without the tireless efforts of the Special Representative of the Secretary-General for the Sudan, Mr. Haile Menkerios, and of the former President of Tanzania, His Excellency Benjamin Mkapa, who chaired the Panel on the Referendum in the Sudan, this historic event, which we celebrate, cannot take place. That is one of the reasons why the Group of African States unanimously endorsed the candidature of the Secretary-General for re-election.", "In the same vein, allow me to thank another son of Africa, the former President of South Africa, His Excellency Thabo Mbeki, who, during his tenure as head of the African Union High-level Implementation Panel, made great efforts to support and facilitate negotiations between the two sides. These negotiations are aimed at a comprehensive and just resolution of the outstanding issues related to the Comprehensive Peace Agreement — This is a prerequisite for lasting peace.", "In conclusion, I would like once again to express my sincere gratitude to President Mayardit for leading the new Republic in building a democratic, just and prosperous society. We in Africa will support him.", "The President (spoke in French): I now give the floor to His Excellency Mr. Talaibek Kydyrov, Permanent Representative of Kyrgyzstan, who will speak on behalf of the Group of Asian States.", "Mr. Kydyrov (Kyrgyzstan): On behalf of the Group of Asian States and in my capacity as Chair for the month of July, I have the great honour to welcome the adoption of draft resolution A/65/L.84, entitled “Admission of the Republic of South Sudan to membership in the United Nations”. This draft resolution is being submitted by the delegation of Rwanda in its capacity as Chairman of the Group of African States.", "The member States of the Asian Group welcome the declaration of independence of the Republic of South Sudan on 9 July 2011, which formally established it, and reaffirm their strong commitment to the sovereignty, independence, territorial integrity and national unity of the Republic of South Sudan.", "The Asian Group recognizes that the United Nations has a key role to play in supporting the Republic of South Sudan in its efforts to consolidate peace and prevent a relapse into violence and, to that end, to develop, as soon as possible, a strategy to support national peacebuilding priorities in order to lay the foundation for sustainable peace and development.", "In this context, the Asian Group welcomes the adoption by the Security Council, at its 6576th meeting, on 8 July, of resolution 1996 (2011) and the establishment of the United Nations Mission in South Sudan for an initial period of one year, effective 9 July, to assist the new State in its long-term nation-building and development efforts.", "The Asian Group also welcomes the appointment by the Secretary-General of his Special Representative for the Republic of South Sudan and expresses its confidence that the Secretary-General, through his Special Representative, will coordinate the activities of the United Nations system in the Republic of South Sudan and support a coordinated approach by the international community to achieve stable peace and economic development in the Republic of South Sudan.", "We welcome the firm commitment of the Governments of the Republic of the Sudan and the Republic of South Sudan to peaceful coexistence in order to achieve stability and prosperity for both countries and to dialogue to resolve outstanding issues.", "The Asian Group appreciates the active participation of the African Union and subregional organizations in the process of consolidating peace and security in the Sudan and South Sudan and encourages them to continue their efforts in this regard.", "The Asian Group welcomes the recommendation made by the Security Council in its resolution 1999 (2011), adopted on 13 July, to admit the Republic of South Sudan to membership in the United Nations. On behalf of the Asian Group, I have the honour to express our strong and full support for the adoption of resolution 65/308, which we believe will bring long-term stability to both countries and to the region as a whole.", "In conclusion, allow me to express my sincere congratulations to the people and country of South Sudan on this historic event and to wish them a truly prosperous and better future.", "The President (spoke in French): I now give the floor to the Permanent Representative of Estonia, who will speak on behalf of the Eastern European States.", "Mr. Kolga (Estonia): I have the honour to speak on behalf of the Group of Eastern European States to welcome the Republic of South Sudan as the 193rd Member of the United Nations.", "It is well known that South Sudan ' s journey to this Hall has been neither smooth nor brief. That is why the presence here today of the delegation of South Sudan, led by Vice-President Riek Machar Teny-Durgon, is all the more appreciated at this historic moment. The referendum in January clearly demonstrated the unity of the people of South Sudan in their desire for self-determination. Almost 99 per cent of those who expressed their views voted for sovereignty. This weekend, we saw the dream come true, and in Juba people celebrated the official declaration of independence and the swearing-in of President Salva Kiir.", "Today, South Sudan has reached the end of an era, and it has also begun an even more important era of transition to a fully functioning, responsible and prosperous State. The Group of Eastern European States is ready to work closely with South Sudan on this path.", "We would also like to take this opportunity to commend the Government of the Sudan for its constructive role throughout the referendum process and count on its continued cooperation in the future. We would like to call on the parties to work together to resolve expeditiously all outstanding issues related to the full implementation of the Comprehensive Peace Agreement.", "Last but not least, we would like once again to sincerely congratulate the people and Government of South Sudan and warmly welcome them to the family of sovereign States.", "The President (spoke in French): I now give the floor to the Permanent Representative of Brazil, who will speak on behalf of the Latin American and Caribbean States.", "Mrs. Viotti (Brazil): On behalf of the Group of Latin American and Caribbean States, I have the honour to warmly welcome South Sudan as the 193rd Member of the United Nations. At this historic meeting, we would like to pay tribute to His Excellency Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan.", "This is a good time for all Sudanese, for the African continent and for the United Nations. The admission of South Sudan to the Organization is the result of a long process of peace and stability for all Sudanese. The people of North and South Sudan and their leaders should be commended for this successful outcome. While congratulating them, we would also like to encourage them to achieve the vision of two States living side by side in peace and security and working together for the development of their respective societies.", "The Government of the Sudan was the first to recognize the independence of South Sudan, which augurs well for future cooperation and mutual respect, a future that we all want to support and help achieve. We are encouraged by the commitment and desire of both parties to resolve the outstanding issues of the Comprehensive Peace Agreement. We appreciate the important role played by the African Union throughout the process leading to the signing of the Comprehensive Peace Agreement and during its implementation. We will continue to support the efforts of the African Union High-level Implementation Panel, led by former President Thabo Mbeki, to assist the two countries in resolving outstanding issues.", "We would also like to commend the United Nations, and the Security Council in particular, for their tireless efforts to help the Sudanese people on this journey. We must continue to do so.", "While welcoming South Sudan to the United Nations, the Latin American and Caribbean States reaffirm their historical and cultural ties with Africa and their commitment to and support for the economic, social and political development of the continent.", "We note with great satisfaction the solemn commitment of the Republic of South Sudan to respect and fulfil the obligations contained in the Charter of the United Nations. We stand ready to work closely with the Government and people of South Sudan in all areas of United Nations activity. We can assure them of our assistance and full support.", "On behalf of the Group of Latin American and Caribbean States, I wish the Government and people of the Republic of South Sudan every success and peace and stability.", "The President (spoke in French): I now give the floor to the Permanent Representative of Luxembourg, who will speak on behalf of the Group of Western European and Other States.", "Ms. Lucas (Luxembourg) (spoke in French): It is a particular honour for me, on behalf of the Group of Western European and other States, to welcome the Republic of South Sudan as the 193rd Member of the United Nations.", "This is indeed a historic moment and the beginning of a new chapter in the long history of South Sudan. The people of South Sudan have made a democratic decision to seek independence and occupy a place in the family of sovereign States. The holding of a peaceful referendum for the independence of South Sudan and the declaration of independence on 9 July 2011, witnessed by a large number of eminent persons from all over the world, are the final outcomes of the resolution of long-standing conflicts and the realization of the peace process in South Sudan, in accordance with the Comprehensive Peace Agreement signed in 2005.", "As we witness the birth of a new nation, we also see the challenges before it. We encourage South Sudanese leaders to embrace pluralism and diversity and to lay the foundations for a democratic, fair and inclusive society based on the rule of law and respect for human rights and fundamental freedoms. We encourage the Governments and peoples of the Republic of South Sudan and the Republic of the Sudan to work towards addressing post-independence issues. We are confident that the authorities of the two countries will soon reach an agreement on good-neighbourliness for the benefit of both peoples and the region as a whole.", "The Group of Western European and Other States looks forward to South Sudan playing an active and constructive role in the work of the United Nations. We are committed to continuing to work closely with the Republic of South Sudan with a view to achieving lasting peace, prosperity and justice and to meeting the needs and expectations of the people of the country.", "The President (spoke in French): I now give the floor to the representative of the United States of America, who will speak on behalf of the host country.", "Ms. Rice (United States of America): Last Saturday, I had the privilege of witnessing the first rise of the huge and beautiful flag of the Republic of South Sudan in Juba. The crowd cheers, in which people can hear the voice of a new nation.", "Today, the same flag will proudly fly with 192 other flags. South Sudan will take its rightful place in the forest of sovereign States. On behalf of the United States, the host country of this Organization, and the people of the United States, I warmly welcome the Republic of South Sudan as the newest Member of the United Nations.", "This historic day of hope came only after great suffering and almost unimaginable loss. The independence of the world ' s youngest nation is a testimony to the people of South Sudan. It is also an inspiration for all those who yearn for freedom. May the struggle for freedom in South Sudan always remind us to uphold the universal rights of all peoples, bearing in mind those who remain under the yoke, to free people from hunger and despair and to bring hope to the shattered parts of the world.", "South Sudan is a new country, but it has long-standing friendship. The ties between the American people and the people of South Sudan dated back decades. The United States will remain a firm friend of South Sudan as it seeks peace, strengthens democracy and provides opportunities and prosperity for all its citizens. We look forward to working with South Sudan as it shoulders its rights and responsibilities as a full and sovereign member of the family of nations.", "At the United Nations in September 2010, President Obama said: “A new day of peace and progress will come after the darkness of war.” As on Saturday, today is one such day for the people of South Sudan. We will support them in their efforts to find a lasting peace rooted in two viable States living side by side. We stand with them as they create the conditions for lasting democracy, prosperity and justice. We will work with their nationals as they seek to meet their high hopes of rising with their flag.", "Allow me once again to say on behalf of the United States of America: “Congratulations, welcome!”", "The President (spoke in French): I now give the floor to the Permanent Representative of the Sudan.", "Mr. Osman (Sudan) (spoke in Arabic): As Permanent Representative of the Republic of the Sudan, I would like once again to congratulate the Republic of South Sudan and to reaffirm our recognition of that country, as we did on 8 July — the day before the declaration of independence of the Republic of South Sudan. As I said yesterday, we are all members of the same family. We in the north are known as the Republic of the Sudan, while the name of the new State is the Republic of South Sudan. We all have the word \"Sudan\" in our name. As I said yesterday, we are all Sudanese and will remain Sudanese.", "Despite our common family, this family has grown and now has two homes — one in the north and one in the south. We are working for that very goal. I would like to convey to the international community a clear message of solidarity, cooperation and coordination in pursuit of the well-being of our peoples. Our peoples have much in common, and they share a common history, blood, culture and society. These commonalities will remain the basis for our cooperation with the Republic of South Sudan.", "We have opened a new page in our history, and we will reach out to all. The question of South Sudan has long cast a shadow over our relations with many countries, but as this new page opens, we and our brothers in South Sudan have left behind the pain and trauma of war. We look to the future and look forward to good relations with all affected countries, especially the larger ones.", "We know that we live in an era of globalization in which interests are intertwined. We will respect the interests of others and hope that they will also respect our interests, including our diversity and diversity of views, which should in no way affect the situation.", "As President Al-Bashir said, we will do our utmost to provide the new State, the Republic of South Sudan, with whatever assistance we can. On our mother continent, we are their closest neighbour, not only geographically but also emotionally and spiritually.", "In conclusion, I would like to note that this outcome cannot be achieved without the contributions of the leaders of the two sides — President Omar Hassan Al-Bashir of the North, the late John Garang de Maabior, President Salva Kiir Mayardit of the South, Rick Machar Teny-Durgon, Dengue Allor Kul, David Dengue Asobey, Ezekiel Lol Gatkuoth and others. I pay tribute to them all.", "Address by Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan", "The President (spoke in French): The Assembly will now hear an address by His Excellency Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan.", "Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan, was escorted to the rostrum.", "The President (spoke in French): On behalf of the General Assembly, I have great pleasure in welcoming His Excellency Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan, and inviting him to address the Assembly.", "Mr. Machar Teny-Durgon (South Sudan): It is my honour and humility to stand here today to convey the deep appreciation of the people and Government of the Republic of South Sudan to the members of the General Assembly who have just voted in favour of South Sudan ' s admission to the United Nations. We are particularly grateful to the Republic of Rwanda, on behalf of the Group of African States, for introducing the resolution just adopted by the General Assembly and to the Republic of South Africa for introducing it.", "As a new Member of the United Nations, the Republic of South Sudan is committed to complying with all its obligations under the Charter of the United Nations. I assure the Assembly today that the Republic of South Sudan will be a responsible member of the international community and will abide by all its obligations under international law. We are working to accede to all relevant international conventions and treaties as soon as possible, particularly those on human rights.", "As we celebrate this moment, we also remember our citizens who have passed away, especially Comrade John Garang de Mabior. Twenty-eight years ago, Mr. Garang joined other determined and courageous leaders of the Sudan People ' s Liberation Movement and the Sudan People ' s Liberation Army in their heroic liberation struggle. Millions of people have lost their lives and suffered untold suffering in that struggle. Their sacrifice will not be forgotten.", "That struggle finally led to the signing of the Comprehensive Peace Agreement in 2005. I would like to take this opportunity to express my sincere appreciation to all those who contributed to the negotiation and signing of the Comprehensive Peace Agreement, including the United States, Kenya, Ethiopia, the United Kingdom, Norway and many others, and, of course, the United Nations itself.", "The Agreement provided for a referendum on self-determination. The referendum began on 9 January 2011 and was officially held in accordance with the highest international standards. Over 98 per cent voted in favour of separation. On 9 July, the Republic of South Sudan declared its independence and was officially recognized as a sovereign State.", "We are well aware that we will not be able to do so without the commitment and support of many of our friends. We are deeply grateful to all those States, multilateral organizations and non-governmental organizations and their sponsors that have helped us and committed themselves to ensuring peace and security in our country during our long journey. We commend the member States of the Intergovernmental Authority on Development (IGAD), the IGAD Partners Forum, the African Union and its High-level Implementation Panel, the European Union, the League of Arab States and the United Nations for their unwavering support and guidance to the long-term efforts of the Sudanese people in their quest for a permanent peace.", "Many challenges remain in the implementation process of the Comprehensive Peace Agreement. We thank President Thabo Mbeki, Prime Minister Meles Zenawi and the Governments of the United States, Norway, the United Kingdom and others for their work in support of the process. We also thank Secretary-General Ban Ki-moon for the importance he has always attached to the full implementation of the Comprehensive Peace Agreement. We express our appreciation to the members of the Security Council for the recent adoption of a resolution authorizing the establishment of a new peace consolidation mission in South Sudan. We also thank the General Assembly for its willingness to support and complement the work of the Mission through the specialized agencies of the United Nations.", "Those efforts are an important example of solidarity and cooperation among peoples in the search for peace. They also demonstrate the importance of respecting the right of peoples to self-determination. On behalf of the people of South Sudan and on my own behalf, I would like to express our deep gratitude for any words. With their perseverance and dedication, they helped end one of the longest civil wars in Africa. Their continued efforts and tireless support will be crucial to peacekeeping.", "Today, I would also like to commend the President of the Republic of the Sudan, Field Marshal Omar Hassan Al-Bashir, for his wisdom in signing the Comprehensive Peace Agreement and embarking on its implementation -- In particular, a referendum on self-determination had been held, and the results had been accepted with courage. We also commend and welcome the decision of the Republic of the Sudan to become the first country to recognize the sovereignty and independence of the Republic of South Sudan.", "It is our deepest and most sincere hope that all outstanding issues between the North and the South will be resolved expeditiously and peacefully. We do not hate our former compatriots. We remain partners in peace and uphold the principle of good-neighbourliness. We will resolve our differences through dialogue in a spirit of cooperation. In particular, we must reach agreement on mechanisms for continued cooperation, the delineation and mutually beneficial management of the common border and the final status of Abyei.", "We will continue to work with the Republic of the Sudan to seek justice for the people of Darfur, Southern Kordofan and Blue Nile. Our fundamental hope and aspiration is to see the Sudan and South Sudan live side by side in peace. Both countries must be viable and stable. We will seek to build a future in which our two countries can cooperate and support each other peacefully.", "After many years of war, we want our new country to be a force for peace in the region. We will live in peace with all our neighbours. I say to them that the Republic of South Sudan will be a partner in all human efforts to promote security, justice, freedom, common peace and prosperity. Let us all work together to achieve those goals.", "With this in mind, we urge our brothers in Ethiopia and Eritrea to resolve their differences in a peaceful and friendly manner. We call upon our Somali brothers and sisters to seek lasting peace. We pay tribute to all those who have worked to establish democracy and the rule of law from scratch. We encourage the countries of the region to work together to eradicate the scourge of the Lord's Resistance Army. We are also working with our regional partners and the rest of the world to combat terrorism.", "As we strive to promote peace in our region, we must also build a strong and viable nation at home. We have a solemn commitment to democracy, pluralism, inclusiveness, the rule of law and freedom of thought, conscience and expression. We will embrace tolerance and solidarity. We will be patriots, regardless of our cultural and ethnic background. Our diversity will make us proud, and it is a source of strength and the basis upon which we protect the right of everyone to think freely and speak freely.", "We will never let the threat of instability frighten us. President Salva Kiir Mayardit has once again declared an amnesty for all those who, for whatever reason, have taken up arms so that they can join us in our efforts to build our new State. We want peace in the country. We know that this means that our Government must include all voices.", "The Transitional Constitution, signed by President Kiir on 9 July, will be the starting point for a broad consultation process towards a permanent constitution for the Republic of South Sudan. This constitution must meet the aspirations of all of us. These consultations and the development of a permanent constitution will be led by a broad-based Government, to be appointed in the near future. My Government will give priority to the public interest. Transparency and accountability will be paramount.", "We face an extremely difficult agenda. We must first fulfil our responsibilities to provide security and extend the rule of law. We must also change the face of our rural areas. Agriculture will be a major area of investment and the basis upon which we diversify our economy. We must provide free and universal basic education for all our children. We must extend primary health-care services throughout South Sudan. We must build our physical infrastructure, with a focus on roads. We must build our institutions in a culture of transparency. We must enhance the role and objectives of women in society. We must foster internal reconciliation and unity.", "As we begin our journey, however strong our hopes may be, it is hard to imagine that we have reached that level today. Today, we must move forward together to fulfil the aspirations of our people. We are determined to build a South Sudan where children can go to school without fear. We are determined to establish a South Sudan that provides electricity and water to every home. We are committed to a South Sudan where everyone has access to health services and where there is sufficient food on every family table. We are determined to create a South Sudan where all our children can live as brothers and sisters and where our country can live in peace with our neighbours and the world.", "That's our ambition. From this moment forward, our task is to achieve that ambition. We thank our partners and friends for their continued assistance in this endeavour. We welcome and need such assistance. We are very grateful for their input so far and for their renewed commitment to continue to provide support. We can assure them that their investments will be protected, their efforts respected and their views taken into account.", "We are now fully committed to building a better future for our children. With the help and support of the international community gathered here today, we are confident that we will succeed.", "The President (spoke in French): On behalf of the General Assembly, I wish to thank the Vice-President of the Republic of South Sudan for the statement he has just made.", "Mr. Riek Machar Teny-Durgon, Vice-President of the Republic of South Sudan, was escorted from the rostrum.", "The President (spoke in French): To mark this historic occasion, I should like to inform Member States that the flag-raising ceremony for the Republic of South Sudan will take place immediately following the adjournment of this meeting, immediately following the delegates' entrance.", "The meeting rose at 11.10 a.m." ]

[ "印度洋特设委员会", "第454次会议简要记录", "2011年7月14日星期四下午3时在纽约总部举行", "临时主席： 切尔尼亚夫斯基先生(大会和会议管理部)", "主席： 科霍纳先生 (斯里兰卡)", "目录", "会议开幕", "选举主席", "通过议程", "委员会主席根据大会第64/23号决议第3段提交的报告", "通过委员会向大会第六十六届会议提交的报告", "会议闭幕", "下午3时20分宣布开会。", "会议开幕", "1. 临时主席宣布2011年届会开幕。", "选举主席", "2. 临时主席说，前任主席Palihakkara大使已经回到其本国首都。斯里兰卡代表团同意继续提供委员会主席，并提名Kohona大使担任该职位。如没有异议，他将认为委员会希望选举科霍纳大使担任主席。", "3. 科霍纳先生(斯里兰卡)经鼓掌通过当选为委员会主席。", "4. 科霍纳先生(斯里兰卡)主持会议。", "通过议程(A/AC.159/L.141)", "5. 议程通过。", "委员会主席根据大会第64/23号决议第3段提交的报告。", "6. 主席说，自1971年《宣布印度洋为和平区的宣言》构想以来，该区域和全世界的安全和地缘政治局势均发生了深刻的变化。尽管如此，该区域可继续通过把《宣言》中的根本愿景作为今后工作的框架而受益。所谓的冷战已经结束，一些裁军问题也得到解决。新的军火贸易和裁军挑战凸显，包括恐怖分子团体、跨国颠覆分子和老奸巨猾的海盗在内的非国家行为者开始对国家内部和国家间的和平与安全构成威胁。正是因为上述关切才使得《宣言》的各项目标依然具有相关性。", "7. 最近，印度洋区域出现了积极的发展，包括区域经济、技术和科学领域的合作越来越多，以及人民之间的接触急剧增加。区域内许多国家出现惊人的经济增长，为受到最近的衰退影响的全球制度提供了急需的稳定。然而，新的令人不安的威胁，包括恐怖主义、武器贩运、海盗、跨国犯罪、走私人口及其他新的区域和国际安全问题似乎抵消了这些积极趋势。", "8. 由于委员会一直未能制定落实《宣言》的共同基础，会员国可能希望考虑制定新举措并就前进之路向大会提出建议。对委员会工作范围的审查可能包括修订《宣言》。因此，主席团将继续磋商进程。", "9. Erwin先生(印度尼西亚)说，尽管复杂的安全情况和地缘政治环境颇具挑战性，但《宣言》的根本远景依然是确保印度洋沿岸和内陆国的繁荣和人民幸福的强有力的适当框架。委员会成员应当考虑，委员会如何才能通过确定和依赖使其长期以来团结在一起的共识继续为维护该区域的和平与安全做出贡献。", "10. 安全理事会成员和使用印度洋的主要航海国的参与和贡献是必不可少的，所有各方均应当重视将面临的挑战。下一阶段将要落实《宣言》所规定的实质性要素。委员会还应当解决加强该区域各国社会经济发展的挑战，因为如果没有发展，和平与安全就可能面临危险。", "11. 潘竞宇先生(中国)说，中国代表团支持印度洋地区各国捍卫主权和独立以及维护该区域和平、安全和稳定的努力。《宣言》应当尽早执行，这要求该区域内外的国家共同努力。大会的相关决议强调，安全理事会所有常任理事国和使用印度洋的主要航海国均应当参与委员会的工作。", "通过委员会向大会第六十六届会议提交的报告 (A/AC.159/L.142)", "12. Randrianarivony先生(马达加斯加)，报告员，介绍了委员会的报告草案(A/AC.159/L.142)，他解释称将完成第3和第7段以反映本次会议上做出的声明。", "13. 通过报告草案。", "会议闭幕", "14. 主席宣布2011年届会闭幕。", "下午3时45分散会。" ]

[ "Ad Hoc Committee on the Indian Ocean", "Summary record of the 454th meeting", "Held at Headquarters, New York, on Thursday, 14 July 2011, at 3 p.m.", "Temporary Chairman: Mr. Cherniavsky (Department for General Assembly and Conference Management)", "Chairman: Mr. Kohona (Sri Lanka)", "Contents", "Opening of the session", "Election of the Chairman", "Adoption of the agenda", "Report of the Chairman of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23", "Adoption of the report of the Committee to the General Assembly at its sixty-sixth session", "Closure of the session", "The meeting was called to order at 3.20 p.m.", "Opening of the session", "1. The Temporary Chairman declared the 2011 session open.", "Election of the Chairman", "2. The Temporary Chairman said that the former Chairman, Ambassador Palihakkara, had returned to his capital. The delegation of Sri Lanka had agreed to continue to provide the Chairman of the Committee and had nominated Ambassador Kohona for that post. If he heard no objections, he would take it that the Committee wished to elect Ambassador Kohona as Chairman.", "3. Mr. Kohona (Sri Lanka) was elected Chairman by acclamation.", "4. Mr. Kohona (Sri Lanka) took the Chair.", "Adoption of the agenda (A/AC.159.L.141)", "5. The agenda was adopted.", "Report of the Chairman of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23", "6. The Chairman said that profound changes had taken place in the security and geopolitical situation of both the region and the world since the 1971 Declaration of the Indian Ocean as a Zone of Peace had been conceived. Nevertheless, the region could continue to benefit by using the vision underlying the Declaration as a framework for future work. The so‑called Cold War had ended and some disarmament issues had been resolved. New arms trade and disarmament challenges had come to the fore, while non-State actors, including terrorist groups, transnational subversive elements and sophisticated pirates, had emerged as threats to peace and security within and between States. It was precisely because of such concerns that the objectives of the Declaration remained relevant.", "7. The Indian Ocean region had seen positive developments in the recent past, including growing regional cooperation in economic, technical and scientific disciplines and exponential growth in people-to-people contacts. Many countries in the region had registered phenomenal economic growth in many countries of the region had provided much-needed stability to the global system affected by the recent downturns. Nevertheless, new and disturbing threats, including terrorism, arms trafficking, piracy, transnational crime, people smuggling and many other new regional and international security concerns, seemed to work against those positive trends.", "8. Since the Committee had been unable to develop common ground for implementing the Declaration, Member States might wish to consider the development of new approaches and make recommendations to the General Assembly concerning the way forward. A review of the scope of the work of the Committee might include a revision of the Declaration. The Bureau should therefore continue the consultative process.", "9. Mr. Erwin (Indonesia) said that the vision underlying the Declaration remained a strong and appropriate framework for ensuring the prosperity and well-being of the people of the littoral and hinterland States of the Indian Ocean, despite the challenging complexities of the security and geopolitical environment. The members of the Committee should consider how the Committee could continue to contribute to the maintenance of peace and security in the region by identifying and building on the common views that had held them together for so long.", "10. The participation and contributions of members of the Security Council and the major maritime users of the Indian Ocean was essential and all parties should focus on the challenge ahead. The next stage would be to implement the substantive elements mandated by the Declaration. The Committee should also address the challenge of enhancing socio-economic development of the States of the region, as peace and security could be endangered if there was no development.", "11. Mr. Pan Jingyu (China) said that his delegation supported the efforts of the States of the Indian Ocean area to defend their sovereignty and independence, as well as peace, security and stability in the region. The Declaration should be implemented at an early date, which would require joint efforts by States both within and beyond the region. The relevant General Assembly resolutions emphasized that all permanent members of the Security Council and the main maritime users of the Indian Ocean should participate in the Committee’s work.", "Adoption of the report of the Committee to the General Assembly at its sixty-sixth session (A/AC.159/L.142)", "12. Mr. Randrianarivony (Madagascar), Rapporteur, introducing the draft report of the Committee (A/AC.159/L.142), explained that paragraphs 3 and 7 would be completed to reflect the statements made at the current meeting.", "13. The draft report was adopted.", "Closure of the session", "14. The Chairman declared the 2011 session closed.", "The meeting rose at 3.45 p.m." ]

[ "Ad Hoc Committee on the Indian Ocean", "Summary record of the 454th meeting", "Held at Headquarters, New York, on Thursday, 14 July 2011, at 3 p.m.", "Temporary Chairman: Mr. Cherniavsky (Department for General Assembly and Conference Management)", "Chairman: Mr. Kohona (Sri Lanka)", "Contents", "Opening of the session", "Election of the President", "Adoption of the agenda", "Report of the Chair of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23", "Adoption of the report of the Committee to the General Assembly at its sixty-sixth session", "Closure of the session", "The meeting was called to order at 3.20 p.m.", "Opening of the session", "1. The Temporary President declared open the 2011 session.", "Election of the President", "2. The Temporary Chairman said that the former Chairman, Ambassador Palihakkara, had returned to his capital. His delegation agreed to continue to provide the Chairman of the Committee and nominated Ambassador Kohona for that post. If he heard no objection, he would take it that the Committee wished to elect Ambassador Kohona as Chairman.", "3. Mr. Kohona (Sri Lanka) was elected Chairman of the Committee by acclamation.", "Mr. Kohona (Sri Lanka) took the Chair.", "Adoption of the agenda (A/AC.159/L.141)", "5. The agenda was adopted.", "Report of the Chair of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23.", "6. The Chairman said that, since the 1971 Declaration of the Indian Ocean as a Zone of Peace concept, the security and geopolitical situation in the region and the world had changed profoundly. Nevertheless, the region could continue to benefit from using the fundamental vision of the Declaration as a framework for future work. The so-called cold war has ended and some disarmament issues have been resolved. The new arms trade and disarmament challenges highlight the fact that non-State actors, including terrorist groups, transnational subversives and sophisticated pirates, are beginning to pose a threat to peace and security within and among States. It is because of those concerns that the goals of the Declaration remain relevant.", "7. There have been recent positive developments in the Indian Ocean region, including growing regional cooperation in the economic, technical and scientific fields and a dramatic increase in people-to-people contacts. The alarming economic growth of many countries in the region has provided much-needed stability to the global system affected by the recent recession. However, these positive trends appear to be offset by new and disturbing threats, including terrorism, arms trafficking, piracy, transnational crime, human smuggling and other new regional and international security issues.", "8. As the Committee has not been able to develop a common basis for the implementation of the Declaration, Member States may wish to consider developing new initiatives and make recommendations to the General Assembly on the way forward. A review of the terms of reference of the Commission might include a revision of the Declaration. The Bureau will therefore continue the consultative process.", "9. Mr. Erwin (Indonesia) said that, despite the complex security situation and the challenging geopolitical environment, the fundamental vision of the Declaration remained a strong and appropriate framework for ensuring prosperity and the well-being of the people of the coastal and landlocked countries of the Indian Ocean. Members of the Committee should consider how the Committee could continue to contribute to the maintenance of peace and security in the region by identifying and building on the consensus that had united it for so long.", "10. The participation and contribution of the members of the Security Council and the major maritime users of the Indian Ocean was essential, and all parties should pay attention to the challenges ahead. The next stage will be the implementation of the substantive elements set out in the Declaration. The Commission should also address the challenge of strengthening the socio-economic development of the countries of the region, since without development, peace and security could be at risk.", "11. Mr. Pan Jingyu (China) said that his delegation supported the efforts of the countries of the Indian Ocean region to safeguard their sovereignty and independence and to maintain peace, security and stability in the region. The Declaration should be implemented as soon as possible, requiring States in the region and beyond to work together. The relevant General Assembly resolutions emphasize that all permanent members of the Security Council and the major maritime users of the Indian Ocean should participate in the work of the Committee.", "Adoption of the report of the Committee to the General Assembly at its sixty-sixth session (A/AC.159/L.142)", "12. Mr. Randrianarivony (Madagascar), Rapporteur, introducing the draft report of the Committee (A/AC.159/L.142), explained that paragraphs 3 and 7 would be completed to reflect the statement made at the current meeting.", "13. Adoption of the draft report.", "Closure of the session", "14. The Chair declared the 2011 session closed.", "The meeting rose at 3.45 p.m." ]

[ "2011年8月1日芬兰常驻联合国代表给安全理事会主席的信", "谨提交2010年11月18日和19日在阿罗伍徳会议中心举行的安理会新当选成员和现任成员研讨会的报告(见附件)。本报告是根据查塔姆大厦规则完全由芬兰常驻代表团负责汇编的。", "根据每年我们从自与会者收到的非常积极的反馈，芬兰政府仍承诺每年举办研讨会活动。芬兰政府希望本报告不仅有助于新当选成员熟悉安理会工作方法和程序，而且也有助于联合国广大会员国更好地了解安理会工作的复杂性。", "据此，请将本报告及其附件作为安全理事会文件分发为荷。", "芬兰常驻联合国代表团", "大使", "亚尔莫·维纳宁(签名)", "2011年8月1日芬兰常驻联合国代表给安全理事会主席的信的附件", "“立即进入角色”：安全理事会新当选成员第八次年度研讨会", "2010年11月18日和19日", "纽约拉伊布鲁克", "阿罗伍徳会议中心", "芬兰政府与国际和平研究所以及联合国秘书处安全理事会事务司合作，于2010年11月18日和19日举办了安全理事会新当选成员第八次年度研讨会。", "年度秋季研讨会的作用是帮助新当选成员熟悉安全理事会的惯例、程序和工作方法，使他们能够在来年1月参加安理会工作时“立即进入角色”。本系列研讨会还为安理会现任成员在一种非正式场合反思自己的工作提供了一个机会。", "今年，大不列颠及北爱尔兰联合王国常驻联合国代表马克·莱尔·格兰特爵士和安全理事会2010年11月主席在开幕晚会上致词，前主管特别政治事务的联合国副秘书长布赖恩·厄克特爵士作了主旨发言。", "11月19日全天安排包括三次圆桌会议，重点讨论以下主题：", "一. 2010年安理会状况：总结过去，展望未来", "二. 工作方法和附属机构", "三. 经验教训：2010届成员的反思", "开场发言", "莱尔·格兰特大使感谢即将离任安全理事会成员——奥地利、日本、墨西哥、土耳其和乌干达——前两年所做的工作，指出，它们单独和集体地为安理会的工作作出了重大的贡献。他还对安理会新成员哥伦比亚、德国、印度、葡萄牙和南非表示欢迎，并强调，安理会其他成员期待着同他们一道工作。他还感谢芬兰常驻联合国代表亚尔莫·维纳宁大使以及芬兰政府再次主办“立即进入角色”研讨会。", "莱尔·格兰特大使将安理会称作是迄今联合国的最有效、最具适配性的联合国机构。他就2009年抵达纽约以来给他留下深刻印象的安理会的工作提出了三点意见，", "首先，让他感到吃惊的是，安理会的很多工作流于形式，议事规则妨碍进行自发的辩论。他评论说，安理会成员可能有必要跳出舒适的小天地，转而采取比较非正式和互动式的磋商。", "第二，他认为，安全理事会并没有总是按照重要性来安排时间。他指出，2010年11月联合王国担任主席期间，在工作日程的27个项目中，17个因一般活动的规律而属于例常性质，5个是对当前事态发展作出的反应，5个属于联合王国建议的裁量权因素。因此，他认为应考虑对议程作出调整，使议程不再主要由常规任务期限的延期和工作日程来决定。", "第三，莱尔·格兰特大使评论说，他注意到有安全理事会成员希望更积极参与预防和解决冲突。他指出，这需要安理会成员在这些领域更多行使他们的集体权威，因为安理会目前的时间大多是花在冲突管理上。", "莱尔·格兰特大使强调，他认为，此前几个月里安全理事会在包括伊朗伊斯兰共和国、刚果民主共和国以及妇女、和平与安全等问题上取得了成功。另一方面，他也指出，安理会在与中东和平、西撒哈拉和索马里有关的长期争端方面无法取得重大进展。", "最后，他预测说，2011年安全理事会至少会像2010年一样忙碌。他还补充说，尽管安理会在苏丹问题上花了很多时间和精力，但这一问题很可能成为2011年中对安理会成员的一个重大的近期考验。", "主旨发言者：", "布赖恩·厄克特爵士回顾说，他出席过安全理事会的第一次会议，让人回想起联合国的创立带来的巨大期望。当时的预期是安理会成员会放弃其国家的本能，专心致力于世界和平，以前所未有姿态解决战争与和平以及繁荣与经济萧条的问题。", "但他强调说，安全理事会很快就遇到必须兑现冷战时期世界寄予它的期望的情况。安理会当时是广为关注且受到超级大国都支持的机构，渴望能够应付侵略和保持世界的和平与安全，但安理会的成效却由于美利坚合众国和前苏联之间40年的核对抗而大打折扣。", "然而，布赖恩爵士说，冷战时期安理会也没有完全瘫痪，还是解决了一些十分严重的危机。例如，第一次阿以战争期间，安理会任命了巴勒斯坦问题调解人。安理会通过斡旋平息了印度和巴基斯坦在克什米尔问题山的紧张局势。他还说，在那些年月里，不仅是常任理事国，当选成员也经常帮助安理会就摆在它面前的主要问题作出决策。", "布赖恩爵士说，在临时应付方面安理会成为了冷战时期里一个多产的地方。安理会取得了一些实质性的成功，同时也审议了很多的问题。安理会制定了实现中东和平和解决克什米尔问题的认真计划，尽管这些计划并没有能够付诸实施。安理会还为解决塞浦路斯问题制定了要点。安理会还积极推动通过国际合作保持和平的技巧，由于冷战时期核战争的严重威胁，这种技巧便成了特别关键的职能。", "布赖恩爵士对安理会成立以来担任过成员的很多大使表示了赞许。他指出，这些大使富有想象力的参与帮助改变了安理会，将建筑在必须由二战盟国联手维持和平的错误假设上的安理会变成了一个非常务实的机关。他指出，虽然《联合国宪章》中并没有提到，但维持和平是安理会的最大发明之一。安理会制定了各种谈判和调查手段，而这些手段都已成为维持国际和平与安全的重要工具。", "布赖恩爵士说，1986年是安全理事会动态发生重大变化的一年。随着安理会共同努力处理伊朗伊斯兰共和国和伊拉克战争，安理会常任理事国之间的关系开始得到改善。嗣后第二年，苏联总统米哈伊尔·戈尔巴乔夫呼吁更多利用安理会及其所掌握的预防性外交、调解和维持和平等工具。布赖恩爵士说，冷战结束时又出现了安理会所不适应的新的全球性挑战。第一次海湾战争期间，安理会授权从科威特驱逐伊拉克部队；他认为这是根据第七章授权的最后一次行动。尽管国家间冲突逐渐减少，但以叛乱运动为主要特点的复杂内部冲突、难民局势以及平民遭遇的艰难困苦大量增加。", "布赖恩爵士认为，安全理事会很好地适应了这种新环境。安理会多次授权在国家边界内部署和平行动。1990年代几乎所有的和平行动都是处理国家内的平民起义和社区间的暴力。面对给和平与安全带来的新挑战，安理会开始采取创新行动，变得越来越积极，并从更广义的角度解释《宪章》的规定。虽然多年来安理会有成功也有失败，但最后看来在多数情况下安理会是取得了成功。", "谈到这里时，布赖恩爵士指出，看一看安全理事会是如何处理很多人认为具有安全影响的正在出现的全球问题，是很有意思的。例如，气候变化可能产生的极端天气模式有可能造成被洪水淹没地区的大量移民。同样，不久的将来可能有越来越多的人生活在水源紧张的地区，以至使水量少到无法维持人口需要的地步。布赖恩爵士表示希望安全理事会能够解决正在出现的这些对和平与安全的威胁。", "最后，布赖恩爵士强调，安全理事会是富有活力和建设性的机关，它在相对比较暧昧问题上作出的决定有可能相互倚重，随着时间的推移而带来实质性的进展。他提醒新成员注意，安理会各成员提出的想法，都有可能导致产生其他的想法，这些想法最终会导致长期的解决办法，从而为架起由冲突到和平与安全的桥梁作出贡献。这是对安理会成员的挑战，也是安理会成员带给人们的期望。", "第一场会议 2010年安理会状况：总结过去，展望未来", "主持人：", "法国常驻代表 热拉尔·阿罗大使", "评论员：", "波斯尼亚和黑塞哥维那常驻代表 伊万·巴尔巴利奇大使", "加蓬副常驻代表 埃马纽埃尔·伊索兹-恩贡代特大使", "中国常驻副代表 王民大使", "第一次会议为安全理事会成员提供了一个机会，使他们能够反思安理会工作的现状，展望安理会在今后几个月乃至几年面临的挑战。会议的重点是：安理会议程、工作量和实效趋势；预防冲突和建设和平；以及安理会与区域组织的合作。", "安全理事会议程、工作量和实效趋势", "在开幕会议上，一些与会者指出，安全理事会的工作量依然繁重不堪，尽管爱德华·勒克教授为研讨会编制的背景文件中所记录的近年来非正式会议、非正式磋商、主席声明和决议的数目都有所减少。事实上，人们普遍认为安理会仍然是联合国系统中最具建设性和最有活力的机关。但人们也承认，这种工作量给各代表团造成沉重的负担。一位与会者指出，造成这种情况的原因是，安理会变成了监测和管理一套范围渐增的共有问题相关危机的一种准行政机构。他指出，赤道几内亚的危机就要求必须考虑有组织犯罪和贩毒问题。同样，还提到的例子有萨赫勒的恐怖主义。", "一位发言者认为，安全理事会的任务一如既往没有改变。众所周知，《宪章》赋予安理会维持国际和平与安全的主要责任。这一点没有变，但安理会处理的问题日益错综复杂。安理会继续致力于国家间的冲突，但现在也处理国家内的“脆弱局势”，这种局势引发了有关国家主权的辩论。这名与会者说，安理会正在处理诸如人权、人道主义援助、法治、保护妇女与儿童、反恐、不扩散以及与选举有关的争端等共有问题，处理这种大量问题正是造成这种工作量繁重的原因之一。为解决这些问题需要举行大量的磋商，因而使得没有时间对战略规划进行反思。另一位参加讨论的人对于缺乏战略性辩论深表失望，认为“战略并不意味着很高的高度”。这位发言者呼吁就索马里和刚果民主共和国进行战略辩论，在这些国家，千百万人的生命受到威胁。", "几名与会者就需要有更多机会从战略角度进行思考的问题作了评论。一位与会者指出，安全理事会能够对和平与安全问题产生深远的战略影响。安理会的决议和主席声明传递强烈的政治信息，能够指导国际社会帮助协调参与解决冲突的各行为者。苏丹就是一个很好的例子。但是，为了更加有效，安理会必须具备更为战略性的观点。", "另一位与会者指出，如果安全理事会能够拿出更多时间进行长期思维，安理会就应从远处着眼，问一问今天还没有讨论到哪些未来的威胁。十至二十年后对国际和平与安全的威胁是什么？安理会成员是否应考虑缺水、生物威胁、流行病和网络威胁？从根本上说，安理会应更具前瞻和创新的眼光，跳出自身的“四堵墙”和“舒适的小天地”。最后，安理会应更多了解世界上青年的需要，因为在世界很多地区，青年人占多数。", "另一位发言者同意，安理会必须打破死板做法的周而复始并适应变化着的世界。为适当考虑这些新问题，需要更大的灵活性和务实精神。一位与会者提出，在这一点上，应该批评安全理事会过于“学术性”的做法。例如，联合国毒品和犯罪问题办事处曾两次接触安理会，提出非常有说服力的问题，但安理会却没有相应采取行动。在一些正在出现的跨国安全威胁上，其他论坛正在进行热烈的辩论，安理会却不然。", "关于安全理事会行动的范畴问题，另一位发言者同意，安理会行动的范围仍然过于狭隘地集中在冲突管理上，而不是在解决或预防冲突方面。预防应在安理会议程中占据更突出的位置。然而，在这方面安理会很好地处理了苏丹局势。今后，安理会必须解决气候变化以及其他“新的全球性挑战”带来的安全问题。这是个有争议的问题，会引致关于主权的辩论，但如果安理会不去解决气候变化问题，二十国集团或其他的机构会去解决。问题是哪种做法是务实的做法。另一位发言者同意，气候变化是安理会必须解决的问题，但首先需要确定和分析同和平与安全关系最为密切的问题的各个方面。只有这样安理会才能确定最佳行动方针。", "一位评论者提议通过短期和长期两种途径设想安全理事会的工作。在短期内，当然必须对眼前的危机和随时发生的威胁作出反应。这是安理会的首要责任。但是，还必须考虑安理会的日常工作如何能够有助于长期加强国际和平与安全。另一方面，安理会的年度报告很少或根本没有提及一些长期存在问题的发展情况，包括中东、塞浦路斯和西撒哈拉。安理会能否改变这些长期冲突的态势？另一方面，安理会为专题性问题增添了真正的价值，例如妇女、和平与安全，儿童与武装冲突，以及保护平民。安理会为国际价值观、规范和标准的发展作出重要的贡献。如果以10到15年的眼光来看待安理会的工作，那么，这些发展就更加显而易见。正是在安理会工作的这些规范性内容方面，非常任理事国的影响最为明显。", "展望未来，一位发言者指出，安全理事会今后一年将会继续解决苏丹、索马里和中东问题，而在这些问题上有足够多的空间让外交和预防努力发挥作用，要求安理会必须不负使命。在未来一年里，安理会应重新确定与各区域组织的关系，同时努力加强安理会工作的建设和平的方面，这就需要加强同建设和平委员会的协作。", "另一位与会者提议，安全理事会今后的重点应该是威胁国际和平与安全的主要问题。安理会议程中三分之二的问题涉及非洲。一次，安理会应将更多的时间和资源用于同非洲联盟和其他区域及次区域组织合作解决非洲的局势 。安理会应更多参与预防性外交，在试行制裁或施加压力时审慎行事。此外，安理会应尽全力以协商一致的方式作出决定。一致的决定，例如最近关于苏丹问题的主席声明(2010年11月16日的S/PRST/2010/24)发出的信息最有力。", "维持和平", "一位成员表示想知道，安全理事会多少时间是用在和平行动上。如果从联合国以外的眼光来看维持和平的话，有两件事令人瞩目：特派团数目的增加和存在的时间之长。一些特派团已存在长达50年，这是个问题。一种解释是，安理会涉及最多的是出现或重新出现的冲突，而对特派团的长期监督较少。这位发言者欢迎关于撤出战略继续的专题辩论以及维和特派团应尽早撤出以便为长期建设和平工作留出空间的建议。另一位与会者说，安理会在确定维和特派团的过渡和撤出战略方面取得了重大进展，包括在2010年2月就这一问题进行的辩论期间。", "关于撤出战略，几位与会者注意到，安全理事会面临着东道国要求过早撤出或修改特派团任务的新趋势。这种要求让安理会感到不同寻常和不安，需要进一步讨论如何改善与东道国的关系。另一位发言者提到同部队派遣国的关系方面的问题。这位发言者敦促安理会加强与部队派遣国的交往，认为更深入地同在实地工作的方面打交道能够让纽约作出更好、更加知情的决策。", "一位发言者认为，刚果民主共和国对安全理事会及其任务来说一直是一个长期的考验。刚果民主共和国是幅员广大的国家，给维持和平提出了很多不同寻常的挑战。鉴于这些挑战，各行为者之间增进了解非常必要。纽约在做决定和考虑任务规定时，应考虑地面行为者的意见。尽管制订适当的任务实属不易，但确定全面落实任务所需要具备的前提更具挑战性。为这么多维和特派团支付资金，也可能让联合国系统不堪负荷。另一位评论者说，安理会常常在没有足够财务概算和没有落实行动的适当军事手段的情况下变就行动作出决定。", "一位讨论者认为在苏丹问题上的民事和军事协调不足。军方在联合国内不仅仅需要有话语权。联合国里有非常多有胆识、英勇的人，但需要加强同联合国蓝盔和文职工作人员的沟通。另一位与会者赞同安全理事会非常缺乏军事专门知识的说法，并评论说，人们很少在安理会看到有将军。如果与北约组织这样的组织相比较，那么，联合国处理军事事务的程序和机制就显得特别有限。例如，没有指挥系统。尽管在像塞浦路斯这种传统维和特派团的时代这种不足或许还可以接受，但监督像刚果民主共和国这种大型而复杂的特派团就不能接受这样的不足。", "另一位与会者提议，应在安全理事会对维持和平问题进行战略辩论。这位发言者对联合王国和法国所提议的举措表示支持，并建议安理会围绕维持和平的做法进行更多的战略讨论。这位与会者提到，维持和平行动工作组在专家一级举行会晤，并建议该工作组举行若干次大使一级的会议，并让军事顾问出席会议。", "一位发言者主张，在拟订维持和平的任务时，安全理事会授权的特派团应立足于“标准”的模板，规定必须完成的具体的不可再少的最低任务。当然，除了这一最低要求外，每一任务还必须具体适应地面的具体现实。这位与会者认为，对人权的监测应成为维和任务的这种标准规定之一。没有这样的规定，特派团很容易受到破坏。另一方面，几位发言者对于维和任务因任务太多并缺乏重点而形同“圣诞树”的趋势表示遗憾。", "预防冲突和冲突后建设和平", "与会者普遍认为，正如《宪章》第一条第一项强调的，维持国际和平与安全必然会包括预防冲突。但是，一位讨论者提醒研讨会，单单安全理事会本身不能这样做。区域组织和联合国秘书处，包括秘书长和政治事务部一直都在参与预防冲突。安理会的角色是为这些行为者提出任务和提供支助，使之能够更好地取得成果，然后并让这些行为者负起责任。例如，政治事务部目前没有适当的资源。一位讨论者在附和更多强调预防冲突的呼吁时指出，政治事务部应该要求举行一次认捐会议，为其预防工作动员资金。安理会必须确保政治事务部获得适当的支助。", "另一位与会者表示，有必要在把预防问题落在实处的问题上达成共识。这位发言者认为，应该以最有效的方式将紧缺的资源用在预防和解决冲突上，并因此呼吁这方面应作出明确的“模式转变”。应把重点放在解读预警信号和制订具体措施以避免冲突爆发上，而不是坐等危机发展到需要部署部队的代价昂贵的地步。", "另一位发言者认为，安全理事会成员之间在安理会工作的范围和性质方面存在某些不同看法。成立安理会的本意是否就是只能审议的全面爆发的危机，抑或可以在仍有可能控制时便着手处理潜在的危机？另一成员回应说，在预防是否属于安理会工作的权限问题上并不存在争议。但是，在如何以及何时着手处理方面存在着不同的观点。", "一位发言者称安全理事会的苏丹系统工作方案是预防冲突的一个正面的例子。安理会过去六个月经常就这些事项举行会议，10月并向苏丹派出访问团。这是一种深入的参与，涉及到很多工作。其他的情况需要类似的承诺。例如，在刚果民主共和国问题上就没有达到类似的规模。这位与会者承认，在某些方面来说，苏丹可以说是处理起来比较直截了当的情况，因为苏丹问题业已列入安全理事会议程，并部署了两个大型特派团。大多数需要进行预防冲突的地方情况并非如此。这位发言者说，安理会的讨论不应局限于正式列入议程的局势。这位发言者认为，预防的意义就在于从一开始便不让各国进入安理会的议程。若要更有效地预防冲突，安理会做事的方式就应尽可能的敏捷和灵活。", "另一成员同意，安全理事会在处理已列入议程的问题方面比较驾轻就熟。解决新的局势必然要涉及辩论是否应将这种局势列入议程。在这方面，一位与会者认为，安理会应更好地利用议程上“其他事项”这一项目，作为提出新问题的一种机会。加入不可预测因素的做法，能够鼓励大使们从始至终地参加完安理会的会议。一位与会者认为，安理会审议的大多数项目来自国内问题，这便引起有关主权和安全理事会的角色的各种争议。他们都认为，尽管这种情况仍然是一种政治障碍，但目前阶段在提交安理会的事项中，很少是那种威胁国际和平与安全的传统的国家间争端。", "几位发言者称，最近邀请主管政治事务的副秘书长向安全理事会作全面介绍的举措是对预防冲突的有益贡献。但有人不同意初步通报所取得的成功。一位讨论者对这一想法作了评论，但对没有导致进行辩论感到遗憾。这位发言者认为，通报最好是侧重于一两个问题。另一位与会者同意，更有效的做法是秘书处就少数“热点问题”作深入的评估。第三位发言者为目前政治事务部通报所有预防举措的做法进行辩护，认为这样做有好处。或许通报后应该举行问答会。另一位与会者认为这种问答会不起作用，希望不要继续举行。", "成员们更一般地强调秘书处与安全理事会之间互动的重要性，特别是在预防性外交方面。一位与会者指出，由于涉及对国家主权的关切，安理会在何种程度上可以单独行动上是受到限制的。另一位讨论者认为，安理会应定期留出时间全面审视秘书处在预防方面所做工作以及在各个阶段遇到的挑战。", "一位发言者告诫说，不论总部有哪些改进，联合国在地面存在的弱点给预防冲突带来严重障碍，必须加以解决。地面早期预警等预防机制还不够，同时，维持和平任务和资源之间一直存在差距。但其他发言者提到联合国西非办事处的建立，认为它是朝着在实地预防冲突和建设和平方面的迈出的积极的一步。", "几位与会者就冲突后军事化对于安全理事会工作的重要性作了评论。一位发言者指出，起草任务时越来越多地考虑到这一概念，因此，这一概念还会继续演变和发展。为了缩短干预的时间和避免重新爆发冲突，维和行动应为后续的建设和平机制铺平道路。这位发言者认为，这种实质性的关系突出说明了安全理事会与建设和平委员会之间高级别互动的好处。第二位对话者评论说，尽管经常有国家呼吁在维持和平与建设和平之间建立更加有机的联系，但实际上并没有出现这种情况。应更加重视建设和平，制订任务和撤出维持和平部队时都应该如此。", "与区域组织的伙伴关系", "很多与会者注意到同区域组织结成伙伴关系的重要性。一位与会者评论说，正如非洲联盟-联合国达尔富尔混合行动所证明的，安全理事会与区域组织间的协调近年来有所加强。但有与会者指出，这种伙伴关系有可能使决策进程变得更加困难。一位与会者认为，安全理事会根据协商一致行事，安理会不仅在15个成员中这样做，而且也越来越多地同非洲联盟等区域和次区域组织、西非国家经济共同体(西非经共体)和欧洲联盟这样做。几位成员提到，联合国同西非经共体在几内亚的合作就是特别有成果伙伴关系的一个实例。", "一位讨论者指出，《联合国宪章》(第五十二条第二项)规定了预防和解决冲突的一系列步骤。应该首先在双边一级解决危机，然后在区域一级，只是在后来才在安全理事会层面上解决危机。因此，应避免从一开始便在联合国层面上开始的倾向。另一位讨论者认为，这表明安理会成员应更认真地听取区域机构的信息，如果是后者首先出面解决新出现的危机，应该让其有更多的机会完成其预防努力。", "有与会者指出，区域组织常常掌握特殊的本地知识和其他比较优势，安全理事会应在力所能及的情况下加以利用。有时候联合国应提供领导，但领导常常应该是来自区域组织。关键是避免生硬的做法，支持公开的讨论和建立共识。", "围绕联合国是否应对非洲联盟特派团给予财政支助问题进行了热烈的讨论。有人认为，像非洲联盟驻索马里特派团(非索特派团)等安全理事会授权的区域性维和特派团常常没有足够的财政和后勤支助来源。另一位讨论者同意联合国没有为非洲联盟提供足够的支助的说法，但认为，如果联合国为某一行动提供财政支助，那么，联合国就应对如何开展该项行动拥有某种发言权。这位发言者认为，提出联合国为何要为它没有管辖权的某一行动提供财政支助这样的问题完全是正当的。另一位与会者则认为，安理会应支持那些有助于承担维持国际和平与安全的重任的区域特派团，特别是在安理会授权派遣区域特派团的情况下。一位讨论者反驳说，安理会常任理事国一般都认为摊款不应用于有充分资金的区域行动。但是，摊款可用于支付某一特派团的费用的一部分，例如像达尔富尔和索马里的情况。", "一位成员详细谈到联合国授权的一支非洲联盟部队——非索特派团。这位与会者认为，授权行动本身说明，安全理事会承认该特派团十分重要，应得到充足的资金。倘若非洲联盟无力有效领导某一特派团，那么，应将该特派团置于联合国的控制下。现已提供的一揽子支助金额不足。索马里海盗的活动范围突出说明，那里的局势构成了对国际和平与安全的明确威胁。但安理会对这一严重威胁却仅仅作了很少的审议。安理会为什么对乍得关注很多，而联合国部队的存在是有争议的？这位发言者呼吁采取更公平的方式，并采取清晰可见的标准来确定摊款用于此处或彼处的理由。", "还有人要求，安全理事会与非洲联盟和平与安全理事会的关系的具体运作方式应该有更大的透明性。在这方面，与会者详细谈论了非洲联盟所提安理会应停止国际刑事法院对苏丹总统奥马尔·巴希尔的指控的要求。在安理会是否收到非洲联盟正式请求这一问题上，看法有些混乱，但一位与会者确认收到了这种请求。一位与会者强烈要求就这一事项采取行动，认为，安理会应密切关注拥有本地特别知识的某一区域集团提出的要求。另一位发言者反驳说，安理会还没有处理这一要求，因为在此问题上看法还不一致。一些与会者认为，即便安理会无法就这一要求采取行动，也应作出某种回应。一位与会者强烈要求尽快作出回应。", "一位发言者还说明了应加强与欧洲联盟的关系的理由。他认为，安全理事会代表团访问的下一站应该是布鲁塞尔。一些发言者表示赞同。欧洲联盟有很强的能力。例如，一位讨论者认为，在某些情况下，欧洲联盟的快速反应部队能够为联合国和平行动作出重要的贡献。", "定性基准：评估安全理事会的工作", "第一场会议还对如何评价安全理事会的工作进行了广泛的谈论。一些与会者作了一般性评估。一位与会者说，安理会既令人振奋，也令人沮丧。在某些问题上，安理会可以是单单履行责任的一个舞台，但它也可以是应对无人敢出面解决的挑战的一个不可或缺的机构。另一成员表示，安理会必须时刻努力改善业绩以便应对一个接一个的挑战，使安理会自身“更加负责、更加行之有效、更加有意义”。", "一些成员提到问责制问题。他们认为，需要加强问责以提高安全理事会工作的效力和效率。一成员在回应这一问题时提到，目前还没有能够用以评估安理会工作的普遍接受的定性基准，勒克教授为研讨会编写的背景文件曾经提到这一问题。这位与会者建议，安理会应让勒克教授负责起草一份后续文件的任务，述及如何建立一种定性基准制度。安理会随后可以举行一次“小型务虚会”，对结果加以讨论。几位与会者同意，这样做会有帮助，但制定这种措施并不容易。", "第二场会议 工作方法和附属机构", "主持人：", "巴西常驻代表 玛丽亚·路易莎·里贝罗·维奥蒂大使", "评论员：", "美国常驻代表团 公使衔参赞威廉·格兰特先生", "尼日利亚常驻副代表 拉夫·布坎-奥卢沃莱·厄内莫拉大使", "黎巴嫩常驻代表 纳瓦夫·萨拉姆大使", "在第二场圆桌会议上，与会者讨论了同安全理事会工作方法和附属机构有关的问题，包括鼓励在安理会磋商中开展真正辩论的战略、专题辩论会的作用、主席的责任、同其他联合国机关的合作、向非安理会成员开展外联活动、同媒体的关系以及安理会访问团。本场会议中一再提起的一个议题是让安理会工作方法的透明度和包容性与安理会整体效力和效率达致平衡的必要性。", "关于安全理事会工作方法的看法", "与会者注意到过去几年在改进工作方法方面取得了进展，并对安全理事会变革、适应和不断振兴自我的能力表示赞赏。几位发言者认为，持续和渐进的改革进程能够更好地让安理会适应变化而又不影响效率。", "几位与会者注意到安全理事会的工作量很大，产出很多，因此建议精简安理会的工作。一位与会者指出，安理会工作很大部分属于工作日程的职能。例如，每月、每季度或一年两次的任务审查事先很早便排定时间，因此，这些审查的时间很少能跟得上实地事件的发展情况和速度。这位发言者认为，安理会应该在每年的年初对其所有议程项目的审查时期作一审查，以期使审查时期合理化并确保审查的周期反映每一项目的相对重要性。同样，另一位发言者认为，安理会应在秘书处的帮助下对产出做一次年度评估，以确定是否有任何主席声明或决议属于没有必要，以及这些声明或决议的案文是否可以压缩或加以澄清。", "几位发言者说，新成员进入安全理事会任职时，不像常任理事国成员那样对工作方法有很多了解，因此有很多不利的地方。例如，他们有可能不太了解何时起作出了改变。一位成员提到与区域集团磋商模式的调整，用以说明问题提出前他们不了解所作改变的情况。发言者建议新成员很早就开始注意工作方法，以便能够更好地跟踪所作的任何变化。在这方面，与会者普遍对日本为编制工作方法手册所作贡献表示赞赏。", "附属机构", "会议简要讨论了安全理事会附属机构的工作和各委员会主席的作用。一位成员谈到各委员会主席的重要外联角色，因为在委员会所处理的具体问题上，他们代表的是安理会的公众形象。个人成员更多的这种有针对性的外联将是有益的。一位与会者对甄选附属机构主席的程序提出批评，强烈要求增加这一进程的透明度和民主化。这位与会者还提出是否存在任何特定的规定让常任理事国不能担任制裁委员会主席的问题。另一位发言者提出了附属机构工作方法的问题，质疑为什么这些委员会实行协商一致和一致同意的原则，而不是依循整个安理会的做法。", "外联", "会议就安理会的外联活动进行了热烈的讨论，包括联系其他联合国会员国、联络小组、主席之友小组、建设和平委员会国家专题小组主席、区域组织代表、民间社会以及新闻界的活动。一个主要议题是让透明度和包容性与效力和效率达致平衡的必要性。一些人认为，效率不应排斥知识，强调同其他集团定期举行会议的益处。例如，一位成员谈到安理会成员定期同其区域集团进行联系的益处。几位发言者称赞安理会越来越愿意让非成员参加，包括通过借助非正式的互动对话。但其他发言者认为，应该做更多的努力让非成员有机会表达意见和让它们的意见得到考虑。有人还称赞阿里亚办法会议，认为这些会议是有益的外联机会，但有几位与会者认为这种会议已略显过时。在最近举行的几次会议上，安理会所作介绍不多，同非政府组织代表的真正互动也不多，这些代表读到的主要是写好的发言稿。鉴于这一看法，有人呼吁举行形式作了更新的新式阿里亚会议。", "几位发言者认为，安全理事会在外联方面取得的巨大进展，超过了人们普遍的赞誉。当然，非常任理事国成员一向可以参加安理会的非正式公开辩论。一些与会者提到扩大外联活动的各种机会。例如，安理会提交大会的年度报告通常导致就安全理事会的改革举行一场辩论，仅此而已。因此，发言者建议大会主席将年度辩论会分成两场单独的辩论会：一场是关于安理会的改革，另一场是关于安理会的实际工作。后者可以鼓励进行更活跃的交流，安理会的15个成员可以在交流中听取并于嗣后讨论广大会员国的坦诚的反馈。这位发言者还对出席主席关于安理会每月工作方案通报会的人常常寥寥无几表示遗憾。", "一位发言者称，非成员所缺乏的是关于具体问题的互动，而不是参与公开辩论。一位成员强调，概念问题以及盛行的概念是，在涉及透明度、包容性和问责的时候，这种模式就不灵了。另一位与会者反驳说，“安全理事会处理真正的工作时方式并不公开。”尽管安理会的程序已变得比较公开，但这位发言者告诫说，开放性本身不应成为一种目的，因而有可能丧失在秘密谈判中有一席之地的优势。安理会的磋商被视为安理会成员的非公开碰头会，讨论的是安理会所处理的严重问题。多年来的问题是外部人员发表意见过多的这种趋势。尽管安理会可能是“本城最佳表演”，但这并不是说来者不拒。同样，其他发言者也对磋商的保密性以及特别是普遍存在泄密的情况表达了关切。", "一位发言者提出了两个同包容性有关的问题。一是关于是否应允许建设和平委员会国家组别小组负责人在磋商中发言的问题。这位发言者说，应该扩大规定以便让不是安理会成员的主席能够参加关于这些局势的磋商。就中小代表团来说，让其他国家的专家就某些问题提供后援是有帮助的。尽管安理会的规定不允许非国民进入磋商室，但出现过安理会成员在其代表团内包括非国民的少数情况。", "几位成员在承认主席之友小组某些情况下可起很大帮助作用的同时，又对当选成员常常受到相对于同属这些小组的国家而言二等待遇的情况感到遗憾。属于主席之友小组成员的非安全理事会成员常常比一些安理会的非常任理事国得到更多的信息。一名与会者认为， 主席之友小组工作在由整个安理会进行时，其实质性质量通常都得到提高。", "另一位与会者提出了安全理事会同新闻界的关系问题，并提到有人就联合国基本建设总计划工作和安理会会议厅暂时转移导致订出的新规定提出了抱怨。应该从联合国新闻报道和联合国的整个公众形象这一广泛背景来看待这些关切。当前的趋势是，报道越来越无规律性，对情况了解得越来越少，持续报道联合国的知识渊博的常驻纽约记者越来越少。这位发言者认为，整个联合国，包括安理会，都应该严肃思考联合国的传播战略，以避免出现只报道坏消息的情况。针对这些关切，另一位与会者同意，联合国应该留住高质量的记者是一种集体利益。安理会已请秘书处向那些根据新规定使用空间要缴费的记者提供帮助。", "一位发言者指出，向新闻界介绍安全理事会分歧特别大的问题，是一项挑战性很大的任务。另一位发言者指出，主席对新闻界的谈话一般都是同安理会15个成员一道拟就和谈妥。另一方面，对新闻界的讲话可能比较模糊和笼统，但有时候也必须经过谈判。对于安理会有分歧的情况来说，主席没有向新闻界发表谈话的权利，只能以本国代表的名义发表谈话。", "安理会磋商", "就如何鼓励安全理事会磋商中开展真正的辩论进行了热烈的讨论。从理论上说，这些会议完全是非正式的，让安理会成员有机会就最优先和共同关心的问题进行战略性的坦诚交流。正如研讨会的很多与会者所说的，现实却非常不同。几位与会者强调，他们对于磋商的内容和形式都感到失望，这些磋商既不活跃，也没有重点。一位发言者说，通常的做法是代表们宣读发言稿，即使在闭门磋商中也是如此，而不是进行真正的意见交流。一位与会者估计，磋商中宣读的发言稿80%与会议厅中面对媒体和其他观察员发表的发言稿相同。另一位讨论者将安理会的“死气沉沉”同欧洲联盟的情况做了比较，欧盟的27个成员国能够就广泛的问题进行热烈的辩论。", "会议就如何让磋商变得更加活跃和有效提出了一系列具体的想法。例如，几位发言者评论说，安全理事会成员最好能够一致同意摈弃在磋商中使用写好的发言稿的做法。但一位与会者怀疑这样做实际上能否促进更加活跃的交流，担心会出现保密和泄密危险的问题。另一位与会者指出，磋商中所使用的提要是联合国代表团用来与首都进行沟通的一种手段，目的是商榷代表团打算在安理会讲些什么，轻易不能改动。如果代表团觉得有必要在磋商中宣读发言稿，建议它们至少可以将稿子简化。", "获得广泛支持的一条建议是希望安全理事会摈弃磋商中开列发言者名单的做法。另一位成员说，在最近举行的一次没有发言者名单的会议上，“只有有话要讲的人发了言。我们听到的发言不多。讨论很简短，过程很快，内容翔实，我们接着处理别的议题”。但一位与会者告诫说，这种会议仍然需要以透明的方式加以组织，说明为何发言以某种特定的顺序进行。与会者还谈到，安理会有必要建立一种没有人会觉得非公开磋商中必须就所有问题发言的文化。一位对话者指出，这并不是说安理会成员只应就涉及其重大国家利益的问题发言。这种做法将违背安理会的精神和目的，安理会的15个成员负有维持国际和平与安全的首要责任，即便在本国在其中没有切实利益时也是如此。", "一位成员指出，磋商越令人感兴趣，就越接近变成谈判，就越必须保持其非公开性。如果磋商只不过是规模较小的公开会议，那就没有必要在非公开的会议厅举行磋商。但如果安理会成员开始时是利用磋商实际谈判实质问题，那么，就必须像原设想的那样保持这些会议的机密性。与会者敦促新成员切勿在促进辩论的问题上轻易放弃。一位与会者认为，不好的习惯很难抛弃，但并非不可能，这位与会者建议新成员在安理会内和那些同他们一样希望看到变革的成员组织起牢固的同盟军。", "谈判案文", "一位成员指出，大多数案文是在专家一级进行谈判，但即使是在专家一级，安全理事会的成员所谈判的也常常是常任理事国确定的“预制”案文。正如一位与会者所说的，“如果安全理事会成员希望会议结果是预制好的，那么，它们就不应抱怨这些会议乏味”。有时候，最让人感兴趣的辩论发生在程序一级。这位发言者提到1990年代的不同情况，那时候，深入而实质性的谈判常常是在大使一级进行。与会者提到最近的一些例子，在这方面，安理会工作的质量得益于在大使一级进行的讨论，特别是关于第1325(2000)号决议十周年以及西撒哈拉的决议的讨论。", "在讨论2011年安全理事会组成问题时，还讨论了“预制”成果案文的趋势。2011年的组成将包括希望成为常任理事国的5个非常任理事国的成员。一位与会者想知道，这些成员是希望成为进行“预制”的少数会员国的一部分，还是希望在15个成员中进行包容范围更广的讨论。另一位与会者认为，同非成员讨论包容性也适用于安理会的内部业务。起草决议时增强包容性的趋势，将会营造一种“集体所为，集体拥有”的成果感，从而导致更大的实效与合法性。", "几位与会者谈到安全理事会成员认为协商一致的决定是最有效的决定这样一种趋势。一些与会者评论说，他们感到惊讶的是在努力达成一致方面呈现的那种强烈趋势。有这样一个例子，倘若付诸表决，这场辩论原本15分钟内便可结束，但安理会为确保在某一决定上获得一致的支持进行了17个小时的磋商。尽管实际表决时很少使用否决权，但一位发言者评论说，“你知道是有否决权的”。这位讨论者认为，安理会成员寻求共同立场的愿望是真实的，建设性的，值得高度赞扬。", "公开辩论：在透明度和有效性之间取得平衡", "就公开辩论的议题同样进行了热烈的讨论。一位与会者指出，安全理事会2009-2010年度报告的导言强调了专题辩论会带来的积极影响。这一结论说明，过去十年在一些专题问题上取得了显著进展，包括保护平民、武装冲突中的儿童以及妇女与和平与安全的专题问题。一些发言者提到安理会新任主席都计划在他们担任主席的那个月举行一场专题辩论会的趋势，这些发言者评论说，当选成员要找出一个能够通过主席声明的形式“留下他们的烙印”的问题，可能十分困难。一位与会者告诫不要花太多精力筹划“预先准备好”的专题辩论会，因而忽略其他的议程项目。另一位与会者强调，只有在绝对有必要听取非成员的意见时才应举行公开辩论会。这位发言者认为，辩论的数目越少，安理会就会越多产。", "几位发言者同意，公开辩论的潜力还没有充分发挥出来。辩论会常常时间太长、重复而乏味。公开辩论往好处说能够让广大会员国通报情况和征询它们的反馈。然而，与第二个目标相比，第一个目标实现的机会更多些。为了增强公开辩论的相互作用的性质，建议非成员首先发言，安理会大使发言后不要离开，主席声明在会议最后宣读，实行并落实发言不超过五分钟的规定以及公开辩论只限于上午的会议。目标应该是找到一种方式，让非成员能够发言、意见得到听取以及为辩论作出真正的贡献，而不只是做样子给人看。", "主席的作用", "与会者还讨论了安理会轮值主席的作用，并就新成员如何准备担任主席的问题提供了一些具体建议。一位与会者谈到主席发挥的重要外联作用，不管是通过向新闻界和非成员的通报会还是通过会晤秘书长和大会主席。但另一位发言者说，联合国系统仍然没有对安全理事会的主席给予足够的认可。例如，一些区域集团看来对在他担任主席期间同他进行磋商并不感兴趣。", "与会者强调，每一位新任主席都必须认真对待主席的角色，并仔细考虑如何更好扮演这一角色。例如，一位与会者建议主席为成员举办每月午餐会讨论一个问题。这种午餐会可以起到集思广益会议的作用，研究主席想要强调的某一个具体问题，不管是冲突局势还是专题问题。一位成员指出，尽管主席有某种程度的灵活性，但安理会工作的速度很大程度上取决于工作日程。由主席斟酌决定的每月活动的数量相当少，而且专题辩论会的排定需要适应现有的工作日程。这位发言者呼吁就每月工作方案进行更多的辩论，并呼吁安理会成员对每月的重点进行更多的战略讨论。时间最短的安理会会议往往是通过工作方案的会议，而常驻代表之间通常很少有实质性的讨论。但另一位发言者指出，2010年11月，采取了一些有创意的办法，利用担任主席的机会确定安理会的战略方向。", "安理会访问团", "就安全理事会访问团进行了热烈的讨论。几位与会者指出，安理会前往列入其议程的国家的访问团为成员提供了会晤行为者、讨论问题、传递信息和听取各种不同意见的机会。因此，访问团为安理会成员自我教育以及联系其他方面，不仅仅是政府官员，也包括广泛的组织和个人，都提供了机会。因此，几位发言者认为访问团对于安理会的工作至关重要，尽管访问团费用很高，并给东道国带来负担。发言者以派往苏丹、阿富汗和刚果民主共和国的访问团为例，说明在这方面访问团十分有益。", "还提出了关于加强访问团的建议。例如，有人主张事先做更多的工作来确保安全理事会成员有所准备，能够向所访问国家的人民传达清晰的信息。与会者以刚果民主共和国为例来说明这一点。一位与会者表示，安理会原本可以做更多的准备，回答有关撤出维和部队的提问。有与会者建议更多利用“小型访问团”的做法，大约5位安理会成员组成的小组访问一个国家，然后向安理会其他成员提出报告。这能够让安理会派访问团前往像西撒哈拉和中东等不常去的地区。不赞成此建议的一位与会者反驳说，安理会访问团的作用大就在于所有15个成员国能够看到同样的东西，并有机会进行互动和讨论其所见所闻。这位与会者指出，如果安理会采取“小型访问团”的做法，就会失去通过实地印象集体了解情况的感觉，并补充说，“由一小分组同事将他们的报告读给你听，与前往实地和第一手了解我们处理的问题，是大不相同的”。", "一些发言者呼吁将全体成员访问团同小型访问团结合起来。他们认为，安全理事会在处理诸如苏丹或阿富汗等严重影响国际和平与安全的局势时，所有15个成员国都应参加访问团。就其他情况而言，派遣一小组就足够了。好处是可节省费用和增加灵活性，因为小型、较机动的访问团能在一个国家多待几天，又不带来不必要的负担。但与会者在是否以及如何作出这种选择问题上表示了不同的意见。例如，东帝汶是否可以派遣小型的安理会访问团？几位与会者告诫不要造成一些国家比其他国家“更重要”或安理会有双重标准的印象。为此，一位发言者建议，访问团的大小所体现的应该是所面临挑战的严重性，而不是有关国家的相对重要性。另一位发言者认为，所有访问团都应让所有成员参加。", "就增强安全理事会访问团(不论其规模)的影响问题提出了几条建议。一位评论者认为安理会访问团期间需要更多军事专门知识和与军方作更多接触。另一位评论者对于安理会没有更好利用派往阿富汗和苏丹的访问团表示遗憾。尽管访问团作了很多准备，职权范围明确，要传递的信息明确，但安理会成员事后没有碰头评估他们的所见所闻。应该更加努力从这些访问团中吸取集体的经验教训。同样，另一位成员认为，关于所汲取经验教训的非正式讨论应该成为所有安理会访问团之后的标准做法。", "第三场会议 经验教训：2010届成员的反思", "主持人：", "俄罗斯联邦常驻副代表 康斯坦丁·多尔戈夫公使", "评论员：", "土耳其常驻代表 埃尔图鲁尔·阿帕坎大使", "奥地利常驻代表 托马斯·迈尔-哈廷大使", "日本常驻代表 西田恒夫大使", "墨西哥常驻代表团参赞兼政治协调员 吉列尔莫·普恩特先生", "乌干达常驻代表 鲁哈卡纳·鲁贡达大使", "主持人在会议一开始指出，每一位非常任理事国成员在两年任职期间都为安全理事会的工作留下烙印。而且，其中一些人有可能很快重返安理会。他感谢离任的一届成员为安理会的活动和工作作出的贡献，并评论说，虽然两年的时间对于常任理事国来说看来并不很长，但代表的却是安理会活动的一个重要部分。他认为，过去两年取得了很大成就，应对离任非常任理事国成员的扎实业绩表示赞赏。", "安理会动态以及常任和非常任理事国成员之间的关系", "一位与会者强调了安全理事会中外交官工作所体现的目标一致的意识。一位成员指出，安理会成员都理解，他们肩负着维持国际和平与安全的共同责任。这种集体的责任感常常可以战胜国家的利益。其他与会者表示同意，并评论说，常任和非常任理事国成员之间普遍都保持着友好的气氛。在大多数问题上，利益和价值观的结合并不以是常任和还是非常任理事国决定。一位发言者列举了人权、武装冲突中保护平民、工作方法以及妇女、和平与安全来说明这一点。一位离任成员指出，不管怎样，在安理会议程中，对其本国的眼前国家利益意识而言具有重要意义的项目相对很少，这就使其本国易于为建立共识做出贡献。另一位发言者评论说，安理会就很多问题、甚至是有争议问题达成一致是可能的。这位讨论者还以建立共识为例，认为这是安理会工作的一个尤其令人鼓舞的特点。重视共识，一定会激发合作的态度。但一位与会者质疑安理会的大多数外交官是否经常把全球利益放在国家利益之上。外交官经常追求狭隘的利益，而不是努力致力于更广泛的全球性问题。", "几位与会者再次谈到透明度和包容性的主题。他们说，常任理事国在安全理事会的工作中并没有时时刻刻把非常任理事国当作平等的伙伴。例如，存在着这样一种趋势：常任理事国起草决议案文，然后在没有与非常任理事国磋商的情况下，便与有关当事方讨论案文的实质内容。在这些情况下，非常任理事国有可能得到的是已成为既成事实的案文，没有机会提出实质性的意见。常任理事国还常常不经过充分的磋商，自行决定推选出附属机构的主席。其他发言者反驳说，不应把安理会缺乏透明度和包容性的责任全部推给常任理事国。非常任理事国可以更加积极主动，主动地同常任理事国进行建设性的沟通，并通过提出相关的问题对后者的特权提出质疑。毕竟，非常任理事国有10个，而常任理事国只有5个。另一位与会者补充说，新成员还可以给安理会带来新的活力和想法。", "本着这一精神，一位发言者鼓励新加入的代表团将安全理事会看作是不断发展的机构，其规范和价值观都会随着时间而改变。以五至十年的眼光来看，安理会工作的这种发展会变得更加容易理解，但其日常活动时不时地还可能是可以预测的，甚至是不变的。非常任理事国可以帮助决定安理会变革的方向。尽管一些国家可能不是大国或者较大国家，但非常任理事国能够对安理会的工作贡献智慧和创新。它们能够带来不同的观点，并时不时地对常任理事国的立场提出质疑，甚至就诸如中东等利益攸关的问题或非洲的各项和平行动提出质疑。几位与会者称，常任和非常任理事国之间的区分被夸大了，因为问题的范畴并不依从这种区分和类别。", "附属机构", "与会者要求新成员参加安全理事会附属机构，包括最能反映其国家政策利益和目标的工作组和制裁委员会。一位与会者评论说，担任儿童与武装冲突问题工作组的主席，反映了他的国家对于国际法和国际人道主义法的关注。同样，由于对裁军的承诺，他的国家担任了第1540(2004)号决议所设委员会的主席。", "几位发言者表示，担任附属机构主席的职务让非常任理事国具有了领导的机会，也为对安全理事会的工作做出有意义的贡献创造了更多的空间。通过领导安理会附属机构，新成员可以维护透明、问责和中立的标准。关于制裁委员会的工作，一位与会者建议新成员通过走访被制裁国家获得第一手的知识。制裁不仅是一种惩罚措施；制裁也可以用来作为鼓励遵守安理会决定的一种杠杆。", "新成员的机遇和挑战", "离任成员强调了安理会成员资格带来的独特挑战和机遇。几位成员评论了处理和平与安全问题带来的其他机关所没有的那种责任感。虽然存在过分强调消极面的趋势，但正如安理会在利比里亚、塞拉利昂、布隆迪和东帝汶的行动所证明的，安理会能够成就很多好事。另一位即将离任成员评论了安理会对朝鲜人民民主共和国的导弹试验有效和有说服力地作出反应的情况。他认为安理会对这一局势的处理是成员国之间进行建设性互动的一个典范。安理会面临非常困难的挑战时常常表现得最为杰出。", "一位发言者告诫新成员说，两年对于要成为安全理事会的一个有效成员来说还是一个非常紧张的时限。仅仅弄清楚安理会如何运作就需要六个月的时间，特别是在安理会的程序和工作方法方面。当选成员随后便只有18个月的时间作出实绩。但是，非常任理事国是能够在这一时限内取得很多成果的。", "另一位与会者强调了他在某一安理会成员担任主席的那个月工作极其紧张的经历。安全理事会主席必须对意外的惊奇有心理准备。他的国家第一次担任主席时，处理了像朝鲜民主主义人民共和国发射导弹和斯里兰卡危机等事先未能料到的事件。在那个月里，原先排定的辩论会涉及海地、儿童与武装冲突以及解决争端问题。当他的国家再次担任主席时，处理了对驶往加沙的土耳其船只的攻击、吉尔吉斯斯坦危机以及对大韩民国“天安”舰的鱼雷攻击事件。这些事件都是事先没有料到的。", "给新当选成员的建议", "一些发言者强调了挖掘非政府组织的想法和信息的重要作用。一位发言者提醒与会者，非常任理事国在1994年卢旺达灭绝种族事件发生时难于获得可靠的资料。幸运的是，多少年来，非政府组织帮助弥补了过去存在的信息空白。例如，在2009年斯里兰卡危机期间，非政府组织成了安全理事会有关实地发生事件方面的重要信息来源。另一位与会者赞扬了安全理事会报告网址(见www.securitycouncilreport.org)的内容，该网址为这位发言者代表团的工作提供了便利。非常任理事国还必须了解和倾听列入安理会议程国家的关切。当选成员也可以相互学习，从分享信息和想法中获益。", "另一个老生常谈的建议是利用秘书处。负责同安全理事会一道工作的官员据说素质都非常高，谙熟自己的工作，愿意提供中肯而及时的信息。为进一步证实这一点，一位与会者把秘书处称作安理会的巨大资产，认为如果没有秘书处的协助，非常任理事国便无法有效地工作。", "与会者强调了进入安全理事会时具有一个好的班子的重要性。一名发言者强调了有一名好的法律顾问的重要性。常任理事国的地位让这些国家拥有议事规则方面的特别知识，它们利用这种知识使自己处于优势，并常常使非常任理事国处于不利的地位。好的法律顾问可以学习安理会的程序，帮助他(她)的大使抵消这种不利。法律顾问还可以在非常任理事国担任附属机构主席时为它们的工作提供便利，因为担任主席常常涉及实实在在的法律工作。这位发言者认为，在专家一级进行谈判——以及就此事而言进行安理会的多数工作——的这种趋势突出说明有必要拥有一名出色的政治协调员和一组得力的专家。", "与会者告诉新成员说，安全理事会主席能够留下自己的烙印的一个方面是专题辩论会。但一些常任理事国对长时间的专题辩论可能占去安理会很多时间和使安理会无暇顾及其他紧迫的工作表示了关切。一位发言者说，这一挑战可以通过由新成员就安理会已计划在这些成员担任主席的月份里讨论的问题举行一场专题辩论会。常任理事国原先对专题辩论会的态度勉强，如今却也在担任轮值主席期间越来越多地组织此类辩论。中国组织的关于联合国与区域和次区域组织的合作的专题辩论会证明尤其有用。" ]

[ "Letter dated 1 August 2011 from the Permanent Representative of Finland to the United Nations addressed to the President of the Security Council", "I have the honour to submit the report of the workshop for newly elected and present Security Council members, which was held on 18 and 19 November 2010 at the Arrowwood Conference Center (see annex). The present report has been compiled in accordance with the Chatham House rules under the sole responsibility of the Permanent Mission of Finland.", "On the basis of the very positive feedback we have received each year from the participants, the Government of Finland remains committed to sponsoring the workshop as an annual event. The Government of Finland hopes that the report will not only help to familiarize newly elected members with the working methods and procedures of the Council, but also will contribute to a better understanding among the wider United Nations membership of the complexity of the Council’s work.", "I should be grateful, accordingly, if the present letter and its annex could be circulated as a document of the Security Council.", "(Signed) Jarmo Viinanen Ambassador Permanent Mission of Finland to the United Nations", "Annex to the letter dated 1 August 2011 from the Permanent Representative of Finland to the United Nations addressed to the President of the Security Council", "“Hitting the ground running”: eighth annual workshop for newly elected members of the Security Council", "18 and 19 November 2010 Arrowwood Conference Center Rye Brook, New York", "The Government of Finland, in cooperation with the International Peace Institute and the Security Council Affairs Division of the United Nations Secretariat, convened the eighth annual workshop for the newly elected members of the Security Council on 18 and 19 November 2010.", "The annual autumn workshops have served to help familiarize the newly elected members with the practice, procedure and working methods of the Security Council so that they are in a position to “hit the ground running” when they join the Council the following January. The series has also provided current members of the Council with an opportunity to reflect on their work in an informal setting.", "This year, the opening evening featured remarks by Sir Mark Lyall Grant, Permanent Representative of the United Kingdom of Great Britain and Northern Ireland to the United Nations and President of the Security Council for November 2010, and a keynote address by Sir Brian Urquhart, former United Nations Under-Secretary-General for Special Political Affairs.", "The full-day programme on 19 November included three round-table sessions that focused on the following themes:", "I. State of the Council 2010: taking stock and looking ahead", "II. Working methods and subsidiary bodies", "III. Lessons learned: reflections of the class of 2010", "Opening remarks", "Ambassador Lyall Grant thanked the outgoing members of the Security Council — Austria, Japan, Mexico, Turkey and Uganda — for their work over the previous two years, stating that they had made a significant contribution to the Council’s work individually and collectively. He also welcomed the incoming members of the Council — Colombia, Germany, India, Portugal and South Africa — underscoring that the other Council members were looking forward to working with them. He also thanked Mr. Jarmo Viinanen, Permanent Representative of Finland to the United Nations, and the Finnish Government for once again sponsoring the “Hitting the ground running” workshop.", "Ambassador Lyall Grant called the Security Council by far the most effective and adaptable of the United Nations bodies. He offered three observations about the Council’s work that had struck him since he arrived in New York, in 2009.", "First, he was surprised by the formulaic nature of much of the Security Council’s work and by its rules of procedure that inhibit more spontaneous debate. He commented that there may be a need for Council members to break out of their comfort zones and to move toward more informal and interactive consultations.", "Secondly, he suggested that the Security Council does not always prioritize its time well. He noted that, during the United Kingdom’s presidency in November 2010, of the 27 items on the calendar, 17 were of a routine nature dictated by the rhythm of normal events, five were in reaction to current developments and five were discretionary elements proposed by the United Kingdom. In his view, consideration should therefore be given to adapting the agenda so that it is not largely driven by routine mandate renewals and the calendar.", "Thirdly, Ambassador Lyall Grant commented that he had noticed among members of the Security Council a desire to be more active in conflict prevention and resolution. He noted that this would require members to use more of their collective authority in those areas, as most of the Council’s time was currently spent on conflict management.", "Ambassador Lyall Grant highlighted what he considered to be some of the Security Council’s successes in the preceding months, including on such issues as the Islamic Republic of Iran, the Democratic People’s Republic of Korea and women, peace and security. On the other hand, he pointed out that the Council had been unable to make significant progress on long-running disputes related to peace in the Middle East, Cyprus, Western Sahara and Somalia.", "He concluded by projecting that the Security Council was likely to be at least as busy in 2011 as it had been in 2010. While the Council had already invested significant time and effort on the Sudan, he added that this issue could well prove to be a significant short-term test for Council members in 2011.", "Keynote speaker", "Sir Brian Urquhart recalled that he had attended the first meeting of the Security Council, evoking the great expectations that accompanied its creation. At the time, it was anticipated that the Council’s members would abandon their national instincts in order to concentrate entirely on world peace, addressing problems of war and peace and prosperity and economic depression in a way that had never been done before.", "However, he underscored that the Security Council was soon challenged to meet the world’s expectations during the Cold War. As a highly publicized institution, backed by the Super Powers, that aspired to deal with aggression and maintain peace and security in the world, the Council’s effectiveness was handicapped by the 40-year nuclear stand-off between the United States of America and the former Soviet Union.", "Nevertheless, according to Sir Brian, the Security Council was not completely paralysed during the Cold War, managing to address some very serious crises. For example, it appointed a mediator in Palestine during the first Arab-Israeli War. It interceded to quell the tension between India and Pakistan over Kashmir. He added that, during those years, elected and permanent members alike frequently facilitated decisions on key issues before the Council.", "According to Sir Brian, the Security Council became a productive place for improvisation during the Cold War. It had some substantial successes while considering a large number of issues. It established a serious plan for the pacification of the Middle East and the settlement of the Kashmir issue, even though these plans have not yet been fulfilled. It also put in place the main elements of a settlement in Cyprus. The Council was also active in advancing the techniques of international cooperation to keep the peace, a particularly critical function during the Cold War because of the grave threat of nuclear war.", "Sir Brian praised the performance of many of the Ambassadors who had served on the Security Council since its inception. He noted that their imaginative participation helped to transform the Council — founded on the false assumption that the Second World War allies would band together to keep the peace — into a body that was nonetheless very practical. Although not mentioned in the Charter of the United Nations, peacekeeping is one of the Council’s great innovations, he observed. It has also developed various instruments for negotiating and investigating that have been important tools for maintaining international peace and security.", "According to Sir Brian, 1986 marked a critical change in the dynamics of the Security Council. Relations among the permanent members began to improve, as they came together to address the war between the Islamic Republic of Iran and Iraq. The following year, President Mikhail Gorbachev of the Soviet Union called for greater use of the Council and its tools, such as preventive diplomacy, mediation and peacekeeping. By the end of the Cold War, according to Sir Brian, new global challenges began to emerge with which the Council was not accustomed to dealing. During the first Gulf War, the Council authorized the expulsion of Iraqi forces from Kuwait; the last great Chapter VII operation, in his view. While inter-State conflicts were becoming less frequent, complicated internal conflicts, characterized by insurrectionist movements, refugee situations and immense civilian hardship and misery, were proliferating.", "In Sir Brian’s assessment, the Security Council has adapted well to this new environment. It has repeatedly authorized peace operations within the borders of countries. Virtually all of the peace operations of the 1990s dealt with civil insurrections and inter-communal violence within States. Faced with new challenges to peace and security, the Council proceeded to innovate, to become increasingly active and to more broadly interpret the provisions of the Charter. While the Council has had its share of successes and failures over the years, in the end it seems to come through most of the time.", "At this point, noted Sir Brian, it will be interesting to see how the Security Council handles emerging global problems that many believe to have security implications. Climate change, for example, could produce severe weather patterns that could lead to enormous migrations from flooded areas. Likewise, in the near future, more and more people could be living in water-stressed areas, where there simply is not enough water to sustain the population. Sir Brian expressed his hope that the Council will be able to address such emerging threats to peace and security.", "In conclusion, Sir Brian underscored that the Security Council is a lively and constructive body in which decisions on relatively obscure matters can potentially build upon each other, thereby generating substantive progress over time. He reminded the incoming members that individual members of the Council can put forward ideas that lead to other ideas that will eventually lead to long-term solutions, thus setting one more stone in the bridge from conflict to peace and security. That is the challenge and the promise of Council membership.", "Session I State of the Council 2010: taking stock and looking ahead", "Moderator:", "Ambassador Gérard Araud Permanent Representative of France", "Commentators:", "Ambassador Ivan Barbalíć Permanent Representative of Bosnia and Herzegovina", "Ambassador Emmanuel Issoze-Ngondet Permanent Representative of Gabon", "Ambassador Wang Min Deputy Permanent Representative of China", "Session I provided an opportunity for members of the Security Council to reflect on the current state of the Council’s work and to look ahead to the challenges that it will face in the coming months and years. The session focused on trends in the Council’s agenda, workload and productivity; conflict prevention and peacebuilding; and its partnerships with regional organizations.", "Trends in the agenda, workload and productivity of the Security Council", "At the opening session, a number of participants noted that the Security Council continues to have a very heavy workload, notwithstanding the decline in recent years in the number of formal meetings, informal consultations, presidential statements and resolutions documented in the background paper prepared for the workshop by Professor Edward C. Luck. Indeed, there was broad agreement that the Council remains the most productive and dynamic body in the United Nations system. It was acknowledged, however, that this workload places a great burden on delegations. One participant noted that this is a consequence of the Council becoming a quasi-executive body for monitoring and managing crises related to an expanding set of cross-cutting issues. For example, the crisis in Guinea-Bissau required consideration of the issues of organized crime and drug trafficking. Similarly, the example of terrorism in the Sahel was also cited.", "One speaker observed that the mandate of the Security Council is the same as it has always been. As is well known, the Charter entrusts the Council with the primary responsibility of maintaining international peace and security. This has not changed, but the issues the Council deals with are growing increasingly complex. The Council continues to work on inter-State conflicts, but now also deals with “fragile situations” within countries, which has led to debates about national sovereignty. The Council, according to this participant, is taking on cross-cutting issues, including human rights, humanitarian assistance, the rule of law, the protection of women and children, counter-terrorism, non-proliferation and election-related disputes, and this engagement on such a wide range of issues partly explains its heavy workload. The number of consultations necessary to address such issues has left little time for reflection or strategic planning. Another discussant expressed great disappointment over the lack of strategic debate, as “strategic doesn’t mean stratospheric”. The speaker called for strategic debates about Somalia and the Democratic Republic of the Congo, where millions of lives are at stake.", "Several participants commented on the need for more opportunities for strategic thinking. One noted that the Security Council is in a position to have a profound strategic impact on issues of peace and security. Council resolutions and presidential statements carry a strong political message that can give guidance to the international community in helping to coordinate various actors involved in conflict resolution. The Sudan is a prime example. However, in order to be more effective, the Council needs a more strategic perspective.", "Another participant remarked that if it was possible for the Security Council to free up more time for long-term thinking, it ought to be looking beyond the horizon and asking what are the threats of the future that are not being discussed today. What will be the threats to international peace and security in 10 to 25 years? Should the members of the Council not be thinking about water shortages, bio‑threats, pandemics and cyber threats? In essence, the Council needed to become more forward-looking and creative, to move beyond its “four walls” and to get out of its “comfort zone”. Finally, the Council should become more informed about what the young people of the world want, since they are the majority in many parts of the world.", "Another speaker agreed that the Security Council needed to break the cycle of rigidity and to adapt to a changing world. To properly consider these new issues, more flexibility and pragmatism are needed. One participant argued that the Council could be criticized as being fairly “academic” on this point. For example, the United Nations Office on Drugs and Crime appeared twice before the Council to present issues in a forceful manner, but the Council still has not reached the point of taking action in response. On a number of emerging transnational security threats, the more lively debates are taking place in other forums, away from the Council.", "With regard to the Security Council’s scope of action, another speaker agreed that it is still too narrowly focused on conflict management rather than on conflict resolution or prevention. Prevention should have a larger place on the Council’s agenda. In this regard, however, the Council has handled the situation in the Sudan very well. In the future, the Council will have to address the security ramifications of climate change and other “new global challenges”. This is a contentious issue that will inspire debates about sovereignty, but if the Council does not take up the issue of climate change, the Group of Twenty (G-20) or other bodies will. The question will be how to do so in a practical fashion. Another speaker agreed that climate change was an issue that the Council would have to address, but that first there is a need to define and analyse the aspects of the problem that were most relevant to peace and security. Only then would the Council be able to determine the best course of action.", "One commentator suggested envisioning the work of the Security Council along two tracks: the short term and the long term. In the short term, it is of course necessary to respond to the immediate crises and threats arising at any given moment. That is the prime responsibility of the Council. However, it is also important to consider how its day-to-day work can contribute to long-term change for the improvement of international peace and security. On the one hand, the Council’s annual report mentions little or no movement on a number of persistent problems, including the Middle East, Cyprus and Western Sahara. Can the Council change the dynamics of such long-term conflicts? On the other hand, it adds real value on thematic issues, such as women and peace and security, children and armed conflict and the protection of civilians. The Council has made important contributions to the evolution of international values, norms and standards. These developments are most evident if the Council’s work is seen over a period of 10 to 15 years. It is in these normative aspects of the Council’s efforts that the influence of its non-permanent members has been most apparent.", "Looking ahead, one speaker noted that, in the coming year, the Security Council will continue to address the issues of the Sudan, Somalia and the Middle East, on which there will be ample space for diplomatic and preventive efforts, challenging the Council to live up to its mandate. In the coming year, the Council should redefine its relationships with regional organizations, while working to strengthen the peacebuilding dimensions of its work, which will require closer collaboration with the Peacebuilding Commission.", "Another participant suggested that the future focus of the Security Council should be on the major issues threatening international peace and security. Two thirds of the issues on the Council agenda related to Africa. The Council should thus devote more time and resources to addressing situations in Africa, in coordination with the African Union and other regional and subregional organizations. The Council should engage in more preventive diplomacy and be prudent when applying sanctions or resorting to pressure. Furthermore, the Council should make every effort to take decisions by consensus. Unanimous decisions, such as the recent presidential statement on the Sudan (S/PRST/2010/24 of 16 November 2010), send the strongest signals.", "Peacekeeping", "One member wondered aloud how much of the Security Council’s work is absorbed by peace operations. If one looks at peacekeeping from outside the United Nations, two things are striking: the proliferation of missions and their longevity. Some missions have been in place for 50 years, and this is a problem. One explanation is that the Council is most involved when conflicts emerge or re-emerge and is less involved in the long-term oversight of missions. The speaker welcomed the thematic debate on exit strategies and the suggestion that peacekeeping missions ought to exit earlier so as to make room for longer-term peacebuilding efforts. According to another participant, the Council had made significant progress in defining the transition and exit strategies of peacekeeping operations, including during the debate on this subject in February 2010.", "On the issue of exit strategy, several participants noted that the Security Council has been confronted by a new trend of host countries requesting a premature pullout or modification of a mission’s mandate. Such demands posed an unusual and uncomfortable situation for the Council, and one meriting further discussion of how to improve host-country relations. The related issue of relations with troop-contributing countries was raised by another speaker. Urging greater Council engagement with the troop-contributing countries, this participant contended that more extensive engagement with those working in the field would lead to better, more informed decision-making in New York.", "The Democratic Republic of the Congo had posed a long-standing test for the Security Council and its mandates, according to one of the speakers. It is a huge country that presents many extraordinary challenges for peacekeeping. Given these challenges, a higher level of understanding between actors is essential. The views of actors on the ground should be taken into account when decisions are being made and mandates considered in New York. Designing proper mandates is difficult enough, but securing the prerequisites for fully carrying out mandates often proves even more challenging. Paying for so many peacekeeping missions may also strain the system. Too often, according to another commentator, the Council decides upon operations without adequate financial estimates and without the proper military means to implement them.", "One discussant suggested that there has been a lack of civil and military coordination in the Sudan. The military needs to have more of a voice at the United Nations. The United Nations is full of brave, courageous people, but there needs to be more communication between its Blue Helmets and its civilian staff. Concurring that there is a striking lack of military expertise at the Security Council, another participant commented that one hardly sees any Generals at the Council. In comparison to an organization such as NATO, the limited nature of United Nations procedures and mechanisms for handling military affairs is striking. For example, there is no chain of command. Though such deficits might have been acceptable during the days of traditional peacekeeping missions, such as in Cyprus, they are not compatible with overseeing such large and complex missions as those in the Democratic Republic of the Congo.", "Another participant proposed that peacekeeping be the subject of a strategic debate in the Security Council. Offering support for the initiative proposed by the United Kingdom and France, the speaker suggested that there should be more strategic discussion within the Council about peacekeeping practices. Noting that the Working Group on Peacekeeping Operations meets at the expert level, the participant recommended that it hold some meetings at the ambassadorial level, which should also include the participation of military advisers.", "In crafting peacekeeping mandates, one speaker argued that Security Council-mandated missions should be based on a “standard” template entailing specific irreducible minimum tasks to be accomplished. Beyond this minimum, of course, every mandate should also be specifically tailored to the concrete realities on the ground. This participant contended that the monitoring of human rights should be one such standard provision of peacekeeping mandates. Without such a provision, missions could easily be undermined. On the other hand, several speakers lamented the tendency for peacekeeping mandates to become “Christmas trees” with too many tasks and too little prioritization.", "Conflict prevention and post-conflict peacebuilding", "There was broad agreement that the maintenance of international peace and security necessarily involves conflict prevention, as underscored in Article 1 (1) of the Charter. However, one discussant reminded the workshop that the Security Council cannot do it alone. Regional organizations and the United Nations Secretariat, including the Secretary-General and the Department of Political Affairs, are continuously engaged in conflict prevention. The role of the Council is to provide the mandate and to support those actors in the best position to achieve results and then to hold them accountable. For example, the Department of Political Affairs currently does not have the proper resources. In joining those calling for more emphasis on conflict prevention, one discussant noted that the Department had to call a pledging conference to mobilize funds for its prevention work. The Council must see to it that the Department has the proper support.", "According to another participant, there is a need to build consensus on the issue of prevention, and to put it into practice. Contending that scarce resources would be most efficiently spent on investments in conflict prevention and resolution, the speaker called for a clear “paradigm shift” in this direction. Priority should be given to reading the warning signs and to putting concrete measures in place to avoid the outbreak of conflict, instead of waiting for crises requiring the expensive deployment of troops.", "Another speaker suggested that there are some divergent views among the members of the Security Council on the scope and nature of its work. Was the Council designed to be a body that could consider only full-blown crises, or one that could also address potential crises while they are still possible to contain? Another member responded that there is no dispute over whether prevention is within the scope of the Council’s work. However, there are distinct perspectives on how and when to go about it.", "A speaker characterized the Security Council’s systematic programme of work on the Sudan as a positive example of conflict prevention. Over the past six months, the Council had held frequent meetings on these matters and also undertook a mission there in October. This represented an intensive engagement and involved a lot of work. A similar commitment is needed in other cases. For example, nothing of similar scale has been undertaken with regard to the Democratic Republic of the Congo. The participant acknowledged that, in some respects, the Sudan is a relatively straightforward case to address as it is already on the Council’s agenda and two large missions have been deployed there. Most places in need of conflict prevention are not in the same position. According to the speaker, the Council should not restrict its discussions to situations that are on its formal agenda. The speaker suggested that the point of prevention is, in fact, to keep countries from becoming an item on the Council’s agenda in the first place. To become more effective at conflict prevention, the Council should act in as agile and flexible a manner as possible.", "Another member agreed that the Security Council is more capable of addressing issues that are already on its agenda. Addressing new situations inevitably leads to debates about whether they should be placed on the agenda. In that regard, a participant suggested that the Council make better use of the “other matters” item of its agenda as an opportunity to raise new issues. By adding an unpredictable element, Ambassadors would have an incentive to stay for the duration of Council sessions. According to several participants, most items considered by the Council stem from domestic issues, which raises all sorts of disputes about sovereignty and the proper role of the Council. While this remains a political hurdle, they agreed that at this point few matters brought to the Council take the form of a classic inter-State dispute threatening international peace and security.", "Several speakers called the recent initiative to invite the Under-Secretary-General for Political Affairs to give the Security Council a tour d’horizon a useful contribution to conflict prevention. There was some disagreement, however, on the success of the initial briefing. One discussant commended the idea, but regretted that it did not generate debate. It would have been better, according to this speaker, if the briefing had focused on one or two topics. Another participant agreed that it would be more useful to receive an in-depth assessment of just a few “hot issues” from the Secretariat. A third speaker defended the utility of a briefing on all of the preventive initiatives being undertaken by the Department of Political Affairs, adding that perhaps it should be followed by a question-and-answer session. Another participant found the session to be of little value and would not repeat it.", "More generally, however, members emphasized the importance of the interaction between the Secretariat and the Security Council, especially in the area of preventive diplomacy. As one participant put it, there is a limit to how far the Council can go on its own because of concerns about national sovereignty. Another discussant suggested that the Council regularly set aside time to obtain an overview of what the Secretariat is doing in the area of prevention and what challenges it is facing at that point.", "Regardless of the improvements made at Headquarters, cautioned a speaker, weaknesses in the United Nations presence in the field pose a significant obstacle to conflict prevention that needs to be addressed. There are insufficient preventive mechanisms on the ground, such as early warning systems, and persistent gaps between peacekeeping mandates and resources. Other participants, however, pointed to the setting up of the United Nations Office for West Africa as a positive step towards conflict prevention and peacebuilding in the field.", "Several participants commented on the importance of post-conflict peacebuilding in the work of the Security Council. As one speaker noted, the concept will continue to evolve and develop as, increasingly, it is considered in the drafting of mandates. To shorten interventions and avoid the return of conflict, peacekeeping operations should lay the groundwork for the peacebuilding mechanisms to follow. This substantive relationship, in the speaker’s view, underscores the benefits of a high level of interaction between the Council and the Peacebuilding Commission. Despite frequent calls for a more organic relationship between peacekeeping and peacebuilding, commented a second interlocutor, it has not happened in practice. Peacebuilding should be assigned a higher priority, both when mandates are crafted and when peacekeeping troops are withdrawn.", "Partnerships with regional organizations", "Many participants noted the importance of forging partnerships with regional organizations. One commented that coordination between the Security Council and regional organizations has improved in recent years, as illustrated by the African Union-United Nations Hybrid Operation in Darfur. However, it was pointed out that such partnerships could make the process of decision-making more difficult. The Council, observed a participant, operates on the basis of consensus, not only among its 15 members, but, increasingly, with regional and subregional organizations, such as the African Union, the Economic Community of West African States (ECOWAS) and the European Union. Several members cited United Nations cooperation with ECOWAS on Guinea as an example of a particularly productive partnership.", "One discussant noted that the Charter (Article 52 (2)) lays out a sequence of steps with regard to conflict prevention and resolution. Crises should be addressed first at the bilateral level, then at the regional level and only later at the level of the Security Council. The tendency to start such negotiations at the United Nations should therefore be avoided. According to another discussant, this suggests both that Council members should listen more attentively to messages from regional bodies and that the latter should be given more of an opportunity to complete their prevention efforts in cases where they are the first to address an emerging crisis.", "It was pointed out that regional organizations often have special local knowledge and other comparative advantages that the Security Council should use whenever possible. Sometimes the United Nations should provide leadership, but often leadership should come from the regional organization. The key is to avoid rigid approaches in favour of open discussion and consensus-building.", "There was extensive discussion of whether the United Nations should support African Union missions financially. It was contended that regional peacekeeping missions authorized by the Security Council, such as the African Union Mission in Somalia (AMISOM), are often not provided sufficient financial and logistical support. Though agreeing that the United Nations does not provide enough support to the African Union, another discussant argued that if the United Nations provides financial support for an operation, then it should have some say over how it is run. It is legitimate, according to the speaker, to ask why the United Nations should financially support an operation over which it has no control. Other participants argued that the Council should support regional missions that help to carry the burden of maintaining international peace and security, especially when the regional mission is authorized by the Council. A discussant countered that there is general agreement among the permanent members of the Council that assessed contributions should not be used to fully fund regional operations. Assessed contributions, however, could be used to cover part of a mission’s cost, as is the case in Darfur and Somalia.", "One member spoke at length about AMISOM, the African Union force authorized by the United Nations. In the participant’s view, the act of authorization suggests that the Security Council recognizes the mission as being important and deserving of adequate support. Should the African Union be unable to lead the mission effectively, it should be put under United Nations control. The support packages that have been provided have been insufficient. The reach of Somali-based pirates underscores the fact that the situation there is a clear threat to international peace and security. The Council, however, has given only minimal consideration to this very serious threat. Why has the Council devoted so much more attention to Chad, where the presence of United Nations troops has been controversial? The speaker called for a more even-handed approach and for clear, visible criteria to determine why assessed contributions should be used in one place and not another.", "There were also calls for greater clarity in how the relationship between the Security Council and the African Union Peace and Security Council should work in practice. In that regard, the Union’s request that the Council suspend the indictment of Sudanese President Omar al-Bashir by the International Criminal Court was discussed at length. There was some confusion about whether the Council had received a formal request from the African Union, although several participants confirmed that such a request had been received. Urging Council action on the matter, one participant contended that the Council should pay close attention to requests from a regional group with special local knowledge. Another speaker countered that the Council has not addressed the petition because there is no unity on the issue. Some participants suggested that, even if the Council cannot take action on the request, some sort of response is warranted. One urged that this be done as soon as possible.", "A participant made the case for a closer relationship with the European Union also. He suggested that the Security Council stop in Brussels on its next mission. Some other participants agreed. There is a lot of capacity at the European Union. For example, one discussant suggested that, in certain situations, the Union’s rapid reaction force could make a critical contribution to United Nations peace operations.", "Qualitative benchmarking: assessing the work of the Security Council", "The first round-table session also featured a broad-ranging discussion of how to take stock of the work of the Security Council. A number of participants offered general assessments. As one put it, the Council is as exciting as it is frustrating. It can be a stage for mere performance on certain issues, but it can also be an indispensable body that tackles challenges no one else would venture to address. According to another member, the Council must always strive to improve its performance in order to meet the unending challenge of making itself “more accountable, more workable and more meaningful”.", "The issue of accountability was raised by a number of members. Greater accountability, in their view, is required to boost the effectiveness and efficiency of the work of the Security Council. In response, one member pointed to the absence of widely accepted qualitative benchmarks that could be used to assess its work, a subject raised in Professor Luck’s background paper for the workshop. This participant proposed that the Council give Professor Luck the task of drafting a follow-up paper addressing how to develop a system of qualitative benchmarking. The Council could then meet in a “mini-retreat”, perhaps an afternoon or dinner workshop, to discuss the results. Several participants agreed that this could be helpful, although the development of such measures would not be easy.", "Session II Working methods and subsidiary bodies", "Moderator:", "Ambassador Maria Luiza Ribeiro Viotti Permanent Representative of Brazil", "Commentators:", "Mr. William K. Grant Minister Counsellor Permanent Mission of the United States", "Ambassador Raff Bukun-Olu Wole Onemola Deputy Permanent Representative of Nigeria", "Ambassador Nawaf Salam Permanent Representative of Lebanon", "During the second round-table session, participants discussed a wide range of issues relating to the Security Council’s working methods and subsidiary bodies, including strategies for encouraging genuine debate in Council consultations, the role of thematic debates, the responsibilities of the President, cooperation with other United Nations organs, outreach to non-members of the Council, relationships with the media and Council missions. A recurring theme throughout the session was the need to balance transparency and inclusiveness in the Council’s working methods with its overall efficiency and effectiveness.", "Perspectives on the working methods of the Security Council", "Participants noted the progress that has been made in improving working methods over the years and applauded the Security Council’s ability to change, adapt and continually renew itself. Several speakers suggested that a continuous, incremental process of reform would best allow the Council to absorb changes without compromising productivity.", "Several participants, noting the heavy workload and output of the Security Council, made suggestions for streamlining its work. One pointed out that much of what the Council does is a function of the calendar. For example, monthly, quarterly or biannual mandate reviews are scheduled long in advance, so the timing of such reviews rarely matches the course and pace of events on the ground. The speaker suggested that, at the beginning of each year, the Council examine the review periods for all items on the agenda with a view to rationalizing them and ensuring that their frequency reflects the relative importance of each item. Along similar lines, another speaker suggested that the Council, with the help of the Secretariat, undertake an annual assessment of output to determine whether there is any redundancy in presidential statements or resolutions and whether their texts can be shortened or clarified.", "According to several speakers, incoming members are at a substantial disadvantage in having to begin their term on the Security Council without the same repository of knowledge on working methods as the permanent members. They may be less aware, for instance, when changes are instituted. One member cited adjustments in the pattern of consultations with regional groups as a case of a change they were unaware of until the issue was raised. Incoming members were advised to pay attention to working methods early on so as to be better placed to trace any changes that are made. In that regard, Japan’s contributions in developing the working methods handbook were widely praised by the participants.", "Subsidiary bodies", "The work of the Security Council’s subsidiary bodies and the role of the Chairs of the various committees were briefly discussed. One member spoke of the critical outreach role of committee Chairs, as they serve as the public face of the Council on the specific issue that each committee handles. More of this targeted outreach by individual members would be helpful. Several concerns were also voiced. One participant criticized the selection process for the Chairs of subsidiary bodies, urging more transparency in, and the democratization of, that process. The speaker also questioned whether there were any particular rules that would preclude permanent members from chairing sanctions committees. Another speaker raised the issue of the working methods of the subsidiary bodies, questioning why they operate on the principle of consensus and unanimity rather than following the practice of the Council as a whole.", "Outreach", "There was a lively discussion of the Council’s outreach activities, including to other States Members of the United Nations, contact groups, groups of friends, Chairs of the Peacebuilding Commission’s country-specific configurations, representatives of regional organizations, civil society and members of the press. A central theme was the need to balance transparency and inclusiveness with efficiency and effectiveness. Some contended that efficiency should not preclude openness, underscoring the utility of regular meetings with other groups. One participant spoke of the value, for instance, of regular outreach by Council members with their respective regional groups. Several speakers applauded the Council’s growing willingness to allow access to non-members, including through the use of informal interactive dialogues. Others, however, felt that more needed to be done to give non-members a chance to be heard and have their views taken into account. Arria-formula meetings were also commended as useful outreach opportunities, although several participants suggested that they have become a little stale. At recent meetings, there had been a low level of Council representation and little genuine interaction with representatives of non-governmental organizations, who mainly read prepared statements. This observation led to a call for a new type of Arria meeting with a refreshed format.", "According to several speakers, the Security Council has made greater strides in outreach than it is generally given credit for. Non-members, of course, have always been able to participate in the Council’s formal open debates. Some participants cited opportunities for expanded outreach activity. For example, the Council’s annual report to the General Assembly often leads to little more than a debate about the reform of the Council. It was suggested, therefore, that the President of the Assembly split the annual debate into two separate debates: one on Council reform and one on the actual work of the Council. The latter could provoke a more interactive exchange, in which the 15 Council members could receive, and subsequently discuss, candid feedback from the broader membership. This participant also lamented the usually sparse attendance at the President’s briefings on the Council’s monthly programme of work.", "What non-members lack, claimed one speaker, is interaction on specific issues rather than participation in open debates. Perception matters, underscored one member, and the prevailing perception is that, when it comes to transparency, inclusiveness and accountability, the model is broken. Another participant countered that “the real business of the Security Council is not dealt with in the open”. While Council proceedings have become more open, the speaker cautioned that openness should not become an end in itself at the risk of losing the advantages of having a place for confidential negotiations. Council consultations were conceived as private gatherings of Council members to discuss serious issues of which the Council is seized. The problem over the years has been a trend towards too much observation by outsiders. While the Council may be “the best show in town”, that does not mean that it should be open to everyone. Along similar lines, other speakers raised concerns about the confidentiality of consultations and, in particular, the prevalence of leaks.", "One participant raised two issues related to inclusiveness. The first concerned whether the heads of the country-specific configurations of the Peacebuilding Commission should be permitted to speak in consultations. According to this speaker, the rule should be extended so that Chairs who are not members of the Council are allowed to participate in consultations on those situations. For small and medium-sized delegations, it can be useful to have experts from other countries provide backup on certain issues. While Council rules preclude non-nationals from entering the consultation room, there have been a few cases where a Council member has included non-nationals in its delegation.", "Several members, while acknowledging that groups of friends can be very helpful in some situations, regretted that elected members often receive second-class status relative to countries belonging to such groups. Often, non-members of the Security Council who are members of groups of friends are better informed on particular issues than are some of the non-permanent members of the Council. One participant contended that the substantive quality of the work of groups of friends is usually enhanced when taken up by the Council as a whole.", "Another participant raised the issue of the Security Council’s relationship with the press, citing complaints over new rules put in place owing to work on the United Nations capital master plan and the temporary relocation of the Council Chamber. These concerns should be seen in the broader context of the press coverage of the United Nations and its overall public image. There has been a trend towards more erratic and less informed coverage, with fewer New York-based correspondents covering the United Nations in a sustained and knowledgeable way. In this speaker’s view, the entire United Nations, including the Council, should do some hard thinking about its communications strategy to avoid a situation where only bad news gets reported. Responding to these concerns, another participant agreed that there is a collective interest in keeping high-quality journalists at the United Nations. The Council has asked the Secretariat to help journalists who are being charged a fee for the use of space under the new rules.", "The task of speaking to the press about issues on which the Security Council is deeply divided could be quite challenging, noted one speaker. Another pointed out, however, that press statements by the President are generally written out and negotiated with all 15 members of the Council. Remarks to the press, on the other hand, may be more vague and generic, but sometimes they, too, have to be negotiated. In cases where the Council is divided, the President has no mandate to speak with the press other than in his or her national capacity.", "Council consultations", "There was a lively discussion of how to encourage genuine debate in Security Council consultations. In theory, these sessions are completely off the record, offering Council members a chance to engage in strategic and candid exchanges on issues of high priority and mutual concern. The reality, as described by many workshop participants, is strikingly different. Several underscored their disappointment with both the content and format of consultations, which tend to be neither interactive nor focused. According to several speakers, the common practice is for representatives to read statements, even in closed consultations, rather than to engage in a real exchange of views. One participant estimated that 80 per cent of the statements delivered in consultations are the same as those delivered in the Chamber before the media and other observers. Another discussant contrasted the “sedate atmosphere” in the Council with that of the European Union, where 27 member States manage to engage in lively debate on a range of issues.", "A series of specific ideas for making consultations more interactive and effective were voiced. For instance, several speakers commented that it would be helpful if members of the Security Council would agree to do away with prepared statements in consultations. A participant expressed doubt that this would actually foster a more interactive exchange, however, given concerns over confidentiality and the danger of leaks. Another pointed out that notes used in consultations are a means by which United Nations delegations communicate with capitals about what they plan to say in the Council and are not easily modified. If delegations found it necessary to read statements in consultations, it was suggested that they could at least abbreviate them.", "One suggestion that received wide support was for the Security Council do away with the practice of maintaining a speakers’ list during consultations. According to one member, when a recent session was opened without a list, “only those who had something to say spoke. We had fewer speeches. The discussion was short, fast-moving and informative, and then we moved on”. One participant cautioned, however, that meetings would still need to be organized in a transparent way, making it clear why people were speaking in a particular order. Participants also spoke of the need to develop a culture within the Council in which not everyone feels compelled to speak on every issue in private consultations. This did not mean, one interlocutor pointed out, that Council members should address only issues in which they have a strong national interest. That would be contrary to the spirit and purpose of the Council, whose 15 members share the primary responsibility for the maintenance of international peace and security, even when and where their countries do not have a stake.", "One member noted that the more interesting a consultation gets, the more it becomes a negotiation and the more important it is to keep it closed. If consultations are nothing but smaller versions of public meetings, then there is no need to conduct them in a closed chamber. If, however, Council members start using consultations to actually negotiate on substance, then it would become essential to keep those sessions confidential, as originally conceived. Incoming members were urged not to give up too quickly on the issue of fostering debate. Bad habits are difficult but not impossible to break, observed one participant, who recommended that incoming members develop strong allies on the Council who share their desire to see change.", "Negotiating texts", "One member pointed out that most text is negotiated at the level of experts, but even at the expert level, members of the Security Council are often negotiating “pre‑cooked” text that has been worked out among the permanent members. As the participant put it, “if members of the Security Council want the outcome of meetings to be pre-cooked, then they should not complain that they are boring”. Sometimes, the most interesting debate takes place at the procedural level. The speaker noted the contrast with the 1990s, when deep and substantive negotiations often took place at the ambassadorial level. Participants pointed to some recent instances where the quality of the Council’s work benefited from having discussions taken up to the level of Ambassador, notably on the resolutions on the tenth anniversary of resolution 1325 (2000) and on Western Sahara.", "The tendency for outcome texts to be “pre-cooked” was also discussed in the context of the composition of the Security Council in 2011, which will include five non-permanent members who aspire to permanent membership. One participant wondered whether they would prefer to be part of the small group of Member States that “pre-cook” or to seek more inclusive discussion among all 15 members. Another contended that the discussion of inclusiveness with non-members should also apply to the internal business of the Council. A trend towards more inclusiveness in the drafting of resolutions would create a sense of work that is “collectively done and collectively owned”, thereby leading to greater effectiveness and legitimacy.", "Several participants spoke of the tendency of members of the Security Council to see consensus decisions as the most effective ones. Some commented on their surprise at how strong the tendency is to work for unity. In one case, the debate could have been resolved in 15 minutes had it been put to a vote, but the Council ended up in consultations for 17 hours in order to secure unanimous support for a particular decision. Though the veto is rarely exercised in terms of actual voting, “you know it’s there”, commented another speaker. In this discussant’s view, the desire of Council members to find a common position is genuine, constructive and highly commendable.", "Open debates: balancing transparency and effectiveness", "The subject of open debates generated another lively discussion. As one participant noted, the introduction to the Security Council’s 2009-2010 annual report stressed the positive impact achieved through thematic debates. This finding illustrates the remarkable progress that has been made over the past decade on a number of thematic issues, including protection of civilians, children in armed conflict and women and peace and security. Citing a growing tendency for incoming Presidents of the Council to plan a thematic debate during the month of their presidency, some speakers commented that it can be a struggle for elected members to find an issue on which to “leave their mark” in the form of a presidential statement. One participant cautioned against focusing too much energy on planning a “set piece” thematic debate and thereby neglecting the rest of the agenda. Another urged that open debates should be held only when it is absolutely necessary to hear from non-members. In the speaker’s view, the fewer the debates, the more productive the Council.", "Several speakers agreed that open debates are not living up to their potential. Too often they are long, repetitive and boring. At their best, open debates serve to inform the larger United Nations membership and to elicit feedback from them. The first goal is being reached more often than the second, however. To increase the interactivity of open debates, it was recommended that non-members speak first, that Council Ambassadors not leave after delivering a statement, that presidential statements not be read until the end of the session, that a five-minute rule for speakers be imposed and enforced and that open debates be limited to the morning session only. The goal should be to find a format that allows non-members to speak, to be listened to and to genuinely contribute to the debate, not just to serve as a showcase.", "The role of the President", "Participants also discussed the role of the rotating presidency of the Security Council, making some specific suggestions on how incoming members might approach their presidency. One spoke of the essential outreach role played by the President, whether through briefings to the press and non-members or meetings with the Secretary-General and the President of the General Assembly. According to another speaker, however, the United Nations system still does not give enough recognition to the President of the Council. The speaker added that some of the regional groups, for instance, did not seem interested in consulting with him during his presidency.", "Participants underscored the need for each new President to take the role seriously and to think through the best way to approach it. One suggested, for instance, that the President host a monthly lunch for the members to discuss a single issue. This could serve as a brainstorming session on a particular question that the President would like to highlight, be it a specific conflict situation or a thematic issue. While the President has a certain degree of flexibility, one member pointed out that the Council’s pace of work is very much dependent on the calendar. Relatively few events each month are under the President’s discretion and thematic debates should be scheduled to fit the existing calendar. The speaker called for more debate on the monthly programme of work and for more strategic discussion among Council members of monthly priorities. The shortest Council sessions tend to be those where the programme of work is adopted, often with very little substantive discussion among permanent representatives. Another speaker asserted that some innovative approaches to using the presidency to shape the strategic direction of the Council had been taken in November 2010.", "Council missions", "There was a lively discussion of Security Council missions. Several participants pointed out that the Council’s missions to countries on its agenda offer members an opportunity to meet actors, discuss issues, deliver messages and be exposed to a diversity of views. Thus, they provide opportunities for Council members both to educate themselves and to reach out to others, including a wide range of organizations and individuals, and not just to Government officials. Missions are therefore critical to the work of the Council, according to several speakers, despite their high cost and the burden they place on the host country. Missions to the Sudan, Afghanistan and the Democratic Republic of the Congo were cited as being particularly useful in this regard.", "Suggestions for improving missions were also made. For instance, it was argued that more could be done beforehand to ensure that members of the Security Council are prepared to deliver a clear message to the people of the country or countries visited. The Democratic Republic of the Congo was cited as a case in point. The Council could have been better prepared to respond to questions there about the withdrawal of peacekeeping forces, according to one participant. It was suggested that more use could be made of “mini-missions”, in which a smaller group of perhaps five Council members could visit a country and subsequently report to the rest of the membership. This would allow the Council to undertake missions to areas less often visited, such as Western Sahara or the Middle East. Another participant disagreed, countering that what makes Council missions so valuable is that all 15 members see the same thing and have an opportunity to interact and discuss what they have seen. This participant pointed out that the sense of being collectively informed by impressions on the ground would be lost if the Council resorted to “mini-missions” and added that “[h]aving a report read to you by a subset of colleagues is not the same as being on the ground and understanding first-hand what we are dealing with”.", "Some speakers called for a combination of full and mini-missions. In their view, when the Security Council is seized of a situation as critical to international peace and security as the Sudan or Afghanistan, all 15 members should go on the mission. In other cases, sending a smaller group may be sufficient. The benefits would include cost savings and added flexibility, as a smaller, more agile mission could afford to stay in country for a few more days without creating an undue burden. However, participants expressed divergent views about whether or how such a selection should be made. Would Timor-Leste, for example, merit a full or a mini Council mission? Several participants cautioned against giving the impression that some countries are “more important” than others or that the Council has double standards. A speaker recommended, therefore, that mission size be presented as a reflection of the seriousness of the challenges faced, not of the relative importance of the country in question. Another felt that all missions should be open to all members.", "Several suggestions were voiced for enhancing the impact of Security Council missions, regardless of their size. One commentator saw a need for more military expertise and contact with the military during Council missions. Another regretted that the Council did not make better use of its missions to Afghanistan and the Sudan. Although the missions were well prepared, with good terms of reference and a clear message to convey, Council members failed to meet afterward to share assessments of what they had seen. There should be greater effort to draw collective lessons from these missions. Similarly, another member felt that informal, lessons-learned discussions should be standard practice following all Council missions.", "Session III Lessons learned: reflections of the class of 2010", "Moderator:", "Minister Konstantin Dolgov Deputy Permanent Representative of the Russian Federation", "Commentators:", "Ambassador Ertuğrul Apakan Permanent Representative of Turkey", "Ambassador Thomas Mayr-Harting Permanent Representative of Austria", "Ambassador Tsuneo Nishida Permanent Representative of Japan", "Mr. Guillermo Puente Counsellor and Political Coordinator Permanent Mission of Mexico", "Ambassador Ruhakana Rugunda Permanent Representative of Uganda", "The moderator opened the session by stating that each non-permanent member leaves its mark on the Security Council’s work during its two-year tenure. Moreover, some members may return to the Council before too long. He thanked the outgoing class for its contributions to the activities and practices of the Council, commenting that while two years may not seem a long time to permanent members, it does represent a significant portion of the Council’s activity. In his view, much had been accomplished over the previous two years and the outgoing non-permanent members should be commended for their solid performance.", "Council dynamics and the relationship between permanent and non-permanent members", "Several participants stressed the sense of unity of purpose that underlies the work of the diplomats on the Security Council. As one member put it, Council members understand that they have a shared responsibility to maintain international peace and security. At times, this collective sense of responsibility can outweigh national interests. Others agreed, commenting that the collegial atmosphere generally extends to permanent and non-permanent members alike. On most issues, coalitions of interest and values do not distinguish between permanent and non‑permanent members. A speaker cited human rights, the protection of civilians in armed conflict, working methods and women and peace and security as examples. One outgoing member noted that, in any case, relatively few items on the Council agenda were central to his country’s sense of immediate national interest and that this had made it easier for his country to contribute to consensus-building. Another speaker commented that it is possible to achieve unanimity in the Council on many issues, even controversial ones. This discussant also cited consensus-building as a particularly encouraging feature of the Council’s work. The premium placed on consensus necessarily instils cooperative attitudes. One participant nevertheless questioned whether most diplomats on the Council regularly put global interests ahead of national ones. Too often, diplomats pursue narrow, parochial interests rather than trying to serve broader global concerns.", "Several participants returned to the themes of transparency and inclusiveness. Permanent members, it was said, do not always treat non-permanent ones as equal partners in the work of the Security Council. There is a tendency, for example, for permanent members to prepare texts of resolutions and to discuss their substance with interested parties without consulting the non-permanent members. In such cases, the latter may receive texts as a fait accompli without having an opportunity to offer substantive input. The permanent members also tend to elect chairs of subsidiary bodies at their discretion, without sufficient consultation. Other speakers countered that the permanent members should not bear all the blame for the Council’s lack of transparency and inclusiveness. The non-permanent members could be more proactive, take the initiative to engage constructively with the permanent members and ask relevant questions that challenge the latter’s prerogatives. There are, after all, 10 non-permanent members compared with only five permanent ones. Another participant added that newly elected members can also bring fresh energy and ideas to the Council.", "In that spirit, a speaker encouraged incoming delegations to perceive the Security Council as an evolving institution whose norms and values change over time. Seen over a 5 to 10-year period, the evolving work of the Council becomes much more perceptible, even though its daily activities may seem predictable or even static at times. Non-permanent members can help to shape the course of change in the Council. Though some may not be great powers or large countries, non-permanent members can contribute wisdom and innovation to the Council’s work. They can bring diverse perspectives, at times challenging positions taken by the permanent members, even on high-stakes issues, such as the Middle East or various peace operations in Africa. Several participants asserted that the divide between permanent and non-permanent members has been exaggerated, as issue lines do not respect such distinctions and categories.", "Subsidiary bodies", "Incoming members were urged to participate in those subsidiary organs of the Security Council, including working groups and sanctions committees, which best reflect their national policy interests and goals. One participant commented that chairing the Working Group on Children and Armed Conflict reflected his country’s interest in international law and international humanitarian law. Likewise, its commitment to disarmament led it to chair the Committee established pursuant to resolution 1540 (2004).", "According to several speakers, chairing subsidiary organs gives non-permanent members leadership opportunities and creates additional space for making meaningful contributions to the work of the Security Council. Through their leadership of subsidiary organs of the Council, new members could uphold standards of transparency, accountability and neutrality. Regarding the work of sanctions committees, one participant recommended that incoming members gain first-hand knowledge by travelling to sanctioned countries. Sanctions are not just a punitive measure; they can also be used as a lever to provide incentives for compliance with Council decisions.", "Opportunities and challenges for new members", "Outgoing members highlighted the unique challenges and opportunities that come with membership on the Security Council. Several commented on the sense of responsibility that comes with handling peace and security issues that other organs do not. While there is a tendency to accentuate the negative, the Council is capable of achieving much good, as its actions in Liberia, Sierra Leone, Burundi and Timor-Leste have demonstrated. Another outgoing member commented on how effectively and persuasively the body responded to the missile test conducted by the Democratic People’s Republic of Korea. He saw the Council’s handling of this situation as a model of constructive interaction among its members. The Council is often at its best when facing very difficult challenges.", "One speaker cautioned the incoming members that two years is a condensed time frame in which to become an effective member of the Security Council. It takes six months alone to learn how the Council operates, particularly with regard to its procedures and working methods. An elected member then has only 18 months in which to be productive. Nonetheless, much can be achieved by a non-permanent member within that time frame.", "Another participant underscored the intensity of work that is experienced during the month that a member holds the presidency. Presidents of the Security Council must be prepared for surprises. When his country first served, it had to manage unexpected occurrences, such as the missile launch by the Democratic People’s Republic of Korea and the Sri Lankan crisis. During the month, scheduled debates were held on Haiti, children and armed conflict and the settlement of disputes. When it again assumed the presidency, it addressed the raid on the Turkish flotilla headed to Gaza, the crisis in Kyrgyzstan and the torpedoing of the Cheonan, a ship of the Republic of Korea. None of these events could have been anticipated.", "Advice to newly elected members", "Some speakers stressed the value of tapping into the non-governmental organization community for ideas and information. One reminded participants that non-permanent members had had difficulty accessing reliable information during the 1994 Rwandan genocide. Fortunately, over the years, non-governmental organizations have helped to fill the information gap that existed at the time. For example, during the crisis in Sri Lanka in 2009, non-governmental organizations were an important source of information for the Security Council regarding events transpiring on the ground. Another participant commended the content of the website Security Council Report (see www.securitycouncilreport.org), which helped to facilitate the work of the speaker’s mission. It is also important for non-permanent members to learn from and listen to the concerns of countries on the Council agenda. Elected members also can learn from one another and benefit from shared information and ideas.", "Another common piece of advice was to make good use of the Secretariat. Those officials who are responsible for working with the Security Council were said to be of high calibre, to know their jobs well and to be willing to provide pertinent and timely information. To reinforce the point, one participant called the Secretariat an enormous asset to the Council, to the extent that non-permanent members could not function effectively without their assistance.", "The importance of having a good team when entering the Security Council was also emphasized. One speaker stressed the importance of having a good legal adviser. Their status gives the permanent members special knowledge of the rules of procedure, which they use to their advantage and, at times, to the disadvantage of the non-permanent members. A good legal adviser can learn the Council’s procedures and help his or her Ambassador to counterbalance this advantage. Legal advisers can also facilitate the work of non-permanent members when they chair subsidiary bodies, as this often entails substantial legal work. According to this speaker, the tendency for negotiations — and most of the work of the Council, for that matter — to be conducted at the expert level has underscored the need to have an excellent political coordinator and a strong group of experts.", "The incoming members were advised that one area where a President of the Security Council can make his or her mark is in thematic debates. Some permanent members, however, have expressed concern that long thematic debates could take up a significant portion of the Council’s time and distract it from other pressing work. According to one speaker, this challenge could be addressed by having new members craft a thematic debate around an issue that the Council was already planning to discuss during the month of their presidency. Notwithstanding their original reluctance towards thematic debates, permanent members were now also increasingly organizing such debates during the month of their presidency. The one organized by China on cooperation between the United Nations and regional and subregional organizations proved particularly useful." ]

[ "Letter dated 1 August 2011 from the Permanent Representative of Finland addressed to the President of the Security Council", "I have the honour to submit the report of the workshop for newly elected and current members of the Security Council, held at the Arowood Conference Centre on 18 and 19 November 2010 (see annex). The present report has been compiled under the sole responsibility of the Permanent Mission of Finland under the Chatham House Rules.", "On the basis of the very positive feedback we receive from the participants each year, the Government of Finland remains committed to holding seminars each year. The Government of Finland hopes that this report will not only help to familiarize newly elected members with the working methods and procedures of the Council, but also help the wider membership of the United Nations to better understand the complexity of its work.", "Accordingly, I should be grateful if you would have the present report and its annex circulated as a document of the Security Council.", "Permanent Mission of Finland to the United Nations", "Ambassador", "(Signed) Jarmo Viinanen", "Permanent Representative", "“Getting to work”: eighth annual seminar for newly elected members of the Security Council", "18 and 19 November 2010", "Rajbrook, New York", "Arowood Convention Center", "The Government of Finland, in cooperation with the International Peace Research Institute and the Security Council Affairs Division of the United Nations Secretariat, organized the eighth annual seminar for newly elected members of the Security Council on 18 and 19 November 2010.", "The role of the annual fall seminar is to help familiarize newly elected members with the practice, procedures and working methods of the Security Council so that they can “be in their immediate role” when they join the Council in January of the following year. This series of seminars also provides an opportunity for current members of the Council to reflect on their work in an informal setting.", "This year, Sir Mark Lyall Grant, Permanent Representative of the United Kingdom of Great Britain and Northern Ireland to the United Nations, and Sir Brian Urquhart, former United Nations Under-Secretary-General for Special Political Affairs, delivered keynote addresses at the opening evening of the opening session of the Security Council in November 2010.", "The full-day programme on 19 November consisted of three round tables focusing on the following themes:", "I. State of the Council 2010: taking stock of the past and looking ahead", "II. Working methods and subsidiary bodies", "III. Lessons learned: reflections by the 2010 session", "Opening statements", "Ambassador Lyle Grant thanked the outgoing members of the Security Council — Austria, Japan, Mexico, Turkey and Uganda — for their work during the past two years, noting that they, individually and collectively, had made a significant contribution to the work of the Council. He also welcomed the new members of the Council, Colombia, Germany, India, Portugal and South Africa, and stressed that other members of the Council looked forward to working with them. He also thanked Ambassador Jarmo Viinanen, Permanent Representative of Finland to the United Nations, and the Government of Finland for hosting the “Getting to Work” seminar once again.", "Ambassador Lyle Grant described the Council as the most effective and appropriate United Nations body to date. He made three points about the work of the Council, which he had been impressed by since his arrival in New York in 2009, and he said:", "First, he was surprised that much of the work of the Council was formal and that the rules of procedure prevented a spontaneous debate. He commented that it might be necessary for Council members to jump out of the comfort zone and move to more informal and interactive consultations.", "Secondly, in his view, the Security Council does not always schedule time in accordance with its importance. He noted that, under the United Kingdom presidency in November 2010, of the 27 items on the work schedule, 17 were of a regular nature because of the pattern of general activities, 5 were in response to current developments and 5 were discretionary elements of the United Kingdom proposal. He therefore believed that consideration should be given to adjusting the agenda so that it was no longer largely determined by the extension of regular mandates and the schedule of work.", "Thirdly, Ambassador Lyle Grant commented that he had noted the desire of Security Council members to be more actively involved in conflict prevention and resolution. He noted that this would require Council members to exercise more of their collective authority in these areas, as the Council currently spends most of its time on conflict management.", "Ambassador Lyle Grant stressed his belief that the Security Council had been successful in the preceding months on issues including the Islamic Republic of Iran, the Democratic Republic of the Congo and women, peace and security. On the other hand, he noted that the Council had been unable to make significant progress in the long-standing disputes relating to peace in the Middle East, Western Sahara and Somalia.", "Finally, he predicted that the Security Council would be at least as busy in 2011 as in 2010. He added that, despite the time and energy spent by the Council on the Sudan, the issue was likely to be a major recent test for Council members in 2011.", "Keynote speaker:", "Sir Brian Urquhart recalled that his presence at the first meeting of the Security Council was reminiscent of the great expectations brought about by the creation of the United Nations. The expectation was that Council members would abandon their national instincts and focus on world peace, with unprecedented gestures to resolve the problems of war and peace and prosperity and economic depression.", "He stressed, however, that the Security Council soon had to meet the expectations placed on it by the world during the cold war. The effectiveness of the Council, which was at that time an institution of wide interest and supported by all super-Powers, eager to be able to cope with aggression and to maintain peace and security in the world, was greatly undermined by 40 years of nuclear confrontation between the United States of America and the former Soviet Union.", "However, Sir Brian said that the Council had not been completely paralysed during the cold war, but had resolved some very serious crises. For example, during the first Arab-Israeli war, the Council appointed a mediator on the question of Palestine. Through its good offices, the Council calmed tensions between India and Pakistan in the Kashmir issue mountain. He added that, in those years, not only the permanent members but also the elected members had often helped the Council to take decisions on the main issues before it.", "Sir Brian said that the Council had become a productive place during the cold war in terms of ad hoc response. The Council has achieved some substantive successes, while at the same time it has considered many issues. The Council has drawn up serious plans to achieve peace in the Middle East and to resolve the Kashmir issue, although they have not been put into practice. The Council also developed elements for a solution to the Cyprus problem. The Council has also actively promoted the technique of maintaining peace through international cooperation, which has become a particularly critical function given the serious threat of nuclear war during the cold war.", "Sir Bryan paid tribute to the many ambassadors who had served on the Council since its inception. He noted that the imaginative participation of those ambassadors had helped to transform the Council into a very practical organ based on the false assumption that peacekeeping must be jointly maintained by the World War II allies. He noted that, although not mentioned in the Charter of the United Nations, peacekeeping was one of the Council ' s greatest innovations. The Council has developed various means of negotiation and investigation, which have become important tools for the maintenance of international peace and security.", "Sir Brian said that 1986 had been a year of major changes in the dynamics of the Security Council. Relations between the permanent members of the Council began to improve as the Council worked together to address the war between the Islamic Republic of Iran and Iraq. The following year, Soviet President Mikhail Gorbachev called for greater use of the Council and the tools at its disposal for preventive diplomacy, mediation and peacekeeping. Sir Brian said that, at the end of the cold war, new global challenges had emerged that the Council had not adapted to. During the first Gulf war, the Council authorized the expulsion of Iraqi forces from Kuwait; he considered this to be the last operation authorized under Chapter VII. Despite the gradual reduction of inter-State conflicts, complex internal conflicts characterized by rebel movements, refugee situations and the hardships and hardships faced by civilians have increased significantly.", "Sir Brian believes that the Security Council has been well adapted to this new environment. The Council has repeatedly authorized the deployment of peace operations within national borders. Almost all peace operations in the 1990s dealt with civil uprisings and intercommunal violence within countries. In the face of the new challenges to peace and security, the Council has begun to take innovative action, becoming increasingly active and interpreting the provisions of the Charter in a broader sense. Although the Council has had successes and failures over the years, in the end it appears to have been successful in most cases.", "Speaking here, Sir Brian pointed out that it was interesting to see how the Security Council was dealing with emerging global issues that many considered to have security implications. For example, extreme weather patterns that may result from climate change may result in large-scale migration to flood-inundated areas. Similarly, in the near future, an increasing number of people may be living in water-stressed areas, to the extent that water is scarce enough to sustain population needs. Sir Brian expressed the hope that the Security Council would address these emerging threats to peace and security.", "In conclusion, Sir Brian stressed that the Security Council was a dynamic and constructive organ, and that its decisions on relatively vague issues were likely to build on each other and lead to substantial progress over time. He reminded the new members that the ideas put forward by the members of the Council could lead to other ideas that could eventually lead to long-term solutions and thus contribute to building bridges from conflict to peace and security. This is a challenge to the members of the Council and an expectation that they bring.", "Session I State of the Council 2010: taking stock of the past and looking ahead", "Moderator:", "Ambassador Gérard Araud Permanent Representative of France", "Commentators:", "Ambassador Ivan Barbalić Permanent Representative of Bosnia and Herzegovina", "Ambassador Emmanuel Issoze-Ngondet, Deputy Permanent Representative of Gabon", "Ambassador Wang Min Deputy Permanent Representative of China", "The first meeting provided an opportunity for the members of the Security Council to reflect on the current state of the Council's work and to look ahead to the challenges facing the Council in the months and years ahead. The meeting focused on trends in the Council ' s agenda, workload and effectiveness; conflict prevention and peacebuilding; and cooperation between the Council and regional organizations.", "Trends in the Security Council agenda, workload and effectiveness", "At the opening meeting, some participants noted that the workload of the Security Council remained heavy, although the number of informal meetings, informal consultations, presidential statements and resolutions recorded in the background paper prepared by Professor Edward Luck for the seminar had decreased in recent years. In fact, it is widely accepted that the Council remains the most constructive and dynamic organ of the United Nations system. It was recognized, however, that that workload placed a heavy burden on delegations. One participant noted that the reason for this was that the Council had become a quasi-administrative body for monitoring and managing a growing set of crises related to cross-cutting issues. He pointed out that the crisis in Equatorial Guinea required the consideration of organized crime and drug trafficking. Similarly, examples mentioned were terrorism in the Sahel.", "In the view of one speaker, the mandate of the Security Council remained unchanged. As is well known, the Charter gives the Council primary responsibility for the maintenance of international peace and security. This has not changed, but the issues dealt with by the Council are increasingly complex. The Council remains committed to inter-State conflicts, but now also addresses “fragile situations” within States, which triggered a debate on State sovereignty. The participant said that the Council was addressing cross-cutting issues such as human rights, humanitarian assistance, the rule of law, the protection of women and children, counter-terrorism, non-proliferation and election-related disputes, which was one of the reasons for that heavy workload. Considerable consultations are required to address these issues, thus preventing time for reflection on strategic planning. Another discussant expressed deep disappointment at the lack of a strategic debate, arguing that “strategy does not mean high height”. The speaker called for strategic debates on Somalia and the Democratic Republic of the Congo, where the lives of millions of people were at risk.", "Several participants commented on the need for greater opportunities for strategic reflection. One participant noted that the Security Council can have far-reaching strategic implications for peace and security. Its resolutions and presidential statements send a strong political message that can guide the international community in helping to coordinate the various actors involved in conflict resolution. The Sudan is a good example. However, in order to be more effective, the Council must have a more strategic perspective.", "Another participant noted that if the Security Council could devote more time to long-term thinking, the Council should look far away and ask what future threats had not been discussed today. What are the threats to international peace and security 10 to 20 years later? Should Council members consider water scarcity, biological threats, epidemics and cyber-threats? Essentially, the Council should look more forward and innovatively, jumping out of its “four walls” and “comfortful little heavens”. Finally, the Council should learn more about the needs of the world's youth, who make up the majority in many parts of the world.", "Another speaker agreed that the Council must break the cycle of rigid practices and adapt to a changing world. Greater flexibility and pragmatism are needed to give due consideration to these new issues. One participant suggested that the Security Council should be criticized on this point for being too “academic”. For example, the United Nations Office on Drugs and Crime has approached the Council twice to raise very convincing questions, but the Council has not acted accordingly. On some emerging transnational security threats, the Council is engaged in lively debate in other forums.", "On the scope of Security Council action, another speaker agreed that the scope of Council action remained too narrowly focused on conflict management rather than on conflict resolution or prevention. Prevention should take a more prominent place on the Council's agenda. In this regard, however, the Council has dealt well with the situation in the Sudan. In the future, the Council must address the security problems posed by climate change and other “new global challenges”. This is a controversial issue that could lead to a debate on sovereignty, but if the Council does not address climate change, the Group of Twenty or other bodies will. The question is which approach is pragmatic. Another speaker agreed that climate change was an issue that the Council had to address, but that it was first necessary to identify and analyse the various aspects of issues most closely related to peace and security. Only then can the Council determine the best course of action.", "One commentator suggested that the work of the Security Council be conceived in the short and long term. In the short term, of course, there is a need to respond to immediate crises and imminent threats. This is the primary responsibility of the Council. However, it is also important to consider how the daily work of the Council can contribute to the long-term strengthening of international peace and security. On the other hand, the Council ' s annual report makes little or no reference to the development of long-standing issues, including the Middle East, Cyprus and Western Sahara. Can the Council change the dynamics of these long-standing conflicts? On the other hand, the Council adds real value to thematic issues such as women, peace and security, children and armed conflict and the protection of civilians. The Council has made an important contribution to the development of international values, norms and standards. If the work of the Council is seen in 10 to 15 years' perspective, those developments are even more evident. It is in these normative aspects of the Council's work that the influence of non-permanent members is most evident.", "Looking ahead, one speaker noted that the Security Council would continue to address the Sudan, Somalia and the Middle East in the coming year, and that there was enough space for diplomatic and preventive efforts to play a role in those issues, requiring that the Council should not fulfil its mandate. In the coming year, the Council should redefine its relationship with regional organizations, while working to strengthen the peacebuilding aspects of its work, which would require enhanced collaboration with the Peacebuilding Commission.", "Another participant suggested that the Security Council should focus in the future on the main issues that threatened international peace and security. Two thirds of the Council ' s agenda concerns Africa. On one occasion, the Council should devote more time and resources to working with the African Union and other regional and subregional organizations to resolve the situation in Africa. The Council should become more involved in preventive diplomacy and exercise caution when trying to impose sanctions or exert pressure. Furthermore, the Council should make every effort to reach decisions by consensus. Concerted decisions, such as the most recent presidential statement on the Sudan (S/PRST/2010/24 of 16 November 2010), are the strongest messages.", "Peacekeeping", "One member wondered how much time the Security Council spent on peace operations. If peacekeeping is seen outside the United Nations, two things are remarkable: the increase in the number of missions and the length of their existence. It is a problem that some missions have existed for up to 50 years. One explanation is that the Council is most involved in emerging or re-emerging conflicts, with less permanent oversight of missions. The speaker welcomed the thematic debate on the continuation of the exit strategy and the suggestion that peacekeeping missions should be withdrawn as early as possible to allow space for long-term peacebuilding. Another participant said that the Council had made significant progress in defining a transition and exit strategy for peacekeeping missions, including during the debate on the issue in February 2010.", "With regard to exit strategies, several participants noted that the Security Council was facing a new trend in the host country to request premature withdrawals or modification of mission mandates. Such demands have given the Council an unusual and disquiet, and further discussions are needed to improve relations with the host country. Another speaker referred to the issue of relations with troop-contributing countries. The speaker urged the Council to strengthen its engagement with troop-contributing countries, believing that more in-depth engagement with those working in the field would enable better and more informed decision-making in New York.", "According to one speaker, the Democratic Republic of the Congo has been a long-standing test for the Security Council and its mandate. The Democratic Republic of the Congo is a vast country that poses many extraordinary challenges to peacekeeping. In view of these challenges, it is necessary to increase understanding among the various actors. In taking decisions and considering mandates, New York should take into account the views of actors on the ground. While it is not easy to develop appropriate mandates, it is even more challenging to identify the prerequisites for full implementation. Disbursement of funds for so many peacekeeping missions could also overburden the United Nations system. According to another commentator, the Council often decides on operations without adequate financial estimates and without adequate military means to implement them.", "One discussant argued that there was insufficient civilian and military coordination on the Sudan. The military needs more than a voice in the United Nations. There are many courageous and courageous people in the United Nations, but there is a need to strengthen communication with its Blue Helmets and civilian staff. Another participant agreed with the statement that the Security Council had very little military expertise and commented that generals were rarely seen in the Council. The United Nations procedures and mechanisms for dealing with military matters are particularly limited when compared with organizations such as NATO. For example, there is no chain of command. While that shortcoming might be acceptable in an era of traditional peacekeeping missions such as that of Cyprus, it was unacceptable to supervise large and complex missions such as that of the Democratic Republic of the Congo.", "Another participant proposed that peacekeeping should be the subject of a strategic debate in the Security Council. The speaker expressed support for the initiative proposed by the United Kingdom and France and suggested that the Council hold more strategic discussions around peacekeeping practices. The participant mentioned that the Working Group on Peacekeeping Operations met at the expert level and recommended that it hold a number of meetings at the ambassadorial level, with the participation of military advisers.", "One speaker argued that, in developing peacekeeping mandates, missions authorized by the Security Council should be based on a “standard” template that set out specific minimum tasks that must be performed. Of course, in addition to this minimum requirement, each task must be tailored to the specific realities on the ground. The participant was of the view that human rights monitoring should be one such standard provision for peacekeeping missions. Without such a provision, missions are vulnerable to disruption. On the other hand, several speakers regretted the tendency of peacekeeping missions to resemble the “Christmas tree” because of the number of mandates and lack of focus.", "Conflict prevention and post-conflict peace-building", "There was general agreement that the maintenance of international peace and security necessarily included conflict prevention, as emphasized in Article 1, paragraph 1, of the Charter. However, one discussant reminded the seminar that the Security Council alone could not do so. Regional organizations and the United Nations Secretariat, including the Secretary-General and the Department of Political Affairs, have been involved in conflict prevention. The role of the Council is to provide these actors with mandates and support to enable them to achieve better results and then to hold them accountable. For example, the Department of Political Affairs does not currently have adequate resources. One discussant, echoing the call for greater emphasis on conflict prevention, noted that the Department of Political Affairs should request a pledging conference to mobilize funds for its prevention efforts. The Council must ensure that the Department of Political Affairs receives appropriate support.", "Another participant said that there was a need to reach consensus on putting prevention on the ground. The speaker believed that scarce resources should be spent on conflict prevention and resolution in the most effective manner, and called for a clear “modal shift” in that regard. Emphasis should be placed on the interpretation of early warning signals and the development of specific measures to avoid the outbreak of conflict, rather than waiting for crises to develop to the point where it was costly to deploy troops.", "According to another speaker, there were certain differences among Security Council members as to the scope and nature of the Council's work. Is the Council intended to be a full-scale crisis that can only be considered, or can it be taken up when it is still possible to control it? Another member responded that there was no dispute as to whether prevention was within the competence of the Council. However, there are different views on how and when to proceed.", "One speaker referred to the Security Council ' s systematic programme of work for the Sudan as a positive example of conflict prevention. The Council has held regular meetings on these matters over the past six months, with a mission to the Sudan in October. This is an in-depth engagement that involves a lot of work. Other situations require similar commitments. In the case of the Democratic Republic of the Congo, for example, a similar scale has not been reached. The participant acknowledged that, in some respects, the Sudan could be said to be a more straightforward case, as the issue of the Sudan was on the agenda of the Security Council and two large missions were deployed. This is not the case in most places where conflict prevention is needed. The speaker said that Council discussions should not be limited to situations on the formal agenda. In the view of that speaker, the point of prevention was to deny States access to the Council's agenda from the very beginning. If conflict prevention is to be more effective, the Council should be as agile and flexible as possible.", "Another member agreed that the Security Council was relatively modest in dealing with issues already on its agenda. The resolution of new situations necessarily involves a debate on whether to include such situations on the agenda. In that regard, one participant felt that the Council should make better use of the item “Other matters” on its agenda as an opportunity to raise new issues. The inclusion of the element of unpredictability would encourage ambassadors to complete the Council's meetings from the beginning and throughout. According to one participant, most of the items considered by the Council came from domestic issues, which gave rise to disputes over sovereignty and the role of the Security Council. They all agreed that, while this situation remains a political obstacle, at this stage there are few traditional inter-State disputes that threaten international peace and security in matters brought before the Council.", "Several speakers said that the recent initiative to invite the Under-Secretary-General for Political Affairs to provide a comprehensive briefing to the Security Council was a useful contribution to conflict prevention. However, some disagree with the success of the initial briefing. One discussant commented on the idea but regretted that it had not led to a debate. The speaker was of the view that it would be preferable for the briefing to focus on one or two issues. Another participant agreed that it would be more effective for the secretariat to make an in-depth assessment of a few “hot spots”. A third speaker justified the current practice of briefing the Department of Political Affairs on all prevention initiatives as beneficial. Perhaps the briefing should be followed by a question-and-answer session. Another participant felt that such a question-and-answer session would not work and hoped that it would not continue.", "Members stressed more generally the importance of interaction between the Secretariat and the Security Council, particularly in the area of preventive diplomacy. One participant noted that the extent to which the Council could act alone was limited by concerns about State sovereignty. Another discussant was of the view that the Council should set aside time on a regular basis to take stock of the work done by the Secretariat in the area of prevention and the challenges encountered at all stages.", "One speaker cautioned that, regardless of improvements at Headquarters, the weaknesses of the United Nations presence on the ground posed serious obstacles to conflict prevention and must be addressed. Preventive mechanisms, such as early warning on the ground, were not enough, while there was a persistent gap between peacekeeping mandates and resources. Other speakers, however, referred to the establishment of the United Nations Office for West Africa as a positive step towards conflict prevention and peacebuilding on the ground.", "Several participants commented on the importance of post-conflict militarization for the work of the Security Council. One speaker noted that the concept was increasingly being taken into account in the drafting of mandates and would therefore continue to evolve and develop. In order to reduce the time for intervention and avoid a relapse into conflict, peacekeeping operations should pave the way for subsequent peacebuilding mechanisms. In the view of the speaker, that substantive relationship highlighted the benefits of high-level interaction between the Security Council and the Peacebuilding Commission. A second interlocutor commented that, while there were often calls for a more organic link between peacekeeping and peacebuilding, that had not happened in practice. More attention should be given to peacebuilding, as should the formulation of mandates and the withdrawal of peacekeeping forces.", "Partnerships with regional organizations", "Many participants noted the importance of partnerships with regional organizations. One participant commented that coordination between the Security Council and regional organizations had increased in recent years, as evidenced by the African Union-United Nations Hybrid Operation in Darfur. It was noted, however, that such partnerships could make the decision-making process more difficult. According to one participant, the Security Council acted on the basis of consensus, not only among its 15 members, but also increasingly with regional and subregional organizations such as the African Union, the Economic Community of West African States (ECOWAS) and the European Union. Cooperation between the United Nations and ECOWAS in Guinea was mentioned by several members as an example of a particularly fruitful partnership.", "One discussant noted that the Charter of the United Nations (Article 52 (2)) provided for a series of steps for conflict prevention and resolution. The crisis should be resolved first at the bilateral level and then at the regional level and only later at the Security Council level. The tendency to start at the United Nations level should therefore be avoided. According to another discussant, this suggests that the members of the Council should listen more carefully to the information of regional bodies, which, if they are the first to address emerging crises, should be given more opportunities to complete their prevention efforts.", "It was noted that regional organizations often had special local knowledge and other comparative advantages, which the Security Council should use within its means. Sometimes the United Nations should provide leadership, but often from regional organizations. It was crucial to avoid rigid approaches and to support open discussions and consensus-building.", "There was a lively discussion about whether the United Nations should provide financial support to the African Union mission. The view was expressed that regional peacekeeping missions, such as the African Union Mission in Somalia (AMISOM), authorized by the Security Council often did not have sufficient financial and logistical support sources. Another discussant agreed that the United Nations did not provide adequate support to the African Union, but that, if the United Nations provided financial support for an operation, the United Nations should have some say in how to proceed. The speaker was of the view that it was entirely legitimate to ask why the United Nations was providing financial support for an operation over which it had no jurisdiction. Another participant was of the view that the Council should support regional missions that could contribute to the maintenance of international peace and security, especially when the Council authorized regional missions. One discussant countered that the permanent members of the Council generally agreed that assessed contributions should not be used for fully funded regional operations. However, assessed contributions could be used to cover part of the cost of a particular mission, as in the case of Darfur and Somalia.", "One member elaborated on a United Nations-mandated African Union force, AMISOM. In the view of that participant, the authorized operation itself demonstrated that the Security Council recognized the importance of the Mission and should be adequately funded. If the African Union was unable to lead a mission effectively, it should be placed under United Nations control. The amount of the support package provided is insufficient. The scope of the activities of Somali pirates underlines that the situation there constitutes a clear threat to international peace and security. However, the Council has considered this serious threat only rarely. Why does the Council pay much attention to Chad, and the presence of United Nations forces is controversial? The speaker called for a more equitable approach and clear and visible criteria to justify the use of assessed contributions here or elsewhere.", "There was also a request that there should be greater transparency in the manner in which the relationship between the Security Council and the Peace and Security Council of the African Union should operate. In this regard, the request of the African Union that the Council cease the charges against President Omar Al-Bashir of the Sudan by the International Criminal Court was discussed at length. There was some confusion as to whether the Council had received a formal request from the African Union, but one participant acknowledged that such a request had been received. One participant strongly called for action on the matter, arguing that the Council should pay close attention to the demands of a regional group with special local knowledge. Another speaker countered that the Council had not addressed that request, as there was still disagreement on the issue. Some participants were of the view that, even if the Council was unable to act on that request, it should respond in some way. One participant strongly called for a prompt response.", "One speaker also explained the rationale for strengthening relations with the European Union. He believed that the next stop for the Security Council mission should be Brussels. A number of speakers concurred. The European Union has a strong capacity. For example, one discussant argued that in some cases the European Union rapid reaction force could make an important contribution to United Nations peace operations.", "Qualitative benchmarks: assessment of the work of the Security Council", "The first session also included extensive discussions on how to evaluate the work of the Security Council. Some participants made general assessments. One participant said that the Council was both exciting and frustrating. On some issues, the Council can be an arena for fulfilling responsibilities alone, but it can also be an indispensable body for meeting the challenges that no one dares to address. Another member expressed the view that the Council must at all times strive to improve its performance in order to meet one challenge after another and to make the Council itself “more accountable, more effective and more meaningful”.", "Some members raised the issue of accountability. In their view, accountability needs to be strengthened to enhance the effectiveness and efficiency of the work of the Security Council. In response to this question, one member mentioned that there were currently no generally accepted qualitative benchmarks that could be used to assess the work of the Council, as mentioned in the background paper prepared by Professor Luck for the seminar. The participant suggested that the Council should entrust Professor Luck with the task of drafting a follow-up document on how to establish a qualitative benchmarking system. The Council could then hold a “small retreat” to discuss the outcome. Several participants agreed that this would be helpful, but that it would not be easy to develop such measures.", "Session II Working methods and subsidiary bodies", "Moderator:", "Ambassador Maria Luiza Ribeiro Viotti Permanent Representative of Brazil", "Commentators:", "Mr. William Grant, Minister Counsellor, Permanent Mission of the United States", "Ambassador Raph Bukan-Oluvole Enemoola, Deputy Permanent Representative of Nigeria", "Ambassador Nawaf Salam Permanent Representative of Lebanon", "During the second round table, participants discussed issues related to the working methods and subsidiary bodies of the Security Council, including strategies to encourage genuine debate in Council consultations, the role of thematic debates, the responsibilities of the President, cooperation with other United Nations bodies, outreach to non-members of the Council, relations with the media and Council missions. The need to balance the transparency and inclusiveness of the Council's working methods with the Council's overall effectiveness and efficiency has been raised repeatedly in this session.", "Views on the working methods of the Security Council", "Participants noted the progress made over the past few years in improving the working methods and expressed appreciation for the ability of the Security Council to change, adapt and continuously revitalize itself. Several speakers expressed the view that a continuous and progressive reform process would better enable the Council to adapt to change without compromising efficiency.", "Noting the heavy workload and output of the Security Council, several participants suggested streamlining its work. One participant pointed out that a large part of the Council ' s work was a function of its schedule. For example, the monthly, quarterly or biannual mandate reviews are scheduled well in advance, so that the time for these reviews rarely keeps pace with the evolution and pace of events on the ground. The speaker was of the view that the Council should undertake a review of all its agenda items at the beginning of each year, with a view to rationalizing the review period and ensuring that the review cycle reflected the relative importance of each item. Similarly, another speaker was of the view that the Council, with the assistance of the Secretariat, should conduct an annual assessment of outputs to determine whether any presidential statements or resolutions were unnecessary and whether the texts of those statements or resolutions could be condensed or clarified.", "Several speakers said that when new members entered the Security Council, they did not have the same understanding of working methods as permanent members, and thus had many disadvantages. For example, they may be less aware of when change has occurred. One member referred to the adjustment of the modalities for consultations with regional groups to explain that they were not aware of the changes made before the issue was raised. Speakers suggested that the new members begin to pay attention to working methods early in the day so that they could better follow any changes made. In that regard, there was general appreciation for Japan ' s contribution to the development of a manual on working methods.", "Subsidiary bodies", "The work of the subsidiary bodies of the Security Council and the role of the Chairs of the Committees were briefly discussed. One member spoke of the important outreach role of the Chairs of the Committees, as they represented the public image of the Council on specific issues addressed by the Committee. Such targeted outreach, with more individual members, would be beneficial. One participant criticized the process of selecting the chairs of subsidiary bodies and strongly called for greater transparency and democratization of the process. The participant also raised the question of whether there were any specific provisions that precluded permanent members from chairing the sanctions committees. Another speaker raised the issue of the working methods of subsidiary bodies and questioned why those committees had adopted the principle of consensus and unanimity rather than following the practice of the Council as a whole.", "Outreach", "There was a lively discussion on the Council ' s outreach activities, including outreach to other United Nations Member States, the Contact Group, the Friends of the Chair Group, the Chair of the Peacebuilding Commission ' s country-specific configurations, representatives of regional organizations, civil society and the press. A major theme was the need to balance transparency and inclusiveness with effectiveness and efficiency. Some believe that efficiency should not exclude knowledge and emphasize the benefits of regular meetings with other groups. For example, one member spoke of the benefits of regular contact between Council members and their regional groups. Several speakers commended the Council for its increasing willingness to include non-members, including through informal interactive dialogues. However, other speakers were of the view that more should be done to give non-members the opportunity to express their views and to have them taken into account. The Arria-formula meetings were also commended as useful outreach opportunities, but several participants felt that they were somewhat outdated. In recent meetings, the Council has made few presentations and has had little real interaction with representatives of non-governmental organizations, who have read mainly well-written statements. In the light of that view, there was a call for a new and updated Arria-style meeting.", "According to several speakers, the Security Council has made far more progress in outreach than has been widely praised. Of course, non-permanent members have always been able to participate in the Council's informal open debate. Some participants referred to opportunities to expand outreach activities. For example, the annual report of the Council to the General Assembly usually leads to a debate on Security Council reform, and that is all. Speakers therefore suggested that the President of the General Assembly divide the annual debate into two separate debates: one on Council reform and the other on the practical work of the Council. The latter could encourage more dynamic exchanges in which the 15 members of the Council could hear and then discuss frank feedback from the wider membership. The speaker also expressed regret that the monthly briefings of the President on the Council ' s programme of work were often very few.", "One speaker said that what was lacking in non-members was interaction on specific issues rather than participation in open debates. One member stressed that conceptual issues and the prevailing concept were that the model was not working when it came to transparency, inclusiveness and accountability. Another participant countered that “the manner in which the Security Council deals with real work is not public”. Although the Council's procedures had become more open, the speaker cautioned that openness should not be an end in itself, and thus risk losing the advantage of having a seat in secret negotiations. The Council's consultations were considered to be a private meeting of Council members, dealing with the serious issues before the Council. Over the years, the problem has been the trend of over-representation of outsiders. Although the Council may be “the best performance of our city”, this is not to say that it is not. Similarly, other speakers expressed concern about the confidentiality of the consultations and, in particular, the prevalence of leaks.", "One speaker raised two issues related to inclusiveness. One is the question of whether the heads of the Peacebuilding Commission country teams should be allowed to speak in consultations. The speaker said that the provision should be expanded to allow the participation of non-members of the Council in consultations on those situations. For small and medium-sized delegations, it would be helpful to have experts from other countries provide back-up on certain issues. Although non-nationals are not allowed access to the consultation room under the provisions of the Council, there have been few instances in which Council members have included non-nationals in their delegations.", "While acknowledging that the Friends of the Chair groups could be very helpful in some cases, several members regretted the fact that elected members were often treated in a second-class manner vis-à-vis the countries that were part of those groups. Non-members of the Security Council who are members of the Friends of the Chair group often receive more information than some non-permanent members of the Council. One participant felt that the substantive quality of the work of the Friends of the Chair group was generally improved when it was conducted by the Council as a whole.", "Another participant raised the issue of the relationship between the Security Council and the press and referred to complaints about new provisions resulting from the work on the United Nations capital master plan and the temporary relocation of the Council Chamber. These concerns should be seen in the broad context of United Nations news coverage and the overall public image of the United Nations. The current trend is towards increasingly irregular reporting and less information and less and less knowledgeable permanent New York-based journalists who continue to report on the United Nations. The speaker was of the view that the United Nations as a whole, including the Security Council, should seriously reflect on its communications strategy in order to avoid reporting only bad news. In response to those concerns, another participant agreed that it was in the collective interest of the United Nations to retain high-quality journalists. The Council has requested the Secretariat to assist journalists who are required to pay for the use of space under the new regulations.", "One speaker noted that it was a challenging task to brief the press on the particularly divisive issues of the Security Council. Another speaker noted that the President ' s statements to the press were generally prepared and negotiated with the 15 members of the Council. On the other hand, statements to the press may be vague and general, but sometimes they must also be negotiated. In cases where the Council is divided, the President does not have the right to speak to the press, but only in his or her national capacity.", "Consultations of the Council", "There was a lively discussion on how to encourage genuine debate in Security Council consultations. In theory, these meetings are entirely informal and provide an opportunity for Council members to have a strategic and frank exchange on issues of highest priority and common interest. As many participants in the seminar said, reality is very different. Several participants stressed their disappointment with the content and format of the consultations, which were neither active nor focused. One speaker said that it was common practice for delegates to read out their statements, even in closed consultations, rather than having a genuine exchange of views. One participant estimated that 80 per cent of the statements delivered during the consultations were the same as those delivered in the Chamber to the media and other observers. Another discussant compared the “silence” of the Council to the situation of the European Union, whose 27 members were able to debate a wide range of issues with enthusiasm.", "A number of concrete ideas were put forward on how to make the consultations more dynamic and effective. For example, several speakers commented that it would be desirable for Security Council members to agree to abandon the use of prepared statements in consultations. One participant, however, questioned whether this would actually facilitate more active communication, fearing that there would be a risk of confidentiality and disclosure. Another participant noted that the summaries used in the consultations were a means used by United Nations missions to communicate with capitals in order to debate what missions intended to say in the Council and could easily not be changed. If delegations felt the need to read out their statements during the consultations, it was suggested that they could at least simplify the text.", "One suggestion that received broad support was that the Security Council should abandon the practice of listing speakers in consultations. Another member said that at a recent meeting without a list of speakers, “only those who had something to say made statements. We have not heard much. The discussions were brief, the process was quick and informative, and we moved on to other topics”. One participant cautioned, however, that such meetings still needed to be organized in a transparent manner, explaining why statements were made in a particular order. Participants also spoke of the need for the Council to create a culture in which no one would feel compelled to speak on all issues in closed consultations. One interlocutor noted that this was not to say that Council members should speak only on issues of great national interest. Such an approach would run counter to the spirit and purpose of the Council, whose 15 members bear the primary responsibility for the maintenance of international peace and security, even when they have no real interest in it.", "One member noted that the more interesting the consultations were, the closer they were to negotiations and the more necessary it was to remain private. If the consultations were only a small public meeting, there would be no need to hold consultations in a closed room. But if Council members start by using consultations to actually negotiate substantive issues, then the confidentiality of these meetings must be maintained, as originally envisaged. New members were urged not to give up easily on the issue of facilitating debate. In the view of one participant, bad habits were difficult to abandon, but not impossible, and the participant suggested that new members should be strong allies in the Council and those member organizations that shared their desire to see change.", "Negotiating text", "One member noted that most texts were negotiated at the expert level, but that, even at the expert level, Security Council members often negotiated “prefabricated” texts identified by the permanent members. As one participant said, “If the members of the Security Council wish the results of the meetings to be prefabricated, they should not complain that they are boring”. Sometimes the most interesting debate takes place at the procedural level. The speaker referred to the different circumstances of the 1990s, when in-depth and substantive negotiations were often held at the ambassadorial level. Participants referred to recent examples in which the quality of the Council ' s work had benefited from discussions at the ambassadorial level, in particular on the tenth anniversary of resolution 1325 (2000) and on Western Sahara.", "Trends in the “prefabricated” outcome text were also discussed in the context of the 2011 composition of the Security Council. The composition for 2011 will include five non-permanent members who wish to become permanent members. One participant wondered whether those members wished to be part of a small number of Member States that were “prefabricated” or whether they wished to have more inclusive discussions among the 15 members. Another participant was of the view that the discussion of inclusiveness with non-members also applied to the internal operations of the Council. The trend towards greater inclusiveness in drafting resolutions would create a sense of “collectively, collectively owned” results, leading to greater effectiveness and legitimacy.", "Several participants spoke of the trend among members of the Security Council that consensus decisions were considered the most effective decisions. Some participants commented that they were surprised by the strong trend towards agreement. In one example, the debate would have been closed within 15 minutes had the vote been put to a vote, but the Council had held 17 hours of consultations to ensure that there was unanimous support for a decision. Although the veto was rarely used in actual voting, one speaker commented, “You know it exists”. The discussant felt that the desire of Council members to seek common ground was real, constructive and highly commendable.", "Open debate: striking a balance between transparency and effectiveness", "The same lively discussion took place on the subject of the open debate. One participant noted that the introduction to the Security Council ' s report for 2009-2010 highlighted the positive impact of thematic debates. This conclusion demonstrates that significant progress has been made over the past decade on a number of thematic issues, including the protection of civilians, children in armed conflict and women and peace and security. Referring to the tendency of the new President of the Council to plan a thematic debate during the month of their presidency, several speakers commented that it might be very difficult for elected members to find an issue that could “learn their mark” through presidential statements. One participant cautioned against devoting too much effort to planning “pre-prepared” thematic debates, thus neglecting other agenda items. Another participant stressed that open debates should be held only when it was absolutely necessary to hear the views of non-members. In the view of that speaker, the smaller the number of debates, the more productive the Council will be.", "Several speakers agreed that the potential of the open debate had not been fully realized. Debates are often too long, repetitive and boring. The open debate had the advantage of allowing the general membership to brief and seek feedback from them. However, the first goal is more likely to be achieved than the second. In order to enhance the interactive nature of the open debate, it is suggested that non-members take the floor first, that Council ambassadors do not leave after they have spoken, that presidential statements be read out at the end of the meeting, that the five-minute limit for statements be applied and implemented and that open debates be limited to morning meetings only. The goal should be to find a way for non-members to speak, to be heard and to make a real contribution to the debate, not just to be seen.", "Role of the Chairman", "Participants also discussed the role of the presidency of the Council and provided some concrete suggestions on how new members could prepare for the presidency. One participant spoke of the important outreach role played by the President, whether through briefings to the press and non-members or through meetings with the Secretary-General and the President of the General Assembly. However, another speaker said that the United Nations system still did not give sufficient recognition to the President of the Security Council. For example, some regional groups did not seem interested in consulting him during his presidency.", "It was emphasized that each new President must take his or her role seriously and consider carefully how to better play that role. For example, one participant suggested that the Chair organize a monthly luncheon for members to discuss an issue. Such a luncheon could serve as a brainstorming session on a specific issue that the Chairman would like to highlight, whether in conflict situations or thematic issues. One member noted that, despite a degree of flexibility on the part of the President, the pace of the Council ' s work depended to a large extent on the schedule of work. The number of monthly events at the discretion of the President is rather small, and the scheduling of thematic debates needs to be adapted to the existing work schedule. The speaker called for more debate on the monthly programme of work and for more strategic discussions among Council members on the monthly focus. The Council meetings of the shortest duration are often those that adopt a programme of work, and there is usually little substantive discussion among permanent representatives. Another speaker noted, however, that in November 2010 some innovative approaches had been taken to use the presidency to define the strategic direction of the Council.", "Security Council mission", "There was a lively discussion on the Security Council mission. Several participants noted that the Council ' s missions to the countries on its agenda provided members with an opportunity to meet with actors, discuss issues, convey information and hear different views. The mission thus provided an opportunity for Council members to educate themselves and to reach out to others, not only government officials, but also to a wide range of organizations and individuals. As a result, several speakers considered missions to be crucial to the work of the Council, despite their high cost and burden on the host country. Speakers cited missions to the Sudan, Afghanistan and the Democratic Republic of the Congo as examples of their usefulness in this regard.", "Recommendations for strengthening the mission were also made. For example, it was advocated that more be done in advance to ensure that Security Council members were prepared to send a clear message to the people of the countries visited. This was illustrated by the example of the Democratic Republic of the Congo. One participant suggested that the Council could have been more prepared to answer questions about the withdrawal of peacekeeping forces. It was suggested that more use should be made of “small missions”, whereby a group of approximately five Council members would visit a country and then report to other Council members. This would allow the Council to send missions to areas that are not frequent, such as Western Sahara and the Middle East. One participant who did not agree with this proposal countered that the role of Council missions lay in the fact that all 15 members could see the same thing and had the opportunity to interact and discuss what they had seen. The participant noted that if the Council were to adopt a “small mission” approach, it would lose the sense of a collective understanding of the situation through the impressions on the ground, adding that “it would be very different for a small group of colleagues to read their reports to you, to go to the field and firsthand to understand the issues we are dealing with”.", "Some speakers called for a combination of all-member and small-scale missions. They expressed the view that all 15 members of the Security Council should participate in the mission when dealing with situations that seriously affect international peace and security, such as the Sudan or Afghanistan. In other cases, a team would suffice. The benefits would be cost savings and increased flexibility, as small, more mobile missions could stay in a country for a few more days without unnecessary burdens. Differing views were expressed, however, as to whether and how that choice should be made. Could Timor-Leste, for example, send a small Council mission? Several participants cautioned against creating the impression that some countries were “more important” than others or that the Council had double standards. To that end, one speaker suggested that the size of the mission should reflect the seriousness of the challenge, not the relative importance of the country concerned. According to another speaker, all missions should be open to all members.", "Several recommendations were made to enhance the impact of Security Council missions, regardless of their size. One commentator argued that more military expertise and engagement with the military was needed during the Council ' s mission. Another commentator expressed regret that the Council had not made better use of the missions to Afghanistan and the Sudan. While the mission was well prepared, with clear terms of reference and clear messages to be conveyed, Council members did not meet afterwards to assess what they had seen. More should be done to draw collective lessons from these missions. Similarly, another member felt that informal discussions on lessons learned should become standard practice after all Council missions.", "Session III Lessons learned: reflections by members of the 2010 session", "Moderator:", "Minister Konstantin Dolgov, Deputy Permanent Representative of the Russian Federation", "Commentators:", "Ambassador Ertuğrul Apakan, Permanent Representative of Turkey", "Ambassador Thomas Mayr-Harting Permanent Representative of Austria", "Permanent Representative of Japan", "Mr. Guillermo Puente, Counsellor and Political Coordinator, Permanent Mission of Mexico", "Ambassador Ruhakana Rugunda Permanent Representative of Uganda", "At the outset of the meeting, the facilitators noted that every non-permanent member had a mark on the work of the Security Council during his two years in office. Moreover, some of them may soon return to the Council. He thanked the outgoing member for his contribution to the activities and work of the Council and commented that, while two years did not seem to be long for the permanent members, what was represented was an important part of the Council's activities. He believed that much had been achieved over the past two years and expressed appreciation for the solid performance of outgoing non-permanent members.", "Developments in the Council and relations between permanent and non-permanent members", "One participant stressed the sense of unity of purpose that was reflected in the work of diplomats in the Security Council. One member noted that Council members understood that they had a shared responsibility to maintain international peace and security. This sense of collective responsibility can often prevail over national interests. Other participants agreed and commented that a climate of friendship prevailed between permanent and non-permanent members. On most issues, the combination of interests and values is not decided between permanent and non-permanent members. One speaker cited human rights, the protection of civilians in armed conflict, working methods and women, peace and security as illustrative of this. One outgoing member noted that, in any event, there were relatively few items on the Council ' s agenda that were important to his country ' s sense of immediate national interest, making it easier for his country to contribute to consensus-building. Another speaker commented that it was possible for the Council to reach agreement on many issues, even controversial ones. The discussant also cited consensus-building as a particularly encouraging feature of the Council's work. Focusing on consensus will certainly inspire a cooperative attitude. However, one participant questioned whether most Council diplomats often put global interests above national interests. Diplomats often pursue narrow interests rather than working on broader global issues.", "Several participants again addressed the theme of transparency and inclusiveness. They said that the non-permanent members were not always treated as equal partners in the work of the Security Council. For example, there is a tendency for the permanent members to draft the text of the resolution and then to discuss the substance of the text with the interested parties without consulting the non-permanent members. In these circumstances, it is possible for non-permanent members to obtain a text that has become a fait accompli without the opportunity to present substantive comments. It is also often the case that the permanent members, without adequate consultations, choose the chair of the subsidiary body. Other speakers countered that the responsibility of the Council for lack of transparency and inclusiveness should not be placed exclusively on the permanent members. Non-permanent members can be more proactive, proactively engage in constructive communication with the permanent members and challenge their prerogatives by raising relevant issues. After all, there are 10 non-permanent members and only five permanent members. Another participant added that new members could also bring new dynamism and ideas to the Council.", "In that spirit, one speaker encouraged incoming delegations to view the Security Council as an evolving body whose norms and values would change over time. In five to ten years' perspective, this development in the work of the Council will become more understandable, but its daily activities may be predictable and even constant from time to time. Non-permanent members can help to determine the direction of Council change. While some countries may not be large or larger, non-permanent members can contribute wisdom and innovation to the work of the Council. They can bring different perspectives and sometimes question the positions of permanent members, even on issues of interest, such as the Middle East, or on peace operations in Africa. Several participants stated that the distinction between permanent and non-permanent members was exaggerated, as the scope of the problem did not follow that distinction and category.", "Subsidiary bodies", "New members were requested to participate in subsidiary bodies of the Security Council, including working groups and sanctions committees that best reflected their national policy interests and objectives. One participant commented that the chairmanship of the Working Group on Children and Armed Conflict reflected his country ' s concerns about international law and international humanitarian law. Similarly, his country had assumed the chairmanship of the Committee established pursuant to resolution 1540 (2004) because of its commitment to disarmament.", "Several speakers expressed the view that the chairmanship of subsidiary bodies provided non-permanent members with leadership opportunities and created more space for meaningful contributions to the work of the Security Council. By leading the Council ' s subsidiary bodies, new members can uphold the standards of transparency, accountability and neutrality. With regard to the work of sanctions committees, one participant suggested that new members should gain first-hand knowledge through visits to targeted countries. Sanctions are not just a punitive measure; they can also be used as a lever to encourage compliance with Council decisions.", "Opportunities and challenges for new members", "The outgoing members highlighted the unique challenges and opportunities posed by membership in the Council. Several members commented on the sense of responsibility that other organs did not have in dealing with issues of peace and security. Despite the tendency to overemphasize negative aspects, the Council can do much good, as evidenced by its actions in Liberia, Sierra Leone, Burundi and Timor-Leste. Another outgoing member commented on the Council ' s effective and persuasive response to the missile tests of the Democratic People ' s Republic of Korea. He saw the Council's handling of the situation as an example of constructive interaction among Member States. The Council is often the most outstanding when it faces very difficult challenges.", "One speaker cautioned the new members that two years remained a very tight time frame for becoming an effective member of the Security Council. It will take six months to find out just how the Council works, particularly with regard to its procedures and working methods. The elected members will then have only 18 months to deliver. However, the non-permanent members can achieve much within that time frame.", "Another participant highlighted his extremely intense experience during the month of the presidency of a Council member. The President of the Security Council must be psychologically prepared for surprises. For the first time in his presidency, his country had dealt with unforeseen events, such as the launch of missiles by the Democratic People ' s Republic of Korea and the crisis in Sri Lanka. During that month, the originally scheduled debates covered Haiti, children and armed conflict and the settlement of disputes. When his country returned to the presidency, it dealt with attacks on Turkish vessels bound for Gaza, the crisis in Kyrgyzstan and the torpedo attack on the Republic of Korea vessel Cheonan. These incidents were unexpected.", "Recommendations for newly elected members", "Some speakers emphasized the important role of tapping into the ideas and information of non-governmental organizations. One speaker reminded participants that it was difficult for non-permanent members to obtain reliable information at the time of the 1994 genocide in Rwanda. Fortunately, over the years, non-governmental organizations have helped to fill the information gap that existed in the past. For example, during the 2009 crisis in Sri Lanka, NGOs became an important source of information for the Security Council on events on the ground. Another participant praised the content of the Security Council report web site (see www.securitycouncilreport.org), which facilitated the work of the speaker ' s delegation. Non-permanent members must also understand and listen to the concerns of the countries on the Council's agenda. Elected members can also learn from each other and benefit from sharing information and ideas.", "Another old proposal was to use the Secretariat. Officials responsible for working with the Security Council are said to be highly qualified, familiar with their work and willing to provide pertinent and timely information. To further confirm this, one participant described the Secretariat as an enormous asset of the Council, arguing that the non-permanent members could not work effectively without the assistance of the Secretariat.", "Participants stressed the importance of having a good team when entering the Security Council. One speaker stressed the importance of having a good legal adviser. The status of permanent members gives them special knowledge of the rules of procedure, which they use to put themselves in a privileged position and often to the disadvantage of non-permanent members. A good legal adviser could learn the Council's procedures and help his or her ambassador offset that disadvantage. Legal advisers could also facilitate the work of non-permanent members when they assumed the chairmanship of subsidiary bodies, which often involved real legal work. According to the speaker, the trend towards negotiations at the expert level — and, in this case, most of the work of the Council — underlines the need for an excellent political coordinator and a strong team of experts.", "Participants told the new members that one aspect in which the President of the Security Council could leave his mark was the thematic debate. However, some permanent members have expressed concern that lengthy thematic debates may take up much of the Council's time and leave the Council ill-equipped to accommodate other urgent tasks. One speaker said that this challenge could be achieved by holding a thematic debate by new members on issues that the Council had planned to address during the month of its presidency. While permanent members were reluctant to take up thematic debates, they are now also increasingly organizing such debates during their presidency. The thematic debate organized by China on cooperation between the United Nations and regional and subregional organizations would prove particularly useful." ]

[ "第六十六届会议", "——————", "^(*) A/66/50。", "暂定项目表^(*) 项目141", "联合检查组", "联合国同私营企业的伙伴关系：全球契约的作用和运作", "秘书长的说明", "秘书长谨向大会成员转递联合检查组题为“联合国同私营企业的伙伴关系：全球契约的作用和运作”的报告(JIU/REP/2010/9)。", "A/66/137", "联合国同私营企业的伙伴关系： 全球契约的作用和运作", "撰 写 人", "Papa Louis Fall Mohamed Mounir Zahran", "联合检查组", "2010年，日内瓦", "[]", "联 合 国", "A/66/137", "Chinese", "Original: English", "联合国同私营企业的伙伴关系： 全球契约的作用和运作", "撰 写 人", "Papa Louis Fall Mohamed Mounir Zahran", "联合检查组", "[]", "联 合 国 2010年，日内瓦", "内容提要\n 联合国系统各组织的环境状况联合国同私营企业的伙伴关系：全球契约的作用和运作 JIU/REP/2010/9", "联检组在其《2009年工作方案》中列入了关于全球契约的作用和运作的审议。全球契约是前秘书长在1999年于达沃斯举行的世界经济论坛上提出的一项举措。这项举措是要在其企业参加者之中推行关于负责任企业公民的十项商定原则，其中包括联合国在人权、劳工、环境以及反腐败四个行动领域中的普世价值。本审查报告之目的是要审议全球契约的作用和成功程度；同时审议一些公司使用联合国的名义而引起的风险，因为它们可能从同联合国的关系中获益，又无需证明自己遵守联合国核心价值观和原则。本报告确定了最佳作法、经验教训以及今后的挑战；并就有效、透明和问责地管理这种类型的公司伙伴关系提出了建议。报告涉及全球契约办事处从其设立至2010年4月期间的活动，其中特别注重于最后两项两年期方案。", "主要调查结果和结论", "全球契约举措最初附属于秘书长办公室；后来在秘书长的支持下，迅速演变成为一个拥有越来越多工作人员、办公地点、经费、职责以及宏伟目标的办事处。这项举措在一个“特别体制”内运作，但是缺乏适当的监管和机构框架。在这种背景下，全球契约大大增加了自己的资助者，并且将其外展活动扩大到了私营部门，在过去一些年中，使得联合国同私营部门的联系更加合法化。然而，由于没有一项明确规定的任务，结果造成工作重点不突出和影响减弱。由于没有适当的准入条件以及关于衡量参与者是否确实执行原则的有效监测制度，因此引起了一些批评，并且对本组织的名誉造成了风险。全球契约办事处的特别结构违反了现有的规定和程序。在其建立以来的10年中，尽管该办事处开展了积极活动并且接受了越来越多的资源，但是效果并不明显，而且风险依然存在。因此，检查专员认为，需要各会员国参与，为该办事处规定明确的任务，以便重新思考其行动和重新确定工作重点。由于全球契约办事处(GCO)的经费由少数捐助国和企业参与者的捐款提供，因此检查专员认为，大会应当指示秘书长更加明确地规定GCO的职责，以免出现以下情况：一些外部的集团或者行为者偏离商定的战略目标，而致力于可能损害联合国名誉的牟利行动。", "没有监管和机构框架", "大会根据议程项目“建立全球伙伴关系”通过了6项决议；这些决议虽然承认全球契约的价值，但是没有给予这项举措以“全权”。由于它的活动由预算外资源提供经费，因此GCO不仅需要明确规定的任务，而且还需要长期的战略框架。", "同联合国其他机构不同，GCO的职责和汇报对象没有在秘书长的公告中公布，因此需要比照UNOP/UNFIP的职责加以明确界定。在许多方面，GCO同UNOP/UNFIP的职责相似。从某种程度上来说，在处理秘书处内有关私营部门的工作方面，已经出现责任和资源重迭的现象。检查专员认为，应该将这两个办事处合而为一，只向副秘书长汇报工作。", "没有有效地甄别和监测参加者", "由于希望成为世界上最大规模的涉及多个利益攸关者的举措，全球契约的入门程序没有规定进行严格挑选，因而不利于高质量的参与。此外，由于没有规定具体目标，因此发生了在企业参加者和地方网络的数量、类型和区域代表性等方面的不平衡现象，需要加以纠正。", "仅仅在参加这项举措时承诺遵守原则并非参加者今后“良好表现”的保证。承诺的自愿性质以及作为举措基础的“学习”前提并没有为表现提供足够的保障。虽然“道德约束措施”的实施增加了举措的可靠性，但是作为报告和自我评估机制的“进度报告”并没有对参与者实际执行原则的情况进行充分的和有效的监测和核实。如果不对投诉进行更为透明的处理，举措就不可能拥有许多人所需要和要求的“威慑手段”。", "特别的管理、筹资结构和招聘程序", "由于联合国给予的特别管理支助、经费和地位(A/RES/62/211)，全球契约和GCO享有特殊地位，可以在筹资和招聘方面更加灵活地运作。有时，这种情况导致避开现有的规定和条例。例如，GCO的工作人员、顾问和实习生在并不完全符合有关招聘和晋升程序的情况下，获得首先聘用和转正。然而，近年来通过管理正规化的努力，已经开始改变这种状况。", "由于没有一种强有力的筹资战略，该办事处的有限的和不平衡的筹资结构依赖于10来个捐助国(多数来自欧洲)以及在过去五年中增加10倍的企业的捐款。", "对于在联合国信托基金(政府捐款)和全球契约基金(私营部门捐款)管理下的GCO的收入和支出，没有统一的、透明的和清楚的预算和财务报告。", "全球契约基金不仅为GCO筹集资金，而且还为它使用经费，在实施所在国的国家法律的同时，避开了联合国现有的规定和程序。", "代价高昂的和效果值得怀疑的管治", "2005年通过的新的管治结构由七个实体组成；每个实体都在一个多中心的框架内运作。由于没有中央决策，各个实体的成员、职责和会议也各不相同，因此这种管治结构运转不灵，代价高昂而且效率不高。会员国在理事会中没有代表权；对于象联合国这样的政府间组织而言，这种情况即使不是前所未闻的，也是十分罕见的。", "理事会成员的提名是自上而下的。理事会的组成不是包容性的：中小企业和联合国核心机构在理事会中没有代表。在秘书长缺席的情况下，理事会的会议由非联合国人士主持。理事会不是每年按需要经常召开会议，因此无法提供足够的指导和监测。", "随着机构间工作组的设立，曾经积极参与咨询委员会(前理事会)工作的六个核心机构的战略影响已经减弱。机构间工作组的会议非但未能帮助协调和管治，反而成为附属于其他活动的单纯的信息交流论坛。", "新的管治结构削弱了(而不是加强了)举措的管治框架，使得GCO成为决策中心。", "需要定期的、没有偏见的和独立的业绩评估", "没有正式的评估GCO工作的业绩报告机制。年度审查报告基于企业参加者的调查结果，因此相当于自我评估。没有调查非企业参加者。因此，年度审查没有能够独立地、没有偏见地和全面地说明全球契约的成功和失败以及风险和机会。", "建议", "本报告提出了16项建议，其中4项建议(建议1、2、5和8)要求大会采取行动；5项建议是向秘书长提出的；还有7项建议是向全球契约办事处提出的。", "这些建议之目的在于：为GCO规定明确的任务、长期战略和职责，并且予以实施(建议1和2)；将GCO和UNOP/UNFIP合而为一(建议3)；纠正参与者构成方面的不平衡现象，并且规定适当的挑选程序(建议4和5)；在落实十项原则方面，加强实施“道德约束措施”和问责制(建议6)；平衡公共和私人筹资，并且使之多样化(建议7)；提高关于GCO整个预算、收入和开支以及实际招聘的报告的透明度(建议8)；提高地方网络的有效性和自力更生程度、工作连贯性以及区域咨询和协调中心的地理代表性(建议9和10)；为实施十项原则注重推动伙伴关系，并且定期审查其实施情况，以便传播最佳做法(建议11)；通过恢复机构间工作组的咨询作用，加强全球契约的管治结构，同时确保更为透明的理事会成员的提名以及参加者的广泛代表性(建议12、13和14)；通过关于办事处的活动对于规定目标及其任务的影响的年度自我业绩评估以及定期独立评估，加强举措的有效性和问责制(建议15和16)。", "检查专员高兴地注意到，秘书长行政办公室的战略规划股在其2010年9月20日对于本报告草案的评论中指出，“联检组的检查专员所提出的许多建议反映了全球契约高级管理层和秘书长所希望的举措发展方向。”", "检查专员还被要求根据在2010年6月领导人峰会期间的事态发展，更新对于全球契约活动的评估。不幸的是，这些积极的事态发展不在本审查报告的范围和时限之内。", "目录", "章次 段次 页次", "内容提要...... iii", "缩略语…... vii", "一. 导言………. 1-9 1", "二. 全球契约的作用 10-36 2", "A. 举措……… 10-12 2", "B. 全球契约办事处的任务、使命和职责 13-25 4", "C. 联合国伙伴关系办事处 26-32 6", "D. 在联合国系统中推行联合国价值观和负责任企业做法 33-36 8", "三. 全球契约的运作 37-142 8", "A. 参与者…………. 37-82 8", "B. 办事处…... 83-97 18", "C. 国家存在：全球契约地方网络 98-107 21", "D. 区域存在：支助中心 108-111 24", "E. 伙伴关系…. 112-113 25", "F. 管治…… 114-129 25", "G. 评估全球契约举措 130-135 28", "H. 结论…… 136-142 29", "附件", "根据联检组的建议参与组织应当采取的行动概述 31", "缩略语", "ALNF 年度地方网络论坛\n CEB 联合国系统行政首长协调理事会", "COP 进度报告", "CSOs 民间社会组织", "CSR 公司社会责任", "DESA 经济和社会事务部", "DPI 公共信息部", "FAO 联合国粮食和农业组织", "GCLN 全球契约地方网络", "GCO 全球契约办事处", "IAEA 国际原子能机构", "ILO 国际劳工组织", "IMO 国际海事组织", "ITU 国际电信联盟", "JIU 联合检查组", "MDGs 《千年发展目标》", "NGOs 非政府组织", "OCHA 人道主义事务协调厅", "OHCHR 联合国人权事务高级专员办事处", "OIOS 内部监督事务厅", "OLA 法律事务厅", "UNCAC 《联合国反腐败公约》", "UNCTAD 联合国贸易和发展会议", "UNDP 联合国开发计划署", "UNEP 联合国环境署", "UNESCO 联合国教育、科学和文化组织", "UNFIP 联合国国际伙伴关系基金", "UN-HABITAT 联合国人居署", "UNHCR 联合国难民事务高级专员办事处", "UNICEF 联合国儿童基金会", "UNJSPF 联合国工作人员养恤基金", "UNIDO 联合国工业发展组织", "UNODC 联合国毒品和犯罪问题办事处", "UNOP 联合国伙伴关系办事处", "UNWTO 世界旅游业组织", "WFP 世界粮食计划署", "WHO 世界卫生组织", "一. 导言", "1. 作为其2009年工作方案的一部分，联合检查组(联检组)从2009年5月至2010年4月就联合国同私营企业的伙伴关系对全球契约的作用和运作进行了评估。", "2. 鉴于近年来联合国同私营企业日益增多的伙伴关系，联检组已经两次审查了这个问题。[1] 第二次审查发现，在联合国系统内对于全球契约举措之目的和作用存在某些误解；一些非政府组织组成了“消除私营企业在联合国中影响联盟”，指责联合国允许一些最有钱的大公司借用联合国名义，而又不要求它们作出任何新的贡献。[2] 其他一些利益攸关者则认为，这项举措是成功的，是联合国同私营部门之间关系发展的一座里程碑；认为举措号召全球的企业领导人在其影响范围内拥护一套举世公认的原则，并在人权、劳工、环境和反腐败等领域中加以实施。", "3. 之所以会有这些不同意见，是因为当初设想将这项举措作为一种学习工具，而不是一种监管手段。实际上，全球契约并没有监管有关公司，没有评判它们的表现和行动，也不强制实施其原则。因此，矛盾的是，它无法确保那些借用联合国形象和名义的公司有效遵守其基本原则。", "4. 本报告审查了全球契约在促使各种利益攸关者推行关于负责任企业公民的十项商定原则方面的作用和成功程度。报告还讨论了关于一些公司使用联合国的名义，从同联合国的关系中获益，却又无需证明自己遵守联合国核心价值观和原则的敏感问题。本报告确定了最佳作法、经验教训以及今后的挑战；并就有效、透明和问责地管理这种类型的公司伙伴关系提出了建议。", "5. 本审查报告涉及总部设在纽约的全球契约办事处(GCO)、其分布在世界各地的大约90个地方网络以及5个区域中心的活动。报告还审查了全球契约基金的财务机制以及联合国伙伴关系办事处(UNOP)的活动。", "6. 根据联检组的内部标准、准则和工作程序，在编写本报告中所使用的方法包括：初步案头审查、同50多个联合国官员和举措参加者的面谈、问卷调查/一般调查以及对于调查结果的深入分析。向90个全球契约地方网络(GCLN)发出了以3种语言编制的电子调查表；获得答复的比例为43%。两项针对企业和非企业参与者的调查未能进行，因为GCO以机密和“调查对象疲劳”为由拒绝提供有关的联系办法。GCO倒是提供了最近它自己对企业参与者开展调查的结果。因此，检查专员未能独立地从参与者处获得关于GCO表现和举措成功问题的意见。", "7. 曾经要求参与的组织和其他面谈者对于本报告草案提出意见，并在编写报告的过程中适当予以考虑。根据联检组规章第11.2条的规定，在报告最后敲定之前曾同其他检查专员进行协商，以便运用联检组的集体智慧检查报告的结论和建议。", "8. 为了方便对于报告的处理以及有关组织实施和监测联检组的建议，附件一载有一份表格，表明提交的报告是供采取行动，还是仅供参考。这份表格显示了同各个组织有关的建议，具体说明有关建议是否需要该组织的立法或者管理机构作出决定；或者该组织的行政首长即可就此采取行动。", "9. 检查专员向所有曾经协助他们编写本报告的人表示感谢，特别感谢那些参加面谈和调查并且欣然提供其专门知识的人。", "二. 全球契约的作用", "A. 举措", "10. 前联合国秘书长科菲·安南于1999年1月31日在达沃斯的世界经济论坛上提出了全球契约举措。他说：", "“今年，我想要求大家同我一起将我们的伙伴关系提高到一个更高水平。我建议，你们这些聚集在达沃斯的企业领导人同我们联合国一起提出一项具有共同价值观和原则的全球契约；这项契约将为全球市场带来人情味。[……]我呼吁大家[……]拥护、支持和制定一套涉及人权、劳工标准以及环境做法等领域的核心价值观。", "为什么是这三个领域？[……]因为它们都是你们[……]可以发挥影响的领域[……]在这些领域中，国际协议已经确定了普世价值观[……及]如果我们不采取行动，开放的全球市场，特别是多边贸易体制，可能受到威胁。", "基本上，我们有两种方法可以完成这项工作。第一种方法是通过国际政策领域。你们可以鼓励各国向我们这些它们已经参加的多边机构提供资源以及为完成任务所需的权利。[……]第二种方法是你们在自己的企业范围内，直接采取行动推动这些价值观。你们中的许多人是世界各国[……]中的大投资人、雇主和生产商。这种权力带来了巨大机会；同时也带来了沉重的责任。", "如果你们在将这些商定的价值观和原则纳入任务说明和企业实务的过程中需要帮助，联合国机构[……]都已经做好协助你们的准备。我们准备促进你们同其他社会集团之间的对话，以便针对它们所提出的真正令人关注的问题，帮助寻找可行的解决办法。[……]更为重要的是，我们在政治领域中开展的工作也许有助于提倡和保持一种有利于贸易和开放市场的环境。”[3]", "11. 因此，产生了全球契约；并且通过了涉及人权、劳工、环境以及反腐败等4个行动领域(来自四项重要的联合国文书)中的9项原则(2004年又增加了关于反腐败的第十项原则)。[4] 这些重点领域/原则包括了《联合国宪章》的序言和第一条所规定的一些联合国普世价值观。遗憾的是，它们没有包括追求和平和发展。", "十项原则", "人权", "原则1. 企业应对保护国际公认的人权给予支持和尊重；", "原则2. 企业应保证不与践踏人权者同流合污。", "劳工", "原则3. 企业应支持结社自由及切实承认集体谈判权；", "原则4. 企业应支持消除一切形式的强迫和强制劳动；", "原则5. 企业应支持切实废除童工；", "原则6. 企业应支持消除就业和职业方面的歧视。", "环境", "原则7. 企业应支持采用预防性方法来应付环境挑战；", "原则8. 企业应采取主动行动，促进在环境方面采取更负责任的做法；", "原则9. 企业应鼓励开发和推广不损害环境的技术。", "反腐败", "原则10. 企业应反对任何形式的腐败行为，包括敲诈勒索和行贿受贿。", "12. 全球契约于2000年开始运作。全球契约最初附属于秘书长办公室。后来它迅速演变成为一个拥有越来越多工作人员、办公地点、经费、具体职责以及宏伟目标的正规办事处。这项举措在一个“特别体制”内运作，但是缺乏适当的监管和机构框架。在过去一些年中，全球契约大大增加了自己的资助者，并且将其外展活动扩大到了私营部门。", "B. 全球契约办事处的任务、使命和职责", "需要明确规定的任务", "13. 从2000年以来，大会根据议程项目“建立全球伙伴关系”通过了6项决议。[5] 这些决议虽然承认全球契约的价值，但是没有给予这项举措以明确任务或“全权”。", "14. 初期的决议承认全球契约作为一种多个利益攸关者的举措对于良好企业责任的重要性；[6] 注意到联合国关于伙伴关系(例如全球契约)的工作；[7] 同时鼓励GCO推动企业采取最佳做法和积极行动。[8]", "15. 2007年，内部监督事务厅在审计之后建议秘书长要求大会规定正式任务，使得GCO的作用充分合法化，并且为评估其业绩提供基础。[9] 此后，大会承认“全球契约是一种旨在推行联合国价值观和负责任企业做法的创新的公共/私人伙伴关系”；同时承认该办事处的特殊结构，鼓励它“继续努力，特别是继续传播关于伙伴关系的经验教训”。[10] 这项决议被GCO视为授权更新和扩大其任务。[11] 2009年通过的最后一项决议[12] 与此大同小异。检查专员认为，需要为GCO规定更加明确的任务。", "16. 同联合国其他机构不同，GCO的职责并没有在秘书长的具体公告中公布。由于没有这种官方文件，该办事处将全球契约确定为：一种政策平台和承诺长期实施负责任企业做法的企业的具体框架；一种通过十项普遍接受的原则统一全球契约的运作和战略的领导举措；一种依靠公共问责、透明度和自愿报告等方法加强条例实施和促进创新的自愿举措。[13] 在全球契约于2005年进入第二阶段之际，GCO重申其使命和目标：成为世界上最有包容性的自愿举措；促进负责任企业公民；确保全球契约及其原则成为世界企业运作和活动的组成部分；鼓励和便利主要的利益攸关者开展对话和建立伙伴关系，以便支持十项原则和更加宏伟的联合国目标(例如：《千年发展目标》)；从而确保企业同其他社会行为者建立伙伴关系，为实现联合国关于建立更加长期和平等的全球经济的目标而发挥关键作用。[14]", "17. 人们在审查大会所有关于全球伙伴关系的决议之后，发现其中并没有提到GCO自己确定的目标：鼓励和便利主要的利益攸关者开展对话和建立伙伴关系，以便支持十项原则和更加宏伟的联合国目标(例如：《千年发展目标》)；也没有提到GCO自己确定的使命：成为旨在促进负责任企业公民的世界上最有包容性的自愿举措。这些目标超出了大会的有关决议。虽然GCO活动的经费确实来自少数捐助国和企业参与者的自愿捐款，但是检查专员认为，各会员国应当确定该办事处的作用；秘书长应当根据各会员国提供的战略方向规定其职责。为了避免出现以下情况：一些外部的集团或者行为者偏离商定的战略目标，而致力于可能损害联合国名誉的牟利行动，这种做法是必要的。", "18. 实施以下建议将有助于提高全球契约的有效性和问责制。", "建议1 \n大会应当在其第六十六届会议上为全球契约办事处规定明确的任务，同时请秘书长在一年之内出版一份公告，根据为GCO规定的任务概述其职责。", "19. 秘书长行政办公室(EOSG)的战略规划股指出，“秘书长和全球契约办事处欢迎这样一种事态发展。”", "需要一种基于结果的长期战略框架", "20. 联合国2010年至2011年两年期方案预算[15] 没有为GCO规定战略优先项目、活动以及业绩指标，因为其活动经费来自预算外资源。因此，只公布了有关的信托基金支出的估计数。", "21. 从2005年以来，GCO也主动编制了年度活动计划。该办事处还编写了2006年预算案概述和2008年至2010年的拨款建议。", "22. 2008年全球契约理事会(见下文第110段)讨论了“2008年至2009年联合国全球契约战略方向”的报告草案。这份报告草案更像是关于全球契约举措的历史概述，而不像一份正规的战略文件。理事会成员认为，需要开展关于确定和讨论目标和相关优先项目的工作。他们也承认，曾经有人提出过一种“百花齐放”的战略，但是考虑到可能会使得全球契约失去工作重点，[16] 因此决定编写和散发一份新的报告草案。", "23. 目前还不清楚：这份文件是否已经最后敲定，还是已被上文所提到的2008年至2010年拨款建议所替代。尽管EOSG战略规划股断言，拨款建议构成长期战略，但是检查专员认为，作为一份为期两至三年的战略文件，拨款建议或者计划无法提供GCO所需要的长期战略目标。这样一份文件至多被认为是一种中期战略，而且它还将筹款置于战略之上(这种做法是违反联合国惯例的)。短期和中期目标应当来自长期目标以及会员国所批准的任务；应当在通过透明和协商的决策过程编写的长期战略文件中列出。遗憾的是，并不存在这样一种能够赋予全球契约举措以战略重点的关键框架。", "24. 铭记近年来GCO所开展的大量活动，提出的许多倡议以及公布的大量工具和资料，检查专员认为，为了使得全球契约集中于少数目标和有针对性的活动以取得更大影响，这种长期战略肯定是有必要的。", "25. 实施以下建议将提高全球契约的有效性和影响。", "建议2", "大会应当请全球契约办事处制定和提交长期战略框架，以供其立即审议。这种框架应该根据为GCO规定的任务，简要说明其短期、中期和长期目标。", "C． 联合国伙伴关系办事处", "重叠还是互补", "26. 根据大会第A/RES/60/1号决议，于2006年设立了联合国伙伴关系办事处(UNOP)，以便加强联合国系统在同全球伙伴建立业务关系方面的一致性[17] ，并且为联合国民主基金(UNDEF)提供支助。[18] 该办事处还管理联合国国际伙伴关系基金(UNFIP)；该基金是前秘书长在1998年设立的，充当联合国同联合国基金会的接口。[19]", "27. UNOP附属于管理部。该办事处的行政主任向秘书长报告，其日常运作则由副秘书长负责监督。UNOP向各种私营部门和民间社会伙伴提供关于同联合国建立伙伴关系机会的技术咨询。它还在建立伙伴关系、宣传和调动资源战略等领域中为联合国机构和方案提供咨询服务。它引导全球契约的参与者同联合国系统一起确定和发展同非国家行为者建立伙伴关系的机会。", "28. 表面看来，似乎GCO的目标(鼓励和便利主要的利益攸关者开展对话和建立伙伴关系，以便支持更加宏伟的联合国目标)在某种程度上同UNOP的作用重叠。然而，仔细研究就会发现，这两个办事处推动不同类型的伙伴关系。GCO注重于：“规定标准”和宣传《千年发展目标》(例如：“关心气候”、“首席执行官节水任务”、“负责任投资原则”以及“负责任管理教育原则”)；而UNOP则侧重于具体运作：协助建立伙伴关系和为同《千年发展目标》有关的项目筹集资金；这种作用同GCO规定标准的作用相辅相成。", "29. GCO也负责综合联合国所有相关实体的意见，更新联合国关于伙伴关系的准则。它还同UNOP/UNFIP协调，召开联合国私营部门牵头单位的年度会议，同时编写秘书长提交大会的关于“建立全球伙伴关系”的年度报告。此外，GCO还研制关于伙伴关系的问责工具；通过联合国职工学院和其他有关实体提供培训机会；组织信息和经验交流会；以及管理联合国系统的伙伴关系网站(以前由UNFIP管理)。", "30. 检查专员认为，上述活动应当属于UNOP/UNFIP的任务，而不是GCO的任务。在这一方面，检查专员回顾指出，前秘书长科菲·安南在其2002年报告“加强联合国：关于进一步变革的议程”[20] 中谈到第20项行动时提议，将GCO和UNFIP合二为一，设立一个伙伴关系办事处，并且专门拨给经费。秘书长确认了通过联合国的一个专门机构处理同私营部门的伙伴关系的重要性，同时为这两个机构设想了不同的作用：GCO推动实施十项原则；UNFIP为伙伴关系和慈善组织筹集和调动资源。虽然在几年之后设立了拟议中的伙伴关系办事处，但是并没有将GCO和UNFIP合二为一，也没有设立同私营部门进行联系的统一牵头单位。UNOP/UNFIP似乎已经再次建议将这两个办事处合并，并已提交现任秘书长审议。但是至今还没有就此作出决定。", "31. 检查专员认为，前秘书长的提议是有道理的；建议再次提出这项提议。实施以下建议将在联合国系统同私营部门建立伙伴关系的领域中产生更大协同效应和加强协调与合作。", "建议3", "秘书长应当，如同以前建议那样，将GCO和UNOP合二为一，加强其互补性和各自的作用，明确规定各自的责任、管辖范围、监测工具以及报告要求，以便GCO注重于实施关于私营企业的十项原则，而UNOP侧重于发展联合国同私营企业的伙伴关系以及相关能力。", "32. 虽然EOSG战略规划股表示，“这项建议将有助于巩固联合国同私营部门的伙伴关系”，但是它指出，如果这两个实体合并的话，就必须考虑一些问题，其中包括需要为合并后的实体配备适当级别的官员(也许是一名助理秘书长)，同时确保信托基金年度预算和两年期方案预算以外的资金。另外一种意见则反对这种看法，指出：“从方案和预算角度来看，合并后的实体在开展有关非国家行为者的工作时可能会产生规模经济效应；而这正是联检组建议之根本目的”。", "D. 在联合国系统内推行联合国价值观和负责任企业做法", "33. 从2004年以来，在联合国系统内提倡“做实事”和推行负责任企业做法一直是GCO的关注事项；而大会第62/24号决议在此三年之后才提出这个事项。", "34. 秘书长在其2007年题为“加强联合国同所有有关伙伴(特别是私营部门)之间合作”的报告中指出，“GCO也在联合国的工作中推动实施其十项原则”；同时重申在一些领域中已经取得进展，其中包括：联合国总部的翻修大大减少了能源消耗；联合国职工养恤基金承诺实施“负责任投资原则”。报告承认，必须作出进一步努力，才能确保在联合国系统继续实施有关原则。", "35. GCO在其《2008年年度审查报告》中指出，十项原则已被纳入采购部门的职责。然而，联合国采购部门的官员告诉检查专员，虽然他们宣传和支持十项原则，但是在采购中没有予以实施，因为现有的规章制度只是规定了资金的最佳价值、平等、透明度和国际竞争等原则。然而，他们确实证实，目前有一种长期采购的倾向：将经济方面的考虑(资金的最佳价值)同环境和企业社会责任方面的考虑结合起来；但是这种倾向目前还没有付诸实现，因为大会尚未作出决定。检查专员认为，应当坚持这些努力，包括在采购领域中坚持这些努力；GCO应当继续在其《年度审查报告》中汇报为在联合国系统内推动和实施全球契约原则而采取的具体行动。", "36. 采购司(PD)进一步澄清指出，所有在联合国全球采购网(UNGM)登记的产品提供商都必须承诺实施十项原则。然而，应当注意到，采购司根据一般法律事务司的意见，决定将全球契约视为一种学习工具和目标，而不是必须实施的概念，因为秘书处既没有适当的机制也没有资源，来监测产品提供商是否遵守原则。", "三. 全球契约的运作", "A. 参与者", "37. 根据GCO的说法，全球契约是世界上最大规模的企业公民政策举措，其参与者来自135个国家。[21] 2009年有7,450个参与者在其数据库登记；其中包括5,670个企业参与者和1,780个非企业参与者。同全世界的公司数目相比，这些数字可能看来微不足道，[22] 但是如果同类似的举措(例如：“世界可持续发展工商理事会”和“全球报告倡议组织”)的参加情况相比，这些数字就十分说明问题。", "38. 以目前参与者的企业规模而言，大公司的比例(35%)同雇员不足250人的中小企业的比例(37%)几乎相同；而雇员不到10人的小企业只占参与者的4%。", "图1 按类型划分的参与者", "[]", "资料来源：全球契约地方网络知识共享网站", "39. 在大公司之中，100家属于“金融时报”评出的全球500强；[23] 60家属于贸发会议所列出的世界上最大的100家非金融类跨国公司。考虑到这些公司的规模和资源、雇员人数、市场资本和收入，它们的参与是极为重要的。对于GCO来说，确保这些大公司的坚决参与以及在其子公司和供应链内推行十项原则是一项战略优先事项。", "40. 关于非企业行为者，民间社会组织(CSO)占参与者的8%；企业组织占7%；学术机构占4%。与此相反，劳工组织只占1%。在CSO之中，几乎没有享有国际声誉和具有全球影响的组织。", "41. 从区域上来说，欧洲参与者的比例最高(43%)；中东的比例最低(2%)。北美公司的参与比例很低(5%)，明显是因为它们担心诉讼、劳工权利和损害联合国的名誉。[24]", "图2 按区域划分的参与者", "[]", "42. 在前10名参与者中，大约50%来自发展中/新兴经济体，例如阿根廷、巴西、哥伦比亚、中国、墨西哥以及新加坡。各国的参与情况相差很大。从全球来说，法国和西班牙企业的参与比例最高(接近10%)。", "图3 前10名企业和非企业参与者", "[]", "资料来源：全球契约地方网络知识共享网站", "数量同质量", "43. 在举措“启动阶段”，GCO采取了正确的策略：全力加强和分散其参与基础。结果，签字参与者(特别是非企业参与者)的数量逐步增加，在过去三年中尤其如此。", "44. 目前，问题不再是有多少新的行为者参加，而是参与者的构成和参与之目的。目前，重要的问题是：迅速增加签字参与者；作出认真的承诺；发挥重要影响；以及如何完成这些任务。目前还需要为参与者的数量设置一个实际的和可行的限额，以便开展有效的对话和社会评审。", "45. GCO在其《2008年至2010年拨款建议》中讨论了这些问题。拨款建议确定了两类企业参与者：少数将举措的原则视为战略机会的“大公司”和大量的“起步者”。这份文件认为，目前的挑战是如何鼓舞大公司的士气和促使它们积极参与，而同时确保全球契约为“起步者”提供一种入门级别的平台。拨款建议提出了5项近期目标，其中3项涉及举措的发展和参与者的质量。拨款建议为目标的成功实施规定了指标(见以下表格)：", "表1 全球契约办事处2008年至2010年拨款建议――目标和指标", "目标 成功指标 \n管理举措的发展和影响\t企业参与者和地方网络的数量每年增加5%加强参与者的公共问责制和透明度\t参与者发表进度报告的比例[25]在2010年之前提高到70% \n 20%的地方网络参与社会评审[26] 加强参与者在当地的活动 越来越多参与者签字参加具体倡议 加强最佳做法的交流 越来越多的人参加具体问题工作组 增加遵守十项原则的公共/私人伙伴关系项目的数量 \n 改进参与者的自我评估", "46. 虽然拟议中的目标和指标是有效的，但是GCO的战略仍然无法完全解决关于控制质量和发挥更加广泛影响的关键问题。此外，没有针对任何具体类别采取措施，以解决目前成员构成不平衡的问题。", "47. 在这一方面，85%的联检组调查对象认为，应当继续增加参与者的数量；而76%的调查对象也赞同作出较高质量的承诺。", "48. 全球契约理事会于2008年讨论了关于“数量同质量”的问题，但是由于各种利益攸关者的不同期待，而没有能够作出决定。检查专员认为，如果要提高这项举措的有效性和影响，就必须立即作出这项关键的战略决定。以下建议代表了这种意见。", "建议4", "全球契约办事处应该同所有的利益攸关者协商，设法通过一项关于参与者的类别和区域构成的政策决定，以便确保全球契约参与者的数量和质量之间的适当平衡，同时加强十项原则的普遍适用性和相关性。", "49. 关于上述建议，战略规划股指出，关于参与者构成的政策决定“不符合自愿举措的性质”；“全球契约尽力动员世界所有区域和所有企业部门，鼓励它们参与”。检查专员认为，参与者自愿参加的决定不一定会阻碍GCO作出积极努力，为了实现包容性和普遍性而更好动员那些目前没有代表的某些区域和某些类别的非企业行为者。劳工组织在其关于报告草案的评论中，支持对劳工组织采取更为包容性的处理方法，因为这种方法“可能会加强理解和进一步支持企业组织实施劳工原则”。", "参与全球契约", "50. 参与全球契约的原因各不相同。企业参与的主要原因是要加强对企业的信任和影响公共舆论和有关的国家法律。对于企业协会来说，参与的主要原因是要维护企业的利益。对一些非政府组织和劳工组织来说，举措提供了一个机会，可以影响企业的表现和根据企业对全球契约所作的承诺追究其责任。学术界参与全球契约，往往是因为他们认为这项举措是一个激发企业社会责任思想的学习工具。联合国的目标是促使企业实施十项原则。然而，对于整个联合国系统而言(除了诸如计划开发署和儿童基金会等“开拓者”以外，因为它们在联合国采取行动之前已经着手建立这种伙伴关系)，全球契约为私营部门打开了一个入口。", "51. 参与者对于全球契约的期待也是各不相同的。事实证明，这种期待是对举措感到失望以至提出批评的一个原因。就整体而言，这项举措是“其成功的受害者”。逐步扩大的影响导致要求对企业进行更加严格的审查和追究其责任。据说，GCO管理举措的方法是实际的和善于利用机会的。虽然GCO采取了一套道德约束措施以便减少借用名义的风险，但是它在挑选参与者和处理投诉的问题上没有采取强硬立场。", "52. 一些非政府组织和劳工组织认为，全球契约包容一切的做法、自愿性质以及不肯承担更加规范的监管任务的态度是令人失望的。另一方面，多数企业不愿意接受任何种类的监测。", "53. 为了参加全球契约，企业的首席执行官必须向秘书长发出承诺亲笔信。信中必须说明，该企业保证将十项原则作为其企业战略、日常运作和组织文化的一个组成部分。企业也必须保证：公开拥护全球契约及其原则；发表年度进度报告；说明为实施十项原则而采取的行动。虽然近年来对于承诺信的要求更为严格，但是这些要求没有提供足够的保障，确保企业在其企业社会责任政策中将十项原则主流化；或在其供应链和子公司中推行这些原则。", "54. 非企业参与者也必须：提供亲笔信承诺遵守十项原则；保证参加全球契约的活动：参加地方网络；参加伙伴关系和特别行动；以及在其进度公报中发表对于有关企业的评论。", "55. 检查专员希望指出，全球契约的官员在面谈中告诉他们，从2009年起，已经利用世界检查的数据库对新的申请者进行审查。即使如此，检查专员还是无法确定GCO在挑选参与者时使用了何种标准。全球契约的官员争辩说，企业参与的本身并不是良好表现的保证。他们重申，举措之目的在于学习、对话和伙伴关系；举措的作用是协助参与企业实施十项原则，并且向它们提供用于交流承诺方面进展的工具和资源。", "56. 与GCO不同，一些联合国机构相信，同企业行为者建立伙伴关系可能会引起名誉方面的风险，因而为潜在的伙伴规定了严格的挑选程序。儿童基金会似乎制定了一套很好的程序，其中包括外部公司根据商定的资格标准(公司名誉、遵守人权和童工原则的记录、以前或者目前的诉讼等等)进行机密的事先甄别。每年大约甄别100家公司，其评级的有效期为一年。私营部门筹资和伙伴关系司负责这项工作；有问题的个案转交协调委员会，由该委员会根据具体的授权加以处理。", "57. 一些组织将卫生组织所抵制的公司(贩卖烟酒、军火和某些食品的公司)自动排除在外。这些组织并不希望成为全球契约的伙伴组织或者核心机构。事实上，这些组织的伙伴资格标准要比联合国同私营部门签订的经过修订的《联合国合作准则》中的标准更加严格。《准则》规定：联合国不应该同那些一向没有就全球契约原则作出承诺的企业建立伙伴关系。实际上，没有对有关企业进行监测往往被认为是这项举措的致命弱点；[27] “这是一个严重缺陷，让那些严重违反人权的公司免费利用秘书长的声望”。[28] 援助行动、绿色和平、大赦国际以及伯尔尼宣言等非政府组织批评这项举措“没有威慑手段”；[29] 而企业观察组则声称，国际商会是全球契约的主要伙伴和共同设计人；它提倡不参与任何形式的监测。[30] 一些接受访问的参与者也质问：为什么一些联合国会员国因为没有维护组织的价值观而遭到批评，而参与全球契约的企业在被控没有履行其承诺时，却可以得到信任。", "58. 总而言之，人们关注的是：一些企业不肯作出真正的承诺，只是利用全球契约和联合国的名义为自己谋利，从而使得全球契约遭到破坏。", "59. 检查专员无法确定这些挑战是否属实，但是同样认为：确实存在名义风险，需要加以处理。目前，GCO追踪和内部散发媒体关于全球契约的报告，但是没有分析其内容。虽然GCO声称近年来对于这项举措的印象已经改善，但是这种意见从未见之于官方文件。此外，因为GCO不监管、力促或者监测企业的行为和行动，答复投诉不是该办公室的首要关注事项。", "60. 检查专员认为，信任需要建立在衡量业绩的标准基础上。全球契约的原则是指导行为的原则，因此，必须转换成具体的标准和行动；应当通过特别机制监测实施原则的情况。在这一方面，79%参加过联检组调查的地方网络说，有人曾经征求它们关于接受新企业的意见，其中只有33%的网络赞成实施更为严格的挑选程序。", "61. 至于非政府组织的参与，OIOS在其2006年的审计报告中对以下情况表示关注：非政府组织可以通过全球契约直接进入联合国系统，而不需要经过通常由经济和社会事务部和公共信息司主管的甄别和认证程序。当时，GCO答复说，一名最近聘用的非政府组织协调员将促进发展一种机制，以便推动和监测非企业参与者的加入。[31] 检查专员无法衡量这一方面的进展。", "62. 总而言之，检查专员认为，应当规定最低限度的挑选标准；所有有意参与全球契约举措的企业和非企业组织都应该经过入门检查。", "建议5", "大会应该要求规定一种挑选程序，根据事先确定的入门标准对企业和非企业的申请者进行甄别，以便减少借用名义的风险，同时加强关于GCO接受全球契约举措新参与者的问责制。", "63. GCO就这项协议指出，它已经有针对新参与者的双重甄别程序：利用全球数据库确定潜在的关注；询问地方网络是否有任何理由拒绝有关企业的参与要求。它还说，那些存在问题但是愿意改正的企业可以参加举措。然而，全球契约理事会目前正在考虑实施最低限度入门标准的利弊。", "64. 战略规划股/EOSG指出，根据事先确定的入门标准对企业和非企业的申请者进行甄别的做法违反关于建立全球契约这个自愿组织的基本原则。检查专员注意到这项建议同举措之间可能存在矛盾，因而认为大会最好就一个涉及联合国本身信誉的问题作出决定。", "道德约束措施", "65. 麦肯锡全球研究院于2004年发表的“全球契约评估报告”要求实施道德约束措施。在同法律事务厅(OLA)进行协商之后，GCO于2005年最后敲定了道德约束措施的第一个版本。", "66. 实施这些措施之目的是要加强参与者在以下三个领域中的问责制：(1) 滥用全球契约的名义和标志；(2) 有关企业没有提交进度报告；以及(3) 处理关于企业全面或者严重违反全球契约原则的投诉。", "67. 由于GCO声称自己受到举措自愿性质的限制以及企业反对任何形式的监测，因此在实施这些措施方面没有取得很大进展，只是将那些没有提交进度报告的企业除名。在这一方面，OLA于2005年向GCO提出建议：虽然全球契约可以向有关企业提供指导和协助，要求它们根据自己就全球契约原则作出的承诺开展行动，但是还是应当由有关各方自行解决参与企业遭到投诉的问题。", "68. 同检查专员面谈的全球契约官员承认，对于目前实施道德约束措施的状况他们并不完全满意。他们说，已经在2009年要求监督措施实施的全球契约理事会审查一项提议：就不汇报即予除名的期限以及原则所涉领域中的汇报次数作出新的规定。然而，检查专员认为，目前的问题不是制定新的规定，而是需要有效宣传和实施现有的规定。其他参加面谈的联合国官员以及检查专员所收到的关于报告草案的意见都表达了这种观点。", "69. 23%的联检组调查对象报告说，他们并不知道何为道德约束措施。46%的调查对象认为，应当针对所收到的投诉实施更加严格的措施。43%的对象说，曾经有人征求他们关于将企业除名的意见。只有18%的对象表示，他们曾经参与涉及企业参与者投诉的处理。", "关于企业参与者全面或者严重违反原则的投诉", "70. GCO指出，“为了维护全球契约及其参与者的名誉、品质以及成就，必须采用透明的方法，以便处理关于全面或者严重违反全球契约整体目标和原则的可靠投诉。”[32]", "71. GCO为推动高质量的参与和协助参与者根据其承诺开展行动提供指导。然而，GCO不会参与任何法律行动；也不会调查媒体关于违反原则的报道。根据现有的程序，GCO在收到任何书面投诉时，应当首先鼓励有关各方开展对话。然而，如果有关企业在两个月之内不予合作，可被视为“不愿沟通”而予以除名。", "72. GCO告诉检查专员说，迄今为止收到了73宗个案，其中只有29宗是通过促进对话程序处理的(因为并不是所有提出投诉的人都希望通过对话解决问题；也因为有些事项不适合对话程序)。[33] 检查专员无法获得关于GCO所收到、处理或者解决的投诉的数量和类型以及关于被除名企业数量的具体数字。", "73. 检查专员认为，在透露关于投诉和为此采取行动的统计数字方面，需要更多的全面资料和透明度。", "进度报告(COP)", "74. 正如上文所提到，进度报告是全球契约企业参与者的自我评估和报告机制。提交报告是签字参加举措的企业的明确承诺。[34] 只有企业参与者需要每年提交进度报告，然后在全球契约的网站上公布，以供其他利益攸关者和一般公众上网查阅。", "75. 最初，并没有适当考虑提交进度报告的问题。参与者提交报告的比例相当低(2002年为35%；2003年为40%)。[35] 随着越来越多的人关注举措的有效性并且要求更加严格地审查参与企业，GCO在2004年提出了第一批关于进度报告的政策指导方针。这项政策于2005年开始实施，后来在2006、2008和2009年逐步加强。GCO和地方网络通过辅导材料、学习班和讲习班宣传这项政策。结果，在2008年大约76%的参与者提交了进度报告；同前几年相比，比例大幅提高。[36]", "76. 最近Gile基金会对于一些大公司所提交的40份进度报告进行了审查，结果发现在涉及各项原则的信息的全面性和质量方面存在很大差别。[37] 关于这些原则，环境责任的信息最全面，质量也最高，以下依次是：歧视和反腐败、结社自由、童工以及强迫劳动。[38]", "77. 检查专员对(各种规模的企业所提交的)进度报告进行了抽样审查，并且根据《进度报告指南》的要求对它们进行了评估。在接受审查的58份报告中，三分之二符合所有要求。所有报告都汇报了九项原则的执行情况。汇报最少的原则涉及童工和反腐败。评分最低的是结社自由、童工和强迫劳动。汇报最多和评分最高的两项原则涉及采取预防措施应付环境挑战和加强环境责任。整体而言，联检组对于各种类型企业的审查结果同Gile基金会对于大公司审查的结果相似。", "78. 检查专员通过审查发现，一些参与者被重复登记或者被归入错误类别；在全球契约网站上被列入符合所有要求类别的一些进度报告实际上不能令人满意；反之亦然。审查还发现，被纳入年度报告的进度报告没有其他报告那么清楚。[39] 这些审查结果说明需要改进审查。此外，可用任何语言编写进度报告的情况使得问题更加棘手。", "79. GCO表示，它没有能力检查进度报告所提供的信息。虽然理事会已经讨论了进度报告独立验证/认证的问题，但是没有就此取得一致意见，因此对于举措的名誉风险继续存在。", "80. 在回复检查专员调查的地方网络中，71%表示，它们针对不提交报告的企业采取后续行动并且提供培训；34%的网络在企业提交报告之后提供反馈意见；25%的网络在此过程中进行同行评审。应当指出，由于能力和资源不足以及缺乏具体辅导材料(包括以联合国正式语文编写的材料)，中小企业在提交进度报告方面存在更多困难。一家网络正式投诉说，多数信函都是用英文书写的。", "81. 西班牙地方网络是实施最佳做法的一个榜样。它用西班牙文编写了详细的指导方针(包括为小企业编写材料)，并且编制了一份网上进度报告模版。这家网站在将进度报告贴在网上之前，从清晰程度、全面性以及遵守报告规定等方面审查进度报告。每年在网络内部审查和评定40至50份进度报告，然后将“值得注意的”报告选出。", "82. 总之，应该开展更多工作以提高报告的质量。应该劝说地方网络对进度报告进行同行评审，同时鼓励民间社会组织和学术界积极开展“社会评审”。此外，应该要求大公司报告其子公司在实施十项原则方面的进展，或请子公司直接提交进度报告。最后，根据2009年年度地方网络论坛(ALNF)的建议，也应该要求民间社会组织提交进度报告；应该用联合国所有正式语文编制报告模版。", "建议6", "秘书长作为全球契约理事会主席应当提出旨在加强在实施道德约束措施方面问责制的具体措施，以供理事会审议，其中包括：(a) 地方网络和民间社会更加严格审查进度报告；(b) GCO监测进度报告的类型和频率；(c) 非企业参与者提交进度报告；以及(d) 更加积极和透明地处理投诉。", "B. 办公室", "办公室的地点和汇报对象", "83. 在联合国的组织体制中，在2008年之前，GCO在管理上和实质上属于秘书长行政办公室的一部分。2008年，有关管理职责转到了管理部行政办公室。工作方案的战略指导和方向依然留在秘书长办公室。全球契约的行政主任通过主管政策规划的助理秘书长向秘书长负责。", "84. 全球契约的一些官员认为，同秘书长办公室的联系对于举措的成功是至关重要的；因此应当予以保留。然而，考虑到举措受到的批评，检查专员认为，保持GCO同秘书长的紧密联系会给联合国带来名誉风险。此外，既然全球契约已经从秘书长的一个单纯举措演变成为正规的办公室，就没有必要再保持同秘书长办公室的直接“联系”。因此，检查专员认为，考虑到关于将GCO同UNOP/ UNFIP合而为一的建议，GCO的汇报对象应当转为副秘书长。", "筹集资金", "85. 在2006年之前，GCO的经费几乎完全来自有关国家政府的年度自愿捐款。为了同时筹集企业参与者的年度自愿捐款，于2006年设立了全球契约基金会。", "86. 2007年大会第62/211号决议承认，全球契约“特殊的筹资结构是为反映其利益攸关者的多样性而专门设计的”。[40]", "87. 从2005年以来，对于全球契约的捐款只收取7%的方案支助费用；而对其他自愿捐款的收费比例为13%。收取费用的5%由GCO保留，2%作为服务费用支付给基金会。", "88. 虽然捐款公司的数量从2006年的42家猛增到2009年的475家，[41] 但是捐款国的数量仍然只有10来个(多数是欧洲国家)。[42] 如果不解决这种筹款基础有限和捐款国地理代表性不平衡的问题，从长期来看可能会影响到GCO的合法性。在这一方面，检查专员确认GCO为增加会员国的捐款作出了努力，虽然GCO2008年至2010年拨款建议没有讨论这个问题。这份文件估计三年期的预算金额为14,700,000美元，到三年期末预算增加15%。据估计，来自会员国的经费仍然是稳定的，增加的预算经费将来自参与企业向基金会的捐款。", "89. GCO的收入和支出分别由联合国信托基金(政府捐款)和全球契约基金会(私营部门捐款)管理。检查专员无法在有关的拟议方案预算、联合国财务审计报告或者全球契约年度审查报告中找到关于全球契约预算和支出的完整概述。检查专员将信托基金和基金会财务报告[43] 中的数字相加才确定：2008年至2009年的收入总额大约为16,000,000美元；开支总额大约为12,600,000美元，大大超出2008年至2009年拨款建议中的估计数(9,500,000美元)。检查专员认为，必须就GCO的资源作出统一、全面和透明的报告，至少在全球契约年度审查报告中汇报。", "90. 检查专员对以下情况表示关注：相对于不断增加的私营部门捐款，会员国筹款基础十分有限；没有一种统一的和明确的财务报告制度；大幅度减少向GCO自愿捐款收取的方案支出费用。他们认为，确保透明的和平衡的公共和私人捐款对于维护全球契约和联合国的名誉、信誉和利益是至关重要的；对于消除它们由私营企业供资和控制的印象也是至关重要的。", "建议7", "全球契约办事处应当实施一种强有力的筹资战略，增加和分散来自会员国的捐款；同时实现比较平衡的公共和私人捐款，以便加强有效性、透明度和问责制。", "全球契约基金会", "91. 2006年签署的一项谅解备忘录指出，全球契约基金会的主要职责是为支持GCO的工作以及其他旨在推动举措的活动筹集资金。检查专员在审查基金会的活动时发现，在2006年(基金会成立之年)至2008年，基金会既没有工作人员也没有办公地点。基金会于2008年11月才在联合国总部以外单独租用办公地点；在此之前，基金会的财务一直是由GCO的一名合约工作人员管理的。", "92. 检查专员也了解到，基金会的经费用于GCO；支出事项包括：支付前GCO工作人员的工资(他们负责推行一些举措，例如：《负责任投资原则》和《负责任管理原则》；向为GCO组织活动的公司支付费用；印刷出版物费用以及GCO工作人员有时外出开会的差旅费。此外，在每年年末，一部分结余资金(2008年为350,000美元；2009年为300,000美元)转到联合国信托基金，支付GCO的运行开支。", "93. 尽管大会第A/RES/62/211号决议承认GCO“特殊的管理和筹资结构”，但是检查专员对于这些不寻常的财务安排避开联合国现有的规章和程序的情况表示关注，因为基金会作为联合国的一个实体不仅有义务筹集资金，而且还有义务代表GCO使用经费，同时遵守美利坚合众国的法律。", "GCO的编制情况", "94. 在联检组进行审查时，在全球契约网站、在其年度报告或者其他公开文件中都没有关于GCO编制情况的信息。根据所提供的数据，联检组进行审查时GCO的编制情况如下：15名固定任期员工(1D2, 2P5, 3P4, 5P3, 2P2, and 2GS)、一名长期员工、14名顾问(其中9名由信托基金支付工资；5名由基金会支付工资)、3名合约工作人员(由基金会支付工资，负责推行《负责任投资原则》和《负责任管理教育原则》)以及4名没有工资的实习生；总共是37人。", "95. 2006年，OIOS审计报告发现，在GCO短期工作人员的招聘中存在不符合常规的做法。[44] 除其他外，报告指出，顾问不是通过竞争挑选的；其合同的延长超出了授权期限，而又未提供适当理由。", "96. 2008年．人力资源管理办公室(OHRM)决定公布GCO的所有员额(除了D2主任职位，因为GCO连续十年都从贸发会议借调)。空缺在联合国Galaxy网站公布；只招内部职工。只有两名申请者被列入最后候选人名单(其中一名已在GCO工作)。最后，所有来自GCO的候选人都被挑中，但是由于没有获得中央审查委员会的批准，其任命只限于GCO。", "97. 检查专员明白，这些安排是为了让那些在困难条件下认真工作数年的雇员转正。然而，他们指出，这些工作人员的聘用不符合联合国的规章制度。特别是：P2和P3级别的空缺是为已经通过国家竞争性考试的候选人或者重新安排工作的职工保留的。此外，短期专业工作人员没有资格占有目前的职位；而顾问和实习生在其聘用/实习合同结束以后，不得立即在秘书处担任合同期限超过6个月的工作。然而，GCO向检查专员保证，将遵守联合国关于招聘工作人员、顾问和实习生的规定。因此，检查专员希望，以后不再发生这种转正情况。", "建议8 \n大会应当请秘书长确保：在全球契约的特殊管理、支助、筹资结构和地位等方面，在灵活执行联合国现有规定和程序的同时，实施适当的关于透明度和问责制的保障措施。特别应该要求全球契约办事处在其年度审查报告中纳入关于其全部预算要求、实际编制以及在信托基金和全球契约基金会的管理下的所有收入和开支的信息。", "C. 国家存在：全球契约地方网络", "98. 全球契约地方网络是在国家或者区域一级聚集起来的推行举措及其原则的参与者组织。地方网络近年来有了很大发展，在2009年有90家网络，其中70%是“早已成立”的；30%是“新近成立的”。欧洲的地方网络最多；中东的网络最少。美洲、亚洲/大洋洲以及非洲的网络数量相似。网络参与者的数量相差很大：北美洲的数量最多，其次是拉丁美洲和欧洲。与此相反，五分之一网络的参与者不到20人，有些网络不到4人或者更少。", "图4 网络和参与者的地理分布", "[]", "资料来源：GCLN知识共享网站", "图表5 参与者不到20人的地方网络", "资料来源：GCLN知识共享网站", "99. 企业参与者在网络及其管理机构中拥有最大的代表性。[45] 实际上，一些网络完全由企业参与者组成。[46] 与此相反，在76%的网络中没有劳工组织。[47] 这种不平衡现象使得人们对举措在地方一级的多个利益攸关者的性质产生怀疑。应当主动将成立新网络的消息通知当地工会，并且说服它们参加和成为指导委员会/理事会的成员。", "100. 2004年，年度地方网络论坛(ALNF)决定，要求网络至少每年召开一次会议，开展一定数量的活动并且提交年度报告。在这一方面，9%的联检组调查对象报告说，他们没有举行年度大会。57%的对象报告说，他们每年组织三次以上活动。活动内容主要涉及学习(74%的调查对象)，其次是外展(69%)和进度报告(63%)。", "101. 网络报告的数量从2004年的5份增加到2006年至2007年的51份。报告数量在2008年降为两份；2009年一份也没有。[48] 令人感到惊讶的是，与企业参与者不同，如果地方网络不提交报告，不会被视为“不愿沟通”。实际上，在2009年使用网络知识共享系统之后，就放弃了这项规定。虽然这个系统载有有用的数据，但是检查专员认为，它无法取代对于网络业绩的质量评估和GCO的反馈意见；而这种评估和意见正是提高效率及加强全球契约的全球组织和地方组织的协同效应所需要的。", "102. 根据2008年地方网络报告，网络发展情况是不平衡的：有些网络持续发展；而另外一些网络却正在缩小。似乎筹资同稳定有很大关系：50%依法成立的网络在亚洲/大洋洲，那里70%的网络要收取会费。欧洲依法设立的网络比例最低(14%)；其中只有17%的网络收取会费。[49]", "103. 在联合检查组进行审查时，开发计划署正在为四分之三的网络提供网页寄存服务，其中包括：帮助设立网络；支付某些费用；以及为它们提供秘书服务和办公地点。然而，其最终目标应当是：确定网络的所有权；开发计划署的脱离(因为它没有协助网络的专门知识)；以及联合国方案和专门组织(例如：劳工组织、人权高专办和环境署)的参与，因为它们可以向网络提供必要的技术和规范援助。", "104. 虽然网络数量的增加可被视为成功，但是目前的主要挑战是如何确保这些网络是包容性的、独立的和联网的；以及如何确保它们在实施十项原则方面交流经验和积极参与。实际上，60%接受联检组调查的网络表示，它们只是偶然同全球契约的其他网络互动；而42%至64%的网络表示，在主要战略决定、涉及参与者的投诉、企业除名、选举理事会成员以及参与工作组等问题上，没有人征求过它们的意见。32%的调查对象认为它们从GCO收到的反馈意见质量不高，或者他们不予评论；而76%的调查对象报告说，从GCO收到的信息的质量“很高”或者“高”。", "105. 此外，由于资源和能力不足以及缺乏用英语以外其他语言编写的具体辅导材料，中小企业在提交进度报告方面存在更多困难。一些参与者就使用语言问题提出了正式投诉。", "106. 检查专员认为，加强地方网络将帮助举措确定基层重点，从而发挥真正的影响。目前，GCO不应该继续设立新的网络，而是应该制定旨在加强现有网络的行动计划。网络越多，GCO就越难同它们互动，越难提供管理方面的和实质性的反馈意见。", "107. 实施以下建议将有助于加强地方网络的有效性。", "建议9", "GCO应当制定一项行动计划，就如何在实施十项原则方面实现自力更生向地方网络提供更为有效的指导，同时考虑到它们的各种需要，其中包括对于语言多样化的需要。", "D. 区域存在：支助中心", "108. GCO已经在全球和区域两级建立了部门的或者专门的支助中心。目前，共有5家中心(两个全球中心和3个区域中心)，其中两个在欧洲；一个在北美；一个在拉丁美洲；还有一个在亚洲。[50] 这些中心具有不同的目标、活动和筹资安排；其中多数是独立的。它们同GCO合作，但是并不附属于GCO。", "109. 从联检组同4个中心的官员的面谈以及调查答复来看，这些中心具有不同的结构、目的、筹资方式、预算以及互动领域。这些中心设立于2005年至2008年，目的是为了：在各自的区域或者世界范围内建立/加强地方网络；提供分析/研究能力；组织活动以及提供资金。它们的活动经费来自开发计划署以及政府或者私人基金会的自愿捐款。它们的预算金额在50万美元到150万美元之间。它们通常通过电子邮件同GCO联系(普遍认为这种互动方式是令人满意的)。它们还同所在区域的其他网络进行一些交流；在ALNF会议上也有交流；有时同其他支助中心交流。", "110. 这些中心似乎在全球契约管治结构的问题上有分歧意见；有的认为这种结构是“好的”，有人认为“过于宽松”。它们建议，在地方一级全球契约管治应当以企业为主导，而不是以开发计划署为主导；在地方一级的管治应当更加“民主”。关于参与者的加入和承诺，这些中心赞成在审查新的申请时采用某种形式的甄别或者尽职调查。它们认为，将不遵守规定的企业除名是在实施问责制方面的一项正确行动，但是需要在这一方面开展更多工作；同时应当奖励积极表现，不要将全球契约变成一种依赖于投诉的举措。它们还认为，虽然公共披露是不断改进的关键，但是不应当将重点全部放在报告之上，应当同时强调实施。最后，它们认为，网络的缺点以及在国家一级缺少联合国的支持影响了地方一级十项原则的实施。", "111. 检查专员认为，应当充分发挥这些支助中心的区域枢纽作用，使得地方和全球组织产生协同效应，促进网络之间的互动。为了确保更好的区域代表性，应该在非洲设立类似的中心。", "建议10", "应该确保更加平衡的地理代表性和采取更加协调的方法来处理全球/区域支助中心的工作，以便产生全球组织和地方组织的协同效应，同时加强这些中心之间以及同一个区域内区中心和网络之间的合作和协调。", "E. 伙伴关系", "112. 全球契约办事处已经协调、参加和/或推行了秘书长所发起的一些涉及传播最佳做法和积极行动的伙伴关系举措，例如：“全球报告举措”、“全球负责任领导举措”、“负责任管理教育原则”、“负责任投资原则”、“关心气候”、“首席执行官节水任务”以及“谁在乎胜负”。在这些举措之中，多数属于GCO关于在世界范围内推动实施十项原则的任务范围。在检查专员进行审查时，它们因为刚刚开始实施而无法发挥明显影响。然而，GCO认为这些举措是成功的。检查专员认为，在确定新的伙伴关系之前，最好对于目前伙伴关系的经验交流进行独立的评估。", "113. GCO也鼓励参与者参加旨在推动联合国其他目标(例如：《千年发展目标》)的伙伴关系。[51] 这种伙伴关系已经超出了实施原则以及GCO关于“交流有关伙伴关系的经验教训”的任务范围。实际上，这些伙伴关系具有更加广泛和更加具体的影响。检查专员认为，在UNOP/UNFIP的授权范围内推动这些伙伴关系更为合适。", "建议11", "GCO应当注重于为推动十项原则的实施而发展全球伙伴关系和定期审查这种关系，以便传播最佳做法和经验教训。", "F. 管治", "114. 全球契约的管治结构是在2005年通过的；从2006年开始实施；并于2008年修订。管治结构由七个实体组成：领导人峰会、地方网络、ANLF、全球契约理事会、GCO、机构间工作组以及全球契约捐助集团。每个实体在一个“多中心的”框架内运作，没有中央决策，但是具有各不相同的成员、职责和会议。", "115. GCO认为，管治任务“很轻松”，但是在检查专员看来，由于牵涉到如此众多的实体、参与者和会议，情况恰好相反。这种管治结构是代价高昂的，效果也是值得怀疑的。在全球契约理事会中没有会员国的代表，一些会员国以观察员的身份列席会议。全球契约的主要战略方向由这样一个理事会提供。这种情况对于象联合国这样的政府间组织来说，也是“独一无二的”。", "全球契约理事会", "116. 全球契约理事会为整个举措提供战略和政策指导；向GCO、参与者和其他利益攸关者提出建议；同时监督道德约束措施的实施。理事会提供战略方向，但是不能更改基本协议或者强制执行具体的实施计划，因为主要的决定需要参加者的批准。[52] 理事会主席是秘书长。理事会由20名成员组成，再加上两名由秘书长根据理事会提名委员会的建议任命的当然委员。提名委员会由秘书长根据GCO的意见设立。理事会成员代表4种类别的参与者(企业、民间社会、劳工以及联合国)。选举理事会成员的程序既不是是民主的，也不是包容性的。他们是“自上而下”任命的。中小企业、联合国核心机构以及会员国在理事会中都没有代表。此外，理事会副主席也是全球契约基金会的主席，最终代表企业的利益。", "117. 理事会每年召开两次会议，因而无法确保指导和监测。此外，对于理事会通过的少数建议，以后的会议既不采取后续行动，又不作汇报，更加没有规定将这些建议提交拥有更大决策权的上级管理机构。虽然在某种程度上，理事会的专题工作组为十项原则的投入运作作出了贡献，但是这些工作组仍然能力不强，而且成绩不显著，其部分原因在于它们是最近才成立的。", "机构间工作组", "118. 机构间工作组由ILO、OHCHR、UNDP、UNEP、UNIDO及UNODC组成。尽管贸发会议的任务涉及跨国公司以及这些公司在全球契约中的广泛代表性。但是它不是工作组的成员。", "119. 在理事会成立前，这些方案和机构参加了前咨询委员会的工作，并且负责审查GCO的工作方案。然而，这些年来，它们的战略影响已经减少；机构间工作组也已从一个协调和管治工具沦落为附属于ALNF之类活动的信息交流论坛。", "120. 工作组的成员向检查专员表示了对于目前参与状况的不满。他们抱怨说，GCO经常不遵守商定的工作计划，提出一些特别要求，结果使得他们无法进行资源和工作量的规划，也无法作出有计划的投入。从一个实例可以看出全球契约办事处不适当地参与核心机构的事务。虽然在宣传资料中将“关心气候/C4C宪法”介绍为GCO同UNEP共同提出的一个举措，但是在制定“宪法”的过程中却很少提到UNEP。只是在后来UNEP才有效参与这项举措。", "121. 一名工作组成员评论说，管治结构应该区分全球契约所开展的一般性推广外展活动和关于十项原则基本规范性文书的专门知识。这样就能防止再次发生以下情况：在“基本或者根本不了解”标准和实质性问题的情况下，编制关于某些原则的工具、平台和指南。机构间工作组赞成重新设立联合国机构咨询委员会；并且提议：通过关于参与以及咨询委员会同全球契约理事会和GCO的互动的规定，因为这样“可以导致它们建立一种新的和授权的关系，并且“确保GCO的活动补充和加强联合国机构的工作，而不是与之竞争或者破坏”。", "122. 与此相反，一个同GCO的活动关系密切并且对之十分支持的联合国机构认为，“报告低估了有关挑战，贬低了成绩，并且忽略了全球契约在支持联合国机构发展自己举措方面的积极影响”。", "123. 从上文可以明显看出，意见分歧很大。这也说明，必须重新审查和改进目前在机构间工作组内各个核心机构的概念和伙伴关系。", "全球契约捐助集团", "124. 由捐助国组成的捐助集团在2008年被纳入全球契约管治结构。人们要求捐助集团规划和审查信托基金中捐款的使用情况。然而，实际上，其一年两次的会议只是发挥了宣传作用。", "领导人峰会", "125. 领导人峰会每三年举行一次，是全球契约的最高决策论坛。然而，2004年和2007年的高峰会议只是一次公共关系活动，参加会议的参与者数量比较少，几乎没有通过几项战略决定。", "地方网络和年度论坛", "126. ALNF和区域网络会议构成交流经验教训的合适论坛。论坛通过工作组管理网络；工作组制定建议并且提交ALNF。然而，多数地方网络没有能力进行管理，因此它们的贡献主要在于能力建设领域。", "127. 总而言之，新的管治结构将GCO置于决策中心，削弱了(而不是加强了)举措的管治框架。在实施这种管治结构四年之后，仍然没有找到有效的方法，以便应付主要的管治挑战：如何平衡参与者的不同利益；推动举措在地方的发展；以及在确保高质量参与和品牌管理的同时增加参与者的数量。", "128. 检查专员认为，全球契约可以而且应当在三个级别进行和加强有效的管治：地方级别(通过ALNF)；全球级别(通过经过挑选的和更有包容性的理事会)；以及系统级别(通过互动的机构间工作组)。提出以下建议是为了以一种更加透明和更加包容性的方式提高目前决策框架的有效性。", "建议12 \n 秘书长应当恢复机构间工作组的咨询作用。", "建议13 \n 秘书长应当鼓励地方网络提名全球契约理事会的候选人。", "建议14 \n 秘书长应当向大会提议，请会员国代表和中小企业参加全球契约理事会。", "129. 关于上文建议12, 战略规划股表示，由于全球契约是一项自愿举措，秘书长可以鼓励，但是不能规定，机构的参与。尽管如此，检查专员还是认为，他们的建议是有道理的和可行的，因为秘书长在这项举措方面发挥了主导作用；这项举措起始于秘书长行政办公室，后来又接受该办公室的领导和进一步支持。关于建议13, 虽然从2009年1月以来地方网络有权审查理事会的提名，但是检查专员认为，不可能像拟议中的理事会候选人提名程序那样“民主”和具有包含性。至于建议14, 关于“会员国无法商定如何以最好的方式落实这种想法”的解释已经预计到大会在这一方面的任何决定。此外，关于中小企业在国际雇主组织中已经有代表的说法只适用于在理事会中有代表的大公司，因此不足以排除在举措中大约一半企业参与者的代表性。因此，检查专员坚持提出其建议。", "G. 评估全球契约举措", "130. 进行内部和外部评估是联合国秘书处规定的一项活动。评估最终目的是：根据确定的目标，对于利益攸关者活动的效率、效果以及影响进行全面的和客观的评估，并且据此进行反思和采取纠正行动。[53]", "131. 从全球契约举措2000年实施以来，麦肯锡全球研究院于2004年进行了一次外部评估；OIOS于2006年进行了一次业绩审计。", "132. 麦肯锡评估的结论是：由于拥有众多的参与者和有活力的地方网络，全球契约在企业公民的合唱中发出了自己响亮的声音，并且能够强有力地推动企业改革，但是参与不稳定以及期望五花八门而且未能落实的情况削弱了其影响，并且威胁到它的可靠性。报告也争辩说，由于活动项目不集中，以至全球契约无法就多数重要会议采取后续行动，无法确保工作组提供计划中的终端产品。[54]", "133. OIOS的审计报告指出，必须澄清GCO的任务、工作方案、地点、内部管治结构、筹资机制、实物捐助报告、工作人员任命以及关于进度报告的规定。", "134. 从2007年以来，GCO自己也公布年度审查报告。虽然这些年来，这些报告的调查是为了制定参与基准，但是在2008年的年度审查报告中没有作出比较进度分析。然而，检查专员被告知说，在审查有关方法和业绩指标之后，以后的审查报告将确定基准。", "135. 此外，这些审查报告是依据对企业参与者的调查结果编写的，基本上是企业参与者关于在实施十项原则方面进展的自我评估。迄今为止，多数调查对象是已经采用企业社会责任政策的欧洲公司。往往对举措持批评态度的非企业参与者从来没有接受过调查。结果，调查无法独立地、没有偏见地和全面地说明全球契约的成功和失败以及机会和风险。检查专员认为，为了加强有效性和问责制，应当按照以下建议使用其他的业绩评估机制。", "建议15", "GCO应当按照其方案预算和任务的规定，根据批准确定的目标和指标，在其年度审查报告中纳入对其业绩的自我评估。", "建议16", "GCO应当按照其方案预算和任务的规定，根据批准确定的目标和指标，定期委托独立机构对其活动的影响进行评估。", "H. 结论", "136. 总而言之，全球契约在使得联合国系统逐步和普遍参与私营部门活动合法化和推动新的伙伴关系方面取得了成功，但是其有效性还有待于证明。然而，在促使企业参与者将其承诺转化为真正的政策变革方面并不十分成功。迄今为止，这项举措仍然享有不寻常的行政独立性，同联合国其他机构相比，表现出了高度的创造性。但是实质上，它是以产出为导向的，而不是以影响为导向的。", "137. 具体来说，衡量全球契约成败的标准应当是“任务”完成程度以及大会对其以下工作的认可：在联合国系统和全球企业界推行联合国价值观和负责任企业做法(包括增加地方网络的数量)；[55] 通过学习、对话和伙伴关系促进最佳做法和积极行动的交流。[56]", "138. 在联合国系统内推行负责任企业做法的过程中，全球契约促使联合国职工养恤基金承诺实施“负责任投资原则”，并且推广了注重环境保护的企业做法(虽然在环保领域中的积极措施不能完全归功于它的行动)。在长期采购领域中还有许多工作要做。此外，全球契约的行动只限于联合国秘书处，因为它无权干预联合国系统其他组织的事务。", "139. 在向全球企业界推行负责任企业作法方面，如果要以其参与者承诺拥护十项原则的地方网络数量衡量成败的话，那么全球契约已经完成任务。然而，如果对参与企业实施十项原则的实际情况打分的话，那么就无法衡量成败，因为：没有实施独立评估的制度；调查是企业参与者的自我评估；进度报告也没有经过核实。另一方面，如果以网络的可持续性、高质量的参与和行动来衡量成败的话，那么举措的结果就是好坏参半。同样，越来越多的进度报告可以算作一定程度的成功，但是，如果从报告的全面性和质量方面加以衡量的话，那么进展是不大的。", "140. 在通过交流性对话和伙伴关系推行最佳做法和积极行动方面，考虑到举措所涉的活动、会议、讲习班、出版物、工具以及伙伴关系的数量，可以认为举措是成功的。但是，如果评估这些活动和伙伴关系的结果和影响以及终端用户使用现有工具的情况，也只能说举措取得了一定的成功。", "141. 由于没有明确规定的任务，GCO采用了无所不包的方法，超越了关于十项原则的四个领域(人权、劳工、环境和反腐败)，将其活动扩大到了其他一些领域，例如：金融市场、防止冲突、建立和平以及为实现《千年发展目标》而建立伙伴关系。这样一种无所不包的方法为成功提供了机会，但同时也带来成绩不理想的风险。一方面，GCO确实参与了联合国议程上的多数关键事项；但是，另一方面，由于关注面太大，可能造成重点不突出和效果不明显的问题。", "142. 考虑到全球契约的特殊地位、紧张的活动、越来越多的资源以及无所不包方法带来的风险，检查专员认为，有改进余地。他们认为，GCO应当回到原先的重点目标，重新确定其优先项目，处理其关于自行扩大任务的问题，以便更好实现联合国关于这项举措的预期目标，实现会员国、参与者以及其他利益攸关者的期望。在这一方面，检查专员欢迎向他们作出的保证：在新的战略中将解决其中许多问题。", "附件一", "根据联检组的建议参与组织应当采取的行动概述 JIU/REP/2010/9", "[TABLE]", "说明： L： 建议由立法机构作出决定", "E： 建议由行政首长采取行动", "□： 不需要这个组织采取行动", "预期影响： a：加强问责制； b：传播最佳做法； c：加强协调和合作； d：加强控制和遵守； e：加强有效性； f：大量节省资金； g：提高效率； o：其他", "* 关于CEB, 由其主席采取行动。", "** 涉及ST/SGB/2002/11中所列出的所有实体(UNCTAD, UNODC, UNEP, UN-HABITAT, UNHCR, UNRWA除外)。", "[1] 见关于“联合国系统在私营部门中的参与和合作”的JIU/REP/99和A/54/700以及关于“私营企业在联合国系统中的赞助：原则和准则”的JIU/NOTE/2009/1。", "[2] 同上，第34段和第35段。", "[3] 1999年2月1日关于SG/SM/6881的新闻发布。", "[4] 《世界人权宣言》、劳工组织《关于工作的基本原则和权利宣言》、《里约环境和发展宣言》以及《联合国反腐败公约》(UNCAC)。", "[5] 2000年12月21日A/RES/55/215、2001年12月11日A/RES/56/76、2003年12月19日A/RES/58/129、2005年12月22日A/RES/60/215、2007年12月19日A/RES/62/211以及2009年12月19日A/RES/64/223。", "[6] A/RES/56/76(2001年)。", "[7] A/RES/58/129(2003年)。", "[8] A/RES/60/215(2005年)。", "[9] OIOS第AH2006/520/01号审计报告：“全球契约举措业绩审计”。", "[10] A/RES/62/211(2007年)。", "[11] 全球契约2008年年度审查报告，第8页。", "[12] A/RES/64/223.", "[13] 全球契约小册子，可上网查阅：www.unglobalcompact.org.", "[14] 见全球契约的下一阶段，2005年9月6日。", "[15] A/64/6第一部分，第1节：“整体决策、方向和协调”第5页。", "[16] “全球契约理事会会议最后报告”，纽约，2008年5月。", "[17] ST/SGB/2009/14。", "[18] UNDEF是秘书长于2005年7月设立的，旨在通过向参与推动民主价值观的民间社会组织提供竞争性资助来支持民主进程。", "[19] Ted Turner在1998年设立的一个公共慈善机构；其任务是管理他为支持联合国的事业和活动而在十年内捐助的10亿美元。该协议于2008年延期至2017年，旨在再筹集10亿美元。", "[20] A/57/387(2002年9月9日)，第25至26页。", "[21] “全球契约2008年年度审查报告”，第8页。", "[22] 根据“2009年世界投资报告”，2008年有82,000家跨国公司及其810,000家外国子公司(资料来源：2009年9月17日UNCTAD/PRESS/PT/2009/051)。", "[23] “全球契约2007年年度审查报告”。", "[24] Assessing the Global Compact’s, McKinsey & Company, May 11, 2004, page 11.", "[25] 全球契约参与者使用的评估和报告机制。", "[26] 关于全球契约的社会评审是为了向参与者提供有关进度报告的反馈意见。媒体、民间社会及一般公众可以通过社会评审审查、质疑和/或证实有关企业提供的关于在实施十项原则方面所取得进展的信息。", "[27] Bruno、Kenny和Joshua Karliner所著“地球首脑会议：企业接管可持续发展”，2002年，第53页。", "[28] 同上，第40页。", "[29] 公司观察社，“联合国全球契约在处理同企业的关系中‘缺少威慑手段’――非政府组织，可上网查阅：www.corpwatch.org.", "[30] Bruno、Kenny和Joshua Karliner所著“地球首脑会议：企业接管可持续发展”，2002年，第52至53页。", "[31] OIOS第AH2006/520/01号审计报告：“全球契约举措业绩审计”，第32页。", "[32] 道德约束措施，全球契约网站。", "[33] “全球契约理事会会议最后报告”，纽约，2009年7月24日。", "[34] 见www.unglobalcompact.org。", "[35] “全球契约理事会会议介绍性文件”，第19页，2007年4月4日。", "[36] “2008年全球契约年度审查报告”，第53页。", "[37] 在报告整体评估中，全面性评分为0.3至0.5；质量评分为0.4至0.6。", "[38] “2008年全球契约年度审查报告”。", "[39] 根据GCO对2006年至2009年期间提交的1,230份进度报告的审查情况，53%是单列的报告；42%是纳入公司正规公告的报告。", "[40] A/RES/62/211, 第9页。", "[41] 见www.globalcompactfoundation.org。", "[42] 2010年5月的捐款国为：中国、哥伦比亚、丹麦、芬兰、法国、德国、意大利、大韩民国、挪威、西班牙、瑞典、瑞士以及联合王国。", "[43] 信托基金的财政年度至12月31日结束；基金会至3月31日。", "[44] “2006年OIOS审计报告”，第53至60段。", "[45] “2008年联合国全球契约地方网络报告”，第42页。", "[46] 马达加斯加、毛里求斯、突尼斯以及马其顿。", "[47] 喀麦隆、科特迪瓦、埃及、海湾国家、以色列、约旦、肯尼亚、黎巴嫩、马达加斯加、马拉维、毛里求斯、莫桑比克、克罗地亚、塞浦路斯、法国、格鲁吉亚、德国、尼日利亚、塞内加尔、苏丹、叙利亚、突尼斯、乌干达、阿根廷、玻利维亚、加拿大、智利、希腊、匈牙利、科索沃、拉脱维亚、马其顿、荷兰、葡萄牙、哥斯达黎加、多米尼加共和国、萨尔瓦多、牙买加、巴拿马、秘鲁、美国、乌拉圭、澳大利亚、阿塞拜疆、孟加拉国、中国、印度、俄罗斯、塞尔维亚、斯洛伐克、斯洛文尼亚、印度尼西亚、日本、哈萨克斯坦、马来西亚、尼泊尔、巴基斯坦、斯里兰卡、泰国、越南、阿尔巴尼亚、亚美尼亚、奥地利、白俄罗斯、波斯尼亚和黑山、保加利亚、西班牙以及瑞士。", "[48] www.unglobalcompact.org.", "[49] “2008年联合国全球契约地方网络报告”，第5页和第41页。", "[50] 在撒哈拉沙漠以南非洲地区的中心已经不再运作。", "[51] 2008年，51%的回复全球契约调查的企业参与者报告说，它们参与了跨部门的伙伴关系。", "[52] www.unglobalcompact.org，2008年11月6日更新。", "[53] “对照结果进行管理：联合国秘书处评估指南”，2005年6月。", "[54] 麦肯锡全球研究院，“全球契约影响评估报告”，第16页，2004年5月11日。", "[55] 见A/RES/62/211, 第9页。", "[56] 见A/RES/60/215, 第9页。" ]

[ "Sixty-sixth session", "Item 141 of the preliminary list*", "Joint Inspection Unit", "* A/66/50.", "United Nations corporate partnerships: the role and functioning of the Global Compact", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the members of the General Assembly the report of the Joint Inspection Unit entitled “United Nations corporate partnerships: the role and functioning of the Global Compact” (JIU/REP/2010/9).", "JIU/REP/2010/9", "United Nations corporate partnerships: \n The role and functioning of the Global Compact", "Prepared by", "Papa Louis Fall", "Mohamed Mounir Zahran", "Joint Inspection Unit", "Geneva 2010", "[]", "United Nations", "JIU/REP/2010/9", "Original: ENGLISH", "United Nations corporate partnerships: \n The role and functioning of the Global Compact", "Prepared by", "Papa Louis Fall", "Mohamed Mounir Zahran", "Joint Inspection Unit", "[]", "United Nations, Geneva 2010", "EXECUTIVE SUMMARY", "United Nations corporate partnerships:", "The role and functioning of the Global Compact", "JIU/REP/2010/9", "The JIU included a review of the role and functioning of the GlobalCompact in its Programme of Work for 2009. The Global Compact,initiative launched by the former Secretary-General at the WorldEconomic Forum held in Davos in 1999, is aimed at promoting among thebusiness participants in the initiative, ten agreed principles ofresponsible corporate citizenship that embrace United Nationsuniversal values in four areas of action: human rights, labour,environment and anti-corruption. The objective of this review is toexamine the role and degree of success of the Global Compact and therisks associated with the use of the United Nations brand bycompanies that may benefit from their association with theOrganization without having to prove their conformity with UnitedNations core values and principles. The report identifies bestpractices, lessons learned and challenges ahead and formulatesrecommendations towards an effective, transparent and accountablemanagement of this type of corporate partnership. It covers theactivities of the Office from its inception until April 2010, withgreater focus on the last two programmatic biennia. Main findings and conclusions Originally established in the Office of the Secretary-General, theGlobal Compact initiative quickly evolved under the shield of theSecretary-General into full-fledged office with growing staff,premises, funding, functions and ambitious objectives, functioningwithin a “special regime,” but lacking a proper regulatorygovernmental and institutional framework. Against this background,the Global Compact has succeeded in expanding significantly itsconstituency and multiplying its outreach activities to the privatesector, contributing to legitimizing the Organization’s engagementwith the private sector over the years. Yet, the lack of a clear andarticulated mandate has resulted in blurred focus and impact; theabsence of adequate entry criteria and an effective monitoring systemto measure actual implementation of the principles by participantshas drawn some criticism and reputational risk for the Organization,and the Office’s special set up has countered existing rules andprocedures. Ten years after its creation, despite the intenseactivity carried out by the Office and the increasing resourcesreceived, results are mixed and risks unmitigated. Therefore, theInspectors are of the view that Member States involvement is requiredto provide a clear mandate for the Office to rethink and refocus itsaction. Since the Global Compact Office (GCO) is financed byvoluntary contributions from a small group of donor countries andbusiness participants, the Inspectors believe that General Assemblydirection is needed to guide the Secretary-General in betterdelineating the functions of the GCO, in order to prevent a situationwhereby any external group or actor(s) may divert attention from thestrategic goals agreed to promote interests which may damage thereputation of the United Nations. Lack of regulatory and institutional framework The General Assembly adopted six resolutions under agenda item“Towards global partnerships” which, while recognizing the value ofthe Global Compact, refrain from giving “carte blanche” to theinitiative. Since its activities are funded by extrabudgetaryresources, the GCO needs not only a clear mandate, but also along-term strategic framework. Unlike other United Nations offices, the functions and reportinglines of the GCO are not published in a specific Secretary-General’sbulletin and need clear delimitation with regard to UNOP/UNFIPfunctions. Its coexistence with UNOP/UNFIP has spread out and, tosome extent, duplicated responsibilities and resources for engagingwith the private sector within the Secretariat. The Inspectors are ofthe view that the two offices should be grouped under the sameumbrella, with a single reporting line to the DeputySecretary-General. Lack of effective screening and monitoring of engagement ofparticipants With the ambition of becoming the largest world multi-stakeholderinitiative, the entry process has not been selective enough norconducive to quality participation. Furthermore, with no specifictargets, imbalance in the number, type and regional representation ofbusiness participants and local networks has arisen and needs to beredressed. Mere commitment to the principles upon joining the initiative is nota certificate of future “good behaviour” on the part of participants.The voluntary nature of the commitment and the “learning” premise onwhich the initiative is based do not provide adequate safeguards forbehaviour. Although the introduction of the “Integrity Measures” hasbrought more credibility to the initiative, the “Communication onProgress” as the reporting and self-evaluation mechanism does notprovide adequate and effective monitoring and verification of actualimplementation of the principles by participants. Without moretransparent handling of complaints, the initiative lacks the “teeth”needed and demanded by many. Special management, funding structure and staffing procedures On the basis of its special management support, funding and positionwithin the Organization (A/RES/62/211), the Global Compact and theGCO have been granted special status to function with moreflexibility than usual regarding its financing and staffingmodalities. At times this has led to bypassing existing rules andregulations. For instance, GCO staff, consultants and interns werefirst employed and subsequently regularized under conditions that donot fully adhere to relevant recruitment and promotion procedures.However, recent efforts to regularize its management have started toaddress the situation. In the absence of a robust funding strategy, the limited andunbalanced funding structure of the Office is dependent on about adozen donor countries, mostly from Europe, and contributions frombusinesses that have multiplied ten times in five years. There is no consolidated, transparent and clear budgetary andfinancial reporting of the Office’s income and expenditure under theUnited Nations Trust Fund (Government contributions) and theFoundation of the Global Compact (private-sector contributions). The Foundation of the Global Compact not only raised but also spentfunds for the benefit of the GCO, bypassing existing United Nationsrules and procedures, while applying the national laws of the hostcountry. Costly and questionably effective governance The new governance structure adopted in 2005 and consisting of sevenentities, each operating within a multi-centric framework, withoutcentral decision-making, and with distinct membership, functions andmeetings, is cumbersome, costly and ineffective. Member States arenot represented in the Board, which is highly unusual, if not unheardof, for an intergovernmental organization such as the United Nations. The nomination of Board members is top down. The composition of theBoard is not inclusive; SMEs and core United Nations agencies are notrepresented and, in the absence of the Secretary-General, meetingsare chaired by an outsider to the Organization. The Board does notmeet frequently as needed on an annual basis so as to provideadequate guidance and monitoring. With the creation of the Inter-Agency Team, the strategic influenceof the six core agencies that actively participated in the AdvisoryCouncil (the previous Board) has declined. Rather than a coordinationand governance tool, the Inter-Agency Team meetings have become amere information exchange forum held on the margins of other events. The new structure has weakened, rather than reinforced, theinitiative’s governance framework, placing the GCO at the centre ofdecision-making. Need for regular unbiased and independent performance evaluation There is no formal performance reporting mechanism to assess the workof the GCO. The Annual Review Report is based on the findings ofsurveys of business participants, and therefore amounts to aself-assessment exercise. Non-business participants are not surveyed.As such, the Annual Reviews do not depict an independent, unbiasedand comprehensive picture of the Global Compact successes andfailures, risks and opportunities. Recommendations This report contains 16 recommendations, four of which(recommendations 1, 2, 5 and 8) are addressed to the General Assemblyfor action, five (5) are directed to the Secretary-General, and seven(7) to the Global Compact Office. The recommendations are intended to establish and implement a clearand articulated mandate, long-term strategy and function for the GCO(recommendations 1 and 2); regroup the GCO and UNOP/UNFIP(recommendation 3); redress the imbalance in the composition ofparticipants, and establish a proper selection process(recommendations 4 and 5); reinforce the implementation of theIntegrity Measures and accountability in implementing the tenprinciples (recommendation 6); balance and diversify public andprivate funding (recommendation 7); enhance reporting transparencywith regard to total budget, income and expenditure, and actualstaffing of the office (recommendation 8); enhance effectiveness andself-reliance of local networks, coherence in the work, and bettergeographical representation of regional centres as advisory andcoordinating hubs (recommendations 9 and 10); focus on promotingpartnerships towards the implementation of the ten principles, andperiodically review them to disseminate best practices(recommendation 11); strengthen the Global Compact governancestructure through reinstating the advisory role of the Inter-AgencyTeam, and ensure more transparent nomination of Board members andinclusive representation of participants (recommendations 12, 13 and14); and enhance the effectiveness and accountability of theinitiative through annual self-assessment performance reports of theimpact of the Office’s activities in relation to establishedobjectives and its mandate, and periodic independent evaluation(recommendations 15 and 16). The Inspectors are pleased to note that the Strategic Planning Unitof the Executive Office of the Secretary-General, in its comments of20 September 2010 to the draft report, indicated that “many of therecommendations provided by JIU inspectors echo the direction inwhich the senior management of the Global Compact and theSecretary-General would like to take the initiative.” \nThe Inspectors were also requested to update the assessment of theGlobal Compact activities with developments that took place duringthe Leaders Summit in June 2010. Unfortunately, those positivedevelopments fell outside the scope and timeframe of this review.", "CONTENTS", "Chapter Paragraph Page", "EXECUTIVE SUMMARY iii", "ABBREVIATIONS viii", "I. INTRODUCTION 1-9 1", "II. ROLE OF THE 10-36 3 GLOBAL COMPACT .", "A. The Initiative 10-12 3", "B. Mandate, mission and functions of the 13-25 4 Global Compact Office", "C. United Nations Office for Partnerships 26-32 6", "D. Advancing United Nations values and 33-36 8 responsible business practices within the United Nations system", "III. FUNCTIONING OF 37-142 9 THE GLOBAL COMPACT .", "A. Participants 37-82 9", "B. Office 83-97 17", "C. Country presence: Global Compact local 98-107 20 networks", "D. Regional presence: support centres 108-111 22", "E. Partnerships 112-113 23", "F. Governance 114-129 24", "G. Evaluation of the Global Compact 130-135 26 initiative", "H. Conclusion 136-142 27", "ANNEXES", "I. Overview of 29 action to be taken by participating organizations based on JIU recommendations", "ABBREVIATIONS", "ALNF Annual Local Network Forum", "CEB United Nations System Chief Executives Board for Coordination", "COP Communication on Progress", "CSOs Civil society organizations", "CSR Corporate Social Responsibility", "DESA Department of Economic and Social Affairs", "DPI Department of Pubic Information", "FAO Food and Agriculture Organization of the United Nations", "GCLN Global Compact Local Network", "GCO Global Compact Office", "IAEA International Atomic Energy Agency", "ILO International Labour Organization", "IMO International Maritime Organization", "ITU International Telecommunication Union", "JIU Joint Inspection Unit", "MDGs Millennium Development Goals", "NGOs Non-governmental organizations", "OCHA Office for the Coordination of Humanitarian Affairs", "OHCHR Office of the United Nations High Commissioner for Human Rights", "OIOS Office of Internal Oversight Services", "OLA Office of Legal Affairs", "UNCAC United Nations Convention Against Corruption", "UNCTAD United Nations Conference on Trade and Development", "UNDP United Nations Development Programme", "UNEP United Nations Environment Programme", "UNESCO United Nations Educational, Scientific and Cultural Organization", "UNFIP United Nations Fund for International Partnerships", "UN-HABITAT United Nations Human Settlements Programme", "UNHCR Office of the United Nations High Commissioner for Refugees", "UNICEF United Nations Children’s Fund", "UNJSPF United Nations Joint Staff Pension Fund", "UNIDO United Nations Industrial Development Organization", "UNODC United Nations Office on Drugs and Crime", "UNOP United Nations Office for Partnerships", "UNWTO World Tourism Organization", "WFP World Food Programme", "WHO World Health Organization", "I. INTRODUCTION", "1. As part of its programme of work for 2009, the Joint Inspection Unit (JIU) conducted an assessment of the role and functioning of the Global Compact within the context of the United Nations corporate partnerships, from May 2009 to April 2010.", "2. In view of the increasing engagement of the United Nations in partnerships with businesses in recent years, the JIU has looked into this subject twice.[1] Its second review found that there was some misunderstanding within the United Nations system regarding the purpose and role of the Global Compact initiative, while some non-governmental organizations (NGOs) grouped under the Alliance for a Corporate-Free United Nations accused the United Nations of “bluewashing,” by allowing some of the largest and richest corporations to wrap themselves in its blue flag without requiring them to do anything new.[2] Other stakeholders considered the initiative to be a success, a major milestone in the evolution of the relationship between the United Nations and the private sector, and a call to business leaders around the globe to embrace and implement, in their own spheres of influence, a set of universally agreed principles in the areas of human rights, labour, environment and anti-corruption.", "3. These divergent views can be explained by the fact that the initiative was conceived as a learning tool rather than as a regulatory instrument. Indeed, the Global Compact does not police companies, nor measure their behaviour and actions, nor enforce its principles. Thus, paradoxically, it cannot be ensured that companies associated with the United Nations image and reputation effectively comply with its basic principles.", "4. The current report examines the Global Compact’s role and degree of success in bringing together multiple stakeholders to promote the ten agreed principles of responsible corporate citizenship. It also addresses the sensitive issue of the use of the United Nations brand by companies that may benefit from their association with the Organization, without having to prove their conformity with United Nations core values and principles. The report identifies best practices, lessons learned and challenges ahead and formulates recommendations towards an effective, transparent and accountable management of this type of corporate partnership.", "5. The review covered the activities of the New York-based Global Compact Office (GCO), some 90 networks worldwide, and five regional centres. It also examined the financial mechanism of the Foundation for the Global Compact and the activities of the United Nations Office for Partnerships (UNOP).", "6. In line with JIU internal standards, guidelines and working procedures, the methodology followed in preparing this report included a preliminary desk review, interviews with more than 50 United Nations officials and participants in the initiative, questionnaires/surveys and an in-depth analysis of results. An electronic survey in three languages was sent to 90 Global Compact local networks (GCLNs) and obtained with a response rate of 43 per cent. Two additional surveys designed for business and non-business participants could not be launched because the GCO declined to provide their contact information on grounds of confidentiality and “client survey fatigue.” The GCO instead shared the results of its own recent survey of business participants. Consequently, the Inspectors were not able to get independent views from participants on GCO performance, and the initiative’s success.", "7. Comments on the draft report were sought from participating organizations and other interviewees, and taken into account in the preparation of the report, where appropriate. In accordance with article 11.2 of the JIU statute, the report was finalized in consultation with other Inspectors so as to test its conclusions and recommendations against the collective wisdom of the Unit.", "8. In order to facilitate the handling of the report, and the implementation and monitoring of its recommendations by the organizations, a table indicating whether the report is submitted for action or for information is contained in Annex I. The table identifies the recommendations relevant for each organization, specifying whether they require a decision by the organization’s legislative or governing body or they can be acted upon by the organization’s executive head.", "9. The Inspectors wish to express their appreciation to all those who assisted them in the preparation of this report, and particularly to those who participated in the interviews and survey, and so willingly shared their knowledge and expertise.", "II. ROLE OF THE GLOBAL COMPACT", "A. The Initiative", "10. Former United Nations Secretary-General, Kofi Annan, launched the Global Compact initiative at the World Economic Forum in Davos on 31 January 1999, stating as follows:", "“This year, I want to challenge you to join me in taking our relationship to a still higher level. I propose that you, the business leaders gathered in Davos, and we, the United Nations, initiate a global compact of shared values and principles, which will give a human face to the global market. […] I call on you […] to embrace, support and enact a set of core values in the areas of human rights, labour standards, and environmental practices.", "Why those three? […] because they are all areas where you […] can make a difference, […] they are areas in which universal values have been already defined by international agreements […and], if we do not act, there may be a threat to the open global market, and specially to the multilateral trade regime.", "Essentially there are two ways we can do it. One is through the international policy arena. You can encourage States to give us, the multilateral institutions of which they are all members, the resources and the authority we need to do our job. […] The second way you can promote these values is by taking them directly, by taking action in your own corporate sphere. Many of you are big investors, employers and producers in […] countries around the world. That power brings with it great opportunities—and great responsibilities.", "The United Nations agencies […] all stand ready to assist you, if you need help, in incorporating these agreed values and principles into your mission statements and corporate practices. And we are ready to facilitate a dialogue between you and other social groups, to help find viable solutions to the genuine concerns that they have raised. […] More important, perhaps, is what we can do in the political arena, to help make the case for and maintain an environment which favours trade and open markets.”[3]", "11. Thus, the Global Compact was born, and nine principles (a tenth anti-corruption principle was added in 2004) were adopted in four areas of action: human rights, labour, environment and anti-corruption, deriving from four major United Nations instruments.[4] These focus areas/principles embrace a number of United Nations universal values set out in the Preamble and Article 1 of the Charter of the United Nations. Regrettably they do not include the pursuit of peace and development.", "The Ten Principles Human Rights Principle 1 Businesses should support and respect the protection ofinternationally proclaimed human rights; Principle 2 Businesses should make sure that they are not complicitin human rights abuses; Labour Principle 3 Businesses should uphold the freedom of association andthe effective recognition of the right to collective bargaining; Principle 4 Businesses should support the elimination of all formsof forced and compulsory labour; Principle 5 Businesses should support the effective abolition ofchild labour; Principle 6 Businesses should support the elimination ofdiscrimination in respect of employment and occupation. Environment Principle 7 Businesses are asked to support a precautionaryapproach to environmental challenges; Principle 8 Businesses should undertake initiatives to promotegreater environmental responsibility; Principle 9 Businesses should encourage the development anddiffusion of environmentally friendly technologies. Anti-corruption \nPrinciple 10 Businesses should work against corruption in all itsforms, including extortion and bribery.", "12. The Global Compact became operational in 2000. It was set within the Office of the Secretary-General and was rapidly supported by a full-fledged office with a modest but growing staff complement, its own premises, funding, specific functions and an ambitious mandate. Over the years it has significantly expanded its constituency and outreach activities to the private sector.", "B. Mandate, mission and functions of the Global Compact Office", "In need of a clear mandate", "13. Since 2000, the General Assembly has adopted six resolutions under agenda item “Towards global partnerships.”[5] While they recognize the value of the Global Compact, the resolutions refrain from giving it a clear mandate or “carte blanche.”", "14. The early resolutions acknowledged the importance of the Global Compact as a multi-stakeholder initiative for good corporate responsibility,[6] took note of United Nations work on partnerships such as the Global Compact,[7] and encouraged the GCO to promote the sharing of best practices and positive action.[8]", "15. In 2007, following an audit by the Office of Internal Oversight Services (OIOS) recommending that the Secretary-General seek a formal mandate from the General Assembly to fully legitimize the role of the GCO and provide a basis for assessing its performance,[9] the General Assembly extended its recognition to the Global Compact “as an innovative public-private partnership to advance United Nations values and responsible business practices,” and acknowledged the special set up of the Office, encouraging it “to continue its efforts, in particular in continuing to share relevant lessons learned and positive experiences from partnerships.”[10] This resolution was construed by the GCO as a renewal and expansion of its mandate.[11] The last resolution[12] adopted in 2009 goes along the same lines. The Inspectors consider that a more clear articulation of the GCO is needed.", "16. Unlike other United Nations offices, the functions of the GCO are not published in a specific bulletin issued by the Secretary-General. In the absence of such official document, the Office defines the Global Compact as a policy platform and a practical framework for businesses committed to sustainability and responsible business practices; a leadership initiative seeking to align business operations and strategies worldwide with ten universally accepted principles; and a voluntary initiative that relies on public accountability, transparency and disclosure to complement regulation and provide a space for innovation.[13] As the Global Compact entered its second phase in 2005, the Office reiterated its mission and objectives to be the world’s most inclusive voluntary initiative to promote responsible corporate citizenship, ensuring that business, in partnership with other societal actors, plays its essential part in achieving the United Nations’ vision of a more sustainable and equitable global economy, by making the Compact and its principles an integral part of business operations and activities worldwide; and by encouraging and facilitating dialogue and partnerships among key stakeholders in support of the ten principles and broader United Nations goals, such as the MDGs.[14]", "17. A review of all General Assembly resolutions on global partnerships revealed no reference to the GCO’s self-set objective of encouraging and facilitating dialogue and partnerships among key stakeholders in support of the ten principles and broader United Nations goals, such as the MDGs, nor of its mission statement to be the world’s most inclusive voluntary initiative to promote responsible corporate citizenship. These goals go beyond relevant General Assembly resolutions. While it is true that GCO activities are financed by voluntary contributions from (a small group of) donor countries and business participants, the Inspectors are of the opinion that Member States should determine the role of the Office, and that the Secretary-General should delineate its functions based on strategic direction provided by Member States. This would be necessary in order to prevent a situation in which any external group or actor(s) may divert attention from the strategic goals agreed by the Organization to promote interests which may damage the reputation of the United Nations.", "18. Implementation of the following recommendation would contribute to increasing the effectiveness and accountability of the Global Compact.", "Recommendation 1", "The General Assembly should set a clear mandate for the Global Compact Office at its 66th session and request the Secretary-General to publish within one year a bulletin outlining its functions in accordance with the mandate entrusted to it.", "19. The Strategic Planning Unit of the Executive Office of the Secretary-General (EOSG) indicated that “both the Secretary-General and the Global Compact Office would welcome such a development.”", "Need for a result-based long-term strategic framework", "20. The 2010-2011 biennial programme budget of the United Nations[15]does not define strategic priorities, activities and performance indicators for the GCO, given that its activities are extrabudgetarily funded. Consequently, only an estimate of the relevant Trust Fund expenditure is published.", "21. The GCO, for its part, has taken the initiative to prepare annual Activity Plans since 2005. The Office also prepared a budget proposal overview for 2006 and a funding proposal for 2008-2010.", "22. In 2008, the Global Compact Board (see paragraph 110 below) had discussed a draft of “The Strategic Direction of the UN Global Compact, 2008-2009,” which was qualified more as a historic overview of the initiative than a full-fledged strategic paper. Board members agreed that a process for identifying and discussing goals and related priorities needed to be developed. They also acknowledged that there had been a strategy of “letting many flowers bloom,” which risked making the Global Compact lose its focus,[16] and decided that a new draft should be prepared and circulated.", "23. It is unclear whether this paper was ever finalized or replaced by the above-mentioned 2008-2010 funding proposal. Despite assertions by the Strategic Planning Unit/EOSG that the funding proposal constitutes the long-term strategy, the Inspectors are of the opinion that a 2 to 3-year strategy paper, funding proposal or plan cannot provide the long-term strategic vision required by the GCO. Such a document could, at best, be considered a medium-term strategy, although it places funding before strategy, which is contrary to standard United Nations practice. The exercise of setting short- and medium-term objectives should derive from the long-term goals and mandate approved by Member States and set out in a long-term strategic document prepared by a transparent and consultative decision-making process. Such a framework, which is key to endowing the Global Compact initiative with a strategic focus, is regrettably non-existent.", "24. Bearing in mind the plethora of activities carried out, initiatives launched, and tools and materials published in recent years by the GCO, the Inspectors are of the opinion that such long-term strategy is definitively necessary to re-centre the Compact on a smaller number of goals or targeted activities so as to achieve greater impact.", "25. Implementation of the following recommendation would increase the effectiveness and impact of the Global Compact.", "Recommendation 2", "The General Assembly should request the Global Compact Office to prepare and submit a long-term strategic framework for its consideration without delay. Such framework should outline the long-, medium- and short-term objectives of the GCO, in accordance with the mandate entrusted to it.", "C. United Nations Office for Partnerships", "Duplication or complementarity", "26. Pursuant to General Assembly resolution A/RES/60/1, the United Nations Office for Partnerships (UNOP) was created in 2006 to strengthen system-wide coherence in establishing operational relationships with global partners of the United Nations[17] and to provide support for the United Nations Democracy Fund (UNDEF).[18] It also manages the United Nations Fund for International Partnerships (UNFIP) which was established by the Secretary-General in 1998 as an interface between the United Nations and the United Nations Foundation.[19]", "27. UNOP is attached to the Department of Management; its Executive Director reports to the Secretary-General, while the Deputy Secretary-General oversees the day-to-day operations of the Office. It provides technical advice on partnership opportunities with the United Nations to a variety of private sector and civil society partners. It provides advisory services to United Nations agencies and programmes in the areas of partnership building, advocacy and resource mobilization strategies, and it serves as a gateway for Global Compact signatories to engage the United Nations system in identifying and developing partnership opportunities with non-State actors.", "28. At first glance, it may appear that the GCO objective of encouraging and facilitating dialogue and partnerships among key stakeholders in support of broader United Nations goals duplicates, to some extent, UNOP’s role. However, closer scrutiny reveals that the two offices promote distinct types of partnerships: the GCO focuses on “standard setting” and MDG advocacy (e.g., Caring for Climate, CEO Water Mandate, Principles for Responsible Investment, Principles for Responsible Management Education), while UNOP concentrates on the more operational side of assisting in setting up partnerships and funding concrete MDG-related projects, a role which is complementary to the standard-setting role of the GCO.", "29. The GCO is also tasked with updating United Nations guidelines for partnerships with input from all relevant United Nations entities. It also convenes, in coordination with UNOP/UNFIP, the annual UN Private Sector Focal Point Meetings and prepares the Secretary-General’s annual report to the General Assembly on “Towards global partnerships.” In addition, it develops accountability tools for partnerships, offers training opportunities through the United Nations staff college and other relevant entities, organizes information sharing and learning meetings and manages a system-wide website for partnerships (previously run by UNFIP).", "30. In the Inspectors’ view, the above activities fall more within the mandate of UNOP/UNFIP than that of the GCO. In this regard, the Inspectors recall that in his 2002 report “Strengthening the United Nations: An agenda for further change,”[20] former Secretary-General, Kofi Annan, proposed in Action 20 the creation of a Partnerships Office which would group the GCO and UNFIP under one umbrella, with distinct funding. While recognizing the importance of having a single focal point for the Organization’s engagement with the private sector, the Secretary-General envisaged distinct roles for the two units: the GCO promoting the ten principles, and UNFIP facilitating and mobilizing resources for partnerships and philanthropic organizations. Although the proposed Partnerships Office was set up a few years later, it did not group the GCO and UNFIP under the same umbrella, nor was a single focal point for the Organization’s engagement with the private sector created. UNOP/UNFIP apparently further developed the proposal to group the two offices, and the issue was submitted to the current Secretary-General for consideration. No decision has yet been taken.", "31. The Inspectors are of the opinion that there is merit in the proposal of the former Secretary-General and recommend that the proposal be revisited. Implementation of the following recommendation would create further synergies and enhance coordination and cooperation across the United Nations system in the area of partnerships with the private sector.", "Recommendation 3 \nThe Secretary-General should, as previously proposed, regroup the GCOand UNOP under one umbrella, building on their complementarities anddistinctive roles, and clearly delineate their respectiveresponsibilities, jurisdiction, monitoring tools and reportingrequirements so that the GCO can focus on the implementation of theten principles by businesses, and UNOP on developing United Nationsbusiness partnerships and related capacities.", "32. While the Strategic Planning Unit/EOSG indicated that “this recommendation would help consolidate the United Nations evolving partnership with the private sector,” it pointed out that a number of issues would have to be considered if the entities were grouped together, including the need to staff the combined entity at the right level with (perhaps) an Assistant Secretary-General, and secure funding beyond the annual budget cycles of the trust funds and biennial budget planning. This statement was then contradicted by the additional observation that “the combined entity could lead to economies of scale when engaging non-State actors, from a programmatic and budget perspective, which is also at the heart of the JIU recommendation.", "D. Advancing United Nations values and responsible business practices within the United Nations system", "33. The idea to “walk the talk” and promote responsible business practices within the United Nations has been on the GCO agenda since 2004, three years before General Assembly resolution 62/24 raised the matter.", "34. In his 2007 report entitled “Enhanced cooperation between the United Nations and all relevant partners, in particular the private sector,” the Secretary-General indicated that “the GCO has also promoted the internalization of its ten principles in the work of the United Nations,” and reiterated that progress had been made in several areas, including the renovation of the United Nations Headquarters to reduce energy use drastically and the commitment of the United Nations Joint Staff Pension Fund (UNJSPF) to the Principles for Responsible Investment. The report acknowledged that further efforts were necessary to ensure the continued implementation of the said principles within the Organization.", "35. In its 2008 Annual Review, the GCO reported that the ten principles had been incorporated into the procurement function. However, United Nations procurement officials informed the Inspectors that although they advertised and supported the ten principles, they were not applied in procurement as the existing rules and regulations refer to best value for money, equity, transparency and international competition only. They did confirm, however, that there was a new trend towards sustainable procurement, which combined economic considerations (value for money) with environmental and corporate social responsibility ones, but this has not yet been implemented pending a General Assembly decision. The Inspectors consider that these efforts should be pursued, including in the areas of procurement, and that the GCO should continue reporting in its Annual Review on concrete actions taken towards the promotion and application of the Global Compact principles throughout the Organization.", "36. The Procurement Division (PD) further clarified that commitment to the ten principles are part of the registration process for every vendor registering through the United Nations Global Marketplace (UNGM). However, it should be noted that at the advice of the General Legal Division, PD has taken the position that the Global Compact should be viewed as a learning tool and something to aspire to, and not a concept to be enforced, as the Secretariat has neither the proper mechanism nor resources to monitor compliance by vendors.", "III. THE FUNCTIONING OF THE GLOBAL COMPACT", "A. Participants", "37. According to the GCO, the Global Compact is the world’s largest global corporate citizenship initiative, with participants from more than 135 countries.[21] In 2009, 7,450 participants were registered in the database, of which 5,670 were business participants, and 1,780 non-business participants. These figures may seem insignificant when compared to the number of companies worldwide,[22] but become meaningful if compared to participation in similar initiatives such as the World Business Council for Sustainable Development and the Global Reporting Initiative.", "38. In terms of business size, current participants are almost equally divided between large companies (35 per cent) and small- and medium-sized enterprises of less than 250 employees (37 per cent), while micro-enterprises of less than 10 employees account for only 4 per cent of participants.", "Figure 1. Participants by type", "[]", "Source: GCLN knowledge-sharing site", "39. Among the large companies, 100 are ranked on the Financial Times Global 500[23] and 60 feature on UNCTAD’s list of the world’s largest 100 non-financial transnational corporations. The engagement of these companies is vital given their size and resources, number of employees, market capitalization and revenues. For the GCO, ensuring their committed participation and the rollout of the ten principles throughout their subsidiaries and supply chains is a matter of strategic priority.", "40. Regarding non-business actors, civil society organizations (CSOs) account for 8 per cent of participants, business organizations, 7 per cent, and academic institutions (4 per cent). In contrast, labour organizations represent only 1 per cent. Among CSOs, few are internationally renowned with global reach.", "41. By region, the largest representation is Europe (43 per cent) and the smallest, the Middle East (2 per cent). Participation by North American companies is low (5 per cent), apparently due to fear of litigation, labour rights and damaging the reputation of the United Nations.[24]", "Figure 2. Participants by geographical area", "[]", "42. About 50 per cent of the top ten participants are from developing/emerging economies such as Argentina, Brazil, Colombia, China, Mexico and Singapore. Participation varies considerably from country to country: globally, France and Spain boast the largest business participant base (close to 10 per cent).", "Figure 3. Top ten business and non-business participants", "[]", "Source: GCLN knowledge-sharing site", "Quantity versus quality", "43. During its “start-up phase,” the GCO rightly concentrated its efforts on increasing and diversifying its participant base. As a result, the number of signatories, especially non-business participants, has progressed steadily, in particular over the past three years.", "44. At present, the issue is no longer how many new actors are joining, but who is and who is not in and why. It is about what matters – rapid growth in signatories or in-depth commitment and impact, and how to accomplish it. It is also about the need to set a manageable and viable ceiling on the number of participants so as to allow for effective dialogue and social vetting.", "45. The GCO addressed some of these issues in its Funding Proposal for 2008-2010. The proposal defines two groups of corporate participants: a small group of “leading companies” which have embraced the initiative’s principles as a strategic opportunity; and a large group of “starters.” The challenge, according to the paper, is how to keep the leading companies motivated and engaged, while at the same time ensure that the Global Compact provides an entry-level platform for “starters.” The proposal presents five immediate objectives, of which three relate to managing the initiative’s growth and the quality of participants’ engagement, and sets indicators for their successful implementation, as outlined in the table below:", "Table 1. GCO Funding Proposal 2008-2010 – Objectives and indicators", "Objective Success indicator \nTo manage the growth and reachof the initiative\t5 per cent annual increase in thenumber of both businessparticipants and local networksTo enhance publicaccountability and transparencyof participants\tIncrease in the percentage ofCommunication on Progress(COPs)[25] to 70 per cent ofparticipants by 2010 \n\tEngagement of 20 per cent of thelocal networks in the socialvetting process[26]To deepen the engagement ofparticipants on the ground\tIncreased number of signatories toissue-specific initiatives Enhanced sharing of best practices Growing participation inissue-specific working groups; Increase in the number ofpublic-private partnershipprojects aligned with the tenprinciples \n\tImprovement in participants’self-assessments", "46. While the proposed objectives and indicators are valid, it remains that GCO strategic orientation falls short of fully tackling the core issue of managing quality and achieving wider impact. In addition, no specific group is targeted to redress existing imbalances in membership.", "47. In this regard, 85 per cent of the JIU survey respondents felt that the number of participants should continue to increase, while 76 per cent were also in favour of more qualitative commitments.", "48. The Global Compact Board discussed the issue of “quantity versus quality” in 2008 without reaching a decision due to the diverse expectations of its multiple stakeholders. The Inspectors believe that this is a key strategic decision that cannot be further postponed if the effectiveness and impact of the initiative is to be enhanced. The following recommendation goes in this direction.", "Recommendation 4", "The Global Compact Office should seek to adopt, after consultation with all stakeholders, a policy decision on the composition of participants by category and geographical region, in order to ensure an appropriate balance between the number of Global Compact participants and qualitative representation, and reinforce the universal application and relevance of the ten principles.", "49. With respect to the above recommendation, the Strategic Planning Unit/EOSG indicated that a policy decision concerning composition was “not consistent with its character as a voluntary initiative,” and that “the Global Compact does its best to reach out to all regions of the world and all business sectors and encourage them to participate.” The Inspectors are of the opinion that participants’ decision to join voluntarily does not necessarily preclude the GCO from actively pursuing its efforts to better reach certain regions of the world and categories of non-business actors who are currently unrepresented, in order to achieve inclusiveness and universality. In its comments to the draft report, ILO supported a more inclusive approach towards labour organizations, which “could enhance understanding and further support the implementation of the labour principles in business organizations.”", "Participants’ engagement", "50. The reasons for participants’ engagement are diverse. The main reason why businesses join is to increase trust in the company, and influence public opinion and relevant national legislation. For business associations, the main reason for joining is to support business interests and for some NGOs and labour organizations, the initiative provides an opportunity to influence companies’ behaviour and hold them accountable for their commitments under the Global Compact. Academics tend to join because they consider the initiative a learning tool that inspires corporate social responsibility thinking. The United Nations’ objective is to engage companies in the implementation of the ten principles, however, for the United Nations system as a whole (except for a few “ice-breakers” such as UNDP and UNICEF which preceded the United Nations in building such partnerships), the Global Compact provides an entry point to the private sector.", "51. Participants’ expectations of the Global Compact are also diverse and have proven to be a source of frustration with the initiative, resulting in criticism. Overall, the initiative has been a “victim of its own success.” Its rising profile has led to demands for closer scrutiny and accountability of companies. The GCO approach to managing the initiative is known to be pragmatic and opportunity-led. Although it has adopted a set of integrity measures to reduce brand management risk, it has not taken a strong stand on participant selection and handling of complaints.", "52. Some NGOs and labour groups find the Global Compact’s all-embracing approach, voluntary nature and reluctance to assume a more normative regulatory role disappointing. Businesses, on the other hand, are mostly unwilling to be subjected to any kind of monitoring.", "53. In order to participate in the Global Compact, the CEO of a business must address a signed letter of commitment to the Secretary-General. The letter must state that the company pledges to make the ten principles an integral part of its business strategy, day-to-day operations and organizational culture. The company must also pledge to publicly advocate the Global Compact and its principles, and to publish an annual COP describing the actions taken to implement the said principles. Although the requirements of this letter have been tightened recently, they do not provide sufficient guarantee that companies will mainstream the ten principles into their corporate social responsibility policy or engage in their supply chain and subsidiaries.", "54. Non-business participants are also required to sign a letter committing to the ten principles and pledging to take part in the activities of the Global Compact by participating in local networks, engaging in partnerships and specialized initiatives and providing commentary to companies on their COPs.", "55. The Inspectors wish to point out that even after interviewing Global Compact officials and being informed that, as of 2009, new applications were also being checked against the World-Check database, they were unable to determine what criteria the GCO applied in selecting participants. Global Compact officials argued that the admission of companies was not in itself a certification of good behaviour. They reiterated that the initiative was about learning, dialogue and partnerships and that its role was to assist companies in implementing the principles and provide them with the tools and resources to communicate progress on their pledges.", "56. Unlike the GCO, some United Nations agencies are convinced that alliances with business actors might involve a reputational risk and have therefore put in place a rigorous selection process for potential partners. UNICEF seems to have developed one of the best modalities, which include confidential pre-screening (conducted by an external firm) against agreed eligibility criteria (company reputation, compliance with human rights and child labour principles, past or ongoing litigation, etc.). Approximately 100 companies are screened every year and their rating remains valid for one year. The Division of Private Sector Fundraising and Partnership is in charge of the process and problematic cases are referred to a Coordination Committee whose work is guided by specific Terms of Reference.", "57. Some organizations automatically exclude companies banned by WHO (companies selling alcohol, tobacco, arms and some food companies). These organizations are not keen on becoming partner organizations or core agencies of the Global Compact. In fact, their partner eligibility criteria are more stringent than those of the revised United Nations Guidelines on Cooperation between the United Nations and the Business Sector, which state that the United Nations should not partner only with those businesses that systematically fail to demonstrate commitment to the Global Compact principles. Indeed, the lack of company monitoring is often considered to be the initiative’s Achilles’ heel,[27] a “serious flaw giving companies notorious for human rights violations a free ride on the Secretary-General’s prestigious coat-tails.”[28] Some NGOs such as ActionAid, Greenpeace, Amnesty International and the Berne Declaration have criticised the initiative with business as “lacking teeth,”[29] while the Corporate Observatory Group has claimed that the International Chamber of Commerce is the primary partner and co-designer of the Global Compact and promoter of its not engagement in any form of monitoring.[30] Some interviewees also questioned why certain United Nations Member States were signalled out for not upholding the Organization’s values, while Global Compact companies enjoyed the benefit of doubt when accused of failing to honour their commitments.", "58. In sum, there is concern that the Global Compact is being undermined by some companies’ reluctance to meet the challenge of in-depth commitment, and which use the Global Compact and the United Nations for their “bluewashing” benefits.", "59. The Inspectors cannot confirm whether these allegations are true, but concur that there is a reputational risk which needs to be managed. At present, the GCO tracks and internally disseminates media references to the Global Compact, but does not analyze their content. Although the GCO claims that perception of the initiative has improved over the years, this has never been officially documented. Furthermore, responding to complaints is not a primary concern for the GCO given its stand that it does not police, enforce or monitor the behaviour and actions of companies.", "60. The Inspectors consider that trust needs to be built on the basis of yardsticks by which performance can be measured. The Global Compact’s principles are principles of behaviour and as such need to be translated into concrete standards and actions, compliance with which should be monitored by special mechanisms. In this regard, 79 per cent of the local networks that participated in the JIU survey stated that they had been consulted about the admission of new companies, and only 33 per cent were in favour of a more rigorous selection process.", "61. As for NGOs’ engagement, OIOS expressed concern in its 2006 audit that NGOs might gain direct access to the United Nations through the Global Compact without going through the usual screening and accreditation process administered by the Department of Economic and Social Affairs (DESA) and the Division of Public Information (DPI). At the time, the GCO had responded that a newly recruited NGO coordinator would facilitate the development of a mechanism to promote and monitor the engagement of non-business participants.[31] The Inspectors could not measure any progress in this respect.", "62. To conclude, the Inspectors are of the opinion that minimum selection criteria should be established and all businesses and non-businesses interested in participating in the Global Compact initiative should undergo an entry check.", "Recommendation 5", "The General Assembly should call for the institution of a selection process in which business and non-business applicants are screened against pre-set entry criteria, so as to mitigate brand management risk and enhance the Office’s accountability for accepting new participants in the Global Compact initiative.", "63. In connection with this recommendation, the GCO indicated that it already has a twofold screening process for new participants: by using a global database to identify potential concerns, and asking local networks if there is any reason why the company should not be permitted to join. It added that companies which have problems but are willing to change can join the initiative. Nevertheless, the Global Compact Board is considering the relative merits of having minimum entry criteria.", "64. The Strategic Planning Unit/EOSG has indicated that the institution of a selection process in which business and non-business applicants are screened against pre-set criteria is contrary to the basic principles on which the Global Compact was founded as a voluntary association. The Inspectors note the conflict that such recommendation may entail to the existence of the initiative, and as such, are of the opinion that the General Assembly would be better positioned to decide on an issue that goes with the credibility of the organization itself.", "Integrity Measures", "65. The 2004 McKinsey & Company Global Compact evaluation report called for the introduction of integrity measures. The first version of such measures was finalized in 2005, after consultation with the Office of Legal Affairs (OLA).", "66. The purpose of the measures was to strengthen participants’ accountability in three areas: 1) misuse of the Global Compact’s name and logo; 2) failure by companies to produce COPs; and 3) procedures to deal with allegations of systemic or egregious abuses of the Global Compact principles by companies.", "67. Given GCO claims that its hands are tied by the voluntary nature of the initiative and companies’ resistance to any form of monitoring, not much has been done to reinforce these measures, except to de-list companies that fail to submit a COP. In this respect, OLA advised the GCO in 2005 that the resolution of complaints against participating companies should be left solely to the parties involved, although the Global Compact could provide guidance and assistance to the companies concerned in aligning their actions with the commitment they have undertaken with regard to the Global Compact principles.", "68. Global Compact officials interviewed acknowledged that they were not fully satisfied with the way the integrity measures were implemented. They indicated that the Board, which oversees their implementation, was requested in 2009 to review a proposal to introduce new stipulations concerning the non-reporting period for de-listing and the frequency of reporting by area of principle. The Inspectors consider, however, that the issue at stake is less about introducing new requirements, and more the need to effectively disseminate and apply existing ones. These views were also expressed by other United Nations officials interviewed and in comments received to the draft report.", "69. Regarding the JIU survey, 23 per cent of respondents reported that they were not aware of the integrity measures; 46 per cent believed that they should be more vigorously implemented with respect to allegations received; 43 per cent said that they were consulted about the de-listing of companies; and only 18 per cent indicated that they had been involved in the handling of complaints related to business participants.", "Allegations of systemic or egregious abuses of the principles by business participants", "70. According to the GCO, “safeguarding the reputation, integrity and good efforts of the Global Compact and its participants requires transparent means to handle credible allegations of systematic or egregious abuse of the Global Compact’s overall aims and principles.”[32]", "71. The GCO provides guidance to promote quality engagement and assist participants in aligning their actions with their commitments. However, the GCO will not involve itself in any claims of a legal nature, nor will it enquire into media allegations of violations. Under current procedures, whenever a written complaint is received, the GCO should first encourage dialogue among the parties. However, if the company concerned does not cooperate within two months, it may be considered as “non-communicating” and subsequently de-listed.", "72. GCO informed the Inspectors that 73 cases had been received, of which only 29 had been handled through the dialogue facilitation process (since “not all persons raising matters desired to progress through the facilitation process or the matters were not suitable for the process.”[33] The Inspectors could not obtain detailed figures on the number and type of allegations received, handled and resolved, or the number of companies de-listed.", "73. In the Inspectors’ view, more comprehensive information and transparency are necessary in disclosing statistics on allegations and actions taken.", "Communication on Progress (COP)", "74. As mentioned earlier, COPs are the self-evaluation and reporting mechanism of the Global Compact business participants. They are an explicit commitment by companies signing on to the initiative.[34] Only business participants are required to annually submit a COP, which is then published on the Global Compact website and may be consulted by other stakeholders and the public at large.", "75. Initially, COP submission was not given due consideration, and the percentage of “communicating” participants was relatively low (35 per cent in 2002, 40 per cent in 2003).[35] In the wake of growing concern over the initiative’s effectiveness, and calls for closer scrutiny of firms, the GCO introduced in 2004 its first COP policy guidelines. The policy became operational in 2005, was strengthened progressively in 2006, 2008 and 2009, and publicized by the GCO and local networks through tools guidance materials, learning sessions and workshops. As a result, in 2008, approximately 76 per cent of the participants had submitted a COP, a sharp increase compared to preceding years.[36]", "76. A recent review by the Gilé Foundation of 40 COPs submitted by large companies shows a wide disparity in the comprehensiveness and quality of information available per principle.[37] Regarding the principles, environmental responsibility scored the highest mark, followed by human rights, discrimination and anti-corruption, freedom of association, child labour and forced labour.[38]", "77. The Inspectors undertook a separate review of a random sample of COPs (submitted by different sized companies) which it assessed against the requirements of the Practical Guide to COPs. Out of the 58 COPs examined, two thirds met all requirements. All the COPs reported on nine of the principles. The principles least reported on were child labour and anti-corruption. The most poorly rated were freedom of association, child labour and forced labour. The two most reported on and highly rated were those designed to promote a precautionary approach to environmental challenges and greater environmental responsibility. On the whole, the results of the JIU review for all types of business were similar to those of the Gilé Foundation for large companies.", "78. The Inspectors’ review found that some participants were duplicated or placed in the wrong category, and that some COPs shown on the Global Compact website as meeting all requirements were in fact unsatisfactory and vice versa. It also found that COPs that were incorporated in annual reports were not as clear as stand-alone COPs.[39] These findings point to the need to improve scrutiny. Furthermore, the fact that COPs are submitted in any language exacerbates the problem.", "79. The GCO indicated that it did not have the capacity to check the information provided in COPs. Although the Board has discussed their independent validation/certification, it has reached no agreement on the issue, which continues to pose a reputational risk for the initiative.", "80. Of the local networks responding to the Inspectors’ survey, 71 per cent indicated that they followed up on non-submissions and provided training, 34 per cent provided feedback after submission, and 25 per cent conducted peer reviews during the process. It should be noted that small and medium-sized enterprises have more difficulties submitting COPs because of insufficient capacity and resources and lack of specific guidance materials, even in United Nations official languages. One network formally complained that most correspondence was in English.", "81. The Spanish local network is a good example of the application of best practices. It has prepared detailed guidelines in Spanish, including for small companies, and developed an on-line COP template. It also reviews COPs for clarity, comprehensiveness and compliance with reporting requirements before they are posted online. Between 40 and 50 COPs are reviewed and rated internally every year and those considered “Notable” are selected.", "82. In conclusion, more should be done to improve the quality of reporting. Local networks should be induced to conduct peer reviews of COPs, while CSOs and academics should be encouraged to actively exercise “social vetting.” In addition, large companies should be requested to report on their subsidiaries’ progress in implementing the ten principles, or the subsidiaries should be requested to submit a COP directly. Finally, following the recommendation of the 2009 Annual Local Network Forum (ALNF), CSOs should also be required to submit a COP, and a template for reporting should be created in all United Nations official languages.", "Recommendation 6", "The Secretary-General, in his capacity as Chairman of the Global Compact Board, should submit to the consideration of the Board concrete measures to reinforce accountability in the implementation of the Integrity Measures, including (a) closer scrutiny of COPs by local networks and civil society; (b) type and frequency of monitoring of COPs by the GCO; (c) submission of COPs by non-business participants; and (d) more proactive and transparent handling of complaints.", "B. Office", "Office location and reporting lines", "83. Within the organizational structure of the United Nations, the GCO was administratively and substantively part of the Executive Office of the Secretary-General until 2008, when the administrative functions were transferred to the Executive Office of the Department of Management. Strategic guidance and direction of the programme of work remained within the Office of the Secretary-General. The Executive Director of the Global Compact is accountable to the Secretary-General through the Assistant Secretary-General for Policy Planning.", "84. Some Global Compact officials consider the association of the GCO with the Office of the Secretary-General critical to the initiative’s success, and that it should be maintained. However, given the criticism the initiative has come under, the Inspectors are of the opinion that maintaining a close association between the GCO and the Secretary-General entails a reputational risk for the Organization. Furthermore, since the Global Compact has evolved from a simple initiative of the Secretary-General to a fully established office, there is no longer a need to maintain a direct “attachment” to the Office of the Secretary-General. As such, the Inspectors consider that with the recommended re-grouping of the GCO and the UNOP/UNFIP under one umbrella, the reporting line of the GCO should be transferred to the Deputy Secretary-General.", "Funding", "85. The GCO was almost exclusively funded from Governments’ annual voluntary contributions to a Trust Fund until 2006, when the Foundation for the Global Compact was set up to raise voluntary annual contributions from business participants as well.", "86. In 2007, General Assembly resolution 62/211 acknowledged the “special funding structure” of the Global Compact as being “specifically designed to reflect the diversity of its stakeholders.” [40]", "87. Contributions to the Global Compact have been exceptionally charged only a 7 per cent programme support cost since 2005, unlike other voluntary contributions, which are charged 13 per cent. Five per cent of these costs is retained by the GCO, and 2 per cent is paid to the Foundation for services provided.", "88. While the number of contributing companies surged from 42 in 2006 to 475 in 2009,[41] the number of donor countries has remained low at about a dozen (mostly European).[42] Such a limited funding base and unbalanced geographical representation of donor countries, if not properly addressed, may challenge the legitimacy of the GCO in the long run. In this regard, the Inspectors recognize the efforts of the GCO to increase Member States contributions, although, the GCO Funding Proposal for 2008-2010 does not address this issue. This document foresees a budget of US$14.7 million for the three-year period, with a budget increase of 15 percent by the end of the period. Funding from Member States is estimated to remain stable, and the increase would result from contributions made by companies through the Foundation.", "89. GCO income and expenditure are separately accounted for under the United Nations Trust Fund (Government contributions) and the Foundation for the Global Compact (private-sector contributions). The Inspectors were unable to find a complete overview of the Global Compact budget and expenditure in either the relevant Proposed Programme Budget, or in the United Nations audited financial statements, or the GC Annual Reviews. It was by adding figures in the Trust Fund and the Foundation financial statements,[43] that they were able to determine that total income in 2008-2009 amounted to approximately US$16 million, and total expenditure to some US$12.6 million, largely exceeding the 2008-2009 funding proposal estimate US$9.5 million. The Inspectors consider that a single, comprehensive and transparent reporting on resources is needed, at least in the Global Compact Annual Review.", "90. The Inspectors are concerned about the implications of the limited Member States funding base in relation to growing private-sector contributions, as well as the lack of consolidated and clear financial reporting, and the exceptional reduction in the programme support cost charged to voluntary contributions to the GCO. They consider that ensuring transparent and balanced public and private funding is crucial to safeguarding the name, credibility and interests of both the Global Compact and the United Nations, and to preventing their being perceived as funded and controlled by corporations.", "Recommendation 7", "The Global Compact Office should put in place a robust funding strategy that addresses the need to increase and diversify contributions from Member States, and to achieve more balanced public and private funding so as to enhance effectiveness, transparency and accountability.", "Foundation for the Global Compact", "91. A Memorandum of Understanding signed in 2006 stated that the Foundation’s main functions were fundraising to support the work of the GCO, and other activities to promote the initiative. In their review of the Foundation’s activities, the Inspectors found that between 2006 (year of its establishment) and 2008, it had neither staff nor a physical address. A service contract officer at the GCO managed the accounts of the Foundation until separate premises were rented outside the United Nations Headquarters in November 2008.", "92. The Inspectors also learned that the Foundation funds were used for the benefit of the GCO, including to pay former GCO staff who were employed to promote initiatives such as the Principles for Responsible Investment and the Principles for Responsible Management, companies organizing events for the GCO; printing publications; and occasionally the travel costs for GCO staff attending meetings. In addition, at the end of the year, a portion of uncommitted funds (US$350,000 in 2008 and US$300,000 in 2009) was transferred as a grant to the United Nations Trust Fund to finance the operating expenses of the GCO.", "93. Despite the provisions of General Assembly resolution A/RES/62/211 which acknowledge the “special management and funding structure” of the GCO, the Inspectors express concern at these unusual financial arrangements which bypass existing United Nations rules and procedures, given that as a separate entity to the United Nations, the Foundation is committed not only to raising, but also to spending funds on behalf of the GCO, while applying the laws of the United States of America.", "GCO Staffing", "94. At the time of the JIU review, no information on the staffing situation at the GCO was available, either on the Global Compact website, in its annual reports or other public documents. According to data provided, the staffing situation at the time of the JIU review was as follows: 15 fixed-term (1D2, 2P5, 3P4, 5P3, 2P2, and 2GS), one permanent, 14 consultants (nine paid by the Trust Fund, and five by the Foundation), three paid by the Foundation and employed under service contracts for the Principles for Responsible Investment and Principles for Responsible Management Education (PRME), and four non-remunerated interns, for a total of 37 persons.", "95. In 2006, the OIOS audit report found irregularities in the recruitment of the GCO short-term staff.[44] Among others, it noted that consultants were not competitively selected and that their contracts were extended beyond the authorized duration without proper justification.", "96. In 2008, the Office of Human Resources Management (OHRM) decided to advertise all the posts at the GCO, except the D2 Director post, which continues to be on loan from UNCTAD for a 10th consecutive year. Vacancies were advertised on Galaxy and open to internal candidates exclusively. Only two applicants, one of whom was already working in the GCO, were short-listed for each post. In the end, all the candidates from the GCO were selected, but since their selection was not approved by the Central Review Board, their appointments were limited to the GCO.", "97. The Inspectors are aware that these arrangements were designed to regularize dedicated staff employed under precarious conditions for several years. Nevertheless, they note that their recruitment did not comply with United Nations regulations and rules. In particular, appointments at the P2 and P3 levels are reserved for candidates who have passed the National Competitive Examination or for management reassignment. Furthermore, short-term professional staff are not eligible for appointment to the posts they occupy, whereas consultants and interns are not eligible for appointment to any post within the Secretariat for a period of six months following the end of their employment/internship contract. The Inspectors were however assured that the United Nations rules on the recruitment of staff, consultants and interns were now observed. Therefore, the Inspectors expect that no further regularization process would be allowed.", "Recommendation 8", "The General Assembly should request the Secretary-General to ensure that the flexible application of existing United Nations rules and procedures, with regard to the special management, support, funding structure and position of the Global Compact, is accompanied by appropriate transparency and accountability safeguards. In particular, the Global Compact Office should be required to include in its Annual Review information on its total budget requirements, actual staffing and all income and expenditure incurred on behalf of the Office under the Trust Fund and the Foundation for the Global Compact.", "C. Country presence: Global Compact local networks", "98. The Global Compact local networks are clusters of participants that come together at national or regional level to advance the initiative and its principles. Local networks have experienced exponential growth in recent years, numbering 90 in 2009, of which 70 per cent are “established” and 30 per cent “emerging”. Their highest concentration is in Europe, and the lowest in the Middle East. The Americas, Asia/Oceania and Africa have a similar number of networks. The number of participants by network varies significantly – North America boasts the highest number, followed by Latin America and Europe. Conversely, one fifth of the networks has less than 20 participants, including some that have four or less.", "Figure 4. Geographical distribution of networks and participants", "[]", "Source: GCLN knowledge-sharing site", "Figure 5. Local networks with less than 20 participants", "[]", "Source: GCLN knowledge-sharing site", "99. Business participants have the largest representation within the networks and their governing bodies.[45] In fact, some networks are composed exclusively of business participants.[46] By contrast, labour organizations are absent in 76 per cent of the networks.[47] This imbalance raises questions about the multi-stakeholder nature of the initiative at the local level. Conscious efforts should be made to inform local labour unions of the establishment of new networks, and persuade them to join and become members of their steering committees/boards.", "100. In 2004, the Annual Local networks Forum (ALNF) decided that networks would be required to convene at least one meeting a year, undertake a minimum number of activities and submit an annual report. In this regard, 9 per cent of the respondents to the JIU survey reported that they did not hold an annual general meeting, 57 per cent reported that they organized more than three activities per year, of which learning was the most frequent for 74 per cent of respondents, followed by outreach (69 per cent) and COPs (63 per cent).", "101. The number of network reports increased from five in 2004 to 51 in 2006-2007, before falling to only two in 2008, and none in 2009.[48] Surprisingly, unlike business participants, networks are not considered as “non-communicating” if they do not submit a report. In fact, this requirement was dropped after the introduction of a network knowledge-sharing system in 2009. While this system contains useful quantitative data, the Inspectors consider that it cannot substitute a qualitative performance assessment of networks, and regular feedback from the GCO, which are needed to promote efficiency and synergies between the Global Compact’s global and local structures.", "102. According to the Local Network Report 2008, the networks are unstable: some are growing consistently while others are receding. Funding appears to be highly related to stability – 50 per cent of the legally established networks are in Asia/Oceania, where a fee structure exists in 70 per cent of the networks. The lowest percentage of legally established networks is in Europe (14 per cent), where only 17 per cent require participant fees.[49]", "103. At the time of the JIU review, UNDP was hosting about three fourth of all networks, including facilitating their creation, financing some of their costs, and providing them with secretariat services and premises. However, the ultimate objective should be ownership of the networks, disengagement of UNDP (which has no expertise to assist them), and the involvement of United Nations programmes and specialized agencies (e.g. ILO, OHCHR and UNEP) which can provide networks with the necessary technical and normative assistance.", "104. While an increasing number of networks can be regarded as successful, an ongoing major challenge is how to ensure that the networks are inclusive, self-governing, networking, sharing experiences and actively involved in implementing the ten principles. In fact, 60 per cent of networks responding to the JIU survey indicated that they interacted with other GC networks only sporadically, whereas between 42 per cent and 64 per cent indicated that they were not consulted on major strategic decisions, complaints related to participants, de-listing of companies, election of candidates to the Board, or participation in its working groups. Thirty-two per cent of respondents qualified the feedback they received from the GCO as poor or they had no opinion, while 76 per cent reported that the quality of information they received from the GCO was “very good” or “good.”", "105. Furthermore, SMEs seem to have more difficulties submitting COPs because of insufficient resources and capacity, and lack of specific guidance materials in languages other than English. The latter was the subject of a formal complaint by some participants.", "106. The Inspectors are of the opinion that reinforcing local networks will give the initiative the grass-root level focus it needs in order to achieve true impact. Instead of simply continuing to create new networks, the GCO should, at this stage, conceive a plan of action to strengthen existing ones. The more networks there are, the more difficult it will be for the GCO to interact with them and provide managerial and substantive feedback.", "107. Implementation of the following recommendation would contribute to enhancing the effectiveness of local networks.", "Recommendation 9 \nThe GCO should devise a Plan of Action to provide local networks withmore effective guidance on how to achieve self-reliance and ownershipin implementing the ten principles, taking into account their variousneeds, including language diversity.", "D. Regional presence: support centres", "108. The GCO has established sectoral or topical support centers both at the global and regional level. At present, there are five centres (two global and three regional), with two located in Europe, one in North America, one in Latin America, and one in Asia.[50] These centers have distinct objectives, activities and financing arrangements, and are mostly autonomous, functioning in collaboration with, but independently from, the GCO.", "109. Based on interviews with officials at four centers and their responses to the JIU, it emerged that these centers have different set up, purposes, funding, budget and area of interaction. They were created between 2005 and 2008 to establish/strengthen local networks within their respective region or worldwide, provide analytical/research capacity, organize activities and/or provide funding. Their activities are financed by UNDP, and voluntary contributions from governments or private foundations, and their budget range between US$0.5 million and US$1.5 million. They communicate with the GCO mostly by e-mail–qualifying this interaction as generally good. They also have some exchanges with other networks within their respective region and/or during meetings of the ALNF, and occasionally with other support centres.", "110. It seems that they differ in opinion about the Global Compact governance structure, which is considered either “good” or “too loose,” recommending that it should be more business- and less UNDP-driven at the local level, and more “democratic” at the global level. Regarding the engagement and commitment of participants, the centres are in favor of some form of screening or due-diligence process when reviewing new applications, and consider that the delisting of non-compliant companies is a step in the right direction in implementation accountability, but believe that more needs to be done in this respect, while at the same time providing incentives for positive behavior, so as not to turn the Global Compact into a complaint-driven initiative. They also consider that while the public disclosure process is key to continuous improvements, it should not focus exclusively on reporting, but also on implementation. Finally, they consider that the weakness of the networks and the lack of support from the United Nations at the country level undermine the implementation of the ten principles, at the local level.", "111. The Inspectors consider that these support centres are under-utilized as regional hubs to create synergies between local and global structures, and facilitate interaction among networks. To ensure better regional representation, similar hubs should be created in the African region.", "Recommendation 10 \nThe GCO should ensure a better balanced geographical presence and amore coherent approach to the work of the global/regional supportcentres in order to create synergies between its global and localstructures, and enhance cooperation and coordination among thesecentres and between the regional centre and networks within the sameregion.", "E. Partnerships", "112. The Global Compact Office has coordinated, entered into and/or promoted the launch by the Secretary-General of several global partnerships related to the dissemination of best practices and positive actions such as the Global Reporting Initiative, the Globally Responsible Leadership Initiative, the Principles for responsible Management Education, the Principles for Responsible Investment, Caring for Climate, the CEO Water Mandate and Who Cares Win. Most of these partnerships, which fall within the Office’s mandate of promoting the implementation of the ten principles worldwide, were too new to have had a tangible impact at the time of the Inspectors’ review. However, the GCO consider them a success. The Inspectors are of the view that it would be highly desirable to undertake an independent evaluation of lessons learned from current partnerships before entering into new ones.", "113. The GCO is also encouraging participants to engage in partnerships for advancing other United Nations goals, such as the MDGs.[51] Such partnerships are beyond the implementation of the principles and scope of the GCO mandate of “sharing relevant lessons learned and positive experiences from partnerships.” Indeed, they have a broader and more concrete impact, and the Inspectors are of the opinion that their promotion would better fit within the UNOP/UNFIP mandate.", "Recommendation 11", "The GCO should focus on developing global partnerships to promote the implementation of the ten principles, and review them periodically in order to disseminate best practices and lessons learned from.", "F. Governance", "114. The governance structure of the Global Compact was adopted in 2005, implemented as of 2006, and revamped in 2008. It consists of seven entities: the Leaders Summit, local networks, ANLF, Global Compact Board, GCO, Inter-Agency Team, and Global Compact Donor Group, each operating within a “multi-centric” framework, without central decision-making and having distinct membership, functions and meetings.", "115. Qualified as “light” by the GCO, the governance structure, with so many entities, participants and meetings, is, in the opinion of the Inspectors, quite the opposite. Costly and questionably effective, it is also “unique” for an intergovernmental organization such as the United Nations, in that its main strategic direction is provided by a Board with no Member State representation. Some Member States attend as observers.", "Global Compact Board", "116. The Global Compact Board provides strategic and policy advice for the initiative as a whole, makes recommendations to the GCO, participants and other stakeholders, and oversees the implementation of the Integrity Measures. The Board provides strategic direction but cannot alter basic agreements or impose specific implementation plans, since major decisions require participants’ approval.[52] The Board is chaired by the Secretary-General and is comprised of 20 members plus two ex-officio ones appointed by the Secretary-General on the recommendation of the Board Nominating Committee established by the Secretary-General, based on input from the GCO. The members represent four constituencies (business, civil society, labour and the United Nations) and are elected in a process which is neither democratic nor inclusive. They are appointed “top-down,” and small- and medium-sized enterprises (SMEs), core United Nations agencies and Member States are not represented. Furthermore, the Vice-Chair of the Board is also Chair of the Global Compact Foundation, and ultimately represents the interests of business.", "117. The Board meets twice a year, which is insufficient to ensure adequate guidance and monitoring. In addition, there is no follow-up and reporting at subsequent meetings on the few recommendations that it adopts, or modalities to put them to higher governance body with greater decision-making power. Although the Board’s issue-related working groups have contributed, to some extent, to the operationalization of the ten principles, they remain weak and their output is still scarce, partly because they have only recently been created.", "Inter-Agency Team", "118. The Inter-Agency Team is composed of ILO, OHCHR, UNDP, UNEP, UNIDO and UNODC. Despite its mandate over transnational corporations and the high representation of these companies in the Global Compact, UNCTAD is not part of the Team.", "119. Prior to the creation of the Board, these programmes and agencies took part in the work of the former Advisory Council, and reviewed the work programme of the GCO. However, over the years, their strategic influence has declined and from a coordination and governance tool, the Inter-Agency Team is now a mere information exchange forum held in the margins of events such as the ALNF.", "120. Team members expressed their discontent with their current involvement to the Inspectors, complaining that ad-hoc requests from the GCO arrive throughout the year, and do not follow a communicated or negotiated work plan, which makes resources and workload planning, as well as consistent input impossible. An example of inadequate involvement of the core agencies by the Global Compact Office can be seen in the preparation of the Caring for Climate/C4C Constitution, which was prepared with little reference to UNEP, even though in communication material it was first presented as a joint initiative with UNEP.” Only later was UNEP effectively involved in the initiative.", "121. One Team member commented that the governance structure should distinguish between general promotional outreach carried out by the Global Compact, and technical expertise on the underlying normative instruments of the Principles. This would prevent the recurrence of some experiences where tools, platforms and guides addressing certain principles were prepared “with little or no knowledge” of standards and substantives issues. This agency was in favour of reconvening the Advisory Council of United Nations agencies and proposed that rules of engagement and interaction between the Council, on the one hand, and the Board and the GCO, on the other hand, be adopted which “could lead to a new and empower relationship” between them and “ensure that the GCO activities complement and strengthen, and not compete with or undermine, the work of the United Nations agencies.”", "122. In contrast, one United Nations programme that is closely related to, and highly supportive of, GCO activities considered that the “report underestimates the challenge, under values the achievement and ignores the positive effect of the GC in supporting UN agencies to develop their own initiatives.”", "123. From the foregoing, it is clear that opinions diverge considerably, which is an indication that the current concept and partnership of the core agencies within the Inter-Agency Team needs to be revisited and improved.", "Global Compact Donor Group", "124. The Donor Group, which consists of donor countries, was incorporated into the Global Compact governance structure in 2008. It is called on to programme and review the use of contributions made to the Trust Fund. However, in reality, its bi-annual meetings have a purely informative role.", "Leaders Summit", "125. Held every three years, the Leaders Summit was intended to be the Global Compact’s highest decision-making forum. However, the 2004 and 2007 summits were a public-relations event attended by a relatively small number of participants, where few strategic decisions were adopted.", "Local networks and the Annual Forum", "126. The ALNF and the regional network meetings constitute useful fora for sharing experiences and lesson learned. The governance function of the networks is exercised through working groups that formulate recommendations which are submitted to the ALNF. However, most local networks are too weak to exercise governance and their contribution is mainly in the area of capacity building.", "127. In conclusion, the new structure has put the GCO at the centre of decision-making and has weakened, rather than reinforced, the initiative’s governance framework. Four years after its introduction there are still no effective solutions in sight to the main governance challenges of how to balance participants’ diverse interests, promote local ownership of the initiative, and increase the number of participants while ensuring qualitative engagement and sound brand management.", "128. In the Inspectors’ view, there are three levels at which effective governance of the Global Compact can and should be exercised and reinforced: the local level, through the ALNF; the global level, through an elected and more inclusive Board; and the system level, through an interactive Inter-Agency Team. The following recommendations have been formulated to enhance the effectiveness of the current decision-making framework in a more transparent and inclusive manner.", "Recommendation 12 \nThe Secretary-General should reinstate the advisory role of theInter-Agency Team.", "Recommendation 13 \nThe Secretary-General should encourage local networks to nominate candidates to the Global Compact Board.", "Recommendation 14 \nThe Secretary-General should propose to the General Assembly the participation of Member States representatives and SMEs on the Global Compact Board.", "129. With respect to recommendation 12 above, the Strategic Planning Unit/EOSG indicated that since the GC is a voluntary initiative, the Secretary-General can encourage, but cannot mandate the nature of agency involvement. Notwithstanding the above statement, the Inspectors are of the opinion that their recommendation is advisable and possible, given the prominent role exercised by the Secretary-General in the initiative that originated in, was led by and further supported by the Executive Office. As for recommendation 13, although local networks have the right to vet nominations to the Board since January 2009, the Inspectors do not consider that it has the same “democratic” and inclusive intent as the proposed possibility of nominating candidates to the Board. Regarding recommendation 14, the explanation that “Member States have not been able to agree on how best to implement such an idea” anticipates any decision of the General Assembly in that respect. Furthermore, the assertion that SMEs are already represented by the International Organization of Employers is also valid for large companies which are represented on the Board, and therefore insufficient to preclude representation of about half of the business participants in the initiative. The Inspectors therefore reinstate their recommendations.", "G. Evaluation of the Global Compact Initiative", "130. Evaluation, both external and internal, is a mandated activity of the United Nations Secretariat. Its ultimate goal is to provide stakeholders with a systematic and objective assessment of the efficiency, effectiveness and impact of their activities in relation to the objectives set, and allow for reflection and corrective action.[53]", "131. Since its introduction in 2000, the Global Compact initiative was subject to one external evaluation in 2004 performed by McKinsey & Company, and one performance audit, conducted in 2006 by OIOS.", "132. The McKinsey evaluation concluded that while the Global Compact had established itself as an important voice in the corporate citizenships chorus, and was well placed to provide meaningful impetus for corporate change due to its solid roster of participants and dynamic local networks, inconsistent participation and divergent and unfulfilled expectations eroded its impact and threatened its credibility. The report also argued that a diffuse agenda of activities had prevented the Global Compact from following up on most major meetings to ensure that working groups delivered the promised end products.[54]", "133. The OIOS audit pointed to the need to clarify the GCO mandate, work programme, location, internal governance structure, fundraising mechanisms, reporting of in-kind donations, staff appointments and reporting requirements for COPs.", "134. The GCO, for its part, has published annual reviews since 2007. Although the review surveys were intended to benchmark participants’ engagement over the years, no comparative progress analysis was done in the 2008 annual review. However, the Inspectors were informed that following a review of the methodology and performance indicators, subsequent reviews would allow benchmarking.", "135. Furthermore, these reviews, which are based on the findings of surveys of business participants, are basically a self-assessment exercise of business participants’ progress in implementing the ten principles. The majority of survey respondents to date have been European companies which have already adopted corporate social responsibility policies. Non-business participants, which tend to be more critical of the initiative, have never been surveyed. As a result, the surveys do not depict an independent, unbiased and comprehensive picture of the Global Compact successes and failures, opportunities and risks. The Inspectors are of the opinion that other performance review mechanisms should be put in place to increase effectiveness and accountability, as recommended below.", "Recommendation 15 \nThe GCO should include in its Annual Review a self-assessment of itsperformance in relation to approved objectives and indicators, asdefined in its programme budget and mandate.", "Recommendation 16", "The GCO should periodically commission independent evaluations of the impact of its activities in relation to approved objectives and indicators, as defined in its programme budget and mandate.", "H. Conclusion", "136. On the whole, the Global Compact has been successful in legitimating the progressive and generalized engagement of the United Nations with the private sector, and promoting new partnerships whose effectiveness is yet to be proved. However, it has been less successful in making business participants translate their commitment into real policy change. To date, the initiative has enjoyed unusual administrative independence, showing a high level of creativity compared to other United Nations offices. But in substance it has been more output- than impact-oriented.", "137. In concrete terms, its success should be measured by reference to its “mandate” and the acknowledgement it receives from the General Assembly in advancing United Nations values and responsible business practices within the United Nations system and among the global business community, including through an increased number of local networks;[55] and in promoting the sharing of best practices and positive action through learning, dialogue and partnerships.[56]", "138. In advancing responsible business practices within the United Nations system, the Global Compact has contributed to securing the commitment of the United Nations Joint Staff Pension Fund (UNJSPF) to the Principles of Responsible Investment, and promoting environmentally friendly business practices – although positive steps in the latter area cannot be fully attributed to its actions, and much remains to be done in the area of sustainable procurement. Furthermore, its actions have been limited to the United Nations Secretariat, since it does not have authority over other United Nations system organizations.", "139. If success in promoting responsible business practices among the global business community is to be measured by the number of local networks whose participants have committed to embracing the ten principles, then the Global Compact has fulfilled its mandate. If, however, actual implementation of the ten principles by participating companies is the marker, then there is no way of measuring success given that there is no system in place to make an independent assessment, since the survey is a self-assessment by business participants themselves and COPs are not verified. Alternatively, if success is to be measured by the networks’ sustainability, qualitative engagement and actions, then the initiative’s outcome is mixed. Likewise, the increasing number of COPs could be counted as a measure of success, however, if their comprehensiveness and quality is the yardstick, then progress has been moderate.", "140. With regard to promoting best practices and positive action through learning dialogue and partnerships, the initiative could be considered successful only if the number of activities, meetings and workshops publications, tools and partnerships entered into is counted. But if the outcome and impact of these activities and partnerships, and the use of available tools by end-users are assessed, then again the initiative has only been moderately successful.", "141. Without a clear and articulated mandate, the GCO, in its all-embracing approach, has extended its activities beyond the four areas (human rights, labour, environment and anti-corruption) of the ten principles into other fields such as financial markets, conflict prevention, peace-building and partnerships towards achieving the MDGs. This all-embracing approach offers opportunities for success, but also risks of under-achievement. On the one hand, the GCO is indeed abreast of most key issues on the United Nations agenda, but on the other hand, such broad orientation may entail a loss of focus and effectiveness.", "142. Given the special status, intense activity, increasing resources received, and the risks associated with the all-embracing approach, the Inspectors consider that there is room for improvement. They are of the opinion that the GCO should refocus on its initial vision, recentre its priorities, address the issue of its self-expanded mandate so as to better secure the benefit the United Nations anticipate from the initiative, and achieve the respective expectations of Member States, participants and other stakeholders. In this regard, the Inspectors welcome the assurances given to them that many of these issues will be addressed in the new strategy.", "Annex I", "OVERVIEW OF ACTION TO BE TAKEN BY PARTICIPATING ORGANIZATIONS ON JIU RECOMMENDATIONS", "JIU/REP/2010/9", "[TABLE]", "Legend: L: Recommendation for decision by legislative organ", "E: Recommendation for action by executive head", ": Recommendation does not require action by this organization", "Intended impact: a: enhanced accountability; b: dissemination of best practices; c: enhanced coordination and cooperation; d: enhanced controls and compliance;", "e: enhanced effectiveness; f: significant financial savings; g: enhanced efficiency; o: other", "* In the case of the CEB, action to be taken by the Chair.", "** Covers all entities listed in ST/SGB/2002/11, other than UNCTAD, UNODC, UNEP, UN-HABITAT, UNHCR, UNRWA.", "[TABLE]", "Legend: L: Recommendation for decision by legislative organ", "E: Recommendation for action by executive head", ": Recommendation does not require action by this organization", "Intended impact: a: enhanced accountability b: dissemination of best practices c: enhanced coordination and cooperation d: enhanced controls and compliance", "e: enhanced effectiveness f: significant financial savings g: enhanced efficiency o: other", "* In case of the CEB, action to be taken by the Chair.", "** Covers all entities listed in ST/SGB/2002/11 other than UNCTAD, UNODC, UNEP, UN-HABITAT, UNHCR, UNRWA.", "[1] See JIU/REP/99/6 and A/54/700 on “Private Sector Involvement and Cooperation with the UN system,” and JIU/NOTE/2009/1 on “Corporate sponsoring in the United Nations system: Principles and Guidelines.”", "[2] Ibid., paragraphs 34 and 35.", "[3] Press release SG/SM/6881 of 1 February 1999", "[4] The Universal Declaration of Human Rights, the ILO Declaration on Fundamental Principles and Rights at Work, the Rio Declaration on Environment and Development and the United Nations Convention Against Corruption (UNCAC).", "[5] A/RES/55/215 of 21 December 2000, A/RES/56/76 of 11 December 2001, A/RES/58/129 of 19 December 2003, A/RES/60/215 of 22 December 2005, A/RES/62/211 of 19 December 2007, and A/RES/64/223 of 19 December 2009.", "[6] A/RES/56/76 (2001).", "[7] A/RES/58/129 (2003).", "[8] A/RES/60/215 (2005).", "[9] OIOS Audit No. AH2006/520/01-Performance Audit of the Global Compact Initiative.", "[10] A/RES/62/211 (2007).", "[11] Global Compact Annual Review 2008, page 8.", "[12] A/RES/64/223.", "[13] Global Compact brochure, available at www.unglobalcompact.org", "[14] See The Global Compact’s next phase, 6 September 2005.", "[15] A/64/6 - Part 1, Section 1: Overall policymaking, direction and coordination, page 5.", "[16] Final Report, Meeting of the Global Compact Board, New York, May 2008.", "[17] ST/SGB/2009/14", "[18] UNDEF was established by the Secretary-General in July 2005 to support democratization processes through a competitive grant-making facility to civil society organizations engaged in promoting democratic values.", "[19] A public charity created in 1998 by Ted Turner to manage his US$1 billion donation to support United Nations causes and activities over a 10-year period. The agreement was renewed in 2008 until 2017 to raise an additional US$1 billion.", "[20] A/57/387 of 9 September 2002, pages 25-26.", "[21] Global Compact Annual Review 2008, page 8.", "[22] According to the 2009 World Investment Report, there were 82,000 transnational corporations plus 810,000 foreign affiliates in 2008 (as per UNCTAD/PRESS/PT/2009/051 of 17 September 2009).", "[23] Global Compact Annual Review 2007.", "[24] Assessing the Global Compact’s Impact, McKinsey & Company, May 11, 2004, page 11.", "[25] The evaluation and reporting mechanism used by Global Compact participants.", "[26] Social vetting in the context of the Global Compact is the process of providing feedback to participants on COPs. It allows the media, civil society and the public at large to review, challenge and/or validate information given by companies on progress made in implementing the ten principles.", "[27] Bruno, Kenny and Joshua Karliner, Earthsummit.Biz: The Corporate Takeover of Sustainable Development, 2002, page 53.", "[28] Ibid., page 40.", "[29] CorpWatch, “UN Global Compact with Business ‘lacks teeth’ – NGOs,” available at www.corpwatch.org", "[30] Bruno, Kenny and Joshua Karliner, Earthsummit.Biz: The Corporate Takeover of Sustainable Development, 2002, page 52, 53.", "[31] OIOS, Performance Audit of the Global Compact Initiative, AH2006/520/01, paragraph 32.", "[32] Integrity Measures, Global Compact website.", "[33] Final Report, Meeting of the Global Compact Board, New York, 24 July 2009.", "[34] See www.unglobalcompact.org.", "[35] Briefing paper, Meeting of the Global Compact Board, 4 April 2007, page 19.", "[36] Global Compact Annual Review 2008, page 53.", "[37] Overall reporting performance was rated between 0.3 and 0.5 on a scale of 1 for comprehensiveness, and between 0.4 and 0.6 for quality.", "[38] Global Compact Annual Review 2008.", "[39] According to a GCO review of 1,230 COPs submitted between 2006 and 2009, 53 per cent were stand alone reports, and 42 per cent were integrated in standard company communications.", "[40] A/RES/62/211, paragraph 9.", "[41] See www.globalcompactfoundation.org.", "[42] Donor countries as at May 2010: China, Colombia, Denmark, Finland, France, Germany, Italy, Republic of Korea, Norway, Spain, Sweden, Switzerland and the United Kingdom.", "[43] Financial year end for the Trust Funds is 31 December, and 31 March for the Foundation.", "[44] OIOS Audit Report 2006, paragraphs 53 to 60.", "[45] United Nations Global Compact Local Network Report 2008, page 42.", "[46] Madagascar, Mauritius, Tunis, Macedonia.", "[47] Cameroon, Cote d'Ivoire, Egypt, Gulf States, Israel, Jordan, Kenya, Lebanon, Madagascar, Malawi, Mauritius, Mozambique, Croatia, Cyprus, France, Georgia, Germany, Nigeria, Senegal, Sudan, Syria, Tunisia, Uganda, Argentina, Bolivia, Canada, Chile, Greece, Hungary, Kosovo, Latvia, Macedonia, Netherlands, Portugal, Costa Rica, Dominican Republic, El Salvador, Jamaica, Panama, Peru, United States, Uruguay, Australia, Azerbaijan, Bangladesh, China, India, Russia, Serbia, Slovakia, Slovenia, Indonesia, Japan, Kazakhstan, Malaysia, Nepal, Pakistan, Sri Lanka, Thailand, Vietnam, Albania, Armenia, Austria, Belarus, Bosnia and Herzegovina, Bulgaria, Spain, Switzerland.", "[48] www.unglobalcompact.org", "[49] United Nations Global Compact Local Network Report 2008, pages 5 and 41.", "[50] The centre for Sub-Saharan Africa is no longer operating.", "[51] In 2008, 51 per cent of business participants responding to the Global Compact survey reported being engaged in cross-sector partnerships.", "[52] www.unglobalcompact.org, update of 6 November 2008.", "[53] Managing for results: a Guide to Using Evaluation in the United Nations Secretariat, June 2005.", "[54] McKinsey & Company, Assessing the Global Compact’s Impact, May 11, 2004, page 16.", "[55] See A/RES/62/211, paragraph 9.", "[56] See A/RES/60/215, paragraph 9." ]

[ "Sixty-sixth session", "——", "^ (*) A/66/50.", "Item 141 of the preliminary list*", "Joint Inspection Unit", "United Nations partnerships with private enterprise: the role and functioning of the Global Compact", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the members of the General Assembly the report of the Joint Inspection Unit entitled “Partnership between the United Nations and private enterprise: the role and functioning of the Global Compact” (JIU/REP/2010/9).", "A/66/137", "Partnership between the United Nations and private enterprise: the role and functioning of the Global Compact", "Prepared by", "Papa Louis Fall Mohamed Mounir Zahran", "Joint Inspection Unit", "Geneva 2010", "[Chuckles]", "United Nations", "A/66/137", "Chinese.", "I'm not sure I'm going to make it.", "Partnership between the United Nations and private enterprise: the role and functioning of the Global Compact", "Prepared by", "Papa Louis Fall Mohamed Mounir Zahran", "Joint Inspection Unit", "[Chuckles]", "United Nations, Geneva 2010", "JIU/REP/2010/9 The state of the environment in the United Nations system organizations", "The Unit included in its 2009 programme of work a review of the role and functioning of the Global Compact. The Global Compact was an initiative of the former Secretary-General at the World Economic Forum held in Davos in 1999. The initiative seeks to promote among its business participants the 10 agreed principles for responsible corporate citizens, which include the universal values of the United Nations in four areas of action: human rights, labour, the environment and the fight against corruption. The purpose of this review is to consider the role and success of the Global Compact, as well as the risks arising from the use of the name of the United Nations by companies that may benefit from their relationship with the United Nations without having to prove their adherence to its core values and principles. The report identifies best practices, lessons learned and challenges ahead and makes recommendations for the effective, transparent and accountable management of this type of corporate partnership. The report covers the activities of the Global Compact Office from its inception until April 2010, with a particular focus on the last two biennial programmes.", "Main findings and conclusions", "The Global Compact initiative was initially attached to the Office of the Secretary-General; it then rapidly evolved, with the support of the Secretary-General, into an office with an increasing number of staff, locations, funding, responsibilities and ambitious goals. This initiative operates within a “special regime” but lacks an adequate regulatory and institutional framework. Against this background, the Global Compact has significantly increased its sponsors and expanded its outreach activities to the private sector, further legitimizing United Nations linkages with the private sector over the past few years. However, the absence of a well-defined mandate has resulted in a low focus and impact. The absence of adequate access conditions and an effective monitoring system to measure whether participants actually implement the principles has led to some criticism and posed a risk to the reputation of the Organization. The special structure of the Global Compact Office violated existing rules and procedures. In the 10 years since its establishment, despite the positive activities of the Office and the increasing resources it had received, the results had not been clear and the risks remained. The Inspectors are therefore of the view that there is a need for the involvement of Member States to provide the Office with a clear mandate in order to rethink its action and refocus its work. Since the Global Compact Office (GCO) is funded by contributions from a small number of donor countries and business participants, the Inspectors are of the view that the General Assembly should direct the Secretary-General to define more clearly the functions of the GCO in order to avoid situations in which outside groups or actors deviate from agreed strategic objectives and commit themselves to profit-making actions that could harm the reputation of the United Nations.", "No regulatory and institutional framework", "Under the agenda item “Towards global partnerships”, the General Assembly adopted six resolutions, which, while recognizing the value of the Global Compact, did not give “full authority” to the initiative. Since its activities were financed from extrabudgetary resources, the GCO needed not only a clearly defined mandate but also a long-term strategic framework.", "Unlike other United Nations bodies, the functions and reporting lines of the GCO are not published in the Secretary-General ' s bulletin and therefore need to be clearly defined in line with the functions of UNOP/UNFIP. In many respects, the functions of the GCO are similar to those of UNOP/UNFIP. To some extent, there has been a duplication of responsibilities and resources in dealing with the work of the private sector within the Secretariat. The Inspectors are of the view that the two offices should be merged to report only to the Under-Secretary-General.", "Participants were not effectively screened and monitored", "The Global Compact ' s introduction process, which seeks to become the largest multi-stakeholder initiative in the world, does not provide for rigorous selection and therefore does not facilitate high-quality participation. In addition, the absence of specific targets has led to imbalances in the number, type and regional representation of business participants and local networks, which need to be corrected.", "A commitment to respect the principles only when participating in this initiative is not a guarantee of “good performance” for participants in the future. The voluntary nature of the commitment and the “learning” premise underlying the initiative do not provide sufficient guarantees for performance. While the implementation of “ethical restraint measures” has increased the reliability of the initiative, the “progress report” as a reporting and self-assessment mechanism has not provided adequate and effective monitoring and verification of the actual implementation of the principles by participants. Without a more transparent handling of complaints, the initiative cannot have the “deterrence” that many people need and demand.", "Special management, funding structure and recruitment procedures", "As a result of the special management support, funding and status granted by the United Nations (A/RES/62/211), the Global Compact and the GCO have a special status and can operate with greater flexibility in terms of funding and recruitment. In some cases, this has led to the circumvention of existing rules and regulations. For example, GCO staff, consultants and interns were first recruited and rehabilitated without fully complying with the relevant recruitment and promotion procedures. However, efforts to regularize management in recent years have begun to change the situation.", "In the absence of a strong fund-raising strategy, the Office ' s limited and unbalanced funding structure is dependent on contributions from more than 10 donor countries (mostly from Europe) and 10 times more enterprises over the past five years.", "There is no uniform, transparent and clear budget and financial report on GCO income and expenditure under the management of the United Nations Trust Fund (Government contributions) and the Global Compact Fund (private sector contributions).", "The Global Compact Fund not only raised funds for the GCO but also used funds for it, avoiding existing United Nations rules and procedures while implementing the national laws of the host country.", "High-cost and questionable governance", "The new governance structure adopted in 2005 consisted of seven entities; each operated within a multi-centre framework. The absence of central decision-making and the diversity of the membership, responsibilities and meetings of the various entities make this governance structure ineffective, costly and inefficient. Member States are not represented in the Council; for intergovernmental organizations such as the United Nations, this is rare, if not unprecedented.", "Nominations for members of the Board are top-down. The composition of the Board was not inclusive: SMEs and the core United Nations agencies were not represented on the Board. In the absence of the Secretary-General, the meetings of the Council shall be presided over by a non-United Nations person. The Council does not meet as often as required each year and therefore cannot provide sufficient guidance and monitoring.", "With the establishment of the inter-agency working group, the strategic impact of the six core bodies that had actively participated in the work of the Advisory Board (formerly the Council) has diminished. Rather than contributing to coordination and governance, the meetings of the Inter-Agency Working Group have become a mere forum for information exchange, which is attached to other activities.", "The new governance structure weakened (rather than strengthened) the governance framework of the initiative, making the GCO the centre of decision-making.", "Need for regular, unbiased and independent performance assessments", "There is no formal performance reporting mechanism to assess the work of the GCO. The annual review report is based on the findings of business participants and therefore amounts to a self-assessment. Non-business participants were not investigated. As a result, the annual review failed to provide an independent, unbiased and comprehensive picture of the Global Compact ' s successes and failures, as well as risks and opportunities.", "Recommendations", "The present report contains 16 recommendations, of which 4 (recommendations 1, 2, 5 and 8) call for action by the General Assembly; 5 recommendations are addressed to the Secretary-General; and 7 recommendations are addressed to the Global Compact Office.", "The recommendations are aimed at: establishing clear mandates, long-term strategies and responsibilities for the GCO and implementing them (recommendations 1 and 2); combining the GCO and UNOP/UNFIP as one (recommendation 3); correcting the imbalance in the composition of participants and providing for an appropriate selection process (recommendations 4 and 5); strengthening the implementation of “ethical restraints” and accountability in the implementation of the ten principles (recommendation 6); balancing and diversifying public and private financing (recommendation 7); improving transparency in reporting on the overall budget, revenues and expenditures of the GCO and actual recruitment (recommendation 8); improving the effectiveness and self-reliance of local networks, working coherence and geographical representation of regional advisory and focal points (recommendations 9 and 10); focusing on partnerships for the implementation of the ten principles and regularly reviewing their implementation with a view to disseminating best practices (recommendation 11); strengthening the governance structure of the Global Compact through the restoration of the advisory role of the Inter-Agency Working Group, while ensuring more transparent nomination of members of the Board and broad representation of participants (recommendations 12, 13 and 14); strengthening the effectiveness and accountability of initiatives through annual self-performance assessments of the objectives and mandate of the Office ' s activities and regular independent evaluation", "The Inspectors are pleased to note that the Strategic Planning Unit of the Secretary-General's Office of Administration, in its comments of 20 September 2010 on the draft report, stated that “many of the recommendations made by the JIU inspectors reflect the direction that the senior management of the Global Compact and the Secretary-General would like for the initiative to be taken”.", "The Inspectors were also asked to update their assessment of Global Compact activities in the light of developments during the June 2010 Leaders Summit. Unfortunately, these positive developments fall outside the scope and time frame of this review.", "Contents", "Chapter Paragraphs Page", "Executive summary ii", "Abbreviations vii", "Introduction 1 - 9 1", "II. Role of the Global Compact", "Initiatives 10-12 2", "B. Mandate, mission and responsibilities of the Global Compact Office", "C. United Nations Office for Partnerships", "D. Promoting United Nations values and responsible business practices in the United Nations system 33 - 36 8", "III. Functioning of the Global Compact", "Participants 37 - 82 8", "Office 83 - 97 18", "C. Country presence: Global Compact local networks", "D. Regional presence: support centres", "E. Partnerships", "Governance", "G. Evaluation of the Global Compact initiative", "H. Conclusions 136 - 142 29", "Annex", "Summary of action to be taken by participating organizations in response to JIU recommendations", "Abbreviations", "ALNF Annual Local Network Forum CEB United Nations System Chief Executives Board for Coordination", "COP Progress report", "CSOs Civil society organizations", "CSR Corporate Social Responsibility", "DESA Department of Economic and Social Affairs", "DPI Department of Public Information", "FAO Food and Agriculture Organization of the United Nations", "GCLN Global Compact Local Network", "GCO Global Compact Office", "IAEA International Atomic Energy Agency", "ILO International Labour Organization", "IMO International Maritime Organization", "ITU International Telecommunication Union", "JIU Joint Inspection Unit", "MDGs Millennium Development Goals", "NGOs Non-governmental organizations", "OCHA Office for the Coordination of Humanitarian Affairs", "OHCHR Office of the United Nations High Commissioner for Human Rights", "OIOS Office of Internal Oversight Services", "OLA Office of Legal Affairs", "UNCAC United Nations Convention against Corruption", "UNCTAD United Nations Conference on Trade and Development", "UNDP United Nations Development Programme", "UNEP United Nations Environment Programme", "UNESCO United Nations Educational, Scientific and Cultural Organization", "UNFIP United Nations Fund for International Partnerships", "UN-HABITAT United Nations Human Settlements Programme", "UNHCR Office of the United Nations High Commissioner for Refugees", "UNICEF United Nations Children ' s Fund", "UNJSPF United Nations Staff Pension Fund", "UNIDO United Nations Industrial Development Organization", "UNODC United Nations Office on Drugs and Crime", "UNOP United Nations Office for Partnerships", "UNWTO World Tourism Organization", "WFP World Food Programme", "WHO World Health Organization", "Introduction", "1. As part of its programme of work for 2009, the Joint Inspection Unit (JIU) conducted an assessment of the role and functioning of the Global Compact from May 2009 to April 2010 on United Nations-private partnerships.", "2. In view of the growing partnership between the United Nations and private enterprises in recent years, the Unit had reviewed the issue twice. The second review found that there was some misunderstanding within the United Nations system about the purpose and role of the Global Compact initiative; some non-governmental organizations formed the Coalition to Eliminate Private Enterprise in the United Nations, accusing the United Nations of allowing some of the richest major companies to borrow from the United Nations without requiring them to make any new contribution. Other stakeholders considered the initiative to be a success and a milestone in the development of the relationship between the United Nations and the private sector, and that it called on global business leaders to embrace a set of universally recognized principles within their reach and to implement them in areas such as human rights, labour, the environment and the fight against corruption.", "3. These differences of opinion arise because the initiative was conceived as a learning tool rather than as a regulatory tool. Indeed, the Global Compact did not regulate the companies concerned, judge their performance and actions and enforce its principles. It was therefore paradoxical that it could not ensure that companies that borrowed the image and name of the United Nations effectively respected its fundamental principles.", "4. The present report reviews the role and success of the Global Compact in promoting the 10 agreed principles for responsible corporate citizenship among various stakeholders. The report also discusses the sensitive issue of companies using the United Nations name to benefit from their relationship with the United Nations without having to prove their adherence to its core values and principles. The report identifies best practices, lessons learned and challenges ahead and makes recommendations for the effective, transparent and accountable management of this type of corporate partnership.", "The present review covers the activities of the New York-based Global Compact Office (GCO), its approximately 90 local networks worldwide and five regional centres. The report also reviews the financial mechanism of the Global Compact Fund and the activities of the United Nations Office for Partnerships (UNOP).", "In accordance with the internal standards, guidelines and working procedures of JIU, the methodology used in the preparation of this report included a preliminary desk review, interviews with over 50 United Nations officials and participants in the initiative, questionnaires/general surveys and in-depth analysis of the results of the survey. Electronic questionnaires in three languages were sent to 90 Global Compact local networks (GCLN); 43 per cent of responses were received. Two investigations of business and non-business participants failed to take place, as the GCO refused to provide the relevant linkage on the grounds of confidentiality and “subject fatigue”. Instead, GCO provided the results of its own recent survey of business participants. As a result, the Inspectors were not able to independently obtain views from participants on the GCO performance and success of the initiative.", "7. Participating organizations and other interlocutors were requested to comment on the draft report and to give it due consideration in the preparation of the report. In accordance with regulation 11.2 of the JIU statute, consultations were held with other Inspectors prior to the finalization of the report in order to examine its conclusions and recommendations using the collective wisdom of the Unit.", "In order to facilitate the processing of reports and the implementation and monitoring of JIU recommendations by the organizations concerned, annex I contains a table indicating whether the reports are submitted for action or for information only. The table shows the recommendations relevant to each organization, specifying whether the recommendations require a decision by the organization ' s legislative or governing body or whether the organization ' s executive head can act on them.", "The Inspectors express their appreciation to all those who assisted them in the preparation of this report, and in particular to those who participated in the interviews and the investigations and so willingly shared their expertise.", "II. Role of the Global Compact", "Initiatives", "The Global Compact initiative was launched by former United Nations Secretary-General Kofi Annan at the World Economic Forum in Davos on 31 January 1999. He said:", "“This year, I would like to ask you to join me in raising our partnership to a higher level. I suggest that you, the business leaders gathered in Davos, join us at the United Nations in proposing a global compact with shared values and principles that will bring a human face to the global market. [...] I appeal to [...] to embrace, support and develop a set of core values in the areas of human rights, labour standards and environmental practices.", "Why those three areas? [...] Because they're all your areas of influence [...] In these areas, international agreements have identified universal values [and] that open global markets, particularly the multilateral trading system, could be threatened if we do not act.", "Basically, we have two ways of doing this. The first approach is through the international policy arena. You can encourage States to provide resources to us, the multilateral institutions in which they are already participating, as well as the rights necessary to fulfil their mandates. [...] The second approach is to take direct action to promote these values within your own business. Many of you are major investors, employers and producers in [...] countries of the world. This power offers great opportunities; it also entails heavy responsibilities.", "If you need help in incorporating these agreed values and principles into mission statements and business practices, United Nations agencies [...] are ready to assist you. We are ready to promote dialogue between you and other social groups in order to help find viable solutions to the real concerns they raise. [...] More importantly, our work in the political sphere may help to promote and maintain an environment conducive to trade and open markets.” [3]", "11. As a result, the Global Compact was created and nine of the four areas of action (from four important United Nations instruments) related to human rights, labour, the environment and anti-corruption were adopted (and the tenth on anti-corruption was added in 2004). [4] These areas of focus/principles include some of the universal values of the United Nations as set out in the Preamble and Article 1 of the Charter of the United Nations. Unfortunately, they do not include the pursuit of peace and development.", "Ten principles", "Human rights", "Principle 1. Businesses should support and respect the protection of internationally recognized human rights;", "Principle 2. Businesses should ensure that they are not complicit in human rights abuses.", "Labour", "Principle 3. Enterprises should support freedom of association and effective recognition of the right to collective bargaining;", "Principle 4. Enterprises should support the elimination of all forms of forced and compulsory labour;", "Principle 5. Businesses should support the effective abolition of child labour;", "Principle 6. Enterprises should support the elimination of discrimination in employment and occupation.", "Environment", "Principle 7. Businesses should support a precautionary approach to environmental challenges;", "Principle 8. Businesses should take initiatives to promote more environmentally responsible practices;", "Principle 9. Businesses should encourage the development and diffusion of environmentally friendly technologies.", "Combating corruption", "Principle 10. Businesses should oppose any form of corruption, including extortion and bribery.", "12. The Global Compact became operational in 2000. The Global Compact was initially attached to the Office of the Secretary-General. It rapidly evolved into a regular office with a growing number of staff, office locations, funding, specific responsibilities and ambitious objectives. This initiative operates within a “special regime” but lacks an adequate regulatory and institutional framework. Over the past few years, the Global Compact has significantly increased its sponsors and expanded its outreach activities to the private sector.", "B. Mandate, mission and responsibilities of the Global Compact Office", "Tasks that need to be clearly defined", "Since 2000, the General Assembly has adopted six resolutions under the agenda item “Towards global partnerships”. [5] While recognizing the value of the Global Compact, these resolutions did not give the initiative a clear mandate or “overall authority”.", "14. Initial resolutions recognized the importance of the Global Compact as a multi-stakeholder initiative for good corporate responsibility;[6] took note of the work of the United Nations on partnerships, such as the Global Compact;[7] and encouraged the GCO to promote best practices and positive action by enterprises. [8]", "15. In 2007, the Office of Internal Oversight Services, following an audit, recommended that the Secretary-General request the General Assembly to establish a formal mandate that would fully legitimize the role of the GCO and provide a basis for assessing its performance. Since then, the General Assembly has recognized “the Global Compact as an innovative public/private partnership for the promotion of United Nations values and responsible business practices”, while recognizing the special structure of the Office and encouraging it “to continue its efforts, in particular by continuing to disseminate lessons learned from partnerships”. [10] The resolution is seen by the GCO as authorizing the renewal and expansion of its mandate. [11] The last resolution adopted in 2009 [12] is substantially the same. The Inspectors believe that there is a need for a clearer mandate for the GCO.", "Unlike other United Nations bodies, the functions of the GCO were not published in the specific bulletin of the Secretary-General. In the absence of such an official document, the Office identified the Global Compact as a specific framework for businesses that have a policy platform and commitment to long-term implementation of responsible business practices; a leadership initiative to harmonize the Global Compact ' s operations and strategies through 10 universally accepted principles; and a voluntary initiative to strengthen regulatory implementation and promote innovation through public accountability, transparency and voluntary reporting. [13] As the Global Compact enters its second phase in 2005, the GCO reaffirms its mission and goals: to be the world ' s most inclusive voluntary initiative; to promote responsible corporate citizenship; to ensure that the Global Compact and its principles are an integral part of the world ' s business operations and activities; and to encourage and facilitate dialogue and partnership among key stakeholders in support of the ten principles and more ambitious United Nations goals (e.g.: The Millennium Development Goals (MDGs); ensuring that business partnerships with other social actors play a key role in achieving the United Nations goal of a more long-term and equitable global economy. [14]", "17. Following a review of all General Assembly resolutions on global partnerships, it was found that there was no mention of the GCO ' s own goals: to encourage and facilitate dialogue and partnership among key stakeholders in support of the ten principles and more ambitious United Nations goals (e.g., the Millennium Development Goals); or of its own mission to become the most inclusive voluntary initiative in the world aimed at promoting responsible corporate citizenship. Those objectives go beyond the relevant General Assembly resolutions. While it is true that the GCO activities are funded through voluntary contributions from a small number of donor countries and business participants, the Inspectors are of the view that Member States should define the role of the Office and that the Secretary-General should define his responsibilities in accordance with the strategic direction provided by Member States. This is necessary in order to avoid situations in which external groups or actors deviate from agreed strategic objectives and commit themselves to profit-making actions that may harm the reputation of the United Nations.", "18. The implementation of the following recommendation will contribute to enhancing the effectiveness and accountability of the Global Compact.", "Recommendation 1 The General Assembly, at its sixty-sixth session, should establish a clear mandate for the Global Compact Office and request the Secretary-General to publish within one year a bulletin outlining its responsibilities in accordance with the mandate given to the GCO.", "The Strategic Planning Unit of the Executive Office of the Secretary-General (EOSG) stated that “the Secretary-General and the Global Compact Office welcome such a development”.", "Need for a results-based long-term strategic framework", "20. The United Nations programme budget for the biennium 2010-2011 [15] does not set out strategic priorities, activities and performance indicators for the GCO, as its activities are funded from extrabudgetary resources. As a result, only the relevant estimates of trust fund expenditure were published.", "21. Since 2005, the GCO has also initiated the preparation of annual activity plans. The Office has also prepared an overview of the 2006 budget and proposed allocations for 2008-2010.", "The 2008 Global Compact Board (see para. 110 below) discussed the draft report “The strategic direction of the United Nations Global Compact 2008 - 2009”. The draft report is more a historical overview of the Global Compact initiative than a formal strategy document. Council members felt that work was needed on the identification and discussion of objectives and related priorities. They also acknowledged that there had been proposals for a “dozens” strategy, but decided to prepare and disseminate a new draft report in view of the possible loss of focus of the Global Compact.", "23. It is not clear whether this document has been finalized or replaced by the above-mentioned proposals for the allocation of resources for 2008-2010. Although the EOSG Strategic Planning Unit asserted that the proposed allocation constituted a long-term strategy, the Inspectors are of the view that, as a two- to three-year strategy document, the proposed allocation or plan cannot provide the long-term strategic objectives required by the GCO. Such a document would, at best, be considered a medium-term strategy, and it would put fund-raising above strategy (which is contrary to United Nations practice). Short- and medium-term goals should be derived from long-term objectives and mandates approved by Member States; they should be set out in long-term strategic documents prepared through transparent and consultative decision-making processes. Unfortunately, there was no such key framework that would give a strategic focus to the Global Compact initiative.", "Bearing in mind the large number of activities carried out by the GCO in recent years, the many initiatives put forward and the wealth of tools and information published, the Inspectors believe that such a long-term strategy is certainly necessary in order to focus the Global Compact on a few objectives and targeted activities for greater impact.", "25. The implementation of the following recommendation will enhance the effectiveness and impact of the Global Compact.", "Recommendation 2", "The General Assembly should request the Global Compact Office to develop and submit a long-term strategic framework for its immediate consideration. Such a framework should outline the short-, medium- and long-term objectives of the GCO, in line with its mandate.", "C. United Nations Office for Partnerships", "Overlap or complementarity", "26. Pursuant to General Assembly resolution A/RES/60/1, the United Nations Office for Partnerships (UNOP) was established in 2006 to enhance United Nations system coherence in operational relations with global partners and to support the United Nations Democracy Fund (UNDEF). [18] The Office also manages the United Nations Fund for International Partnerships (UNFIP), which was established by the former Secretary-General in 1998 to serve as the interface between the United Nations and the United Nations Foundation. [19]", "27. UNOP is attached to the Department of Management. The Director of Administration of the Office reports to the Secretary-General, and his day-to-day operations are supervised by the Under-Secretary-General. UNOP provides technical advice to various private sector and civil society partners on partnership opportunities with the United Nations. It also provides advisory services to United Nations agencies and programmes in the areas of partnership building, advocacy and resource mobilization strategies. It leads Global Compact participants to work with the United Nations system to identify and develop opportunities for partnerships with non-State actors.", "28. On the surface, it appears that the GCO objectives (to encourage and facilitate dialogue and partnership among key stakeholders in support of more ambitious United Nations goals) overlap to some extent with the role of UNOP. However, a careful study reveals that the two offices promote different types of partnerships. The GCO focuses on “setting standards” and promoting the Millennium Development Goals (e.g., “Climate Concern”, “CEO's Water Conservation Task”, “Principles for Responsible Investment” and “Principles for Responsible Management Education”), while UNOP focuses on specific operations: assisting in building partnerships and financing projects related to the Millennium Development Goals; this role complements the role of the GCO-mandated standards.", "The GCO is also responsible for bringing together the views of all relevant United Nations entities and updating United Nations guidelines on partnerships. In coordination with UNOP/UNFIP, it convenes the annual meeting of the United Nations private sector focal points and prepares the annual report of the Secretary-General to the General Assembly on “Towards global partnerships”. In addition, the GCO has developed accountability tools for partnerships; provided training opportunities through the United Nations Staff College and other relevant entities; organized information and experience-sharing meetings; and managed the United Nations system partnership website (previously managed by UNFIP).", "The Inspectors are of the view that the above activities should fall within the mandate of UNOP/UNFIP and not the mandate of the GCO. In this regard, the Inspectors recall that former Secretary-General Kofi Annan, in his 2002 report “Strengthening of the United Nations: an agenda for further change”, addressed action 20, proposing that the GCO and the UNFIP be merged to establish a partnership office with dedicated funding. While recognizing the importance of addressing partnerships with the private sector through a specialized agency of the United Nations, the Secretary-General envisaged different roles for both bodies: the GCO promoted the implementation of the 10 principles; and the UNFIP mobilized and mobilized resources for partnerships and philanthropic organizations. Although the proposed partnership office had been established several years later, the GCO and UNFIP had not been merged and no single focal point had been established to liaise with the private sector. It appears that UNOP/UNFIP has again proposed that the two offices be merged and submitted to the current Secretary-General for consideration. However, no decision has been taken.", "The Inspectors believe that the proposal of the former Secretary-General is justified; it is recommended that it be repeated. The implementation of the following recommendation would create greater synergies and enhance coordination and cooperation in the area of partnerships between the United Nations system and the private sector.", "Recommendation 3", "The Secretary-General should, as previously suggested, combine the GCO and UNOP to strengthen their complementarities and respective roles by clearly defining their respective responsibilities, jurisdictions, monitoring tools and reporting requirements, so that the GCO focuses on the implementation of the 10 principles on private enterprise, while UNOP focuses on developing United Nations partnerships with private enterprise and related capacities.", "While the EOSG Strategic Planning Unit indicated that “this recommendation would contribute to the consolidation of the United Nations partnership with the private sector”, it pointed out that, if the two entities were merged, a number of issues would have to be considered, including the need for an appropriate level of officials (perhaps an Assistant Secretary-General) for the merged entity, while ensuring that funds are available outside the annual and biennial programme budgets of trust funds. Another view objected to this view, stating that “from a programme and budgetary point of view, the merged entity may have economies of scale in carrying out its work on non-State actors; this is the underlying purpose of the JIU recommendations”.", "D. Promoting United Nations values and responsible business practices within the United Nations system", "Since 2004, the promotion of “doing business” and responsible business practices within the United Nations system has been a concern of the GCO, which was raised three years after General Assembly resolution 62/24.", "In his 2007 report entitled “Strengthening cooperation between the United Nations and all relevant partners, in particular the private sector”, the Secretary-General noted that “GCO has also promoted the implementation of its ten principles in the work of the United Nations”, while reiterating that progress has been made in a number of areas, including: the renovation of United Nations Headquarters, which has significantly reduced energy consumption; and the commitment of the United Nations Joint Staff Pension Fund to the Principles for Responsible Investment. The report acknowledges that further efforts are required to ensure the continued application of the principles in the United Nations system.", "In its 2008 Annual Review, GCO noted that 10 principles had been incorporated into the responsibilities of the procurement department. However, United Nations procurement officials informed the Inspectors that, while they promoted and supported the ten principles, they did not apply them in procurement, as the existing rules and regulations only set out the principles of best value for money, equality, transparency and international competition. They do, however, confirm that there is a tendency for long-term procurement to combine economic considerations (best value for money) with environmental and corporate social responsibility considerations, but that this trend has not yet been realized, as the General Assembly has yet to take a decision. The Inspectors believe that these efforts should be sustained, including in the area of procurement, and that the GCO should continue to report in its Annual Review on concrete actions taken to promote and implement the Global Compact principles within the United Nations system.", "36. The Procurement Division (PD) further clarified that all product providers registered with the United Nations Global Marketplace (UNGM) must commit to implementing the 10 principles. It should be noted, however, that the Procurement Division, on the advice of the General Legal Division, decided to consider the Global Compact as a learning tool and objective rather than as a concept that had to be implemented, since the Secretariat had neither the appropriate mechanism nor the resources to monitor compliance with the principles by product providers.", "III. Functioning of the Global Compact", "Participants", "According to the GCO, the Global Compact is the largest corporate citizenship policy initiative in the world, with participants from 135 countries. [21] In 2009, 7,450 participants were registered in its database; this included 5,670 business participants and 1,780 non-business participants. These figures may seem insignificant in comparison with the number of companies worldwide,[22] but they are quite telling when compared to participation in similar initiatives (e.g. the World Business Council for Sustainable Development and the Global Reporting Initiative).", "The proportion of large companies (35 per cent) is almost the same as that of small and medium-sized enterprises (37 per cent) with fewer than 250 employees, while small enterprises with fewer than 10 employees account for only 4 per cent of participants.", "Figure 1 Participants by type", "[Chuckles]", "Source: Global Compact Local Network Knowledge Sharing website", "Of the large companies, 100 are among the top 500 globally assessed by the Financial Times; [23] 60 are among the top 100 non-financial TNCs in the world listed by UNCTAD. Their participation is crucial, given their size and resources, number of employees, market capital and income. For the GCO, it is a strategic priority to ensure the strong involvement of these large companies and to promote the ten principles within their subsidiaries and supply chains.", "40. With regard to non-business actors, civil society organizations (CSOs) accounted for 8 per cent of participants; business organizations for 7 per cent; and academic institutions for 4 per cent. In contrast, ILO accounts for only 1 per cent. In the CSO, there are few organizations with an international reputation and global reach.", "41. Regionally, Europe has the highest proportion of participants (43 per cent); the Middle East has the lowest share (2 per cent). The participation of North American companies was low (5 per cent), apparently because of their fear of litigation, labour rights and damage to the reputation of the United Nations. [24]", "Figure 2 Participants by region", "[Chuckles]", "Of the top 10 participants, about 50 per cent came from developing/emerging economies such as Argentina, Brazil, Colombia, China, Mexico and Singapore. Participation varied considerably from country to country. Globally, French and Spanish enterprises have the highest participation rates (almost 10 per cent).", "Figure 3 Top 10 business and non-business participants", "[Chuckles]", "Source: Global Compact Local Network Knowledge Sharing website", "Quantity vs. quality", "During the “start-up phase” of the initiative, the GCO adopted the right strategy: to make every effort to strengthen and diversify its participatory base. As a result, the number of signature participants (especially non-business participants) has gradually increased, especially over the past three years.", "44. At present, the question is no longer how many new actors are involved, but the purpose of their composition and participation. At present, the important issues are: a rapid increase in the number of signatories; a serious commitment; a significant impact; and how to accomplish these tasks. A realistic and feasible limit on the number of participants is also needed to allow for effective dialogue and social evaluation.", "45. The GCO addressed these issues in its Proposals for Appropriations for 2008-2010. The allocation proposal identifies two types of business participants: a small number of “big companies” that view the principles of the initiative as strategic opportunities, and a large number of “starters”. The paper found that the challenge was to encourage the morale and active participation of large companies while ensuring that the Global Compact provided an introductory level platform for “starters”. Five immediate goals are proposed, three of which relate to the development of the initiative and the quality of participants. Targets for the successful implementation of the proposed allocation are set (see table below):", "Table 1 Global Compact Office allocation proposals for 2008-2010 - targets and indicators", "5 per cent annual increase in the number of business participants and local networks to enhance public accountability and transparency of participants 25] Increase to 70% by 2010 and 20% of local networks participate in social review [ Increased number of participants signing specific initiatives to enhance the exchange of best practices Increased number of participants participating in specific working groups Increased number of public/private partnership projects that adhere to 10 principles Improved self-assessment by participants", "46. While the proposed goals and targets are effective, the GCO strategy does not fully address the key issues of quality control and wider impact. In addition, no measures have been taken for any specific category to address the current imbalance in membership.", "47. In this regard, 85 per cent of the respondents to the JIU survey believe that the number of participants should continue to increase, while 76 per cent agree with a higher-quality commitment.", "The Global Compact Board discussed the issue of “quantity versus quality” in 2008, but was unable to take a decision because of the different expectations of various stakeholders. The Inspectors believe that this key strategic decision must be taken without delay if the effectiveness and impact of this initiative are to be enhanced. The following recommendations represent that view.", "Recommendation 4", "The Global Compact Office, in consultation with all stakeholders, should seek to adopt a policy decision on the categories and regional composition of participants in order to ensure an appropriate balance between the quantity and quality of Global Compact participants, while enhancing the universal application and relevance of the ten principles.", "In response to the above recommendations, the Strategic Planning Unit noted that policy decisions on the composition of participants were “not in keeping with the nature of voluntary initiatives” and that “the Global Compact seeks to mobilize and encourage the participation of all regions and all business sectors of the world”. The Inspectors are of the view that the decision to volunteer participants would not necessarily prevent the GCO from making a positive effort to better mobilize certain regions and certain categories of non-business actors that are not currently represented in order to achieve inclusiveness and universality. In its comments on the draft report, ILO supported a more inclusive approach to ILO, which “may enhance understanding and support for the implementation of labour principles by business organizations”.", "Participation in the Global Compact", "50. The reasons for participation in the Global Compact vary. The main reason for business involvement is to increase confidence in the business and influence public opinion and relevant national laws. For business associations, the main reason for participation is to safeguard the interests of the enterprise. For some NGOs and ILO, the initiative provides an opportunity to influence business performance and hold businesses accountable for their commitments to the Global Compact. Academic participation in the Global Compact is often due to their perception of the initiative as a learning tool to stimulate corporate social responsibility thinking. The goal of the United Nations is to promote the implementation of the ten principles by enterprises. However, for the United Nations system as a whole (with the exception of `breachers' such as Plan UNDP and UNICEF, which have begun to establish such partnerships before United Nations action), the Global Compact opens an entry point for the private sector.", "51. Participants also had different expectations of the Global Compact. This expectation has proved to be a source of disappointment and criticism for the initiative. Overall, the initiative is a “victim of its success”. Gradual expansion has led to demands for more rigorous scrutiny and accountability of enterprises. The GCO approach to managing the initiative is said to be practical and good at taking advantage of opportunities. Although the GCO has adopted a set of ethical restraints to reduce the risk of borrowing names, it has not taken a strong position on the selection of participants and the handling of complaints.", "52. Some non-governmental organizations and ILO found the Global Compact ' s inclusive approach, its voluntary nature and its reluctance to take on a more normative regulatory mandate to be disappointing. On the other hand, most enterprises are reluctant to be subject to any kind of monitoring.", "53. In order to participate in the Global Compact, the chief executive officer of the enterprise must send a personal letter of commitment to the Secretary-General. The letter must state that the enterprise is committed to making the ten principles an integral part of its corporate strategy, day-to-day operations and organizational culture. Businesses must also ensure that they publicly embrace the Global Compact and its principles; issue annual progress reports; and describe actions taken to implement the ten principles. While the requirements for letters of commitment have become more stringent in recent years, they do not provide sufficient safeguards to ensure that 10 principles are mainstreamed by enterprises in their corporate social responsibility policies or are promoted in their supply chains and subsidiaries.", "54. Non-business participants must also: provide a hand-written commitment to the ten principles; ensure participation in the Global Compact; participate in local networks; participate in partnerships and special initiatives; and publish comments on the business in their progress bulletins.", "55. The Inspectors wish to point out that Global Compact officials informed them during interviews that, as of 2009, new applicants had been reviewed using the World Inspection database. Even so, the Inspectors were unable to determine what criteria were used by the GCO in selecting participants. Global Compact officials argued that business involvement was not in itself a guarantee of good performance. They reiterated that the initiative was aimed at learning, dialogue and partnership; its role was to assist participating enterprises in implementing the ten principles and to provide them with the tools and resources to share progress on commitments.", "56. Unlike the GCO, some United Nations agencies believe that partnerships with business actors can pose reputational risks and thus provide for a rigorous selection process for potential partners. UNICEF appears to have developed a good set of procedures, including prior confidential screening by external companies based on agreed eligibility criteria (company reputation, record of compliance with human rights and child labour principles, previous or current litigation, etc.). Approximately 100 companies are screened each year, and their ratings are valid for one year. PFP is responsible for this; problematic cases are referred to the Coordination Committee, which deals with them under specific mandates.", "57. Some organizations automatically exclude companies (companys that traffic alcohol, alcohol, arms and certain foodstuffs) that WHO resists. These organizations do not wish to be partners or core agencies of the Global Compact. In fact, the criteria for partner eligibility of these organizations are stricter than those contained in the revised United Nations Guidelines for Cooperation between the United Nations and the private sector. The Guidelines state that the United Nations should not enter into partnerships with enterprises that have not always committed to the principles of the Global Compact. Indeed, the absence of monitoring of the enterprises concerned is often considered to be a fatal weakness of the initiative;[27] “This is a serious shortcoming that allows companies that commit serious human rights violations to take free advantage of the Secretary-General's reputation”. [28] Non-governmental organizations such as ActionAid, Greenpeace, Amnesty International and the Berne Declaration criticized the initiative as “no means of deterrence”;[29] while Business Watch claimed that the International Chamber of Commerce was the main partner and co-designer of the Global Compact; it advocated non-participation in any form of monitoring. Some of the participants interviewed also questioned why some United Nations Member States had been criticized for failing to uphold the values of the organization and that companies participating in the Global Compact could be trusted when they were accused of failing to honour their commitments.", "58. In sum, there is concern that the Global Compact has been undermined by the fact that some businesses are not making real commitments and are using the Global Compact and the United Nations for their own benefit.", "The Inspectors are not in a position to determine whether these challenges are true, but share the view that there are real nominal risks that need to be addressed. Currently, the GCO tracks and internalizes media reports on the Global Compact, but does not analyse its content. Although the GCO claims that the impression of this initiative has improved in recent years, this opinion has never been reflected in official documents. Moreover, as the GCO does not regulate, promote or monitor the conduct and actions of enterprises, responding to complaints is not a primary concern of the Office.", "60. The Inspectors believe that trust needs to be based on performance measures. The principles of the Global Compact are those that guide behaviour and must therefore be translated into specific standards and actions; their implementation should be monitored through special mechanisms. In this regard, 79 per cent of the local networks that had participated in the JIU survey stated that they had been consulted on the acceptance of new enterprises, of which only 33 per cent favoured a more rigorous selection process.", "61. With regard to the participation of NGOs, OIOS, in its 2006 audit report, expressed concern about: Non-governmental organizations could enter the United Nations system directly through the Global Compact without the need for a screening and accreditation process, which would normally be administered by the Department of Economic and Social Affairs and the Division of Public Information. At that time, GCO replied that a recently recruited NGO coordinator would promote the development of a mechanism to facilitate and monitor the participation of non-business participants. [31] The Inspectors are unable to measure progress in this regard.", "In summary, the Inspectors are of the view that minimum selection criteria should be established; all enterprises and non-business organizations interested in participating in the Global Compact initiative should undergo an introductory check.", "Recommendation 5", "The General Assembly should request that a selection process be established to screen both business and non-business applicants on the basis of pre-established entry criteria in order to reduce the risk of borrowing in nominal terms and to enhance the accountability of the GCO for accepting new participants in the Global Compact initiative.", "63. With regard to the agreement, GCO indicated that it already had a dual screening process for new participants: a global database was used to identify potential concerns; and local networks were asked whether there were any grounds for refusing requests for the participation of the relevant business. It added that enterprises with problems but willing to correct them could participate in the initiative. However, the Global Compact Board is currently considering the pros and cons of implementing a minimum threshold.", "64. The Strategic Planning Unit/EOSG noted that the screening of applicants, both business and non-business, on the basis of pre-established entry criteria was contrary to the fundamental principle of the establishment of the Global Compact as a voluntary organization. Noting that there may be a contradiction between this recommendation and the initiative, the Inspectors are of the view that it would be better for the General Assembly to take a decision on an issue that concerns the credibility of the United Nations itself.", "Ethical restraint measures", "The Global Compact Assessment Report, published by the McKinsey Global Institute in 2004, called for the implementation of ethical restraints. Following consultations with the Office of Legal Affairs (OLA), the GCO finalized the first version of the ethical restraint measures in 2005.", "66. These measures are intended to enhance the accountability of participants in three areas: (1) misuse of the Global Compact ' s name and logo; (2) failure of relevant enterprises to submit progress reports; and (3) addressing complaints of corporate full or serious violations of Global Compact principles.", "67. As the GCO claims that it is subject to the voluntary nature of the initiative and that the business is opposed to any form of monitoring, no significant progress has been made in the implementation of these measures, except for the de-listing of those enterprises that have not submitted progress reports. In this regard, OLA suggested to the GCO in 2005 that while the Global Compact could provide guidance and assistance to the enterprises concerned to act in accordance with their own commitments to the principles of the Global Compact, it should be left to the parties themselves to resolve the issue of complaints against participating enterprises.", "Global Compact officials interviewed by the Inspectors acknowledged that they were not fully satisfied with the current state of implementation of ethical restraints. They stated that the Global Compact Board had been requested in 2009 to review a proposal to introduce new requirements for the deadline for delisting without reporting and the frequency of reporting in the areas covered by the Principles. However, the Inspectors are of the view that the issue at hand is not the development of new provisions, but the need for effective dissemination and implementation of existing ones. This view was expressed by other United Nations officials interviewed, as well as by comments received by the Inspectors on the draft report.", "69. Twenty-three per cent of the respondents to the JIU survey reported that they did not know what was meant by ethical restraint. Forty-six per cent of respondents felt that stricter measures should be applied to complaints received. Forty-three per cent of the respondents said that they had been consulted about the de-listing of businesses. Only 18 per cent indicated that they had been involved in the processing of complaints involving business participants.", "Complaints of full or serious violations of principles by business participants", "The GCO notes that “in order to preserve the reputation, quality and achievements of the Global Compact and its participants, a transparent approach is necessary to address credible complaints of full or serious violations of the Global Compact's overall objectives and principles”. [32]", "71. The GCO provides guidance to promote high-quality participation and assist participants in their actions in line with their commitments. However, the GCO would not be involved in any legal action; nor would it investigate media reports of violations. Under the existing procedures, GCO should first encourage dialogue between the parties concerned when receiving any written complaint. However, if the enterprises concerned do not cooperate within two months, they may be delisted as “unwilling to communicate”.", "The Inspector was informed by GCO that 73 cases had been received to date, of which only 29 had been handled through the facilitation of the dialogue process (because not all of the complainants wished to resolve the issue through dialogue; and because some matters were not suitable for the dialogue process). [33] The Inspectors were unable to obtain specific figures on the number and type of complaints received, processed or resolved by the GCO and the number of de-listed enterprises.", "The Inspectors are of the view that more comprehensive information and transparency are needed in the disclosure of statistics on complaints and action taken to that end.", "Progress report (COP)", "74. As mentioned above, the progress report is a self-assessment and reporting mechanism for Global Compact business participants. Reporting is an explicit commitment of the enterprises that sign the initiative. [34] Only business participants are required to submit annual progress reports, which are then posted on the Global Compact website and made available online to other stakeholders and the general public.", "75. Initially, due consideration was not given to the submission of progress reports. The proportion of participants reporting was rather low (35 per cent in 2002; 40 per cent in 2003). [35] In 2004, the GCO presented its first set of policy guidelines on progress reports, as more and more attention was being paid to the effectiveness of the initiative and to the need for a more rigorous review of participating enterprises. This policy was introduced in 2005 and subsequently strengthened in 2006, 2008 and 2009. The GCO and local networks disseminate the policy through coaching materials, courses and workshops. As a result, some 76 per cent of participants submitted progress reports in 2008; this represents a significant increase compared to previous years. [36]", "76. A recent review of 40 progress reports submitted by major companies by the Gile Foundation found significant differences in the comprehensiveness and quality of information on principles. [37] With regard to these principles, environmental responsibilities are the most comprehensive and of the highest quality, followed by discrimination and anti-corruption, freedom of association, child labour and forced labour. [38]", "The Inspectors reviewed a sample of progress reports (submitted by enterprises of all sizes) and assessed them in accordance with the requirements of the Guide to Progress Reports. Two thirds of the 58 reports reviewed met all the requirements. All reports reported on the implementation of nine principles. The least-reported principles relate to child labour and the fight against corruption. The lowest ratings were for freedom of association, child labour and forced labour. The two principles of maximum reporting and highest rating relate to preventive measures to meet environmental challenges and enhance environmental responsibility. Overall, the results of the JIU review of the various types of enterprises are similar to those of the Gile Foundation ' s review of large companies.", "The Inspectors ' review found that some participants were duplicated or misclassified; some progress reports included in all required categories on the Global Compact website were in fact unsatisfactory; and vice versa. The review also found that progress reports included in the annual report were less clear than other reports. [39] The findings of these reviews indicate that the review needs to be improved. In addition, the availability of progress reports in any language makes the problem more difficult.", "GCO stated that it did not have the capacity to examine the information provided in the progress report. Although the Board has discussed the issue of independent validation/certification of progress reports, there is no agreement on this and therefore the reputational risk to the initiative continues.", "Of the local networks that responded to the Inspectors' survey, 71 per cent indicated that they followed up and provided training to non-reporting enterprises; 34 per cent provided feedback after the submission of the report; and 25 per cent conducted peer reviews during the process. It should be noted that SMEs face additional difficulties in submitting progress reports because of insufficient capacity and resources and lack of specific guidance materials, including in the official languages of the United Nations. One network formally complained that most communications were in English.", "81. The local network in Spain is an example of best practice. It has prepared detailed guidelines in Spanish, including materials for small businesses, and has produced an online progress report template. The website reviews progress reports in terms of clarity, comprehensiveness and compliance with reporting requirements before posting them online. Forty to 50 progress reports are reviewed and evaluated annually within the network, and “notable” reports are selected.", "82. In conclusion, more should be done to improve the quality of reporting. Local networks should be persuaded to conduct peer reviews of progress reports, while civil society organizations and academia should be encouraged to actively undertake “social reviews”. In addition, large companies should be required to report on the progress of their subsidiaries in the implementation of the 10 principles or to submit direct progress reports. Finally, as recommended by the 2009 Annual Local Network Forum (ALNF), civil society organizations should also be requested to submit progress reports; a template should be produced in all official languages of the United Nations.", "Recommendation 6", "The Secretary-General, in his capacity as Chairman of the Global Compact Board, should propose specific measures to enhance accountability in the implementation of ethical constraints for consideration by the Board, including: (a) more rigorous review of progress reports by local networks and civil society; (b) the type and frequency of progress reports monitored by the GCO; (c) progress reports submitted by non-business participants; and (d) more active and transparent handling of complaints.", "Office", "Location of the office and its reporting audience", "In the organizational structure of the United Nations, until 2008, the GCO was administratively and substantively part of the Executive Office of the Secretary-General. Management responsibilities were transferred to the Executive Office of the Department of Management in 2008. The strategic direction and direction of the programme of work remains with the Office of the Secretary-General. The Executive Director of the Global Compact is accountable to the Secretary-General through the Assistant Secretary-General for Policy Planning.", "84. Some officials of the Global Compact believe that communication with the Office of the Secretary-General is essential to the success of the initiative; it should therefore be retained. However, in view of the criticism of the initiative, the Inspectors are of the view that maintaining a close link between the GCO and the Secretary-General would pose a reputational risk to the United Nations. Moreover, since the Global Compact has evolved from a mere initiative of the Secretary-General to a regular office, there is no need to maintain direct “contact” with the Office of the Secretary-General. The Inspectors are therefore of the view that, in view of the proposal to merge the GCO with UNOP/UNFIP, the GCO reporting line should be changed to Under-Secretary-General.", "Funding", "Prior to 2006, the GCO was funded almost entirely from the annual voluntary contributions of the Governments concerned. The Global Compact Foundation was established in 2006 to raise annual voluntary contributions from business participants.", "In 2007, the General Assembly, in its resolution 62/211, recognized that the Global Compact “special funding structure is specifically designed to reflect the diversity of its stakeholders”. [40]", "87. Since 2005, only 7 per cent of programme support costs have been charged for contributions to the Global Compact and 13 per cent for other voluntary contributions. Five per cent of the fees charged were retained by the GCO and two per cent were paid to the Foundation for services.", "88. Although the number of donor companies rose sharply from 42 in 2006 to 475 in 2009,[41] the number of donors remains at only 10 (mostly European). Such a limited fund-raising base and an imbalance in the geographical representation of donor countries may affect the legitimacy of the GCO in the long run. In this regard, the Inspectors recognize the efforts of the GCO to increase contributions from Member States, although this issue is not addressed in the GCO appropriation proposals for 2008-2010. The document estimated a budget of $14,700,000 for the three-year period, an increase of 15 per cent by the end of the three-year period. It is estimated that funding from Member States will remain stable and that the increased budget will come from the contributions of participating enterprises to the Foundation.", "The income and expenditure of the GCO are administered by the United Nations Trust Fund (Government contributions) and the Global Compact Foundation (private sector contributions), respectively. The Inspectors were unable to find a complete overview of the Global Compact budget and expenditure in the relevant proposed programme budget, the United Nations financial audit report or the annual Global Compact review report. The Inspectors add to the figures in the financial report of trust funds and foundations [43] to determine that total income from 2008 to 2009 was approximately US$ 16,000,000; total expenditure was about US$ 12,600,000, which is significantly higher than the estimate in the 2008 - 2009 allotment proposal ($9,500,000). The Inspectors believe that there is a need for consistent, comprehensive and transparent reporting on GCO resources, at least in the annual Global Compact review report.", "The Inspectors are concerned about the limited fund-raising base of Member States relative to the increasing private sector contributions; the absence of a uniform and clear financial reporting system; and the significant reduction in programme expenditure charged on voluntary contributions to the GCO. They considered that ensuring transparent and balanced public and private contributions was essential to safeguard the reputation, credibility and interests of the Global Compact and the United Nations, as well as to dispel the impression that they were funded and controlled by private enterprises.", "Recommendation 7", "The Global Compact Office should pursue a strong fund-raising strategy to increase and diversify contributions from Member States, while achieving more balanced public and private contributions in order to enhance effectiveness, transparency and accountability.", "Global Compact Foundation", "91. According to a memorandum of understanding signed in 2006, the main function of the Global Compact Foundation is to raise funds to support the work of the GCO and other activities aimed at promoting the initiative. In reviewing the activities of the Foundation, the Inspectors found that between 2006 (year of foundation) and 2008, the Foundation had neither staff nor office space. Until November 2008, when the Foundation rented separate premises outside United Nations Headquarters, its finances had been managed by a contract staff member of the GCO.", "The Inspectors were also informed that the funds of the Foundation were spent on the GCO; the expenditure included: payment of salaries for former GCO staff (who were responsible for a number of initiatives such as the Principles for Responsible Investment and the Principles for Responsible Management; payment to companies organizing activities for the GCO; printing of publications; and travel of GCO staff to and from meetings at times. In addition, at the end of each year, a portion of the balance ($350,000 in 2008 and $300,000 in 2009) was transferred to the United Nations Trust Fund to cover the operating expenses of the GCO.", "Although General Assembly resolution A/RES/62/211 recognized the GCO “special management and funding structure”, the Inspectors are concerned that these unusual financial arrangements circumvent existing United Nations rules and procedures, as the Foundation, as an entity of the United Nations, is obliged not only to raise funds but also to use them on behalf of the GCO, while complying with the laws of the United States of America.", "GCO preparation", "94. At the time of the JIU review, there was no information on the production of the GCO on the Global Compact website, in its annual report or in other public documents. Based on the data provided, at the time of the JIU review, the GCO had been prepared as follows: 15 fixed-term staff (1D2, 2P5, 3P4, 5P3, 2P2, and 2GS), one permanent staff member, 14 consultants (9 of which were paid from trust funds; 5 were paid by the Foundation), 3 contractual staff (paid by the Foundation and responsible for the implementation of the Principles for Responsible Investment and Principles for Responsible Management Education) and 4 unpaid interns; a total of 37 interns.", "95. In 2006, the OIOS audit found irregularities in the recruitment of short-term GCO staff. [44] The report notes, inter alia, that consultants were not selected through competition; their contracts were extended beyond the authorized period without adequate justification.", "96. In 2008, the Office of Human Resources Management (OHRM) decided to disclose all GCO posts (with the exception of the D2 Director position, as the GCO has been seconded from UNCTAD for 10 consecutive years). Vacancies are posted on the United Nations Galaxy website; only internal staff are recruited. Only two applicants were included in the final list of candidates (one of whom was already working at the GCO). Lastly, all candidates from the GCO had been selected, but their appointment had been limited to the GCO without the approval of the Central Review Board.", "The Inspectors understand that these arrangements are intended to restore to those employees who have worked hard for several years under difficult conditions. They noted, however, that the recruitment of such staff was not in accordance with United Nations rules and regulations. In particular, vacancies at the P2 and P3 levels are reserved for candidates who have passed the national competitive examination or for staff members who have been reassigned. In addition, short-term Professional staff are not eligible for current positions and consultants and interns are not allowed to work in the Secretariat for periods longer than six months immediately after the conclusion of their engagement/internship contracts. However, the GCO assured the Inspectors that United Nations requirements for the recruitment of staff, consultants and interns would be complied with. Therefore, the Inspectors hope that this change will not occur again in the future.", "Recommendation 8 The General Assembly should request the Secretary-General to ensure that appropriate transparency and accountability safeguards are put in place in the context of the special management, support, funding structure and status of the Global Compact, while being flexible in the implementation of existing United Nations rules and procedures. In particular, the Global Compact Office should be requested to include in its annual review information on all its budgetary requirements, actual preparation and all income and expenditure under the administration of the Trust Fund and the Global Compact Foundation.", "C. Country presence: Global Compact local networks", "98. The Global Compact Local Network is an organization of participants in the roll-out initiatives and their principles that gather at the national or regional level. Local networks have grown considerably in recent years, with 90 networks in 2009, 70 per cent of which were “established” and 30 per cent “newly established”. Europe has the largest local network; the Middle East has the least. The number of networks is similar in the Americas, Asia/Oceania and Africa. The number of network participants varies widely: North America has the largest number, followed by Latin America and Europe. In contrast, one fifth of the networks have fewer than 20 participants and some have fewer than 4 or fewer.", "Figure 4 Geographical distribution of networks and participants", "[Chuckles]", "Source: GCLN Knowledge Sharing website", "Figure 5 Local networks with less than 20 participants", "Source: GCLN Knowledge Sharing website", "99. Business participants have the largest representation in networks and their governing bodies. [45] In fact, some networks consist entirely of business participants. By contrast, there are no labour organizations in 76 per cent of the networks. [47] This imbalance raises doubts about the multi-stakeholder nature of the initiative at the local level. Local trade unions should be informed of the establishment of new networks and persuaded to join and become members of steering committees/councils.", "100. In 2004, the Annual Local Network Forum (ALNF) decided to require the Network to meet at least once a year to carry out a certain number of activities and submit an annual report. In this regard, 9 per cent of the JIU respondents reported that they had not held an annual general meeting. Fifty-seven per cent reported that they organized more than three events a year. Activities focused on learning (74 per cent of respondents), followed by outreach (69 per cent) and progress reports (63 per cent).", "101. The number of web-based reports increased from 5 in 2004 to 51 between 2006 and 2007. The number of reports decreased to two in 2008; none in 2009. [48] It is surprising that, unlike business participants, the failure of local networks to submit reports will not be regarded as a “resistance to communicate”. In fact, this provision was abandoned after the use of the web-based knowledge-sharing system in 2009. While the system contains useful data, the Inspectors are of the view that it cannot substitute for a quality assessment of the performance of the network and feedback on the GCO, which is needed to increase efficiency and enhance synergies between the global and local organizations of the Global Compact.", "102. According to the 2008 local network report, network development is uneven: some networks continue to develop while others are shrinking. Funding seems to be very relevant to stability: 50 per cent of the legally established networks are in Asia/Oceania, where 70 per cent of the networks collect contributions. Europe has the lowest percentage of legally established networks (14 per cent); only 17 per cent of these networks collect membership fees. [49]", "103. At the time of the review by the Joint Inspection Unit, UNDP was providing web-site hosting services for three quarters of the network, including: helping to set up the network; covering certain costs; and providing secretarial services and office space for them. However, its ultimate objectives should be: to determine ownership of the network; to disengage UNDP (as it does not have expertise to assist the network); and to involve United Nations programmes and specialized organizations (e.g. ILO, OHCHR and UNEP), as they can provide the necessary technical and normative assistance to the network.", "104. While the increase in the number of networks can be considered a success, the main challenge now is how to ensure that they are inclusive, independent and networked; and how to ensure that they share experiences and participate actively in the implementation of the ten principles. In fact, 60 per cent of the networks surveyed by JIU indicated that they interacted only occasionally with other networks of the Global Compact, while 42 to 64 per cent indicated that they had not been consulted on key strategic decisions, complaints involving participants, business delisting, election of Board members and participation in working groups. Thirty-two per cent of respondents felt that the quality of the feedback they received from the GCO was poor or they did not comment; 76 per cent reported that the information received from the GCO was “high” or “high”.", "In addition, SMEs face additional difficulties in submitting progress reports due to insufficient resources and capacity and the lack of specific guidance materials in languages other than English. Some participants made formal complaints about the use of languages.", "106. The Inspectors are of the view that strengthening local networks will help initiatives to establish grass-roots priorities and thus make a real impact. For the time being, the GCO should not continue to establish new networks, but should develop action plans to strengthen existing ones. The more networks the GCO will have, the more difficult it will be to interact with them and to provide management and substantive feedback.", "107. The implementation of the following recommendation will help to enhance the effectiveness of local networks.", "Recommendation 9", "The GCO should develop a plan of action to provide more effective guidance to local networks on how to achieve self-reliance in the implementation of the ten principles, taking into account their needs, including the need for linguistic diversity.", "D. Regional presence: support centres", "The GCO has established sectoral or specialized support centres at the global and regional levels. There are currently five centres (two global and three regional), two in Europe; one in North America; one in Latin America; and one in Asia. [50] These centres have different objectives, activities and funding arrangements; most of them are independent. They work with GCO but are not affiliated with GCO.", "109. Based on the interviews conducted by the Unit with officials of the four centres and the survey responses, the centres have different structures, objectives, funding modalities, budgets and areas of interaction. These centres were established from 2005 to 2008 to: establish/strengthen local networks in their respective regions or worldwide; provide analytical/research capacity; organize activities; and provide funding. Their activities are financed by voluntary contributions from UNDP and from Governments or private foundations. Their budgets range from $500,000 to $1.5 million. They usually communicate with the GCO by e-mail (the interaction is generally considered satisfactory). They also had some exchanges with other networks in their regions; also at the ALF meetings; and sometimes with other support centres.", "These centres appear to have divergent views on the governance structure of the Global Compact; some consider it “good” and others “too loose”. They suggested that the governance of the Global Compact at the local level should be business-led rather than UNDP-led; governance at the local level should be more “democratic”. With regard to the participation and commitment of participants, the centres favoured some form of screening or due diligence when reviewing new applications. The de-listing of non-compliant businesses was seen as a correct action in terms of accountability, but more needed to be done in that regard; at the same time, positive performance should be rewarded and the Global Compact should not be turned into a complaint-dependent initiative. They also felt that, while public disclosure was key to continuous improvement, the focus should not be exclusively on reporting, but on implementation at the same time. Finally, they felt that the shortcomings of the network and the lack of United Nations support at the country level affected the implementation of the 10 principles at the local level.", "The Inspectors are of the view that the regional hubs of these support centres should be fully utilized to create synergies between local and global organizations and to facilitate interaction among networks. To ensure better regional representation, similar centres should be established in Africa.", "Recommendation 10", "A more balanced geographical representation and a more coordinated approach to the work of the global/regional support centres should be ensured in order to create synergies between global and local organizations, while strengthening cooperation and coordination among the centres and with regional centres and networks in the same region.", "E. Partnerships", "The Global Compact Office has coordinated, participated in and/or promoted a number of partnership initiatives initiated by the Secretary-General that involve the dissemination of best practices and positive action, such as the Global Reporting Initiative, the Global Responsible Leadership Initiative, the Principles of Education for Responsible Management, the Principles of Responsible Investment, Concern for Climate, the Chief Executive Officer's Water Task and “Who cares about winning and losing”. Most of these initiatives fall within the mandate of the GCO to promote the implementation of the ten principles worldwide. At the time of the Inspectors ' review, they had not been able to make a visible impact because they had just begun implementation. However, the GCO considers these initiatives to be successful. The Inspectors are of the view that an independent evaluation of the exchange of experiences on current partnerships is desirable before new partnerships are identified.", "The GCO also encourages participants to participate in partnerships aimed at advancing other United Nations goals, such as the Millennium Development Goals. [51] This partnership has gone beyond the implementation principles and the GCO mandate on “Exchanging lessons learned from partnerships”. Indeed, these partnerships have wider and more concrete implications. The Inspectors believe that it is more appropriate to promote these partnerships within the mandate of UNOP/UNFIP.", "Recommendation 11", "The GCO should focus on developing a global partnership to promote the implementation of the ten principles and periodically reviewing it in order to disseminate best practices and lessons learned.", "Governance", "114. The governance structure of the Global Compact was adopted in 2005; implemented in 2006; revised in 2008. The governance structure consists of seven entities: the Leaders Summit, local networks, ANLF, the Global Compact Board, GCO, the Inter-Agency Working Group and the Global Compact Donor Group. Each entity operates within a “multi-centre” framework, with no central decision-making but with different memberships, responsibilities and meetings.", "In the view of the GCO, the governance mandate is “easy”, but in the Inspector's view the opposite is true because so many entities, participants and meetings are involved. Such governance structures are costly and questionable. There were no representatives of Member States on the Global Compact Board, and a number of Member States were present as observers. The main strategic direction of the Global Compact is provided by such a council. This is also “unique” for intergovernmental organizations such as the United Nations.", "Global Compact Council", "116. The Global Compact Board provides strategic and policy guidance for the entire initiative; makes recommendations to the GCO, participants and other stakeholders; and oversees the implementation of ethical restraints. The Council provides strategic direction, but it cannot change the basic agreement or enforce a specific implementation plan, as the main decision requires approval by the participants. [52] The President of the Council is the Secretary-General. The Council shall consist of 20 members, plus two ex officio members appointed by the Secretary-General on the recommendation of the Council on nomination. The Nomination Committee was established by the Secretary-General on the advice of the GCO. Council members represent four categories of participants (business, civil society, labour and the United Nations). The procedure for electing Council members is neither democratic nor inclusive. They were appointed “top-down”. SMEs, United Nations core agencies and Member States were not represented on the Board. In addition, the Vice-President of the Council is the President of the Global Compact Foundation and ultimately represents business interests.", "117. The Board meets twice a year and is therefore unable to ensure guidance and monitoring. In addition, the few recommendations adopted by the Council are neither followed up nor reported upon at subsequent sessions, much less provided for their submission to higher management bodies with greater decision-making power. While, to some extent, the Council ' s thematic working groups have contributed to the operationalization of the ten principles, they are still weak and do not achieve significant results, partly because they have only recently been established.", "Inter-Agency Working Group", "The inter-agency working group is composed of ILO, OHCHR, UNDP, UNEP, UNIDO and UNODC. Although UNCTAD ' s mandate involved transnational corporations and their broad representation in the Global Compact. However, it was not a member of the Working Group.", "Prior to the establishment of the Council, these programmes and agencies participated in the work of the former Advisory Committee and were responsible for reviewing the work programme of the GCO. Over the years, however, their strategic impact has diminished, and the inter-agency working group has been reduced from a coordination and governance tool to an information exchange forum attached to activities such as the ALNF.", "120. Members of the Working Group expressed to the Inspectors their dissatisfaction with the current status of participation. They complained that the GCO often failed to comply with the agreed work plan and made special requests, which resulted in their being unable to plan resources and workload and to make planned inputs. One example illustrates the inappropriate involvement of the Global Compact Office with the core agencies. Although “Climate Concern/C4C Constitution” was introduced in the communication materials as an initiative of the GCO and UNEP, UNEP was rarely mentioned in the preparation of the “Constitution”. It was only later that UNEP participated effectively in the initiative.", "121. A member of the Working Group commented that the governance structure should distinguish between general outreach activities undertaken by the Global Compact and expertise on the basic normative instruments of the ten principles. This would prevent the recurrence of the development of tools, platforms and guidelines on certain principles in the context of “basic or no understanding” of standards and substantive issues. The Inter-Agency Working Group supported the re-establishment of the Advisory Committee on United Nations Agencies; and proposed the adoption of provisions on participation and the Board's interaction with the Global Compact Board and the GCO, which “could lead to a new and mandated relationship and “ensure that the activities of the GCO complement and strengthen the work of the United Nations agencies, not compete with them or undermine them”.", "On the contrary, a United Nations agency that is closely associated with and very supportive of the activities of the GCO considers that “the report underestimates the challenges, understates achievements and ignores the positive impact of the Global Compact in supporting United Nations agencies to develop their own initiatives”.", "123. It is clear from the above that there are significant differences of opinion. This also points to the need to re-examine and improve the current concept and partnership of the core agencies within the inter-agency working group.", "Global Compact Donor Group", "124. A donor group of donor countries was included in the governance structure of the Global Compact in 2008. The donor group was requested to plan and review the use of contributions to trust funds. In practice, however, its biannual meetings have only played an advocacy role.", "Leaders Summit", "125. The Leaders Summit, which is held every three years, is the Global Compact ' s highest decision-making forum. However, the summit meetings of 2004 and 2007 were a public relations event with a relatively small number of participants and few strategic decisions were adopted.", "Local networks and annual forums", "126. ALNF and regional network meetings constitute an appropriate forum for the exchange of lessons learned. The Forum manages the network through working groups that develop recommendations and submit them to the ALF. However, most local networks do not have the capacity to manage and their contribution is mainly in the area of capacity-building.", "127. In summary, the new governance structure has placed the GCO at the centre of decision-making, weakening (rather than strengthening) the governance framework of the initiative. Four years after the implementation of the governance structure, there is still no effective way to address the main governance challenges: how to balance the different interests of participants; driving initiatives at the local level; and increasing the number of participants while ensuring high-quality participation and brand management.", "The Inspectors believe that the Global Compact can and should be effective in governance at three levels: at the local level (through ALNF); at the global level (through a selected and more inclusive Board); and at the system level (through an interactive inter-agency working group). The following recommendations are made to enhance the effectiveness of the current decision-making framework in a more transparent and inclusive manner.", "Recommendation 12 The Secretary-General should resume the advisory role of the inter-agency working group.", "Recommendation 13 The Secretary-General should encourage local networks to nominate candidates for the Global Compact Board.", "Recommendation 14 The Secretary-General should propose to the General Assembly that representatives of Member States and small and medium-sized enterprises be invited to participate in the Global Compact Board.", "129. With regard to recommendation 12 above, the Strategic Planning Unit indicated that, as the Global Compact was a voluntary initiative, the Secretary-General could encourage, but could not provide for institutional involvement. Nevertheless, the Inspectors are of the view that their proposal is justified and feasible, as the Secretary-General has played a leading role in this initiative, which began with the Office of the Secretary-General and later under its leadership and further support. With regard to recommendation 13, while local networks have had the authority to review the Council's nominations since January 2009, the Inspectors are of the view that it is not possible to be “democratic” and inclusive, as in the proposed procedure for the nomination of candidates for the Council. With regard to recommendation 14, the explanation that “the Member States could not agree on how best to implement such an idea” was already foreseen for any decision by the General Assembly in that regard. Moreover, the assertion that SMEs are already represented in IOE applies only to large companies represented on the Board and is not sufficient to exclude the representation of about half of the business participants in the initiative. The Inspectors therefore insist on their recommendations.", "G. Evaluation of the Global Compact initiative", "130. The conduct of internal and external evaluations is an activity mandated by the United Nations Secretariat. The ultimate objective of the assessment is to conduct a comprehensive and objective assessment of the efficiency, effectiveness and impact of stakeholder activities, based on the objectives set, and to reflect and take corrective action accordingly. [53]", "Since the Global Compact Initiative was launched in 2000, the McKinsey Global Institute conducted an external evaluation in 2004; OIOS conducted a performance audit in 2006.", "132. The McKinsey assessment concluded that the Global Compact, with its many participants and dynamic local networks, made its own voice heard in corporate citizens ' chorus and was a powerful driver of corporate reform, but that participation in instability and expectations and failure to implement undermined its impact and threatened its credibility. The report also argued that the lack of concentration of activities had prevented the Global Compact from following up on most of the major conferences and from ensuring that the Working Group provided the planned end products. [54]", "133. The OIOS audit report noted the need to clarify the mandate of the GCO, its work programme, location, internal governance structure, funding mechanisms, reporting on in-kind contributions, staff appointments and requirements for progress reports.", "134. Since 2007, the GCO itself has published annual review reports. Although over the years these reports were designed to establish benchmarks for participation, no comparative progress analysis was provided in the 2008 annual review. However, the Inspectors were informed that, following a review of the methodology and performance indicators, subsequent reviews would establish benchmarks.", "135. In addition, the reviews were prepared on the basis of a survey of business participants, essentially a self-assessment by business participants of progress made in the implementation of the ten principles. To date, most of the survey targets European companies that have adopted CSR policies. Non-business participants, who are often critical of the initiative, have never been investigated. As a result, the survey failed to provide an independent, unbiased and comprehensive picture of the Global Compact ' s successes and failures, as well as of opportunities and risks. The Inspectors are of the view that, in order to enhance effectiveness and accountability, other performance assessment mechanisms should be used, as recommended below.", "Recommendation 15", "The GCO should include in its annual review a self-assessment of its performance, in accordance with approved targets and indicators, as stipulated in its programme budget and mandate.", "Recommendation 16", "The GCO should periodically commission an independent body to assess the impact of its activities, in accordance with the provisions of its programme budget and mandate, on the basis of approved targets and indicators.", "H. Conclusions", "136. Overall, the Global Compact has been successful in legitimizing the gradual and universal involvement of the United Nations system in private sector activities and promoting new partnerships, but its effectiveness has yet to be proven. However, there has been little success in enabling business participants to translate their commitments into real policy change. To date, the initiative continues to enjoy extraordinary administrative independence, showing a high degree of creativity compared to other United Nations agencies. In essence, however, it is output-oriented, not impact-oriented.", "Specifically, the success or failure of the Global Compact should be measured by the degree to which the “task” has been accomplished and by the General Assembly's endorsement of its work on: Promoting United Nations values and responsible business practices in the United Nations system and the global business community (including increasing the number of local networks); [55] Promoting the exchange of best practices and positive actions through learning, dialogue and partnerships. [56]", "In promoting responsible business practices within the United Nations system, the Global Compact has committed the United Nations Joint Staff Pension Fund to the Principles of Responsible Investment and has promoted business practices that focus on environmental protection (although positive measures in the field of environmental protection cannot be fully attributed to its actions). Much remained to be done in the area of long-term procurement. Moreover, the Global Compact ' s actions were limited to the United Nations Secretariat, as it had no authority to intervene in the affairs of other organizations of the United Nations system.", "139. In promoting responsible business practices to the global business community, the Global Compact has fulfilled its mandate if it is to measure success or failure in terms of the number of local networks that its participants have committed to championing the ten principles. However, success or failure cannot be measured if the actual situation of participating enterprises with regard to the implementation of the 10 principles is rated, as there is no system of independent evaluation; the survey is a self-assessment by business participants; and progress reports are not verified. On the other hand, if success is measured by the sustainability of networks, high-quality participation and action, the results of the initiative are mixed. Similarly, an increasing number of progress reports can count as a measure of success, but progress is modest if measured in terms of their comprehensiveness and quality.", "140. In promoting best practices and positive actions through interactive dialogue and partnerships, the initiatives can be considered successful, given the number of activities, conferences, workshops, publications, tools and partnerships involved. However, an assessment of the results and impact of these activities and partnerships and the use of existing tools by end-users can only be said to have been a measure of success.", "141. In the absence of a clear mandate, the GCO has adopted an all-encompassing approach, moving beyond the four areas (human rights, labour, environment and anti-corruption) of the ten principles and extending its activities to other areas, such as financial markets, conflict prevention, peace-building and partnerships for the achievement of the Millennium Development Goals. Such an all-encompassing approach offers opportunities for success, but at the same time carries the risk of underachievement. On the one hand, it is true that the GCO is involved in most of the key issues on the United Nations agenda; on the other, however, too much attention can lead to problems of less focused and ineffective.", "In view of the special status of the Global Compact, the intense activities, the increasing resources and the risks posed by an all-encompassing approach, the Inspectors believe that there is room for improvement. In their view, the GCO should return to its original focus, redefine its priorities and address its own expansion of its mandate in order to better achieve the desired goals of the United Nations for this initiative and the expectations of Member States, participants and other stakeholders. In this regard, the Inspectors welcome the assurances given to them that many of these issues will be addressed in the new strategy.", "Annex I", "JIU/REP/2010/9 Overview of action to be taken by participating organizations in response to JIU recommendations", "[TABLE]", "Note: L: Recommendation for decision by legislative organ", "E: Recommendation for action by executive head", "□: No action by this organization is required", "Intended impact: a: enhanced accountability; b: dissemination of best practices; c: enhanced coordination and cooperation; d: enhanced control and compliance; e: enhanced effectiveness; f: significant financial savings; g: enhanced efficiency; o: other", "* For CEB, action is taken by its President.", "** Covers all entities listed in ST/SGB/2002/11 (UNCTAD, UNODC, UNEP, UN-HABITAT, UNHCR, UNRWA).", "[1] See JIU/REP/99 and A/54/700 on “Participation and cooperation of the United Nations system in the private sector” and JIU/NOTE/2009/1 on “Private enterprise sponsorship in the United Nations system: principles and guidelines”.", "[2] Ibid., paras. 34 and 35.", "[3] Press release on SG/SM/6881 of 1 February 1999.", "[4] The Universal Declaration of Human Rights, the ILO Declaration on Fundamental Principles and Rights at Work, the Rio Declaration on Environment and Development and the United Nations Convention against Corruption (UNCAC).", "[5] A/RES/55/215 of 21 December 2000, A/RES/56/76 of 11 December 2001, A/RES/58/129 of 19 December 2003, A/RES/60/215 of 22 December 2005, A/RES/62/211 of 19 December 2007 and A/RES/64/223 of 19 December 2009.", "[6] A/RES/56/76 (2001).", "[7] A/RES/58/129 (2003).", "[8] A/RES/60/215 (2005).", "[9] OIOS Audit Report No. AH2006/520/01: Global Compact Initiative Performance Audit.", "[10] A/RES/62/211 (2007).", "[11] Global Compact Annual Review 2008, p. 8.", "[12] A/RES/64/223.", "[13] Global Compact brochure, available online at www.unglobalcompact.org.", "[14] See next phase of the Global Compact, 6 September 2005.", "[15] A/64/6 (Part I), sect. 1: Overall policymaking, direction and coordination, p. 5.", "[16] “Final Report of the Meeting of the Global Compact Board”, New York, May 2008.", "[17] ST/SGB/2009/14.", "[18] UNDEF was established by the Secretary-General in July 2005 to support the democratic process by providing competitive funding to civil society organizations involved in promoting democratic values.", "[19] Ted Turner was established in 1998 as a public charity with a mandate to manage his contribution of $1 billion over a decade in support of the causes and activities of the United Nations. The agreement was extended in 2008 to 2017 to raise an additional $1 billion.", "[20] A/57/387 (9 September 2002), pp. 25-26.", "[21] “Global Compact Annual Review 2008, p. 8.", "[22] According to the World Investment Report 2009, there were 82,000 TNCs and 810,000 their foreign affiliates in 2008 (source: UNCTAD/PRESS/PT/2009/051 dated 17 September 2009).", "[23] “Global Compact Annual Review 2007”.", "Assing the Global Compact's, McKinsey & Company, May 11, 2004, page 11.", "[25] Assessment and reporting mechanisms used by Global Compact participants.", "[26] The social review of the Global Compact is intended to provide feedback to participants on progress reports. The media, civil society and the general public can review, challenge and/or validate information provided by enterprises on progress made in the implementation of the ten principles through social reviews.", "[27] Bruno, Kenny and Joshua Karlinger, “The Earth Summit: Business Takes over Sustainable Development”, 2002, p. 53.", "[28] Ibid., p. 40.", "[29] Company Watch, “The United Nations Global Compact `lacks deterrence' in its relationships with business - NGOs, available online at www.corpwatch.org.", "[30] Bruno, Kenny and Joshua Karliner, “The Earth Summit: Business Takes over Sustainable Development”, 2002, pp. 52-53.", "[31] OIOS Audit Report No. AH2006/520/01: Global Compact Initiative Performance Audit, p. 32.", "[32] Ethical Measures, Global Compact website.", "[33] “Final Report of the Meeting of the Global Compact Board”, New York, 24 July 2009.", "[34] See www.unglobalcompact.org.", "[35] “Introduction to the meeting of the Global Compact Board”, p. 19, 4 April 2007.", "[36] Global Compact Annual Review 2008, p. 53.", "[37] In the overall assessment of the report, comprehensive ratings ranged from 0.3 to 0.5; quality ratings ranged from 0.4 to 0.6.", "[38] Global Compact Annual Review 2008.", "[39] According to the GCO review of 1,230 progress reports submitted between 2006 and 2009, 53 per cent were single-listed reports; 42 per cent were reports included in formal corporate announcements.", "[40] A/RES/62/211, p. 9.", "[41] See www.globalcompactfoundation.org.", "[42] In May 2010, the donors were China, Colombia, Denmark, Finland, France, Germany, Italy, the Republic of Korea, Norway, Spain, Sweden, Switzerland and the United Kingdom.", "[43] Trust Fund financial year through 31 December; Foundation through 31 March.", "[44] “OIOS Audit Report 2006, paras.", "[45] United Nations Global Compact Local Network Report 2008, p. 42.", "[46] Madagascar, Mauritius, Tunisia and Macedonia.", "[47] Cameroon, Côte d ' Ivoire, Egypt, Gulf States, Israel, Jordan, Kenya, Lebanon, Madagascar, Malawi, Mauritius, Mozambique, Croatia, Cyprus, France, Georgia, Germany, Nigeria, Senegal, Sudan, Syria, Tunisia, Uganda, Argentina, Bolivia, Canada, Chile, Greece, Hungary, Kosovo, Latvia, Macedonia, Netherlands, Portugal, Costa Rica, Dominican Republic, El Salvador, Jamaica, Panama, Peru, United States, Uruguay, Australia, Azerbaijan, Bangladesh, China, India, Russia, Serbia, Slovakia, Slovenia, Indonesia, Japan, Kazakhstan, Malaysia, Nepal, Pakistan, Sri Lanka, Thailand, Viet Nam, Albania, Armenia, Austria, Belarus, Bosnia and Herzegovina, Bulgaria, Spain and Switzerland.", "[48] www.unglobalcompact.org.", "[49] United Nations Global Compact Local Network Report 2008, pp. 5 and 41.", "[50] Centres in sub-Saharan Africa are no longer operational.", "[51] In 2008, 51 per cent of business participants responding to the Global Compact survey reported that they were involved in cross-sectoral partnerships.", "[52] www.ungglobalcompact.org, updated 6 November 2008.", "[53] “Managing against results: guidance for United Nations Secretariat assessment”, June 2005.", "[54] McKinsey Global Institute, Global Compact Impact Assessment Report, p. 16, 11 May 2004.", "[55] See A/RES/62/211, p. 9.", "[56] See A/RES/60/215, p. 9." ]

[ "第六十五届会议", "议程项目114", "接纳新会员加入联合国", "阿尔巴尼亚、澳大利亚、奥地利、比利时、巴西、保加利亚、智利、哥伦比亚、丹麦、爱沙尼亚、芬兰、格鲁吉亚、德国、希腊、匈牙利、以色列、意大利、日本、拉脱维亚、列支敦士登、立陶宛、卢森堡、马耳他、摩纳哥、新西兰、挪威、葡萄牙、摩尔多瓦共和国、卢旺达、^(*) 斯洛伐克、斯洛文尼亚、西班牙、瑞典、前南斯拉夫的马其顿共和国、阿拉伯联合酋长国、大不列颠及北爱尔兰联合王国、美利坚合众国和越南：决议草案", "接纳南苏丹共和国为联合国会员国", "增编", "^(*) 代表属于非洲集团的联合国会员国。", "将下列国家列入决议草案提案国名单：", "阿富汗、安道尔、阿根廷、亚美尼亚、巴哈马、孟加拉国、巴巴多斯、加拿大、中国、哥斯达黎加、古巴、捷克共和国、厄瓜多尔、法国、格林纳达、危地马拉、圭亚那、洪都拉斯、冰岛、印度、爱尔兰、牙买加、哈萨克斯坦、吉尔吉斯斯坦、墨西哥、黑山、荷兰、巴拿马、秘鲁、波兰、大韩民国、罗马尼亚、俄罗斯联邦、新加坡、瑞士、东帝汶、特立尼达和多巴哥、土耳其和乌克兰" ]

[ "Sixty-fifth session", "Agenda item 114", "Admission of new Members to the United Nations", "Albania, Australia, Austria, Belgium, Brazil, Bulgaria, Chile, Colombia, Denmark, Estonia, Finland, Georgia, Germany, Greece, Hungary, Israel, Italy, Japan, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Monaco, New Zealand, Norway, Portugal, Republic of Moldova, Rwanda,* Slovakia, Slovenia, Spain, Sweden, the former Yugoslav Republic of Macedonia, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America and Viet Nam: draft resolution", "Admission of the Republic of South Sudan to membership in the United Nations", "Addendum", "Add the following countries to the list of sponsors of the draft resolution:", "Afghanistan, Andorra, Argentina, Armenia, Bahamas, Bangladesh, Barbados, Canada, China, Costa Rica, Cuba, Czech Republic, Ecuador, France, Grenada, Guatemala, Guyana, Honduras, Iceland, India, Ireland, Jamaica, Kazakhstan, Kyrgyzstan, Mexico, Montenegro, Netherlands, Panama, Peru, Poland, Republic of Korea, Romania, Russian Federation, Singapore, Switzerland, Timor-Leste, Trinidad and Tobago, Turkey and Ukraine", "* On behalf of the States Members of the United Nations that are members of the Group of African States." ]

[ "Sixty-fifth session", "Agenda item 114", "Admission of new Members to the United Nations", "Albania, Australia, Austria, Belgium, Brazil, Bulgaria, Chile, Colombia, Denmark, Estonia, Finland, Georgia, Germany, Greece, Hungary, Israel, Italy, Japan, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Monaco, New Zealand, Norway, Portugal, Republic of Moldova, Rwanda, ^ (*) Slovakia, Slovenia, Spain, Sweden, the former Yugoslav Republic of Macedonia, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America and Viet Nam: draft resolution", "Admission of the Republic of South Sudan to membership in the United Nations", "Addendum", "^ (*) On behalf of the States Members of the United Nations that are members of the African Group.", "Add the following countries to the list of sponsors of the draft resolution:", "Afghanistan, Andorra, Argentina, Armenia, Bahamas, Bangladesh, Barbados, Canada, China, Costa Rica, Cuba, Czech Republic, Ecuador, France, Grenada, Guatemala, Guyana, Honduras, Iceland, India, Ireland, Jamaica, Kazakhstan, Kyrgyzstan, Mexico, Montenegro, Netherlands, Panama, Peru, Poland, Republic of Korea, Romania, Russian Federation, Singapore, Switzerland, Timor-Leste, Trinidad and Tobago, Turkey and Ukraine" ]

[ "2011年7月14日埃及常驻联合国代表团临时代办给安全理事会主席的信", "我谨代表不结盟运动写信给你——安全理事会7月份主席，事涉在安全理事会临时工作方案中列入题为“维持国际和平与安全：气候变化的影响”的公开辩论(辩论定于2011年7月20日星期三举行)。", "不结盟运动注意到，这不是安全理事会第一次讨论气候变化问题。在这方面，我想回顾指出，古巴常驻联合国代表团临时代办2007年4月12日代表不结盟运动写信给安全理事会主席(S/2007/203)，重申不结盟运动在此问题上所表达的观点及关注。", "我还想回顾大会关于气候变化和它可能对安全产生的影响的第63/281号决议，其中认识到联合国各主要机构各自承担责任，包括由安全理事会主要负责维持国际和平与安全，由大会和经济及社会理事会负责处理可持续发展问题，其中包括气候变化。该决议以及2007年5月27日巴厘第十六届不结盟运动部长会议最后文件都重申，《联合国气候变化框架公约》是处理气候变化问题的关键文书及中心多边框架。", "就此，我愿表明，不结盟运动对于安全理事会插手传统上属于大会、经济及社会理事会和其它机关管辖范围的问题，继续且日益侵夺这些机关的职能和权力深感关切。还应指出的是，根据《联合国气候变化框架公约》所定原则，《公约》是审议气候变化的相关风险及应对气候变化的行动的适当论坛。", "不结盟运动强调，安全理事会须全面遵守《联合国宪章》的所有规定及阐明安全理事会与大会和其它主要机关关系的大会所有决议。不结盟运动还强调，所有主要机构之间进行密切合作和协调，对于联合国能够继续发挥相关作用，应对各种现有和新兴威胁及挑战，是必不可少的。", "不结盟运动承认，发展中国家，特别是最不发达国家、小岛屿发展中国家和非洲，正面临挑战，原因在于：气候变化造成了影响，而这些影响又在对其国家能力和机构带来巨大压力。", "不结盟运动重点指出，安理会举行此项辩论的决定并不成为先例，其成果不论为任何形式，均不应当损害已在应对气候变化的有关机构、进程和文书的权威或任务规定。", "请将本函作为安全理事会的文件分发为荷。", "常驻代表", "大使", "马吉德·阿卜勒-阿齐兹(签名)" ]

[ "Letter dated 14 July 2011 from the Permanent Representative of Egypt to the United Nations addressed to the President of the Security Council", "On behalf of the Non-Aligned Movement, I have the pleasure to write to you, in your capacity as President of the Security Council for the month of July, regarding the inclusion in the provisional programme of work of the Security Council of an open debate entitled “Maintenance of international peace and security: the impact of climate change”, which has been scheduled for Wednesday, 20 July 2011.", "The Movement notes that this is not the first time that the Security Council has addressed climate change. I would like to recall in this regard the letter dated 12 April 2007 from the Chargé d’affaires a.i. of the Permanent Mission of Cuba to the United Nations on behalf of the Non-Aligned Movement addressed to the President of the Security Council (S/2007/203), and reiterate the views and concerns expressed by the Movement in this respect.", "I would like also to recall General Assembly resolution 63/281 regarding climate change and its possible security implications, which recognizes the respective responsibilities of the principal organs of the United Nations, including the primary responsibility for the maintenance of international peace and security conferred upon the Security Council, and the responsibility for sustainable development issues, including climate change, conferred upon the General Assembly and the Economic and Social Council. It was reaffirmed in this resolution and in the Final Document of the Sixteenth Ministerial Conference of the Movement in Bali, dated 27 May 2011, that the United Nations Framework Convention on Climate Change is the key instrument and the central multilateral framework to address climate change.", "In this context, I would like to express the deep concerns of the Movement regarding the continued and increasing encroachment by the Security Council on the functions and powers of the General Assembly, the Economic and Social Council and other organs in addressing issues that traditionally fall within the competence of the latter organs. It is also relevant to note that the United Nations Framework Convention on Climate Change is the appropriate forum for considering risks associated with and actions to address climate change, in accordance with the principles enshrined in the Convention.", "The Non-Aligned Movement stresses that the Security Council must fully observe all the provisions of the Charter of the United Nations and all General Assembly resolutions that clarify its relationship with the Assembly and other principal organs. The Movement also stresses that close cooperation and coordination among all principal organs are indispensable to enable the United Nations to remain relevant and capable of meeting existing, new and emerging threats and challenges.", "The Movement acknowledges the challenges that developing countries, in particular least developed countries, small island developing States and Africa, are facing as a result of the impacts of climate change and the enormous pressure these impacts are putting on their national capacities and institutions.", "The Non-Aligned Movement stresses that the decision by the Council to hold this debate does not create a precedent and should not result in any form of outcome that undermines the authority or mandate of the relevant bodies, processes and instruments that already address climate change.", "I would like to request that the present letter be circulated as a document of the Security Council.", "(Signed) Maged A. Abdelaziz Ambassador Permanent Representative" ]

[ "Letter dated 14 July 2011 from the Permanent Mission of Egypt to the United Nations addressed to the President of the Security Council", "On behalf of the Non-Aligned Movement, I have the honour to write to you, the President of the Security Council for the month of July, concerning the inclusion in the provisional programme of work of the Security Council of an open debate entitled “Maintenance of international peace and security: the impact of climate change”, which is scheduled for Wednesday, 20 July 2011.", "NAM notes that this is not the first time that the Security Council has addressed climate change. In this connection, I would like to recall that the Chargé d'affaires a.i. of the Permanent Mission of Cuba to the United Nations, in a letter dated 12 April 2007 addressed to the President of the Security Council on behalf of the Non-Aligned Movement (S/2007/203), reiterated the views and concerns expressed by the Movement on this issue.", "I would also like to recall General Assembly resolution 63/281 on climate change and its possible security implications, which recognizes the respective responsibilities of the principal organs of the United Nations, including the Security Council, which has primary responsibility for the maintenance of international peace and security, and the General Assembly and the Economic and Social Council, which are responsible for sustainable development, including climate change. That resolution, as well as the final document of the sixteenth Ministerial Conference of the Non-Aligned Movement, held in Bali on 27 May 2007, reaffirmed the United Nations Framework Convention on Climate Change as the key instrument and central multilateral framework for addressing climate change.", "In this regard, I would like to express the Movement ' s deep concern at the Security Council ' s continued and increasing encroachment on the functions and powers of the General Assembly, the Economic and Social Council and other organs in matters that traditionally fall within their purview. It should also be noted that, in accordance with the principles set out in the United Nations Framework Convention on Climate Change, the Convention is the appropriate forum for considering the risks associated with climate change and actions to address it.", "NAM stresses the need for the Security Council to comply fully with all the provisions of the Charter of the United Nations and all General Assembly resolutions that clarify the relationship of the Security Council with the General Assembly and other principal organs. The Non-Aligned Movement also stresses that close cooperation and coordination among all principal organs is essential for the United Nations to continue to play its relevant role in addressing existing and emerging threats and challenges.", "NAM recognizes that developing countries, in particular the least developed countries, small island developing States and Africa, are facing challenges as a result of the impact of climate change, which in turn is putting enormous pressure on their national capacities and institutions.", "The Non-Aligned Movement stresses that the decision of the Council to hold this debate does not constitute a precedent and that its outcome, in any form, should not undermine the authority or mandate of the relevant bodies, processes and instruments already addressing climate change.", "I should be grateful if you could arrange for the present letter to be circulated as a document of the Security Council.", "Permanent Representative", "Ambassador", "(Signed) Maged Abdelaziz Ambassador Permanent Representative" ]

[ "第六十六届会议", "请求在第六十六届会议议程内列入一个补充项目", "“中欧倡议”在大会的观察员地位", "2011年7月13日意大利、黑山、塞尔维亚和乌克兰常驻联合国代表给秘书长的信", "根据大会议事规则第14条，谨请将题为“‘中欧倡议’在大会的观察员地位”的补充项目列入大会第六十六届会议临时议程。", "根据大会议事规则第20条的规定，随函附上一份支持上述请求的解释性说明(附件一)和决议草案(附件二)。", "请将本函及其附件作为大会文件分发为荷。", "意大利常驻代表", "大使", "切萨雷·马里亚·拉加利尼(签名)", "黑山常驻代表", "大使", "米洛拉德·什切潘诺维奇(签名)", "塞尔维亚常驻代表", "大使", "费奥多·斯塔塞维奇(签名)", "乌克兰常驻代表", "大使", "尤里·谢尔盖耶夫(签名)", "附件一", "解释备忘录", "历史背景", "中欧倡议起源于1989年11月在布达佩斯成立“四方”，创始国是意大利，奥地利，匈牙利和南斯拉夫社会主义联邦共和国(南斯拉夫)。四个创始国外交部部长当时通过了一项联合声明，声明其政府愿意加强睦邻友好关系，在各自国家间发展多方合作。1990年，捷克斯洛伐克加入，倡议改名为“五方”；1991年，接纳了波兰，成为“六方”。1992年，接纳一些新成员国，决定更名为“中欧倡议”。1993年，1996年，2000年至2006年，“中欧倡议”继续扩大，接纳了最后一个，即第十八个会员国。“中欧倡议”目前是规模最大的区域合作政府间论坛。", "会员", "“中欧倡议”是中欧，东欧和东南欧18个会员国之间区域合作和协商的政府间论坛，[1] 其指导原则是《“中欧倡议”准则和议事规则》，该文件基本概括了倡议的目标，结构和运作原则。“中欧倡议”成员国遵循《联合国宪章》和赫尔辛基进程/欧安组织所有文件的原则。还遵守“中欧倡议”政府首脑和外长会议通过的最后宣言和文件。", "结构", "“中欧倡议”方式灵活，促进政府间，议会间和商业界的合作。政府间合作，是提供政治和经济导向，及“中欧倡议”组织和财务指令，其包括下列机构：(首脑会议)政府首脑会议，外交部长会议)，国家协调员委员会，工作机构(协调重点网络，项目实施小组，特设工作组等)，执行秘书处。[2] “中欧倡议”成员国议会之间的合作早年已经开展。“中欧倡议”议会合作有其自身的结构和议事规则。 “中欧倡议”商业合作也有自身结构和议事规则。", "主席国", "“中欧倡议”主席国每年在日历年开始时，根据“中欧倡议”成员国英文名称字母顺序轮换。当值主席国得到前主席国和下任主席国支持，形成“中欧倡议”的三驾马车。", "旗帜和语文", "“中欧倡议”的旗帜是蓝色背景，中间为“中欧倡议”正式标志。 “中欧倡议”标志是正楷的“中欧倡议”，周围是10颗黄星组成一个半圆。“中欧倡议”的工作语文是英语。“中欧倡议”文件以英文编写。", "使命", "“中欧倡议”的使命是：为欧洲一体化开展区域合作。", "目的和目标", "“中欧倡议”战略目标，是为努力实现统一，没有分界线的欧洲，共享欧洲共同价值观，接纳大陆所有国家，地区，民族和公民，在“中欧倡议”范围内重点开展合作，特别提供援助，加强最不发达成员国和最需要加快经济发展或恢复的成员国。", "此外，“中欧倡议”框架内的合作，是力求以下主要目标：加强各成员国之间的合作，特别对欧洲议程的合作，在不妨碍欧盟扩大的情况下更有价值；支持所有感兴趣的成员国努力推动欧洲一体化；加强与欧盟的合作，参加和促进适用的欧盟项目的实施；促进发展作为民主转型催化剂的公民社会。", "合作领域", "“中欧倡议”框架内的政府间合作内容包括，除其他外，以下几个方面：就共同关心的政治问题进行协商；经济和技术合作；发展交通，能源，电信，农业基础设施；加强民主体制和遵守人权，包括属于少数民族的权利，以及人道主义事务；保护人类生存环境；在科学技术，媒体，文化，教育，青年交流，旅游领域开展合作；跨境和区域间合作。三年行动计划确定了本组织合作的优先事项。", "资金和文书", "为实现其目标和宗旨，“中欧倡议”多年来发展了强有力的组成部分，以配合成员国之间的政治对话。这些项目涉及经济，体制和人力发展部门的各个领域，得到一些资金和文书的支持：——“中欧倡议”合作基金，得到所有会员国资助，用于小规模多边项目，通常采取会议，研讨会，讲习班等形式；——设在欧洲复兴开发银行的“中欧倡议”信托基金，由意大利资助，提供技术援助，支持洲复兴开发银行在“中欧倡议”中非欧盟国家的投资；——“中欧倡议”知识交流计划，由意大利和奥地利资助，用于能力建设和向“中欧倡议”中非欧盟国家转让良好实践的有关项目；——“中欧倡议”大学网络，由意大利资助，设博士和硕士课程，夏令营和研讨会等联合方案；——“中欧倡议”科学技术网络，[3] 由意大利资助，支持科学和技术合作，从而让年轻科学家，最好是“中欧倡议”中非欧盟国家的年轻科学家有机会在这些中心选修博士课程，参加培训计划和研究活动；——欧盟项目，由欧盟委员会和其他合作伙伴联合供资，加强“中欧倡议”国家参与欧盟项目，重点参加跨国和区域合作项目。", "与其他组织的合作", "“中欧倡议”努力与所有主要国际组织和机构开展合作。“中欧倡议”与联合国系统和其他有关国际组织合作，特别是经济合作与发展组织，以及与国际金融机构，特别是欧洲复兴开发银行。还与欧洲联盟，欧洲理事会和欧洲安全与合作组织，以及共同感兴趣的其他区域合作倡议开展合作。", "与联合国的关系", "“中欧倡议”与联合国若干专门机构合作：在企业发展方面与联合国欧洲经济委员会合作，在环境方面，与联合国环境规划署合作，在旅游领域与世界旅游组织合作，在农业领域与联合国粮食和农业组织合作，在文化领域与联合国教育，科学及文化组织合作，在科技领域与联合国工业发展组织合作。", "1. 联合国欧洲经济委员会。与联合国欧洲经济委员会的合作，可以追溯到1998年签署的一项谅解备忘录，应特别加以强调。这一合作，尤其是在中小企业领域的合作，结果是出版了“2000-2001年概况”，这是“中欧倡议”区域投资者手册，在2000年首脑会议经济论坛之际首次出版。联合国欧洲经济委员会和“中欧倡议”在接下来的两年继续这种合作，出版了“2001-2002年投资指南。‘中欧倡议’区域项目机遇”。和“2002至2003年投资指南”。此外，从1999年至2003年，“中欧倡议”——联合国欧洲经济委员会合作年度会议在日内瓦举行，随即召开全国协调员会议，分析共同支持的领域，确定共同的项目和活动。在随后的几年中，“中欧倡议”成功调整重点，更加侧重其活动领域，侧重与各国际和区域组织的合作。因此，最近努力已经重新启动与联合国欧洲经济委员会在现有谅解备忘录框架内的合作。", "2. 联合国环境规划署。“中欧倡议”与环境署开展多层合作，通过谅解备忘录在“中欧倡议”与环境署维也纳办事处(《喀尔巴阡公约》临时秘书处)之间开展合作。谅解备忘录是在乌克兰首都基辅于2006年12月13日，《喀尔巴阡公约》缔约方第一次会议之际签署的。“中欧倡议”和维也纳联合国环境署合作，执行欧盟资助的区域间“喀尔巴阡山项目”，增进喀尔巴阡山地区特殊的自然和文化遗产的保护和可持续发展。按照谅解备忘录，特别关注共同关心的问题，如环境保护，基础设施，农业和旅游业。“中欧倡议”积极参与《喀尔巴阡公约》框架内举办的活动和会议，特别是各公约缔约方会议。在项目层面上，“中欧倡议”与环境署合作，举办研讨会和讲习班。", "3. 世界旅游组织。世界旅游组织是“中欧倡议”促进国际旅游业合作的重要合作伙伴，因为旅游业是“中欧倡议”地区国家经济发展的一个重要部门。世界旅游组织的代表参加了“中欧倡议”高级别会议和旅游业部长级会议。与此同时，“中欧倡议”参加了世界旅游组织欧洲委员会会议。“中欧倡议”和世界旅游组织还共同支持中欧，东欧和东南欧国家的许多项目，会议和活动；世界旅游组织专家经常在“中欧倡议”研讨会和会议上提供专业知识。", "4. 联合国粮农组织。“中欧倡议”还与联合国粮农组织开展富有成果的合作，主要是在项目级别上进行。“中欧倡议”的主要对口部门是粮农组织技术合作部及其投资中心司。“中欧倡议”通过其欧洲复兴开发银行的信托基金，资助了若干技术合作工作，由粮农组织专家在中欧和东欧进行。最成功的项目包括，支持发展新鲜农产品批发终端，建立“中欧倡议”批发市场基金会，以及创建EastAgri网络——这是金融机构在“中欧倡议”地区和其他地区投资农业综合企业和农业的投资平台。持续的合作还包括规模较小的项目，旨在把具体专长从“中欧倡议”地区欧盟成员国，转给非欧盟成员国。", "5. 联合国教科文组织。2009年与教科文组织威尼斯办事处签署谅解备忘录，这是促进文化科学领域共同合作和协调，提高各自方案和手段影响和效益的框架。共同感兴趣的领域包括，除其他外，保护文化遗产，文化间对话，气候变化和可持续能源，地球科学和相关技术。合作采取经验交流，共同赞助，共同组织和联合融资的形式。在未来一段时间内，两个组织将交流建议，确定联合实施的具体活动。", "6. 联合国工发组织。与工发组织的合作正在“中欧倡议”科学和技术网络框架内，通过工发组织设在的里雅斯特的科学和高新技术国际中心进行。如上所述，与该中心合作是要加强在“中欧倡议”地区的科技合作，资助举办研讨会，会议，讲习班和培训班。与工发组织科学和高新技术国际中心的合作，是由年度工作计划补充的一项为期三年的协议确定的。最新的协议在2010年年初签署。", "与各国政府和非政府组织的活动", "作为一个政府间组织，“中欧倡议”通过其结构，即首脑会议和外交部长会议，积极与18个成员国政府开展合作。根据特殊的政治安排需求，就某一问题召开其他部长级会议。“中欧倡议”还努力与欧洲最重要的组织和机构开展合作，如欧洲联盟，欧洲复兴开发银行，经济合作与发展组织，欧洲理事会，欧洲安全与合作组织等。", "1. 欧洲联盟。一直重视与欧洲联盟和欧洲委员会的合作。在体制层面上，欧洲委员会经常作为特邀嘉宾参加“中欧倡议”高级别会议。关于业务联系，“中欧倡议”执行秘书长，通过其欧盟资助的项目部门，获得了欧盟作为合作伙伴的资助，实施十几个“中欧倡议”项目，涵盖各个领域(如空间开发，信息和通信技术和信息社会，交通，中小企业发展，能源等)。一项重要的发展是，2008年，“中欧倡议”在若干项目中争取到了主要合作伙伴的作用。", "2. 欧洲复兴开发银行。“中欧倡议”在欧洲复兴开发银行设有一个办公室，负责管理完全由意大利政府资助的“中欧倡议”信托基金。办公室位于欧洲复兴开发银行业务政策副总裁办公室。通过这个办事处，“中欧倡议”取得了相对银行内其他资金相对特殊的比较优势。这种合作使“中欧倡议”获得较高的知名度，使其发展更好的协调和成功的合作伙伴关系。", "3. 经济合作与发展组织。与经济合作与发展组织的合作始自2002年。经合组织和“中欧倡议”这些年来一直开展合作，提高各自方案的影响和效益，更快实现共同目标，特别是在中小企业发展，跨界合作和地方发展领域。合作的结果已经在几次“中欧倡议”首脑会议上介绍，兼顾了政治和经济两方面。", "4. 欧洲理事会和欧安组织。在机构建设和人力资源发展(文化，教育，少数民族，打击有组织犯罪，跨境合作等领域)领域，“中欧倡议”拥有具有专业知识的强有力的合作伙伴，如欧洲委员会和欧安组织。“中欧倡议”与欧洲理事会的合作更趋加强，特别是在过去几年。充分探讨了发起面向项目的合作的可能性，这可以增进各自的资产和努力，特别是对一些共同感兴趣的地区和行业。交流了有关方案和活动的信息，提出了几个具体的合作建议。", "除这些组织外，“中欧倡议”还与一些区域组织和倡议区域内外的论坛密切合作：亚得里亚海——爱奥尼亚海倡议，黑海经济合作组织，波罗的海国家理事会，区域合作理事会和东南欧合作进程。", "1. 区域合作理事会。与区域合作理事会的合作可以追溯到2008年区域合作理事会成立时。2008年3月31日，黑海经济合作组织召开协调会议之际，进行了初步接触。事实上，协调会议在这些年来，一直是建立双边或三边联系的极好机会。此外，2009年5月12日，在萨拉热窝签署了《谅解备忘录》，进一步加强了与区域合作理事会的合作。合作的一大亮点是，“能源可持续发展区域倡议”，这是“中欧倡议”和区域合作理事会的第一个联合项目。“能源可持续发展区域倡议”代表了这两个组织开展具体协调努力，促进能源可持续发展，取长补短，最大限度地发挥中欧和东欧国家的收益。", "2. 黑海经济合作组织。与黑海经济合作组织的合作最早可追溯到1997年。2011年，这一合作又得到加强。2011年3月7日，在伊斯坦布尔签署了一项《谅解备忘录》。为实现备忘录初步采取了一些措施，区域内两个最古老和最有经验的论坛进行了特别协商，确定了若干合作领域，如环境，能源，交通，农业，科学和技术等。预计，《备忘录》将为两个组织经常协调活动，加强两国关系提供一个总纲，以求加强合作，共同关心的问题协同努力。这也保障了避免重复。", "3. 亚得里亚海——爱奥尼亚海倡议。迄今为止，与亚得里亚海——爱奥尼亚海倡议的合作主要集中在教育上，集中在“中欧倡议”大学网络和UNIADRION(亚得里亚海——爱奥尼亚海倡议框架内大学网络)范围内。不过，两个组织正在开展倡议和活动，包括相互参加高级别会议和专家会议。", "“中欧倡议”争取观察员地位的原因", "“中欧倡议”争取观察员地位原因如下：", "(a) “中欧倡议”是欧洲历史最悠久，规模最大的论坛，领土范围大约240万平方公里，人口超过2.5亿。当初建立时，是要克服欧洲长久存在的集团隔离状况，在分区域范围内，在政见不同的国家之间建立合作联系，多年来，“中欧倡议”努力建立成员国之间的凝聚力和向心力。事实上，“中欧倡议”已经有所转变，从专注政策对话，转为注重技术和专长的转让，促进气候和能源的可持续性，以及民间社会，特别是在科研，教育，文化和媒体方面。", "(b) 建立象征性和事实上的桥梁，跨越先前(或仍然存在)的分界线，有助于“弱势国家”，但只有在同时也创造就业，加强社会和经济制度角度，越来越重视青年的意见，才能如此。“中欧倡议”正在寻找，并与所有全球，欧洲和区域行为者密切合作。最终目标是给人的生活带来具体的积极影响。", "(c) “中欧倡议”利用近22年存在发展的结构，利用其在18个成员国政府内的地位，利用自有资金，在成员国内发展和共同资助具体项目，发挥作用。机遇是方方面面的，这是“中欧倡议”的重要优势，如果与其他国际组织的经验和资源相结合，会有更强大的冲击力。", "(d) “中欧倡议”一些优先事项和联合国千年发展目标相辅相成，尤其是普及教育，性别平等，确保环境可持续性和全球伙伴关系方面。“中欧倡议”在这些领域的活动如下：", "㈠ 普及教育。“中欧倡议”在人力资源开发和教育领域的合作重点是，开展活动，通过教育和培训促进就业；侧重终身学习概念及其实施，以及通过进一步发展“中欧倡议”大学网络促进教育。这些问题是当今具有特别重要的意义。在此背景下，“中欧倡议”协助确定如何通过教育/培训，把具体“敏感”群体(儿童，妇女，低的合格人才，学校的毕业生，长期失业的人，移民，残疾人等)并入劳动市场。因此，动用成功方法(方法，计划，倡议，项目)，通过交流经验和良好做法，增进儿童和成年人教育，是“中欧倡议”的优先事项。", "㈡ 性别平等。“中欧倡议”支持在社会各个领域提高妇女地位。“中欧倡议”始终力求更好地了解妇女在其成员国的创业，分析社会创新作为创业过程一部分的重要性；提出具体建议，支持协助女企业家的社会创新方案和政策。为此，若干方案和项目得到“中欧倡议”的支持。", "㈢ 确保环境的可持续性。“中欧倡议”关注重大全球性问题，如气候变化，保护环境，提高能源效率和可再生能源。在这种情况下，所有方面应该找到双赢的解决方案。“中欧倡议”也承认能源和保护环境作为可持续发展一个基本要素的重要性。因此，“中欧倡议”增强各国之间在这些领域的合作，从而提高全球能源效率，增进环境可持续性。“中欧倡议”为在成员国之间进行协商，交流关于战略和政策的知识，以及活动和项目的实施，提供了一个框架。", "㈣ 全球伙伴关系。“中欧倡议”目的和目标的成功实施，很大程度上取决于其与联合国，及所有其他国际组织和国际金融机构，以及会员国各国政府及其他机构和民间社会组织建立的伙伴关系。这种伙伴关系将继续得到进一步发展和加强。“中欧倡议”及其合作伙伴将继续帮助那些最需要加快经济发展或恢复的国家的发展方案和项目，这也是“中欧倡议”的战略目标之一。", "“中欧倡议”也通过各种资金和合作手段，解决千年发展目标涉及的问题，如消除贫困，儿童保健，孕产妇健康等项目，由“中欧倡议”提供资助和支持。", "结论", "2011年6月10日在里雅斯特举行“中欧倡议”外交部长会议之际，各国部长表示支持为“中欧倡议”争取在联合国大会获得观察员地位，从而进一步加强联合国和“中欧倡议”之间的合作。", "“中欧倡议”打算保持这一势头，并就共同关心的问题加强与联合国的沟通和协作。", "附件二", "决议草案", "“中欧倡议”在大会的观察员地位", "大会，", "考虑到“中欧倡议”的目标和目的，及其促进各国和谐团结的合作机制，", "希望促进联合国与“中欧倡议”的合作，", "1. 决定请“中欧倡议”以观察员身份参加大会届会和工作，", "2. 请秘书长采取必要行动，执行本决议。", "[1] 阿尔巴尼亚，奥地利，白俄罗斯，波斯尼亚和黑塞哥维那，保加利亚，克罗地亚，捷克共和国，匈牙利，意大利，黑山，波兰，摩尔多瓦共和国，罗马尼亚，塞尔维亚，斯洛伐克，斯洛文尼亚前南斯拉夫的马其顿共和国，和乌克兰。", "[2] “中欧倡议”执行秘书处1996年在的里雅斯特成立的，当时，奥地利为主席国。意大利政府主动提议设在的里雅斯特(经由热那亚)，免收费用，设立条件由“中欧倡议”执行秘书处和弗留利·威尼斯·朱利亚自治区签订的《议定书》规范。根据意大利政府和奥地利主席国在1996年缔结的总部协定，“中欧倡议”具有国际组织的法律地位。2009年，与罗马尼亚主席国签订了修改后的《总部协定》。", "[3] “中欧倡议”科学技术网络有7个著名国际研究中心，设在意大利的里雅斯特：国际遗传工程和生物技术中心，工发组织国际高科技中心，Bdvs Salam 国际理论物理中心，国际高级研究院，ELETTRA同步辐射光实验室，地区科学园集团，生物医药集团。" ]

[ "Sixty-sixth session", "Request for the inclusion of a supplementary item in the agenda of the sixty-sixth session", "Observer status for the Central European Initiative in the General Assembly", "Letter dated 13 July 2011 from the Permanent Representatives of Italy, Montenegro, Serbia and Ukraine to the United Nations addressed to the Secretary-General", "Pursuant to rule 14 of the rules of procedure of the General Assembly, we have the honour to request the inclusion of an item entitled “Observer status for the Central European Initiative in the General Assembly” in the provisional agenda of the sixty-sixth session.", "In accordance with rule 20 of the rules of procedure of the General Assembly, an explanatory memorandum in support of the above-mentioned request (annex I) and the relevant draft resolution (annex II) are attached.", "We have the honour to request that the present letter and its annexes be circulated as a document of the General Assembly.", "(Signed) Cesare Maria Ragaglini Ambassador Permanent Representative of Italy", "(Signed) Milorad Šćepanović Ambassador Permanent Representative of Montenegro", "(Signed) Feodor Starčević Ambassador Permanent Representative of Serbia", "(Signed) Yuriy Sergeyev Ambassador Permanent Representative of Ukraine", "Annex I", "Explanatory memorandum", "Historical background", "The origin of the Central European Initiative lies in the creation of the Quadrangolare or Quadrilateral in Budapest on 11 November 1989, the founding fathers of which were Austria, Hungary, Italy and the Socialist Federal Republic of Yugoslavia. On that occasion, the Ministers for Foreign Affairs of the four founding members adopted a joint declaration stating the readiness of their Governments to strengthen good-neighbourly relations and to develop manifold cooperation among their respective countries. In 1990, Czechoslovakia was admitted and the Initiative was renamed Pentagonale; in 1991, with the admission of Poland, it became Hexagonale. A number of new member States were admitted in 1992, at which time it was decided to rename the organization the Central European Initiative. The expansion of the Initiative continued in 1993, 1996 and from 2000 to 2006 with the admission of its last, eighteenth, member State. The Central European Initiative is now the largest intergovernmental forum for regional cooperation.", "Membership", "The Initiative is an intergovernmental forum for regional cooperation and consultation among its 18 member States, which are located in Central, Eastern and South-Eastern Europe.[1] It is guided by the Central European Initiative Guidelines and Rules of Procedure, a document which summarizes the Initiative’s objectives, structure and operating principles. The member States of the Initiative are also guided by the principles of the Charter of the United Nations, all the documents of the “Helsinki Process” of the Organization for Security and Cooperation in Europe and the final declarations and documents of the meetings of the Heads of Government and the Ministers for Foreign Affairs of the Initiative.", "Structure", "The Initiative operates in a flexible manner to promote intergovernmental, inter-parliamentary and business cooperation. The “Intergovernmental Dimension”, which provides political and economic orientation and is responsible for the organizational and financial directives of the Initiative, consists of the following bodies: Meeting of the Heads of Government (Summit); Meeting of the Ministers for Foreign Affairs; Committee of National Coordinators; working bodies (focal point networks, project implementation groups and ad hoc task forces); and the Executive Secretariat.[2] The Parliaments of the States members of the Initiative have been cooperating since the early years. The “Parliamentary Section” and the “Business Section” have their own structure and rules of procedure.", "Chairmanship", "The chairmanship (presidency) rotates at the beginning of each calendar year based on the alphabetical order of the English names of the member States. The Chairman-in-Office is supported by the former Chairman and the upcoming Chairman, forming the “Troika” of the Initiative.", "Flag and language", "The Initiative’s flag has a blue background with the official logo in the middle. The logo consists of the block letters “CEI” with a block transcription “CENTRAL EUROPEAN INITIATIVE”, surrounded by a semicircle composed of 10 yellow stars. The working language is English and all documents are produced in English.", "Mission statement", "The mission statement of the Initiative is “Regional cooperation for European integration”.", "Goals and objectives", "The strategic goals of the Initiative are to work for a cohesive and united Europe, without dividing lines, a Europe with shared values that embraces all the countries, regions, peoples and citizens of the continent; and to focus on cooperation within the framework of the Initiative, in particular on assistance to strengthen the capacities of the least advanced member countries and of those having the greatest need for accelerated economic development or recovery.", "Cooperation within the framework of the Initiative is aimed at achieving the following principal objectives: strengthening cooperation among member States, and in particular on the European agenda, as an added value without prejudice to further European Union enlargement; supporting all interested member States in their endeavours to move towards further European integration; strengthening its cooperation with the European Union by taking part in and facilitating the implementation of applicable European Union programmes; and promoting the development of civil society, which is known to be a catalyst in democratic transformation processes.", "Areas of cooperation", "Intergovernmental cooperation within the framework of the Initiative includes, inter alia, the following areas: consultations on political matters of mutual interest; economic and technical cooperation; the development of transport, energy, telecommunications and agriculture infrastructure; the strengthening of democratic institutions and respect for human rights, including the rights of persons belonging to national minorities, as well as humanitarian matters; protection of the human environment; cooperation in the fields of science and technology, media, culture, education, youth exchange and tourism; and cross-border and interregional cooperation. The triennial plan of action defines the organization’s priorities within the established areas of cooperation.", "Funds and instruments", "In order to achieve its goals and objectives, the Initiative has developed over the years a strong project-oriented component with the aim of complementing the political dialogue among its member States. The projects cover various areas in the economic, institutional and human development sectors and are supported through several funds and instruments, including the Central European Initiative Cooperation Fund, funded by all member States, for small-scale multilateral projects, usually taking the form of conferences, seminars, workshops, etc.; the Central European Initiative Trust Fund at the European Bank for Reconstruction and Development, funded by Italy, for technical assistance projects supporting the Bank’s investments in member countries that do not belong to the European Union; the Central European Initiative Know-How Exchange Programme, funded by Austria and Italy, for projects related to capacity-building and the transfer of good practices to non-European Union Initiative countries; the Central European Initiative University Network, funded by Italy, for joint programmes such as PhD and Master’s courses, summer schools and seminars; the Central European Initiative Science and Technology Network,[3] funded by Italy, which supports scientific and technological cooperation and offers young scientists, preferably from non‑European Union Initiative countries, the opportunity to participate in PhD courses, training programmes and research activities at the Network’s centres; and European Union Projects, co-financed by the European Commission and other partners, enhancing the involvement of Initiative countries in European Union projects that focus on transnational and regional cooperation.", "Cooperation with other organizations", "The Initiative endeavours to cooperate with all major international organizations and institutions. It cooperates with the United Nations system and other relevant international organizations, in particular the Organization for Economic Cooperation and Development (OECD), as well as with international financial institutions, especially the European Bank for Reconstruction and Development. It also cooperates with the European Union, the Council of Europe, the Organization for Security and Cooperation in Europe (OSCE) and other regional cooperation initiatives on areas of mutual interest.", "Relation with the United Nations", "The Initiative cooperates with a number of United Nations specialized entities, namely the Economic Commission for Europe in the area of enterprise development, the United Nations Environment Programme (UNEP), the United Nations World Tourism Organization (UNWTO), the Food and Agriculture Organization of the United Nations (FAO), the United Nations Educational, Scientific and Cultural Organization (UNESCO) and the United Nations Industrial Development Organization (UNIDO) in the area of science and technology.", "1. Economic Commission for Europe. The Initiative’s cooperation with the Economic Commission for Europe, which dates back to 1998 when a memorandum of understanding was signed, should be underlined in particular. This cooperation, especially in the field of small- and medium-sized enterprises, resulted in the publication of “Through the Looking Glass 2000-2001: A Handbook for Investors in CEI Regions”, which was presented for the first time on the occasion of the Summit Economic Forum in 2000. The Commission and the Initiative continued this cooperation during the following two years, when “Investiguide 2001-2002: Project Opportunities and Contacts for the CEI Region” and “Investiguide 2002-2003” were published. From 1999 to 2003, annual meetings on cooperation between the two bodies were held in Geneva, back to back with a meeting of the Committee of National Coordinators, with the aim of analysing areas of common support and identifying common projects and activities. In the following years, the Initiative was able to better focus its areas of activity, also with respect to its cooperation with the various international and regional organizations. Recent efforts have been made to relaunch cooperation with the Commission within the framework of the existing memorandum of understanding.", "2. UNEP. Cooperation between the Initiative and UNEP is structured by means of a memorandum of understanding between the Initiative and the UNEP Vienna Office/Interim Secretariat of the Carpathian Convention, signed in Kiev on 13 December 2006, on the occasion of the First Meeting of the Conference of the Parties to the Carpathian Convention. The Initiative and UNEP Vienna had been cooperating on the European Union-funded Carpathian Project, aimed at enhancing the protection and sustainable development of the exceptional natural and cultural heritage of the Carpathian region. In accordance with the memorandum of understanding, special attention is paid to such issues of mutual concern as environmental protection, infrastructure, agriculture and tourism. The Initiative actively participates in events and meetings organized within the framework of the Carpathian Convention, and especially the Conferences of the Parties. At the project level, the Initiative supports seminars and workshops organized in cooperation with UNEP.", "3. UNWTO. UNWTO is a key partner in the promotion of international cooperation on tourism, tourism being an important sector for the economic development of the countries in the Initiative region. UNWTO representatives participate in the Initiative’s high-level meetings and ministerial meetings on tourism. At the same time, the Initiative takes part in the UNWTO Commission for Europe meetings. The Initiative and UNWTO jointly support numerous projects, meetings and events in the countries of Central, Eastern and South-Eastern Europe, and UNWTO experts often provide their expertise at the Initiative’s seminars and conferences.", "4. FAO. The Initiative also enjoys fruitful cooperation with FAO, primarily at the project level. The Initiative’s main counterpart at FAO is the Technical Cooperation Department and its Investment Centre division. Through its trust fund at the European Bank for Reconstruction and Development, the Initiative has financed several technical cooperation projects carried out by FAO experts in Central and Eastern Europe. The most successful projects included support for the development of fresh produce wholesale terminals and the establishment of the Initiative’s Wholesale Markets Foundation and the EastAgri Network, a platform of financial institutions investing in agribusiness and agriculture in the Initiative region and beyond. Ongoing collaboration includes smaller-scale projects aimed at transferring specific know-how in the area of agriculture from European Union to non-European Union States members of the Initiative.", "5. UNESCO. In 2009, a memorandum of understanding was signed with the UNESCO Office in Venice, Italy. It represents a framework for promoting joint cooperation and coordination in the cultural and scientific fields, with a view to increasing the impact and effectiveness of the respective programmes and instruments. Areas of common interest include, inter alia, cultural heritage conservation, intercultural dialogue, climate change and sustainable energy, earth sciences and related technologies. Cooperation takes the form of expertise exchange, co-sponsorship, co-organization and co-financing. In the coming period, concrete activities for joint implementation will be identified on the basis of an exchange of proposals between the two organizations.", "6. UNIDO. The Initiative cooperates with UNIDO within the framework of the Initiative’s Science and Technology Network through the International Centre for Science and High Technology of UNIDO, located in Trieste, Italy. Cooperation with this centre aims at strengthening scientific and technological cooperation in the Initiative region, through the provision of financial support for the organization of seminars, conferences, workshops and training courses. The area of cooperation with the International Centre is defined in a three-year protocol complemented by an annual work programme. The latest protocol was signed at the beginning of 2010.", "Activities with Governments and governmental organizations", "As an intergovernmental organization, the Initiative actively cooperates with the Governments of its 18 member States, through its bodies, namely the Summit and the Meeting of the Ministers for Foreign Affairs. Other ministerial meetings are also convened based on the needs of special political arrangements on a given issue. The Initiative also strives to cooperate with the most important European organizations and institutions, such as the European Union, the European Bank for Reconstruction and Development, OECD, the Council of Europe and OSCE.", "1. European Union. As regards cooperation with the European Union, cooperation with the European Commission has always been considered important. At the institutional level, the Commission often participates in the Initiative’s high-level meetings as a special guest. With regard to operational ties, the Executive Secretariat of the Initiative, through its unit for European Union-funded projects, has succeeded in obtaining support from European Union funds for more than a dozen joint projects, covering various areas (for example, spatial development, information and communications technology and the information society, transport, the development of small- and medium-sized enterprises, energy, etc.). An important development was that, in 2008, the Initiative obtained the role of lead partner in a number of these projects.", "2. European Bank for Reconstruction and Development. The Initiative maintains an office at the European Bank for Reconstruction and Development which is responsible for the management of the Initiative Trust Fund and is entirely funded by the Italian Government. It is located within the Operational Policies department of the Bank. Through this office, the Initiative has managed to build a special comparative advantage vis-à-vis other funds active within the Bank. This cooperation also grants the Initiative higher visibility and allows it to develop better coordination and successful partnerships.", "3. OECD. Cooperation with OECD dates back to 2002. Both OECD and the Initiative have benefited throughout the years from their mutual cooperation in terms of the increased impact and effectiveness of their respective programmes and the faster attainment of their common objectives, specifically in the areas of the development of small- and medium-sized enterprises, cross-border cooperation and local development. The results of this cooperation have been presented at several political and economic Initiative Summit meetings.", "4. Council of Europe and OSCE. In the area of institution-building and human resource development (culture, education, minorities, combating organized crime, cross-border cooperation, etc.), the Initiative has found strong partners with expert knowledge in a number of specialized organizations such as the Council of Europe and OSCE. Its cooperation with the Council has been strengthened even further in the last few years. The possibility of initiating project-oriented cooperation that could enhance the respective assets and efforts, especially in relation to certain geographical areas and sectors of activity of common interest, has been thoroughly examined. An exchange of information on relevant programmes and activities has resulted in several concrete cooperation proposals.", "In addition to these organizations, the Initiative also works in close cooperation with several regional organizations and forums operating within and beyond the Initiative region: the Adriatic Ionian Initiative, the Organization of the Black Sea Economic Cooperation, the Council of the Baltic Sea States, the Regional Cooperation Council and the South-East European Cooperation Process.", "1. Regional Cooperation Council. Cooperation with the Regional Cooperation Council dates back to 2008, when it was established. The initial contacts were undertaken on the occasion of a coordination meeting organized by the Council on 31 March 2008. Throughout the years, coordination meetings have provided an excellent opportunity for establishing contacts at the bilateral and trilateral levels. Cooperation with the Council was further strengthened through a memorandum of understanding signed on 12 May 2009 in Sarajevo. The highlight of this cooperation is the Sustainable Energy Development Regional Initiative, a first joint project between the Initiative and the Council. The Sustainable Energy Development Regional Initiative represents a concrete coordination effort by the two organizations to launch joint actions in the area of sustainable energy development by combining their complementary approaches in order to maximize the benefits for the countries of Central and Eastern Europe.", "2. Organization of the Black Sea Economic Cooperation. Cooperation with the Organization of the Black Sea Economic Cooperation dates back to 1997. This cooperation was enhanced when a memorandum of understanding was signed in Istanbul, Turkey, on 7 March 2011. The initial steps towards the memorandum were taken during a number of ad hoc consultations between these two oldest and most experienced regional forums. A number of areas of collaboration were identified, including the environment, energy, transport, agriculture and science and technology. The memorandum is expected to provide a general framework for the coordination of the activities of the two organizations on a regular basis and for strengthening their relations, with the aim of enhancing cooperation and synergizing efforts regarding issues of common interest. It is also a guarantee that duplication will be avoided.", "3. Adriatic Ionian Initiative. To date, cooperation with the Adriatic Ionian Initiative has mainly focused on education in the context of the Central European Initiative’s University Network and UniAdrion (a university network within the framework of the Adriatic Ionian Initiative). Nevertheless, a number of initiatives and activities in other areas have been undertaken by the two organizations, including mutual participation in high-level and expert meetings.", "Reasons for seeking observer status for the Central European Initiative", "The reasons for seeking observer status for the Central European Initiative are as follows:", "(a) The Central European Initiative is the oldest and largest forum for regional cooperation in Europe, with a territory of approximately 2.4 million km² and a population of over 250 million. It was initially established to give a clear sign that the blocs that had existed in Europe for so long were being overcome through, inter alia, the re-establishment of cooperation links in a subregional context among countries of different political orientation. Throughout its existence, the Initiative has worked hard to establish cohesion and solidarity among its member States. In fact, it has undergone a transformation from being predominantly oriented towards policy dialogue to emphasizing the transfer of know-how and technology and promoting climate and energy sustainability and civil society, especially in the fields of scientific research, education, culture and media;", "(b) The building of symbolic and actual bridges across the former (or still existing) dividing lines of Europe can benefit the “underprivileged countries” only if it is accompanied by jobs creation, the strengthening of social and economic systems, and an increased focus on the perspective of young people. In this context, the Initiative is seeking out and closely cooperating with all global, European and regional actors. The final aim is to achieve a concrete positive impact on the lives of the people;", "(c) The Initiative tries to do its part by using the structures developed in its almost 22 years of existence, its position within the Governments of the 18 member States and its own funds to develop and co-finance concrete projects in its member countries. This range of opportunities is an important advantage which, if combined with the experience and resources of other international organizations, can have an even stronger impact;", "(d) A number of the Initiative’s priorities are in line with the Millennium Development Goals, in particular those linked to universal education, gender equality, environmental sustainability and global partnership. The Initiative’s activities in these fields include the following:", "(i) Universal education. The Initiative’s cooperation in the field of human resources development and education is focused on activities aimed at promoting employability through education and training; on the concept of lifelong learning and its implementation; and on education through further development of its University Network. These issues are of particular importance today. In this context, the Initiative contributes by identifying means and methods of integrating specific “sensitive” groups (children, women, low-qualified people, high school graduates, long-term unemployed people, immigrants, the disabled, etc.) into the labour market through education and training. The development of successful approaches (methods, programmes, initiatives and projects) to enhance the education of children and adults through the exchange of experiences and good practices are among the Initiative’s priorities;", "(ii) Gender equality. The Initiative supports the promotion of women in all areas of society. It has always aimed to better understand women entrepreneurship in its member countries by analysing the importance of social innovation as part of the entrepreneurial process and to propose concrete recommendations to support socially innovative programmes and policies for women entrepreneurs. It has supported a number of programmes and projects to that end;", "(iii) Ensure environmental sustainability. The Initiative is in tune with such major global issues as climate change, environmental protection, increased energy efficiency and renewable energy sources. In this context, all actors ought to find win-win solutions. The Initiative also recognizes the importance of both energy and environmental protection as an essential element for sustainable development. It enhances cooperation in these fields among its member countries, thus contributing to global energy efficiency and environmental sustainability. It does this by providing a framework for consultations and the sharing of knowledge about strategies and policies among its member States and for the implementation of activities and projects;", "(iv) Global partnership. The successful implementation of the Initiative’s goals and objectives depends to a large degree on the partnership it has established with the United Nations and all other international organizations and international financial institutions, as well as with the Governments, other institutions and civil society organizations of its member States. This partnership continues to be further developed and strengthened. The Initiative and its partners will continue to help to deliver development programmes and projects to those who have the greatest need for accelerated economic development or recovery, which is one of the Initiative’s strategic goals.", "Through its various funds and instruments of cooperation, the Initiative has financed and supported projects on a number of other issues that are in line with the Millennium Development Goals, such as combating poverty, and improving child and maternal health.", "Conclusions", "On the occasion of the Meeting of the Ministers for Foreign Affairs of the Initiative, held in Trieste, Italy, on 10 June 2011, the Ministers expressed their support for requesting observer status for the Initiative in the General Assembly, thus further strengthening cooperation between the United Nations and the Initiative.", "The Initiative intends to maintain its current momentum and to intensify its communication and collaborative action with the United Nations on issues of common interest.", "Annex II", "Draft resolution", "Observer Status for the Central European Initiative in the General Assembly", "The General Assembly,", "Considering the goals and objectives of the Central European Initiative and its mechanisms of cooperation aimed at promoting cohesion and solidarity among countries,", "Wishing to promote cooperation between the United Nations and the Central European Initiative,", "1. Decides to invite the Central European Initiative to participate in the sessions and the work of the General Assembly in the capacity of observer;", "2. Requests the Secretary-General to take the necessary action to implement the present resolution.", "[1] Albania, Austria, Belarus, Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Hungary, Italy, Montenegro, Poland, Republic of Moldova, Romania, Serbia, Slovakia, Slovenia, the former Yugoslav Republic of Macedonia and Ukraine.", "[2] The Executive Secretariat was established in Trieste, Italy, under the Austrian presidency in 1996, following an offer by the Government of Italy to host its headquarters in Trieste free of charge and obligations, under terms described in a protocol concluded between the Executive Secretariat and the autonomous region of Friuli Venezia Giulia. It operates with the legal status of an international organization, based on a headquarters agreement concluded in 1996 between the Italian Government and the Austrian presidency of the Initiative. A revised headquarters agreement was signed with the Romanian presidency in 2009.", "[3] The Central European Initiative Science and Technology Network operates through seven renowned international research centres based in Trieste, Italy: the International Centre for Genetic Engineering and Biotechnology, the International Centre for Science and High Technology of the United Nations Industrial Development Organization, the Abdus Salam International Centre for Theoretical Physics, the International School for Advanced Studies, the Synchrotron Light Laboratory ELETTRA, the AREA Science Park Consortium and the Cluster in Biomedicine." ]

[ "Sixty-sixth session", "Request for the inclusion of a supplementary item in the agenda of the sixty-sixth session", "Observer status for the Central European Initiative in the General Assembly", "Letter dated 13 July 2011 from the Permanent Representatives of Italy, Montenegro, Serbia and Ukraine to the United Nations addressed to the Secretary-General", "In accordance with rule 14 of the rules of procedure of the General Assembly, I have the honour to request the inclusion in the provisional agenda of the sixty-sixth session of the General Assembly of a supplementary item entitled “Observer status for the Central European Initiative in the General Assembly”.", "In accordance with rule 20 of the rules of procedure of the General Assembly, an explanatory note in support of the above request (annex I) and a draft resolution (annex II) are attached.", "I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly.", "Permanent Representative of Italy", "Ambassador", "(Signed) Cesare Maria Ragaglini", "Permanent Representative of Montenegro", "Ambassador", "(Signed) Milorad Šepanovic Chargé d ' affaires a.i.", "Permanent Representative of Serbia", "Ambassador", "(Signed) Fyodor Stašević", "Permanent Representative of Ukraine", "Ambassador", "(Signed) Yuri Sergeyev Ambassador Permanent Representative", "Annex I", "Memorandum of explanation", "Historical background", "The CEI originated in Budapest in November 1989 with the establishment of the “quartet”, the founders of which were Italy, Austria, Hungary and the Socialist Federal Republic of Yugoslavia (Yugoslavia). The Ministers for Foreign Affairs of the four founding countries then adopted a joint statement stating their Governments ' willingness to strengthen good-neighbourly relations and to develop multilateral cooperation among their respective countries. In 1990, Czechoslovakia joined and the initiative was renamed “Five Parties”; in 1991, Poland was admitted as “six Parties”. In 1992, new members were admitted and decided to change their name to the Central European Initiative. In 1993, 1996, 2000-2006, the Central European Initiative (CEI) continued to expand to include the last, the eighteenth, Member State. The Central European Initiative is currently the largest intergovernmental forum for regional cooperation.", "Membership", "The Central European Initiative is an intergovernmental forum for regional cooperation and consultation among 18 member States of Central, Eastern and South-Eastern Europe,[1] which is guided by the Central European Initiative Guidelines and Rules of Procedure, which generally outlines the objectives, structure and operational principles of the Initiative. The CEI member States are guided by the principles of the Charter of the United Nations and all Helsinki Process/OSCE documents. It also adheres to the final declaration and documents adopted by the Heads of Government and Foreign Ministers of the Central European Initiative.", "Structure", "The CEI approach is flexible and promotes intergovernmental, inter-parliamentary and business cooperation. Intergovernmental cooperation is the provision of political and economic orientation and the organizational and financial directives of the Central European Initiative, which include the following bodies: Summit of Heads of Government, Meeting of Ministers for Foreign Affairs, Committee of National Coordinators, working bodies (Coordination of Priority Networks, Project Implementation Group, Ad Hoc Working Group, etc.) and the Executive Secretariat. [2] Cooperation between the parliaments of the member countries of the Central European Initiative has taken place in the early years. The CEI Parliamentary Cooperation has its own structure and rules of procedure. CEI business cooperation also has its own structure and rules of procedure.", "Presidency", "The Presidency of the Central European Initiative rotates annually at the beginning of the calendar year according to the English alphabetical order of the names of the States members of the Initiative. The current presidency was supported by the former and incoming Presidents, which formed the Troika of the Central European Initiative.", "Flags and languages", "The CEI flag is blue, with the official CEI logo. The CEI logo is an example of the CEI, surrounded by 10 yellow stars, which form a half circle. The working language of the Central European Initiative is English. The CEI document was prepared in English.", "Mission", "The mission of the Central European Initiative is regional cooperation for European integration.", "Aims and objectives", "The strategic objectives of the Central European Initiative are to work towards unification, a Europe without dividing lines, a shared European common values, the inclusion of all the countries, regions, peoples and citizens of the continent, and to focus on cooperation within the context of the Central European Initiative, in particular by providing assistance to strengthen the least developed member States and those most in need of accelerated economic development or recovery.", "In addition, cooperation within the framework of the Central European Initiative is aimed at the following main objectives: strengthening cooperation among member States, in particular with regard to the European agenda, which is more valuable without prejudice to the enlargement of the European Union; supporting the efforts of all interested member States to promote European integration; strengthening cooperation with the European Union and participating in and facilitating the implementation of appropriate EU projects; and promoting the development of civil society as a catalyst for democratic transformation.", "Areas of cooperation", "Intergovernmental cooperation within the framework of the Central European Initiative includes, inter alia, consultations on political issues of common interest; economic and technical cooperation; development of transport, energy, telecommunications and agricultural infrastructure; strengthening of democratic institutions and observance of human rights, including the rights of persons belonging to national minorities, and humanitarian affairs; protection of the human living environment; cooperation in the fields of science and technology, media, culture, education, youth exchange and tourism; and cross-border and interregional cooperation. The three-year action plan identified priorities for the Organization ' s cooperation.", "Funds and instruments", "To achieve its goals and objectives, the Central European Initiative has developed a strong component over the years to complement the political dialogue among member States. These projects cover various areas of the economic, institutional and human development sectors and are supported by a number of funds and instruments: — “CEI” Cooperation Fund, funded by all Member States, for small-scale multilateral projects, usually in the form of conferences, seminars, workshops, etc.; — “CEI” Trust Fund, based at the European Bank for Reconstruction and Development, financed by Italy, to provide technical assistance to support EBRD's investments in Central European EU countries; — “CEI” Knowledge exchange programmes, funded by Italy and Austria, for capacity-building and related projects on the transfer of good practices to Central European Union countries; — “CEI” University Network, funded by Italy, with doctoral and master's programmes, summer camps and seminars; — “CEI” Science and Technology Network, financed by Italy, to support scientific and technical cooperation, thereby giving young scientists, preferably from Central European Initiative non-European Union countries, the opportunity to participate in training programmes and research activities at these centres; — EU project, funded jointly by the European Commission and other partners, to strengthen the participation of CEI countries in European Union projects, with a focus on transnational and regional cooperation.", "Cooperation with other organizations", "The Initiative works in cooperation with all major international organizations and institutions. The Central European Initiative cooperates with the United Nations system and other relevant international organizations, in particular the Organization for Economic Cooperation and Development, as well as with international financial institutions, in particular the European Bank for Reconstruction and Development. It also cooperates with the European Union, the Council of Europe and the Organization for Security and Cooperation in Europe, as well as with other regional cooperation initiatives of mutual interest.", "Relations with the United Nations", "The Initiative cooperates with a number of United Nations specialized agencies: the United Nations Economic Commission for Europe in enterprise development; the United Nations Environment Programme in the field of environment; the World Tourism Organization in the field of tourism; the Food and Agriculture Organization of the United Nations in the field of agriculture; the United Nations Educational, Scientific and Cultural Organization in the field of culture; and the United Nations Industrial Development Organization in the field of science and technology.", "United Nations Economic Commission for Europe. Cooperation with the United Nations Economic Commission for Europe dates back to a memorandum of understanding signed in 1998 and deserves special emphasis. This cooperation, particularly in the area of small and medium-sized enterprises, resulted in the publication “Summary 2000-2001”, a regional investor manual of the Central European Initiative, first published on the occasion of the Economic Forum of the 2000 Summit. The United Nations Economic Commission for Europe and the Central European Initiative continued this cooperation over the next two years by publishing the Investment Guide 2001-2002. The Central European Initiative regional project opportunities. Investment Guide 2002-2003. In addition, from 1999 to 2003, the annual meeting of the Central European Initiative-United Nations Economic Commission for Europe cooperation was held in Geneva, followed by a meeting of national coordinators to analyse areas of common support and identify common projects and activities. In the subsequent years, the Central European Initiative has successfully refocused its activities and focused more on cooperation with international and regional organizations. As a result, recent efforts have relaunched cooperation with the United Nations Economic Commission for Europe within the framework of the existing memorandum of understanding.", "United Nations Environment Programme. The Central European Initiative (CEI) cooperates with UNEP on a number of levels, through a memorandum of understanding, between the Central European Initiative (CEI) and UNEP Vienna (the interim secretariat of the Carpathian Convention). The memorandum of understanding was signed on 13 December 2006 in Kiev, the capital of Ukraine, on the occasion of the first meeting of the Contracting Parties to the Carpathian Convention. In cooperation with the United Nations Environment Programme (UNEP) in Vienna, the Central European Initiative is implementing the EU-funded interregional Carpathian Project to promote the protection and sustainable development of the unique natural and cultural heritage of the Carpathian region. In accordance with the memorandum of understanding, special attention is given to issues of common interest, such as environmental protection, infrastructure, agriculture and tourism. The Central European Initiative actively participates in events and meetings organized within the framework of the Carpathian Convention, in particular the Conferences of the Parties to the Conventions. At the project level, the Central European Initiative, in cooperation with UNEP, organizes seminars and workshops.", "3. World Tourism Organization. The World Tourism Organization is an important partner of the Central European Initiative in promoting international cooperation in tourism, which is an important sector of economic development for the countries of the Central European Initiative region. Representatives of the World Tourism Organization participated in the high-level meetings of the Central European Initiative and the Ministerial Conference on Tourism. Meanwhile, the Central European Initiative participated in the meeting of the Council of Europe of the World Tourism Organization. The Central European Initiative and the World Tourism Organization also jointly support many projects, meetings and activities in Central, Eastern and South-Eastern European countries; World Tourism Organization experts regularly provide expertise at the Central European Initiative seminars and meetings.", "4. FAO. The Initiative also has fruitful cooperation with the Food and Agriculture Organization of the United Nations, mainly at the project level. The main counterpart of the Central European Initiative is the FAO Technical Cooperation Department and its Investment Centre Division. The Central European Initiative, through its trust fund of the European Bank for Reconstruction and Development, has funded a number of technical cooperation efforts, carried out by FAO experts in Central and Eastern Europe. The most successful projects included support for the development of wholesale terminals for fresh agricultural products, the establishment of the Central European Initiative Wholesale Market Foundation and the creation of the EastAgri Network, an investment platform for financial institutions to invest in agribusiness and agriculture in the Central European Initiative region and elsewhere. Ongoing cooperation also includes smaller-scale projects aimed at transferring specific expertise from European Union member States in the Central European Initiative region to non-European Union member States.", "5. UNESCO. In 2009, a memorandum of understanding was signed with the UNESCO office in Venice, which is a framework for promoting joint cooperation and coordination in the field of cultural science and for enhancing the impact and effectiveness of their respective programmes and instruments. Areas of common interest include, inter alia, the protection of cultural heritage, intercultural dialogue, climate change and sustainable energy, Earth science and related technologies. Cooperation takes the form of exchange of experience, co-sponsorship, co-organization and co-financing. In the coming period, the two organizations will exchange proposals to identify specific activities to be implemented jointly.", "UNIDO. Cooperation with UNIDO is taking place within the framework of the Central European Initiative's Science and Technology Network, through the UNIDO International Centre for Science and High Technology in Trieste. As mentioned above, cooperation with the Centre is aimed at strengthening scientific and technical cooperation in the CEI region by financing the organization of seminars, conferences, workshops and training courses. Cooperation with the UNIDO International Centre for Science and High Technology was established by a three-year agreement complemented by an annual work plan. The latest agreement was signed in early 2010.", "Activities with Governments and non-governmental organizations", "As an intergovernmental organization, the Central European Initiative actively cooperates with 18 member Governments through its structure, namely, the Summit and the Meeting of Ministers for Foreign Affairs. Other ministerial meetings on an issue are held in accordance with special political arrangements. The Initiative also seeks to cooperate with the most important European organizations and institutions, such as the European Union, the European Bank for Reconstruction and Development, the Organization for Economic Cooperation and Development, the Council of Europe and the Organization for Security and Cooperation in Europe.", "European Union. Emphasis has been placed on cooperation with the European Union and the Council of Europe. At the institutional level, the Council of Europe regularly participates as a special guest in the high-level meeting of the Central European Initiative. With regard to operational linkages, the Executive Secretary of the Central European Initiative, through its EU-funded project sector, has received funding from the European Union as a partner for the implementation of more than a dozen Central European Initiative projects covering various areas (e.g. space development, information and communication technologies and information society, transport, small and medium-sized enterprise development, energy, etc.). In an important development, the Central European Initiative secured the role of key partners in several projects in 2008.", "European Bank for Reconstruction and Development. The Central European Initiative has an office at the European Bank for Reconstruction and Development, which manages the Central European Initiative trust fund, which is fully funded by the Government of Italy. The office is located in the Office of the Vice-President of Operational Policy of the European Bank for Reconstruction and Development. Through this office, the Initiative has achieved a comparative advantage relative to other funds within the Bank. This cooperation gives the Central European Initiative a high profile and allows it to develop better coordinated and successful partnerships.", "Organization for Economic Cooperation and Development. Cooperation with the Organization for Economic Cooperation and Development began in 2002. OECD and the Central European Initiative have been working together over the years to improve the impact and effectiveness of their respective programmes and to accelerate the achievement of common objectives, particularly in the areas of SME development, cross-border cooperation and local development. The results of cooperation have been presented at several CEI summits, taking into account both political and economic aspects.", "Council of Europe and OSCE. In the areas of institution-building and human resource development (culture, education, minorities, combating organized crime, cross-border cooperation), the Initiative has strong partners with expertise, such as the Council of Europe and OSCE. Cooperation between the Central European Initiative and the Council of Europe has intensified, particularly in the past few years. The possibility of initiating project-oriented cooperation was fully explored, which could enhance their respective assets and efforts, particularly in areas and industries of common interest. Information was exchanged on programmes and activities and several specific proposals for cooperation were made.", "In addition to these organizations, the Central European Initiative works closely with a number of regional organizations and forums both within and outside the Initiative: the Adriatic-Ionian Initiative, the Black Sea Economic Cooperation Organization, the Council of Baltic States, the Regional Cooperation Council and the South-East European Cooperation Process.", "1. Council for Regional Cooperation. Cooperation with the Regional Cooperation Council dates back to its establishment in 2008. Preliminary contacts took place on 31 March 2008, on the occasion of the coordination meeting of the Black Sea Economic Cooperation Organization. Indeed, the Coordination Meeting has been an excellent opportunity to establish bilateral or trilateral contacts over the years. In addition, cooperation with the Regional Cooperation Council was further strengthened by the signing of a memorandum of understanding in Sarajevo on 12 May 2009. A major highlight of cooperation is the Regional Initiative for Sustainable Energy Development, the first joint project of the Central European Initiative and the Regional Cooperation Council. The Regional Initiative for Sustainable Energy Development represents a concrete and coordinated effort by the two organizations to promote sustainable energy development and to maximize the benefits for the countries of Central and Eastern Europe.", "2. Black Sea Economic Cooperation Organization. Cooperation with the Black Sea Economic Cooperation Organization dates back to 1997. This cooperation was strengthened in 2011. On 7 March 2011, a memorandum of understanding was signed in Istanbul. Initial steps were taken to achieve the Memorandum, with ad hoc consultations in two of the oldest and most experienced forums in the region, which identified a number of areas of cooperation, such as environment, energy, transport, agriculture, science and technology. It is expected that the Memorandum will provide a general framework for the regular coordination of activities between the two organizations to strengthen relations between the two countries with a view to strengthening cooperation and working together on issues of common interest. This also guarantees the avoidance of duplication.", "Adriatic-Ionian Initiative. To date, cooperation with the Adriatic-Ionian Initiative has focused mainly on education, within the framework of the Central European Initiative University Network and UNIADRION (the University Network within the framework of the Adriatic-Ionian Initiative). However, the two organizations are undertaking initiatives and activities, including mutual participation in high-level and expert meetings.", "Reasons for obtaining observer status for the Central European Initiative", "The Central European Initiative sought observer status for the following reasons:", "(a) The Central European Initiative is the oldest and largest forum in Europe, with a territory of about 2.4 million square kilometres and a population of over 250 million. The Central European Initiative (CEI) was established over the years to overcome the long-standing isolation of groups in Europe and to establish cooperative links within the subregion between countries with different political views. Indeed, the Central European Initiative has shifted from a focus on policy dialogue to a focus on the transfer of technology and know-how, the promotion of climate and energy sustainability, and civil society, particularly in the areas of research, education, culture and the media.", "(b) Building symbolic and de facto bridges across former (or still existing) dividing lines can help “vulnerable countries”, but only if they are accompanied by job creation and the strengthening of social and economic systems, with increased attention to the views of youth. The Central European Initiative is being sought and works closely with all global, European and regional actors. The ultimate goal is to have a concrete and positive impact on human life.", "(c) The Central European Initiative has a role to play in developing and co-financing specific projects in its member States, drawing on the structure of development that has existed for almost 22 years and its position within the 18 member Governments, with its own funds. Opportunities are multifaceted and represent an important advantage of the Central European Initiative, which, when combined with the experience and resources of other international organizations, can have a stronger impact.", "(d) Some of the priorities of the Central European Initiative and the United Nations Millennium Development Goals complement each other, in particular education for all, gender equality, ensuring environmental sustainability and global partnership. The activities of the Central European Initiative in these areas are as follows:", "(i) Education for all. The Initiative's cooperation in the area of human resources development and education focuses on activities to promote employment through education and training; on the concept of lifelong learning and its implementation; and on the promotion of education through the further development of the Central European Initiative university network. These issues are of particular importance today. In this context, the Central European Initiative (CEI) helped to identify ways to integrate specific “sensitive” groups (children, women, low-qualified persons, school graduates, long-term unemployed, migrants, persons with disabilities, etc.) into the labour market through education/training. Therefore, using successful methods (methods, plans, initiatives, projects) to promote education for children and adults through the exchange of experiences and good practices is a priority of the Central European Initiative.", "(ii) Gender equality. The Central European Initiative supports the advancement of women in all spheres of society. The Central European Initiative has always sought to better understand women's entrepreneurship in its member countries, analyse the importance of social innovation as part of the entrepreneurship process and make specific recommendations to support social innovation programmes and policies that assist women entrepreneurs. To this end, several programmes and projects are supported by the Central European Initiative.", "(iii) Ensure environmental sustainability. The Central European Initiative focuses on major global issues, such as climate change, environmental protection, energy efficiency and renewable energy. In such cases, a win-win solution should be found for all. The Central European Initiative also recognizes the importance of energy and environmental protection as an essential element of sustainable development. As a result, the Central European Initiative has enhanced cooperation among countries in these areas, thereby improving global energy efficiency and environmental sustainability. The Central European Initiative provides a framework for consultations among member States to exchange knowledge on strategies and policies, as well as on the implementation of activities and projects.", "(iv) Global partnerships. The successful implementation of the goals and objectives of the Central European Initiative depends to a large extent on its partnerships with the United Nations, with all other international organizations and international financial institutions, as well as with Governments of Member States and other institutions and civil society organizations. This partnership will continue to be further developed and strengthened. The Central European Initiative and its partners will continue to assist development programmes and projects in countries most in need of accelerated economic development or recovery, which is also one of the strategic objectives of the Initiative.", "The Central European Initiative also addresses issues covered by the Millennium Development Goals through various means of funding and cooperation, such as poverty eradication, child health and maternal health projects, funded and supported by the Central European Initiative.", "Conclusions", "On the occasion of the meeting of the Ministers for Foreign Affairs of the Central European Initiative, held in Trieste on 10 June 2011, the Ministers expressed their support for seeking observer status in the United Nations General Assembly for the Central European Initiative, thus further strengthening cooperation between the United Nations and the Central European Initiative.", "The Central European Initiative intends to maintain this momentum and strengthen communication and collaboration with the United Nations on issues of common interest.", "Annex II", "Draft resolution", "Observer status for the Central European Initiative in the General Assembly", "The General Assembly,", "Taking into account the objectives and objectives of the Central European Initiative and its cooperation mechanisms for promoting harmonious solidarity among States,", "Wishing to promote cooperation between the United Nations and the Central European Initiative,", "Decides to invite the Central European Initiative to participate in the sessions and the work of the General Assembly in the capacity of observer;", "Requests the Secretary-General to take the necessary action to implement the present resolution.", "[1] Albania, Austria, Belarus, Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Hungary, Italy, Montenegro, Poland, Republic of Moldova, Romania, Serbia, Slovakia, Slovenia, the former Yugoslav Republic of Macedonia and Ukraine.", "[2] The Executive Secretariat of the Central European Initiative was established in Trieste in 1996, when Austria was in the Chair. The Italian Government offered to host Trieste (through Genoa) free of charge, under the terms of the Protocol signed by the Executive Secretariat of the Central European Initiative and the Autonomous Region of Freuli Venez Giulia. Under the headquarters agreement concluded in 1996 between the Government of Italy and the Austrian Presidency, the Central European Initiative has the legal status of an international organization. In 2009, a revised Headquarters Agreement was signed with the Romanian Presidency.", "[3] The Science and Technology Network of the Central European Initiative has seven prominent international research centres based in Trieste, Italy: the International Centre for Genetic Engineering and Biotechnology, the UNIDO International Centre for High Technology, the Bdvs Salam International Centre for Theoretical Physics, the International Academy of Advanced Studies, the Elettra Synchronous Radiation Laboratory, the Regional Science Parks Group and the Biomedicine Group." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目3", "联合国国际发展合作业务活动", "理事会副主席贡萨洛·古铁雷斯·赖内尔先生(秘鲁)在非正式协商基础上提出的决议草案", "执行大会关于联合国系统发展业务活动三年期全面政策审查的第62/208号决议的进展情况", "经济及社会理事会，", "回顾大会2007年12月19日关于联合国系统发展业务活动三年期全面政策审查的第62/208号决议、关于联合国系统发展业务活动的2008年12月19日第63/232号决议、2009年12月21日第64/220号决议和2011年12月20日第65/177号决议、关于全系统一致性问题的2010年7月2日第64/289号决议以及经济及社会理事会关于执行大会第62/208号决议的进展情况的2008年7月18日第2008/2号决议、2009年7月22日第2009/1号决议和2010年7月23日第2010/22号决议，", "重申发展业务活动全面政策审查的重要性，大会通过审查为联合国系统的发展合作和国家一级的发展合作模式确定重要的全系统政策方向，", "确认必须通过执行第62/208号决议提供援助，以便克服改善人类生活方面的挑战，", "回顾经济及社会理事会在向联合国系统提供协调和指导方面的作用，以确保大会确定的政策方向根据大会2003年6月23日第57/270 B号决议、2006年11月20日第61/16号决议、第62/208号决议和其他相关决议在全系统付诸实行，", "赞赏地注意到秘书长向理事会业务活动部分提交的报告，[1]", "联合国发展系统发展业务活动的供资", "1. 注意到秘书长关于2009年联合国系统发展业务活动供资情况分析的报告，[2] 回顾大会第64/289号决议有关改进发展业务活动筹资系统的章节，并期望予以落实；", "落实大会第62/208号决议所取得的成果、采取的措施和开展的工作", "2. 注意到联合国发展系统为落实大会第62/208号决议所采取的步骤；", "3. 欣见成立联合国妇女署，为此请联合国国家工作队明确各自的分工，以更好地满足各国在改善性别平等和增强妇女权利方面的需要，呼吁联合国发展集团支持更系统地评价(包括通过联合评价)日益增加的联合规划和联合方案等共同举措对各机构根据自身任务促进两性平等和增强妇女能力的影响；", "4. 邀请联合国系统和有关国际金融机构，包括布雷顿森林机构，进一步探讨如何完全按照受援国确定的重点促进合作、协作和协调，包括在救济向发展过渡的国家，包括通过进一步统一战略框架、文书、方式和伙伴关系安排，为此强调必须确保在国家当局的领导下进一步协调联合国机构、基金和方案及有关国际金融机构，包括布雷顿森林机构拟订的战略框架，同时维护各组织的机构完整和组织任务以及国家减贫战略，酌情包括减贫战略文件；", "5. 欣见方案试点国2008年5月在马普托、2009年10月在基加利和2010年6月在河内举行的政府间会议，赞赏地注意到《马普托宣言》、《基加利宣言》和《河内宣言》，并期待定于2011年11月举行的“一体行动”政府间会议取得成果，同时考虑到国家自主和“不一刀切”原则；", "驻地协调员制度的运作情况，包括费用和益处", "6. 邀请联合国系统各组织加倍努力执行联合国发展管理及问责制度和驻地协调员制度，包括驻地协调员制度的“功能防火墙”，确保驻地协调员制度以最佳方式进行运作，以反映整个联合国系统的投入，并加强联合国国家工作队内部相互问责原则的执行；", "7. 鼓励联合国系统各组织改善联合国发展援助框架与其机构具体方案规划和项目文件之间的联系，同时考虑到各自的专门任务和业务模式，在这方面注", "意到一些方案国家努力通过拟订共同国家方案改善这种联系；", "8. 邀请联合国发展集团对支持驻地协调员制度的现有筹资方式进行审查，包括联合国有关组织之间适当的责任分担，为改善对国家一级驻地协调员制度的供资和支持提出建议，秘书长应就此向经济及社会理事会提交报告；", "9. 呼吁秘书长确保紧急救济协调员和联合国开发计划署署长应先加强协商，再就可能需要重大人道主义应对行动国家的驻地协调员的挑选工作提出最后建议；", "10. 敦促管理问题高级别委员会和联合国发展集团审查人力资源和机构间人员流动条例及政策，确保这些条例和政策有利于联合国系统中担任驻地协调员的工作人员的职业发展，并制订全系统政策支持具有不同区域和机构背景的合格工作人员申请驻地协调员评估；", "联合国发展系统的简化和统一", "11. 敦促联合国系统各组织按照有关政府间任务确定并加快执行有望从简化和统一中产生最大效益的业务流程；", "12. 鼓励联合国系统各组织在现有规划、预算和评价系统内报告改进业务流程所节省的费用，并在这方面请联合国发展集团支持联合国国家工作队拟订国家一级的有效业务做法指标，以此作为联合国发展集团2010年开展的进程的一部分；", "13. 敦促联合国总部重新关注联合国国家工作队的需要，并采取大胆举措克服瓶颈，为国家一级的创新工作打下坚实基础；", "2012年四年期全面政策审查指导", "14. 请秘书长在2012年联合国系统业务活动四年期全面政策审查中特别注意：", "(a) 执行大会第62/208号决议规定的行动的进展情况；", "(b) 确定具体措施、行动和决定，进一步加强国家、区域和全球各级联合国系统发展业务活动的相关性和影响及其效力、成效和连贯一致，同时考虑到“一体行动”独立评价的结果以及国家主导评价的报告；", "(c) 审查联合国发展系统取得的进展，确保国家对联合国业务活动的自主和领导，包括通过利用国家行政系统，并为此明确今后的步骤；", "(d) 评估驻地协调员制度的运作情况，包括是否能够按照国家发展优先工作在国家一级代表和支持整个联合国系统，如有需要，提出相关措施建议；", "(e) 提出新的筹资建议，确保联合国发展业务活动资金充足、可预测和稳定；", "(f) 报告联合国基金和方案关于获得必要核心资源的讨论情况；", "(g) 对回收非核心资金支持费用的现行政策进行机构审查，包括是否用核心资金补贴非核心资金方面的资料；", "(h) 审查联合国发展系统在改善成果战略规划和管理以加强问责和提高透明度方面取得的进展，并明确措施以进一步改善其长期交付和成果；", "(i) 分析联合国系统业务活动的特点、方法和战略及方案框架应如何发展以在国家自主和领导原则的基础上应对各种国家情况，并应如何适应不断发展的国际发展合作环境；", "(j) 审查在国家一级改善协调以更好地把性别平等和增强妇女能力纳入联合国系统业务活动主流方面取得的进展；", "(k) 对联合国发展援助框架进行评估，以便除其他外在联合国发展集团进行的审查的基础上确定与国家优先工作的对应情况、对国际商定发展目标，包括千年发展目标的重视程度以及其进程的效力；", "15. 鼓励秘书长在编写四年期全面政策审查报告时，充分利用关于联合国系统支持的效力、成效和相关性的调查结果以及联合国系统发展业务活动全系统评价的现有机构框架；", "16. 请秘书长通过经济及社会理事会向大会提交关于大会第62/208号决议执行情况分析的报告和关于发展业务活动资金筹措情况分析的报告，并直接向大会提交一份附有针对四年期全面政策审查所提建议的报告。", "[1] 秘书长关于落实大会第62/208号决议所取得的成果、采取的措施和开展的工作的报告(E/ 2011/112)；秘书长关于2009年联合国系统发展方面业务活动供资情况分析的报告(A/66/79- E/2011/107)；秘书长关于驻地协调员制度运作情况，包括其费用和益处的报告(E/2011/86)；秘书长关于联合国发展系统的简化和统一问题的报告(E/2011/88)。", "[2] 秘书长关于2009年联合国系统发展方面业务活动供资情况分析的报告(A/66/79-E/2011/107)。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 3", "Operational activities of the United Nations for international development cooperation", "Draft resolution submitted by the Vice-President of the Council, Gonzalo Gutiérrez Reinel (Peru), on the basis of informal consultations", "Progress in the implementation of General Assembly resolution 62/208 on the triennial comprehensive policy review of operational activities for development of the United Nations system", "The Economic and Social Council,", "Recalling General Assembly resolutions 62/208 of 19 December 2007 on the triennial comprehensive policy review of operational activities for development of the United Nations system, 63/232 of 19 December 2008, 64/220 of 21 December 2009 and 65/177 of 20 December 2011 on operational activities for development of the United Nations system, 64/289 of 2 July 2010 on system-wide coherence and Economic and Social Council resolutions 2008/2 of 18 July 2008, 2009/1 of 22 July 2009 and 2010/22 of 23 July 2010 on progress in the implementation of Assembly resolution 62/208,", "Reaffirming the importance of the comprehensive policy review of operational activities for development, through which the General Assembly establishes key system-wide policy orientations for the development cooperation and country-level modalities of the United Nations system,", "Acknowledging the importance of delivering assistance in order to overcome the challenges to improving human life by implementing 62/208,", "Recalling the role of the Economic and Social Council in providing coordination and guidance to the United Nations system so as to ensure that policy orientations established by the General Assembly are implemented on a system-wide basis in accordance with Assembly resolutions 57/270 B of 23 June 2003, 61/16 of 20 November 2006, 62/208 and other relevant resolutions,", "Taking note with appreciation of the reports of the Secretary-General submitted to the Council at its operational activities segment,[1]", "Funding for operational activities for development of the United Nations development system", "1. Takes note of the report of the Secretary-General on the analysis of the funding for operational activities for development of the United Nations system for 2009[2] and recalls the section of General Assembly resolution 64/289 on improving the funding system of operational activities for development of the United Nations system, and looks forward to its implementation;", "Results achieved and measures and processes implemented in follow-up to General Assembly resolution 62/208", "2. Notes the steps taken by the United Nations development system in implementing General Assembly resolution 62/208;", "3. Welcomes the establishment of UN-Women and invites the United Nations country teams, in that context, to elaborate the division of labour among themselves in order to better address the needs of countries in improving gender equality and the empowerment of women, and calls upon the United Nations Development Group to support efforts to evaluate more systematically, including through joint evaluations, the impact of the growing number of joint initiatives, such as joint programming and programmes, on bringing agencies together to contribute to gender equality and the empowerment of women, in accordance with their respective mandates;", "4. Invites the United Nations system and the relevant international financial institutions, including the Bretton Woods institutions, to explore further ways to enhance cooperation, collaboration and coordination, including in countries in transition from relief to development, including through the greater harmonization of strategic frameworks, instruments, modalities and partnership arrangements, in full accordance with the priorities of the recipient Governments, and in that regard emphasizes the importance of ensuring, under the leadership of national authorities, greater consistency between the strategic frameworks developed by the United Nations agencies, funds and programmes and the relevant international financial institutions, including the Bretton Woods institutions, while maintaining the institutional integrity and organizational mandates of each organization and the national poverty reduction strategies, including poverty reduction strategy papers, where they exist;", "5. Welcomes the intergovernmental meetings of programme pilot countries held in Maputo, in May 2008, in Kigali, in October 2009 and in Hanoi, in June 2010, takes note with appreciation of the Maputo, Kigali and Hanoi declarations, and looks forward to the outcome of the Intergovernmental Conference on “Delivering as One”, to be convened in Montevideo in November 2011, taking into account the principle of national ownership and “no one size fits all”;", "Functioning of the resident coordinator system, including costs and benefits", "6. Invites United Nations system organizations to redouble their efforts to implement the management and accountability system of the United Nations development and resident coordinator system, including the “functional firewall” for the resident coordinator system, so as to ensure that the resident coordinator system is functioning in an optimal way that reflects the inputs of the United Nations system as a whole and reinforces the implementation of the principle of mutual accountability within the United Nations country team;", "7. Encourages United Nations system organizations to improve the linkages between the United Nations Development Assistance Framework and their agency-specific programming and project documents, taking into consideration their specialized mandates and business models, and notes in this context the efforts of some programme countries to improve linkages through the development of common country programmes;", "8. Invites the United Nations Development Group to conduct a review of existing funding modalities in support of the resident coordinator system, including appropriate burden-sharing arrangements among relevant United Nations organizations, making recommendations to improve the provision of resources and support to the resident coordinator system at the country level, to be reported by the Secretary-General to the Economic and Social Council;", "9. Calls upon the Secretary-General to ensure that both the Emergency Relief Coordinator and the Administrator of the United Nations Development Programme enhance their consultations before presenting final recommendations in the selection process for resident coordinators in countries likely to require significant humanitarian response operations;", "10. Urges the High-level Committee on Management and the United Nations Development Group to review regulations and policies relating to human resources and inter-agency staff mobility to ensure that they are supportive of the careers of United Nations system staff who serve as resident coordinators, and to establish a system-wide policy to support qualified staff from various geographical and agency backgrounds applying for resident coordinator assessment;", "Simplification and harmonization of the United Nations system", "11. Urges United Nations system organizations to identify and accelerate the implementation of those business processes that promise the highest return from simplification and harmonization, in compliance with relevant intergovernmental mandates;", "12. Encourages United Nations system organizations within their existing planning, budget and evaluation systems to report on their cost savings resulting from improvement of their business operations, and, in that regard, requests the United Nations Development Group to support United Nations country teams in developing their country-level indicators for their efficient business practices as part of the process launched by the United Nations Development Group in 2010;", "13. Urges United Nations Headquarters to pay renewed attention to the needs of United Nations country teams and to take bold initiatives to remove bottlenecks and create sufficient ground for innovations at the country level;", "Guidelines for the quadrennial comprehensive policy review in 2012", "14. Requests the Secretary-General to pay particular attention, in the report for the 2012 quadrennial comprehensive policy review of operational activities for development of the United Nations system, to:", "(a) The status of implementation of the actions mandated by the General Assembly in its resolution 62/208;", "(b) The identification of specific measures, actions and decisions required to further improve the relevance and impact of operational activities for development of the United Nations system at the country, regional and global levels as well as their effectiveness, efficiency and coherence, taking into consideration the findings of the independent evaluation of “Delivering as One” as well as the reports of the country-led evaluations;", "(c) A review of progress made by the United Nations development system to ensure national ownership and leadership of United Nations operational activities, including through the use of national administrative systems and the identification of further steps needed in that regard;", "(d) An assessment of the functioning of the resident coordinator system, including its ability to represent and support the entire United Nations system at the country level, in alignment with national development priorities, and, if needed, recommendations for measures in that regard;", "(e) Further proposals to ensure adequate, predictable and stable funding for United Nations operational activities for development;", "(f) Reporting on discussions held by the governing bodies of United Nations funds and programmes on attaining a critical mass of core resources;", "(g) Agency reviews of the current policies regarding recovery of support costs for non-core funding, including information as to whether core resources have subsidized non-core funding;", "(h) A review of progress made by the United Nations development system to improve results-based strategic planning and management in order to improve accountability and transparency, and identification of measures to further improve its long-term delivery and results;", "(i) An analysis of how the characteristics, approaches and strategic and programming frameworks of United Nations system operational activities should evolve to respond to various country situations, based on the principles of national ownership and leadership, and to the evolving international development cooperation environment;", "(j) A review of progress at the country level in improving coordination on mainstreaming gender equality and the empowerment of women in United Nations system operational activities;", "(k) An assessment of the United Nations Development Assistance Frameworks to determine, inter alia, their alignment with national priorities, their focus on the internationally agreed development goals, including the Millennium Development Goals, and the effectiveness of their process, building on the review conducted by the United Nations Development Group;", "15. Encourages the Secretary-General, in preparing the report for the quadrennial comprehensive policy review, to make full use of the outcomes of the survey on the effectiveness, efficiency and relevance of the support of the United Nations system and the comprehensive review of the existing institutional framework for the system-wide evaluation of operational activities for development of the United Nation system;", "16. Requests the Secretary-General to submit to the General Assembly, through the Economic and Social Council, a comprehensive report on the analysis of the implementation of General Assembly resolution 62/208 and a report on the analysis of funding for operational activities for development, as well as to submit directly to the General Assembly a report with recommendations for the quadrennial comprehensive policy review.", "[1] Report of the Secretary-General on the results achieved and measures and processes implemented in follow-up to General Assembly resolution 62/208 (E/2011/112); report of the Secretary-General on analysis of the funding of operational activities for development of the United Nations system for 2009 (A/66/79-E/2011/107); report of the Secretary-General on the functioning of the resident coordinator system, including costs and benefits (E/2011/86); report of the Secretary-General on simplification and harmonization of the United Nations development system (E/2011/88).", "[2] Report of the Secretary-General on analysis of the funding of operational activities for development of the United Nations system for 2009 (A/66/79-E/2011/107)." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 3", "Operational activities of the United Nations for international development cooperation", "Draft resolution submitted by the Vice-President of the Council, Mr. Gonzalo Gutiérrez Reinel (Peru), on the basis of informal consultations", "Progress in the implementation of General Assembly resolution 62/208 on the triennial comprehensive policy review of operational activities for development of the United Nations system", "The Economic and Social Council,", "Recalling General Assembly resolutions 62/208 of 19 December 2007 on the triennial comprehensive policy review of operational activities for development of the United Nations system, 63/232 of 19 December 2008, 64/220 of 21 December 2009 and 65/177 of 20 December 2011 on operational activities for development of the United Nations system, 64/289 of 2 July 2010 on system-wide coherence and Economic and Social Council resolutions 2008/2 of 18 July 2008, 2009/1 of 22 July 2009 and 2010/22 of 23 July 2010 on progress in the implementation of Assembly resolution 62/208,", "Reaffirming the importance of the comprehensive policy review of operational activities for development, through which the General Assembly establishes key system-wide policy orientations for the development cooperation and country-level modalities of the United Nations system,", "Recognizing the need to provide assistance through the implementation of resolution 62/208 in order to overcome the challenges of improving human life,", "Recalling the role of the Economic and Social Council in providing coordination and guidance to the United Nations system to ensure that policy orientations established by the General Assembly are implemented on a system-wide basis in accordance with Assembly resolutions 57/270 B of 23 June 2003, 61/16 of 20 November 2006, 62/208 and other relevant resolutions,", "Taking note with appreciation of the report of the Secretary-General submitted to the Council at its operational activities segment, [1]", "Funding for operational activities for development of the United Nations development system", "1. Takes note of the report of the Secretary-General on the analysis of the funding of operational activities for development of the United Nations system for 2009,[2] recalls the section of General Assembly resolution 64/289 on improving the funding system for operational activities for development, and looks forward to its implementation;", "Results achieved, measures taken and efforts undertaken in follow-up to General Assembly resolution 62/208", "2. Notes the steps taken by the United Nations development system to implement General Assembly resolution 62/208;", "3. Welcomes the establishment of the United Nations Entity for Gender Equality and the Empowerment of Women, and in this regard requests United Nations country teams to clarify their respective division of labour in order to better address the needs of countries to improve gender equality and the empowerment of women, and calls upon the United Nations Development Group to support a more systematic evaluation of the impact of the growing number of joint initiatives, such as joint planning and joint programmes, including through joint evaluations, on the promotion of gender equality and the empowerment of women in line with their mandates;", "4. Invites the United Nations system and relevant international financial institutions, including the Bretton Woods institutions, to further explore ways to promote cooperation, collaboration and coordination, including in countries in transition from relief to development, in full accordance with the priorities identified by recipient countries, including through the further harmonization of strategic frameworks, instruments, modalities and partnership arrangements, and in this regard stresses the importance of ensuring, under the leadership of national authorities, greater coordination of the strategic frameworks developed by United Nations agencies, funds and programmes and relevant international financial institutions, including the Bretton Woods institutions, while preserving the institutional integrity and organizational mandates of the organizations and national poverty reduction strategies, including, where appropriate, poverty reduction strategy papers;", "Welcomes the intergovernmental meetings held in Maputo in May 2008, Kigali in October 2009 and Hanoi in June 2010 in the pilot countries of the programme, takes note with appreciation of the Maputo, Kigali and Hanoi Declarations, and looks forward to the outcome of the intergovernmental meeting on “Delivering as one”, to be held in November 2011, taking into account national ownership and the principle of “no one size fits all”;", "Functioning of the resident coordinator system, including costs and benefits", "Invites the organizations of the United Nations system to redouble their efforts to implement the United Nations development management and accountability system and the resident coordinator system, including the “functional firewall” of the resident coordinator system, to ensure that the resident coordinator system functions optimally to reflect the inputs of the United Nations system as a whole and to strengthen the implementation of the principle of mutual accountability within United Nations country teams;", "7. Encourages the organizations of the United Nations system to improve the linkages between the United Nations Development Assistance Framework and their agency-specific programming and project documents, taking into account their respective specific mandates and business models, and in this regard, notes", "Considers the efforts of some programme countries to improve these linkages through the development of common country programmes;", "8. Invites the United Nations Development Group to undertake a review of existing funding modalities in support of the resident coordinator system, including appropriate burden-sharing among relevant United Nations organizations, and to make recommendations to improve funding and support for the resident coordinator system at the country level, to which the Secretary-General should report to the Economic and Social Council;", "9. Calls upon the Secretary-General to ensure that the Emergency Relief Coordinator and the Administrator of the United Nations Development Programme intensify consultations before making final recommendations on the selection of resident coordinators for countries that may require a major humanitarian response;", "10. Urges the High-level Committee on Management and the United Nations Development Group to review human resources and inter-agency mobility regulations and policies to ensure that they facilitate the career development of staff serving as resident coordinators in the United Nations system and to develop system-wide policies to support qualified staff with different regional and institutional backgrounds to apply for resident coordinator assessments;", "Simplification and harmonization of the United Nations development system", "11. Urges the organizations of the United Nations system to identify and accelerate the implementation of business processes that are expected to yield maximum benefits from simplification and harmonization, in accordance with relevant intergovernmental mandates;", "12. Encourages the organizations of the United Nations system to report on the cost savings from improved business processes within existing planning, budgeting and evaluation systems, and in this regard requests the United Nations Development Group to support United Nations country teams in developing indicators of effective business practices at the country level as part of the process undertaken by the United Nations Development Group in 2010;", "13. Urges United Nations Headquarters to refocus attention on the needs of United Nations country teams and to take bold initiatives to overcome bottlenecks and to lay a solid foundation for innovative work at the country level;", "Guidance for the 2012 quadrennial comprehensive policy review", "14. Requests the Secretary-General, in his 2012 quadrennial comprehensive policy review of operational activities of the United Nations system, to pay particular attention to:", "(a) Progress in implementing the actions set out in General Assembly resolution 62/208;", "(b) Identify concrete measures, actions and decisions to further strengthen the relevance and impact of the operational activities for development of the United Nations system at the country, regional and global levels, as well as their effectiveness, effectiveness and coherence, taking into account the results of the independent evaluation of “delivering as one” and the country-led evaluation reports;", "(c) Review progress made by the United Nations development system to ensure national ownership and leadership of United Nations operational activities, including through the use of national administrative systems, and identify next steps to that end;", "(d) Assess the functioning of the resident coordinator system, including the ability to represent and support the United Nations system as a whole at the country level, in line with national development priorities, and recommend relevant measures, if needed;", "(e) New funding proposals to ensure adequate, predictable and stable funding for United Nations operational activities for development;", "(f) Report on the discussions of the United Nations funds and programmes on securing the necessary core resources;", "(g) Undertake an institutional review of current policies to recover non-core fund support costs, including information on whether core funds are used to subsidize non-core funding;", "(h) Review the progress made by the United Nations development system in improving strategic results planning and management to enhance accountability and transparency and identify measures to further improve its long-term delivery and results;", "(i) Analysis of how the characteristics, methods and strategic and programmatic frameworks of the operational activities of the United Nations system should evolve to respond to country situations on the basis of the principles of national ownership and leadership and to adapt to the evolving international development cooperation environment;", "(j) Review progress made in improving coordination at the country level to better mainstream gender equality and the empowerment of women in the operational activities of the United Nations system;", "(k) An assessment of the United Nations Development Assistance Framework with a view to, inter alia, determining the response to national priorities, the importance attached to the internationally agreed development goals, including the Millennium Development Goals, and the effectiveness of its processes, based on the review conducted by the United Nations Development Group;", "15. Encourages the Secretary-General, in preparing the quadrennial comprehensive policy review, to make full use of the findings on the effectiveness, effectiveness and relevance of United Nations system support and the existing institutional framework for the system-wide evaluation of operational activities for development of the United Nations system;", "Requests the Secretary-General to submit to the General Assembly, through the Economic and Social Council, reports on the analysis of the implementation of General Assembly resolution 62/208 and on the analysis of the financing of operational activities for development, and to submit directly to the Assembly a report with recommendations for the quadrennial comprehensive policy review.", "[1] Report of the Secretary-General on the results achieved, measures taken and work undertaken in follow-up to General Assembly resolution 62/208 (E/2011/112); report of the Secretary-General on the analysis of the funding of operational activities for development of the United Nations system for 2009 (A/66/79-E/2011/107); report of the Secretary-General on the functioning of the resident coordinator system, including its costs and benefits (E/2011/86); and report of the Secretary-General on simplification and harmonization of the United Nations development system (E/2011/88).", "[2] Report of the Secretary-General on the analysis of the funding of operational activities for development of the United Nations system for 2009 (A/66/79-E/2011/107)." ]

[ "联 合 国", "联合国难民事务高级专员经管的自愿基金", "2010年12月31日终了年度", "财务报告和已审计财务报表", "以及审计委员会的报告", "大 会", "正式记录 第六十六届会议 补编第5E号", "大 会 正式记录 第六十六届会议 补编第5E号", "[] 联合国 • 2011年，纽约", "联合国难民事务高级专员经管的自愿基金", "2010年12月31日终了年度", "财务报告和已审计财务报表", "以及审计委员会的报告", "A/66/5/Add.5", "说明", "ISSN 0257-1315", "联合国文件都用英文大写字母附加数字编号。凡是提到这种编号，就是指联合国的某一个文件。", "[2011年7月21日]", "目录", "章次 页次\n送文函 V\n1.审计委员会关于财务报表的报告：审计意见 1\n2.审计委员会的长式报告 3\nA.背景 8\nB.任务、范围和方法 8\nC.结论和建议 9\n1.以前建议的落实情况 9\n2.财务概览 10\n3.财务管理 11\n4.与服务终了福利有关的负债 13\n5.银行账户、现金和投资 14\n6.非消耗性和消耗性财产 16\n7.实施《公共部门会计准则》方面的进展 18\n8.执行情况报告和成果管理制 22\n9.风险管理 25\n10.实施伙伴 25\n11.持久难民情况 32\nD.管理层的披露 36\n1.现金、应收款和财产损失的核销 36\n2.惠给金 36\n3.欺诈和推定欺诈案件 37\nE.致谢 37 \n 附件 \n一.审计委员会就2009年12月31日终了年度所提建议执行情况分析 38二. 40 \n持久解决方案业务论证的指示性模型 \n3.高级专员的责任说明和财务报表的核准 41\n4.2010年12月31日终了年度财务概要 42\nA.导言 42\nB.背景 42\nC.财务概要 42\nD.周转金和担保基金 47\nE.其他事项 49\n5.2010年12月31日终了年度财务报表 51报表一. 52 \n收入和支出及准备金和基金结余变动报表 报表二. 53 \n资产、负债、准备金和基金结余报表 报表三. 54 \n现金流量报表 \n 附表 附表1. 56 \n按捐助者/基金开列的捐款 \n附表2.所有基金的可用资金 61\n附表3.上几个年度债务状况 64 \n 附录 \n联合国难民事务高级专员办事处目标和活动说明 66\n财务报表附注 67", "送文函", "纽约", "联合国", "联合国审计委员会主席", "按照《联合国难民事务高级专员经管的自愿基金财务细则》，谨提交2010年账目。该账目已按照《财务细则》第11.4条核证无误并已得到核可。", "关于你们对联合国难民事务高级专员办事处2010年12月31日终了年度财务报表的审计，我们据所知所信，并经对本组织的其他官员进行适当查询，确认以下陈述：", "1. 我们负责编写适当列报本组织各种活动的财务报表，并向你们作出准确陈述。所有会计记录已备好，供你们审计，会计记录中适当列报和记录了在财政期间实际发生的本组织所有财务事项。所有其他记录和相关资料均已为你们备妥。", "2. 编制财务报表的依据是：", "(a) 联合国系统会计准则；", "(b) 《联合国财务条例》；", "(c) 高级专员与执行委员会协商订立的《财务细则》；", "(d) 财务报表附注2概述的本组织会计政策；这些会计政策的适用基础与以往财政期间一致。", "3. 财务报表附注17中披露的非消耗性财产属本组织所有，无需付费。附注所披露2010年12月31日存在的非消耗性财产成本的呈报无误。", "4. 所记录的现金和机构间结余没有减损，并且我们认为其呈报无误。", "5. 所有重大应收款项都已列入财务报表，并属有效债权。除了呆账坏账备抵项下记录的呆账坏账估计数外，我们预期将能收回截至2010年12月31日的所有大宗应收款项。", "6. 所有已知的应付款项均已列入账目。", "7. 记录的未清债务是指本组织的有效承付款项，是按照《财务细则》确定的。", "8. 所有重大责任、法律责任及或有负债都已适当反映在财务报表中。", "9. 除财务报表披露的内容外，本组织的财务状况未受下列因素的重大影响：", "(a) 以往各年度的借项或贷项；", "(b) 会计制的任何变化。", "10. 在本期间列报的所有支出都是根据本组织的财务条例和捐助者的具体要求发生的。", "11. 由未来财政期间资源支付的所有承付款项均已按照联合国系统会计准则的规定予以披露。", "12. 我们还确认，所有损失的现金或应收款项、惠给金、推定欺诈和欺诈，无论在何处发生，均已向审计委员会通报。", "13. 在账目中披露了所有必要事项，以便财务报表能公允地列出本财政期间各种业务往来的结果。", "14. 自资产负债表编定以来，未发生任何导致有必要对财务报表或其附注中所列数字进行订正的会计事项。", "主计长兼财务和行政管理司司长", "卡伦·马德琳·法尔卡斯(签名)", "联合国难民事务高级专员", "安东尼奥·古特雷斯(签名)", "2011年6月27日", "纽约", "联合国大会主席", "谨送交审计委员会关于联合国难民事务高级专员经管的自愿基金2010年12月31日终了年度财务报表的报告。", "中国审计长", "联合国审计委员会主席", "刘家义(签名)", "2011年7月12日", "第一章", "审计委员会关于财务报表的报告：审计意见", "审计委员会审计了所附联合国难民事务高级专员经管的自愿基金的财务报表，其中包括2010年12月31日终了年度的收入和支出及准备金和基金结余变动报表(报表一)、截至2010年12月31日的资产、负债、准备金和基金结余报表(报表二)、2010年12月31日终了年度的现金流量表(报表三)以及财务报表附表和附注。", "管理部门对财务报表的责任", "联合国难民事务高级专员负责根据联合国系统会计准则编制及公允列报这些财务报表，并实行据认为必要的内部控制，以使编制的财务报表不存在因欺诈或错误而出现的重大错报。", "审计员的责任", "审计员的责任是通过审计，对这些财务报表发表审计意见。审计是根据国际审计准则进行的。这些准则要求审计员遵守道德操守要求，并制定审计计划和进行审计，以便能够在判断财务报表是否存在重大误报方面有合理的把握。", "审计工作包括通过有关程序，获取关于财务报表内数额和披露事项的证据。选择何种程序依审计员的判断而定，包括在评估(无论是欺诈还是失误造成的)重大误报的风险方面作出判断。在进行此类风险评估时，审计员考虑到与该实体编制和公允列报财务报表有关的内部控制，以便根据情况设计适当的审计程序，但其目的不是对该实体内部控制的效力发表意见。审计工作还包括评价管理当局采用的会计政策是否适当，其所列报的会计估计数是否合理，此外也评价财务报表的总体列报情况。", "我们认为，所获得的审计证据为我们发表审计意见提供了适当和充分的依据。", "审计意见", "审计委员会认为,各财务报表按照联合国系统会计准则，在所有重大方面公允列报了联合国难民事务高级专员经管的自愿基金在2010年12月31日的财务状况以及该日终了年度的财务执行情况和现金流量。", "关于其他法律和条例规定的报告", "此外，我们认为,我们注意到的或作为审计一部分抽查的联合国难民事务高级专员办事处各财务事项在所有重大方面均符合《联合国财务条例和细则》、《联合国难民事务高级专员经管的自愿基金财务细则》及立法授权。", "按照《联合国财务条例和细则》第七条，审计委员会还就联合国难民事务高级专员经管的自愿基金出具了长式审计报告。", "大不列颠及北爱尔兰联合王国主计长 兼审计长(审计组长)", "埃米亚斯·莫尔斯(签名)", "南非审计长", "特伦斯·农本贝(签名)", "中国审计长", "联合国审计委员会主席", "刘家义(签名)", "2011年7月12日", "第二章", "审计委员会的长式报告", "摘要 \n联合国难民事务高级专员办事处(难民署)向大约3390万从其家园或祖国流离失所的人提供支助(食物和住所)和保护服务(安全和法律支助)。难民署以职能下放的方式运作，有6300多名正式工作人员，在125个国家约380个办事处工作。\n审计委员会审计了难民署2010年12月31日终了年度的财务报表并审查了该日终了年度的业务情况。审计工作是通过对设在日内瓦的难民署总部和设在布达佩斯的全球服务中心的财务事项和业务往来进行审查以及实地考察在哥伦比亚、伊拉克、约旦和巴基斯坦的难民署办事处来进行的。 审计意见 \n审计委员会认为,各财务报表按照联合国系统会计准则，在所有重大方面公允列报了联合国难民事务高级专员经管的自愿基金截至2010年12月31日的财务状况以及该日终了年度的业务往来和现金流量结果；收入和支出均按大会规定的用途入账，而且各财务事项均符合《联合国财务条例和细则》和难民专员经管的自愿基金《财务细则》。\n审计委员会在其2009年审计报告中着重强调了两个事项，但没有发表保留意见：所披露的价值为3.4361亿美元非消耗性财产的记录不可靠；为服务终了和退休后津贴相关负债提取备抵后，准备金和基金结余出现1.599亿美元的亏绌。今年，审计委员会发表未经修改的审计意见，是因为难民署在消除资产登记中的缺陷方面取得了进展，而且审计委员会确信难民署的负资产状况并不表示其基本财务情况不稳定。在本报告有关章节中将更详细地阐述这些问题。 审计委员会的总体结论 \n难民署常常在业务工作面临种种挑战的情况下，向全世界数以百万计的难民提供有益的支助和保护。2006年，难民署开始执行一个多年期结构和管理革新进程，目的是加强向有关人员提供援助、保护和解决办法的能力并把工作实践调整为成果管理。新的规划、预算编制和管理工具及结构正逐步纳入难民署业务的主流，而且改革方案正在进行中。\n审计委员会本期望难民署能够展现其革新方案产生的实际收益，不过迄今为止难民署还无法做到。审计委员会找出了在难民署财务、风险和绩效管理等重要方面存在的重大关切问题，查明了难民署在力求使资金效益变成决策和运作的核心要素时遇到的困难。\n审计委员会关切的是，在难民署银行账户、应收账款和资产的管理等重大领域发现存在失误和监管不力现象，外地财务管理能力很差，而且难民署在编制一套稳健的审计账户时遇到了问题，这些都有力证明其财务管理上存在重大缺陷。这已成为难民署的一项重大风险，因为捐助者正日益面临压力，要求其说明向国际援助组织提供公共资金的理由。目前为实施《国际公共部门会计准则》（《公共部门会计准则》）而开展的工作进一步突出了这些问题。虽然审计委员会确认难民署目前正在为准备实施《公共部门会计准则》而正在进行对账和资产识别与估值的工作，但要想圆满实施那些准则并迅速实现收益，仍然有必要提高整个组织的财务素养。难民署有可能达不到2012年实施该准则的目标，特别是国家办事处网络不具备能力，达不到《公共部门会计准则》所规定的严格的新流程和标准。是否具备编制准确和及时的年终账目的能力，也是检验难民署是否已做好在头一年成功实施《国际公共部门会计准则》的一个重要指标，尤其是考虑到届时将采用更加严格的会计标准。 难民署管理部门虽然一直在努力实施成果管理，但在这方面取得的进展很有限。难民署仍然无法收集和分析关于其运作情况的基本管理信息，无力整合关于成本和业绩的信息，也没能充分了解其执行伙伴的业绩或重大举措的交付情况。它也未确立一种全组织结构性做法来进行风险管理。此外，鉴于执行伙伴对交付任务的重要性，审计委员会尤感关切的是，伙伴选择过程缺乏透明度，而且难民署所面临的欺诈和腐败风险有所加大。审计委员会确认，难民署承认在伙伴挑选方面存在风险并且正在进行大范围的审查，以改进伙伴的选择与管理。审计委员会尚未观察到难民署从国家办事处到全机构中心都没有在资源管理和绩效方面建立明确、内置的问责文化。这促成在整个网络出现了问题：强制性业务控制率低；对于共同挑战采用了截然不同的应对方法。 综上所述，像难民署这样的服务性组织要想展现供资价值，就必须对所有主要活动采取有系统、量化的方式，把财务管理信息与产出计量联系起来，同时实行有效的风险管理，并就方案影响进行定期深入评价。审计委员会肯定难民署所作的各种努力，但它根据本报告所述的审计证据得出结论认为，难民署尚未形成成熟、有效的业绩管理、财务管理和风险管理。在做到这一点之前，难民署无法全面、客观地证明其在为难民从事重要工作过程中以符合成本效益的方式使用了资源。 主要结论和建议 财务报表的编制 难民署对财务审计的准备不足，反映财务报表编制系统存在重大缺陷，同时也反映从最高领导层到基层单位乃至整个组织对报表编制过程的监督质量和责任心存在重大缺陷。关键问题是整个组织审计跟踪的完整性和准确性以及财务审查与报告质量的参差不齐。 财务管理 审计委员会发现，在若干领域，控制和财务管理监督存在缺陷，尤其是： •难民署在全球共有425个银行账户和现金账户，合并存款余额为1.47亿美元，其中有11个账户为闲置账户。此外，难民署持有若干投资账户，截至2010年12月31日的总余额为2.9亿美元。审计委员会发现，2010年有82个银行账户（总余额为5030万美元）和17个投资账户（总余额为3.25亿美元）没有及时对账，而这本是一项关键的财务控制措施。此种缺乏基本控制的做法，加上银行账户数目过多，加大了难民署遭受资金盗用和欺诈以及行政管理费用过大的风险。难民署在年底前已把积压的待对账账户减少到10个（其中只有3个是活动账户），而且目前正开始合理化调整及减少其所维持的银行账户数目，以加强控制和提高效率，但这是一个必须作为紧急事项严加控制的领域。 •审计委员会发现，难民署的消耗性财产（库存）系统中存在错误，要么是物品的购买价值未准确地反映，要么是物品虽有价值记录，但却已经过时。例如，在一个仓库中，过时库存物品占总价值131万美元库存物品中的52％。难民署要想有效地管理库存物品并按照计划中的2012年时间表达到《国际公共部门会计准则》的要求，它就需要采取紧急行动，消除其库存管理和估值方面的缺陷。消耗性财产的价值约有1.3亿美元，但是难民署2010年账目中并没有披露，因为其财产估值的准确性一直无法令人放心。 经过审计委员会的审计，难民署对财务报表作了总额约3900万美元的调整。难民署重新编制了财务报表，对既定会计政策作了调整以反映会计做法，并且披露了涉及其他重大余额和往来业务的会计政策，这使审计委员会得以发表未经修改的审计意见。 \n 《国际公共部门会计准则》实施进展 \n在2012年圆满实施《国际公共部门会计准则》前，难民署很有可能无法及时敲定新的政策和做法，将其传达给工作人员，并确立其为工作常规。难民署仍然需要做大量的工作，以便准确地确定需要按照《国际公共部门会计准则》的要求予以披露的资产和负债；此外，国家办事处一级财务管理能力差，是执行和遵守《国际公共部门会计准则》的一项风险。鉴于实施之前的时间有限，审计委员会还感到担忧的是，它迄今尚未看到难民署订立明确计划，以真实会计数据对账户进行“试运行”：审计委员会认为，如果不进行试运行，像难民署这样的复杂组织就不大可能编制出须在既定实施时限内提出的高标准财务报表。\n即使难民署编制了符合《国际公共部门会计准则》的财务报表，它也不会马上享受到《国际公共部门会计准则》的全部益处。实施《国际公共部门会计准则》本身不是目的，而是以此促成更有效问责和财务管理。难民署尚未作出必要安排，以便从《国际公共部门会计准则》实施中获得好处，包括从成本效益上挖掘改变其运作的潜力，以及实现文化和行为上所需的重大变化。难民署没有在培训方面进行投入，以便向所有工作人员阐明《国际公共部门会计准则》对于提高各项活动成本效益并促其产生有益作用的影响力和潜力；它也没有订立实现收益的计划。 执行情况报告及实施成果管理方面的进展 \n难民署国家网络的执行情况报告并不能使管理部门有效判断项目与活动的成本效益或对当地管理人员进行执行情况问责。尽管在2005年就开始实行成果管理，但所提交的报告并没有定期综合财务数据和结果数据，没有进行分析，在结构上也没有采用概括性、易于解读的格式。难民署承认它必须更好地利用其现有系统来做到这一点，此外也必须适度调节对国家一级数据收集的要求，以照顾到在全机构一级提供更有力、相关和有用执行情况信息的必要性。 风险管理 \n难民署还没有确立全组织、有系统的风险管理方法，包括全机构风险登记册。2005/06年和2008年实施的初步编制工作没有继续进行。 执行伙伴的管理 \n执行伙伴的挑选过程不严谨，不透明，从而增加了欺诈、腐败、效率低下和伙伴业绩不佳的风险。约有57%的伙伴与难民署连续合作了5年以上(28%10年以上)并已数次续签协议。审计委员会没有发现多少证据证明难民署进行了任何形式的竞争性挑选过程，对备选伙伴设定了成本和业绩基准，或者按照要求比较了能力和“适合”情况。\n国家办事处监察伙伴业绩的频率和质量以及对业绩欠佳情况采取的后续行动各不相同。难民署在对伙伴进行管理时基本上采用相同的政策，而不是通过对所提供服务的风险评估以及根据所提供服务的规模、地点、以往业绩和性质，有针对性地开展监督活动，不过，审计委员会对难民署打算采取后一种做法表示肯定。由于业绩监察指标很少衡量服务的质量或成果，难民署确定伙伴活动效果的能力很有限。在执行伙伴的业绩很差时，管理部门的行动是不一致的，而且相关伙伴不一定会被追究责任。 旷日持久的难民形势 \n关于旷日持久的难民形势的《全球行动计划》既没有可问责的高级负责人，也没有可供衡量进展情况或成功与否的指标。它只是作为一系列单独的项目实施，而不是作为一个经协调的方案来实施。难民署于2008年启动了该计划，其所针对的是五种被视为最易于产生积极变化的具体情况。审计委员会没有发现任何总体措施或目标可反映该计划在多大程度上缓解了旷日持久的难民形势并减少了难民对难民署的依赖，也没有发现对难民署如何为这项具有重要战略意义的举措部署资源作了任何跟踪记录。难民署一方面无法向审计委员会提供可靠的整体数据，另一方面却计划在2011年把用于11种最重大情况(牵涉面临各种情况的难民总人数的三分之二)的支出增加到3亿美元，相当于自2007年以来增长150%。虽然有实例说明难民署与联合国开发计划署等发展机构进行了较密切的协作，但关键的挑战仍然是深化必要的合作以及建立适当的供资机制。鉴于上述审计结论，审计委员会在本报告主要部分提出了详细建议。归纳起来，其主要建议是，难民署： • 实施有效的年终财务报表编制过程，包括进行详细的管理审查； • 研究和探讨国家办事处财务管理和报告能力不足的原因； •集中进行银行业务安排，关闭任何不必要的银行账户并改进银行对账程序； • 加强《国际公共部门会计准则》的实施筹备工作，为此：㈠及早与审计委员会讨论修订财务细则和条例的问题；㈡设置一套经过“试运行”符合《国际公共部门会计准则》的账户；㈢清理其会计记录并制定建立期初余额的明确计划；㈣实施全组织的改革管理方案，以促成实现《国际公共部门会计准则》项目的预期收益； •把金融数据和产出数据相链接，以便能评估其业务的成本效益并加强问责； • 建立简单的全组织风险管理办法，但不对国家业务工作强加沉重的负担； • \n 要求其国家业务单位记录其各自挑选伙伴的理由并正式评估替代伙伴的市场；•设置一名高级负责人，负责处理旷日持久的难民形势，以便监控在所有各种形势中取得进展并对其国家业务单位进行问责。 \n 以前的建议 \n在2009年提出的24项建议中，有3项(13%)得到全面落实，14项(58%)正在落实，有7项(29%)未落实。这表明，自2009年以来，落实率出现下降，当时2008年提出的建议中有8项(42%)得到了落实。", "A. 背景", "1. 联合国难民事务高级专员办事处(难民署)向大约3 390万逃离家园或祖国的流离失所者提供支助(食物和住所)和保护服务(安全和法律支助)。它以职能下放的方式运作，有6 300多名正式工作人员，大部分在125个国家约380个办事处工作。", "2. 2006年，难民署启动了一个多年期结构和管理改革进程，目的是加强其提供服务和执行任务的能力，并实施成果管理。新的规划、预算编制和管理工具与结构正在逐步纳入难民署的业务主流。其中包括推出新的企业资源规划系统、新的预算结构以及新的成果框架，同时推出规划和管理软件(Focus)作为辅助。", "3. 难民署还在外地加大权力下放力度，以促成更有效的响应，并推出了全球管理问责制框架。它还把后台职能从总部转到布达佩斯，设立了一个全球学习中心，并投资改进供应管理职能的质量——这是提供保护服务的一项重要活动。", "4. 改革方案正在实施之中。委员会关切的是，其进展缓慢，而且难民署迄今仍无法拿出实实在在的收益。不过，在2006年和2010年期间开支增加70%的情况下，工作人员人数的同期总体增长还不到5%，总部工作人员数目则减少了大约30%。这些虽然不是最终数字——因为其中没有考虑到难民署所取得的成果和所产生的影响——但却表明，难民署可能正在某些领域提高产出率。", "5. 2009年10月，难民署向其执行委员会提出了总额为30亿美元、根据需要编制的2010年全球预算，请执行委员会批准，预算数额后来在2010年期间修订为33亿美元，比2009年预算的18亿美元多出15亿美元。2010年的特点是，许多捐助国财政拮据，但难民署继续得到捐助方的强有力支持，而且传统捐助方一直在提供支助，新的捐助方(包括私营部门)也日益增加提供支助。难民署告知审计委员会，2011年，它将力求巩固其既有改革成果。", "B. 任务、范围和方法", "6. 审计委员会根据大会第74(I)号决议，审计了难民署2011年12月31日终了年度的财务报表并审查了该日终了年度的业务情况。审计工作是依照《联合国财务条例和细则》、难民事务高级专员经管的自愿基金财务规则以及国际审计准则进行的。这些准则规定，审计委员会须遵守职业道德规范，规划和执行审计工作，以合理地确定财务报表中是否存在重大错报。", "7. 审计的主要目的是使委员会能够根据联合国系统会计准则，对财务报表是否公允反映了截至2010年12月31日的难民署财务状况以及该日终了财政期间业务和现金流量的结果形成意见。这包括评估确定财务报表中记录的支出是否用于理事机构批准的用途，收入和支出是否按照《联合国财务条例和细则》和难民事务高级专员经管自愿基金财务细则作了适当分类和记录。审计内容包括全面审查财务制度和内部控制，以及在审计委员会认为必要的范围内测试检查会计记录和其他辅助凭证，以便对财务报表形成意见。", "8. 审计委员会还根据联合国财务条例7.5审查了难民署的业务活动。财务条例7.5规定，委员会应就财务程序、会计制度、内部财务控制及难民署业务的一般行政与管理效率提出意见。审计委员会的侧重点是：", "(a) 2012年实施《国际公共部门会计准则》的进展和准备情况；", "(b) 业绩报告和成果管理实施进展；", "(c) 执行伙伴的管理；", "(d) 旷日持久的难民形势的管理。", "9. 在审计过程中，审计委员会走访了难民署设在日内瓦的总部和设在布达佩斯的全球服务中心，审查了在哥伦比亚、伊拉克、约旦、巴基斯坦和坦桑尼亚联合共和国进行的外地业务。审计委员会与内部监督事务厅进行了协调，以避免工作重复并确定可在多大程度上依赖监督厅的工作。", "10. 在审计委员会看来，本报告所述的事项应提请大会予以注意，包括由大会及行政和预算问题咨询委员会提出具体要求。", "11. 审计委员会的意见和结论均经过与难民署商讨，本报告中适当反映了难民署的看法。本报告中载述的建议不涉及难民署可能对例如不遵守其财务细则、行政指示和其他相关指令的官员采取的措施。", "C. 结论和建议", "1. 以前建议的落实情况", "12. 在2009年提出的24项建议中，有3项(13%)得到完全落实，14项(58%)正在落实，7项(29%)没有落实。这说明，自2009年以来，执行率有所下降。在2009年，2008年提出的建议中有8项(42%)得到落实。附件1进一步详列了落实情况。", "13. 原先在2007年和2008年提出、但2009年尚未落实的建议，在审计委员会2009年报告(A/65/5/Add.5)中再次作为建议提出。应行政和预算问题咨询委员会的要求(见A/59/736)，审计委员会评估了尚未完全落实的先前建议的时效问题。正在落实或尚未落实的审计委员会先前21项建议中，64%涉及2009年，无建议涉及2008年，36%涉及2007年。", "14. 2008/09年将全机构服务部门从日内瓦迁至布达佩斯过程中，难民署力求降低行政费用，确保服务连续，至少在最初阶段提供与以前在日内瓦时相同水平的服务质量。在其前次报告中，审计委员会强调，难民署尚未建立可供评估向国家办事处提供更妥善服务情况的基准。审计委员会建议，在每次结构改革前，难民署均应制订详细的目标和成功指标。审计委员会认为，评估外迁到布达佩斯的影响还为时尚早，但会在今后报告中审查这个问题。", "15. 难民署同意审计委员会的建议，即编写比较统计数据和指标，以衡量外迁单位所提供服务质量的改善情况。它拟实施这项建议，按计划于2011年改组信息系统和电信司，并在安曼设立一个新的信息和通信技术服务中心。审计委员会审查了该司的改组计划，发现它正在订立相关的指标和基准。其中包括进行调查以确定衡量工作人员对现有信息和通信技术服务满意度的基准，以及确定适当指标和目标，以便在2011年至2015年期间监测改组的影响，包括对2011年过渡期间服务提供的影响。", "部分落实或未落实的建议", "16. 关于正在落实的14项建议中的7项，审计委员会注意到，其落实工作取决于目前的中期项目，如为离职后和退休后福利金债务战略；或者取决于难民署非消耗性财产管理电子数据库的升级。", "17. 在未执行的7项建议中，审计委员会尤其关切的是2009年提出的建议，即：难民署应确保银行对账做到详尽，而且应解决银行确认报表与总分类账之间存在不明差异的问题。尽管难民署同意这项建议，但审计委员会发现，在这一年中，银行对账工作出现了重大疏失。总体而言，2010年的落实程度很低，反映了审计委员会在审计过程中发现、在本报告中强调的众多缺陷和错误。审计委员会在相关章节中重申了大多数未落实的建议。本报告其他部分未述及的两项建议如下：", "(a) 委员会曾建议难民署继续努力减少处于任务空档且未被临时派活的工作人员数目。难民署尚未确定任务空档工作人员问题的新政策。", "(b) 委员会曾建议难民署与监督厅协作，采取适当措施减少内部审计人员职位空缺。难民署仍然担心，内部审计的提供范围没有涵盖方案活动的重点领域，它将继续与内部监督事务厅高级官员优先探讨此事。不过，审计委员会没有重申此项建议，但是将作为2011年规划的一部分，与监督厅商讨其审计结果。", "18. 委员会重申其先前的建议，即：难民署应继续努力减少处于任务空档且未被临时派活的工作人员数目。它将在难民署修订政策后重新审查这个问题。", "19. 难民署表示，它打算在2011年底前颁布经修订的关于处于任务空档工作人员的政策。", "2. 财务概览", "难民署的总体财务状况", "20. 财务报表显示，难民署2010年收入19.92亿美元，比2009年多1.891亿美元，其列报开支为19.23亿美元。这反映收入多于支出6 900万美元，也就是说，如收入和支出及准备金和基金结余表所示，根据前一年度捐款和支出进行调整后，2010年净盈余为7 310万美元。这延续了难民署近来收入多于支出的趋势，使截至2010年12月31日累计出现4.371亿美元的大笔现金和定期存款。难民署2010年12月31日的净负债为7 230万美元，[1] 显示自2009年以来，总负债额减少约8 770万美元。", "21. 难民署2010年19.231亿美元开支中的大部分——约14.936亿美元(78%)——是用于它的方案(见财务报表附注6)，其余用于行政费用和员工福利。2010年收入19.92亿美元中，约19.035亿美元(96%)是自愿捐款。难民署自愿筹资的时间安排可能会有很大不同，从而给难民署的国别业务造成困难，不便于在这一年内以定期、可预测的方式使用此资金。例如，2010年，难民署驻伊拉克办事处(最大一个国别业务机构)在11月和12月得到了大量资金流入。审计委员会注意到，截至2010年12月31日，难民署驻伊拉克办事处年度开支的一半以上并没有支付，需要在2011年3月31日以前结清。", "22. 难民署的资金筹供不确定，末尾时激增，这影响到了资源管理和决策。审计委员会注意到，在许多情况中，集中从事难民署可快速花钱，而且较不依赖未来供资的活动，或把诸如医疗转诊等重要的“全年”服务推延至年底，是有利可图的。审计委员会也感到关切的是，供资和支出情况不均衡，可能会导致加快年终支出，增加在管制与合规方面存在的风险。", "23. 2010年，难民署大约三分之一的支出(6.77亿美元)是通过执行伙伴支付的。如财务报表附注6所示，截至2010年12月31日，管理部门收到的财务监测报告，其中为3.86亿美元支出(57%)提出了理由。到2011年5月31日，它收到了所有报告，涵盖98%的支出。", "3. 财务管理", "24. 尽管审计委员会于2009年提出了关切，但难民署仍然对财务审计准备不足，这反映现行系统在编制其财务报表方面以及高层管理在全组织范围监督和自主管理此类流程方面存在重大缺陷。难民署工作人员大量增加额外无计划的投入以弥补这些缺陷，但却造成审计委员会的费用增加。审计结果导致对财务报表进行了调整，总调整值为3 900万美元，这使截至2010年12月31日的基金结余净减少312万美元。", "25. 审计委员会无法从会计记录中确定试算表的审计踪迹，而且试算表没有与财务报表一致，尽管这是审计之前提出的一项明确要求。比较资料既不完整，也不准确，而且在所审计的交易中，错报率高得令人无法接受，对财务报表所作的大量调整便是一种反映。此外，所订立的会计政策不完整，没有准确反映难民署所采用的会计做法。例如，难民署最初的收入会计政策规定，来自政府的认捐须在实际收到认捐款时才予全数承认；不过，审计委员会发现，实际上，难民署把认捐所涉年份认定为收入年份。按照联合国系统会计标准，两种方法均可接受，但这种会计做法与既定会计政策不一致，是不能接受的。会计政策后来作了修改，以反映实际会计做法。审计委员会按照国际审计准则，请难民署解决已查明的问题，重新提交财务报表供审计。", "26. 委员会尤其关切的是，所附表格和分析材料准备不足，无助于进行管理审查，无法验证所提交的财务报表属于公允列报，准确反映了会计记录，或者符合既定的会计政策。审计委员会认为，难民署需要在这个领域作显著改进，因为高级专员对编制准确的财务报表负有直接责任。", "27. 审计委员会还发现，难民署全年对财务信息的审查很有限。例如，应收账款未作定期审查，以确认余额即是该组织的有效资产。审计委员会发现应收账款中有大量错误。若干应收账款已为期5年之久，而难民署和审计委员会经追查后发现，其中有些已不太可能从捐款方处收到。要么是已经收到账款，但应收款项未被注销，要么是捐款方已确认不再支付其已认捐款项。审计的结果是，难民署对其年久未收的应收款项作了数额为520万美元的调整，对应付账款和离职回国补助金债务作了210万美元的调整，从而导致此前各年共计注销440万美元。", "28. 难民署对财务报表进行了重新列报并作了其他调整，包括对既定会计政策作出调整以反映实际会计做法以及就涉及其他重大余额和连串交易的会计政策进行披露，因此委员会认为，在所有实质方面，难民署公允列报了其财务报表。", "29. 审计委员会建议难民署订立一个详细过程，以便在年底编制财务报表，其中应包括清理会计记录，编制综合配套表格，以及在向审计委员会提交财务报表之前对报表草稿进行详细、以证据为基础的管理审查。这项建议取代未落实的2009年建议，原建议要求难民署(a) 确保负责官员严格遵守本组织的结算指示；(b) 调整其内部程序，使其符合审计要求。", "30. 难民署表示，它将根据从最近审计中吸取的经验教训，详细审查其年终结账工作。这项审查将于2011年10月31日完成。难民署还告知审计委员会，它已于2011年6月强化了管理会计控制职能以及财务主任办公室其他关键职位，而且启动了确立基准的工作，以参照最佳做法标准，评估难民署的财务管理做法。", "31. 在国家办事处一级，审计委员会发现，难民署的国家办事处没有一个健全的财务管理文化。难民署的企业资源规划系统的能力没有得到国家办事处用户的很好理解。当地财务官员和供应管理人员不能编写标准财务报告，不能编制其费用中心或年久库存试算表或者库存使用情况报告，而这些本是有效日常财务管理的重要职能。", "32. 例如，审计委员会发现，难民署驻坦桑尼亚联合共和国办事处存在未经证实的应收账款及相关坏账200万美元，可追溯到7年之前，此外自2003年以来，其分类账内有无凭证的财务系统结余。审计委员会还注意到，难民署的分类账有多处调整，原因是外地办事处输入的主要条目无效，这说明对外地会计数据输入监管不力。", "33. 审计委员会建议难民署审查并解决国家办事处财务管理和报告能力方面存在不足的原因。", "34. 审计委员会还建议难民署加强其每月财务结算流程，例如其中应包括对资产和负债进行有记录的审查和确认，根据预算来审查收入和支出，以及由总部和外地相关负责人员核签其所负责的试算表内有关部分。", "35. 难民署接受审计委员会的建议，并表示将审查相关的审计及检查报告，与总部各局协商，并继续对来自其企业资源规划系统的财务数据进行分析，以确定哪些国家办事处需要加强财务管理。难民署将制订一项工作计划，以填补已查明的缺漏，包括这些地点所需的任何额外培训。这项工作将在2011年尽快展开。", "36. 难民署还表示，它将澄清有待审查的文件清单，并作为其月终结账工作的一部分，由相关主管人员核签，此外它打算启动其企业资源规划系统中的查询功能，编制月终账务信息，以便难民署内部各单位使用相同的文件。", "4. 与服务终了福利有关的负债", "37. 2010年财务报表显示，服务终了和退休后福利负债为3.937亿美元。其中，离职后健康保险为2.866亿美元。负债是按5.55%的贴现率精算估值确定的，使用的是以欧元计价的优质机构债券的即期利率(2009年也是使用同样的方法，贴现率为6.15%)。由于在本报告所述期间市场波动，贴现率出现了变动，而贴现率下降则实际造成总负债估计数的减少(财务报表附注19提供进一步解释)。精算盈余或亏损在发生时已认列，难民署的收益表中披露2010年12月31日终了年度有9 100万美元的精算盈余。审计委员会曾在2009年建议难民署修改其财务报表中有关离职后健康保险的数字披露，以披露精算假设中的主要变动；审计委员会继续指出，需要更清楚地披露所用假设的敏感性及其对负债估值的影响。", "38. 大会第64/241号决议请秘书长继续以经审计委员会审计的数字来验证离职后健康保险的应计负债，并在他提交大会第六十七届会议的报告中列入这一信息和验证结果。审计委员会审查了对离职后健康保险和离职回国补助金负债所作的精算估值。审计委员会得出结论认为，精算师有适当的资质来从事估值工作，而且在计算贴现率时所使用的精算假设以及精算盈余及亏损的计量均符合《国际公共部门会计准则》(公共部门会计准则)第25号中有关职工福利的规定。然而，虽然难民署管理层有责任确保向精算师提供准确和完整的数据，但审计委员会发现在审计之前没有提供任何有书面记录的数据准确性和完整性审查。应审计委员会的要求，难民署进行了额外的工作，对数据的准确性进行了审查和验证。", "39. 审计委员会重申以前的建议，即难民署应：(a) 使其服务终了福利负债的披露完全符合2011年国际公共部门会计准则(包括在其附注中披露提供更多关于贴现率变动对其所列负债的影响的资料)；(b) 为服务终了福利和离职后健康保险负债建立专门的筹资途径。", "40. 审计委员会还建议难民署制订健全、有记录的质量控制程序，以验证向其精算师提供的关于工作人员服务终了福利负债数据的完整性。", "41. 难民署接受了这两项建议，并告知审计委员会，其2011年财政期间的附注披露中将突出反映因贴现率或其他重大假设发生变化而对其负债产生的影响。难民署也将制订程序，以便对提供给其精算师的数据进行审查和验证。难民署还告知审计委员会，其常设委员会已于2011年6月核准一项关于为其应计服务终了和退休后福利负债供资的战略；审计委员会将在其下一次审计期间对此进行审查。", "5. 银行账户、现金和投资", "银行账户", "42. 截至2010年12月31日，难民署有425个独立银行账户和现金账户，合并余额为1.47亿美元；另有若干投资账户，年终余额为2.90亿美元。在425个银行账户和现金账户中，有414个是活动账户，其余11个为闲置账户，但仍以难民署的名义开立。银行账户和现金账户数目多，加上难民署业务的职能下放性质，使难民署难以充分管理和控制这些账户的使用，从而增加了出错、欺诈和低效管理的风险。虽然已就开立新银行账户制订了财务细则，但却没有例行程序来确保一旦开立银行账户，就确实有继续保留这一账户的必要。难民署的年终现金存量从2006年的2.25亿美元增加到了2010年的4.37亿美元，而且在这五年期内，其平均现金存量总额增加到了将近4.10亿美元。", "43. 在其期中审计期间，审计委员会建议难民署使其银行业务安排合理化。难民署后来告知审计委员会，它正在对非洲和亚洲的银行业务进行合理化集中安排，但认为仍旧需要保留一些当地货币银行账户。难民署认为，这项工作完成后，它将保有最低数量的必要银行账户，以便进行有效的财务和业务管理。", "44. 审计委员会建议，作为其银行安排合理化工作的一部分，难民署应对其总部的银行安排进行集中处理，以便最大程度地对其所使用的各家银行施加影响，并使所有账户接受定期、严格的质询，立即关闭任何不必要的银行账户。", "45. 难民署接受了这一建议，并且表示，它已实施一项有关在非洲和亚洲区域继续推广集中支付办法的综合计划，可望在2011年年底前完成这项工作。更笼统来说，难民署将进行季度审查，以确认每一个银行账户都确实有必要继续保留，提供按账户类型进行的综合分析。难民署强调其需要建立一个切实有效的银行账户结构，以平衡全球范围各艰苦地区方案执行工作的需求，并提供符合成本效益、统筹性质的现金管理和流动资金银行业务结构。", "银行往来账目的核对", "46. 核对银行往来账目是防止欺诈和出错的主要控制手段。难民署的财务细则规定每月对往来账目进行核对。这不是一项繁重的要求；公私部门有许多组织都在不间断或每日核对往来账目。", "47. 审计委员会在先前报告中建议，难民署应确保详尽核对其银行往来账目，并解决银行结单与总分类账之间的不明差额问题。虽然难民署同意这项建议，但审计委员会发现2010年期间银行往来账目的核对工作存在重大疏失。", "48. 在2010年，审计委员会查明总共积压了82个未经核对的银行账户和17个未经核对的投资账户(余额分别为5 030万美元和3.25亿美元)。这反映，在关键财务控制运作出现了一个不可接受的疏失。在年终之前，难民署将积压的未核对账户数目减少到了10个(其中只有3个账户是活动账户，共计余额281 000美元)，但审计委员会对于一开始就允许银行账目核对工作出现积压表示关切。审计委员会还发现，即使做了账目核对，也并非总是会采取适当行动来更新相关的会计记录。在难民署工作人员确认需要核对的13个账项中，审计委员会发现有5宗个案没有采取任何行动，导致出现981 000美元的审计错误。", "49. 审计委员会再次建议难民署进行详尽的银行对账，并与总账核对所有差额。其中应包括作为月终财务程序的一部分，再次对银行往来账目进行取样核对，以便使管理层确信，往来账目核对是及时、准确的，而且需要对账的项目均已得到妥善解决。", "50. 审计委员会还建议难民署借鉴国际最佳做法，特别是对较活跃的账户采取每日例行银行对账，修改其每月进行银行对账的政策。这将要求难民署确定其最活跃的银行账户，从银行获得每日往来账目的信息，并相应地更新其内部程序。", "51. 难民署接受了这些建议，并表示将作出协调一致的努力，以减少需核对账项数目，并清理旧的待对账项目。难民署还将对外地办事处从事银行对账情况进行抽样重新评估，作为其2011年7月开始实施的月终程序的一部分；它也将修订其政策，对较活跃的账户进行日常性的总账银行对账。从2011年9月起，将对其总部银行账户进行例常自动每日银行对账。", "管理现金和投资", "52. 难民署截至2010年12月31日的现金和定期存款总额为4.371亿美元，比2009年多出5 450万美元(14%)；自2006年以来已增加2.118亿美元。自2006年以来的五年里，难民署的平均现金持有量总额增加到了4.098亿美元。现金流量报表(报表三)显示，难民署的现金持有量在过去两年中增加了约9 500万美元。审计委员会还指出，在整个2010年，除其周转基金外，难民署平均持有的现金余额约为3.50亿美元。维持该基金是为了在收到认捐款之前支付必要款项及担保债务。因此，难民署目前持有大量且不断增加的现金资产。2010年，其现金投资的利息收入为110万美元，2009年则为230万美元。", "53. 难民署将年终现金和定期存款额增加归因于后半年意外收到特别捐款，包括指定用于巴基斯坦的与洪灾有关的专项捐款，这使当年平均持有量大增。难民署告知审计委员会，其持有现金主要是支付大致两个月的支出。审计委员会将在其下次报告中审查持有这些现金余额对于难民署规划和方案交付以及对现金流和财务管理的影响。", "6. 非消耗性和消耗性财产", "非消耗性财产", "54. 难民署的业务遍及全球，因此极其依赖有效的资产和库存管理。截至2010年12月31日，难民署持有约3.21亿美元的非消耗性财产(以成本记录)。继2009年就难民署资产登记册中存在的弱点提出突出关注之后，审计委员会注意到，难民署2010年在清理其资产登记册方面取得了进展，作为其朝着实行《国际公共部门会计准则》方向过渡工作的一部分，回应了审计委员会2009年就外地保存记录的质量提出的关切。资产登记册虽然符合《联合国系统会计准则》中对于披露的规定，但仍不太完善，对于《国际公共部门会计准则》所规定的披露而言尚不够可靠。", "55. 2010年，为了与《国际公共部门会计准则》保持一致，难民署发布一项新的资产管理政策。新政策将财产重新定义为不动产、厂房和设备、序列跟踪物项、库存货物及消耗品，并具体规定哪些物项应记入难民署资产登记册以及如何确定其价值和记录其去向。尽管订立了此项新政策，但审计委员会继续发现在非消耗性财产管理方面存在弱点。例如：", "(a) 已投入使用的车辆的价值被高估，且没有折旧，[2] 这使人对已入册资产的完整性和估值产生担忧。例如，伊拉克业务数据记录2003年购买了八辆丰田Land Cruiser越野车，每辆车的历史成本和账面净值均为99 000美元，远远高于难民署支付的原购买价格和2010年的合理资产价值；", "(b) 当地资产管理委员会[3] 很少举行会议，而且对来自总部的注销指示作了不正确的解释，导致次年发生资产被错误注销，之后又大量回记。鉴于这些车辆的车龄，所涉价值很低。", "56. 审计委员会建议难民署加紧努力，清理非消耗性财产估值的佐证数据，并加强向国家办事处提供的资产管理方面指导和信息。后者应包括关于当地资产管理委员会会议频率的指导。", "57. 难民署接受这一建议，并指出其供应管理服务处在2011年6月推出了一个全球项目，目的是协助所有国家办事处验证其不动产、厂房和设备及库存。此项目将于2011年9月完成。作为这项工作的一部分，一个内部专家组将为21项最大的国家业务活动提供现场支持，向不动产、厂房和设备及库存协调人和高级管理人员提供培训，以协助提高对不动产、厂房和设备会计以及对举行当地资产管理委员会会议的理解。培训课程将涵盖所有区域，并将于2011年12月完成。", "58. 难民署还指出，现已指示余下的有不动产、厂房和设备的国家业务单位在这段期间对不动产、厂房和设备进行核实，并且将接受审查。为支持这一工作，难民署订立了一个升级程序，每月提出例外情况报告，列报被推迟的处置项目、管理系统更新项目中未核实的资产、未收到的采购订单收据、运输途中的资产、已收到但未投入使用的资产以及超过15年的资产。这些例外情况报告中述及的任何重要事项均将在一个月内与所涉国家的不动产、厂房和设备协调人一道跟进解决；如果不能解决，则将提请主管行动的助理高级专员采取行动。", "消耗性财产管理", "59. 审计委员会在2007年建议难民署披露年终时的消耗性财产价值，以便更全面和准确地披露其资产情况。难民署同意该建议。难民署有一个全球系统，可供追踪其所有仓库存货接收、储存和发送。该系统中记录的信息由各地点每年进行实物盘点加以核实。虽然该系统可追踪库存量，但却从未提供过有关库存物项的准确估值；因此，财务报表中从未列报库存价值。2010年，难民署试图建立其库存管理系统，以便能够在向《公共部门会计准则》过渡期间对所有物项进行准确估值，并且打算在2010年12月31日年度终了的财务报表中披露消耗性财产的库存情况。", "60. 根据难民署全球库存系统的记录，截至2010年12月31日，消耗性财产价值为1.30亿美元。尽管系统升级，但审计委员会在实地考察期间发现存在一些实例显示该系统中记录的价值与难民署为相关物项实际支付的数额之间存在差异，而且有一些标有价值的存货早已陈旧过时，其价值应记为零。例如，在审计伊拉克境内一个仓库期间，我们发现，已陈旧过时的存货占总额为131万美元的库存的52%，但管理层没有作任何调整。难民署自己一直很担忧准确性问题，这促使它决定不着手进行计划中的会计政策修改。因此，2010年财务报表中没有披露消耗性财产。", "61. 难民署的新资产管理政策规定每年至少进行一次实物盘点。然而，对于库存价值特别高或在艰难环境下运作的外地办事处来说，或者对于需对紧急情况作出迅速反应的组织来说，这样做可能不妥，因为它们可能应当作更高频率的盘点(也许每季度进行一次)。有关库存的状况、适合性和价值的准确信息对于业务工作而言是必不可少的，也是遵守《公共部门会计准则》方面的一项重要要求。", "62. 审计委员会建议难民署完善和加强其现有的库存盘点程序，为此应汲取2010年总结出的经验教训，包括考虑到需要进行更频繁的盘点，直到该系统的完整性能得到保证。", "63. 审计委员会还建议难民署定期审查所有已陈旧过时和已损坏的库存物品并相应减计其价值。", "64. 难民署接受了这些建议，并表示将落实这些建议，以此配合实施其全球项目，除了要在年终进行实物清点之外，将在2011年6月至9月期间对所有国家业务单位的所有库存及不动产、厂房和设备进行实物核实。难民署将根据核实工作的结果，确定是否有必要继续每年进行两次全面实物清点，或确定是否需在某一时期进行更多次数的清点。此外，在实物清点期间还将核查所有库存物品，以确定其是否已陈旧过时，是否已经损坏，必要时予以注销。", "7. 实施《公共部门会计准则》方面的进展", "65. 2010年6月，难民署常设委员会[4] 决定推迟全面实施《公共部门会计准则》，从2010年推迟至2012年。难民署承认它低估了《公共部门会计准则》实施工作的范围要求，没有为该项目划拨足够的资源。后来，实施工作出现了进一步拖延，因为难民署面临多项优先工作，其中包括更新和编写用于辅助进行成果管理的难民署软件以及于2010年1月1日推出新的预算结构。", "项目管理", "66. 难民署《公共部门会计准则》实施项目的负责人是副高级专员。现已设立指导委员会，由难民署高级管理层组成；指导委员会下设业务所有人委员会，负责管理该项目的实际执行。2010年7月，难民署任命一位经验丰富的《公共部门会计准则》项目管理员，一个由12名全职工作人员组成的项目小组为其提供辅助。", "67. 自该项目开始以来，难民署将工作组数目从最初的5个增加到11个，它们负责制定、测试和记录新的会计政策。这些工作组增加了会计和企业资源规划系统方面的约聘专家，从而得到了加强。审计委员会认为，管安排足够且适当。不过，在执行期间订约聘请专家固然没有不妥，但从长远来看，在采用《公共部门会计准则》之后，难民署将需要足够、具备适当资质的工作人员来交付并确保从中受益。", "实施计划", "68. 2011年5月提交给审计委员会的计划中确定了约1 700个项目实施步骤，其中具体规定了每个工作组的行动，并提供了一个交付结果的时间表。某些结果的交付出现延误，但审计委员会还不清楚这种延误是否对2012年实施目标构成威胁。难民署告知审计委员会，它最近已更新并重新安排其《公共部门会计准则》项目计划，以考虑到在“确定范围和规划阶段”中确定的实施《公共部门会计准则》所涉会计政策和业务规定。", "69. 鉴于《公共部门会计准则》执行计划早先出现的延误以及现有可用的时间，审计委员会建议难民署强化对进展情况进行管理审查的频率和深度。", "70. 在筹备实施《公共部门会计准则》过程中，难民署在2010年发布了新的资产管理会计政策，并为掌握足够信息以符合《国际公共部门会计准则》第17号(不动产、厂房及设备)。按照审计委员会的建议，难民署已计划根据《联合国系统会计准则》，在其2010年财务报表内作强化资产披露，包括估值和数量，但并没有对其资产数据进行充分清理和验证，以便作这种披露。审计委员会感到关切的是，其结果造成外地和其他地方的工作人员依然不熟悉有关资产价值的估值和记录的规定。", "71. 该项目小组维持一份项目风险登记册，其中载列会对2012年顺利实施产生影响的7个风险。难民署认为其中4个风险概率高且影响大：", "(a) 与其会计数据完整性及其对期初结余和期终结余所产生影响有关的问题。难民署已着手进行其数据清理工作，但尚未确定这一领域的执行情况衡量标准，因为它对这项工作的所涉规模尚不肯定；", "(b) 难民署的《公共部门会计准则》财务报表将无法公允显示其财务状况和业绩，而可能无法披露与应计账户对账调节后的现金预算执行情况；", "(c) 鉴于整个组织所需的改变规模，有必要制订新的库存及不动产、厂房和设备对账调节程序，以确保遵守《公共部门会计准则》；", "(d) 在“正式启动”日之前没有足够的时间提供培训。难民署尚未制订有关此一风险的缓解战略。", "72. 审计委员会认为已查明的风险是的确存在的，并认为通过培训来进行数据完整性和变革管理，特别是对国家办事处而言，是达到实施目标方面的主要挑战。审计委员会认为，国家办事处网络没有做好准备而且财务管理能力低，是落实执行时间表方面存在的主要风险。随着这个项目临近关键的“正式启动”阶段，项目指导委员会的每次会议必须对风险登记册进行定期更新和详细审查，并且更新或制订缓解战略。", "73. 审计委员会建议，作为优先事项，难民署应当：(a) 查和清理其会计记录，包括所有资产和负债余额；(b) 强月终结账程序，以便对所有账户进行对账调节，并保持会计记录的完整性。", "74. 难民署接受了这些建议，并指出其实施计划中包括一项对各账户及其从总账到分账的账目核对进行计划中的全面审查。通过增聘会计师以便对所有结余进行对账调节，《公共部门会计准则》实施小组将得到加强。", "修订《自愿基金财务细则》", "75. 《公共部门会计准则》实施小组目前正在修订难民署的《自愿基金财务细则》，以反映权责发生制会计的采用，供常设委员会2011年秋季核准。修改计划已于2011年6月送交审计委员会，目前正在审查之中。", "编制示范财务报表草稿", "76. 编制一套“试运行”示范账目，包括核心报表、附注披露和即将采行的会计政策，可使难民署及早获得机会，测试编制符合《公共部门会计准则》的账目所作准备的情况。这还可让审计委员会在实施《公共部门会计准则》之前找到潜在的不足，提出相关建议。实施计划中预计，2011年11月将完成一套示范账目，并由审计委员会验证。然而由于时间有限，而且迄未澄清“试运行”账目是否将包含真实的会计数据，审计委员会感到关切。此外，委员会尚未见到这些计划。如果不用真实数据进行试运行，像难民署这样庞杂的组织将不大可能在既定的实施时限内获得无保留的审计意见。", "77. 难民署告知委员会，它已将世界粮食计划署的财务报表(这些报表已符合《公共部门会计准则》)作为本机构财务报表草稿的基准，以便确定所需的修订和披露。审计委员会注意到，这些方面的考虑已纳入《公共部门会计准则》实施计划。", "78. 审计委员会建议难民署为一套采用真实会计数据的“试运行”账目制定一个明确的计划。", "79. 难民署表示，它已安排于2012年4月和8月进行模拟审计，并且将向审计委员会通报其计划。", "期初余额的审计", "80. 示范财务报表的编制工作将获得一项行动的支持，这项行动将确定实施第一年的资产、负债和准备金期初余额。按照完全权责发生制会计，这实际上就是编定期初财务状况表的起始点。《公共部门会计准则》实施小组预期，期初余额至迟将在2012年4月30日记入账户，并至迟在2012年5月11日验证。此外，审计委员会注意到，项目计划中规定在2011年进行《联合国系统会计准则》所要求的审计以及分别在2012年4月和8月进行两次模拟结账，同时进行审计验证。审计委员会认为，这些工作对于成功实施会计准则至关重要，但实施计划中缺少足够细节来说明如何实现重大阶段性目标。", "81. 审计委员会建议难民署就确立期初余额一事制定一项明确的计划，并尽快将其通报审计委员会。这项计划应给审计委员会留有足够的时间，以便对期初资产负债表进行审计，至少应在正式实施《公共部门会计准则》第一年结束之前三个月。", "对交付《公共部门会计准则》全部惠益的管理", "82. 审计委员会未发现任何证据表明已将采行《公共部门会计准则》的预期惠益与各项目的既定目标正式挂钩，并且正对此进行跟踪，此外也未见难民署有实现惠益的计划。如果难民署要成功实现采行《公共部门会计准则》的预期惠益，则必须从一开始就对各项惠益进行适当的记录和量化，然后进行积极的管理、监测和审查，以确保这些惠益持续存在。", "83. 一旦符合了《公共部门会计准则》，难民署将会掌握关于库存、非消耗性财产、投资和未来负债的更加准确、及时和可比的信息。假如不利用这些信息来做出知情的资源调配决策并寻找提高成本效益的机会，则将丧失采行《公共部门会计准则》的许多潜在惠益。因此，与采行《公共部门会计准则》有关的业务领域现在必须思考如何可以利用这些新信息来促进成本效益。", "84. 委员会确认，《公共部门会计准则》的全部惠益随着时间的推移才会完全实现，但实现惠益的规划进程应尽快启动。目前还不清楚难民署内部何人负责落实惠益。各业务所有人尚未承诺落实属于其业务领域的可量化的惠益，也无法说出相关惠益将如何实现或衡量。如果没有关于实现惠益的明确展望，也没有在业务单位一级落实惠益的明确问责制，潜在惠益就有遭受不必要延误或丧失的风险。如果没有关于可具体说明未来将实施什么样的业务变革的明确而且正式商定的计划，那么各业务所有人或其他利益攸关方就有可能抵制或反对进行实现惠益所需的变革。", "85. 难民署同意审计委员会建议，即难民署《公共部门会计准则》实施小组在调整其实施战略时，应明确确定《公共部门会计准则》项目的目标和预期惠益，并拟订一项方法来跟踪和管理各种惠益的落实。", "86. 所有工作人员都需要了解新报告制度对其日常工作的影响，这一点至关重要。如果没有足够的资源专门用于培训和变革管理，则很有可能《公共部门会计准则》会得不到理解，预期的惠益也不会实现。难民署将“变革管理”作为五大工作流程之一纳入其《公共部门会计准则》实施战略。它制订了一项基于风险的变革管理计划，并任命了一名高级变革管理干事来协调2012年12月前必须进行的计划活动，包括培训和交流。目前正在进行的一项关键任务是确定难民署所有需要培训或启用的管理人员(包括就其需要达到何种具体要求以帮助成功实施会计准则而与他们进行沟通)，以及设计和进行此类培训。", "87. 审计委员会未见有任何迹象表明对于需要实现的成果以及如何实现有明确的设想，包括：", "(a) 应计收支信息的利用及对资产负债表和现金流的积极管理将会如何帮助改进财务管理、决策和问责以及采取更符合成本效益的工作方式；", "(b) 财务职能在改善难民署业绩以及为决策提供深入信息方面将起何种作用；", "(c) 决策人员和业务管理人员在新信息方面需要何种培训，以及可如何利用此种培训来加强业绩计量、活动成本计算和投资评估等。", "88. 审计委员会建议难民署加强其全组织的《公共部门会计准则》变革管理方案，为此应具体明确每个业务单位的高级管理层必须如何积极主动地承担责任并在《公共部门会计准则》的实施期间及之后推动落实预期惠益。", "8. 执行情况报告和成果管理制", "89. 难民署在2005年开始编制成果管理制框架，作为一项进行重大变革以改善其业务管理和向捐助方报告执行情况的方案的一个重要组成部分。审计委员会审查了难民署在两个方面取得的进展：建立成果管理制的进展情况，特别是其国家网络通过其五个区域局提出汇报，这五个区域局是最高管理层[5] 与该组织业务部门之间的联络渠道；它在执行各种支助进程和机制——包括Focus系统[6] ——方面取得的进展。", "获得足够的、切合现实的业绩信息", "90. 难民署的Focus系统为国家一级业绩管理提供了框架，围绕共同目标和宗旨安排各项服务的规划和监测。在规划难民署2010和2011年工作时采用了Focus系统，使各个国家办事处对难民署的各项业务重点有了更好的共同认识。然而，审计委员会注意到：", "(a) Focus尚未输入全部监测数据，而各个国家办事处所掌握的数据也大不相同；", "(b) 业绩数据的准确性和可靠性极不稳定；", "(c) 需要兼顾专为地方情况制定的指标，也有必要在整个难民署网络实行连贯一致的报告制度，以便进行有意义的数据汇总和比较，这一问题尚未解决；", "(d) 各项指标大都侧重于活动的量；很少有指标是用于衡量方案和服务交付的质量、及时性或效率。", "91. 审计委员会指出，尽管国家办事处在为FOCUS输入数据方面承担了很大的行政负担，但它们至今看到的情况是，这项工作在帮助使其业务运作更具成本效益方面价值有限。难民署正采取行动简化规划流程，减少报告要求，提高数据质量并改进报告工作。难民署将面临的一个重大挑战是，既要减轻对国家一级的要求，又要确保全机构的业绩信息更加健全，更反映现实，更有效用。然而，审计委员会感到关切的是，在成果管理制实施6年后，难民署面临着日益疲惫、有限管理时间遭浪费而且遵守规定情况越来越差的风险，除非它能简化对关键任务活动的业绩计量并以这些活动为侧重点。", "92. 审计委员会建议难民署简化其业绩计量，更全面的方式侧重开展关键任务活动，将产出数量、服务质量和交付效率包括在内。确定各种活动的轻重缓急是一项管理责任，但所定标准应该包括实质性财务内容，也即计划的活动能在多大程度上使所关注的主要人口群体获得重大实质惠益。", "93. 难民署接受这一建议，并表示它完全意识到审计委员会所指出的问题，因为工作人员已有这方面的反馈。在2010年全面实施难民署成果框架第一年的经验教训基础上，2011年年初拟订了一个经过修订和简化的成果框架，将于2012年在难民署业务中采用。难民署还表示，将有一个工作组继续审查并改善产出和相关业绩计量，以使它们能够在质和量两方面支持对业绩进行监测。难民署还将确定一套“核心指标”，其侧重点是关键任务领域和受关注人口状况的切实改善，目的是对其全球战略重点进行更密切的定期监测。", "业绩报告", "94. 虽然难民署以职能下放的结构运作，但高级管理当局最终还是要为整个网络的业绩和资源使用负责，而且审计委员会认为，Focus系统和所提交的报告是实现这一点的工具。审计委员会希望看到Focus系统得到很好的利用，提供包含汇总数据的报告，以使高级管理当局能够很容易作出解释，同时也有助于在国家业务之间进行有意义的比较。这些报告应侧重于成本效益执行情况和成绩，并为管理决策提供信息，说明向哪方面分配资源最物有所值。", "95. 尽管Focus系统具有巨大的潜力，但审计委员会注意到，其报告功能尚未全部发挥，工作人员对其报告能力的认识也很低。因此，难民署国家网络提交给最高管理层的报告尚未特别利用Focus系统，而各区域和国家的报告格式也不尽相同。图表、趋势数据和各种指标的使用率也极低。大多数报告侧重于迅速确定难民署业务所在国的事态发展和问题。这虽然可以使高级管理层对危机局势迅速作出反应，但并不能对业绩进行系统的分析，也不能强化问责。", "96. 通过Focus系统提出国别报告的时间安排大多与年中和年底的资源分配决定挂钩。在规划和年中审查期间提交的数据主要侧重于预算支出(采用“执行率”计量)和预算增加的理由。审计委员会发现，对比较成本效益的分析很有限，支出和成果之间的关联也不清晰明了。", "97. 难民署五个区域局的主任告知审计委员会，他们收到的报告虽然能勾画出当前的业务发展情况，因而较为有用，但却缺乏对方案进展与影响的结构性分析。这些主任无法利用所提报告在各自区域进行比较；无法将财务报告与业绩进行有系统的联系；无法确定共同专题以及实现各项目标方面的差距或障碍；也无法很容易地确定需要做出决定或采取行动的时间点。审计委员会认为，目前尚有余地，应减少用于处理不可预知的临时信息流以及列出各国事态背景的管理时间，并使报告更有条理，更容易理解。", "98. 难民署告知审计委员会，Focus开发的第2阶段打算提高系统的管理和报告功能以及提供综合财务和业绩信息，并根据难民署全球战略重点，在国家、区域和全球各级对业绩进行比较和量化分析。该系统还将提供对年内业绩进行更频繁监测的功能。许多组织采用“记分卡”或“仪表板”，以通俗易懂的方式提供关键信息，引导最高管理层关注需要采取行动的优先事项。审计委员会注意到Focus系统中的试验性“记分卡”字段，但这一功能尚未投入使用。", "99. 审计委员会建议难民署编制基于成本的比较信息，以改进划拨决定的实证依据，并加强关联以实施问责。应特别重视实现国家业务之间的比较，开发署对改善受关注人口状况的相对贡献，以及将财务和产出数据联系起来以评估效率和成本效益。", "100.　审计委员会还建议难民署编制一个用于加强高级管理层对国家一级和全机构一级业绩和风险的审查的汇总记分卡，将其同Focus的开发匹配，以支持实施成果管理。", "101.　难民署接受这些建议。难民署表示，计划中对Focus系统内主要业务报告的升级将在2012年3月31日前完成。一个工作组在外部专家的协助下，正在就新业务报告的设计需要更改哪些业务流程征求意见，预计这些报告将反映对效果所作的衡量结果以及计划费用和实际费用，以便评估成本效益。最后形成的报告将作为改进后的全球Focus信息服务的一部分进行编制，该信息服务计划于2012年初提供给管理人员和工作人员。未来将考虑以记分卡的格式列出业绩和风险的事实依据，以使高级管理人员能迅速确定在何处投入可用、潜在的资源最有效益。", "方案评价", "102.　方案评价是成果管理制的一个关键要素；它以常规进展监测所不具备的方式确定各项措施的影响和效果。难民署如要评估其工作实效，就需要以定期详细评价来补充对各项活动，特别是向流离失所人口交付产出活动的常规监测。", "103.　难民署在日内瓦设有一个规模不大但经验丰富的政策制订和评价小组，负责开展或委托开展评价工作。但是，其规模限制了它可承担的评价工作量；而且它还侧重于为100多名难民署工作人员举办评价讲习班。然而，审计委员会发现，没有什么证据表明其对所视察过的国家业务委托进行了系统、独立的评价；并将此现象归结于各国家办事处内部对现有指导意见缺乏认识，而且没有明确要求把评价作为项目计划和预算的组成部分。", "104.　难民署同意审计委员会的建议，其中要求难民署重新制订并纳入难民署在本机构指导意见中订立的原则，在国家一级制订一项政策，明确规定在哪些情形下国家业务一般需要委托进行方案和项目评价，并要求在项目设计期间进行明确的规划和预算编制。", "9. 风险管理", "105.　审计委员会注意到，难民署没有一个正式、系统性的全组织风险管理办法，也没有一个全机构的风险登记册，尽管2005和2008年曾试图制订一个这样的办法。国家网络通过各区域局提交了大量关于风险的临时性、描述性报告，主要考虑的是政治动荡或冲突等外部事件的当前和潜在影响，以及同合作伙伴的关系。但对组织内部风险的考虑则少得多。各区域局主任承认，应更好地记录和正式进行风险评估，以指导工作计划、减灾战略和干预措施。", "106.　审计委员会认为，有条理的风险管理是任何运行良好的组织所必不可少的，此外，在难民署推行此种管理也非常有必要。特别是，对于一个分散在全球各地、在不安全环境中运作(这对其工作人员和成果交付构成具体风险)的组织来说，有必要对整个组织内各种不同风险进行协调一致评估，提升等级并减轻影响(审计委员会了解，一些类似组织在其全机构风险登记册中非常醒目地标明这些风险以促使管理层给予注意)。难民署依赖自愿捐款，这也使它特别容易在发生任何明显失误时面临信誉风险。难民署也需要争取其他正在制订自身日益有条理的风险管理办法的人道主义和发展伙伴提供合作。", "107.　难民署接受审计委员会的建议，即难民署应利用现有的报告安排，抓紧制订一项简明的全组织风险管理办法。", "10. 实施伙伴", "108.　难民署通过800多个“实施伙伴”，在全世界实施约1 600个项目。这些伙伴包括政府机构、国家和国际非政府组织以及其他联合国机构(见图二.1)它们提供住房建设、教育、卫生保健、供水和食品以及法律援助等服务。2010年，难民署大约有三分之一的开支(6.77亿美元)是通过这些伙伴支出的，而且通过合作伙伴支出的总额逐年增加(见图二.2)。", "109.　2010年，难民署开始审查其对实施伙伴的管理，并且在审计期间向审计委员会通报了审查结果。审查结果中载列的建议考虑到了审计委员会在中期审计期间以及在本报告中提出的多项建议。", "图二.1 2010年实施伙伴类型和数目", "[]", "来源：审计委员会对难民署机构间服务数据的分析。", "图二.2 不同时期通过实施伙伴支出的数额", "(单位：百万美元)", "[]", "来源：审计委员会对难民署机构间服务数据的分析。", "注：支出款是分期支付给合作伙伴。年中可能会对分期款作出调整。", "治理和管理信息", "110.　管理实施伙伴的责任分散在难民署各部门，限制了难民署评估整个组织管理实施伙伴以及平衡财务和业务方面情况的能力，同时也限制了规定具体做法以及监测合规及连贯一致情况的能力。总部有三个司，分别负责制订政策和指导、处理全机构关系以及进行审计认证和财务监督。国家办事处负责在总部订立的政策框架内挑选、监督和付款给合作伙伴。", "111.　审计委员会了解，难民署正在考虑如何更好地管理和报告实施伙伴的业绩，这首先意味着需要成立一个单位，以进一步制订一个基于风险的伙伴管理办法。此外也将考虑将难民署总部的若干职能合并到一个单一的监督单位中。为确保发挥效力，这个新单位和新架构需要有足够的权力，可以监管各国家办事处，并就是否遵守总部确定的程序对国家办事处进行问责。", "112.　在国家一级，审计委员会发现，国家办事处对政策的遵守情况，特别是对实施伙伴业绩和支出进行监督的频率和深度差异很大。我们还发现了业绩信息和报告提交情况比较糟糕的例子，特别是缺少对关键项目的战略概述、重大阶段性目标的进展情况以及对成果交付所面临潜在风险的评估。相比之下，难民署伊拉克办事处的项目跟踪数据库虽然不提供用于从整体上评估伙伴协作情况的汇总管理信息，但其所提供的数据有可能支持各伙伴之间或在不同领域与同一伙伴进行比较，以便分析各种趋势，确定共同问题以及为关于未来工作分配的决定提供信息。审计委员会注意到，难民署合作伙伴信息中央数据库目前并不包括业绩数据。", "113.　审计委员会认为，难民署伊拉克办事处的项目跟踪数据库也许可以更广泛应用于整个难民署，但目前没有任何证据显示难民署就该数据库同全机构信息技术架构是否兼容作过任何评估。虽然审计委员会确认难民署在其职能下放型国家办事处网络中鼓励创新，但难民署自身的问责框架强调必须进行有效的信通技术管理，并对信息技术开发活动进行监督，以尽可能提高投资收益，开发兼容系统。审计委员会认为，难民署需要做更多的工作，以确定地方上开发的解决方案是否有价值，是否可扩大适用范围。", "114.　审计委员会建议难民署审查整个网络不同的项目跟踪办法，以确定可更广泛适用的最佳做法并评估其同全机构信息技术战略的兼容性。", "115.　难民署接受这项建议，并表示，难民署目前对Focus系统所作的开发和改进将有助于建立一个有效、统一的项目跟踪系统。难民署告知审计委员会，在改进Focus系统时将会吸收其伊拉克业务所用项目跟踪系统的经验教训，但这一系统原本是用来满足非常具体的业务需求的。审计委员会仍然认为，在伊拉克业务中使用的系统有明确和宝贵的经验教训可供借鉴，有可能让各国家工作队以Focus系统无法办到的方式核证并跟踪在不安全环境中进行的各项活动，例如建造住房或其他资产，采用地理标识手段对此类活动进行拍照以及利用这一案例工作来总结进展情况、趋势和方案内不同差异。", "合作伙伴的管理监督", "116.　难民署原则上采用相同办法来管理其实施伙伴，无论它们机构大小、所在地点、以往表现或其所提供服务性质。这种一刀切的做法本质上是低效的，会导致用于管理较高风险实施伙伴的时间减少。2009年，难民署发表了一份“挑选前核对清单”，以帮助国家工作队评估通过特定伙伴开展工作的风险，并确保选定的伙伴达到所需的先决条件。[7] 该清单的使用并非强制性质，但如果能重新设计，则可能会有助于国家工作队有针对性地管理风险较高的实施伙伴。难民署目前正在考虑采取一种基于风险的新方法来管理实施伙伴。审计委员会认为，要想使一种更加复杂、基于风险的新方法获得成功，就必须解决当前“一刀切”管理做法未获均衡采用的问题。", "117.　审计委员会建议难民署采用基于风险的办法来管理实施伙伴，为此必须明确界定相关规定，以客观和循证的办法来评估实施伙伴的风险，并采用健全的安排来监督国家办事处对此办法的连贯一致实施。", "118.　难民署表示，它本身对实施伙伴管理所作的审查也导致得出了非常相似的结论，即“一刀切”做法存在弊端，而且有必要采取更多地基于风险的办法。它已决定实施一个“有差别的、基于风险的办法“来进行实施伙伴管理，并为其适用此办法拨出资源。在实行这项举措时，将会考虑审计委员会的建议。", "实施伙伴的选择", "119.　在一些地方，难民署的实施伙伴数目有限，但在大多数地方，它却可以实实在在地选择实施伙伴。定期对实施伙伴进行测试或重新考虑，使合作伙伴无法想当然地认为自己会被选中或者将会继续参与实施工作，这是提高绩效和降低腐败风险的一个有效途径。然而，审计委员会发现，多数实施伙伴多年来一直续约，而它们的成本和绩效也从未与其他渠道进行比较。此外，难民署在过去五年里每年平均与145个新伙伴协作，超过一半(57%)的伙伴与难民署连续协作五年以上，28%已协作十几年，这表明更替率很低。", "图二.3 伙伴协作关系的持续时间", "[]", "资料来源：审计委员会对难民署机构间事务数据的分析。", "120.　审计委员会发现，各个国家办事处挑选实施伙伴的基本原理和方法是不同的。例如，难民署有两个办事处要求填写标准的理由说明表格，其中一个办事处规定进行成本效益评估。这种理由说明表格必须经一个甄选委员会批准。在其他办事处，我们几乎没有发现任何证据表明存在客观的或有记录的甄选过程，而且很少审查其他协作机构，也没有比较分析相关能力以及是否“符合”要求。", "121.　审计委员会指出，即使明显存在甄择过程，在评估潜在伙伴或挑选伙伴时，成本效益仍然不是一个重要标准，无论是在指导准则上还是在实践中。若要被选上，相关伙伴就必须满足四个必要条件(例如，它们必须合法登记注册，并有一个银行账户)。就指导说明中列出的11项其他标准而言，“当地经验”、“服务质量”和“快速反应”等因素是重要标准。[8]", "122.　难民署的国家工作队不太愿意明确测试商业采购付款的相对价值，因为建立伙伴关系是一个耗时较短、耗资较少的过程。采购需要竞争招标，也需要合同委员会审批，而挑选和任用实施伙伴虽然对于难民署交付成果很重要，但所需程序要少得多。难民署供应管理处告知审计委员会，选择建立伙伴关系或是选择进行采购，此决定应由难民署负责国家方案的单位来作。然而，我们发现有若干例子显示实施伙伴提供了商业服务(巴基斯坦境内的建筑服务和坦桑尼亚联合共和国境内的物流服务)，而这些服务如能通过竞争性挑选则更为合适，而且更符合成本效益，但我们无法对全球范围的这种做法进行量化，因为难民署没有收集此类数据。", "123.　即使伙伴关系是明显可行的交付机制，审计委员会仍认为，如果难民署想要最大限度地减少腐败风险(因为风险较高的地方开支很大)，并且确保加强成本效益和绩效，那么就应当为任命实施伙伴作出透明、有竞争(或至少有评估)和有良好记录的安排。难民署向审计委员会通报了不能确保作出竞争性选择的各种理由，这些理由在当地情况下可能有些道理；那些理由中包括：缺乏商业供应商，要求供应商具备适当处理流离失所者方面的经验以及难民署工作小组缺乏直接管理商业供应商或分包商的能力等。然而，审计委员会感到关切的是，未经适当考虑就放弃能提高伙伴绩效或接触其他商业伙伴的实际机会。", "124.　审计委员会建议难民署连续一致地对其国家业务实行下列强制性要求：", "(a) 记录它们挑选实施伙伴的理由，包括明确考虑成本效益，借鉴良好作法范例；", "(b) 定期正式评估市场情况(每五年至少一次)以寻找其他替代伙伴；", "(c) 每当寻求市场交易服务时均应考虑替代性商业采购；若不测试市场即挑选一个非商业伙伴，就应记录选择的理由。", "125. 难民署表示，它已向所有外勤作业单位发出指示，要求其加强实施伙伴的挑选和保留程序，包括：(a) 建立当地伙伴甄选委员会；(b) 改进甄选标准，以加强执行实施伙伴核对清单，包括附加值、成本效益分析和预期影响；(c) 对所有甄选过程和决定进行适当而全面的记录；(d) 制订一项视察和审查方案，以确保经改进的指示得到遵守。总部支助团和讲习班正在强化这些改进。未来将根据审计委员会对于至少每五年为寻找替代伙伴而进行市场评估等具体建议，进一步改进这些指示。", "对实施伙伴的交付情况和业绩进行监测", "126.　实施伙伴的副协议包括旨在将有关项目的目标和活动与评估绩效的适当指标和目标联系起来的绩效框架。这些框架以及后来通过每半年提供报告而进行的监测，是难民署用于评估和管理伙伴绩效的主要手段之一。审计委员会注意到，每个实施伙伴的副协议均包括一个绩效框架，但也指出存在一些缺陷，包括：", "(a) 绩效指标将主要侧重于活动数量，而很少注重受益人满意程度或者服务及时性或质量方面。例如：仓储服务可包括存货准确性或服务及时性措施，而不仅仅注重所存储物品的数量；保护流离失所者的工作可包括受益人满意程度或服务意识以及所处理案件数等方面；", "(b) 目标和绩效指标中通常普遍缺乏协议开始时的量化基准或具体目标以及中期阶段性目标，导致无法评估在当年取得的进展；在某些情况中，项目的最重要部分只订立极少的指标。", "127.　难民署同意审计委员会的建议，即应通过经修订的指导准则来扩大伙伴协议中使用的指标范围，并在协议签署前，由管理层核准绩效框架。", "128.　难民署表示，这项建议将作为其强化绩效报告的一部分加以落实。", "129.　为了确保很好地监督实施伙伴的活动，难民署应获得关于伙伴绩效的充分、可靠信息。审计委员会曾建议难民署将监测项目实施进度的工作正规化，并保留监测记录。尽管难民署知道应当根据项目开始时确定的绩效指标来监测项目实施的进度，但审计委员会仍然发现，难民署缺乏一以贯之的办法来记录2010年的考察访问。", "130.　难民署的指导准则要求国家办事处核实实施伙伴在落实商定结果方面正在取得进展，而且有关资金完全用于次级项目协议中概述的用途。国家办事处是通过各伙伴每季度提交的财务监测报告以及通过年中和年底进展情况报告来从事此项工作的。重要的是，应当定期核实各伙伴提交的财务和进展报告：", "(a) 审计委员会发现，财务核查的频率每年从一次到四次不等，其内容也不相同。国家办事处已经编制财务监测模板，但所测试的内容和深度不一致。而且，难民署从事核查工作的方案人员并不总是具备确定和查询财务问题的相应财务技能；", "(b) 关于绩效监测，方案工作人员采用电话、电子邮件和走访的方式来监测和验证所报告的进展情况，并且正在测试诸如难民热线(用于报告问题)和全球定位系统软件等新方法。然而，审计委员会注意到，这种监测与实施伙伴副协议的目标和工作计划没有明确的关联，而关于独立审查范围、频率和结果的记录也有限。", "131.　更笼统来说，财务和绩效报告的提交是作为单独而非一体化的活动来进行的，付给实施伙伴的款项很少是基于产出的交付或成果的实现。审计委员会了解到，2011年已开始在一些国家办事处设立多功能监测小组，而且据难民署预计，这将导致更好地将预算开支与具体目标活动的完成比例进行比较，以此为付款给实施伙伴提供佐证。", "132.　在发现伙伴的绩效出现问题时，应当采取适当和及时的后续行动。审计委员会发现，国家办事处在处理绩效差的伙伴的问题时，所采取的办法各异。在一些国家办事处，有明确证据表明它们对绩效差的伙伴采取了积极的后续行动，并且暂停付款。其他国家办事处的行动不那么明显。在一个国家办事处，审计委员会注意到，尽管管理层知道其伙伴的绩效长期与既定目标严重不符(涉及大量减少计划中对弱势群体的保护活动)，但没有证据表明对该伙伴追究责任，或在现场监测报告中述及此问题。审计委员会向难民署总部提到了这一情况。", "133.　难民署同意审计委员会的建议，即：在制定新管理办法时，为了加强一致性，难民署应编制可发给外地干事的共同核对清单，详细说明他们应如何考察其实施伙伴。这些核对清单应强调国家办事处必须采取坚决行动，解决伙伴绩效差的问题，并应要求充分记录正在采取的行动。这项建议取代审计委员会此前的建议。", "134.　难民署表示，这项建议将被视为其更广泛审查改进实施伙伴管理工作的一部分。", "审计认证", "135.　独立审计认证过程是难民署获得管理人员保证各伙伴开支适当的主要手段之一。由于难民署没有及时委托对其伙伴的开支进行独立审计，审计委员会的2008年审计意见有所保留。2010年，审计委员会注意到，难民署在2011年5月之前共收到了99%的预期伙伴审计证书，涉及2010年6.77亿美元伙伴支出的99%以上。", "136.　难民署的审计报告分析表明，总开支为2 800万美元的40个项目带有经修改的意见。审计委员会审查了项目支出额超过50万美元的13份带有保留的审计报告，共计涉及2 800万美元中的2 050万美元。我们发现，审计员已确定伙伴支出总误差597 000美元，而考虑到其余经修改的意见很可能带有的误差数(3%)，所有误差的总数加在一起并不算大。难民署正在与其伙伴交涉，以解决已发现的问题，并拟采取纠正措施或酌情收回款项。", "137.　虽然难民署已建立有效程序，对带有保留意见的审计证书，以及对其实施伙伴所支付款项中发现的错误和不确定之处采取后续行动，但审计委员会注意到，难民署没有对无保留审计证书进行合适的高质量审查。特别是，审计委员会发现几乎没有任何证据表明难民署对关于无保留意见的致管理当局函中指出的薄弱环节作了有系统的分析和处理。", "138.　审计委员会建议难民署对照实施伙伴财务监测报告，审查及核对独立审计员送发的致管理当局函，并酌情采取后续行动。", "11. 持久难民情况", "139.　难民署所服务的1 000万难民中约有550万已处在“持久难民情况”达五年以上。难民署已确定全世界大约有25处此类情况，每一处均已持续平均约20年之久。难民署在2007年宣布，“有这么多人长期处于一成不变状态的后果包括无谓丧失生命，浪费资源以及加大安全威胁”。[9]", "140.　自1950年以来，难民署任务授权中规定的其部分作用是寻求持久解决这种情况，而且减少对难民署的依赖是一项主要目标，但自上1990年代以来，在落实完整和持久的解决办法方面仅取得很有限的成功。所寻求的主要解决方案是难民自愿遣返原籍国，融入东道国以及在第三国定居；但在落实这些解决方案过程中一直存在众多体制、财政和政治上的挑战。例如，难民署必须依靠联合国其他实体和各国政府的参与和支持才能实施这些解决方案，而且在某些情况中，难民流离失所的最初原因(通常是局势不稳定和冲突)仍然存在。", "141.　持久难民情况是难民署所面临的一个战略问题，并具有牵涉重大的资源管理问题。因此，审计委员会审查了难民署内部在多大程度上理解这些情况和持久解决方案所涉及的资源问题；并审查了难民署在国别业务中如何控制在制定解决方案以及与联合国其他机构协作谋求进展方面存在的风险和不确定因素。", "管理和资源", "142.　2008年，难民署启动了一项关于持久难民情况的《全球行动计划》，其所针对的是五个它认为最有可能取得积极变化的特定情况。这些情况如能成功解决，则可作为其他国家境内情况解决方案的范例(见表二.1)。", "表二.1 《全球行动计划》优先注重的五种持久情况", "所涉情况\t最初情况发生的时间\t难民人数(截至2010年)\t最主要的持久解决方案\t解决方案的现状 \n苏丹东部的厄立特里亚人\t上1980年代和1990年代连续出现的难民潮\t149 000人\t融入当地社区：改善生计和自力更生\t制订发展方面的联合行动计划，供呈交捐助方\n坦桑尼亚境内的布隆迪人\t上世纪70年代\t240 000人\t自愿遣返到布隆迪(46000人)以及归化和融入坦桑尼亚联合共和国(172000人)\t自愿遣返工作已完成；正在制订融入当地社区方案的联合行动计划\n孟加拉国境内的缅甸人\t1991-1992年\t29000人在难民署营地中，另有大约200000人散布于广大社区\t为主要难民收容地区制订发展方案\t目前正在讨论收容国政府曾在2010年拒绝接受的拟议联合计划\n巴基斯坦境内的阿富汗人\t1979年之后连续出现的难民潮\t180万人\t为主要难民收容地区制订发展方案\t正在执行该方案\n塞尔维亚境内的克罗地亚人\t1991年\t61000人(包括难民中心收容的约1000人以及在私人住所中居住的8000名脆弱者)\t基本上已停止向克罗地亚自愿遣返难民；目前侧重于让那些希望留在塞尔维亚的人融入当地社区\t难民署力求在2011年结束这项工作，由塞尔维亚和克罗地亚当局为那些仍然在集体中心者以及那些在低质量私人住所中居住者提供住房", "资料来源：主要来自难民署的“主要持久难民情况概述”，2010年2月。", "143.　《全球行动计划》是一项战略举措。但是，审计委员会发现，该战略已被作为一系列独立项目加以实施，没有一个可供问责的高级负责人，而且整个机构对实施工作的参与广泛分散于难民署总部及各国家业务单位。这部分反映了难民署已把单独项目的领导权下放到国家一级。但就整个计划而言，审计委员会发现，没有任何指标或总体措施可借以评估该计划在多大程度上总体解决了持久难民情况问题，也没有对难民署如何在这个战略优先领域部署资源作任何追踪。审计委员会分析了与十种难民情况有关的数据(涉及处在各种情况中的难民总数的三分之二)，并指出：", "(a) 自2007年以来，长期处于难民状况的人数已净减60万。此数字低于记录显示的120万已通过各种办法解决问题的难民人数。这可能是由于新出生的难民或新来的难民人数增长，抵消了上述数字；", "(b) 难民署用于这些难民身上的开支仍然很大，而且计划在2011年将开支数额增至3亿美元(相当于自2007年以来增长150%)。比较而言，持久解决方案所花费的可确认的数额似乎相对较小，但仍在增多，从2007年的大约2 200万美元增至2009年的4 200万美元。", "144.　难民署打算在今后三至五年时间里把投放于持久难民情况的资源更多地从“照顾和供养”转向持久的解决方案，但目前缺乏关于所有难民情况的完整财务数据和定量数据(如人口和迁徙趋势方面的数据)，使难民署无法跟踪此项举措的结果以及因持久解决方案而使难民状况发生的变化。信息不完整不仅是因为全机构没有一个单位负责统一处理持久难民情况，而且还因为在2010年之前难民署的财政和规划系统没有将持久难民情况界定为一个会计和产出类别。难民署无法定期跟踪这项重要跨领域战略举措的进展情况以及其所牵涉的资源问题，从而严重阻碍了有效的资源管理。然而，我们注意到，难民署已将持久难民情况定为2012-2013年的一个数据采集类别。", "145.　审计委员会建议难民署建立一个负责统一处理持久难民情况的高级管理单位，赋予其足够的权力来监测和处理在所有情况中取得的进展，并对各国别业务行动进行问责。", "146.　难民署表示，它充分认识到审计委员会指出的条块分割的问题，而且它有必要评估如何落实审计委员会的建议并确定更有效管理各种持久情况的方法和组织结构。实施时间表将视2011年的其他优先行动而定。", "持久解决方案的业务论证", "147.　持久解决方案的业务论证是通过捐助呼吁文件和行动计划送交捐助方的。这些文件通常会包括对有关情况的介绍以及对各种需求的评估，此外也会说明拟议的解决方案及其预算。审计委员会发现，没有比照“最少量行动”或“不做改变”的最低选项进行明确的比较分析。据我们所知，尽管采用最低选项来评估从根本上改变交付方式的成本效益很重要，但难民署尚未把比照最低选项来评估个别方案作为其标准做法。", "148.　对持久解决方案的业务论证很少会述及所有各种成本和惠益。为了较全面地进行比较评估，也有必要考虑到对其他联合国机构和其他伙伴的成本和惠益。审计委员会确认成本只是一个因素，同时它审查了供养长久处于不变状况的难民和实施持久解决方案的相对成本。虽然数据不完整，而且照顾和供养处于“不变状态”的每名难民的费用与通过持久解决方案而离开难民营的每名难民的费用在不同情况中差异非常大，但我们发现，有迹象表明，在一些情况中，最初费用较高的持久解决方案可以在几年内产生节省资源的效果。", "149.　审计委员会确认，提出较有力的论证本身并不能保证未来会提供较长期的资金，供实施持久解决方案。捐助方所采用的是一套更为广泛的标准，其中包括政治和其他因素，用以决定它们的供资用途。审计委员会注意到，在多数情况中，对持久解决方案的投资会产生更广泛的重要惠益，如减少冲突风险，但这实际上难以量化。在一些情况中，这种惠益，以及不同选项有着不同程度的风险这一事实，在比重上可能要大于财政上的不利因素。审计委员会在附件二中为就持久解决方案业务论证的相关选项进行比较评估，提出了一个指示性框架。审计委员会认为，对各种选项作出明确考虑是很有好处的，因为这能促进根据客观理由进行决策。", "150.　审计委员会建议难民署明确要求在其提出的每项行动计划中包含比照“最少量行动”或“不做改变”的最低选项进行比较评估，以供内部和捐助方在探讨解决持久难民情况时审议。其目的是使难民署能够衡量从拟议解决方案可能获得或目前已实际获得的效果，但这不意味着难民署应将“最少量行动”或“不做改变”的选项视为可接受的做法。", "151.　难民署表示，它确认需要全面了解拟议解决方案举措会对所有利益攸关方，包括对联合国其他机构产生的所有各种影响，而且它将在编制未来计划和呈件时考虑审计委员会的建议和上述指示性模型。", "持久解决方案的规划和预算编制", "152.　要达成持久解决方案就需要进行认真的规划和财务控制，以确保从一开始就充分了解持久解决方案的成本并使其随着时间的推移而减至最低。审计委员会指出，很多持久解决方案的成本可能会在短期内快速上升，在一些情况下是由于初始估计数中忽略了安保等正常成本要素，或对现有资产再利用作了不切实际的假设。其他费用增加通常与东道国政府所提要求的变化或与联合国伙伴实体的意外费用有关。虽然后者难以准确预测，但在编制预算时有必要编列一定数额的应急资金以供用于此种意外增加的费用。", "153.　难民署编制了供其国家工作队使用的关于规划持久解决方案的详细指南，主要涉及方案设计。该指南虽然可为方案费用计算和费用分摊提供信息指导，并且规定了相关原则，但却没有确立具体工具来有效帮助各工作队计算费用和编制预算。审计委员会认为，鉴于难民署在过去6年中获得的经验，应当对该指南进行更新和修订。", "154.　难民署同意委员会的建议，即：其为国家办事处订立的关于如何制定持久解决方案的指南应辅以根据项目经验汇编的简明核对清单，以帮助国家工作队更好地确定在持久解决方案实施过程中经常出现的费用并为此编制预算。", "与联合国开发计划署就持久解决方案进行更密切的合作", "155.　尽管难民署在管理作为难民持久解决方案一部分的自愿遣返和重新安置方案方面有着长期丰富经验，但它在编制和实施需要经济和社会发展的就地安置方案方面经验较少。就地安置方案通常涉及对基础设施、卫生和教育以及对改善人口就业和收入水平的生计计划的多年投资。在此类方案中，难民署需要与专门从事此种发展工作的其他机构合作，经常通过能够使难民和东道国民众受益、经过联合制定和掌控的方案。", "156.　难民署以往为实施持久解决方案而开展的工作一直受到阻碍，原因是没有有能力的伙伴，资金不足且期限短，并且在全机构和国家一级很难说服发展机构认同这样一个事实，即：难民人口理应获得发展援助，而不仅仅是难民署所独有的一个“问题”。不过，目前有若干伙伴机构与难民署合作处理过一些持久存在的情况，其中包括联合国儿童基金会、世界粮食计划署以及合作最为频繁的联合国开发计划署(开发署)。与开发署合作最频繁的原因是，开发署在实施多年发展方案方面有着丰富的经验并在很多持久情况地点设有机构。尽管审计委员会注意到难民署与开发署之间开展了联合努力，包括为坦桑尼亚联合共和国和苏丹东部的持久情况制定联合行动计划以及协调一致地寻求捐助方提供支助，但这两个机构之间没有商订任何确立双方合作基础的谅解备忘录，也没有商定为联合工作提供资金的机制。难民署告知审计委员会，目前正在审查一个谅解备忘录草案，预计该草案将于2011年初秋完成并由两机构的负责人签署。", "157.　难民署的主要年度筹资周期没能有效保证它能够获得全部所需资金，用于持久解决方案的整个实施过程，而持久解决方案的实施工作可能需要数年时间才能完成。开发署提议设立一个全球多捐助方联合信托基金，该基金将汇集各种资源，不具体指定将资金用于特定国家或活动；此种做法的一个好处是使年度捐款能够用于不止一个财政年度。审计委员会得知，难民署正在考虑开发署的提议。但是，如果事实证明该提议无法接受，则难民署将需要审查如何采取其他方法修订其自身的财务管理安排，以便能够更灵活地部署年度捐助方资金来满足多年期就地安置方案的现实情况需要。", "158.　审计委员会建议难民署与开发署合作，尽快最后敲定谅解备忘录，以便为国家办事处能够更加明确如何发现并利用有助于实施持久解决方案的合作机会。", "D. 管理层的披露", "1. 现金、应收款和财产损失的核销", "159.　难民署告知审计委员会，该署已正式核销590万美元的流动资产(2009年为110万美元)。其中包括未缴捐款570万美元、已付增值税10.5万美元以及执行伙伴结欠的13.3万美元过期余额。如上文所述，审计委员会对应收账款进行审查后发现，2010年还有一笔520万美元备抵金将在2011年正式核销。审计委员会还注意到，由于难民署持有的某一货币从2009年4月起不再作为官方货币使用，该署于2010年将69万美元记入外汇调整数。", "2. 惠给金", "160.　难民署告知审计委员会，高级专员核准了两笔惠给金的支付，共计15 249美元，用于支付联合国争议法庭一宗案件的和解费用以及上一年一宗安全事故所导致轻微指控的和解金。难民署认为，它在道义上有义务支付这些款项，而且这些付款符合本组织的利益。", "3. 欺诈和推定欺诈案件", "161. 难民署在2010年向审计委员会报告了两起欺诈案件，这两起案件导致因现金被窃以及车辆被非法出售而共计损失35 000美元。难民署迄今已追回11 000美元，而且监察主任目前正在调查这两起案件。[10] 难民署尚未评估这些案件是否显示其任何控制措施存在的缺陷。", "E. 致谢", "162.　审计委员会感谢高级专员、副高级专员、助理高级专员和主计长以及其工作人员给予审计委员会工作人员合作与协助。", "联合王国主计长兼审计长", "(审计组长)", "埃米亚斯·莫尔斯(签名)", "南非审计长", "特伦斯·农本贝(签名)", "中国审计长", "联合国审计委员会主席", "刘家义(签名)", "2011年7月12日", "附件一", "审计委员会就2009年12月31日终了年度所提建议执行情况分析", "建议摘要 参考段落^(a) 首次提出的 已全部执行 已部分执行 未执行^(b) 因事态发展 财务期间 而没有执行", "1 加大负责筹备实施《公共部门会计准则》的各工作组的工作力度，以实现在2012年全面实施的目标 27 2009年 X", "2 确保其修订后符合《公共部门会计准则》的《财务细则》在《公共部门会计准则》付诸实施的同时得到采用 31 2009年 X", "3 分析某些工作组在筹备过渡到《公共部门会计准则》方面为何没有取得进展，并作出具体努力以提高低下的进度 33 2009年 X", "4 确保负责官员严格遵守该组织的结账规程；调整其内部程序以遵守审计要求 54 2009年 X", "5 每当有账单和发票可证明已收到货物和服务，即应尽力快速结清应付账款中的未清债务。 57 2009年 X", "6 遵守关于核销未清债务的规定，并加强其关于债务有效性的控制机制 60 2007年 X", "7 为难民署应计服务终了和退休后负债设立专门供资机制 73 2007年 X", "8 修改财务报表附注，内容中增加披露用于服务终了后医疗保险负债估值的主要精算假设的变化，同时说明这一变化的原因和影响 84 2009年 X", "9 在每次结构改革之前应订立详细目标、指标和预期对管理工作的影响 89 2009年 X", "10 编制比较统计数据和指标，以衡量外派单位所提供服务质量的改进情况 90 2009年 X", "11 确保在雇用和指派本国专业干事时使其做法符合国际公务员制度委员会的标准和大会有关决议 96 2009年 X", "12 确保银行对账详尽无遗；解决银行所确认报表和总账之间的不明差异 100 2009年 X", "13 继续努力提高及时说明向实施伙伴预付款项理由的比率 108 2007年 X", "14 对超过一年仍未报告的给予实施伙伴的分期付款作出评估；采取适当措施提出付款情况报告或从实施伙伴那里追回所付款项 117 2007年 X", "15 继续努力于每年4月30日之前收到实施伙伴的审计证明书 123 2007年 X", "16 继续在财务报表中对上年度支出作出可能的调整 126 2007年 X", "17 确保把所有预期审计证明书都纳入其数据库 130 2009年 X", "18 更新与实施伙伴订立的标准合同 134 2009年 X", "19 把项目实施进度指标的监测工作正规化，并且记录检查情况 139 2009年 X", "20 从伙伴处获取其年度库存记录；在实地访问期间对资产追踪数据库中的非消耗性财产和伙伴库存中的非消耗性财产进行相互核对；在实地访问期间检查用难民署资金购置的非消耗性财产和难民署所捐资产的库存情况 151 2009年 X", "21 一旦把非消耗性财产记录在资产数据库中，就及时、定期地记录这些财产的价值；对每个外地代表处的非消耗性财产进行一次全面实物清点，以了解现有资产是否与数据库中所列资产清单相符；更严格地监测资产处置程序 153 2009年 X", "22 在今后的财务报表中披露年终时未使用的消耗性财产的价值，以便更全面和更准确地说明其资产情况 158 2007年 X", "23 继续努力减少处于任务空档且未被临时派活的工作人员数目 173 2007年 X", "24 应与监督厅协作采取适当措施，以降低内部审计员空缺数目 184 2009年 X", "共计 3 14 7 0", "在总数中所占百分比 13 58 29 0", "^(a) 见《大会正式记录，第六十五届会议，补编第5E号》(A/65/5/Add.5)，第二章。", "^(b) 见附件二。", "附件二", "持久解决方案业务论证的指示性模型", "备选方案\t难民署的所涉资源问题\t联合国和其他伙伴的所涉资源问题\t受益人的费用和惠益\t更广泛的社会、经济和政治因素 \n最低选项：通常是“维持现状”或不做拟议变化“最有可能的方案”\t持续照顾和供养要求，包括所有已编入规划的任何持久解决方案工作\t没有变化举措的所需资源；通常联合国其他实体机构的所需资源较少(例如世界粮食计划署)\t没有拟议变化举措情况下的受益人状况和风险\t没有拟议变化举措的状况和风险\n拟议的持久解决方案\t与多年评估期间的最低选项相比较，资源通常减少\t对开发署等发展机构而言，通常需要更多资源\t对受益人福利所产生额外纯影响的评估——从质和量两方面进行的混合评估\t对不稳定或冲突所产生影响等因素的评估——大多数为性质上的描述，但对降低后的冲突风险等作了一定程度的量化分析", "来源：联合国审计委员会", "注：预计的成本和惠益有可能在3年、5年或10年等不同时间段显现，其成功幅度也有差异。", "第三章", "高级专员的责任说明和财务报表的核准", "联合国难民事务高级专员对提交联合国难民事务高级专员方案执行委员会和联合国大会的高级专员所经管自愿基金账目内财务报表的内容和完整性负最终责任。", "为了履行职责，联合国难民事务高级专员办事处根据既定的会计政策和准则开展运作，并且维持内部会计控制和程序制度，以确保财务信息的可靠性，确保资产得到保护。内部控制制度和财务记录由内部监督事务厅和联合国审计委员会在各自审计期间进行审查。", "在这方面，第五章所载财务报表，包括报表一至三、附表1至3以及附注，均根据《联合国难民事务高级专员经管的自愿基金财务细则》(A/AC.96/503/Rev.9)和《联合国系统会计准则》编制。管理当局认为，所附财务报表公允地列报了高级专员办事处截至2010年12月31日的财务状况及该日终了年度各方案、基金和账户的营运结果和现金流量。", "特此核准并核证各账目。", "核准人：", "联合国难民事务高级专员", "安东尼奥·古特雷斯(签名)", "核证人：", "主计长兼财务和行政管理司司长", "卡伦·马德琳·法尔卡斯(签名)", "2011年6月27日", "日内瓦", "第四章", "2010年12月31日终了年度财务概要", "A. 导言", "1. 本财务概要是联合国难民事务高级专员办事处2010年度财务报表的补充。其中概述了财务报表的综合结果和分析意见，突出了重要趋势和变化。", "2. 财务概要、已审计财务报表和审计委员会的报告以及行政和预算问题咨询委员会的有关报告将提交大会第六十六届会议审议。", "B. 背景", "3. 这是难民署根据执行委员会核准的《财务细则》(A/AC.96/503/Rev.9)中设想的成果管理制新预算结构实施各方案的头一年。从2010-2011两年期起，经修订预算结构采用受关注民众作为规划原则。因此这是根据新预算结构提出财务信息的头一年。", "4. 成果管理制框架新预算结构的引入以及综合业务预算和计划的引入，对该组织管理其预算和实施其方案的方式产生了极大的影响。很多新程序和新规程得以确立。财务和管理系统经过了调整，而且2009年财务账户中报告的结余与2010年报告所使用的新预算结构作了对应。", "5. 2009年以前，方案收入和支出被归类于年度方案基金和补充方案基金项下。从2010年1月1日起，随着新预算结构和综合预算的引入，年度预算中包含了预算需求的全部，包括补充预算。补充预算是为执行委员会核准两年期方案预算后出现的业务设立的，以防此种业务无法从业务准备金中获得资金。", "6. 在新预算结构下，各方案归于四个支柱：支柱1. 全球难民方案；支柱2. 全球无国籍人问题方案；支柱3. 全球重返社会项目；支柱4. 全球境内流离失所者项目。除非另有说明，在这些概要中载述的2010年财务信息摘要与年度预算有关，包括年度方案基金(支柱1和2)、重返社会基金(支柱3)、境内流离失所者项目基金(支柱4)、联合国经常预算基金和初级专业人员基金。", "C. 财务概要", "批款、可用资金和支出", "7. 2010年最后批款共计32.887亿美元，而可用资金为21.125亿美元，总支出为18.782亿美元。从2010年结转的可用资金为2.343亿美元，而2009年底的此项金额为2.024亿美元，其中6 180万美元没有指定用途，1.725亿美元为指定用途资金。", "8. 表四.1显示按支柱分列的批款、可用资金和支出细目，支柱1下列有联合国经常预算基金和初级专业人员基金。可用资金包括直接归于该支柱的自愿捐款、其他收入、从上一年度结转的资金、对上一年度支出和捐款所作的调整以及基金之间的划转。", "9. 2010年最后批款和可用基金之间的差异显示难民署2010年受关注民众的未满足需求，共计11.762亿美元。", "表四.1 批款、可用资金和支出", "(百万美元)", "支柱1^(a) 支柱2 支柱3 支柱4 共计", "2010年最后批款 2 332.7 31.4 182.8 741.8 3 288.7", "可用资金 1 573.4 29.1 90.2 419.8 2 112.5", "支出 1 353.3 29.1 90.2 405.6 1 878.2", "结转款项 220.1 — — 14.2 234.3", "支出占批款的百分比 58 93 49 55 57", "支出占可用资金的百分比 86 100 100 97 89", "^(a) 支柱1包括联合国经常预算基金、初级专业人员基金以及业务和(与授权任务有关的)新活动或额外活动准备金。", "捐款", "10. 2010年，自愿捐款共计19.035亿美元，与2009年的17.617亿美元捐款相比，增加了1.418亿美元，即8%，显示虽然全年经济状况不稳，捐助方仍提供了大量支助。", "11. 19.035亿美元的自愿捐款占基于32.887亿美元综合需求的年度预算总额的58%。表四.2显示了自愿捐款额与2010年最后批款和可用资金的对比情况。专用捐款在收到后被记入相应的基金/支柱项下。没有严格指定用途和未指定用途的捐款最初记在支柱1项下，后来根据需要转入其他支柱，以满足预算要求。在这一年中，此种捐款中的1.842亿美元从年度方案基金转入其他基金；4 520万美元转入支柱3(重返社会项目基金)，1.39亿美元转入支柱4(境内流离失所者项目基金)。图四.1显示了按支柱划分的自愿捐款和可用资金百分比的对比情况。", "表四.2 批款、自愿捐款和可用资金", "(百万美元)", "支柱1 支柱2 支柱3 支柱4 共计", "2010年最后批款 2 332.7 31.4 182.8 741.8 3 288.7", "自愿捐款 1 610.9 7.8 34.8 250.0 1 903.5", "从2009年结转的款项 146.4 — 11.9 44.1 202.4", "其他收入和调整数 20.4 — 0.5 3.6 24.5", "为支付行政费用划转的款项 19.4 (0.3) (2.2) (16.9) —", "为支付其他支柱预算划转的款项 (205.8) 21.6 45.2 139.0 —", "转至其他基金的款项 (17.9) — — — (17.9)", "可用资金 1 573.4 29.1 90.2 419.8 2 112.5", "图四.1 按支柱划分的自愿捐款和可用资金比较", "按支柱划分的自愿捐款百分比 按支柱划分的可用资金百分比 \n [] []", "说明：支柱1包括联合国经常预算基金、初级专业人员基金以及业务和(与授权任务有关的)新活动或额外活动准备金。", "支出", "12. 2010年支出共计18.782亿美元，2009年则为17.545亿美元，增加了1.237亿美元，即7%。图四.2显示按目标分列的2010年支出分布百分比，表四.3显示每项目标所涉各支柱的支出分布。", "13. 全球难民方案(支柱1)占支出的绝大部分，达72%。支出中的最大份额分配用于难民保护和混合解决方案目标，占总支出的37%。难民署的全球管理为按目标分列的支出的16%，大部分为支柱1下的支出。这一类别包括全球方案(业务活动和方案支柱)、总部和区域办事处以及2010-2011年全球呼吁中详述的区域支柱结构。此外，其中还包括全球库存。解决问题之前提供的保护占总支出的12%，而应急项下的支出占6%，其中包括为巴基斯坦洪灾地区进行的活动和针对吉尔吉斯斯坦境内情况开展的应急活动。", "图四.2 按目标分列的2010年支出百分比分布", "[]", "图例", "a 应急 \n b 解决问题之前的保护 \n c 保护和混合解决方案 \n d 自愿回返 \n e 重返社会 \n f 就地安置 \n g 重新安置 \n h 能力建设 \n i 对保护和解决方案的宣传 \n j 资源调动 \n k 难民署全球管理 \n l 待报告的实施伙伴余额 \n m 初级专业人员", "表四.3 按支柱和目标分列的支出分布", "(百万美元)", "目标 支柱1 支柱2 支柱3 支柱4 共计 百分比", "应急 28.2 0.1 — 75.3 103.6 6", "解决问题之前的保护 160.2 7.0 — 57.1 224.3 12", "保护和混合解决方案 520.6 6.5 5.7 169.1 701.9 37", "自愿回返 52.1 — 3.7 — 55.8 3", "重返社会 20.2 — 62.6 6.1 88.9 5", "就地安置 22.7 0.4 2.7 — 25.8 1", "重新安置 3.5 — — — 3.5 —", "能力建设 8.6 0.7 0.7 0.1 10.1 1", "对保护和解决方案的宣传 41.1 11.1 — 0.6 52.8 3", "资源调动 3.4 — — — 3.4 —", "难民署全球管理 306.2 0.3 — — 306.5 16", "小计 1 166.8 26.1 75.4 308.3 1 576.6 84", "待报告的实施伙伴余额 175.4 3.0 14.8 97.3 290.5 15", "小计 1 342.2 29.1 90.2 405.6 1 867.1 99", "初级专业人员 11.1 — — — 11.1 1", "共计 1 353.3 29.1 90.2 405.6 1 878.2 100", "占总支出的百分比 72 1 5 22 100", "费用趋势", "14. 以往各年均为合并后的年度方案基金和补充方案基金列报了与管理和行政、方案支助以及方案有关的费用部分。具有可比性的趋势结果列于显示合并后年度方案基金、重返社会项目基金和境内流离失所者项目基金的表四.4内。", "表四.4 费用趋势", "(百分比)", "2006年 2007年 2008年 2009年 2010年\n 5 4 4 4 3", "管理和行政 5 4 4 4 3", "方案支助 24 22 21 18 15", "方案 71 74 75 78 82", "15. 方案支助费用从2009年的18%降至2010年的15%，方案费用则从2009年的78%增至2010年的82%。管理和行政费用以及方案支助费用的百分比出现减少，方案费用则相应增加4%，主要是业务执行和相关费用大幅增加所造成的。", "向实施伙伴分期付款", "16. 2010年，难民署通过向实施伙伴分期付款，支付并承付了共计6.769亿美元，占年度预算支出的36%。2009年的这一数字则为5.988亿美元，占年度预算支出的34%。表四.3显示，已支付但尚未报告的分期付款余额为2.905亿美元；在收到实施伙伴的报告后，支出款将记入适当的目标项下。", "未清债务", "17. 2010年未清债务增加了2 660万美元，未清债务占基金支出的百分比约增加了1%。截至2010年底，未清债务共计1.722亿美元，占年度预算支出总额的9.2%，而2009年则为1.456亿美元，占8.3%。", "上一年债务的核销", "18. 2010年，上一年债务的核销额为1 430万美元，在2009年底的未清债务中占9.9%。2009年的可比数字是1 210万美元，占10.0%。管理当局继续密切注意核实记作未清债务的款额。", "现金结余-自愿基金", "19. 2010年底，全机构可用现金总额为4.370亿美元，2009年则为3.826亿美元，增加了5 440万美元。", "准备金和基金结余-自愿基金", "20. 该组织年末准备金和基金结余出现7 230万美元的净赤字。出现净赤字是由于工作人员福利基金出现了3.934亿美元赤字，而医疗保险计划盈余3 690万美元、周转基金余额5 000万美元和年度预算转结2.343亿美元仅部份抵消了福利基金的赤字，详见表四.1。目前正在继续努力筹措资金用于尚无资金的离职后和退休后工作人员福利。", "D. 周转金和担保基金", "21. 设立周转金和担保基金是为了补充年度方案基金，并在收到认捐款或预期款之前应付必要支出。其资金主要来自投资基金利息和汇率调整产生的收入。其上限为5 000万美元。2010年，在没有从周转金和担保基金提款的情况下完成了业务要求。", "利息收入", "22. 该组织主要从其全年保持的定期存款余额赚取利息收入。2010年，利息收入为110万美元，其中90万美元列报于周转基金内，20万美元列报于医疗保险计划内。与2009年记录的230万美元相比，利息收入减少了120万美元，这是由于世界各国中央银行在金融危机期间维持历史性低利率。但由于有效的变现和投资管理，难民署的利息收入额高于其基准(美国短期国库债券利率三个月平均值)。", "汇率调整", "23. 2010年，世界各地的金融市场继续高度波动，各国政府和中央银行以前所未有的方式干预金融市场。难民署成功采取了风险管理措施，确保尽可能减少外汇兑换损失，并保障现金存量和投资。管理层将继续密切监测并尽可能减轻意外汇率波动可能对业务产生不利影响的风险。", "24. 图四.3显示了难民署的汇兑损益总趋势。", "图四.3 汇兑损益趋势", "难民署汇率调整 (百万美元)", "已实施和未实施的收益和亏损共计", "[]", "25. 2010年，汇率调整导致净亏损1 710万美元，而2009年的此项净亏损是180万美元。在2010年净亏损中，280万美元是已实现的净亏损，1 430万美元是未实现净亏损。", "26. 280万美元已实现净亏损总额中包含由捐款产生的已实现净亏损1 640万美元、由该年度已结算金库汇兑活动产生的已实现净收益1 060万美元以及应付账款和其他来源产生的已实现净收益300万美元。", "27. 出现总额为1 430万美元未实现净亏损主要是由于年终对未支付承付款、应收账款、应付账款及现金结余作了重新估值。表四.5列有2009年和2010年年底所采用的联合国汇率，并列出了百分比变化。", "表四.5 主要货币对美元的汇率变化", "美元汇兑比价 2010年比较2009年\n 货币 2010年12月31日 2009年12月31日 美元汇价变动 联合国收盘汇率 联合国收盘汇率 百分比", "澳元 0.986 1.112 -11.3", "加元 1.000 1.038 -3.7", "丹麦克朗 5.675 5.150 ＋10.2", "日圆 82.000 91.700 -10.6", "挪威克朗 5.956 5.770 ＋3.2", "瑞典克朗 6.852 7.170 -4.4", "瑞士法郎 0.951 1.030 -7.7", "联合王国英镑 0.648 0.625 ＋3.7", "欧元 0.761 0.693 ＋9.8", "28. 2010年，该组织自愿捐款中大部分是美元，约占53%、21%是欧元、6%是瑞典克朗、4%是挪威克朗、4%是日圆、3%是丹麦克朗、3%是英镑、2%是加元、2%是澳元、1%是瑞士法郎，其余为各种其他货币。", "E. 其他事项", "中央应急基金", "29. 2010年，难民署没有从中央应急基金借款。该基金系大会于1992年创立，供各业务机构在紧急情况的早期阶段使用。但在2010年，难民署获得以中央应急基金赠款形式提供的捐款，其中2 550万美元用于支柱1和支柱22 260万美元用于支柱4。", "实施伙伴业绩管理研究", "30. 2010年2月，难民署启动了一个旨在改进实施伙伴管理和监督的项目。财务和行政管理司指派了一名高级工作人员负责与难民署其他有关司/股合作，审查实施伙伴业绩管理方面的政策和相关程序，包括审计证明。", "31. 2010年期间对联合国九个机构实施伙伴业绩管理和监督活动所涉相关政策、程序和做法进行了全面审查和比照评估。这是第一阶段，其目标是确定差距和最佳做法，以便提议一项改进政策。", "32. 第一阶段结束后产生的报告找出了当前程序上的问题以及与主要做法相比所存在的差距，并且包含了对联合国若干其他机构实施伙伴管理做法的分析。此外还就如何解决经比照评估找出的当前难民署实施伙伴业绩管理中存在的差距，提出了几项建议。第一阶段的结果导致确认，高效率和高效力的实施伙伴管理和监督包括多种因素，不仅限于对实施伙伴账目的审计。", "33. 该项目的第二阶段是在审查结果和机构内审议基础上启动的，其目的是通过采用新模式来改进实施伙伴的业绩。这个模式是对实施伙伴资源管理采取一种基于风险的管理做法，它力求改进业绩和问责。这项关于采用此种做法的决定要求对实施方法进行界定并明确其影响。在这一阶段，需要有一种外部的视角，并具备制订和实施基于风险的管理模式的专门知识。安永会计师事务所这家咨询公司参与协助进一步定义概念并评估其对组织结构和资源的影响。该项研究于2011年初完成，其结果将为高级管理战略决定和指示提供资讯。", "执行《国际公共部门会计准则》", "34. 2010年6月，难民署通知常设委员会，难民署决定与其他几个专门机构和联合国组织一样，将《国际公共部门会计准则》的实施推迟到2012年(见EC/61/SC/ CRP.18)。", "35. 2010年期间继续改进项目的管理，而且难民署管理部门继续密切监测实施进展情况，以确保2012年财务报表符合《公共部门会计准则》。", "第五章", "2010年12月31日终了年度财务报表", "2010年12月31日终了年度收入和支出及准备金和基金结余变动报表", "(千美元)", "报表一", "附表或附注编号 周转金和 年度方案 重返社会 境内流离失所者项目 联合国经常 初级专业 工作人员 医疗保险 共计 保证基金 基金 项目基金 基金 预算基金 人员基金 福利基金 计划\n 2010年 2009年", "收入", "自愿捐款 附注2(d)、 1 562 379 34 769 250 005 39 641 16 679 1 903 1 761 附表1 473 659", "其他/杂项收入", "利息收入 附注2(e)、 910 177 1 087 2 295 附注9(a)", "汇率调整 附注2(f) (17 052) (17 052) (1 779)", "调整数", "其他/杂项收入 附注2(g) 34 6 230 8 4 91 196 6 681 104 153 40 341", "收入共计 (16 108) 1 568 609 34 777 250 009 39 641 16 679 91 196 6 858 1 991 1 802 661 516", "支出", "支出 附注2(h)，附注6， 1 958 1 331 669 90 164 405 588 39 641 11 111 37 927 4 437 1 922 1 795 附表2^(a) 495 677", "支出共计 1 958 1 331 669 90 164 405 588 39 641 11 111 37 927 4 437 1 922 1 795 495 677", "收支相抵盈(亏)额 (18 065) 236 939 (55 387) (155 579) 5 568 53 269 2 422 69 168 6 839", "上一年度捐款调整数 附注2(i) (4 339) (46) (4 385) (263)", "上一年度支出调整数 附注2(j) 6 556 355 1 353 8 52 7 8 331 18 386", "收支相抵净盈(亏)额 (18 065) 239 156 (55 031) (154 226) 5 529 53 322 2 429 73 114 24 962", "上一年度债务核销数 附注2(k)、附表3^(b) 11 968 116 2 264 1 272 14 621 13 223", "转入/转自其他基金 附注5(a) 18 066 (181 711) 43 045 122 081 (1 333) (148) 1", "上一期间服务终了负债调整数 (72 204)", "首次确认的土地和建筑物调整数 4 142", "准备金和基金结余、年初 附注3 50 000 139 547 11 871 44 131 6 896 (446 865) 34 433 (159 (130 987) 110)", "准备金和基金结余、年终 附表2^(a) 50 001 208 961 1 14 251 11 093 (393 419) 36 862 (72 250) (159 987)", "^(a) 附表2不包括周转金和保证基金、初级专业人员基金、工作人员福利基金或医疗保险计划基金。", "^(b) 附表3不包括工作人员福利基金。", "2010年12月31日资产、负债、准备金和基金结余报表", "(千美元)", "报表二", "周转金和 年度方案 重返社会 境内流离失所者项目基金 联合国经常 初级专业 工作人员 医疗保险 共计 保证基金 基金 项目基金 预算基金 人员基金 福利基金 计划\n 附表或附注编号 2010年 2009年", "资产", "现金和定期存款 附注9 49 978 266 830 11 372 62 143 9 620 278 36 861 437 382 615 082", "应收款", "应收自愿捐款 附注10 69 962 2 192 25 079 1 487 98 720 88 455", "应收联合国机构款项 附注12 1 142 1 142 3 083", "应收执行伙伴款项，净额 2 033 16 2 049 2 725", "其他应收款 附注13 21 205 50 21 255 25 654", "其他资产 附注15 22 1 782 1 804 2 229", "土地和建筑物 附注16 4 142 4 142 4 142", "资产共计 50 000 367 096 13 564 87 288 11 107 278 36 861 566 508 903 194", "负债", "预收捐款 附注2(o)、附注3 41 472 41 472 32 552", "未清债务 附表2^(a) 85 639 13 564 73 038 13 172 145 640 254", "应付款 附注18 31 024 31 024 42 314", "服务终了和退休后福利负债 附注2(r)、附注19 393 698 393 448 384 698", "负债共计 158 135 13 564 73 038 13 393 698 638 668 890 448", "准备金和基金结余 附表2^(a) 50 000 208 961 14 250 11 094 (393 420) 36 861 (72 (159 254) 987)", "负债及准备金和基金结余共计 50 000 367 096 13 564 87 288 11 107 278 36 861 566 508 903 194", "^(a) 附表2不包括周转金和保证基金、初级专业人员基金、工作人员福利基金或医疗保险计划基金。", "2010年12月31日终了年度现金流量报表", "(千美元)", "报表三", "周转金和 年度方案 重返社会 境内流离失所者项目基金 联合国经常 初级专业 工作人员 医疗保险 共计 保证基金 基金 项目基金 预算基金 人员基金 福利基金 计划\n 2010年 2009年", "来自业务活动的现金流量", "收支相抵净盈(亏)额(报表1) (18 066) 239 157 (55 032) (154 226) 5 530 53 321 2 428 73 112 24 962", "应收捐款(增加)减少额 18 404 (2 192) (25 079) (1 398) (10 (6 870) 265)", "其他应收款(增加)减少额 7 082 (66) 7 016 514", "其他资产(增加)减少额 4 421 425 403", "土地和建筑物(增加)减少额 (4 142)", "预收捐款增加(减少)额 8 920 8 920 (16 333)", "未清债务增加(减少)额 (25 860) 10 891 41 578 5 26 614 25 158", "应付款增加(减少)额 (11 290) (11 71 635 290)", "服务终了和退休后福利负债增加(减少)额 (54 686) (54 686)", "减：利息收入 (910) (177) (1 (2 295) 087)", "汇率调整数^(a) 2 748 2 748 1 779", "来自业务活动的现金净额 (16 224) 236 834 (46 333) (137 793) 4 137 (1 365) 2 251 41 507 94 811", "来自投资和金融活动的现金流量", "利息收入 910 177 1 087 2 295", "汇率调整数^(a) (2 748) (2 (1 779) 748)", "来自投资和融资的现金净额 (1 838) 177 (1 516 661)", "其他来源的现金流量^(b)", "上一年度债务核销数 11 968 116 2 264 1 272 14 621 13 223", "转自(转入)其他基金 18 066 (181 711) 43 045 122 081 (1 333) (148)", "上一期间服务终了负债调整数 (72 204)", "首次确认的土地和建筑物调整数 4 142", "其他来源现金净额 18 066 (169 743) 43 161 124 345 (1 332) 124 14 621 (54 839)", "现金和定期存款增加(减少)净额 4 67 091 (3 172) (13 448) 2 805 (1 241) 2 428 54 467 40 488", "年初现金和定期存款 49 974 199 739 14 544 75 591 6 815 1 519 34 433 382 342 127 615", "年终现金和定期存款 49 978 266 830 11 372 62 143 9 620 278 36 861 437 382 615 082", "^(a) 系已实现的汇率调整数，而报表1中的汇率调整数(17 052)包含已实现的汇率调整数(2 748)和未实现的汇率调整数(14 304)。", "^(b) 现金流量报表按联合国系统会计准则列报。其他来源现金流量中包含的非现金项目必须同收支相抵净盈(亏)额进行核对，才能得出年终现金和定期存款结余额。", "2010年12月31日终了年度按捐助者/基金开列的捐款", "(千美元)", "附表1", "年度方案基金 重返社会项目基金 境内流离失所者项目基金 联合国经常预算 初级专业人员基金 共计 基金\n 现金 实物 共计 现金 实物 共计 现金 实物 共计 现金 现金 现金 实物 共计", "自愿捐助", "政府捐助方", "阿尔及利亚 100 — 100 — — — — — — — — 100 — 100", "安道尔 66 — 66 — — — 9 — 9 — — 75 — 75", "阿根廷 39 — 39 — — — — — — — — 39 — 39", "澳大利亚 37 435 — 37 435 270 — 270 7 330 — 7 330 — 69 45 104 — 45 104", "奥地利 3 272 — 3 272 — — — — — — — — 3 272 — 3 272", "阿塞拜疆 20 — 20 — — — — — — — — 20 — 20", "巴林 10 — 10 — — — — — — — — 10 — 10", "比利时 17 831 — 17 831 1 233 — 1 233 2 898 — 2 898 — — 21 962 — 21 962", "巴西 1 600 — 1 600 — — — 1 900 — 1 900 — — 3 500 — 3 500", "加拿大 42 499 — 42 499 — — — 3 491 — 3 491 — 530 46 520 — 46 520", "智利 100 — 100 — — — — — — — — 100 — 100", "中国 250 — 250 — — — — — — — — 250 — 250", "哥伦比亚 25 — 25 — — — — — — — — 25 — 25", "哥斯达黎加 18 — 18 — — — — — — — — 18 — 18", "塞浦路斯 82 — 82 — — — — — — — — 82 — 82", "捷克共和国 165 — 165 — — — — — — — — 165 — 165", "丹麦 46 667 — 46 667 5 721 — 5 721 3 467 — 3 467 — 913 56 768 — 56 768", "埃及 25 — 25 — — — — — — — — 25 — 25", "爱沙尼亚 155 — 155 — — — — — — — — 155 — 155", "芬兰 26 697 — 26 697 — — — 289 — 289 — 561 27 547 — 27 547", "法国 16 667 — 16 667 540 — 540 2 362 — 2 362 — 487 20 056 — 20 056", "德国 35 916 5 143 41 059 1 271 135 1 406 5 971 244 6 215 0 1 061 44 219 5 522 49 741", "希腊 551 — 551 — — — — — — — — 551 — 551", "匈牙利 174 1 663 1 837 — — — — — — — — 174 1 663 1 837", "冰岛 100 — 100 — — — — — — — — 100 — 100", "爱尔兰 7 738 — 7 738 — — — — — — — — 7 738 — 7 738", "以色列 60 — 60 — — — — — — — — 60 — 60", "意大利 9 078 — 9 078 — — — 1 666 — 1 666 — 733 11 477 — 11 477", "日本 115 530 — 115 11 818 — 11 818 15 215 — 15 215 — 931 143 — 143 530 494 494", "科威特 1 052 — 1 052 — — — — — — — — 1 052 — 1 052", "列支敦士登 291 — 291 — — — — — — — 141 432 — 432", "卢森堡 10 462 — 10 462 — — — 448 — 448 — 226 11 136 — 11 136", "马耳他 20 — 20 — — — — — — — — 20 — 20", "墨西哥 75 — 75 — — — — — — — — 75 — 75", "摩纳哥 195 — 195 — — — — — — — — 195 — 195", "黑山 6 — 6 — — — — — — — — 6 — 6", "摩洛哥 1 000 — 1 000 — — — — — — — — 1 000 — 1 000", "荷兰 69 457 — 69 457 — — — 1 778 — 1 778 — 2 844 74 079 — 74 079", "新西兰 4 428 — 4 428 — — — — — — — — 4 428 — 4 428", "挪威 69 091 127 69 218 468 — 468 10 603 — 10 603 — 686 80 848 127 80 975", "阿曼 100 — 100 — — — — — — — — 100 — 100", "葡萄牙 1 639 — 1 639 — — — — — — — — 1 639 — 1 639", "卡塔尔 50 — 50 — — — — — — — — 50 — 50", "大韩民国 3 000 — 3 000 — — — — — — — — 3 000 — 3 000", "俄罗斯联邦 1 800 — 1 800 — — — 200 — 200 — — 2 000 — 2 000", "沙特阿拉伯 1 450 — 1 450 — — — 18 786 — 18 786 — — 20 236 — 20 236", "新加坡 10 — 10 — — — — — — — — 10 — 10", "斯洛伐克 14 — 14 — — — — — — — — 14 — 14", "斯洛文尼亚 121 — 121 — — — — — — — — 121 — 121", "南非 179 — 179 — — — — — — — — 179 — 179", "西班牙 25 109 — 25 109 2 074 — 2 074 8 967 — 8 967 — 3 020 39 170 — 39 170", "瑞典 104 716 — 104 — — — 6 420 — 6 420 — 800 111 — 111 716 936 936", "瑞士 19 543 1 191 20 734 — — — 4 460 — 4 460 — 327 24 330 1 191 25 521", "泰国 20 — 20 — — — — — — — — 20 — 20", "土耳其 200 — 200 — — — — — — — — 200 — 200", "阿拉伯联合酋长国 346 — 346 — — — 3 919 — 3 919 — — 4 265 — 4 265", "联合王国 47 278 — 47 278 — — — 9 724 — 9 724 — — 57 002 — 57 002", "美国 645 610 — 645 — — — 63 152 105 63 257 — 3 350 712 105 712 610 112 217", "乌拉圭 5 — 5 — — — — — — — — 5 — 5", "政府捐助方 1 370 137 8 124 1 378 23 395 135 23 530 173 349 173 — 16 679 1 583 8 608 1 591 261 055 404 266 874", "欧洲联盟委员会 65 343 — 65 343 9 670 — 9 670 43 203 — 43 203 — — 118 — 118 216 216", "政府间捐助方", "国际移民组织 194 — 194 — — — — — — — — 194 — 194", "非洲联盟 550 — 550 — — — 100 — 100 — — 650 — 650", "阿拉伯湾支援联合国发展组织方案 50 — 50 — — — — — — — — 50 — 50", "政府间发展管理局 659 — 659 — — — — — — — — 659 — 659", "大湖区艾滋病毒/艾滋病倡议 483 — 483 — — — — — — — 483 — 483", "欧洲委员会/开发银行 — — — — — — 30 — 30 — — 30 — 30", "欧佩克国际开发基金 1 000 — 1 000 — — — — — — — — 1 000 — 1 000", "西非国家经济共同体 4 105 — 4 105 — — — — — — — — 4 105 — 4 105", "政府间捐助方 7 041 — 7 041 — — — 130 — 130 — — 7 171 — 7 171", "联合国集合供资机制", "稳定与恢复筹资机制 — — — — — — 760 — 760 — — 760 — 760", "联合国 — — — — — — — — — 39 641 — 39 641 — 39 641", "流感行动中央基金 1 235 — 1 235 — — — — — — — — 1 235 — 1 235", "联合国人口基金 221 — 221 — — — — — — — — 221 — 221", "刚果民主共和国集合供资 918 — 918 — — — 911 — 911 — — 1 829 — 1 829", "苏丹共同人道主义基金 6 598 — 6 598 500 — 500 3 081 — 3 081 — — 10 179 — 10 179", "中非共和国共同人道主义基金 — — — — — — 250 — 250 — — 250 — 250", "中央应急基金 25 480 — 25 480 — — — 22 626 — 22 626 — — 48 106 — 48 106", "联合国艾滋病毒/艾滋病联合规划署 4 250 — 4 250 — — — — — — — — 4 250 — 4 250", "发展集团伊拉克信托基金 171 — 171 541 — 541 112 — 112 — — 824 — 824", "联合国开发计划署 1 969 — 1 969 — — — — — — — — 1 969 — 1 969", "联合国人类安全信托基金 1 184 — 1 184 74 — 74 694 0 694 — — 1 952 — 1 952", "联合国建设和平基金 1 597 — 1 597 — — — 273 — 273 — — 1 870 — 1 870", "联合国一体行动 2 170 — 2 170 — — — — — — — — 2 170 — 2 170", "联合国千年发展目标 228 — 228 243 — 243 1 192 0 1 192 — — 1 663 — 1 663", "世界粮食计划署 — — — 105 — 105 35 — 35 — — 140 — 140", "联合国人权事务高级专员办事处 — — — — — — 400 — 400 — — 400 — 400", "联合国集合供资机制 46 021 — 46 021 1 463 — 1 463 30 334 — 30 334 39 641 — 117 — 117 459 459", "私人捐助方", "阿根廷 1 — 1 — — — — — — — — 1 — 1", "安哥拉 307 — 307 — — — — — — — — 307 — 307", "阿塞拜疆 — — — — — — 50 — 50 — — 50 — 50", "奥地利 1 — 1 — — — — — — — — 1 — 1", "澳大利亚 7 228 — 7 228 — — — 210 — 210 — — 7 438 — 7 438", "比利时 7 — 7 — — — — — — — — 7 — 7", "巴西 — — — — — ― — — — — — — — —", "加拿大 1 817 — 1 817 — — — 6 — 6 — — 1 823 — 1 823", "中国 2 360 — 2 360 — — — 315 — 315 — — 2 675 — 2 675", "哥伦比亚 3 — 3 — — — 10 — 10 — — 13 — 13", "刚果 — — — — — — — — — — — — — —", "塞浦路斯 1 — 1 — — — — — — — — — — 1", "捷克共和国 — — — — — — — — — — — — — —", "丹麦 — 477 477 — — — — — — — — — 477 477", "芬兰 — — — — — — — — — — — — — —", "法国 2 184 186 — — — — — — — — 2 184 186", "德国 2 807 — 2 807 — — — 410 — 410 — — 3 217 — 3 217", "希腊 300 — 300 — — — — — — — — 300 — 300", "意大利 8 548 — 8 548 — — — 247 — 247 — — 8 795 — 8 795", "日本 7 850 558 8 408 — — — 215 — 215 — — 8 065 558 8 623", "约旦 2 — 2 — — — — — — — — 2 — 2", "韩国 518 — 518 — — — 11 — 11 — — 529 — 529", "斯里兰卡 — — — — — — — — — — — — — —", "黎巴嫩 7 — 7 — — — — — — — — 7 — 7", "卢森堡 50 — 50 — — — — — — — — 50 — 50", "马来西亚 — — — — — — — — — — — — — —", "墨西哥 — — — — — — — — — — — — — —", "摩纳哥 58 — 58 — — — — — — — — 58 — 58", "荷兰 2 539 1 701 4 240 106 — 106 169 — 169 — — 2 814 1 701 4 515", "尼泊尔 1 — 1 — — — — — — — — 1 — 1", "巴基斯坦 15 — 15 — — — — — — — — 15 — 15", "葡萄牙 364 1 099 1 463 — — — — — — — — 364 1 099 1 463", "沙特阿拉伯 1 — 1 — — — — — — — — 1 — 1", "塞尔维亚 72 — 72 — — — 256 — 256 — — 328 — 328", "西班牙 9 812 — 9 812 — — — 356 — 356 — — 10 168 — 10 168", "瑞典 734 — 734 — — — 411 — 411 — — 1 145 — 1 145", "瑞士 842 5 439 6 281 — — — 9 — 9 — — 851 5 439 6 290", "叙利亚 18 — 18 — — — — — — — — 18 — 18", "泰国 2 324 — 2 324 — — — — — — — — 2 324 — 2 324", "土耳其 9 — 9 — — — — — — — — 9 — 9", "乌克兰 1 — 1 — — — — — — — — 1 — 1", "阿拉伯联合酋长国 300 — 300 — — — — — — — — 300 — 300", "联合王国 502 46 548 — — — 14 0 14 — — 516 46 562", "坦桑尼亚联合共和国 — — — — — — — — — — — — — —", "美利坚合众国 5 469 1 339 6 808 — — — 245 — 245 — — 5 714 1 339 7 053", "私人捐助方 54 870 10 843 65 713 106 — 106 2 934 — 2 934 — — 57 910 10 843 68 753", "捐助总计 1 543 412 18 967 1 562 34 634 135 34 769 249 349 250 39 641 16 679 1 884 19 451 1 903 379 656 005 022 473", "2010年12月31日所有基金的可用资金", "(千美元)", "附表2", "支出\n 年度方案基金 可用资金 付款/交付 未清债务 共计 结余", "外地业务", "非洲", "非洲全部 491 — — — 491", "西非 46 162 43 862 2 221 46 083 79", "东非和非洲之角 233 584 214 948 18 634 233 582 2", "中部非洲和大湖区 232 357 217 719 14 638 232 357 0", "南部非洲 40 660 39 366 1 294 40 660 0", "非洲 553 254 515 895 36 787 552 682 572", "中东和北非", "北非 25 987 23 931 2 056 25 987 0", "中东 229 441 183 493 9 954 193 447 35 994", "中东和北非 255 428 207 424 12 010 219 434 35 994", "亚洲和太平洋", "亚洲和太平洋全部 10 — — — 10", "南亚 21 880 20 303 (1 452) 18 851 3 029", "东南亚 42 086 41 142 943 42 085 1", "东亚和太平洋 11 577 11 400 178 11 578 (1)", "西南亚 185 911 105 482 (15 948) 89 534 96 377", "中亚 9 661 9 231 180 9 411 250", "亚洲和太平洋 271 125 187 558 -16 099 171 459 99 666", "欧洲", "东欧 31 669 32 026 -357 31 669 0", "中欧 7 545 7 478 68 7 546 (1)", "北欧、西欧和南欧 26 110 24 923 1 188 26 111 (1)", "东南欧洲 20 171 19 811 360 20 171 —", "欧洲 85 495 84 238 1 259 85 497 (2)", "美洲", "拉丁美洲 30 525 29 888 637 30 525 —", "北美和加勒比 6 050 5 743 307 6 050 —", "美洲 36 575 35 631 944 36 575 —", "外地业务 1 201 877 1 030 746 34 901 1 065 647 136 230", "全球方案 134 103 92 773 41 330 134 103 0", "总部 131 917 122 511 9 408 131 919 (2)", "全部 72 733 0 0 0 72 733", "年度方案基金共计 1 540 630 1 246 030 85 639 1 331 669 208 961", "支出 \n重返社会项目基金\t可用资金\t付款/交付 未清债务\t共计\t结余 \n 外地业务 \n 非洲 \n西非\t1 839\t1829 10\t1 839\t—\n东非和非洲之角\t15 988\t10626 5 362\t15 988\t—\n中部非洲和大湖区\t11 457\t10980 477\t11 457\t—\n南部非洲\t1 886\t1882 4\t1 886\t—\n非洲\t31 170\t25317 5 853\t31 170\t—\n 中东和北非 中东\t22817\t16 6 368\t22817\t— \n 449 \n中东和北非\t22 817\t16449 6 368\t22 817\t—\n 亚洲和太平洋 \n南亚\t540\t540 0\t540\t—\n东南亚\t228\t228 0\t228\t—\n西南亚\t27 639\t26331 1 308\t27 639\t—\n亚洲和太平洋\t28 407\t27099 1 308\t28 407\t—\n 欧洲         \n东欧\t1 559\t1550 9\t1 559\t—\n东南欧\t6 211\t6185 26\t6 211\t—\n欧洲\t7 770\t7735 35\t7 770\t—\n外地业务\t90 164\t76600 13 564\t90 164\t—\n重返社会项目基金共计\t90 164\t76600 13 564\t90 164", "支出 \n境内流离失所者项目基金\t可用资金\t付款/交付 未清债务\t共计\t结余 \n 外地业务 \n 非洲 \n西非\t4 207\t3789 418\t4 207\t0\n东非和非洲之角\t52 202\t47109 2 271\t49 380\t2 822\n中部非洲和大湖区\t35 782\t31352 4 425\t35 777\t5\n南部非洲\t2 125\t2124 1\t2 125\t0\n非洲\t94 316\t84374 7 115\t91 489\t2 827\n 中东和北非 中东\t76100\t65 10525\t76100\t— \n 575 \n中东和北非\t76 100\t65575 10 525\t76 100\t0\n 亚洲和太平洋 \n南亚\t24 844\t18932 5 912\t24 844\t—\n东南亚\t3 733\t3716 17\t3 733\t—\n西南亚\t133512\t86703 46 809\t133 512\t—\n中亚\t22 205\t17415 510\t17 925\t4 280\n亚洲和太平洋\t184294\t126766 53 248\t180 014\t4 280\n 欧洲 \n东欧\t21 442\t15207 1 330\t16 537\t4 905\n东南欧\t15 045\t14873 172\t15 045\t0\n欧洲\t36 487\t30080 1 502\t31 582\t4 905\n 美洲 \n拉丁美洲\t22 226\t21809 417\t22 226\t0\n北美和加勒比\t6 415\t3946 231\t4 177\t2 238\n美洲\t28 641\t25755 648\t26 403\t2 238\n外地业务\t419838\t332550 73 038\t405 588\t14 250\n境内流离失所者项目基金共计\t419838\t332550 73 038\t405 588\t14 250", "支出\n 联合国经常预算基金 可用资金 付款/交付 未清债务 共计 结余", "总部 39 641 39 641 39 641", "联合国经常预算基金共计 39 641 39 641 0 39 641 776", "2010年12月31日上几个年度债务状况", "(千美元)", "附表3", "年度方案基金 2010年1月1 2010年期间 2010年期间 2010年12月31日 日未清债务^(a) 付款 核销 仍未结清的上几个 年度其余未清债务", "外地业务", "非洲", "西非 1 814 1 605 209 —", "东非和非洲之角 21 516 19 562 1 954 —", "中部非洲和大湖区 18 363 15 170 3 193 —", "南部非洲 1 305 1 260 45 —", "非洲 42 998 37 597 5 401 —", "中东和北非", "北非 3 844 3 784 60 —", "中东 21 265 19 729 1 536 —", "中东和北非 25 109 23 513 1 596 —", "亚洲和太平洋", "南亚 1 448 1 325 123 —", "东南亚 2 074 2 020 54 —", "东亚和太平洋 269 248 21 —", "西南亚 7 166 6 461 705 —", "中亚 52 51 1 —", "亚洲和太平洋 11 009 10 105 904 —", "欧洲", "东欧 925 891 34 —", "中欧 20 18 2 —", "北欧、西欧和南欧 252 216 36 —", "东南欧 303 200 103 —", "欧洲 1 500 1 325 175 —", "美洲", "拉丁美洲 214 204 10 —", "北美和加勒比 1 — 1 —", "美洲 215 204 11 —", "外地业务 80 831 72 744 8 087 —", "全球方案 18 566 17 178 1 388 —", "总部 12 078 9 328 2 478 272", "全部 24 9 15 —", "年度方案基金共计 111 499 99 259 11 968 272", "重返社会项目基金 2010年1月1 2010年期间 2010年期间 2010年12月31日 日未清债务^(a) 付款 核销 仍未结清的上几个 年度其余未清债务", "外地业务", "非洲 2 673 2 557 116 —", "重返社会项目基金共计 2 673 2 557 116 —", "境内流离失所者项目基金 2010年1月1 2010年期间 2010年期间 2010年12月31日 日未未清债务^(a) 付款 核销 仍未结清的上几个 年度其余未清债务", "外地业务", "非洲 2 792 2 615 177 —", "中东和北非 1 398 1 324 74 —", "亚洲和太平洋 26 066 24 055 2 011 —", "欧洲 1 191 1 191 — —", "美洲 13 11 2 —", "境内流离失所者项目基金共计 31 460 29 196 2 264 —", "初级专业人员基金 2010年1月1 2010年期间 2010年期间 2010年12月31日 日未清债务^(a) 付款 核销 仍未结清的上几个 年度其余未清债务", "外地业务", "非洲 4 3 1 —", "欧洲 4 4 — —", "初级专业人员基金共计 8 7 1 —", "总计 145 640 131 019 14 349 272", "^(a) 见附注3。", "附录", "联合国难民事务高级专员办事处目标和活动说明", "高级专员的基本任务载于联合国难民事务高级专员办事处(难民署)章程(大会第428(V)号决议)。章程中规定，高级专员根据大会的授权行事，承担在联合国主持下向属于章程所述范畴的难民提供国际保护、设法为难民问题寻求长期解决办法的职能。", "大会还要求高级专员向回返者提供援助，并监测他们返回后的安全和福利状况(大会第40/118号决议)。此外，难民署根据秘书长或联合国各主要主管机关的具体要求，并经有关国家同意，向境内流离失所者提供人道主义援助和保护(大会第48/116号决议)。关于难民署的援助活动，章程中的基本规定业经大会第832(IX)号决议扩充。", "财务报表附注", "附注1 联合国难民事务高级专员办事处及其活动", "联合国难民事务高级专员办事处(难民署)是根据大会1949年12月3日第319 A(IV)号决议设立的，其章程由大会1950年12月14日第428(V)号决议批准。", "难民署的总目标是向难民提供国际保护并谋求持久解决难民问题的办法。难民署力求捍卫庇护和不驱回的基本原则，并确保难民的基本权利得到尊重，确保难民得到体面的人道待遇。难民署应大会和有关国家政府的要求，还拟订了大量物质援助方案以满足难民的需要。大会、经济及社会理事会和难民署执行委员会后来的决议均要求该办事处根据其基本任务规定，向属于高级专员关注范围的其他人群提供援助。在发生复杂人道主义紧急情况时，难民署也参与提供人道主义援助。", "高级专员每年通过经济及社会理事会向大会提出报告。高级专员方案执行委员会是根据大会1957年11月26日第1166(XII)号决议设立的，其任务是在高级专员履行职责时提供咨询意见，并核可向高级专员提供的自愿基金的使用。执行委员会每年举行一系列会议，包括一届全会和全体常设委员会的若干次闭会期间会议。2010年，执行委员会由79个成员国组成。每年，执行委员会届会的报告作为高级专员报告的增编提交大会。", "难民署的总部设在日内瓦。难民署在125 个国家有驻留机构，通过以下五个区域的一系列区域办事处、分支机构、办事分处和外地办事处管理其核心工作：非洲、美洲、亚洲和太平洋、欧洲以及中东和北非。业务部和各个司在总部管理全球各方案。", "附注2 重要会计政策摘要", "为了更好地反映难民署的会计做法，自上一年以来，会计政策的用语作了修改。修改后的会计政策并不影响上一年的可比数字，因为难民署的会计做法依然与以前各期相同。", "(a) 列报依据", "自愿基金各账户按照《高级专员经管的自愿基金财务细则》(A/AC.96/503/ Rev.9)管理。执行委员会在2009年12月8日举行的一次特别会议批准了该细则。财务报表和附表也符合大会在其第48/216 C号决议中述及、后来经过修订的联合国系统共同会计准则(A/48/530，附件)。", "高级专员经管的自愿基金的财政年度为1月1日至12月31日。", "(b) 基金分组", "难民署账户按“基金会计制”管理。按照《财务细则》的规定，单独设立了一般用途基金和特别用途基金。", "每个基金均作为独立的财务和会计实体进行管理，各自设有自平复式账薄。每个基金或每组性质相同的基金都有自己的财务报表。", "同一基金内的转划或者不同基金之间的调拨可由高级专员根据《财务细则》授权进行。", "账目中报告的基金如下：", "㈠ 周转金和保证基金。既定上限为5 000万美元，由执行委员会核定，并由来自投资基金的利息收入和上一年度各方案结余维持。该基金用于补充年度方案基金，并在收到认捐款之前支付必要款项及担保债务；", "㈡ 年度方案基金。用于支付执行委员会每两年为支柱1(全球难民方案)和支柱2(全球无国籍人方案)所涉已编入方案活动批准的所需经费。其中还包括业务准备金，高级专员可从业务准备金中拨款给年度预算的其他部分，包括补充预算；", "㈢ 重返社会项目基金。用于支付执行委员会每两年为支柱3(重返社会项目)所涉已编入方案活动批准的所需经费；", "㈣ 境内流离失所者项目基金。用于支付执行委员会每两年为支柱4(境内流离失所者项目)所涉已编入方案活动批准的所需经费；", "㈤ 联合国经常预算基金。用于按照难民署章程的规定，支付工作人员费用及其他管理和行政费用(大会第428(V)号决议，附件，第20条)；", "㈥ 初级专业人员基金。用于从事专门为各国政府赞助的青年专业人员的征聘、培训和进修而安排的财务活动；", "㈦ 工作人员福利基金。用于从事与服务终了应计福利负债有关的财务活动，涉及离职后健康保险、积存年假和离职回国应享权利以及2007年和2008年自愿离职方案所产生的备付金和支出；", "㈧ 医疗保险计划。该计划由大会第四十一届会议根据联合国工作人员条例6.2设立。该基金的的宗旨是帮助参加者及其有资格的家属支付因患病、事故或生育而引起的某些保健服务、设施和用品费用。该计划通过外勤人员保险费和难民署按比例付给的款项以及利息收入来维持。所支付的款项根据当年受理的报销申请来计算，用于支付外勤人员医药费用。该计划的涵盖范围限于在外地的当地征聘一般事务人员和本国专业干事。所有其他工作人员受保于联合国日内瓦办事处的保险计划(联合国工作人员相互保险协会)，其运作情况见联合国财务报表。", "(c) 估计数的使用", "为编制符合公认会计原则的财务报表，管理当局需要提出影响财务报表及其附注内所报数额的估计数和假设。实际结果可能会与这些估计数不同。估计数是用来认列支出的，特别是但不仅仅限于在财政期间终了时用来确定应为未清债务留存的数额以及与离职后健康保险、离职回国补助金、差旅费和托运费及积存年假有关的负债。", "(d) 自愿捐款和认捐", "根据联合国系统会计准则第34段，难民署正式接受的政府、国际组织和联合国其他组织的认捐均认列为与其有关的那一期间的收入。提前收到的对应未来年度认捐款的现金在收到现金之日记作“提前收到的捐款”。", "私人捐助者的捐款在收到现金时记作收入。", "实物捐助被归类为预算内捐助或预算外捐助。预算内实物捐助替代已列入预算而且难民署或其实施伙伴在正常执行方案时会采购的商品。预算内实物捐助在收到货物或服务时按公允市价入账。预算外实物捐助是难民署没有编入预算的捐助。这些是额外提供的材料或服务；在难民署看来，这些捐助对方案活动能起补充作用，且符合难民署的任务授权。预算外实物捐助不入账，但按照自愿捐助用品和服务技术准则(见A/44/624，附件一)，单独列入财务报表的附注(附注22)。", "如下文附注2(f)所述，根据认捐收到的现金按收到之日有效的联合国业务汇率换算成等值美元入账。", "到期未兑现的认捐在五年之后予以注销，除非捐助者在会计期结束前18个月之内以书面形式再次确认该项认捐，或捐助者在财政年度书面确认将不再向本组织支付到期未兑现的认捐。", "(e) 利息收入", "利息收入包括来自各种银行账户的全部利息和投资赚取的收入。财务细则9.3规定了投资收入的入账条件，其中除其他外规定，投资收入应记入年度方案基金，但需用此种收入维持周转金和保证基金的情况除外。医疗保险计划项下资金赚取的收入记入该保险计划。", "(f) 汇率调整", "各账户以美元列报。业务往来以多种货币进行，然后采用联合国主计长确定的、业务发生当天有效的联合国业务汇率换算成美元。在资产负债表的编制日期，应收款、应付款、现金及现金等价物和承付款结余均以12月31日的联合国业务汇率重新估值。", "汇率调整包括现行市场汇率与联合国业务汇率差异造成的已实现的汇兑损益和按照联合国业务汇率对年终资产和负债差额进行重新估值所产生的未实现的换算损益。所有已实现和未实现的损益均计入周转金和保证基金。", "(g) 杂项收入", "杂项收入包括出售旧的或多余的非消耗性财产所得收入和难民署提供给工作人员的宿舍所得收入。", "(h) 支出", "^(a) 高级专员可按照下列规定，为实施方案和项目承付必要资金：(a) 执行委员会核可的年度预算条款；(b) 追加预算的条款和条件；或(c) 其他资金和帐目的条件。", "支出是指按照《财务细则》第8条承付的款项。^(a) 支出包括业务开支、工作人员费用及行政开支。高级专员可在相关基金或账户备有资金或政府认捐的范围内为方案的执行承付款项。在可能和适当的情况下，项目的执行工作均将按照协议或正式换文的条款，委托给实施伙伴，如政府机构、政府间或非政府组织、私人公司或专家个人。已支付给或应该支付给实施伙伴的分期付款均记作支出。如果实施伙伴退还未用资金，则当年收到的退款记入支出，次年收到的退款则记作上一年支出调整。实施伙伴可支付在项目期间直至清算之日(即协议终了日之后一个月)所承付的款项，除非经核可延期。项目的执行依照送发给难民署负责官员或组织单位的指示函内所述规定进行。", "(i) 上一年捐款调整数", "退还给捐助者的前几年所收捐款以及往年已入账捐款的类别调整均记作上一年捐款的调整数。", "(j) 上一年支出调整数", "上一年支出调整数包含实施伙伴退还的未动用现金结余、注销款项以及上一年已入账的支出的其它调整数。", "(k) 上一年债务的注销", "上一年债务的注销涉及以往各期累积且本组织不再需要的未清偿债务。", "(l) 递延费用", "递延费用包含不适宜作为当前财政期间费用而将作为以后财政期间支出的租金预付款和工作人员支出项目预付款。这些费用作为“其他资产”列报。", "(m) 惠给金", "惠给金的给付适用财务细则10.5。如认为给付惠给金符合难民署的利益，主计长可批准给付惠给金，数额不超过5 000美元。如支付数额超过5 000美元，则须经高级专员亲自批准。如有惠给金报表，则应与年度账目一并提交审计委员会。", "(n) 注销", "现金损失或应收款账面价值损失引起的注销，包括贷款改为赠款，适用财务细则10.6。注销记为支出。难民署财产损失的注销适用财务细则10.6 和10.7，其中规定，注销额不超过10 000美元的，主计长可在对每一个案进行充分调查后批准注销。注销额超过10 000美元的，须经高级专员批准。列有所有注销数额的报表与年度账目一并提交审计委员会。", "(o) 未清债务", "未清债务指的是已从当前财政期间资源中列支并需要在下一个财政期间支付的已发订单、已授合同或服务、或应支付给实施伙伴的分期付款，但难民署在财政期间终了时尚未收到这些货物或服务。财政期间终了时的此种未清债务应予保留，并作为债务在账目中列示。未来财政期间不再列有的未清债务应予取消。", "(p) 消耗性财产", "消耗性财产包含难民署购买的、在其开展正常活动或向受益者发放救济物资过程中消耗的货物。难民署的库存指的是打算分发给受益者的物资或用品。这些库存的费用在购买时记入支出。", "(q) 财产、厂房和设备", "财产、厂房和设备包含土地和建筑物以及非消耗性财产：", "㈠ 土地和建筑物按原价作为资本记入账簿。建筑物不计折旧费。", "㈡ 非消耗性财产分两类：", "a. 为用于生产或提供货物或服务、租给他方或作为行政用途而持有的有形物品，预计将在多个报告期使用，无论资金来源或使用情况如何，其中包括实物捐助，且最初费用等于或高于5 000美元。这类物品包括车辆、通信和信息技术设备、家具和固定装置等非消耗性设备以及棚屋、仓库以及保健、水和卫生设施等有形建筑。", "b. 其它有形物品，诸如计算机和电信设备，供难民署从事日常公务，而不是要分发给受惠人。这些物品均有序号可供追查，购入价在300美元至5 000美元之间。", "根据联合国系统会计准则，用难民署自愿基金购买的非消耗性财产不列入资产负债表，而是在购买当年记作有关项目的支出。此方面均作补充记录，以便于管理非消耗性财产，而且此类物品均按购置当日的通行汇率折合成美元。资产的折旧是根据其估计使用寿命，按直线法计算得出的，但不记入会计账簿。", "(r) 与服务终了应计福利有关的负债", "本组织雇员依其雇用条件，有权获得未用年假补偿金以及解雇和离职回国福利。难民署承认与服务终了应计福利有关的负债，涉及离职后医疗保险、积存年假和离职回国应享待遇。这些负债均为无准备金的负债，列在工作人员福利基金项下。", "(s) 关联方交易", "附注中披露所有存在控制权的关联方关系(不论关联方之间是否进行过交易)以及与关联方进行的所有交易。难民署将五个重要管理职位的任职者视为关联方：高级专员、副高级专员、两名助理高级专员和主计长。", "(t) 持续经营", "财务报表在列报负资产时，将之归结为一方面完全承认离职及退休后福利长期负债，另一方面则依照联合国系统会计准则，不承认非流动资产。根据所接获的未来期间已确定认捐以及可用于预计将到期的现有负债的资金数额，目前的坚定预期是，在可预见的将来，难民署有足够的资源供继续维持正常业务。因此，采用以持续经营为基础的会计核算来编制年度财务报表是适当的。", "附注3 上一年可比数字的变化", "2010年1月1日，修订后的《财务细则》实行了新的预算与核算结构，取代此前各年报告的年度方案基金和经常预算基金。根据新的架构，业务活动被归类为几个支柱。年度方案基金包含支柱1(全球难民方案)和支柱2(全球无国籍人方案)；支柱3在重返社会项目基金下列报，支柱4在境内流离失所者项目基金下列报。", "2009年年底的资产、负债和准备金结余与这一新结构作了对应。年度方案基金与支柱1和2作了对应，补充方案基金与支柱1、3和4作了对应。", "补充方案基金截至2009年12月31日的所有非现金资产和应付账款均已划转到年度方案基金。以下各表概述了2009年底未清债务和准备金的期末结余2010年初划转到新基金的情况。", "截至2009年12月31日的准备金期末结余对应新结构的情况见下表：", "表1 准备金", "(千美元)", "2009年期末结余 划转 重报后的2010年期初结余", "年度方案基金 100 439 (100 439)", "补充方案基金 95 110 (95 110)", "联合国经常预算基金", "年度方案基金(支柱1和支柱2)^(a) 139 547 139 547", "重返社会项目基金(支柱3)^(b) 11 871 11 871", "境内流离失所者项目基金(支柱4)^(c) 44 131 44 131", "初级专业人员基金 6 896 6 896", "医疗保险计划 34 433 34 433", "工作人员福利基金 (446 865) (446 865)", "周转金 50 000 50 000", "共计 (159 987) 0 (159 987)", "^(a) 该金额系转自年度预算(100 439美元)和补充预算(39 108美元)。", "^(B) 该金额系转自补充预算。", "^(C) 该金额系转自补充预算。", "截至2009年12月31日的未清债务期末结余对应新结构的情况见下表：", "表2 未清债务", "(千美元)", "2009年期末结余 划转 重报后的2010年期初结余", "年度方案基金 84 564 (84 564)", "补充方案基金 61 034 (61 034)", "联合国经常预算基金 34 (34)", "年度方案基金(支柱1和支柱2)^(a) 111 499 111 499", "重返社会项目基金(支柱3)^(b) 2 673 2 673", "境内流离失所者项目基金(支柱4)^(c) 31 460 31 460", "初级专业人员基金 8 8", "医疗保险计划", "工作人员福利基金", "周转金", "共计 145 640 0 145 640", "^(a) 该金额系转自年度预算(84 564美元)、联合国经常预算(34美元)以及补充预算(26 901美元)。", "^(B) 该金额系转自补充预算。", "^(C) 该金额系转自补充预算。", "附注4 联合国经常预算基金", "^(b) 大会第428(V)号决议，附件。", "根据联合国难民事务高级专员办事处章程第20条，^(b) 与难民署运作有关的行政支出由联合国经常预算承担，与难民署活动有关的一切其他支出则由自愿捐款供资。经常预算承担的那部分支出将用作相当于220个管理和行政类员额的经费、一般业务费用、用品和材料以及对合办活动的捐助。", "2010年的经常预算收入共计39 640 800美元，其中，到2010年底，没有尚未收到的应收款。2010年的经常预算开支为39 640 800美元，其中，32 414 821美元用于支付工作人员费用，包括高级专员和副高级专员的员额费用，7 225 979美元用于支付其他管理和行政费用。", "附注5 2010年期间方案和基金间转账", "2010年期间方案和基金间转账情况见表3。", "表3 2010年期间方案和基金间转账", "(千美元)", "周转基金 年度方案 重返社会 境内流离失所者项目 初级专业 工作人员 净转移 基金 项目基金 基金 人员基金 福利基金", "补充资金 18 066 (18 066) — — — — —", "行政费用^(a) — 19 160 (2 237) (16 923) — — —", "为支付预算而划转的数额^(b) — (184 286) 45 282 139 004 — — —", "初级一般事务人员基金管理费用^(c) — 1 333 — — (1 333) — —", "基金间账款划转 — 148 — — — (148) —", "净转移 18 066 (181 711) 43 045 122 081 (1 333) (148) —", "^(a) 见下文(a)段。", "^(B) 见下文(b)段。", "^(C) 见下文(c)段。", "(a) 资金由重返社会项目基金和境内流离失所者项目基金转入年度方案基金，用于支付2010年期间年度方案基金在为这两个基金提供支助过程中发生的行政费用。", "(b) 专用捐款均记录在相关基金内，非专用或一般专用捐款最初记录在年度方案基金内；后来，后者或用于为年度方案基金预算注入资金，或转用于支付其他基金的核定预算。2010年期间，从年度方案基金转出的净额为181 710 815美元，43 045 271美元转入重返社会项目基金，122 081 084美元转入境内流离失所者项目基金。", "(c) 数额相当于所发生开支的12%的款项由初级专业人员基金转入年度方案基金，作为为难民署管理初级专业人员基金的支助费用。", "(d) 工作人员和行政事务费用的实际开支经由预算摊派，在年度方案基金、重返社会项目基金和境内流离失所者项目基金之间进行分摊。预算摊派系依据对交付成果所需工作人员时间和行政预算数额所作的估计计算确定。", "(e) 2010年，606 360 492美元摊派给了支柱1和2(年度方案和经常预算基金)，23 847 904美元摊派给了支柱3(重返社会项目基金)，97 545 324美元摊派给了支柱4(境内流离失所者项目基金)。初级专业人员基金的开支未予摊派，而是单独列报。", "附注6 支出细目", "表4按基金和类别列示了2010年难民署总支出：", "表4 2010年联合国难民事务高级专员办事处支出", "(千美元)", "基金 方案^(a) 方案支助^(b) 管理和行政^(c) 共计", "年度方案预算、重返社会项目基金和境内流离失所者项目基金 1 493 629 273 771 60 021 1 827 421", "经常预算基金 39 641 39 641", "小计 1 493 629 273 771 99 662 1 867 062", "初级专业人员基金^(d) 11 111", "医疗保险计划^(e) 4 437", "周转金和保障基金 1 958", "工作人员福利基金 37 927", "支出共计 1 922 495", "^(a) 见下文(a)段。", "^(b) 见下文(b)段。", "^(c) 见下文(c)段。", "^(d) 见下文(d)段。", "^(e) 见下文(e)段。", "(a) “方案”类别下的支出与直接资金投入相对应，用于实现特定项目或方案的目标，其中包括工作人员、咨询专家、用品和设备、分包合同、现金援助和培训以及向实施伙伴支付的分期付款。实施伙伴须依照实施伙伴协议的条款和条件，报告从难民署收到的分期付款的使用情况。下表列示截至年底仍未提出财务报告的实施伙伴分期付款余额。实施伙伴的最终财务报告通常在次年的2月28日提出。", "(千美元)", "截至2010年12月31日 截至2009年12月31日", "当年协议", "已支付或已承付的实施伙伴分期付款 676 942 598 800", "已收到的实施伙伴财务报告 (386 404) (333 518)", "未清余额 290 538 265 282", "上一年协议", "未清余额 1 740 4 885", "(b) “方案支助”类别下的支出与主要职能为拟订、编制、交付和评价难民署各方案的各组织单位费用相对应，其中包括为各方案提供技术、专题、地理、后勤或行政方面支持的组织单位费用。", "(c) “管理和行政”类别下的支出与主要职能为维护难民署工作人员性质、方向、福利和安保的各组织单位费用相对应，其中包括履行行政领导、组织政策与评价、对外关系、宣传和行政职能的组织单位费用。", "(d) 下表显示按区域分列的初级专业人员基金2010年支出。", "(千美元)", "区域 2010年 2009年", "非洲 3 951 4 792", "中东和北非 805 932", "亚洲和太平洋 1 619 1 680", "欧洲 788 1 165", "美洲 1 014 747", "全球方案 458 474", "总部 2 476 2 332", "支出共计 11 111 12 122", "这些金额包括薪金以及初级专业干事所产生或与之相关的雇用方面其他支出。", "(e) 2010年，医疗保险计划收到了来自工作人员的保险费和难民署按比例缴付的款项，收入共计6 680 757美元，此外还有利息收入177 397美元。此计划下的总开支共计4 436 570美元。这一数额包括在职和离职参与人所提交医疗费单据的报销付款。此外还包括负责管理该计划的难民署两名工作人员的薪金及其与雇用有关的福利和支出。", "(f) 周转金和保障基金的主要内容包括利息收入(不含拨给医疗保险计划的数额)910 487美元以及汇兑损失净额17 052 014美元。2010年银行手续费共计1 957 555美元。", "(g) 工作人员福利基金的支出反映离职健康保险、应计离职回国补助金和难民署工作人员2010年累积应计未偿付年假，减去已支付的估计福利净额。支出额中还计入了与这些要素有关的精算损失的影响。", "附注7 注销", "2010年，难民署共计注销了5 916 857美元流动性资产，所报告的支出中已有反映，其所涉及的损失见表5所示。", "表5 注销", "(千美元)", "区域 2010年 2009年", "未缴摊款 5 678 316", "增值税 105 351", "预付业务费等 1", "实施伙伴 133 441", "共计 5 917 1 108", "附注8 惠给金", "经按照《难民事务高级专员经管的自愿基金财务细则》批准，难民署支付了共计15 249美元的惠给金，包括用于支付联合国争议法庭一宗案件以及上一年一宗安全事故所导致轻微指控的和解金。难民署认为，它在道义上有义务支付这些款项，而且这些付款符合本组织的利益。", "附注9 现金和定期存款", "报表二所列现金和定期存款数额是减去任何银行负结余之后的现金总余额(包括以不可兑换货币持有的资金)。表6开列了2010年和2009年截至12月31日的活期和定期存款账户的细目，并提供了关于定期存款和所持不可兑换货币的信息。", "表6", "(a) 活期和定期存款账户", "(千美元)", "2010年 2009年", "截至12月31日的现金存款", "现金和活期存款账户 68 809 66 071", "定期存款 290 000 240 000", "有息账户 77 296 76 544", "投资和有息账户 367 296 316 544", "未实现汇兑损/益 977", "437 082 382 615", "总部账户的年内平均持有数额", "活期和有息账户 95 360 88 939", "投资(活期通知存款和定期存款、证券) 208 114 215 833", "303 474 304 772", "所得利息：", "有息账户 404 537", "投资基金 683 1 758", "1 087 2 295", "平均利率：", "手头和银行资金 0.42% 0.60%", "投资基金 0.33% 0.81%", "(b) 截至2010年12月31日的定期存款", "(千美元)", "银行 期限 年利率 到期日 款额 应计利息 (天) (百分比)", "西班牙桑坦德银行 7 0.40 2011年1月7日 30 000 0.33", "西班牙桑坦德银行 21 0.30 2011年1月7日 30 000 3.75", "巴克莱银行 21 0.23 2011年1月7日 40 000 3.83", "法国国家巴黎银行 8 0.22 2011年1月7日 10 000 0.12", "法国国家巴黎银行 15 0.20 2011年1月7日 20 000 1.00", "德意志银行 21 0.22 2011年1月7日 40 000 3.67", "北欧联合银行 21 0.24 2011年1月7日 60 000 6.00", "拉博银行 15 0.18 2011年1月7日 20 000 0.90", "拉博银行 18 0.20 2011年1月7日 40 000 2.67", "共计 290 000 22.27", "(c) 截至12月31日所持不可兑换货币", "(千美元等值)", "国家 货币 2010年 2009年", "阿富汗 阿富汗尼 43 34", "阿尔巴尼亚 列克 23 22", "安哥拉 宽扎 187 53", "波斯尼亚和黑塞哥维那 可兑换马克 1 167", "布隆迪 布隆迪法郎 168 904", "厄立特里亚 纳克法 259 35", "埃塞俄比亚 埃塞俄比亚比尔 662 428^(a)", "缅甸 缅甸元 4 17", "莫桑比克 梅蒂卡尔 196 24", "尼日利亚 奈拉 174 77", "阿拉伯叙利亚共和国 叙利亚镑 1 260 867", "共计 2 977 2 628", "^(a) 在2009年财务报表的附注中，所持不可兑换货币清单中漏掉了埃塞俄比亚比尔。", "外汇调整数中包含自2009年12月31日起已实际废止，不再作为津巴布韦正式货币的相当于689 569美元的款额。", "附注10 应收自愿捐款", "报表二所列应收自愿捐款结余表示年终货币重新估值后捐助方尚未兑现的捐款。应收捐款的账龄见表7。", "表7 应收自愿捐款", "(千美元)", "2010年 2009年", "2010年 72 419 —", "2009年 23 108 65 696", "2008年 3 872 12 781", "2007年 1 036 3 652", "2006年 413 2 757", "2005年 132 2 176", "2004年 2 912", "共计 100 982 87 974", "未实现汇兑益(损) (2 262) 481", "按报表二计算的数额共计 98 720 88 455", "表8显示截至2010年12月31日的未兑现捐款现况。", "表8 截至2010年12月31日的未兑现捐款现况", "(千美元)", "未兑现捐款\t2004年\t2005年\t2006年\t2007年\t2008年\t2009年\t2010年\t共计 \n 捐助方 \n 政府捐助方 \n 澳大利亚 342 342\n 比利时 154 154\n 巴西 200 200\n 加拿大 3 3 \n 哥斯达黎加 2 2 \n 塞浦路斯 1 1 \n丹麦 7\t400\t232\t2874\t3513\n 爱沙尼亚 66 66 \n 德国 81 81 \n 希腊 11 11 \n 匈牙利 174 174\n 冰岛 99 99 \n 爱尔兰 25 50 30 54 159\n意大利 33\t61 258\t1826\t2178\n科威特 1000 1000\n 卢森堡 59 87 146\n 马耳他 20 20 \n 毛里塔尼亚 8 8 \n 墨西哥 75 75 \n 摩纳哥 29 29 \n 黑山 5 6 11 \n 荷兰 16 13 8 7 34 78 \n 挪威 23 220 243\n葡萄牙 1339\t1339\n沙特阿拉伯 100 112\t7327\t7539\n 南非 24 24 \n西班牙 4\t13\t261\t725\t17390\t18393\n 瑞典 1 52 53 \n 瑞士 770 770\n阿拉伯联合酋长国 14842\t1714\t16556\n联合王国 31\t53\t1253\t950\t1618\t3905\n美利坚合众国 122 3739\t3861\n政府捐助方\t0\t100\t169\t307\t3104\t17504\t39849\t61033\n欧洲联盟委员会\t2\t32 238\t667\t5049\t30940\t36928\n 政府间捐助方 \n国家多部门防治艾滋病毒/艾滋病方案 244\t482 726\n 欧洲委员会 1 1 \n 欧佩克国际开发基金 500 500\n 国际移民组织 140 140\n政府间捐助方 244\t483 640\t1367\n 联合国集合供资机制 0 \n 联合国儿童基金会 8 8 \n 人道主义共同基金 250 200 450\n联合国艾滋病毒/艾滋病规划署 56\t100 156\n 联合国开发计划署 19 19 \n 世界粮食计划署 100 139 239\n 联合国一体行动基金 26 55 81 \n 紧急救济基金 50 50 \n 千年发展目标 651 651\n联合国集合供资机制\t0\t0\t0\t8\t101\t555\t990\t1654\n未兑现捐款共计\t2\t132\t413\t1036\t3872\t23108\t72419\t100982\n未实现亏损 -2262\n按报表二计算的未兑现捐款共计 98720", "附注11 为2011年年度方案预算认捐的自愿捐款", "在2010年12月举行的年度认捐会议上，政府捐助方向难民署2011年年度预算认捐了500 307 946美元。这些认捐没有反映在2010年账目中，但将在2011年账目中列为收入。", "附注12 应收联合国和其他机构款项", "报表二所报应收联合国和其他机构款项见表9。", "表9 截至12月31日应收联合国和其他机构款项", "(千美元)", "2010年 2009年", "联合国总部 492 2 149", "人道主义事务协调厅 267 437", "联合国开发计划署 338 398", "联合国安全协调员办公室 29 29", "其他机构 3 29", "联合国艾滋病毒/艾滋病联合规划署 － 22", "联合国人权事务高级专员 13 12", "世界粮食计划署 — 4", "国际刑事法院 — 2", "国际劳工组织 — 1", "共计 1 142 3 083", "附注13 其他应收款", "报表二所列“其他应收款”下的款额为扣除相关可疑账款备抵后尚待结清或收回的薪金、与工作人员有关的应享福利及其他项目，详见表10。", "表10 截至12月31日的其他应收款", "(千美元)", "2010年 2009年", "预付教育补助金 12 125 11 219", "预支薪金 3 876 3 712", "非工作人员相关应收款和杂项应收款 2 103 3 704", "增值税应退款 1 148 2 731", "预付外勤业务费 1 247 1 699", "预支房租 1 483 1 512", "预付旅费 96 1 010", "已付供货商定金 630 548", "应收工作人员款项 18 (481)", "未实现汇兑损益 (1 471)", "共计 21 255 25 654", "附注14 可疑应收账款备抵金", "报表二中列报了应收账款，其中扣除了可疑应收账款备抵金，详见表11。", "表11 可疑应收账款备抵金", "(千美元)", "截至2009年12月31日备抵金 注销 收回 调整 截至2010年12月31日备抵金", "实施伙伴 1 930 — — 48 1 978", "增值税 8 050 (105) (619) 1 451 8 777", "应收工作人员款项 1 755 — (292) 1 463", "非工作人员相关应收款 92 — — — 92", "未缴摊款 — — — 2 359 2 359", "共计 11 827 (105) (619) 3 566 14 669", "可疑应收账款备抵金调整数是2010财政年末进行审查的结果。", "附注15 其他资产", "报表二所报其他资产的余额为1 804 484美元，其中包括未来年份将发生的费用的预支款以及应计投资利息", "附注16 土地和建筑物", "截至2010年12月31日，本组织的固定资产由以下地点的建筑物(按原价)组成，详见表12。", "表12 土地和建筑物", "(千美元)", "说明 购买年度 金额", "难民署金沙萨办事处 2 008 3 600", "难民署喀土穆办事处 1 994 542", "共计 4 142", "附注17 非消耗性财产", "2010年，资本化门槛值有所改变。固定资产的门槛值从2009年及以往年份的1 500美元提高到了2010年的5 000美元；可根据序号追踪的物品的门槛值从100美元提高到了300美元。2009年，折旧率是按照购置价值的10%残值假设计算的，而2010年，资产则按使用寿命完全折价。截至2009年12月31日，所记录的非消耗性财产的购置价值为343 608 116美元，折旧价值为119 442 385美元。截至2010年12月31日，所记录的非消耗性财产购置价值为321 074 178美元，折旧价值为94 573 366美元。", "附注18 应付账款", "报表二所列“应付账款”下的款额包括积欠供货商债款和其他待结算款项，详见表13。", "表13 截至12月31日应付账款", "(千美元)", "2010年 2009年", "商业供货商 15 552 31 605", "薪给和其他工作人员相关应享福利 5 854 7 041", "应付美国税款 6 348 5 564", "其他应付工作人员款项 2 258 2 706", "其他联合国组织 1 594 (4 602)", "未实现汇兑损益 (582)", "共计 31 024 42 314^(a)", "^(a) 为了改进信息披露，在2010年，同服务终了和退休后福利以及自愿离职有关的负债与应付账款分开列报。为确保可比较性，2009年数字作了相应重报。", "附注19 服务终了和退休后福利负债", "报表二所列“服务终了负债”下的款额为服务终了应计福利负债，详见表14。", "表14 服务终了应计福利负债", "(千美元)", "2010年 2009年", "离职后医疗保险应享福利 286 550 347 418", "离职回国应享福利 69 751 65 466", "年假应享福利 37 119 33 945", "自愿离职费用 278 1 555", "共计 393 698 448 384", "(a) 离职后医疗保险", "离职后保险是通过以下形式提供的：继续以前在联合国工作人员相互保险协会或联合国系统另一个组织的保险计划中的成员资格，或加入为在总部以外指定工作地点服务的已退休当地征聘工作人员及其合格受扶养人设立的医疗保险计划。", "本组织的离职后医疗保险福利负债已经由一位顾问精算师估算。根据精算师的估算，难民署离职后医疗保险截至2010年12月31日的应计福利负债价值为286 550 000美元(截至2009年12月31日的负债价值为347 418 000美元)。2010年采用了5.55%的贴现率，其所依据的是相应到期年份以欧元计价的高质量公司债券即期利率。2009年的贴现率为6.15%。离职后医疗保险福利负债总计减少60 868 000美元，这可归因于(a) 贴现率由6.15%改为5.55%，(b) 联合国工作人员相互保险协会参与人的假定保健趋势率由2010年的6.0%下调至2027年的3.0%(相比之下，2009年所作的评估则把假定比率由2010年的6.0%下调至2027年的4.5%)，这是考虑到该保险计划的管理以及瑞士保健业总体最近出现了变化。", "表15 离职后医疗保险福利负债", "(千美元)", "未来福利现值 应计负债", "负债毛额 540 261 415 334", "减去退休人员缴款 178 105 128 784", "负债净额 362 156 286 550", "未来福利的现值是减去退休工作人员缴款后今后需支付给目前所有退休和预期将退休的在职工作人员的所有福利折现值。应计负债是指各种福利现值中从工作人员起职日至估算日所累积的部分。在现职工作人员完全获得离职后福利资格之日，其福利即开始全额累计。因此，就退休人员和退休后有资格享有福利的现职工作人员而言，未来福利的现值与应计负债相同。在计算负债时所采用的是预计单位成本给付法。根据此方法，每个参与人根据该计划应享的福利在应计时计为支出，同时考虑到该计划的福利分配公式。退休后计划的福利按现收现付制供资。到目前为止，没有分离和限定任何资产来提供退休后福利。精算盈余或亏损在发生时即予认列。2010年的收益表反映该年度出现了91 196 000美元的精算盈余(2009年精算盈余为28 070 000美元)。", "(b) 应计年假", "离职工作人员有权领取最多60天的积存未用假期补偿金。根据平均32天假期计算，本组织对此类未付累积假期的补偿金负债总额估计为37 118 829美元(截至2009年12月31日为33 945 032美元)。假期的平均天数是采用日内瓦、贝尔格莱德和布达佩斯这几个工作地点一般事务人员和专业人员薪金表的中间点，根据工作人员人数及现行薪金表计算得出的。", "(c) 离职回国补助金、旅费和托运费", "根据《联合国工作人员条例和工作人员细则》，有些工作人员在从本组织离职时，有权根据工作年限领取离职回国补助金和相关搬迁费。截至2010年12月31日，本组织经精算确定的离职回国补助金和旅费所涉应计负债为69 751 000美元。负债估值是按5.55%的贴现率计值的。2009年也使用了相同计算方法，但所用贴现率为6.15%，得出的截至2009年12月31日的应计负债为65 466 000美元。所用贴现率的改变导致2010年年底离职回国补助金、旅费和托运费所涉应计负债增加4 285 000美元。", "(d) 养恤金计划", "难民署是参加联合国合办工作人员养恤基金的成员组织。联合国大会设立该养恤基金是为了提供退休金、死亡抚恤金、残疾津贴和有关福利。养恤基金是一个固定福利计划。本组织对工作人员养恤基金的财务责任包括其按联合国大会订立的比率缴付规定的款额，以及根据《养恤基金条例》第26条分摊支付任何精算短缺部分。只有在联合国大会于估值日评估养恤基金精算充裕状况后认定需要支付款项以弥补短缺并援引第26条之规定时，才可支付此种款项。在编写本报告时，联合国大会未援引该条规定。截至2009年12月31日的最新精算估值结果是，精算顺差为应计养恤金薪酬的0.38%。", "附注20 或有支出", "难民署面临一些法律、惩戒和行政方面的申诉案件。现在还无法确定这些申诉案件的可能结果，也无法估计可能和解数额。", "就其中一宗案子来说，难民署提出愿意支付惠给金以了结该案。北基伍高等法院(卢旺达)裁定难民署须为一个人的财产损失赔偿3万美元，并支付5万美元的其他损失和法院费用。难民署不承认此项判决的效力，因为法院在难民署特权和豁免方面没有依循适当程序；但是，为了显示善意，难民署提出愿意支付惠给金以了结该案。考虑到因所商定的条件，特别是当事方之间的协议数额未最终敲定，在2010年12月31日还无法确定具体数额，所以难民署没有将其记入备抵，而只将该案披露为或有负债。", "附注21 关联方交易", "^(c) 2009年，业务支助司司长被视为属于主要管理人员类别，但在2009年第三季度，该司被撤销。", "2010年没有与关联方进行重大的财务交易。与主要管理人员^(c) 有关的薪酬和补偿金总值如表16所示。", "表16 主要管理人员的薪酬和赔偿金", "(千美元)", "人数 薪酬总额 难民署对养恤金和医疗保险的缴款数 共计\n 关联方 2010年 2009年 2010年 2009年 2010年 2009年 2010年 2009年", "高级专员 1 1 273 263 54 54 327 317", "副高级专员 1 1 301 135 48 22 349 157", "助理高级专员 2 3 468 595 99 126 567 721", "主计长 2 1 266 202 53 43 319 245", "共计 6 6 1 308 1 195 254 245 1 562 1 440", "其他类别工作人员不享受的工资预支、应享福利或薪酬，主要管理人员也不享受。在本年度，主要管理人员及直系家属没有其他财务交易。", "附注22 预算外实物捐助", "2010年向难民署的预算外实物捐助价值见表17。", "表17 预算外实物捐助", "(千美元)", "捐助方 2010年", "德国政府 3 702", "匈牙利政府 199", "以色列政府 500", "波兰政府 72", "西班牙政府 458", "瑞典政府 530", "阿拉伯联合酋长国政府 688", "救灾工程师登记册(澳大利亚) 390", "索尼公司(日本) 41", "共计 6 580", "––––––––––––––", "11-41574 (C) 220811 230811", "*1141574*", "[]", "[1] 截至2010年12月31日的净负债(或负资产)数额为7 230万美元，即负债超过资产的数额。出现负资产的原因是难民署披露了其涉及工作人员离职后福利的负债，但尚未披露其消耗性和非消耗性资产(见2010年12月31日终了财务期间财务报表附注2(t))。难民署将根据“国际公共部门会计准则”披露其所有资产和负债。", "[2] 虽然《联合国系统会计准则》没有此项规定，但难民署有一项关于资产折旧的政策(见财务报表附注17)。", "[3] 当地资产管理委员会是难民署资产监控的重要组成部分。它负责就有关资产管理和处置、维持良好会计标准以及监督资产数量及其处置的政策和程序的执行提供咨询意见。", "[4] 常设委员会是作为执行委员会的附属机构而设立的，负责全年审查各项方案和政策的执行情况。", "[5] 难民署最高管理层包括高级专员、一名副高级专员和两名负责国家业务及保护流离失所人口的助理高级专员。没有正式组建的“执行局”。", "[6] Focus(财务经营综合报告)是难民署内部开发的网络应用软件，用于计划、记录和报告国家一级和方案一级的目标和成绩。", "[7] 见难民署部门间备忘录/外地办事处备忘录第003/2009号。", "[8] 见难民署业务手册，第1.6节；以及难民署手册，第5.1节，第3.3和3.4段。", "[9] 见EC/54/SC/CRP.14。", "[10] 监察主任是难民署一名雇员，有三项法定职能：评估难民署管理质量，调查对该机构任何工作人员提出的不当行为指控，对难民署工作人员和业务行动所受暴力袭击以及其他形式可能影响该组织声誉的事件展开调查。" ]

[ "United Nations", "Voluntary funds administered by the United Nations High Commissioner for Refugees", "Financial report and audited financial statements", "For the year ended 31 December 2010", "and", "Report of the Board of Auditors", "General Assembly", "Official Records Sixty-sixth Session Supplement No. 5E", "General Assembly Official Records Sixty-sixth Session Supplement No. 5E", "[] United Nations • New York, 2011", "Voluntary funds administered by the United Nations High Commissioner for Refugees", "Financial report and audited financial statements", "For the year ended 31 December 2010", "and", "Report of the Board of Auditors", "A/66/5/Add.5", "ISSN 0257-0807", "Note", "Symbols of United Nations documents are composed of letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.", "[21 July 2011]", "Contents", "Chapter PageLettersof v \ntransmittal I.Report 1 of the Board of Auditors on the financial statements: audit \nopinion II. Long-form 3 report of the Board of \nAuditors \nA.Background 9B.Mandate, 9 scope and \nmethodology C.Findings 11 and \nrecommendations 1. Follow-up 11 of previous \nrecommendations 2. Financial 12 \noverview 3. Financial 13 \nmanagement 4.End-of-service 15 \nliabilities 5.Bank 16 accounts, cash and \ninvestments 6.Non-expendable 18 and expendable \nproperty 7.Progress 21 towards the implementation of the International Public Sector Accounting \nStandards 8.Performance 25 reporting and results-based \nmanagement 9.Risk 28 \nmanagement 10.Implementing 28 \npartners 11. Protracted 35 refugee \nsituations D.Disclosures 40 by \nmanagement 1. Write-off 40 of losses of cash, receivables and \nproperty 2.Ex 40 gratia \npayments 3. Cases 40 of fraud and presumptive \nfraud \nE.Acknowledgement 41 \nAnnexes I.Analysis 42 of the status of implementation of the Board’s recommendations for the year ended 31 December \n 2009 II. An 44 indicative model for durable solution business case \npresentation III. Statement 45 of the responsibilities of the High Commissioner and approval of the financial \nstatements IV. Financial 46 highlights for the year ended 31 December \n 2010 \nA.Introduction 46\nB.Context 46C. Financial 47 \nhighlights D.Working 51 Capital and Guarantee \n Fund E. Other 53 \nmatters V. Financial 55 statements for the year ended 31 December \n 2010 StatementI.Statementofincome 56 and expenditure and changesin reserves and fund \nbalances Statement 58 II.Statementof assets, liabilities, reserves and fund \nbalances Statement 59 III.Statementof \ncashflows Schedulesto 61 the \naccounts Schedule1.Contributionsbydonorby 61 \n fund Schedule2.Fundsavailable 66 for \nallfunds Schedule3.Statusof 69 \nobligations—prioryears \nAppendix Statementof 71 theobjectives andactivitiesof theOfficeof theUnited Nations High Commissioner for \nRefugees Notesto 72 \nthefinancialstatements", "Letters of transmittal", "[27 June 2011]", "Sir,", "Pursuant to the Financial Rules for Voluntary Funds Administered by the United Nations High Commissioner for Refugees, we have the honour to submit the accounts for 2010, certified as correct and approved in accordance with paragraph 11.4 of those Rules.", "We confirm, to the best of our knowledge and belief, and having made appropriate enquiries of other officials of the organization, the following representations in connection with your audit of the financial statements of the United Nations High Commissioner for Refugees for the year ended 31 December 2010:", "1. We are responsible for preparing financial statements that properly present the activities of the organization and for making accurate representations to you. All the accounting records have been made available for the purposes of your audit, and all the transactions that properly occurred in the financial period of the organization have been properly reflected and recorded in the accounting records. All other records and related information have been made available to you.", "2. The financial statements were prepared in accordance with:", "(a) The United Nations system accounting standards;", "(b) The Financial Regulations of the United Nations;", "(c) The Financial Rules established by the High Commissioner in consultation with the Executive Committee;", "(d) The accounting policies of the organization, as summarized in note 2 to the financial statements; these accounting policies have been applied on a basis consistent with the preceding financial periods.", "3. The non-expendable property disclosed in note 17 to the financial statements was owned by the organization and was free from any charge. The cost of the non‑expendable property in existence at 31 December 2010, as disclosed in the note, was fairly stated.", "4. The cash and inter-agency balances recorded are not impaired and, in our opinion, are fairly stated.", "5. All material accounts receivable have been included in the financial statements and represent valid claims against debtors. Apart from the estimated uncollectable amounts, recorded under the provision for doubtful accounts receivable, we expect all significant accounts receivable as at 31 December 2010 to be collected.", "6. All known accounts payable have been included in the accounts.", "7. The unliquidated obligations recorded represent valid commitments of the organization and were established in accordance with the Financial Rules.", "8. All material, legal or contingent liabilities have been appropriately reflected in the financial statements.", "9. Except as disclosed in the financial statements, the financial position of the organization was not materially affected by:", "(a) Charges or credits relating to prior years;", "(b) Any changes in the basis of accounting.", "10. All expenditure reported during the period was incurred in accordance with the financial regulations of the organization and any specific donor requirements.", "11. All commitments against resources of future financial periods have been disclosed as required by the United Nations system accounting standards.", "12. We further confirm that all losses of cash or receivables, ex gratia payments, presumptive fraud and fraud, wherever incurred, were communicated to the Board of Auditors.", "13. Disclosure was made in the accounts of all matters necessary for the financial statements to present fairly the results of the transactions in the period.", "14. There have been no events since the date of the statement of assets and liabilities that necessitate revision of the figures included in the financial statements or a note thereto.", "(Signed) Karen Madeleine Farkas Controller and Director Division of Financial and Administrative Management", "(Signed) António Guterres United Nations High Commissioner for Refugees", "The Chair of the United Nations Board of Auditors United Nations New York", "[12 July 2011]", "The President of the General Assembly of the United Nations New York", "I have the honour to transmit to you the report of the Board of Auditors on the financial statements of the voluntary funds administered by the United Nations High Commissioner for Refugees for the year ended 31 December 2010.", "(Signed) Liu Jiayi Auditor-General of China Chair of the United Nations Board of Auditors", "Chapter I", "Report of the Board of Auditors on the financial statements: audit opinion", "We have audited the accompanying financial statements of the voluntary funds administered by the United Nations High Commissioner for Refugees, which comprise the statement of income and expenditure and changes in reserves and fund balances for the year ended 31 December 2010 (statement I), the statement of assets, liabilities, reserves and fund balances as at 31 December 2010 (statement II), the statement of cash flows for the year ended 31 December 2010 (statement III) and the schedules and notes to the financial statements.", "Management’s responsibility for the financial statements", "The United Nations High Commissioner for Refugees is responsible for the preparation and fair presentation of the financial statements in accordance with the United Nations system accounting standards and for such internal control as is deemed necessary to permit the preparation of financial statements that are free from material misstatement, whether due to fraud or to error.", "Auditor’s responsibility", "Our responsibility is to express an opinion on the financial statements based on our audit. We conducted our audit in accordance with the International Standards on Auditing. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance as to whether the financial statements are free from material misstatement.", "An audit includes procedures to obtain evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgement, including an assessment of the risk of material misstatement, whether due to fraud or to error. In making such risk assessments, the auditor considers internal controls relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal controls. An audit also includes an evaluation of the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as of the overall presentation of the financial statements.", "We believe that the audit evidence that we have obtained is appropriate and sufficient to provide a basis for our audit opinion.", "Opinion", "In the Board’s opinion, the financial statements present fairly, in all material respects, the financial position of the voluntary funds administered by the United Nations High Commissioner for Refugees as at 31 December 2010 and its financial performance and cash flows for the year then ended, in accordance with the United Nations system accounting standards.", "Report on other legal and regulatory requirements", "Furthermore, in our opinion the transactions of the Office of the United Nations High Commissioner for Refugees that have come to our notice, or that we have tested as part of our audit, have in all significant respects been in accordance with the Financial Regulations and Rules of the United Nations, the Financial Rules for the voluntary funds administered by the United Nations High Commissioner for Refugees and legislative authority.", "In accordance with article VII of the Financial Regulations and Rules of the United Nations, we have also issued a long-form report on our audit of the voluntary funds administered by the United Nations High Commissioner for Refugees.", "Amyas Morse Comptroller and Auditor-General of the United Kingdom of Great Britain and Northern Ireland (Lead Auditor)", "Terence Nombembe Auditor-General of South Africa", "Liu Jiayi Auditor-General of China Chair of the United Nations Board of Auditors", "12 July 2011", "Chapter II", "Long-form report of the Board of Auditors", "Summary \nThe Office of the United Nations High Commissioner for Refugees(UNHCR) provides support (food and shelter) and protection services(security and legal support) to some 33.9 million persons of concerndisplaced from their homes or their own countries. It operates as adevolved organization with more than 6,300 regular staff working insome 380 offices located in 125 countries.\nThe Board of Auditors has audited the financial statements andreviewed the operations of UNHCR for the year ended 31 December 2010.The audit was carried out through the examination of financialtransactions and operations at UNHCR headquarters in Geneva and theGlobal Service Centre in Budapest, and through field visits to UNHCRoffices in Colombia, Iraq, Jordan, Pakistan and the United Republicof Tanzania.\n Opinion \nIn the Board’s opinion, the financial statements present fairly, inall material respects, the financial position of the United NationsHigh Commissioner for Refugees as at 31 December 2010 and the resultsof operations and cash flows for the year then ended, and have beenproperly prepared in accordance with United Nations system accountingstandards; the income and expenditure have been applied to thepurposes intended by the General Assembly; and the financialtransactions conform to the Financial Regulations and Rules of theUnited Nations and the Financial Rules for Voluntary FundsAdministered by the High Commissioner for Refugees.\nIn its 2009 report, the Board highlighted two emphases of matterwithout qualifying its opinion: on the unreliability of the recordsfor the disclosed amount of $343.61 million for non-expendableproperty, and on the deficit of $159.9 million in the reserves andfund balances following the provision made for end-of-service andpost-retirement liabilities. This year, the Board issued anunmodified opinion because of the progress that UNHCR had made inaddressing the weaknesses in its asset registers and because theBoard was satisfied that the negative equity of UNHCR was notindicative of any underlying financial instability. These matters aredealt with in more detail in the relevant sections of the presentreport.\n Overall conclusion of the Board \nUNHCR is delivering beneficial support and protection to millions ofrefugees across the globe, often in operationally challengingcircumstances. In 2006, UNHCR embarked on a multi-year structural andmanagement change process in order to reinforce its capacity todeliver assistance, protection and solutions to persons of concernand to align working practices towards results-based management. Newplanning, budgeting and management tools and structures are beinggradually mainstreamed into UNHCR operations, and the changeprogramme is ongoing.\nThe Board would expect UNHCR to be able to demonstrate tangiblebenefits from its change programme, but as yet it cannot. The Boardhas identified significant concerns about important aspects of UNHCRfinancial, risk and performance management and the difficulties thatthe Office is encountering in its attempts to put value for money atthe heart of its decision-making and operations.\nThe Board is concerned that the errors found and weaknesses incontrols over key areas such as the management of bank accounts,receivables and assets, combined with low financial managementcapacity in the field and the problems encountered by UNHCR inproducing a robust set of accounts for audit, are strong indicatorsof significant shortcomings in financial management. This is a majorrisk for UNHCR, given the increasing pressures on donors to justifywhy they provide public funds to international aid organizations.\nThe work being undertaken to implement the International PublicSector Accounting Standards (IPSAS) has further underlined theseconcerns. While the Board acknowledges the work being conducted onreconciliations and on asset identification and valuation inpreparation for the adoption of IPSAS, there remains a need toimprove financial literacy across the organization if the Standardsare to be successfully implemented and the benefits quickly realized.There are risks in meeting the implementation target of 2012, inparticular with regard to the capacity of the country office networkto comply with the rigorous new processes and standards requiredunder IPSAS. The ability to prepare accurate and timely end-of-yearaccounts is also a critical test of whether UNHCR is ready toimplement IPSAS successfully in the first year, especially in thelight of the stricter accounting standards imposed.\nDespite the continuing efforts of UNHCR management to implementresults-based management, limited progress has been made in thatregard. UNHCR remains unable to gather and analyse basic managementinformation on its operations, to integrate information on costs andperformance, and to get a full grip on the performance of itsimplementing partners or the delivery of major initiatives. Nor hasit established an organization-wide structured approach to riskmanagement. Furthermore, given the importance of implementingpartners to the delivery of its mandate, the Board is particularlyconcerned at the lack of transparency in partner selection processesand the increased risk of fraud and corruption to which this exposesUNHCR. The Board acknowledges that UNHCR recognizes the risks inpartner selection and is involved in a major review to improve itsselection and management of partners. The Board has not observed aclear and embedded culture of accountability for resource managementand performance from country offices to the corporate centre. Thiscontributes to problems across the network: low compliance withmandatory business controls and disparate approaches to commonchallenges.\nIn summary, a systematic and quantified approach, linking financialmanagement information to output measurement, backed up witheffective risk management and periodic in-depth evaluation ofprogramme impact, and spanning all major activities, is the basis fordemonstrating value for money in a service delivery organization suchas UNHCR. While recognizing the efforts being made, the Boardconcludes, on the basis of the evidence set out in the presentreport, that UNHCR has not yet developed mature and effectiveperformance, financial and risk management. Until it has done so,UNHCR cannot fully and objectively demonstrate that it has used itsresources cost-effectively in its vital work for refugees.\n Key findings and recommendations \n Preparation of financial statements \nUNHCR was underprepared for the financial audit, reflectingsignificant deficiencies in the systems in place to prepare itsfinancial statements and in the quality of the supervision andownership of these processes, from the most senior executive leveldownwards and across the entire organization. The key issues were thecompleteness and accuracy of audit trails and the variable quality offinancial review and reporting across the organization.\n Financial management \nThe Board found weaknesses in control and financial managementoversight in a number of areas. In particular:\n• UNHCR maintains 425 bank and cash accounts globally, with acombined balance of $147 million, of which 11 are inactive. Inaddition, UNHCR held investment accounts with a total balance of$290 million as at 31 December 2010. The Board found that in 2010,82 bank accounts (with a total balance of $50.3 million) and 17investment accounts (with a total balance of $325 million) hadlacked up-to-date reconciliations, a key financial control. Thislack of basic control, combined with an excessive number of bankaccounts, is exposing UNHCR to an increased risk ofmisappropriation and fraud and excessive administrative overheads.While progress was made by year-end in reducing the reconciliationsbacklog to 10 accounts (of which only 3 were active), and UNHCR isstarting to rationalize and reduce the numbers of bank accounts itmaintains in order to improve control and efficiency, this is anarea that must brought under rigorous control as a matter ofurgency;\n• The Board found errors in the UNHCR expendable property(inventory) system, where either the purchase value of items wasinaccurately reflected or items were obsolete, despite the factthat they had a recorded value. In one warehouse, for example,obsolete stock accounted for 52 per cent of the total $1.31 millioninventory held. If UNHCR is to manage its inventories effectivelyand achieve IPSAS compliance by its planned timetable of 2012, itneeds to take urgent action to address the weaknesses in itsinventory management and valuation. Expendable property has anapproximate value of $130 million, but was not disclosed in the2010 accounts of UNHCR because of continuing concerns about theaccuracy of its valuation.\nAs a result of the Board’s audit, UNHCR made total gross adjustmentsof some $39 million to the financial statements. Those restatements,together with the refinement of the stated accounting policies toreflect accounting practice and the disclosure of accounting policiesfor other significant balances and transaction streams, enabled theBoard to issue its unmodified audit opinion.\nProgress towards implementation of the International Public SectorAccounting Standards\nThere is a significant risk that UNHCR will not be able to finalizethe new policies and practices, communicate them to staff andestablish them as working practices in time to successfully implementIPSAS in 2012. Significant work remains if UNHCR is to be able toaccurately identify and value its assets and liabilities as requiredfor disclosure under IPSAS; in addition, the low financial managementcapacity at the country office level is a risk to IPSASimplementation and compliance. Given the limited time availablebefore implementation, the Board is also concerned that it has yet tosee clear plans for UNHCR to produce “dry-run” accounts with realaccounting data. In the Board’s view, without a dry run it isunlikely that an organization as complex as UNHCR will be able toprepare financial statements of the high standard required within theplanned implementation time frames.\nEven if UNHCR achieves IPSAS-compliant financial statements, the fullbenefits of IPSAS will be delayed. IPSAS implementation is not an endin itself, but should be used to drive better accountability andfinancial management. UNHCR has not yet established arrangements torealize the benefits of IPSAS implementation, including the potentialto transform its operations in terms of cost-effectiveness andachieve the significant cultural and behavioural changes required.There is a lack of investment in training to communicate to all staffthe impact and potential of IPSAS in driving cost-effectiveness andhaving a beneficial impact on activities, as well as a lack of plansfor benefits realization.\nPerformance reporting and progress towards implementation ofresults-based management\nUNHCR performance reporting from its country network does not enablemanagement to make effective judgements as to the cost-effectivenessof projects and activities or to hold local managers accountable forperformance. Despite the fact that results-based management wasintroduced in 2005, reports do not regularly combine financial andoutcome data, lack analysis and are not structured in a summarizedand easily digested format. UNHCR recognizes that it must make betteruse of its existing systems to achieve this, and also that it mustbalance the need to moderate the demands for data capture at thecountry level against the need to make performance information morerobust, relevant and useful at the corporate level.\n Risk management \nUNHCR has yet to establish a systematic and organization-wideapproach to risk management, including a corporate risk register.Initial development work carried out in 2005/06 and 2008 has not beencontinued.\n Managing implementing partners \nThe process of selecting implementing partners lacks rigour andtransparency, increasing the risk of fraud, corruption, inefficiencyand poor partner performance. Some 57 per cent of its partners haveworked with UNHCR continuously for more than 5 years (28 per cent formore than 10 years), and have had their agreements renewed severaltimes. The Board found little evidence of any kind of competitiveselection process, benchmarking of cost and performance againstalternatives, or comparison of capacity and “fit” with requirements.\nThe frequency and quality of country office monitoring of partnerperformance, and the follow-up of poor performance, are variable.UNHCR largely applies the same policies when managing its partners,rather than targeting its oversight activity by using a risk-basedevaluation of size, location, previous performance and the nature ofservices provided, although the Board acknowledges its intention toadopt the latter approach. UNHCR has limited ability to determine theimpact of partners’ activities, because indicators to monitor theirperformance rarely measure service quality or outcomes. Where theperformance of implementing partners is poor, management action isinconsistent and partners are not always held to account.\n Protracted refugee situations \nThe Global Plan of Action on protracted refugee situations has nosenior accountable owner or indicators to measure progress orsuccess. It has been implemented as a series of separate projectsrather than as a coordinated programme. The Plan was launched in 2008by UNHCR to target five specific situations considered most amenableto positive change. The Board found no aggregate measures or targetsto indicate how much progress the Plan had made in addressingprotracted refugee situations and reducing dependency on UNHCR, orany tracking of how UNHCR had deployed its resources across thisstrategically important initiative. While UNHCR was unable to providethe Board with reliable overall data, its expenditure on 11 of themost significant situations (involving two thirds of all refugees insituations) is planned to grow to $300 million in 2011, reflecting150 per cent growth since 2007. Although there are examples of itsworking closer together with development agencies such as the UnitedNations Development Programme, key challenges remain in developingthe necessary cooperation and establishing appropriate fundingmechanisms.\nIn the light of the findings set out above, the Board makes detailedrecommendations in the main part of the present report. In summary,its main recommendations are that UNHCR:\n• Implement an effective process for the preparation of year-endfinancial statements, including a detailed management review;\n• Examine and address the reasons for deficiencies in countryoffice financial management and reporting capacity;\n• Centralize its banking arrangements, close any unnecessary bankaccounts and improve bank reconciliation procedures;\n• Strengthen its preparation for IPSAS implementation by: (i)engaging at an early stage with the Board on revised financialrules and regulations; (ii) producing a “dry-run” set ofIPSAS-compliant accounts; (iii) cleansing its accounting recordsand establishing a clear plan for the creation of opening balances;and (iv) implementing an organization-wide change managementprogramme to drive delivery of the envisaged benefits of the IPSASproject;\n• Link financial and output data to permit the evaluation ofcost-effectiveness in its operations and strengthen accountability;\n• Establish a simple organization-wide risk management approachwithout imposing onerous burdens on country operations;\n• Require its country operations to document their justificationfor partner selection and formally assess the market foralternative partners;\n• Establish a single senior point of ownership for protractedrefugee situations to address progress on all situations and tohold country operations to account.\n Previous recommendations \nOf the 24 recommendations made for 2009, 3 (13 per cent) were fullyimplemented, 14 (58 per cent) were under implementation and 7 (29 percent) were not implemented. This represented a decline in the rate ofimplementation since 2009, when 8 (42 per cent) of therecommendations made in 2008 were implemented.", "A. Background", "1. The Office of the United Nations High Commissioner for Refugees (UNHCR) provides support (food and shelter) and protection services (security and legal support) to some 33.9 million persons of concern who have been displaced from their homes or their own countries. It operates as a devolved organization with more than 6,300 regular staff, most of whom work in some 380 offices located in 125 countries.", "2. In 2006, UNHCR embarked on a multi-year structural and management change process, aimed at reinforcing its capacity to deliver its services and mandates, and implementing results-based management. New planning, budgeting and management tools and structures are being gradually mainstreamed into UNHCR operations. These include the launching of a new enterprise resource planning system, a new budget structure and a new results framework, supported by the roll-out of planning and management software (Focus).", "3. UNHCR has also introduced increased delegation of authority to the field to permit more efficient responsiveness, and has introduced a Global Management Accountability Framework. It has also outposted its back-office functions from headquarters to Budapest, established a Global Learning Centre and invested in improving the quality of its supply management function, a critical activity for the delivery of its protection services.", "4. The change programme is ongoing, and the Board is concerned that progress is slow and that UNHCR continues to be unable to demonstrate tangible benefits. However, against a background of a 70 per cent increase in expenditure between 2006 and 2010, overall staffing growth was less than 5 per cent during the same period, and the number of headquarters personnel has been reduced by approximately 30 per cent. While these figures are not conclusive, because they do not take into account the results and impacts achieved by UNHCR, they indicate that the Office is potentially delivering improved productivity in some areas.", "5. In October 2009, UNHCR presented to its Executive Committee for approval a global needs-based budget for 2010 amounting to $3 billion, which was revised during 2010 to $3.3 billion, reflecting an increase of $1.5 billion compared with the $1.8 billion budget for 2009. Although 2010 was characterized by fiscal restraint among many donor nations, UNHCR continued to receive strong donor backing, with ongoing support from traditional donors and growing support from new donors (including the private sector). UNHCR informed the Board that in 2011, it would seek to consolidate the changes it had made.", "B. Mandate, scope and methodology", "6. The Board of Auditors has audited the financial statements of UNHCR and has reviewed its operations for the financial period ended 31 December 2011 in accordance with General Assembly resolution 74 (I). The audit was conducted in conformity with the Financial Regulations and Rules of the United Nations and the Financial Rules for Voluntary Funds administered by the High Commissioner for Refugees, as well as the International Standards on Auditing. The latter standards require that the Board comply with ethical requirements and plan and perform the audit to obtain reasonable assurance as to whether the financial statements are free from material misstatement.", "7. The audit was conducted primarily to enable the Board to form an opinion as to whether the financial statements presented fairly the financial position of UNHCR as at 31 December 2010 and the results of its operations and cash flows for the financial period then ended, in accordance with the United Nations system accounting standards. This included an assessment to determine whether the expenditures recorded in the financial statements had been incurred for the purposes approved by the governing bodies and whether income and expenditures had been properly classified and recorded in accordance with the Financial Regulations and Rules of the United Nations and the Financial Rules for Voluntary Funds administered by the High Commissioner for Refugees. The audit included a general review of financial systems and internal controls, and a test examination of the accounting records and other supporting evidence to the extent that the Board considered necessary to form an opinion on the financial statements.", "8. The Board also reviewed UNHCR operations under financial regulation 7.5, which requires the Board to make observations regarding the efficiency of the financial procedures, the accounting system, the internal financial controls and, in general, the administration and management of UNHCR operations. The Board focused on:", "(a) Progress towards and readiness for IPSAS implementation in 2012;", "(b) Performance reporting and progress towards the implementation of results-based management;", "(c) The management of implementing partners;", "(d) The management of protracted refugee situations.", "9. During the course of the audit, the Board visited UNHCR headquarters in Geneva and the Global Service Centre in Budapest, and examined field operations in Colombia, Iraq, Jordan, Pakistan and the United Republic of Tanzania. The Board coordinated with the Office of Internal Oversight Services (OIOS) to avoid duplication of effort and to determine the extent to which the latter’s work could be relied upon.", "10. The present report covers matters that, in the opinion of the Board, should be brought to the attention of the General Assembly, including specific requests from the Assembly and the Advisory Committee on Administrative and Budgetary Questions.", "11. The Board’s observations and conclusions were discussed with UNHCR, whose views have been appropriately reflected in the present report. The recommendations contained in the report do not address steps that UNHCR may wish to consider in respect of officials for instances of non-compliance with its Financial Rules, administrative instructions and other related directives.", "C. Findings and recommendations", "1. Follow-up of previous recommendations", "12. Of the 24 recommendations made for 2009, 3 (13 per cent) were fully implemented, 14 (58 per cent) were under implementation and 7 (29 per cent) were not implemented. This represented a decline in the rate of implementation since 2009, when 8 (42 per cent) of the recommendations made in 2008 were implemented. Further details regarding the status of implementation are contained in annex 1.", "13. Recommendations originally made in 2007 and 2008 that had not been implemented in 2009 were reiterated as recommendations in the Board’s 2009 report (A/65/5/Add.5). As requested by the Advisory Committee on Administrative and Budgetary Questions (see A/59/736), the Board evaluated the ageing of its previous recommendations that had not yet been fully implemented. Of the Board’s 21 previous recommendations that either were under implementation or had not been implemented, 64 per cent related to 2009, none to 2008 and 36 per cent to 2007.", "14. In relocating its corporate services from Geneva to Budapest in 2008/09, UNHCR had sought to reduce administrative costs, to ensure service continuity and to supply, at least initially, the level of quality that had previously been provided from Geneva. In its previous report, the Board highlighted the fact that UNHCR had not established a basis on which to evaluate the improved services provided to country offices. The Board recommended that before each structural reform, UNHCR establish detailed objectives and indicators of success. The Board considered it too early to assess the impact of the outposting to Budapest, but will examine that issue in future reports.", "15. UNHCR agreed with the Board’s recommendation that it prepare comparative statistics and indicators to measure the improvement in the quality of the services delivered by outposted units. It proposed to implement this recommendation for the restructuring of the Division of Information Systems and Telecommunications planned for 2011, and the creation of a new information and communications technology service centre in Amman. The Board reviewed the Division’s change plans and found that work was under way to establish relevant indicators and baselines. This included a survey to establish a baseline of staff satisfaction with existing information and communications technology services, and the development of appropriate metrics and targets to monitor the impact of restructuring from 2011 to 2015, including on service delivery during the 2011 transition.", "Recommendations partially implemented or not implemented", "16. With regard to 7 of the 14 recommendations under implementation, the Board noted that implementation depended on ongoing medium-term projects such as the strategy for funding after-service and post-retirement liabilities, or the upgrading of UNHCR computerized databases for the management of, for example, non‑expendable property.", "17. Of the seven unimplemented recommendations, of particular concern to the Board was the recommendation, made in 2009, that UNHCR ensure that bank reconciliations were exhaustive and resolve unexplained differences between bank confirmation statements and the general ledger. While UNHCR agreed with that recommendation, the Board found significant failings in the bank reconciliation processes conducted during the year. Overall, the low level of implementation in 2010 reflects the many weaknesses and errors found by the Board during the audit and highlighted in the present report. The Board has reiterated most of the unimplemented recommendations in the relevant sections. The two not addressed elsewhere in the report are:", "(a) The Board previously recommended that UNHCR continue its efforts to reduce the number of staff who were between assignments and not on temporary duty. UNHCR has yet to determine a new policy on the issue of staff between assignments;", "(b) The Board recommended that, in collaboration with OIOS, UNHCR take appropriate measures to reduce the number of vacancies for internal auditors. UNHCR remains concerned that internal audit coverage is not being provided in key areas of programme activity, and will continue to pursue the matter with senior officials of OIOS as a matter of priority. However, the Board does not reiterate this recommendation, but will be discussing the results of its audit with OIOS as part of the planning for 2011.", "18. The Board reiterates its previous recommendation that UNHCR continue its efforts to reduce the number of staff between assignments and not on temporary duty, and will re-examine the issue after UNHCR has established its revised policy.", "19. UNHCR stated that it intended to promulgate, before the end of 2011, a revised policy for staff between assignments.", "2. Financial overview", "Overall financial position of the Office", "20. The financial statements show that UNHCR received income of $1.992 billion in 2010, an increase of $189.1 million over 2009 and that it reported expenditure of $1.923 billion. This represented an excess of income over expenditure of $69 million, or a net surplus, after adjustments for prior-year contributions and expenditure, of $73.1 million, according to the statement of income and expenditure and changes in reserves and fund balances for 2010. This continues the recent trend whereby UNHCR has received more income than it can utilize, resulting in the accumulation of significant cash and term deposits, which totalled $437.1 million as at 31 December 2010. UNHCR net liabilities at 31 December 2010 were $72.3 million,[1] representing a decrease in overall liabilities of some $87.7 million since 2009.", "21. Most of the $1,923.1 million in expenditure of UNHCR in 2010, or some $1,493.6 million (78 per cent), was directed towards its programme (see note 6 to the financial statements), with the remainder covering administrative overhead and staff benefits. Of the $1.992 billion in income in 2010, some $1,903.5 million (96 per cent) was in the form of voluntary contributions. The timing of the voluntary funding of UNHCR can be highly variable, creating difficulties for UNHCR country operations in expending such funding in a regular and predictable pattern during the year. For example, in 2010 UNHCR Iraq, the single largest country operation, received large inflows of funding in November and December. The Board noted that as at 31 December 2010, more than half of the annual expenditure of UNHCR Iraq had not been disbursed and was to be liquidated in the period up to 31 March 2011.", "22. The uncertainty and late surges of funding experienced by UNHCR have implications for resource management and decision-making. The Board notes many instances where there is an incentive to focus on activities on which UNHCR can spend quickly and which are less dependent on future funding, or the deferral of important “through-year” services such as medical referrals until year-end. The Board is also concerned that the uneven pattern of funding and expenditure can lead to an acceleration of year-end disbursements, with increased risks posed to control and compliance.", "23. In 2010, approximately one third of UNHCR expenditure ($677 million) was channelled through implementing partners. As indicated in note 6 to the financial statements, as at 31 December 2010 management had received financial monitoring reports justifying $386 million (57 per cent) of this expenditure. By 31 May 2011 it had received all reports, covering 98 per cent of the expenditure.", "3. Financial management", "24. Despite the fact that the Board had raised concerns in 2009, UNHCR was underprepared for the financial audit reflecting significant deficiencies in the systems in place for the preparation of its financial statements and in the quality of top-level management supervision and ownership of those processes across the whole organization. Those deficiencies were remedied through a significant amount of additional unplanned input by UNHCR staff and resulted in increased cost for the Board. The gross value of adjustments to the financial statements stemming from the audit was $39 million, resulting in a net decrease of $3.12 million in fund balances as at 31 December 2010.", "25. The Board could not determine an audit trail from the accounting records to the trial balance, and the trial balance was not reconciled with the financial statements, despite the fact that this was an explicit requirement set out in advance of the audit. Comparative information was incomplete and inaccurate, and there were unacceptably high levels of misstatement in the transactions audited, as indicated by the level of the adjustments made to the financial statements. In addition, the stated accounting policies were incomplete and did not accurately reflect the accounting practice followed by UNHCR. For example, the original accounting policy of UNHCR for income stated that pledges from Governments were fully recognized at the time of acceptance of the pledge; however, the Board found that in practice UNHCR recognized income in the year for which the pledge was made. Either approach is acceptable under the United Nations system accounting standards, but it is unacceptable for accounting practice to be inconsistent with stated accounting policy. The accounting policy was modified to reflect the reality of accounting practice. The Board, in accordance with the International Standards on Auditing, requested that UNHCR address the issues identified and resubmit the financial statements for audit.", "26. The Board was particularly concerned that there had been insufficient preparation of supporting schedules and analysis to allow for management review, validation that the financial statements were fairly presented, an accurate reflection of the accounting records, or compliance with the stated accounting policies. The Board considered this an area that required significant improvement by UNHCR, given the High Commissioner’s direct responsibility for the production of accurate financial statements.", "27. The Board also found limited UNHCR review of financial information throughout the year. For example, accounts receivable had not been regularly reviewed to confirm that the balances represented valid assets of the organization. The Board identified significant levels of error in accounts receivable. A number of accounts receivable were more than 5 years old, and additional work by UNHCR and the Board determined that some of these were unlikely to have been received from donors. Either the income had been received and the receivable had not been cancelled, or donors had confirmed that they would no longer be paying the amounts that they had pledged. As a result of the audit, UNHCR made adjustments of $5.2 million to its aged outstanding receivables and adjustments of $2.1 million against accounts payable and repatriation liability, and thus a total of $4.4 million was written off to prior years.", "28. The restatements and other adjustments to the financial statements, including the refinement of the stated accounting policies to reflect accounting practice and the disclosure of the accounting policies for other significant balances and transaction streams, have led the Board to believe that in all material respects, the financial statements of UNHCR were fairly stated.", "29. The Board recommends that UNHCR establish a detailed process for the year-end preparation of its financial statements encompassing the cleansing of accounting records, the preparation of comprehensive supporting schedules, and detailed and evidenced-based management review of the draft financial statements prior to their submission to the auditors. This recommendation replaces the unimplemented recommendation, made in 2009, that UNHCR: (a) ensure that the responsible officials comply strictly with the closing instructions of the organization; and (b) adjust its internal procedures in order to comply with the audit requirements.", "30. UNHCR stated that it would review its detailed year-end account closure processes on the basis of lessons learned from the recently conducted audit. The review will be completed by 31 October 2011. UNHCR also informed the Board that in June 2011 it had strengthened the management accounting control function and other key positions in the Controller’s office, and that it had initiated a benchmarking exercise to assess UNHCR financial management practices against best-practice standards.", "31. At the country office level, it was evident to the Board that UNHCR country offices did not have a culture of robust financial management. The capabilities of the UNHCR enterprise resource planning system were not well understood by users in country offices. Local finance officers and supply management staff could not generate standard financial reports, trial balances for their cost centres or aged inventory or inventory usage reports, essential for the conduct of effective day-to-day financial management control.", "32. In the UNHCR office in the United Republic of Tanzania, for example, the Board found $2 million in unsubstantiated receivables and associated bad debt provisions dating back seven years, and unsupported balances in the financial systems that had been present in the ledger since 2003. The Board also noted that high numbers of adjustments had been made to the UNHCR accounting ledger as a result of invalid prime entry in field offices, indicating weak controls over the input of accounting data in the field.", "33. The Board recommends that UNHCR examine and address the reasons for deficiencies in country office financial management and reporting capacity.", "34. The Board also recommends that UNHCR enhance its monthly financial closure processes to include, for example, documented review and validation of asset and liability balances, review of income and expenditure against budgets, and sign-off by the relevant responsible officers at headquarters and in the field on the components of the trial balance for which they are responsible.", "35. UNHCR accepted the Board’s recommendations and stated that it would review relevant audit and inspection reports, consult with headquarters Bureaux and continue to analyse financial data from its enterprise resource planning system in order to identify which country offices were in need of strengthened financial management. UNHCR would draw up a workplan to address the identified gaps, including any additional training needs in those locations. This exercise would commence as soon as possible in 2011.", "36. UNHCR also stated that it would clarify the list of documents to be reviewed and signed off by relevant officers as part of month-end financial closure activities, and that its intention was to produce end-of-month financial information by running queries from its enterprise resource planning system so that the same documents would be used everywhere within UNHCR.", "4. End-of-service liabilities", "37. The 2010 financial statements reflected end-of-service and post-retirement liabilities amounting to $393.7 million. Of this amount, $286.6 million represented after-service health insurance. The liabilities are determined by actuarial valuation based on a discount rate of 5.55 per cent, using spot rates for high-quality corporate bonds payable in euros (the same method was used in 2009, with a rate of 6.15 per cent). The change in discount rate is explained by movements in the market during the reporting period, and the reduced rate in effect reduced the total estimated liability (note 19 to the financial statements provides further explanation). The actuarial gains and losses have been recognized as they occur, with the UNHCR income statement disclosing a $91 million actuarial gain for the year ended 31 December 2010. In 2009, the Board had recommended that UNHCR modify its financial statement disclosures regarding after-service health insurance to disclose the main changes in actuarial assumptions, and the Board continued to note the need for clearer disclosures with regard to the sensitivities of the assumptions used and their impact on the valuation of the liability.", "38. In its resolution 64/241, the General Assembly requested the Secretary-General to continue to validate the accrued liabilities for after-service health insurance with the figures audited by the Board and to include this information and the outcome of the validation in his report to the Assembly at its sixty-seventh session. The Board reviewed the actuarial valuation exercises for both after-service health insurance and the repatriation benefits liability. The Board concluded that the actuaries were suitably qualified to undertake the valuations and that the actuarial assumptions used to calculate a discount rate and the measurement of the actuarial gains and losses were in line with International Public Sector Accounting Standard No. 25, on employee benefits. However, while it is the responsibility of UNHCR management to ensure that the data that it supplies to the actuaries are both accurate and complete, we found no documented review of the accuracy and completeness of the data supplied prior to the audit. UNHCR, at the request of the Board, conducted additional work to review and confirm the accuracy of the data.", "39. The Board reiterates its previous recommendations that UNHCR: (a) fully align its disclosures regarding end-of-service liabilities with the relevant IPSAS standard for 2011 (including by providing more information in its note disclosures of the impact of changes in discount rates on its stated liabilities); and (b) set up specific funding for its accrued end-of-service and post-retirement liabilities.", "40. The Board also recommends that UNHCR develop robust and documented quality control procedures to validate the integrity of the data supplied to its actuaries concerning staff end-of-service liabilities.", "41. UNHCR accepted both recommendations, informing the Board that the impact on its liabilities stemming from changes in discount rates or other significant assumptions would be highlighted in its note disclosures for the 2011 financial period. It would also develop procedures to review and validate data provided to its actuaries. In addition, UNHCR informed the Board that in June 2011 its Standing Committee had approved a strategy to fund its accrued end-of-service and post-retirement liabilities; the Board would examine this in its next audit.", "5. Bank accounts, cash and investments", "Bank accounts", "42. At 31 December 2010, UNHCR had 425 separate bank and cash accounts with a combined balance of $147 million, and investment accounts with a year-end balance of $290 million. Of the 425 bank and cash accounts, 414 were active; the remaining 11 were inactive but still open in the name of UNHCR. The high number of bank and cash accounts, coupled with the devolved nature of UNHCR operations, makes it difficult for UNHCR to adequately manage and control the use of these accounts, thus increasing the risk of error, fraud and inefficient administration. While there are established financial rules for the opening of new bank accounts, there are no routine procedures to ensure that there remains a genuine need to maintain accounts once established. UNHCR year-end cash holdings increased from $225 million in 2006 to $437 million in 2010, and over the same five-year period its total average cash holdings increased to just under $410 million.", "43. During its interim audit, the Board recommended that UNHCR rationalize its banking arrangements. UNHCR subsequently informed the Board that it was rationalizing and centralizing its banking operations for Africa and Asia, but that it considered that it had a residual need for some local-currency bank accounts. UNHCR believes that when this process is completed, it will have the minimum number of bank accounts necessary for effective treasury and operational management.", "44. The Board recommends that UNHCR, as part of the rationalization of its bank arrangements, centralize its banking arrangements at headquarters in order to gain maximum leverage from its bankers, and subject all accounts to a regular and critical challenge, closing any unnecessary bank accounts immediately.", "45. UNHCR accepted the recommendation and stated that it had put in place a comprehensive plan to continue implementing the roll-out of a centralized payments approach in the African and Asian regions and expected to complete that exercise by the end of 2011. More generally, UNHCR would perform quarterly reviews to confirm that there was a genuine continuing need for each bank account, providing a comprehensive analysis by type of account. UNHCR emphasized its need to have an effective and efficient bank account structure that would balance the needs of programme implementation in difficult areas worldwide, as well as to provide integrated cost-effective cash management and liquidity banking structures.", "Bank reconciliations", "46. Bank reconciliations are a key control aimed at safeguarding against fraud and error. The Financial Rules of UNHCR require that these be performed on a monthly basis. This is not an onerous requirement; many organizations in the public and private sectors maintain continuous or daily reconciliations.", "47. In its previous report, the Board recommended that UNHCR ensure that its bank reconciliations were exhaustive and resolve unexplained differences between bank confirmation statements and the general ledger. While UNHCR agreed with this recommendation, the Board found significant failings in the bank reconciliation processes during 2010.", "48. In 2010, the Board identified a backlog of 82 unreconciled bank accounts and 17 unreconciled investment accounts (with balances of $50.3 million and $325 million, respectively). This reflected an unacceptable failure in the operation of a key financial control. Before year-end, UNHCR reduced the backlog to 10 accounts with outstanding reconciliations (of which only 3 were active accounts, with a combined balance of $281,000), but the Board is concerned that a backlog in bank reconciliations was allowed to accumulate in the first place. The Board also found that where reconciliations had been performed, appropriate action had not always been taken to update the associated accounting records. Of 13 items identified by UNHCR staff as requiring reconciliation, no action had been taken in five cases, resulting in an audit error of $981,000.", "49. The Board reiterates its recommendation that UNHCR conduct exhaustive bank reconciliations and reconcile all differences with the general ledger. This should include, as part of the month-end financial procedures, the reperformance of a sample of bank reconciliations to assure management that reconciliations are timely and accurate and that items requiring reconciliation have been properly resolved.", "50. The Board also recommends that UNHCR revise its policy on monthly bank reconciliations, drawing on international best practice, in particular with regard to the adoption of routine daily bank reconciliations on more active accounts. This will require UNHCR to identify its most active bank accounts, obtain daily transactional information from its bankers and update its internal procedures accordingly.", "51. UNHCR accepted the recommendations and stated that it would make a concerted effort to reduce the number of items to be reconciled and clear the old ones. It would also implement the reperformance of a sample of bank reconciliations carried out by field offices as part of its month-end procedures starting in July 2011, and would revise its policy in order to perform routine daily general ledger bank reconciliation on more active accounts. From September 2011, routine automated daily bank reconciliations would be performed on its headquarters bank accounts.", "Managing cash and investments", "52. The total cash and term deposits of UNHCR as at 31 December 2010 amounted to $437.1 million, representing an increase of $54.5 million (14 per cent) over 2009 and an increase of $211.8 million since 2006. Over the five-year period since 2006, the total average cash holdings of UNHCR have increased to $409.8 million. The statement of cash flows (statement III) shows that UNHCR has increased its cash holdings by some $95.0 million over the past two years. The Board also noted that throughout 2010, UNHCR held an average cash balance of some $350 million in excess of its working capital fund. The fund is maintained to cover essential payments and guarantee obligations pending pledged contributions. UNHCR is therefore holding significant and growing cash assets. The interest earned on its cash investments in 2010 amounted to $1.1 million, compared with $2.3 million in 2009.", "53. UNHCR attributed the increase in cash and term deposits at year-end to unforeseen specific contributions received late in the year, including earmarked flood-related contributions for Pakistan, inflating the average holdings for the year. UNHCR informed the Board that it held cash primarily to cover, broadly, two months’ worth of expenditure. The Board will examine in its next report the implications of holding these cash balances for UNHCR planning and programme delivery, as well as cash flow and treasury management.", "6. Non-expendable and expendable property", "Non-expendable property", "54. UNHCR is a globally dispersed operation and therefore is highly dependent on effective asset and inventory management. As at 31 December 2010, UNHCR held some $321 million in non-expendable property (recorded at cost). Following an emphasis of matter in 2009 relating to weaknesses in UNHCR asset registers, the Board noted that UNHCR had made progress in 2010 in cleansing its asset registers as part of its work towards the IPSAS transition and in the light of the concerns raised by the Board in 2009 about the quality of record-keeping in the field. The asset registers, while sufficient for disclosure under the United Nations system accounting standards, are still not sufficiently developed to be reliable enough for disclosure under IPSAS.", "55. In 2010, UNHCR issued a new asset management policy in order to align with the International Public Sector Accounting Standards. The new policy redefines property as property, plant and equipment, serially tracked items, inventories and consumables, and specifies which items are to be recorded in the UNHCR asset registers and how they are to be valued and accounted for. Despite the establishment of the new policy, the Board continued to find weaknesses in the management of non-expendable property. For example:", "(a) The values of vehicles in service were overstated and did not reflect depreciation,[2] which gave rise to concerns about the integrity and valuation of recorded assets. For example, the Iraq operations data recorded eight Toyota Land Cruisers, purchased in 2003, each with historical cost and net book value of $99,000, far in excess of both the original purchase price paid by UNHCR and the fair value of the assets in 2010;", "(b) The local asset management boards[3] met infrequently and had incorrectly interpreted write-off instructions from headquarters, which led to the erroneous write-off of assets and significant write-backs in the following year. The values involved were low given the age of the vehicles.", "56. The Board recommends that UNHCR intensify its efforts to cleanse the data supporting non-expendable valuations and enhance the guidance and information on asset management provided to country offices. The latter should include guidance on the frequency of local asset management board meetings.", "57. UNHCR accepted the recommendation, stating that in June 2011, its Supply Management Service had launched a global project to support all country offices in the validation of their property, plant and equipment and inventory, to be completed in September 2011. As part of that exercise, 21 of the largest country operations would be supported on-site by a team of in-house experts who would provide training to property, plant and equipment and inventory focal points and senior management to help to improve the understanding of property, plant and equipment accounting and the conduct of local asset management board meetings. Training courses would cover all regions and would be completed by December 2011.", "58. UNHCR also stated that the remaining country operations with property, plant and equipment had been instructed to perform a validation of their property, plant and equipment during that period and would be subject to scrutiny. To support this, UNHCR had established an escalation procedure whereby monthly exception reports would be generated on delayed disposals, non-verified assets in the Management Systems Renewal Project, pending purchase order receipts, assets in transit, assets received but not in service, and assets more than 15 years old. Any critical matters identified in those exception reports would be followed up with the country property, plant and equipment focal points for resolution within one month and, if unresolved, would be referred to the Assistant High Commissioner for Operations for action.", "Expendable property management", "59. In 2007, the Board recommended that UNHCR disclose the value of expendable property at the end of the year to provide more complete and accurate disclosure of its assets. UNHCR agreed with the recommendation. UNHCR has a global system for tracking the receipt, storage and dispatch of inventory items at all its warehouses. The information recorded in the system is verified by a physical inventory count performed annually at each location. While the system tracks quantity, it has never been able to produce an accurate valuation of inventory items; accordingly, an inventory value has never been reported in the financial statements. In 2010, UNHCR sought to develop its inventory management system to permit the accurate valuation of all items in the transition to IPSAS, with the intention of disclosing expendable property inventories in the financial statements for the year ended 31 December 2010.", "60. The UNHCR global system for inventory recorded an expendable property value of $130 million as at 31 December 2010. During its field visits, the Board, despite the upgrading of the system, identified examples of differences between values recorded in the system and what UNHCR had actually paid for the items in question, and of valued stock that was obsolete and should have been recorded as having nil value. For example, during the audit of one warehouse in Iraq, we found that obsolete stock accounted for 52 per cent of the total $1.31 million inventory held, for which management had made no adjustment. The own continuing concerns on the part of UNHCR itself regarding accuracy led to the decision not to proceed with the planned change in accounting policy. As a consequence, expendable property is not disclosed in the 2010 financial statements.", "61. The new asset management policy of UNHCR requires that a physical inventory count be carried out at least once a year. However, this may not be appropriate for field offices having particularly high inventory values or operating in a challenging environment, or for an organization that needs to respond quickly to emergencies, for which a more frequent count (perhaps quarterly) may be suitable. Accurate information regarding the condition, suitability and value of inventory is essential for operational purposes and a vital requirement for IPSAS compliance.", "62. The Board recommends that UNHCR refine and enhance its current stocktaking procedures in the light of lessons learned from the experience gained in 2010, including the need for more frequent counts, until the integrity of the systems is assured.", "63. The Board also recommends that UNHCR regularly review all inventory items for obsolescence and damage and that it write down the values accordingly.", "64. UNHCR accepted the recommendations and stated that they would be addressed as part of its global project to have all inventory and property, plant and equipment at all country operations physically verified between June and September 2011, in addition to the physical counts to be performed at year-end. Depending on the results of the validation exercise, UNHCR would determine whether it would be necessary to continue the practice of two full physical counts per year or whether even more counts might be required for a particular period. In addition, all inventory items would be reviewed for obsolescence and damage during the physical counts, and written off, if required.", "7. Progress towards the implementation of the International Public Sector Accounting Standards", "65. In June 2010, the UNHCR Standing Committee[4] decided to delay the full implementation of IPSAS from 2010 until 2012. UNHCR acknowledged that it had underestimated the scope of what IPSAS implementation required, and that it had allocated insufficient resources to the project. Subsequently, further delays have arisen as a result of the multiple priorities faced by UNHCR, including the updating and preparation of UNHCR software to support results-based management and the introduction of a new budget structure as at 1 January 2010.", "Project governance", "66. The sponsor of the IPSAS implementation project of UNHCR is the Deputy High Commissioner. A steering committee has been established, comprising senior UNHCR management, and, beneath the steering committee, a business owners’ committee is responsible for managing the practical implementation of the project. In July 2010, UNHCR appointed an experienced IPSAS project manager, who is supported by a project team of 12 full-time staff members.", "67. Since the project’s inception, UNHCR has increased from an initial 5 to 11 the number of working groups, which formulate, test and document the new accounting policies. The working groups have been enhanced through the addition of contracted experts on accounting and enterprise resource planning systems. The Board considered that the governance arrangements were sufficient and appropriate. While it may be appropriate to use contracted expertise during implementation, however, over the longer term UNHCR will need sufficient and appropriately qualified staff to deliver and secure the benefits of IPSAS following the adoption of the Standards.", "Implementation plan", "68. The plan presented to the Board in May 2011 identifies some 1,700 implementation project processes, specifies actions for each working group and provides a timeline for deliverables. There is slippage against certain deliverables, but it is unclear to the Board whether this poses a threat to the 2012 implementation target. UNHCR informed the Board that it had recently updated and rescheduled its IPSAS project plan to take account of the accounting policies and business requirements for IPSAS compliance identified in the “scoping and planning phase”.", "69. The Board, in the light of the earlier slippages against the IPSAS implementation plan and the time now available, recommends that UNHCR intensify the frequency and depth of its managerial review of progress.", "70. In preparation for IPSAS implementation, UNHCR issued new asset management accounting policies in 2010 and introduced systems for capturing sufficient information to comply with International Public Sector Accounting Standard No. 17, on property, plant and equipment. UNHCR had planned to make enhanced asset disclosures, including valuations and quantities, under the United Nations system accounting standards in its 2010 financial statements, as recommended by the Board, but did not sufficiently cleanse and validate its asset data to permit such disclosure. The Board is concerned that as a result, staff in the field and elsewhere are still not familiar with the requirements for valuing and recording asset values.", "71. The project team maintains a project risk register, which identifies seven risks posed to successful implementation in 2012. Four of those risks are considered by UNHCR to be both highly probable and high-impact:", "(a) Problems related to the integrity of its accounting data and their impact on the opening and closing balances. UNHCR has commenced its data cleansing exercises, but has not yet defined its performance metrics in that area, as it is not yet certain about the scale of this exercise;", "(b) The IPSAS financial statements of UNHCR will not fairly represent its financial position and performance, and may be unable to disclose performance against the cash budget reconciled with the accruals accounts;", "(c) The development of new reconciliation procedures for inventory and property, plant and equipment, given the scale of change required throughout the organization, to ensure IPSAS compliance;", "(d) Insufficient time to deliver training before the “go-live” date. UNHCR has not yet developed a mitigation strategy for this risk.", "72. The Board considers the risks identified to be real and believes that data integrity and change management through training, in particular for the country offices, are the main challenges in meeting the implementation target. The Board considers the lack of readiness and the low level of financial management capacity in the country office network to be major risks for the implementation timetable. As the project approaches the critical “go-live” phase, it will be important that the risk register be regularly updated and reviewed in detail by the project steering committee at each meeting, and that mitigating strategies be updated or developed.", "73. The Board recommends, as a matter of priority, that UNHCR: (a) review and cleanse its accounting records, including all asset and liability balances; and (b) enhance its month-end closure procedures in order to fully reconcile all accounts and maintain the integrity of accounting records.", "74. UNHCR accepted the recommendations and stated that its implementation plan included a planned comprehensive review of the accounts and their reconciliation, from ledgers to sub-ledgers. The IPSAS implementation team would be strengthened through the hiring of additional accountants to conduct the reconciliation of all balances.", "Revision of the Financial Rules for Voluntary Funds", "75. The IPSAS implementation team is currently working on revisions to the UNHCR Financial Rules for Voluntary Funds to reflect the adoption of accruals accounting for approval by the standing committee in the autumn of 2011. The planned changes were shared with the Board in June 2011 and are currently under review.", "Development of draft model financial statements", "76. Developing a “dry-run” model set of accounts, including the core statements, note disclosures and accounting policies to be adopted, will provide UNHCR with an early opportunity to test its readiness to produce IPSAS-compliant accounts. It will also enable the Board to identify potential weaknesses and provide advice in advance of IPSAS implementation. The implementation plan envisages that a model set of accounts will be completed and validated by the Board in November 2011. The Board is concerned, however, at the limited amount of time and the lack of clarity as to whether the dry-run accounts will contain real accounting data, and has yet to see the plans. Without a dry run with real data, it is unlikely that an organization as complex as UNHCR will be able to receive an unqualified audit opinion within the planned implementation time frames.", "77. UNHCR informed the Board that it had benchmarked its draft financial statements against those of the World Food Programme (which are already IPSAS-compliant) to determine what revisions and disclosures were required. The Board noted that those considerations had been factored into the IPSAS implementation plan.", "78. The Board recommends that UNHCR establish a clear plan for a “dry-run” set of accounts with real accounting data.", "79. UNHCR stated that it had scheduled dry-run audits for April and August 2012 and that it would share its plans with the Board.", "Audit of opening balances", "80. The development of model financial statements will be supported by an exercise to establish opening balances for assets, liabilities and reserves for the first year of implementation. This will be, in effect, the starting point under full accruals accounting, on the basis of which the opening statement of financial position will be established. The IPSAS implementation team anticipates that opening balances will be recorded by 30 April 2012 and validated by 11 May 2012. Furthermore, the Board notes that the project plan includes provision for the 2011 United Nations system accounting standards audit and two dry-run closes, in April and August 2012, with accompanying audit verification. The Board considers that these processes are essential to successful implementation, but that the implementation plans lack sufficient detail as to how the critical milestones will be met.", "81. The Board recommends that UNHCR establish a clear plan for the creation of opening balances, and that the plan be shared with the Board as soon as possible. The plan should provide sufficient time to enable the Board to conduct an audit of the opening balance sheet no later than three months before the conclusion of the first “live” year of IPSAS implementation.", "Managing the delivery of the full benefits of the International Public Sector Accounting Standards", "82. The Board found no evidence that the intended benefits of IPSAS adoption were formally linked to the objectives of the project and were being tracked, or that UNHCR had a benefits realization plan. If UNHCR is to successfully realize the intended benefits of adopting IPSAS, it is essential that the benefits be adequately documented and quantified at inception, and thereafter actively managed, monitored and reviewed to ensure that they remain current.", "83. Once IPSAS compliance is achieved, UNHCR will have more accurate, timely and comparable information on inventory, non-expendable property, investments and future liabilities. If that information is not used to permit informed decision-making on resource deployment and identify opportunities for improved cost-effectiveness, many of the potential benefits of IPSAS adoption will be lost. It is therefore important that operational areas engaged with IPSAS adoption be thinking now about how they can use this new information to drive cost-effectiveness.", "84. The Board recognizes that the full benefits of IPSAS will come over time, but the process of planning for their realization should start as soon as possible. It is currently unclear who in UNHCR is accountable for the delivery of benefits. Business owners have not signed up to deliver quantifiable benefits attributable to their area of the business, and cannot say how benefits will be achieved or measured. Without a clear vision of benefits realization and clear accountability for delivery at the business unit level, there is a risk that potential benefits will be unnecessarily delayed or lost. Without clear and formally agreed plans specifying what business changes will be implemented, there is a risk that business owners or other stakeholders will resist or reject the changes needed to achieve benefits.", "85. UNHCR agreed with the Board’s recommendation that, in refining the implementation strategy, its IPSAS implementation team clearly identify the objectives and envisaged benefits of the IPSAS project and develop a methodology to track and manage benefits realization.", "86. It is vital that all staff understand the impact of the new reporting regime on their day-to-day activities. Without the allocation of sufficient resources to training and change management, there is a real risk that IPSAS will not be understood and that the intended benefits will not be realized. UNHCR includes “change management” as one of the five main work streams in its IPSAS implementation strategy. It has developed a risk-based change management plan and appointed a senior change management officer to coordinate the planned activities required until December 2012, including training and communication. A key ongoing task is identifying all those managers in UNHCR who require training or engagement, including communication of the specific requirements that they will need to deliver in order to facilitate successful implementation, and to design and deliver such training.", "87. The Board has seen no evidence of a clear vision of what needs to be achieved or how to achieve it, including:", "(a) How the use of accruals-based information and the active management of balance sheets and cash flows will support improved financial management, decision-making and accountability, and more cost-effective ways of working;", "(b) What role the finance function will play in improving UNHCR performance and providing sophisticated information for decision-making;", "(c) What training is needed for policymakers and operational managers on the new information and how it can be used to enhance, for example, performance measurement, activity costing and investment appraisal.", "88. The Board recommends that UNHCR enhance its organization-wide change management programme for IPSAS by specifying how senior management in every business unit must take ownership of and drive the delivery of the intended benefits during and after IPSAS implementation.", "8. Performance reporting and results-based management", "89. UNHCR began to develop a results-based management framework in 2005 as a key part of a programme of major changes to improve the management of its operations and its performance reporting to donors. The Board examined the progress made by UNHCR in developing results-based management, specifically its reporting from its country network through its five Regional Bureaux, which act as the channel between top management[5] and the organization’s operations; and its progress in implementing supporting processes and mechanisms, including the Focus system.[6]", "Capturing sufficient and relevant performance information", "90. The UNHCR Focus system provides the framework for performance management at the country level, structuring the planning and monitoring of services around common objectives and goals. Focus has been used for planning UNHCR work in 2010 and 2011 and has provided an improved and shared understanding among country offices of UNHCR business priorities. The Board notes, however, that:", "(a) Focus has not yet been fully populated with monitoring data, with the amount of available data varying greatly by country office;", "(b) The accuracy and reliability of performance data are highly variable;", "(c) There is an unmet need to balance indicators tailored to local circumstances against the need for consistent reporting across the UNHCR network to permit meaningful aggregation and comparisons;", "(d) Indicators focus largely on volumes of activity; few are designed to measure the quality, timeliness or efficiency of the delivery of programmes and services.", "91. The Board notes that, while country offices assume a significant administrative burden in populating Focus with data, they as yet see limited value in assistance in running their operations more cost-effectively. UNHCR is taking action to simplify planning processes, reduce reporting requirements, and improve data quality and reporting. A key challenge for UNHCR will be to balance the need to moderate the demands at the country against the need to ensure that performance information becomes more robust, relevant and useful at the corporate level. The Board is concerned, however, that after six years of implementing results-based management, UNHCR faces a risk of growing fatigue, waste of limited management time and diminishing compliance unless it can streamline its performance measurement efforts and focus them on mission-critical activities.", "92. The Board recommends that UNHCR streamline its performance measurement to focus on mission-critical activities in a more comprehensive way, embracing output volumes, service quality and efficiency of delivery. The prioritization of activities is a managerial responsibility, but criteria should include financial materiality, or the extent to which activities are planned to materially benefit major populations of concern.", "93. UNHCR accepted the recommendation and stated that it fully recognized the issue identified by the Board, as it had arisen in feedback from staff. A revised and simplified UNHCR results framework had been prepared early in 2011, drawing on the lessons learned during the first full year of implementation, in 2010, and would be applied to UNHCR operations in 2012. UNHCR also stated that a working group would continue to review and improve the output and related performance measures so that they would support the monitoring of both quantitative and qualitative aspects of performance. UNHCR would also identify a set of “core indicators” focused on mission-critical areas and tangible improvements in the situation of the populations of concern to facilitate regular and closer monitoring of its global strategic priorities.", "Performance reporting", "94. Although UNHCR operates with a devolved structure, senior management is ultimately accountable for performance and the use of resources across the network, and the Board sees the Focus system and reports as the means to achieve this. The Board expects to see good use being made of the Focus system to provide reports with aggregated data in order to permit easy interpretation by senior management and to support meaningful comparisons between country operations. The reports should focus on cost-effective performance and achievement, and should inform management decisions regarding where to allocate resources to ensure the best value for money.", "95. The Board notes that, while Focus has huge potential, its reporting is not yet fully functional and staff awareness of its reporting capability is low. As a result, reporting from the UNHCR country network to top management does not yet draw particularly on Focus, with reporting formats varying by region and by country. The use of graphs, trend data and indicators is rare. Most reporting focuses on the rapid identification of developments and issues in the countries in which UNHCR operates. While this enables senior management to react quickly to crisis situations, it does not provide a systematic analysis of performance or underpin accountability.", "96. The timing of most country-based reporting through Focus is linked to resource allocation decisions at mid-year and year-end. Data presented in planning and mid-year reviews focus primarily on spending against the budget (through an “implementation rate” measure) and on justifications for budget increases. The Board found that the analysis of comparative cost-effectiveness was limited and that the linkage between expenditure and results was unclear and not evident.", "97. The five Regional Bureau Directors of UNHCR informed the Board that, although the reports they received were useful in that they provided a picture of ongoing operational developments, they lacked structured analysis of the progress and impact of programmes. The Directors were unable to use reports to make comparisons with their region; to link financial reporting systematically to performance; to identify common themes as well as gaps and obstacles in achieving objectives; or to easily identify points requiring a decision or action. The Board considers that there is scope to reduce the amount of management time spent dealing with an unpredictable flow of ad hoc information and listing contextual developments in countries, and to make reporting more structured and easier to assimilate.", "98. UNHCR informed the Board that phase 2 of the development of Focus was intended to enhance the system’s management and reporting functions, and to provide integrated financial and performance information, as well as comparative and quantifiable analysis of performance at the country, regional and global levels in terms of the global strategic priorities of UNHCR. It would also provide functionality for more frequent in-year performance monitoring. Many organizations use “scorecards” or “dashboards” to present key information in a digestible way so as to steer top management towards priorities for intervention. The Board notes that there are tentative “scorecard” fields in Focus, but that that function has not yet been implemented.", "99. The Board recommends that UNHCR develop comparative and cost-based information to improve the evidence base for allocation decisions and provide a stronger link to enforce accountability. Particular emphasis should be placed on allowing for comparisons between country operations, on the relative contributions made by UNHCR to changes in the conditions of populations of concern, and on linking financial and output data to assess efficiency and cost-effectiveness.", "100. The Board also recommends that UNHCR develop a summarized scorecard to enhance the senior management review of performance and risks at the country and corporate levels, aligned with the development of Focus, in support of the implementation of results-based management.", "101. UNHCR accepted the recommendations. It stated that the planned upgrading of key business reports in Focus would be completed by 31 March 2012. A working group with external expert support was consulting on the business process changes required for the design of new business reports, and it was expected that the reports would reflect the measurement of impacts as well as planned and actual costs in order to facilitate assessments of cost-effectiveness. The resulting reports would be developed as part of the improved Global Focus information service, planned to be made available to managers and staff from the beginning of 2012. Consideration would be given to presenting evidence of performance and risk in a scorecard format to enable senior managers to quickly identify where available and potential resources could be invested to greatest advantage.", "Programme evaluation", "102. Programme evaluation is a key element of results-based management; it identifies the impact and the effectiveness of interventions in ways that regular progress monitoring does not. The regular monitoring of activities, in particular the delivery of outputs to displaced populations, needs to be supplemented by periodic and detailed evaluation if UNHCR is to assess the impact of its work.", "103. UNHCR has a small but experienced policy development and evaluation team in Geneva that undertakes or commissions evaluations. Its size, however, limits how many evaluations it can conduct, and it has also focused on delivering evaluation workshops to more than 100 UNHCR staff. The Board found little evidence of systematic and independent evaluation commissioned in the country operations it visited, however, and attributes this to a lack of awareness of existing guidance within country offices and to the lack of an explicit requirement to include evaluations in project plans and budgets.", "104. UNHCR agreed with the Board’s recommendation that it re-establish and entrench the principles laid down in its own guidance by establishing at the country level a policy clearly specifying the circumstances in which country operations should normally commission programme and project evaluations, and requiring explicit planning and budgeting for evaluation during project design.", "9. Risk management", "105. The Board notes that UNHCR does not have a formal and systematic organization-wide approach to risk management, including a corporate risk register, despite attempts to establish such an approach in 2005 and 2008. There are considerable volumes of ad hoc, narrative reporting on risks from the country network through Regional Bureaux, considering mainly the current and potential impacts of external events, such as political instability or conflict, and relationships with partners. But the consideration of risks within the organization is much less evident. Bureau Directors acknowledged that risk assessments should be better documented and formalized to guide workplans, mitigation strategies and interventions.", "106. The Board considers that, in addition to the fact that structured risk management is essential for any well-run organization, there are strong reasons for introducing it in UNHCR. In particular, there is a need for consistent assessment, escalation and mitigation of diverse risks across a globally dispersed organization operating in insecure environments that pose specific risks to staff and delivery (the Board is aware that analogous organizations highlight such risks prominently in their corporate risk registers for the attention of management). The reliance of UNHCR on voluntary funding also leaves it particularly exposed to reputation risk in the event of any conspicuous failure, and it needs to seek cooperation from other humanitarian and development partners, which are themselves developing increasingly more structured risk management approaches.", "107. UNHCR accepted the Board’s recommendation that, as a matter of urgency, it establish a simple organization-wide risk management approach, building on existing reporting arrangements.", "10. Implementing partners", "108. UNHCR uses more than 800 “implementing partners” to deliver some 1,600 projects worldwide. These partners include Government agencies, national and international non-governmental organizations and other United Nations agencies (see figure II.1). They deliver such services as shelter construction, education, health care, water and food, and legal assistance. In 2010, approximately one third of UNHCR expenditure ($677 million) was channelled through partners, and the total amount spent through partners is growing year by year (see figure II.2).", "109. In 2010, UNHCR launched a review of its management of implementing partners, and during the course of the audit it shared the results with the Board. The recommendations contained in the review take account of many of the recommendations raised by the Board during the interim audit and in the present report.", "Figure II.1 Types and numbers of implementing partners in 2010", "[]", "Source: Board analysis of UNHCR inter-agency service data.", "Figure II.2 Spending through implementing partners over time (Millions of United States dollars)", "[]", "Source: Board analysis of UNHCR inter-agency service data.", "Notes: Expenditure is paid in instalments to partners. There may be adjustments to instalments during the year.", "Governance and management information", "110. Responsibility for managing implementing partners is dispersed across UNHCR, limiting its ability to assess how well they are being managed across the organization and are balancing financial and operational aspects, to mandate practice and to monitor compliance and consistency. At headquarters, three divisions cover, respectively, policy and guidance development, corporate relationships, and audit certification and financial monitoring. Country offices are responsible for selecting, monitoring and paying partners within the policy framework set by headquarters.", "111. The Board understands that UNHCR is considering how to improve the management and reporting of implementing partner performance, which, in the first instance, will involve establishing a unit to further develop a risk-based approach to partner management. Consideration will also be given to combining its headquarters functions within a single oversight unit. If it is to be effective, the new unit and structures will need to have sufficient authority to monitor country offices and hold them accountable for compliance with centrally determined procedures.", "112. At the country level, the Board found that the compliance of country offices with policy varied widely, in particular the frequency and depth of the monitoring of partner performance and expenditure. We also found examples of poor performance information and reporting and, typically, the lack of a strategic overview of key projects, progress against milestones, and assessments of potential risks to delivery. By contrast, UNHCR Iraq’s project-tracking database, although not producing aggregated management information with which to assess partnerships as a whole, held data that could potentially support comparisons between partners or between areas with the same partner, in order to analyse trends, identify common problems and inform decisions on the allocation of future work. The Board notes that the UNHCR central database of partner information does not currently include performance data.", "113. The Board considers that the project-tracking database at UNHCR Iraq may have wider applicability across UNHCR, but there was no evidence of any assessment by UNHCR of its compatibility with corporate information technology structures. While the Board recognizes that UNHCR encourages innovation within its devolved country office network, its own accountability framework emphasizes the importance of effective information and communications technology governance and oversight of information technology developments in maximizing the return on investment and developing compatible systems. The Board believes that UNHCR needs to do more to determine the value and the wider applicability of locally developed solutions.", "114. The Board recommends that UNHCR review the various approaches to project tracking across its network in order to identify best practices with wider applicability and assess compatibility with the corporate information technology strategy.", "115. UNHCR accepted the recommendation, stating that its ongoing development and enhancement of Focus would support an effective and consistent project-tracking system. It informed the Board that the lessons learned from the project-tracking system used in its Iraq operations would be incorporated into the enhancement of Focus, but that that system had been developed to meet very specific operational requirements. The Board remains of the view that there are clear and valuable lessons to be learned from the system in Iraq, which potentially enables country teams, in a way that Focus cannot, to verify and track individual activities in insecure environments, such as the building of a shelter or other asset; to photograph such activities, using geotagging; and to use this case work to summarize progress, trends and variations within a programme.", "Management oversight of partners", "116. In principle, UNHCR adopts the same approach to managing its partners, regardless of their size, location or previous performance or the nature of the services delivered. This one-size-fits-all approach is inherently inefficient, diverting management time from higher-risk partners. UNHCR issued a “pre-selection checklist” in 2009 to help country teams evaluate the risks of working through particular partners and to ensure that selected partners meet required preconditions.[7] Use of the form is not mandatory, but has the potential, if redesigned, to help country teams target their oversight efforts at higher-risk partners. UNHCR is currently considering a new risk-based approach to managing partners. The Board considers that the uneven application of the current, one-size-fits-all management approach must be addressed if a new, more complex, risk-based approach is to be successful.", "117. The Board recommends that UNHCR adopt a risk-based approach to managing partners on the basis of clearly defined requirements, objective and well-evidenced risk assessment of partners, and robust arrangements to monitor its consistent application by country offices.", "118. UNHCR commented that its own review of implementing-partner management had resulted in very similar conclusions regarding the weaknesses in the one-size-fits-all approach and the need for a more risk-based approach. It had decided to implement a “differentiated risk-based approach” to implementing-partner management and to allocate resources for its application. The Board’s recommendation would be taken into account in taking this initiative forward.", "Partner selection", "119. While in some locations the numbers of its partners are limited, in most locations UNHCR has a genuine choice in terms of which partners to select. The periodic testing or reconsideration of partners, so that partners cannot assume that they will be selected or will continue to be engaged, is an effective way of enhancing performance and reducing the risks of corruption. The Board found, however, that most partners had had their agreements renewed over several years without having had their cost and performance benchmarked against alternatives. In addition, turnover was low, with UNHCR having worked with an average of 145 new partners in each of the past five years; more than half of its partners (57 per cent) had worked with UNHCR continuously for more than 5 years, and 28 per cent for more than 10 years.", "Figure II.3 Duration of partnerships", "Source: Board analysis of UNHCR inter-agency service data.", "120. The Board found that the rationale of and the approach to selecting partners at country offices were variable. For example, two UNHCR offices required the completion of standard justification forms, one of which included a cost-benefit assessment. This justification form had to be ratified by a selection committee. In the other offices, we found little evidence of an objective or documented selection process, with limited review of other providers or comparative analyses of capacity and “fit” with requirements.", "121. The Board notes that, even where a selection process is evident, cost-effectiveness is not an important criterion in evaluating potential partners or selecting partners, either in guidance or in practice. In order to be selected, partners must meet four obligatory conditions (for example, they must be legally registered and have a bank account). Of the 11 additional criteria listed in guidance, factors such as “local experience”, “quality of service” and “rapid response” are prominent.[8]", "122. UNHCR country teams have a disincentive to explicitly test the relative value for money of commercial procurement, because partnering is a less time-consuming and costly process. Whereas procurement requires competitive tendering and Contracts Committee approval, selecting and appointing partners, despite their importance to UNHCR delivery, requires far less extensive procedures. The UNHCR Supply Management Service informed the Board that the decision to opt either for partnership or for procurement was a matter left to UNHCR country programme units. We found, however, several examples of commercial services being provided by partners (construction services in Pakistan, logistical services in the United Republic of Tanzania) in which competitive selection may have been more appropriate and cost-effective, but we were unable to quantify the global scale of the practice, as UNHCR does not compile such data.", "123. Even where partnering is the obvious delivery mechanism, the Board considers that transparent, competitive (or at least evaluative) and well-documented arrangements for the appointment of implementing partners are important if UNHCR is to minimize risks of corruption (given that spending is significant in higher-risk locations) and ensure improved cost-effectiveness and performance. UNHCR informed the Board of various arguments for not ensuring a competitive process, which may have some validity in local circumstances; those arguments include the absence of commercial suppliers, the requirement for supplier experience in dealing appropriately with displaced persons, and the lack of capacity in UNHCR teams to manage commercial suppliers or sub-contractors directly. The Board is concerned, however, that genuine opportunities to improve partner performance or to gain access to commercial alternatives are being passed up without proper consideration.", "124. The Board recommends that UNHCR impose mandatory requirements on its country operations to consistently:", "(a) Document their justifications for partner selection, including explicit consideration of value for money, building on examples of good practice;", "(b) Formally assess the market for alternative partners at regular intervals (with once every five years as the absolute minimum);", "(c) Consider the alternative of commercial procurement whenever seeking a market-traded service, and document the justification when selecting a non-commercial partner without having tested the market.", "125. UNHCR commented that it had already issued instructions to all field operations to improve partner selection and retention processes, including: (a) to establish a local partner selection committee; (b) to improve selection criteria to enhance the implementing partner checklist, covering added value, cost-benefit analysis and expected impacts; (c) to establish proper and full documentation of all selection processes and decisions; and (d) to establish a programme of inspection and review to provide assurance that the enhanced instructions are being complied with. Those improvements are being reinforced by headquarters support missions and workshops. Further enhancements of the instructions will be made in respect of the Board’s specific recommendations on, for example, assessing the market for alternatives at least every five years.", "Monitoring partner delivery and performance", "126. Partner sub-agreements include performance frameworks intended to link the objectives and activities of a project with appropriate indicators and targets to assess performance. The frameworks, and subsequent monitoring through six-monthly reporting, are one of the main methods used by UNHCR to assess and manage partner performance. The Board observed that each partner sub-agreement included a performance framework, but notes a number of shortcomings, including:", "(a) Performance indicators focus predominantly on volumes of activity, and rarely on beneficiary satisfaction or aspects of service timeliness or quality. For example, warehouse services could usefully include measures for stock accuracy or service timeliness, rather than focusing only on the number of items handled, and protection work with displaced persons could cover aspects of beneficiary satisfaction or service awareness as well as the number of cases handled;", "(b) Targets and performance indicators generally lack quantified baselines or targets at the start of an agreement and intermediate milestones to assess progress within the year, and in some cases the most material aspects of projects have very few indicators.", "127. UNHCR agreed with the Board’s recommendation that the range of indicators used in partner agreements be broadened through revised guidance and that performance frameworks be subjected to management authorization before agreements are signed.", "128. UNHCR stated that this would be taken forward as part of its broader development of performance reporting.", "129. In order to ensure good oversight of partner activities, it is important that UNHCR obtain sufficient and reliable information on partner performance. The Board previously recommended that UNHCR formalize the monitoring of project implementation progress and keep a record of the checks made. While UNHCR appreciates the importance of monitoring the progress of project implementation against performance indicators established at the outset of a project, the Board continued to find the lack of a consistent approach to the documentation and recording of monitoring visits in 2010.", "130. UNHCR guidance requires country offices to verify that partners are making progress towards agreed results and that funds are used exclusively for the purposes outlined in the sub-project agreement. Country offices do so through quarterly financial monitoring reports from partners, and through mid-year and year-end narrative reports on progress. It is important that financial and progress reports from partners be periodically validated:", "(a) The Board found that the frequency of financial validation varied from one to four times a year, and that its content also varied. Country offices had developed financial monitoring templates, but the content and depth of testing was inconsistent, and the UNHCR programme staff conducting the checks did not always have the appropriate financial skills to identify and make queries on financial issues;", "(b) With regard to performance monitoring, programme staff used phone calls, e-mails and missions to monitor and validate reported progress and were testing new approaches such as refugee hotlines (to report problems) and Global Positioning System software. The Board noted, however, that such monitoring was not clearly tied to the partner’s sub-agreement objectives and workplan, with limited documentation of the scope, frequency and results of independent review.", "131. More broadly, financial and performance reporting are conducted as separate, rather than integrated, activities, with payments to partners rarely based on the delivery of outputs or the achievement of outcomes. The Board understands that multifunctional monitoring teams have been introduced in 2011 in some country offices and that UNHCR envisages that this will lead to better comparisons of budget spent with the proportion of target activity achieved, in support of payments to partners.", "132. It is important that, where problems with partner performance are identified, appropriate and timely follow-up action be taken. The Board found that country office approaches to tackling poor partner performance varied. In some country offices, there was clear evidence of active follow-up of poor partner performance and the withholding of payments; in others, this was less apparent. In one case, the Board noted that, despite management awareness of severe and sustained underperformance against objectives (involving severe reductions in planned protection activities with vulnerable groups), there was no evidence that the partner had been held to account, or any coverage of the issue in site monitoring reports. The Board had raised this case with UNHCR headquarters.", "133. UNHCR agreed with the Board’s recommendation that, in developing its new management approach and to help improve consistency, it establish common checklists that can be issued to officers in the field to detail the partner visits they undertake. The checklists should emphasize the need for firm action by country offices to tackle partner underperformance, and should require full documentation of the action taken. This recommendation replaces the Board’s previous recommendation.", "134. UNHCR commented that this recommendation would be considered part of the wider review of improved implementing partner management.", "Audit certification", "135. One of the main means by which UNHCR obtains managerial assurance that partners are spending funding appropriately is an independent audit certification process. The Board qualified its 2008 audit opinion owing to a lack of timely independent audits, commissioned by UNHCR, of its partners’ expenditure. For 2010, the Board noted that UNHCR had received 99 per cent of the expected partner audit certificates by May 2011, covering more than 99 per cent of the $677 million in partner expenditure in 2010.", "136. The UNHCR analysis of the audit reports revealed that 40 projects, with total expenditure of $28 million, had modified opinions. The Board reviewed the 13 qualified audit reports in which the project expenditure exceeded $500,000, covering a total of $20.5 million of the $28 million. We found that the auditors had identified errors totalling $597,000 in partner expenditure, and, given the likely level of error in the remaining modified opinions (3 per cent), the total of all errors was not material. UNHCR is pursuing the identified issues with its partners and intends to take corrective action or recover the money where appropriate.", "137. While UNHCR has established effective processes to follow up on qualified audit certificates and the errors and uncertainties identified in payments made by partners, the Board noted the absence of suitable, high-quality review of unqualified audit certificates. In particular, the Board found little evidence that the areas of weakness identified in management letters on unqualified opinions were being systematically analysed and addressed by UNHCR.", "138. The Board recommends that UNHCR review and reconcile the management letters issued by the independent auditors against implementing partner financial monitoring reports, with follow-up action taken where appropriate.", "11. Protracted refugee situations", "139. Some 5.5 million of the 10 million refugees served by UNHCR have been in “protracted refugee situations” for more than five years. UNHCR has identified approximately 25 such situations worldwide, each of which has already lasted approximately 20 years on average. UNHCR declared in 2007 that “the consequences of having so many human beings in a static state include wasted lives, squandered resources and increased threats to security”.[9]", "140. Part of the role of UNHCR, embedded in its mandate since 1950, is to seek durable solutions to situations, and reducing dependency on UNHCR is a major objective, but there has been only limited success in implementing complete and durable solutions since the 1990s. The main solutions pursued are the voluntary repatriation of refugees to their countries of origin, integration into the host countries and settlement in third countries, but there are many institutional, financial and political challenges to those solutions. For example, UNHCR must rely on the participation and support of other United Nations entities and Governments to implement solutions, and in some situations the original causes of refugee displacement (typically, instability and conflict) continue to prevail.", "141. Protracted refugee situations are a strategic issue for UNHCR with significant resource management implications. The Board therefore examined how well the resource implications of situations and durable solutions were understood within UNHCR, and how country operations were managing risk and uncertainty in developing solutions and making progress in working together with other United Nations agencies.", "Governance and resources", "142. In 2008, UNHCR launched a Global Plan of Action on protracted refugee situations, targeting five specific situations that it considered most amenable to positive change and that, if successfully resolved, could act as exemplars for solutions in other countries (see table II.1).", "Table II.1 The five protracted situations prioritized under the Global Plan of Action", "Situation\tDatesoforigin\tNumber ofrefugees(as of2010)\tPrimarydurablesolutions\tCurrent statusof solutions \n\tof situation \nEritreansinEasternSudan\tSuccessivewavesin1980sand\t149,000\tLocalintegration:improvedlivelihoodand selfreliance\tJoint plan ofaction indevelopment forpresentationto donors \n 1990s Burundiansin theUnitedRepublicofTanzania\t1970s\t240,000\tVoluntaryrepatriationto Burundi(46,000)andnaturalizationand\tVoluntaryrepatriationimplemented;localintegrationprogramme atjoint-plan-of-actionstage \n integrationin theUnitedRepublicofTanzania(172,000)\t\nMyanmarnationalsinBangladesh\t1991-92\t29,000 inUNHCRcamps andanestimated200,000in thewidercommunity\tDevelopmentprogrammefor mainrefugeehostingareas\tProposed jointplan of actioninitiallyrejected in 2010by the hostGovernment andnow indiscussion\nAfghansinPakistan\tSuccessivewavesfrom1979\t1.8million\tDevelopmentprogrammefor mainrefugeehostingareas\tProgramme inimplementation\nCroatiansinSerbia\t1991\t61,000(includingsome1,000 inrefugeecentresand 8,000vulnerablepeople inprivatehousing)\tVoluntaryrepatriationsto Croatiahavelargelyceased;emphasisis onintegrationfor thosewishing toremain inSerbia\tUNHCR aims toend itsoperations in2011, with theSerbian andCroatianauthoritiesprovidinghousing forthose still incollectivecentres andthose inlow-qualityprivateaccommodation", "Source: Principally, “Overview of major protracted refugee situations”, UNHCR, February 2010.", "143. The Global Plan of Action is a strategic initiative. However, the Board found that it had been implemented as a series of separate projects without a single senior accountable owner, and that corporate involvement was widely dispersed across UNHCR headquarters and country operations. In part, this reflects the fact that UNHCR delegates the leadership of individual projects to the country level. For the Plan as a whole, the Board found no targets or aggregate measures against which to assess how far the Plan was addressing the overall protracted refugee problem, nor any tracking of how UNHCR had deployed its resources across this strategic priority. The Board analysed data on 11 situations (involving two thirds of all refugees in situations) and notes that:", "(a) Protracted refugee numbers have fallen by a net 0.6 million since 2007. This figure is lower than what is implied by the recorded figure of 1.2 million refugees passing through solutions, and is probably explained by offsetting growth in refugee births or new arrivals;", "(b) UNHCR expenditure on these populations remains significant and is planned to grow to $300 million in 2011, representing 150 per cent growth since 2007. In comparison, the amount identifiable as spent on durable solutions appears to be relatively small but growing, having risen from some $22 million in 2007 to $42 million in 2009.", "144. UNHCR intends to shift more of its resources from the “care and maintenance” of protracted refugee situations to durable solutions over the next three to five years, but currently lacks complete financial and quantitative data (such as on population and migratory trends) on all situations, which would enable it to track the results of this initiative and the changes in situation populations attributable to durable solutions. The gap in information arises not only from the absence of a single corporate point of ownership for protracted refugee situations, but also from the fact that, prior to 2010, UNHCR financial and planning systems did not define protracted refugee situations as an accounting and output category. The inability of UNHCR to regularly track progress on, and the resource implications of, this major cross-cutting strategic initiative is a serious barrier to effective resource management; however, we note that UNHCR has made protracted refugee situations a data-capture category for 2012/13.", "145. The Board recommends that UNHCR establish a single senior point of ownership for protracted refugee situations that has sufficient authority to monitor and address progress on all situations and to hold country operations to account.", "146. UNHCR commented that it fully recognized the issue of fragmentation identified by the Board, and that it would need to assess how to implement the Board’s recommendation and determine the approach and organizational structure needed to manage protracted situations more effectively. The timetable for implementation would be dependent on other priority actions in 2011.", "Business cases for durable solutions", "147. Business cases for durable solution programmes are presented to donors through donor appeal documents and action plans. These documents typically comprise a narrative describing the situation and a needs assessment, with a description and budget for the proposed solution. The Board found an absence of explicit comparative analyses against “do-minimum” or “no-change” base options. We understand that appraising individual programmes against base options has not been standard practice in UNHCR, despite the importance of base options in assessing the value for money of a fundamental transformation in delivery.", "148. The business cases for durable solutions rarely set out the full range of costs and benefits, and a fuller comparative assessment would also need to take into account costs and benefits for other United Nations agencies and other partners. While recognizing that cost is only one factor, the Board examined the relative costs of maintaining refugees in protracted situations and of durable solutions. Although the data were incomplete and the costs per refugee of “steady-state” care and maintenance, as opposed to those of exits achieved through durable solution programmes, varied greatly from situation to situation, we found indications that in some cases, initially more expensive durable solutions could result in savings within several years.", "149. The Board recognizes that making a stronger case does not in itself ensure that longer-term funding will be provided to allow for durable solutions. Donors apply a much broader set of criteria, including political and other factors, in deciding where to give their funding support. The Board notes that in most cases, investment in durable solutions has important wider benefits, such as reducing the risk of conflict, which are inherently difficult to quantify. In some cases, such benefits, and the fact that different options have different levels of risk, might outweigh adverse financial considerations. In annex II, the Board provides an indicative framework for the comparative assessment of options in business cases for durable solutions. The Board considers that the explicit consideration of options is valuable, because it promotes the objective justification of decisions.", "150. The Board recommends that UNHCR make it an explicit requirement that a comparative assessment against a “do-minimum” or “no-change” base option be included in each of the action plans it produces for internal and donor consideration on tackling protracted refugee situations. The purpose is to enable UNHCR to measure the value to be gained or currently gained from the proposed solution, and does not imply that UNHCR should consider a “do-minimum” or a “do-nothing” option acceptable.", "151. UNHCR commented that it recognized the need for a comprehensive overview of the full implications of a proposed solutions initiative for all stakeholders, including other United Nations agencies, and that it would consider both the Board’s recommendation and the indicative model in developing its future plans and presentations.", "Planning and budgeting for durable solutions", "152. Achieving durable solutions requires careful planning and financial control to ensure that the costs of the solutions are fully understood from the outset and are minimized over time. The Board notes that the costs of many durable solutions can escalate rapidly over short periods, in some cases as a result of omissions of standard cost elements such as security from initial estimates, or unrealistic assumptions about the reuse of existing assets. Other cost increases are typically associated with changes in host Government requirements or unforeseen costs for partner United Nations entities. While the latter are difficult to forecast accurately, the need for some contingency funding to meet such increases could be budgeted for.", "153. UNHCR has produced extensive guidance on the planning of durable solutions for its country teams, primarily concerning programme design. While it can inform programme costing and cost-sharing, and sets out relevant principles, the guidance does not have specific tools to help teams cost and budget robustly. The Board believes that the guidance is due for updating and revision in the light of experience gained by UNHCR over the past six years.", "154. UNHCR agreed with the Board’s recommendation that its guidance for country offices on designing durable solutions be supplemented with concise checklists, compiled in the light of project experience, to help country teams better identify and budget for the costs that regularly arise in durable solutions.", "Working more closely with the United Nations Development Programme on durable solutions", "155. Although UNHCR has long experience in managing voluntary repatriation and resettlement programmes as part of durable solutions for refugees, it is not as experienced in developing and delivering local integration programmes, which require economic and social development. Integration programmes typically involve multi-year investments in infrastructure, health and education, and in livelihood schemes to improve the employment and income levels of populations. In such programmes, UNHCR needs to work in cooperation with other agencies specializing in such development, often through jointly developed and owned programmes benefiting both refugees and host populations.", "156. Previous UNHCR efforts to implement durable solutions have been hindered by an absence of competent partners, inadequate and short-term funding, and difficulties in persuading development agencies, at the corporate and country levels, to accept the fact that refugee populations qualify for development assistance and are not exclusively a UNHCR “problem”. However, there are several partner agencies with which UNHCR has worked on protracted situations, including the United Nations Children’s Fund, the World Food Programme and, most frequently, the United Nations Development Programme (UNDP), given its extensive experience in conducting multi-year development programmes and its established presence in many protracted situation locations. While the Board notes instances of joint efforts between UNHCR and UNDP, including joint action plans for protracted situations in the United Republic of Tanzania and Eastern Sudan, and coordinated approaches to donors for support, there is no agreed memorandum of understanding between the agencies setting out the basis on which they would cooperate, nor an agreed mechanism for funding joint work. UNHCR informed the Board that a draft memorandum of understanding was under review and was expected to be completed and signed by the heads of the agencies early in the autumn of 2011.", "157. The predominantly annual funding cycle of UNHCR does not provide it with sufficient assurance that durable solutions, which can require several years to implement, will be fully funded over their full duration. UNDP has proposed establishing a joint global multi-donor trust fund that would pool resources without earmarking for specific countries or activities; one advantage of this would be that annual donations could be spent over more than one financial year. The Board understands that UNHCR is considering the UNDP proposal. Should it prove unacceptable, however, UNHCR will need to review how it might otherwise revise its own financial management arrangements to provide greater flexibility in the deployment of annual donor funding to fit the reality of multi-year integration programmes.", "158. The Board recommends that UNHCR work with UNDP to finalize the memorandum of understanding as soon as possible in order to provide country offices with greater certainty regarding how to identify and move forward with joint working opportunities on durable solutions.", "D. Disclosures by management", "1. Write-off of losses of cash, receivables and property", "159. UNHCR informed the Board that it had formally written off liquid assets of $5.9 million (compared with $1.1 million in 2009). This included unpaid contributions of $5.7 million, value-added tax paid of $105,000 and aged balances with implementing partners of $133,000. As referred to above, the Board’s review of receivables identified a further $5.2 million provided for in 2010, which will be formally written off in 2011. The Board also noted that UNHCR had charged $690,000 to foreign exchange adjustments in 2010 as a result of its holdings in a particular currency that was abandoned as an official currency in April 2009.", "2. Ex gratia payments", "160. UNHCR informed the Board that the High Commissioner had approved two ex gratia payments, totalling $15,249, related to the settlement of a United Nations Dispute Tribunal case and to a previous-year security incident. UNHCR believes that it had a moral obligation to make those payments and that they were in the interest of the organization.", "3. Cases of fraud and presumptive fraud", "161. UNHCR reported two cases of fraud to the Board in 2010, which resulted in total losses of $35,000 from theft of cash and the illegal sale of vehicles. UNHCR has so far recovered $11,000, and in both cases the Inspector General’s investigations are ongoing.[10] UNHCR had not yet assessed whether those cases indicated weaknesses in any of its controls.", "E. Acknowledgement", "162. The Board wishes to express its appreciation for the cooperation and assistance extended to its staff by the High Commissioner, the Deputy and Assistant High Commissioners and the Controller, and members of their staff.", "(Signed) Amyas Morse Comptroller and Auditor-General, United Kingdom of Great Britain and Northern Ireland (Lead Auditor)", "(Signed) Terence Nombembe Auditor-General of South Africa", "(Signed) Liu Jiayi Auditor-General of China Chair of the United Nations Board of Auditors", "12 July 2011", "Annex I", "Analysis of the status of implementation of the Board’s recommendations for the year ended 31 December 2009", "Summary of recommendation Paragraph Financial Fully Partially Not Overtaken reference^(a) period implemented implemented implemented^(b) by events in which first made", "1 Intensify the efforts of the 27 2009 X working groups in charge of preparing for the implementation of IPSAS in order to comply with the target of full implementation in 2012", "2 Ensure that its revised 31 2009 X financial rules, compliant with IPSAS, be adopted in conjunction with the entry into force of IPSAS", "3 Analyse the reasons why 33 2009 X certain working groups have made no progress on preparation for the transition to IPSAS and make specific efforts to improve the low rate of progress", "4 Ensure that the responsible 54 2009 X officials comply strictly with the closing instructions of the Organization; and adjust its internal procedures in order to comply with the audit requirements", "5 Make every effort to expedite 57 2009 X the clearing of unliquidated obligations against accounts payable whenever bills and invoices are available to substantiate the receipt of goods and services", "6 Comply with the provisions 60 2007 X concerning the cancellation of unliquidated obligations and reinforce its mechanisms for controlling the validity of obligations", "7 Set up specific funding for 73 2007 X its accrued end-of-service and post-retirement liabilities", "8 Modify the notes to its 84 2009 X financial statements by including disclosure of the change in the main actuarial assumptions used for the valuation of the after-service health insurance after service health insurance liability, along with the reason for and the effect of this change", "9 Before each structural reform, 89 2009 X establish detailed objectives, indicators and expected impact on management", "10 Prepare comparative statistics 90 2009 X and indicators in order to measure the improvement in the quality of the services delivered by outposted units", "11 Ensure that its practices in 96 2009 X employing and assigning National Professional Officers comply with the criteria of the International Civil Service Commission and the resolutions of the General Assembly", "12 Ensure that bank 100 2009 X reconciliations are exhaustive; and resolve unexplained differences between bank confirmation statements and the general ledger", "13 Continue its efforts to 108 2007 X improve the rate of timely justification of advances granted to implementing partners", "14 Assess the instalments 117 2007 X disbursed to implementing partners that have remained unreported for more than a year; and take appropriate measures to have them reported or recovered from the implementing partners", "15 Continue its efforts to obtain 123 2007 X the audit certificates from implementing partners by 30 April of each year", "16 Continue to make potential 126 2007 X adjustments to prior-year expenditure in the financial statements", "17 Guarantee that all anticipated 130 2009 X audit certificates are included in its database", "18 Update the standard contract 134 2009 X with its implementing partners", "19 Put the monitoring of project 139 2009 X implementation progress indicators on a formal footing and keep a record of the checks", "20 Obtain from its partners their 151 2009 X annual inventories; conduct conformity checks between the non‑expendable property in its AssetTrak database and the non-expendable property in its partners’ inventories during site visits; and conduct checks during the site visits of the inventory of non-expendable property procured with UNHCR funds, as well as of the assets donated by UNHCR", "21 Record non-expendable property 153 2009 X values in a timely and regular manner, as soon as they are recorded in the asset database; take a full physical inventory of its non-expendable property in each field representation so as to match the assets present with the list of assets found in the database; and monitor asset-disposal procedures more rigorously", "22 Disclose in future financial 158 2007 X statements the value of expendable property unused at the end of the year in order to provide a more complete and accurate account of its assets", "23 Continue its efforts to reduce 173 2007 X the number of staff in between assignments and not on temporary duty", "24 In collaboration with OIOS, 184 2009 X take appropriate measures to reduce the number of vacancies for internal auditors", "Total 3 14 7 0", "Percentage 13 58 29 0 share of total", "^(a) See Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 5E (A/65/5/Add.5), chap. II.", "^(b) See annex II.", "Annex II", "An indicative model for durable solution business case presentation", "Option\tResourceimplicationsforUNHCR\tResourceimplicationsfor UnitedNations andotherpartners\tCostsandbenefitsforbeneficiaries\tWidersocial,economicandpoliticalfactors \nBaseoption:typicallythe“statusquo” or“mostlikelyprogramme”withouttheproposedchange\tContinuedcare andmaintenancerequirement,includinganydurablesolutionsworkalreadyprogrammed\tResourcerequirementswithout thechangeinitiative;typically,a reducedrequirementfor otherUnitedNationsentitiesagencies(such asthe WorldFoodProgramme)\tStatusof andrisk tobeneficiarieswithoutthechangeinitiativeproposed\tStatus andriskwithoutthe changeinitiativeproposed\nDurablesolutionproposed\tTypically,areducedresourcecomparedwithbaseover amulti-yearassessmentperiod\tTypically,anadditionalresourcerequirementfordevelopmentagenciessuch asUNDP\tAssessmentof thenetadditionaleffectsonbeneficiarywell-being— a mixofqualitativeandquantitativeassessment\tAssessmentof factorssuch aseffects oninstabilityorconflict —mostlyqualitativedescription,but withsome scopeforquantifiedanalysison, forexample,reducedrisk ofconflict", "Source: United Nations Board of Auditors.", "Note: Projected costs and benefits could be shown over varying horizons, such as three, five or ten years, and at different levels of success.", "Chapter III", "Statement of the responsibilities of the High Commissioner and approval of the financial statements", "The United Nations High Commissioner for Refugees is ultimately responsible for the content and integrity of the financial statements contained in the accounts of the voluntary funds administered by the United Nations High Commissioner for Refugees that are submitted to the Executive Committee of the High Commissioner’s Programme and to the General Assembly of the United Nations.", "To fulfil its responsibility, the Office of the United Nations High Commissioner for Refugees operates within prescribed accounting policies and standards and maintains systems of internal accounting controls and procedures to ensure the reliability of financial information and the safeguarding of assets. The internal control systems and financial records are subject to reviews by the Office of Internal Oversight Services and the United Nations Board of Auditors during their respective audits.", "In this context, the financial statements contained in chapter V, comprising statements I to III, schedules 1 to 3 and the supporting notes, were prepared in accordance with the Financial Rules for Voluntary Funds Administered by the High Commissioner for Refugees (A/AC.96/503/Rev.9) and the United Nations system accounting standards. In management’s opinion, the accompanying financial statements present fairly the financial position of the Office of the High Commissioner as at 31 December 2010, the results of its operations and the cash flows of individual programmes, funds and accounts for the year then ended.", "The Accounts are hereby", "Approved: (Signed) António Guterres United Nations High Commissioner for Refugees", "Certified: (Signed) Karen Madeleine Farkas Controller and Director Division of Financial and Administrative Management", "Geneva 27 June 2011", "Chapter IV", "Financial highlights for the year ended 31 December 2010", "A. Introduction", "1. These financial highlights are complementary to the financial statements of the Office of the United Nations High Commissioner for Refugees for the year 2010. They present an overview of the consolidated results and analysis of the financial statements, highlighting significant trends and changes.", "2. The financial highlights, the audited financial statements and the report of the Board of Auditors, along with the associated report of the Advisory Committee on Administrative and Budgetary Questions, will be submitted to the General Assembly at its sixty-sixth session.", "B. Context", "3. This was the first year in which UNHCR implemented programmes under a new budget structure for results-based management, foreseen in the Financial Rules approved by the Executive Committee (A/AC.96/503/Rev.9). With effect from the 2010-2011 biennium, the revised budget structure uses populations of concern as the planning principle. Hence, this is the first year for which financial information is presented under the new budget structure.", "4. The introduction of a new budget structure for the results-based management framework, along with the introduction of comprehensive operational budgets and plans, has had a dramatic impact on the way in which the organization manages its budgets and implements its programmes. Many new procedures and processes have been put into place. The financial and management systems have been reconfigured, and balances reported in the 2009 financial accounts have been mapped to the new budget structure for 2010 reporting.", "5. Until 2009, programme income and expenditure were classified under the Annual Programme Fund and the Supplementary Programme Fund. From 1 January 2010, with the introduction of the new budget structure and comprehensive budgets, the annual budget comprises the totality of budgetary needs, including supplementary budgets. Supplementary budgets are established for those operations that emerge after the Executive Committee has approved the biennial programme budget, in cases where such operations cannot be funded from the operational reserve.", "6. Under the new budget structure, programmes are classified under four pillars: pillar 1, global refugee programme; pillar 2, global stateless programme; pillar 3, global reintegration projects; and pillar 4, global internally displaced persons projects. Unless otherwise stated, the summary financial information for 2010 presented in these highlights relates to the annual budget, comprising the Annual Programme Fund (pillars 1 and 2), the Reintegration Projects Fund (pillar 3), the Internally Displaced Persons Projects Fund (pillar 4), the United Nations Regular Budget Fund and the Junior Professional Officers Fund.", "C. Financial highlights", "Appropriations, funds available and expenditure", "7. The final 2010 appropriations amounted to $3,288.7 million, against funds available of $2,112.5 million and total expenditure of $1,878.2 million. The carry-over of funds available from 2010 amounted to $234.3 million, compared with $202.4 million at the end of 2009, of which $61.8 million was unearmarked and $172.5 million was earmarked.", "8. Table IV.1 shows a breakdown of the appropriations, funds available and expenditure by pillar, with the United Nations Regular Budget Fund and the Junior Professional Officers Fund included under pillar 1. Funds available include voluntary contributions directly attributed to the pillar, other income, funds carried over from the prior year, adjustments made to prior-year expenditure and contributions, and transfers between funds.", "9. The difference between the final 2010 appropriations and funds available, representing unmet needs of UNHCR populations of concern for 2010, amounted to $1,176.2 million.", "Table IV.1 Appropriations, funds available and expenditure", "(Millions of United States dollars)", "Pillar Pillar 2 Pillar 3 Pillar 4 Total 1^(a)", "Final 2010 appropriations 2 332.7 31.4 182.8 741.8 3 288.7", "Funds available 1 573.4 29.1 90.2 419.8 2 112.5", "Expenditure 1 353.3 29.1 90.2 405.6 1 878.2", "Carry-over 220.1 — — 14.2 234.3", "Percentage expenditure on 58 93 49 55 57 appropriations", "Percentage expenditure on funds 86 100 100 97 89 available", "^(a) Pillar 1 is inclusive of the United Nations Regular Budget Fund, the Junior Professional Officers Fund and the operational and new or additional activities (mandate-related) reserves.", "Contributions", "10. In 2010, voluntary contributions amounted to $1,903.5 million, representing an increase of $141.8 million, or 8 per cent, compared with 2009 contributions of $1,761.7 million and indicative of significant donor support despite the volatile economic situation prevailing throughout the year.", "11. Voluntary contributions of $1,903.5 million represent 58 per cent of the total annual budget, based on comprehensive needs of $3,288.7 million. Table IV.2 shows voluntary contributions compared with final 2010 appropriations and funds available. Earmarked contributions are recorded under the applicable fund/pillar upon receipt. Contributions that are loosely earmarked or unearmarked are initially recorded under pillar 1 and are subsequently transferred to other pillars as needed to cover budgetary requirements. During the year, $184.2 million of such contributions were transferred from the Annual Programme Fund to the other funds; $45.2 million was transferred to pillar 3 (Reintegration Projects Fund) and $139.0 million to pillar 4 (Internally Displaced Persons Projects Fund). Figure IV.1 presents a comparison of the percentage of voluntary contributions and funds available by pillar.", "Table IV.2 Appropriations, voluntary contributions and funds available", "(Millions of United States dollars)", "Pillar 1 Pillar 2 Pillar 3 Pillar 4 Total", "Final 2010 appropriations 2 332.7 31.4 182.8 741.8 3 288.7", "Voluntary contributions 1 610.9 7.8 34.8 250.0 1 903.5", "Carry-over from 2009 146.4 — 11.9 44.1 202.4", "Other income and adjustments 20.4 — 0.5 3.6 24.5", "Transfers to cover 19.4 (0.3) (2.2) (16.9) — administrative costs", "Transfers to cover budgets of (205.8) 21.6 45.2 139.0 — other pillars", "Transfers to other funds (17.9) — — — (17.9)", "Funds available 1 573.4 29.1 90.2 419.8 2 112.5", "Figure IV.1 Comparison of voluntary contributions and funds available by pillar", "Percentage of voluntary Percentage of funds available by contributions by pillar pillar", "Note: Pillar 1 is inclusive of the United Nations Regular Budget Fund, the Junior Professional Officers Fund and the operational and new or additional activities (mandate-related) reserves.", "Expenditure", "12. Expenditure for 2010 amounted to $1,878.2 million, compared with $1,754.5 million in 2009, an increase of $123.7 million, or 7 per cent. Figure IV.2 shows the percentage distribution of 2010 expenditure by goal, and table IV.3 shows the distribution of expenditure across the pillars for each goal.", "13. The global refugee programme (pillar 1) predominated, at 72 per cent of expenditure. The largest share of expenditure was under the goal of refugee protection and mixed solutions, at 37 per cent of the total. UNHCR global management represented 16 per cent of expenditure by goal, mostly under pillar 1. This category includes global programmes (both operational activities and programme support), headquarters and regional offices, and regional support structures as detailed in the 2010-2011 Global Appeal. Also included are global stockpiles. Protection pending solutions represented 12 per cent of overall expenditure, while expenditure under emergency response stood at 6 per cent and included the activities for flood-affected areas in Pakistan and the emergency response to the Kyrgyzstan situation.", "Figure IV.2 Percentage distribution of 2010 expenditure by goal", "[]", "Table IV.3 Distribution of expenditure by pillar and goal (Millions of United States dollars)", "Goal Pillar 1 Pillar 2 Pillar 3 Pillar 4 Total Percentage", "Emergency response 28.2 0.1 — 75.3 103.6 6", "Protection pending solutions 160.2 7.0 — 57.1 224.3 12", "Protection and mixed 520.6 6.5 5.7 169.1 701.9 37 solutions", "Voluntary return 52.1 — 3.7 — 55.8 3", "Reintegration 20.2 — 62.6 6.1 88.9 5", "Local integration 22.7 0.4 2.7 — 25.8 1", "Resettlement 3.5 — — — 3.5 —", "Capacity-building 8.6 0.7 0.7 0.1 10.1 1", "Advocacy for protection and 41.1 11.1 — 0.6 52.8 3 solutions", "Resource mobilization 3.4 — — — 3.4 —", "UNHCR global management 306.2 0.3 — — 306.5 16", "Subtotal 1 166.8 26.1 75.4 308.3 1 576.6 84", "Implementing partner balance 175.4 3.0 14.8 97.3 290.5 15 to report", "Subtotal 1 342.2 29.1 90.2 405.6 1 867.1 99", "Junior Professional Officers 11.1 — — — 11.1 1", "Total 1 353.3 29.1 90.2 405.6 1 878.2 100", "Percentage of total 72 1 5 22 100 expenditure", "Cost trends", "14. In previous years, the proportion of costs relating to management and administration, programme support and programme were presented for the combined Annual Programme Fund and the Supplementary Programme Fund. Comparable trend results are shown in table IV.4 for the combined Annual Programme Fund, Reintegration Projects Fund and Internally Displaced Persons Projects Fund.", "Table IV.4 Trends in costs (Percentage)", "2006 2007 2008 2009 2010", "Management and 5 4 4 4 3 administration", "Programme support 24 22 21 18 15", "Programme 71 74 75 78 82", "15. Programme support costs decreased to 15 per cent in 2010, compared with 18 per cent in 2009, and programme costs increased to 82 per cent in 2010, compared with 78 per cent in 2009. The reduction in the percentages of management and administration and programme support costs and the corresponding increase of approximately 4 per cent in programme costs were due primarily to substantially higher operational implementation and related costs.", "Instalments to implementing partners", "16. In 2010, UNHCR disbursed and committed a total of $676.9 million through instalments to implementing partners, representing 36 per cent of annual budget expenditure. This compares with $598.8 million, or 34 per cent, in 2009. Table IV.3 shows the balance of instalments paid that have not yet been reported, of $290.5 million; upon the receipt of reports from implementing partners, expenditure will be charged to the appropriate goal.", "Unliquidated obligations", "17. The amount of unliquidated obligations increased by $26.6 million in 2010; the percentage of unliquidated obligations compared with expenditure in the funds increased by approximately 1 per cent. At the end of 2010, unliquidated obligations amounted to $172.2 million, or 9.2 per cent of total annual budget expenditure, compared with $145.6 million, or 8.3 per cent, in 2009.", "Cancellation of prior-year obligations", "18. In 2010, the cancellation of prior-year obligations amounted to $14.3 million, representing 9.9 per cent of unliquidated obligations at the end of 2009. The comparable figure for 2009 was $12.1 million, or 10.0 per cent. Management continues to pay close attention to the verification of amounts recorded as unliquidated obligations.", "Cash balances — voluntary funds", "19. At the end of 2010, total cash available to the organization amounted to $437.0 million, compared with $382.6 million in 2009, an increase of $54.4 million.", "Reserves and fund balances — voluntary funds", "20. The reserves and fund balances for the organization at year-end were in net deficit by $72.3 million. The net deficit occurred owing to a deficit of $393.4 million in the Staff Benefits Fund that was only partially offset by the surplus of $36.9 million in the Medical Insurance Plan, the balance in the Working Capital Fund of $50 million and the carry-over from the annual budget funds amounting to $234.3 million, as shown in table IV.1. Efforts are ongoing to establish funding for the unfunded after-service and post-retirement staff benefits.", "D. Working Capital and Guarantee Fund", "21. The Working Capital and Guarantee Fund was established to replenish the Annual Programme Fund and to meet essential payments pending the receipt of contributions pledged or anticipated. The Fund derives its income mainly from interest on invested funds and currency-exchange adjustments. It has an established ceiling of $50 million. In 2010, operational requirements were met without drawing from the Working Capital and Guarantee Fund.", "Interest income", "22. The organization earns interest income primarily from term deposit balances that it maintains throughout the year. In 2010, interest income was $1.1 million, of which $0.9 million was reported in the Working Capital Fund and $0.2 million in the Medical Insurance Plan. Compared with the $2.3 million recorded in 2009, this represents a decrease of $1.2 million, which is due to the impact of central banks worldwide maintaining historic low interest rates during the financial crisis. However, UNHCR achieved interest income results that are above its benchmark (the three-month average United States Treasury Bill rate) as a result of effective liquidity and investment management.", "Currency-exchange adjustments", "23. In 2010, financial markets around the world continued to experience high volatility, and Governments and central banks intervened in the financial markets in unprecedented ways. UNHCR risk management measures were successfully applied to ensure that realized foreign exchange losses were minimized and that cash holdings and investments were safeguarded. Management will continue to closely monitor, and mitigate to the extent possible, the risk of negative exchange impacts that unexpected exchange-rate fluctuations may have on operations.", "24. Figure IV.3 provides a picture of the overall trends in currency-exchange gains and losses for UNHCR.", "Figure IV.3 Trends in currency-exchange gains and losses, 1991-2010 (Millions of United States dollars)", "[]", "25. In 2010, currency-exchange adjustments resulted in a net loss of $17.1 million, compared with a net loss of $1.8 million in 2009. The net loss in 2010 consisted of net realized losses of $2.8 million and net unrealized losses of $14.3 million.", "26. The total net realized losses of $2.8 million comprised net realized losses of $16.4 million from contributions, net realized gains of $10.6 million from treasury foreign exchange operations that were settled during the year, and net realized gains of $3.0 million derived from accounts payable and other sources.", "27. The total net unrealized losses of $14.3 million are attributable mainly to the results of year-end revaluations of open commitments, accounts receivable, accounts payable and cash balances. The United Nations exchange rates in effect at the end of 2009 and 2010, with percentage change, are presented in table IV.5.", "Table IV.5 Changes in exchange rates of major currencies against the United States dollar", "Currency units per 2010 versus United States 2009 dollar\n Currency United Nations United Nations Percentage closing rate, closing rate, change 31 December 2010 31 December 2009 in United States dollar value", "Australian dollar 0.986 1.112 -11.3", "Canadian dollar 1.000 1.038 -3.7", "Danish krone 5.675 5.150 +10.2", "Japanese yen 82.000 91.700 -10.6", "Norwegian kroner 5.956 5.770 +3.2", "Swedish krona 6.852 7.170 -4.4", "Swiss franc 0.951 1.030 -7.7", "United Kingdom 0.648 0.625 +3.7 pound", "Euro 0.761 0.693 +9.8", "28. In 2010, approximately 53 per cent of the organization’s voluntary contributions were denominated in United States dollars, 21 per cent in euros, 6 per cent in Swedish kronor, 4 per cent in Norwegian kroner, 4 per cent in Japanese yen, 3 per cent in Danish kroner, 3 per cent in pounds sterling, 2 per cent in Canadian dollars, 2 per cent in Australian dollars and 1 per cent in Swiss francs, with the remainder in various other currencies.", "E. Other matters", "Central Emergency Response Fund", "29. During 2010, UNHCR did not borrow from the Central Emergency Response Fund, which was created by the General Assembly in 1992 for use by operational organizations in the early stages of emergencies. However, in 2010 UNHCR received contributions, in the form of Central Emergency Response Fund grants, amounting to $25.5 million for pillars 1 and 2, and $22.6 million for pillar 4.", "Study of implementing partner performance management", "30. In February 2010, UNHCR launched a project aimed at improving implementing partner management and oversight. The Division of Financial and Administrative Management assigned a senior staff member to undertake a review of the policies and related processes for implementing partner performance management, including audit certification, in collaboration with other relevant divisions and units of UNHCR.", "31. A comprehensive review and benchmarking of policies, processes and practices related to implementing partner performance management and oversight activities across nine United Nations agencies was undertaken during 2010. This first phase was aimed at identifying gaps and best practices with a view to proposing an improved policy.", "32. The report produced at the end of phase 1 identified issues with current processes and gaps compared with leading practices and included a comparative analysis of the implementing partner management approach of several other United Nations agencies. In addition, several recommendations were made to address identified gaps in current UNHCR implementing partner management performance that had been noted as a result of the benchmarking exercise. The results of phase 1 led to the recognition that effective and efficient implementing partner management and oversight encompassed a variety of elements that extended beyond the audit of implementing partner accounts.", "33. On the basis of the outcome of the review and in-house deliberations, phase 2 of the project was launched to enhance implementing partner performance through the adoption of a new model. The model, a risk-based management approach to implementing partner resource management, seeks to enhance performance and accountability. The decision to adopt such an approach requires the definition of the implementation method and the identification of implications. For this phase, an external perspective, with expertise in the development and implementation of risk-based management models, was required. Ernst and Young, a consulting firm, was engaged to assist in the further elaboration of the concept and the assessment of its implications in terms of organizational structure and resources. The study was completed early in 2011, and the outcome will inform senior management strategic decisions and directions.", "Implementation of the International Public Sector Accounting Standards", "34. In June 2010, UNHCR informed the Standing Committee of its decision to defer the implementation of IPSAS until 2012, in line with a number of other specialized agencies and United Nations organizations (see EC/61/SC/CRP.18).", "35. Continued improvements in the management of the project were made in 2010, and UNHCR management continues to closely monitor implementation progress to ensure that the 2012 financial statements are IPSAS-compliant.", "Chapter V", "Financial statements for the year ended 31 December 2010", "Statement of income and expenditure and changes in reserves and fund balances for the year ended 31 December 2010", "(Thousands of United States dollars)", "Statement I", "[TABLE]", "^(a) Schedule 2 does not include Working Capital and Guarantee, Junior Professional Officers, Staff Benefits or Medical Insurance Plan Funds.", "^(b) Schedule 3 does not include Staff Benefits Fund.", "Statement of assets, liabilities, reserves and fund balances as at 31 December 2010", "(Thousands of United States Dollars)", "Statement II", "[TABLE]", "^(a) Schedule 2 does not include Working Capital and Guarantee, Junior Professional Officers, Staff Benefits or Medical Insurance Plan Funds.", "Statement of cash flows for the year ended 31 December 2010", "(Thousands of United States Dollars)", "Statement III", "Working Annual Reintegration Internally United Junior Staff Medical Total Capital and Programme Projects Displaced Nations Professional Benefits Insurance Guarantee Fund Fund Persons Regular Officers Fund Fund Plan Fund Projects Budget Fund Fund\n 2010 2009", "Cash flows from operating activities", "Net excess (18 066) 239 157 (55 032) (154 226) 5 530 53 321 2 428 73 112 24 962 (shortfall) of income over expenditure (statement 1)", "(Increase) decrease 18 404 (2 192) (25 079) (1 398) (10 (6 in contributions 265) 870) receivable", "(Increase) decrease 7 082 (66) 7 016 514 in other accounts receivable", "(Increase) decrease 4 421 425 403 in other assets", "(Increase) decrease (4 in land and 142) buildings", "Increase (decrease) 8 920 8 920 (16 in contributions 333) received in advance", "Increase (decrease) (25 860) 10 891 41 578 5 26 614 25 158 in unliquidated obligations", "Increase (decrease) (11 290) (11 71 635 in accounts payable 290)", "Increase (decrease) (54 686) (54 in end-of-service 686) and post-retirement liability", "Less: interest (910) (177) (1 (2 income 087) 295)", "Currency-exchange 2 748 2 748 1 779 adjustments^(a)", "Net cash from (16 224) 236 834 (46 333) (137 793) 4 137 (1 365) 2 251 41 507 94 811 operating activities", "Cash flows from investing and financing activities", "Interest income 910 177 1 087 2 295", "Currency-exchange (2 748) (2 (1 adjustments^(a) 748) 779)", "Net cash from (1 838) 177 (1 516 investing and 661) financing", "Cash flows from other sources^(b)", "Cancellation of 11 968 116 2 264 1 272 14 621 13 223 prior-year obligations", "Transfer (to) from 18 066 (181 711) 43 045 122 081 (1 333) (148) other funds", "Adjustments for (72 prior-period 204) end-of-service liabilities", "Adjustment for 4 142 first-time recognition of land and building", "Net cash from other 18 066 (169 743) 43 161 124 345 (1 332) 124 14 621 (54 sources 839)", "Net increase 4 67 091 (3 172) (13 448) 2 805 (1 241) 2 428 54 467 40 488 (decrease) in cash and term deposits", "Cash and term 49 974 199 739 14 544 75 591 6 815 1 519 34 433 382 342 deposits at 615 127 beginning of year", "Cash and term 49 978 266 830 11 372 62 143 9 620 278 36 861 437 382 deposits at end of 082 615 year", "^(a) Represents realized currency-exchange adjustments, whereas currency-exchange adjustments in statement I (17,052) comprise both realized (2,748) and unrealized (14,304) currency-exchange adjustments.", "^(b) The statement of cash flows is presented in accordance with the United Nations system accounting standards. Cash flows from other sources contain non‑cash items that are required to reconcile the net excess (shortfall) of income over expenditure to arrive at cash and term deposits balances at the end of the year.", "Contributions by donor by fund for the year ended 31 December 2010", "(Thousands of United States dollars)", "Schedule 1", "Annual Reintegration Internally United Junior Total Programme Projects Fund Displaced Nations Professional Fund Persons Regular Officers Fund Projects Budget Fund Fund\n Cash In-kind Total Cash In-kind Total Cash In-kind Total Cash Cash Cash In-kind Total", "Voluntary contributions", "Governmental donors", "Algeria 100 - 100 - - - - - - - - 100 - 100", "Andorra 66 - 66 - - - 9 - 9 - - 75 - 75", "Argentina 39 - 39 - - - - - - - - 39 - 39", "Australia 37 435 - 37 435 270 - 270 7 330 - 7 330 - 69 45 104 - 45 104", "Austria 3 272 - 3 272 - - - - - - - - 3 272 - 3 272", "Azerbaijan 20 - 20 - - - - - - - - 20 - 20", "Bahrain 10 - 10 - - - - - - - - 10 - 10", "Belgium 17 831 - 17 831 1 233 - 1 233 2 898 - 2 898 - - 21 962 - 21 962", "Brazil 1 600 - 1 600 - - - 1 900 - 1 900 - - 3 500 - 3 500", "Canada 42 499 - 42 499 - - - 3 491 - 3 491 - 530 46 520 - 46 520", "Chile 100 - 100 - - - - - - - - 100 - 100", "China 250 - 250 - - - - - - - - 250 - 250", "Colombia 25 - 25 - - - - - - - - 25 - 25", "Costa Rica 18 - 18 - - - - - - - - 18 - 18", "Cyprus 82 - 82 - - - - - - - - 82 - 82", "Czech Republic 165 - 165 - - - - - - - - 165 - 165", "Denmark 46 667 - 46 667 5 721 - 5 721 3 467 - 3 467 - 913 56 768 - 56 768", "Egypt 25 - 25 - - - - - - - - 25 - 25", "Estonia 155 - 155 - - - - - - - - 155 - 155", "Finland 26 697 - 26 697 - - - 289 - 289 - 561 27 547 - 27 547", "France 16 667 - 16 667 540 - 540 2 362 - 2 362 - 487 20 056 - 20 056", "Germany 35 916 5 143 41 059 1 271 135 1 406 5 971 244 6 215 - 1 061 44 219 5 522 49 741", "Greece 551 - 551 - - - - - - - - 551 - 551", "Hungary 174 1 663 1 837 - - - - - - - - 174 - 1 837", "Iceland 100 - 100 - - - - - - - - 100 - 100", "Ireland 7 738 - 7 738 - - - - - - - - 7 738 - 7 738", "Israel 60 - 60 - - - - - - - - 60 - 60", "Italy 9 078 - 9 078 - - - 1 666 - 1 666 - 733 11 477 - 11 477", "Japan 115 530 - 115 530 11 818 - 11 818 15 215 - 15 215 - 931 143 - 143 494 494", "Kuwait 1 052 - 1 052 - - - - - - - - 1 052 - 1 052", "Liechtenstein 291 - 291 - - - - - - - 141 432 - 432", "Luxembourg 10 462 - 10 462 - - - 448 - 448 - 226 11 136 - 11 136", "Malta 20 - 20 - - - - - - - - 20 - 20", "Mexico 75 - 75 - - - - - - - - 75 - 75", "Monaco 195 - 195 - - - - - - - - 195 - 195", "Montenegro 6 - 6 - - - - - - - - 6 - 6", "Morocco 1 000 - 1 000 - - - - - - - - 1 000 - 1 000", "Netherlands 69 457 - 69 457 - - - 1 778 - 1 778 - 2 844 74 079 - 74 079", "New Zealand 4 428 - 4 428 - - - - - - - - 4 428 - 4 428", "Norway 69 091 127 69 218 468 - 468 10 603 - 10 603 - 686 80 848 127 80 975", "Oman 100 - 100 - - - - - - - - 100 - 100", "Portugal 1 639 - 1 639 - - - - - - - - 1 639 - 1 639", "Qatar 50 - 50 - - - - - - - - 50 - 50", "Republic of Korea 3 000 - 3 000 - - - - - - - - 3 000 - 3 000", "Russian Federation 1 800 - 1 800 - - - 200 - 200 - - 2 000 - 2 000", "Saudi Arabia 1 450 - 1 450 - - - 18 786 - 18 786 - - 20 236 - 20 236", "Singapore 10 - 10 - - - - - - - - 10 - 10", "Slovakia 14 - 14 - - - - - - - - 14 - 14", "Slovenia 121 - 121 - - - - - - - - 121 - 121", "South Africa 179 - 179 - - - - - - - - 179 - 179", "Spain 25 109 - 25 109 2 074 - 2 074 8 967 - 8 967 - 3 020 39 170 - 39 170", "Sweden 104 716 - 104 716 - - - 6 420 - 6 420 - 800 111 - 111 936 936", "Switzerland 19 543 1 191 20 734 - - - 4 460 - 4 460 - 327 24 330 1 191 25 521", "Thailand 20 - 20 - - - - - - - - 20 - 20", "Turkey 200 - 200 - - - - - - - - 200 - 200", "United Arab 346 - 346 - - - 3 919 - 3 919 - - 4 265 - 4 265 Emirates", "United Kingdom 47 278 - 47 278 - - - 9 724 - 9 724 - - 57 002 - 57 002", "United States 645 610 - 645 610 - - - 63 152 105 63 257 - 3 350 712 105 712 217 112", "Uruguay 5 - 5 - - - - - - - - 5 - 5", "Governmental donors 1 370 137 8 124 1 378 23 395 135 23 530 173 349 173 404 - 16 679 1 583 8 608 1 591 261 055 266 874", "European Commission 65 343 - 65 343 9 670 - 9 670 43 203 - 43 203 - - 118 - 118 216 216", "Intergovernmental donors", "International 194 - 194 - - - - - - - - 194 - 194 Organization for Migration", "African Union 550 - 550 - - - 100 - 100 - - 650 - 650", "Arab Gulf Programme 50 - 50 - - - - - - - - 50 - 50 for United Nations Development Organization", "Intergovernmental 659 - 659 - - - - - - - - 659 - 659 Authority on Development", "Great Lakes 483 - 483 - - - - - - - - 483 - 483 Initiative on HIV/AIDS", "Council of Europe/ - - - - - - 30 - 30 - - 30 - 30 Development Bank", "OPEC Fund for 1 000 - 1 000 - - - - - - - - 1 000 - 1 000 International Development", "Economic Community 4 105 - 4 105 - - - - - - - - 4 105 - 4 105 of West African States", "Intergovernmental 7 041 - 7 041 - - - 130 - 130 - - 7 171 - 7 171 donors", "United Nations-pooled funding mechanism", "Stabilization and - - - - - - 760 - 760 - - 760 - 760 Recovery Funding Facility", "United Nations - - - - - - - - - 39 641 - 39 641 - 39 641", "Central Fund for 1 235 - 1 235 - - - - - - - - 1 235 - 1 235 Influenza Action", "United Nations 221 - 221 - - - - - - - - 221 - 221 Population Fund", "Pooled Fund for the 918 - 918 - - - 911 - 911 - - 1 829 - 1 829 Democratic Republic of the Congo", "Common Humanitarian 6 598 - 6 598 500 - 500 3 081 - 3 081 - - 10 179 - 10 179 Fund for Sudan", "Common Humanitarian - - - - - - 250 - 250 - - 250 - 250 Fund for the Central African Republic", "Central Emergency 25 480 - 25 480 - - - 22 626 - 22 626 - - 48 106 - 48 106 Response Fund", "Joint United 4 250 - 4 250 - - - - - - - - 4 250 - 4 250 Nations Programme on HIV/AIDS", "United Nations 171 - 171 541 - 541 112 - 112 - - 824 - 824 Development Group Iraq Trust Fund", "United Nations 1 969 - 1 969 - - - - - - - - 1 969 - 1 969 Development Programme", "United Nations 1 184 - 1 184 74 - 74 694 - 694 - - 1 952 - 1 952 Trust Fund for Human Security", "Peacebuilding Fund 1 597 - 1 597 - - - 273 - 273 - - 1 870 - 1 870", "One United Nations 2 170 - 2 170 - - - - - - - - 2 170 - 2 170 Initiative", "Millennium 228 - 228 243 - 243 1 192 - 1 192 - - 1 663 - 1 663 Development Goals", "World Food - - - 105 - 105 35 - 35 - - 140 - 140 Programme", "United Nations High - - - - - - 400 - 400 - - 400 - 400 Commissioner for Human Rights", "United 46 021 - 46 021 1 463 - 1 463 30 334 - 30 334 39 641 - 117 - 117 459 Nations-pooled 459 funding mechanism", "Private donors", "Argentina 1 - 1 - - - - - - - - 1 - 1", "Angola 307 - 307 - - - - - - - - 307 - 307", "Azerbaijan - - - - - - 50 - 50 - - 50 - 50", "Austria 1 - 1 - - - - - - - - 1 - 1", "Australia 7 228 - 7 228 - - - 210 - 210 - - 7 438 - 7 438", "Belgium 7 - 7 - - - - - - - - 7 - 7", "Brazil - - - - - - - - - - - - - -", "Canada 1 817 - 1 817 - - - 6 - 6 - - 1 823 - 1 823", "China 2 360 - 2 360 - - - 315 - 315 - - 2 675 - 2 675", "Colombia 3 - 3 - - - 10 - 10 - - 13 - 13", "Congo - - - - - - - - - - - - - -", "Cyprus 1 - 1 - - - - - - - - 1 - 1", "Czech Republic - - - - - - - - - - - - - -", "Denmark - 477 477 - - - - - - - - - 477 477", "Finland - - - - - - - - - - - - - -", "France 2 184 186 - - - - - - - - 2 184 186", "Germany 2 807 - 2 807 - - - 410 - 410 - - 3 217 - 3 217", "Greece 300 - 300 - - - - - - - - 300 - 300", "Italy 8 548 - 8 548 - - - 247 - 247 - - 8 795 - 8 795", "Japan 7 850 558 8 408 - - - 215 - 215 - - 8 065 558 8 623", "Jordan 2 - 2 - - - - - - - - 2 - 2", "Korea 518 - 518 - - - 11 - 11 - - 529 - 529", "Sri Lanka 0 - - - - - - - - - - - - -", "Lebanon 7 - 7 - - - - - - - - 7 - 7", "Luxembourg 50 - 50 - - - - - - - - 50 - 50", "Malaysia - - - - - - - - - - - - - -", "Mexico - - - - - - - - - - - - - -", "Monaco 58 - 58 - - - - - - - - 58 - 58", "Netherlands 2 539 1 701 4 240 106 - 106 169 - 169 - - 2 814 1 701 4 515", "Nepal 1 - 1 - - - - - - - - 1 - 1", "Pakistan 15 - 15 - - - - - - - - 15 - 15", "Portugal 364 1 099 1 463 - - - - - - - - 364 1 099 1 463", "Saudi Arabia 1 - 1 - - - - - - - - 1 - 1", "Serbia 72 - 72 - - - 256 - 256 - - 328 - 328", "Spain 9 812 - 9 812 - - - 356 - 356 - - 10 168 - 10 168", "Sweden 734 - 734 - - - 411 - 411 - - 1 145 - 1 145", "Switzerland 842 5 439 6 281 - - - 9 - 9 - - 851 5 439 6 290", "Syria 18 - 18 - - - - - - - - 18 - 18", "Thailand 2 324 - 2 324 - - - - - - - - 2 324 - 2 324", "Turkey 9 - 9 - - - - - - - - 9 - 9", "Ukraine 1 - 1 - - - - - - - - 1 - 1", "United Arab 300 - 300 - - - - - - - - 300 - 300 Emirates", "United Kingdom 502 46 548 - - - 14 - 14 - - 516 46 562", "United Republic of - - - - - - - - - - - - - - Tanzania", "United States 5 469 1 339 6 808 - - - 245 - 245 - - 5 714 1 339 7 053", "Private donors 54 870 10 843 65 713 106 - 106 2 934 - 2 934 - - 57 910 10 843 68 753", "Total contributions 1 543 412 18 967 1 562 34 634 135 34 769 249 349 250 005 39 641 16 679 1 884 19 451 1 903 379 656 022 473", "Funds available for all funds as at 31 December 2010", "(Thousands of United States dollars)", "Schedule 2", "Expenditure\n Annual Programme Funds Disbursements/ Unliquidated Total Balance Fund available deliveries obligations", "Field operations", "Africa", "Africa overall 491 - - - 491", "West Africa 46 162 43 862 2 221 46 083 79", "East and Horn of 233 584 214 948 18 634 233 582 2 Africa", "Central Africa and 232 357 217 719 14 638 232 357 0 Great Lakes", "Southern Africa 40 660 39 366 1 294 40 660 0", "Africa 553 254 515 895 36 787 552 682 572", "Middle East and North Africa", "North Africa 25 987 23 931 2 056 25 987 0", "Middle East 229 441 183 493 9 954 193 447 35 994", "Middle East and 255 428 207 424 12 010 219 434 35 994 North Africa", "Asia and the Pacific", "Asia and Pacific 10 - - - 10 overall", "South Asia 21 880 20 303 (1 452) 18 851 3 029", "South-East Asia 42 086 41 142 943 42 085 1", "East Asia and the 11 577 11 400 178 11 578 (1) Pacific", "South-West Asia 185 911 105 482 (15 948) 89 534 96 377", "Central Asia 9 661 9 231 180 9 411 250", "Asia and the Pacific 271 125 187 558 (16 099) 171 459 99 666", "Europe", "Eastern Europe 31 669 32 026 (357) 31 669 0", "Central Europe 7 545 7 478 68 7 546 (1)", "Northern, Western, 26 110 24 923 1 188 26 111 (1) Southern Europe", "South-Eastern Europe 20 171 19 811 360 20 171 -", "Europe 85 495 84 238 1 259 85 497 (2)", "Americas", "Latin America 30 525 29 888 637 30 525 -", "North America and 6 050 5 743 307 6 050 - the Caribbean", "Americas 36 575 35 631 944 36 575 -", "Field operations 1 201 877 1 030 746 34 901 1 065 647 136 230", "Global programmes 134 103 92 773 41 330 134 103 0", "Headquarters 131 917 122 511 9 408 131 919 (2)", "Overall 72 733 - - - 72 733", "Total Annual 1 540 630 1 246 030 85 639 1 331 669 208 961 Programme Fund", "Expenditure\n Reintegration Funds Disbursements/ Unliquidated Total Balance Projects Fund available deliveries obligations", "Field operations", "Africa", "West Africa 1 839 1 829 10 1 839 -", "East and Horn of 15 988 10 626 5 362 15 988 - Africa", "Central Africa and 11 457 10 980 477 11 457 - Great Lakes", "Southern Africa 1 886 1 882 4 1 886 -", "Africa 31 170 25 317 5 853 31 170 -", "Middle East and North Africa", "Middle East 22 817 16 449 6 368 22 817 -", "Middle East and North 22 817 16 449 6 368 22 817 - Africa", "Asia and the Pacific", "South Asia 540 540 0 540 -", "South-East Asia 228 228 0 228 -", "South-West Asia 27 639 26 331 1 308 27 639 -", "Asia and the Pacific 28 407 27 099 1 308 28 407 -", "Europe", "Eastern Europe 1 559 1 550 9 1 559 -", "South-Eastern Europe 6 211 6 185 26 6 211 -", "Europe 7 770 7 735 35 7 770 -", "Field operations 90 164 76 600 13 564 90 164 -", "Total Reintegration 90 164 76 600 13 564 90 164 0 Projects Fund", "Expenditure\n Internally Displaced Funds Disbursements/ Unliquidated Total Balance Persons Projects Fund available deliveries obligations", "Field operations", "Africa", "West Africa 4 207 3 789 418 4 207 -", "East and Horn of 52 202 47 109 2 271 49 380 2 822 Africa", "Central Africa and 35 782 31 352 4 425 35 777 5 Great Lakes", "Southern Africa 2 125 2 124 1 2 125 -", "Africa 94 316 84 374 7 115 91 489 2 827", "Middle East and North Africa", "Middle East 76 100 65 575 10 525 76 100 -", "Middle East and North 76 100 65 575 10 525 76 100 - Africa", "Asia and the Pacific", "South Asia 24 844 18 932 5 912 24 844 -", "South-East Asia 3 733 3 716 17 3 733 -", "South-West Asia 133 512 86 703 46 809 133 512 -", "Central Asia 22 205 17 415 510 17 925 4 280", "Asia and the Pacific 184 294 126 766 53 248 180 014 4 280", "Europe", "Eastern Europe 21 442 15 207 1 330 16 537 4 905", "South-Eastern Europe 15 045 14 873 172 15 045 -", "Europe 36 487 30 080 1 502 31 582 4 905", "Americas", "Latin America 22 226 21 809 417 22 226 -", "North America and the 6 415 3 946 231 4 177 2 238 Caribbean", "Americas 28 641 25 755 648 26 403 2 238", "Field operations 419 838 332 550 73 038 405 588 14 250", "Total Internally 419 838 332 550 73 038 405 588 14 250 Displaced Persons Projects Fund", "Expenditure\n United Nations Funds Disbursements/ Unliquidated Total Balance Regular Budget Fund available deliveries obligations", "Headquarters 39 641 39 641 0 39 641 0", "Total United Nations 39 641 39 641 0 39 641 776 Regular Budget Fund", "Status of obligations — prior years, as at 31 December 2010", "(Thousands of United States dollars)", "Schedule 3", "Annual Programme Unliquidated Payments Cancellations Remaining Fund obligations during 2010 during 2010 unliquidated 1 January obligations 2010^(a) relating to prior years still outstanding at 31 December 2010", "Field operations", "Africa", "West Africa 1 814 1 605 209 -", "East and Horn of 21 516 19 562 1 954 - Africa", "Central Africa and 18 363 15 170 3 193 - Great Lakes", "Southern Africa 1 305 1 260 45 -", "Africa 42 998 37 597 5 401 -", "Middle East and North Africa", "North Africa 3 844 3 784 60 -", "Middle East 21 265 19 729 1 536 -", "Middle East and 25 109 23 513 1 596 - North Africa", "Asia and the Pacific", "South Asia 1 448 1 325 123 -", "South-East Asia 2 074 2 020 54 -", "East Asia and the 269 248 21 - Pacific", "South-West Asia 7 166 6 461 705 -", "Central Asia 52 51 1 -", "Asia and the 11 009 10 105 904 - Pacific", "Europe", "Eastern Europe 925 891 34 -", "Central Europe 20 18 2 -", "Northern, Western, 252 216 36 - Southern Europe", "South-Eastern 303 200 103 - Europe", "Europe 1 500 1 325 175 -", "Americas", "Latin America 214 204 10 -", "North America and 1 0 1 - the Caribbean", "Americas 215 204 11 -", "Field operations 80 831 72 744 8 087 -", "Global programmes 18 566 17 178 1 388 -", "Headquarters 12 078 9 328 2 478 272", "Overall 24 9 15 -", "Total Annual 111 499 99 259 11 968 272 Programme Fund", "Reintegration Unliquidated Payments Cancellations Remaining Projects Fund obligations during 2010 during 2010 unliquidated 1 January obligations 2010^(a) relating to prior years still outstanding at 31 December 2010", "Field operations", "Africa 2 673 2 557 116 -", "Total Reintegration 2 673 2 557 116 - Projects Fund", "Internally Displaced Unliquidated Payments Cancellations Remaining Persons Projects obligations during 2010 during 2010 unliquidated Fund 1 January obligations 2010^(a) relating to prior years still outstanding at 31 December 2010", "Field operations", "Africa 2 792 2 615 177 -", "Middle East and 1 398 1 324 74 - North Africa", "Asia and the Pacific 26 066 24 055 2 011 -", "Europe 1 191 1 191 - -", "Americas 13 11 2 -", "Total Internally 31 460 29 196 2 264 - Displaced Persons Projects Fund", "Junior Professional Unliquidated Payments Cancellations Remaining Officers Fund obligations during 2010 during 2010 unliquidated 1 January obligations 2010^(a) relating to prior years still outstanding at 31 December 2010", "Field operations", "Africa 4 3 1 -", "Europe 4 4 - -", "Total Junior 8 7 1 - Professional Officers Fund", "Total 145 640 131 019 14 349 272", "^(a) See note 3.", "Appendix", "Statement of the objectives and activities of the Office of the United Nations High Commissioner for Refugees", "The basic mandate of the High Commissioner is found in the statute of the Office of the United Nations High Commissioner for Refugees (UNHCR) (General Assembly resolution 428 (V)). According to the statute, the High Commissioner, acting under the authority of the General Assembly, shall assume the function of providing international protection, under the auspices of the United Nations, to refugees who fall within the scope of the statute and of seeking permanent solutions for the problems of refugees.", "The General Assembly has also called upon the High Commissioner to provide assistance to returnees, as well as to monitor their safety and well-being on return (Assembly resolution 40/118). In addition, on the basis of specific requests from the Secretary-General or the competent principal organs of the United Nations, and with the consent of the State concerned, UNHCR provides humanitarian assistance and protection to internally displaced persons (Assembly resolution 48/116). As regards UNHCR assistance activities, the basic provisions of the statute were expanded by the Assembly in its resolution 832 (IX).", "Notes to the financial statements", "Note 1 Office of the United Nations High Commissioner for Refugees and its activities", "The Office of the United Nations High Commissioner for Refugees (UNHCR) was established by the General Assembly in its resolution 319 A (IV) of 3 December 1949. Its statute was approved by the Assembly in resolution 428 (V) of 14 December 1950.", "The overall objectives of UNHCR are to provide international protection to refugees and to seek durable solutions to refugee problems. UNHCR seeks to safeguard the fundamental principles of asylum and non-refoulement and to ensure that the basic rights of refugees are respected and that they are treated in a dignified and humane manner. UNHCR has also developed, at the request of the General Assembly and the Governments concerned, substantial material assistance programmes to meet refugee needs. Subsequent resolutions of the Assembly, the Economic and Social Council and the Executive Committee of UNHCR have called on the Office, in the context of its basic mandate, to assist other groups of persons regarded as falling within the concern of the High Commissioner. In complex humanitarian emergencies, UNHCR also contributes to the provision of humanitarian assistance.", "The High Commissioner reports annually to the General Assembly through the Economic and Social Council. The Executive Committee of the High Commissioner’s Programme was established pursuant to General Assembly resolution 1166 (XII) of 26 November 1957 to advise the High Commissioner in the exercise of his or her functions and to approve the use of voluntary funds made available to the High Commissioner. The annual cycle of meetings of the Executive Committee consists of one plenary session and a number of intersessional meetings of the Standing Committee of the Whole. In 2010, the Executive Committee consisted of 79 member countries. Each year, the report on the session of the Executive Committee is submitted to the General Assembly as an addendum to the annual report of the High Commissioner.", "UNHCR has its headquarters in Geneva. It has a presence in 125 countries, where its core work is managed from a series of regional offices, branch offices, sub-offices and field offices, in the following five regions: Africa, the Americas, Asia and the Pacific, Europe, and the Middle East and North Africa. Global programmes are run from headquarters by the Department of Operations and various divisions.", "Note 2 Summary of significant accounting policies", "The wording of the accounting policies has been amended since the previous year to better reflect UNHCR accounting practices. These modified accounting policies have no impact on prior-year comparatives, as UNHCR accounting practice remains consistent with that of previous periods.", "(a) Basis of presentation", "The accounts of the voluntary funds are maintained in accordance with the Financial Rules for Voluntary Funds Administered by the High Commissioner (A/AC.96/503/Rev.9), approved by the Executive Committee at an extraordinary meeting held on 8 December 2009. The financial statements and schedules also conform to the United Nations system accounting standards (A/48/530, annex), as noted by the General Assembly in its resolution 48/216 C and as subsequently revised.", "The financial year for the voluntary funds administered by the High Commissioner is from 1 January to 31 December.", "(b) Fund grouping", "The accounts of UNHCR are maintained on a “fund accounting” basis. Separate funds for general and special purposes are established in accordance with the Financial Rules.", "Each fund is maintained as a distinct financial and accounting entity with separate self-balancing double-entry groups of accounts. Separate financial statements are prepared for each fund or group of funds of the same nature.", "Transfers within the same fund or allocations between different funds can be authorized by the High Commissioner, in accordance with the Financial Rules.", "Funds reported in the accounts are the following:", "(i) The Working Capital and Guarantee Fund, which has an established ceiling of $50 million approved by the Executive Committee and is maintained by income from interest on invested funds and savings from prior-year programmes. The Fund is utilized to replenish the Annual Programme Fund and to meet essential payments and guarantee obligations, pending the receipt of contributions pledged;", "(ii) The Annual Programme Fund, which covers the financial requirements approved biennially by the Executive Committee for programmed activities relating to pillar 1, global refugee programme, and pillar 2, global stateless programme. It also includes operational reserves from which the High Commissioner may make allocations to other parts of the annual budget, including supplementary budgets;", "(iii) The Reintegration Projects Fund, which covers the financial requirements approved biennially by the Executive Committee for programmed activities relating to pillar 3, reintegration projects;", "(iv) The Internally Displaced Persons Projects Fund, which covers the financial requirements approved biennially by the Executive Committee for programmed activities relating to pillar 4, internally displaced persons projects;", "(v) The United Nations Regular Budget Fund, which covers staff and other management and administration costs, in accordance with the statute of the Office (General Assembly resolution 428 (V), annex, para. 20);", "(vi) The Junior Professional Officers Fund, which covers financial activities allocated exclusively for the recruitment, training and development of young professionals sponsored by various Governments;", "(vii) The Staff Benefits Fund, which covers financial activities related to end-of-service accrued benefit liabilities in respect of after-service health insurance, accrued annual leave and repatriation entitlements, as well as provisions and expenditure arising from the voluntary separation programmes implemented in 2007 and 2008;", "(viii) The Medical Insurance Plan, which was established by the General Assembly at its forty-first session in accordance with United Nations staff regulation 6.2. The objective of the fund is to assist subscribers and eligible family members in meeting expenses incurred for certain health services, facilities and supplies as a result of sickness, accident or maternity. The Plan is maintained through premiums from field staff and proportional contributions from UNHCR, as well as through interest income. Payments are based on claims processed during the year to cover field staff medical costs. Coverage under the Plan is limited to locally recruited General Service staff members and National Professional Officers in the field. All other staff members are covered by the insurance scheme of the United Nations Office at Geneva (United Nations Staff Mutual Insurance Society), whose operations are reflected in the United Nations financial statements.", "(c) Use of estimates", "The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Actual results could differ from those estimates. Estimates are used in the context of expenditure recognition, in particular, but not exclusively, at the end of the financial period to determine the amounts to be retained in respect of unliquidated obligations and liabilities related to after-service health insurance, repatriation grant, travel and shipment costs, and accrued annual leave.", "(d) Voluntary contributions and pledges", "Pledges from Governments and international and other United Nations organizations that are formally accepted by UNHCR are recognized as income for the period to which they relate, in accordance with paragraph 34 of the United Nations system accounting standards. Cash received in advance corresponding to pledges for future years is recorded as “contribution received in advance” at the date of the receipt of cash.", "Contributions from individual private donors are recorded upon the receipt of cash.", "Contributions in kind are classified as either budgetary or extrabudgetary. Budgetary contributions in kind replace commodities that have been budgeted for and that would have been purchased by UNHCR or one of its implementing partners in the normal execution of the programme. Budgetary contributions in kind are recorded in the accounts, at fair market value, when the goods or services are received. Extrabudgetary in kind contributions are those for which UNHCR has not made a budgetary provision. These are offers of additional materials or services considered by UNHCR to be complementary to programmed activities and in line with the mandate of the Office. Extrabudgetary contributions in kind are not recorded in the accounts but are listed in a separate note to the financial statements (note 22), in accordance with the technical guidelines for voluntary contributions of supplies and services (see A/44/624, annex I).", "Cash received against pledges is recorded at the United States dollar equivalent, calculated using the United Nations operational rate of exchange prevailing on the date of receipt, as explained in note 2 (f).", "Pledges due but not received are written off after five years unless the donor has reconfirmed the commitment in writing not more than 18 months before the end of the accounting period, or has confirmed in writing during the financial year that payments against pledges due will no longer be made to the organization.", "(e) Interest income", "Interest income includes all interest from various bank accounts and income earned on invested funds. Financial rule 9.3 specifies the conditions for the recording of investment income, providing, inter alia, that income from investments shall be credited to the Annual Programme Fund, unless required to maintain the Working Capital and Guarantee Fund. Interest earned on funds under the Medical Insurance Plan is credited to the Plan.", "(f) Currency-exchange adjustments", "The accounts are presented in United States dollars. Transactions are carried out in a number of currencies and are translated into United States dollars using the United Nations operational rates of exchange, as established by the United Nations Controller, in effect at the date of the transaction. At the balance sheet date, the balance of the accounts receivable, accounts payable, cash and cash equivalents and obligations are revalued using the United Nations official exchange rate as at 31 December.", "Currency-exchange adjustments include realized exchange losses and gains on transactions resulting from differences between prevailing market rates and the United Nations operational rate of exchange, and unrealized losses and gains from the revaluation of year-end asset and liability balances based on the United Nations operational rate of exchange. All such realized and unrealized gains and losses are accounted for under the Working Capital and Guarantee Fund.", "(g) Miscellaneous income", "Miscellaneous income includes proceeds from the sale of used or surplus non‑expendable property and UNHCR-provided staff accommodations.", "(h) Expenditure", "Expenditure reflects the amounts obligated according to article 8 of the Financial Rules.[11] Expenditures include operational expenses, staff costs and administrative expenses. The High Commissioner may incur obligations for the implementation of programmes to the extent that moneys and governmental pledges are available in the appropriate fund or account. Whenever possible and appropriate, the implementation of projects is entrusted to implementing partners, e.g., governmental, intergovernmental or non-governmental bodies, private firms or individual experts, in accordance with the terms of an agreement or a formal exchange of letters. Instalments paid or due to implementing partners are charged to expenditures. Should an implementing partner reimburse moneys not used, the refund is recorded to expenditure if received in the current year or as an adjustment to prior-year expenditure if received in a subsequent year. Implementing partners may effect payments towards commitments made during the project duration up to the liquidation date, i.e., one month after the end date of the agreement, unless an extension is authorized. Projects are implemented in accordance with the terms of a letter of instruction to the responsible officer or organizational unit of UNHCR.", "(i) Adjustments to prior-year contributions", "Refunds to donors for contributions received in prior years, as well as reclassifications of contributions recorded in previous years, are recorded as adjustments to prior-year contributions.", "(j) Adjustments to prior-year expenditure", "Adjustments to prior-year expenditure comprise refunds of unused cash balances received from implementing partners, write-offs and any other adjustments to expenditure already charged to prior years.", "(k) Cancellation of prior-year obligations", "Cancellation of prior-year obligations relate to unliquidated obligations that were accrued in previous periods and are no longer required by the organization.", "(l) Deferred charges", "Deferred charges comprise advance payments related to rent and advance payments related to staff expenditure items that are not properly chargeable in the current financial period and will be charged as expenditure in subsequent financial periods. These charges are reported under “Other assets”.", "(m) Ex gratia payments", "The granting of ex gratia payments is governed by financial rule 10.5. Ex gratia payments are approved by the Controller up to an amount not exceeding $5,000, when such payments are considered desirable in the interest of the organization. Payments over $5,000 require the personal approval of the High Commissioner. A statement of ex gratia payments, if any, is submitted to the Board of Auditors with the annual accounts.", "(n) Write-offs", "Write-offs due to loss of cash or of the book value of accounts receivable, including the conversion of loans into grants, is governed by financial rule 10.6. Write-offs are recorded as expenditure. The write-off of losses of UNHCR property is governed by financial rules 10.6 and 10.7, which provide that the Controller may authorize such, for amounts up to $10,000, after a full investigation of each case. Amounts over $10,000 require the approval of the High Commissioner. A statement of all amounts written off is submitted to the Board of Auditors with the annual accounts.", "(o) Unliquidated obligations", "Unliquidated obligations are amounts of purchase orders placed, contracts or services awarded or instalments due to implementing partners for which goods or services that had not yet been received by UNHCR at the end of a financial period, involve a charge against the resources of the current financial period, and will require payment during a subsequent financial period. Such unliquidated obligations at the end of the financial period shall be maintained and shown as a liability in the accounts. An unliquidated obligation that is no longer in a future financial period will be cancelled.", "(p) Expendable property", "Expendable property comprises goods purchased by UNHCR and consumed in the course of either the conduct of its normal activities or the distribution of relief materials to beneficiaries. Inventories for UNHCR are materials or supplies intended for distribution to beneficiaries. The costs of such inventories are charged to expenditure on purchase.", "(q) Property, plant and equipment", "Property, plant and equipment comprise land and buildings and non‑expendable property:", "(i) Land and buildings are capitalized in the books of account at original cost. No depreciation is provided for buildings;", "(ii) Non-expendable property comprises two categories:", "a. Tangible items held for use in the production or supply of goods or services, for rental to others or for administrative purposes, expected to be used during more than one reporting period, regardless of funding source or use, including in kind donations, and having an initial cost equal to or greater than $5,000. Such items include non-expendable equipment such as vehicles, communications and information technology equipment, furniture and fixtures, and physical structures such as sheds, warehouses and health-care, water and sanitation facilities;", "b. Other tangible items, such as computers and telecommunications devices that are serially tracked, with an acquisition value of less than $5,000 and more than $300, are used by UNHCR to support its day-to-day official business and are not intended for distribution to beneficiaries.", "In accordance with the United Nations system accounting standards, non‑expendable property purchased with UNHCR voluntary funds is not recorded on the balance sheet, but is charged as expenditure to the appropriate project in the year of acquisition. Supplementary records are maintained to manage non‑expendable property, and such items are valued therein at the United States dollar equivalent calculated at the rate of exchange prevailing on the date of purchase. Depreciation is computed using the straight-line method over the estimated useful life of the asset, but it is not recorded in the books of account.", "(r) End-of-service accrued benefit liabilities", "The organization’s employees are entitled, under their conditions of employment, to payment of unused annual leave, as well as termination and repatriation benefits. UNHCR recognizes the end-of-service accrued benefits liabilities related to after-service health insurance, accrued annual leave, and repatriation entitlements. All of these liabilities are unfunded liabilities and are shown under the Staff Benefits Fund.", "(s) Related-party transactions", "Note disclosure is made of all related-party relationships where control exists, irrespective of whether or not there have been transactions between the related parties, and of all transactions with the related parties. UNHCR deems the holders of five key management positions to be related parties: the High Commissioner, the Deputy High Commissioner, two Assistant High Commissioners and the Controller.", "(t) Going concern", "The financial statements report negative equity as a result of the full recognition of long-term liabilities for after-service and post-retirement benefits and, in accordance with the United Nations system accounting standards, the non‑recognition of non-current assets. On the basis of firm pledges received for future periods and the level of funding available for current liabilities expected to fall due, there is a firm expectation that UNHCR has adequate resources to continue its normal operations for the foreseeable future. It is therefore appropriate to use the going-concern basis of accounting in preparing the annual financial statements.", "Note 3 Change in prior-year comparatives", "On 1 January 2010, revised Financial Rules introduced a new budget and accounting structure to replace the Annual Programme Fund and the Supplementary Programme Fund, reported on in previous years. Under the new framework, operational activities are categorized under pillars. The Annual Programme Fund comprises pillar 1, global refugee programme, and pillar 2, global stateless programme; pillar 3 is reported in the Reintegration Projects Fund and pillar 4 in the Internally Displaced Persons Projects Fund.", "The assets, liabilities and reserve balances at the end of 2009 were mapped to this new structure. The Annual Programme Fund was mapped to pillars 1 and 2, and the Supplementary Programme Fund was mapped to pillars 1, 3 and 4.", "All non-cash assets and the accounts payable of the Supplementary Programme Fund at 31 December 2009 were transferred to the Annual Programme Fund. The tables below summarize how the closing balances of the unliquidated obligations and reserves at the end of 2009 were transferred to the new funds at the beginning of 2010.", "The closing balance of reserves as at 31 December 2009 is mapped to the new structure as shown in table 1:", "Table 1 Reserves", "(Thousands of United States dollars)", "Closing Transfer Restated balance opening 2009 balance 2010", "Annual Programme Fund 100 439 (100 439)", "Supplementary Programme Fund 95 110 (95 110)", "United Nations Regular Budget Fund", "Annual Programme Fund (pillar 1 and 139 547 139 547 pillar 2)^(a)", "Reintegration Projects Fund (pillar 11 871 11 871 3)^(b)", "Internally Displaced Persons Projects 44 131 44 131 Fund (pillar 4)^(c)", "Junior Professional Officers Fund 6 896 6 896", "Medical Insurance Plan 34 433 34 433", "Staff Benefits Fund (446 865) (446 865)", "Working capital 50 000 50 000", "Total (159 987) 0 (159 987)", "^(a) The amount was transferred from the annual budget ($100,439) and the supplementary budget ($39,108).", "^(b) The amount was transferred from the supplementary budget.", "^(c) The amount was transferred from the supplementary budget.", "The closing balance of unliquidated obligations as at 31 December 2009 is mapped to the new structure as shown in table 2:", "Table 2 Unliquidated obligations", "(Thousands of United States dollars)", "Closing Transfer Restated balance opening 2009 balance 2010", "Annual Programme Fund 84 564 (84 564)", "Supplementary Programme Fund 61 034 (61 034)", "United Nations Regular Budget Fund 34 (34)", "Annual Programme Fund (pillar 1 and 111 499 111 499 pillar 2)^(a)", "Reintegration Projects Fund (pillar 2 673 2 673 3)^(b)", "Internally Displaced Persons Projects 31 460 31 460 Fund (pillar 4)^(c)", "Junior Professional Officers Fund 8 8", "Medical Insurance Plan", "Staff Benefits Fund", "Working capital", "Total 145 640 0 145 640", "^(a) The amount was transferred from the annual budget ($84,564), the regular budget of the United Nations ($34) and the supplementary budget ($26,901).", "^(b) The amount was transferred from the supplementary budget.", "^(c) The amount was transferred from the supplementary budget.", "Note 4 United Nations Regular Budget Fund", "In accordance with article 20 of the statute of the Office of the United Nations High Commissioner for Refugees,[12] administrative expenditures relating to the functioning of UNHCR are borne under the regular budget of the United Nations, and all other expenditures relating to the activities of UNHCR are financed through voluntary contributions. The contribution from the regular budget would finance the equivalent of 220 posts in the management and administrative category, general operating expenses, supplies and materials and contributions to joint activities.", "Regular budget income in 2010 amounted to $39,640,800, of which there was no outstanding receivable amount at the end of 2010. Regular budget expenditure in 2010 amounted to $39,640,800, of which $32,414,821 covered staff costs, including the posts of the High Commissioner and the Deputy High Commissioner, and $7,225,979 covered other management and administration costs.", "Note 5 Transfers between programmes and funds during 2010", "Transfers between programmes and funds during 2010 are shown in table 3:", "Table 3 Transfers between programmes and funds, 2010 (Thousands of United States dollars)", "Working Annual Reintegration Internally Junior Staff Net Capital Programme Projects Displaced Professional Benefits transfer Fund Fund Fund Persons Officers Fund Projects Fund Fund", "Replenishment 18 066 (18 066) — — — — —", "Administrative — 19 160 (2 237) (16 923) — — — costs^(a)", "Transfers to cover — (184 286) 45 282 139 004 — — — budgets^(b)", "Junior Professional — 1 333 — — (1 333) — — Officers Fund administrative costs^(c)", "Interfund — 148 — — — (148) — transactions", "Net transfer 18 066 (181 711) 43 045 122 081 (1 333) (148) —", "^(a) See para. (a) below.", "^(b) See para. (b) below.", "^(c) See para. (c) below.", "(a) Funds were transferred to the Annual Programme Fund from the Reintegration Projects Fund and the Internally Displaced Persons Projects Fund to cover administrative costs incurred in the Annual Programme Fund in support of those two funds during 2010.", "(b) Earmarked contributions are recorded in the appropriate fund and unearmarked or loosely earmarked contributions are initially recorded in the Annual Programme Fund; subsequently, the latter are either used to fund budgets of the Annual Programme Fund or transferred to cover the approved budgets of other funds. During 2010, a net amount of $181,710,815 was transferred from the Annual Programme Fund, with $43,045,271 transferred to the Reintegration Projects Fund and $122,081,084 to the Internally Displaced Persons Projects Fund.", "(c) The equivalent of 12 per cent of the expenditure incurred was transferred from the Junior Professional Officers Fund to the Annual Programme Fund in respect of support costs incurred by UNHCR to manage the Junior Professional Officers Fund.", "(d) Actual expenditure for staff and administrative costs are apportioned to the Annual Programme Fund, the Reintegration Projects Fund and the Internally Displaced Persons Projects Fund using a budget apportionment based on the estimated level of staff time and administrative budget required for the delivery of results.", "(e) In 2010, $606,360,492 was apportioned to pillars 1 and 2 (Annual Programme and Regular Budget Funds), $23,847,904 to pillar 3 (Reintegration Projects Fund) and $97,545,324 to pillar 4 (Internally Displaced Persons Projects Fund). Expenditure for the Junior Professional Officers Fund is not apportioned and is reported separately.", "Note 6 Breakdown of expenditure", "Table 4 shows total UNHCR expenditure in 2010, broken down by fund and category:", "Table 4 Expenditure of the Office of the United Nations High Commissioner for Refugees, 2010 (Thousands of United States dollars)", "Fund\tProgramme^(a)\tProgrammesupport^(b)\tManagementandadministration^(c)\tTotal \nAnnual Programme Budget, Reintegration Projects Fund and Internally Displaced Persons Projects Fund\t1 493 629\t273 771\t60 021\t1 827 421\n Regular Budget Fund 39 641 39 641\nSubtotal\t1 493 629\t273 771\t99 662\t1 867 062\nJunior Professional OfficersFund^(d) 11 111\n Medical Insurance Plan^(e) 4 437 \nWorking Capital and GuaranteeFund 1 958\n Staff Benefits Fund 37 927\nTotal expenditure 1 922 495", "^(a) See para. (a) below.", "^(b) See para. (b) below.", "^(c) See para. (c) below.", "^(d) See para. (d) below.", "^(e) See para. (e) below.", "(a) Expenditure under the “Programme” category corresponds to the direct financial inputs used to achieve the objectives of a specific project or programme, including the costs of staff, consultant experts, supplies and equipment, subcontracts, cash assistance and training, and instalments disbursed to implementing partners. Implementing partners are required to report on their disbursements against instalments received from UNHCR in accordance with the terms and conditions of implementing partner agreements. The table below shows the balances of implementing partner instalments for which financial reports were still outstanding at the end of the year. The final implementing partner financial reports are normally due on 28 February of the following year.", "(Thousands of United States dollars)", "As at As at 31 December 31 December 2010 2009", "Current year agreements", "Implementing partner instalments disbursed 676 942 598 800 or committed", "Implementing partner financial reports (386 404) (333 518) received", "Outstanding balance 290 538 265 282", "Prior-year agreements", "Outstanding balance 1 740 4 885", "(b) Expenditure under the “Programme support” category corresponds to the costs of organizational units whose primary functions are the formulation, development, delivery and evaluation of UNHCR programmes, including those that provide backstopping of programmes on a technical, thematic, geographic, logistical or administrative basis.", "(c) Expenditure under the “Management and administration” category corresponds to the costs of organizational units whose primary function is the maintenance of the identity, direction, welfare and security of UNHCR staff, including those units that carry out the functions of executive direction, organizational policy and evaluation, external relations and information and administration.", "(d) The following table shows expenditure, by region, under the Junior Professional Officers Fund in 2010.", "(Thousands of United States dollars)", "Region 2010 2009", "Africa 3 951 4 792", "Middle East and North Africa 805 932", "Asia and the Pacific 1 619 1 680", "Europe 788 1 165", "Americas 1 014 747", "Global programmes 458 474", "Headquarters 2 476 2 332", "Total expenditure 11 111 12 122", "These amounts included salaries and other employment-related expenditures incurred and related to Junior Professional Officers.", "(e) In 2010, the Medical Insurance Plan received total income of $6,680,757 from staff premiums and proportional contributions from UNHCR and $177,397 in interest earned. Under the Plan, total expenditure incurred amounted to $4,436,570. This amount included payments to settle medical bills submitted by active and after-service participants. It also included the salaries of and employment-related entitlements and expenditure for two UNHCR staff operating the scheme.", "(f) The main elements of the Working Capital and Guarantee Fund include interest income (excluding the amount allocated to the Medical Insurance Plan) of $910,487 as well as a net currency exchange loss of $17,052,014. Bank charges amounted to $1,957,555 in 2010.", "(g) The expenditure of the Staff Benefits Fund reflects the benefits of after-service health insurance, accrued repatriation grant and accrued unpaid annual leave earned by UNHCR staff during 2010, net of the estimated benefits paid. It also includes the effect of actuarial loss related to the same elements.", "Note 7 Write-offs", "In 2010, UNHCR wrote off liquid assets, as reflected in the expenditure reported, totalling $5,916,857 in respect of losses as shown in table 5.", "Table 5 Write-offs (Thousands of United States dollars)", "2010 2009", "Unpaid contributions 5 678 316", "Value-added tax 105 351", "Operational advance and others 1", "Implementing partners 133 441", "Total 5 917 1 108", "Note 8 Ex gratia payments", "As approved in accordance with the Financial Rules for Voluntary Funds Administered by the High Commissioner for Refugees, UNHCR paid a total amount of $15,249 in ex gratia payments, which included the settlement of a United Nations Dispute Tribunal case and a minor charge relating to a previous-year security incident. UNHCR considers that it has a moral obligation to effect these payments, and the payments are in the interest of the organization.", "Note 9 Cash and term deposits", "The amount shown in statement II for cash and term deposits represents the total of all cash balances (including funds held in non-convertible currencies), net of any negative bank balances. Table 6 provides the breakdown between current and deposit accounts as at 31 December for the years 2010 and 2009, as well as information on term deposits and non-convertible currencies held.", "Table 6", "(a) Current and deposit accounts", "(Thousands of United States dollars)", "2010 2009", "Cash deposit on 31 December:", "Cash and current accounts 68 809 66 071", "Term deposits 290 000 240 000", "Interest-bearing accounts 77 296 76 544", "Investments and interest-bearing accounts 367 296 316 544", "Unrealized exchange gain or loss 977", "437 082 382 615", "Average in hand during year for headquarters accounts:", "In current and interest-bearing accounts 95 360 88 939", "Invested (call and time deposits, 208 114 215 833 securities)", "303 474 304 772", "Interest earned:", "On interest-bearing accounts 404 537", "On invested funds 683 1 758", "1 087 2 295", "Average rate of interest earned:", "On funds in hand and bank 0.42% 0.60%", "On invested funds 0.33% 0.81%", "(b) Term deposits as at 31 December 2010", "(Thousands of United States dollars)", "Bank\tPeriod(days)\tAnnualinterestrate(percentage)\tMaturitydate\tAmount\tAccruedinterest \nBanco SantanderSA\t7\t0.40\t7January\t30000\t0.33\nBanco SantanderSA\t21\t0.30\t7January\t30000\t3.75\nBarclays Bank Plc\t21\t0.23\t7January\t40000\t3.83\nBNP Paribas\t8\t0.22\t7January\t10000\t0.12\nBNP Paribas\t15\t0.20\t7January\t20000\t1.00\nDeutschebank\t21\t0.22\t7January\t40000\t3.67\nNordea Bank\t21\t0.24\t7January\t60000\t6.00\nRabobank\t15\t0.18\t7January\t20000\t0.90\nRabobank\t18\t0.20\t7January\t40000\t2.67\nTotal 290000\t22.27", "(c) Non-convertible currencies held as at 31 December", "(Equivalent in thousands of United States dollars)", "Country Currency 2010 2009", "Afghanistan afghani 43 34", "Albania lek 23 22", "Angola kwanza 187 53", "Bosnia and Herzegovina convertible mark 1 167", "Burundi franc 168 904", "Eritrea nafka 259 35", "Ethiopia birr 662 428^(a)", "Myanmar kyat 4 17", "Mozambique metical 196 24", "Nigeria naira 174 77", "Syrian Arab Republic pound 1 260 867", "Total 2 977 2 628", "^(a) In the notes to the 2009 financial statements, the Ethiopian birr was omitted from the list of non-convertible currencies held.", "Included in foreign-exchange adjustments is the amount of $689,569 related to the Zimbabwe dollar, which was effectively abandoned as an official currency of Zimbabwe on 12 April 2009.", "Note 10 Voluntary contributions receivable", "The voluntary contributions receivable balance in statement II represents contributions outstanding from donors after year-end currency revaluation. The ageing of contributions receivable is shown in table 7.", "Table 7 Voluntary contributions receivable", "(Thousands of United States dollars)", "2010 2009", "2010 72 419 —", "2009 23 108 65 696", "2008 3 872 12 781", "2007 1 036 3 652", "2006 413 2 757", "2005 132 2 176", "2004 2 912", "Total 100 982 87 974", "Unrealized exchange gain or (loss) (2 262) 481", "Total as per statement II 98 720 88 455", "The status of outstanding contributions as at 31 December 2010 is shown in table 8.", "Table 8 Status of outstanding contributions as at 31 December 2010", "(Thousands of United States dollars)", "Outstanding 2004 2005 2006 2007 2008 2009 2010 Total contributions", "Donors", "Governmental donors", "Australia 342 342", "Belgium 154 154", "Brazil 200 200", "Canada 3 3", "Costa Rica 2 2", "Cyprus 1 1", "Denmark 7 400 232 2 874 3 513", "Estonia 66 66", "Germany 81 81", "Greece 11 11", "Hungary 174 174", "Iceland 99 99", "Ireland 25 50 30 54 159", "Italy 33 61 258 1 826 2 178", "Kuwait 1 000 1 000", "Luxembourg 59 87 146", "Malta 20 20", "Mauritania 8 8", "Mexico 75 75", "Monaco 29 29", "Montenegro 5 6 11", "Netherlands 16 13 8 7 34 78", "Norway 23 220 243", "Portugal 1 339 1 339", "Saudi Arabia 100 112 7 327 7 539", "South Africa 24 24", "Spain 4 13 261 725 17 390 18 393", "Sweden 1 52 53", "Switzerland 770 770", "United Arab Emirates 14 842 1 714 16 556", "United Kingdom 31 53 1 253 950 1 618 3 905", "United States 122 3 739 3 861", "Governmental donors 0 100 169 307 3 104 17 504 39 849 61 033", "European Commission 2 32 238 667 5 049 30 940 36 928", "Intergovernmental donors", "National Multisectoral 244 482 726 Programme against HIV/AIDS", "Council of Europe 1 1", "OPEC Fund for 500 500 International Development", "International 140 140 Organization for Migration", "Intergovernmental 244 483 640 1 367 donors", "United Nations pooled funding mechanism", "United Nations 8 8 Children’s Fund", "Common Humanitarian 250 200 450 Fund", "Joint United Nations 56 100 156 Programme on HIV/AIDS", "United Nations 19 19 Development Programme", "World Food Programme 100 139 239", "One United Nations 26 55 81 Funds", "Emergency Relief Fund 50 50", "Millennium Development 651 651 Goals", "United Nations pooled 0 0 0 8 101 555 990 1 654 funding mechanism", "Total outstanding 2 132 413 1 036 3 872 23 108 72 419 100 982 contributions", "Unrealized loss -2 262", "Total outstanding 98 720 contributions per statement II", "Note 11 Voluntary contributions pledged for the Annual Programme Budget for 2011", "During the annual pledging conference held in December 2010, governmental donors to UNHCR pledged $500,307,946 towards the 2011 annual budget. Those pledges are not reflected in the accounts for 2010 and will be recognized as income in 2011.", "Note 12 Due from United Nations and other agencies", "The amounts due from United Nations and other agencies as reported in statement II are shown in table 9.", "Table 9 Amounts due from United Nations and other agencies as at 31 December (Thousands of United States dollars)", "2010 2009", "United Nations Headquarters 492 2 149", "Office for the Coordination of Humanitarian 267 437 Affairs", "United Nations Development Programme 338 398", "Office of the United Nations Security Coordinator 29 29", "Other agencies 3 29", "Joint United Nations Programme on HIV/AIDS — 22", "United Nations High Commissioner for Human Rights 13 12", "World Food Programme — 4", "International Criminal Court — 2", "International Labour Organization — 1", "Total 1 142 3 083", "Note 13 Other receivables", "The amounts in statement II under other receivables represent payroll and staff-related entitlements, and other elements pending settlement or recovery, net of relevant allowances for doubtful accounts, as shown in table 10.", "Table 10 Other receivables as at 31 December (Thousands of United States dollars)", "2010 2009", "Education grant advances 12 125 11 219", "Salary advances 3 876 3 712", "Non-staff-related and miscellaneous receivables 2 103 3 704", "Value-added tax reimbursable 1 148 2 731", "Field operational advances 1 247 1 699", "Rental advances 1 483 1 512", "Travel advances 96 1 010", "Deposits with suppliers 630 548", "Staff receivables 18 (481)", "Unrealized exchange gain or loss (1 471)", "Total 21 255 25 654", "Note 14 Allowance for doubtful accounts receivable", "Accounts receivable are presented in statement II, net of an allowance for doubtful accounts receivable, as shown in table 11.", "Table 11 Allowance for doubtful accounts receivable (Thousands of United States dollars)", "Provision as Write-offs Recovery Adjustments Provision as at at 31 December 31 December 2009 2010", "Implementing 1 930 — — 48 1 978 partners", "Value-added tax 8 050 (105) (619) 1 451 8 777", "Staff receivables 1 755 — — (292) 1 463", "Non-staff 92 — — — 92 receivables", "Unpaid — — — 2 359 2 359 contributions", "Total 11 827 (105) (619) 3 566 14 669", "The adjustment amounts for allowances for doubtful accounts receivable are the results of a review conducted at the end of fiscal year 2010.", "Note 15 Other assets", "The balance of other assets reported in statement II of $1,804,484 includes payments made in advance for costs to be incurred against future years, and accrued interest on investments.", "Note 16 Land and buildings", "As at 31 December 2010, the capital assets of the organization, expressed in United States dollars, comprise buildings (at cost) at the locations shown in table 12.", "Table 12 Land and buildings (Thousands of United States dollars)", "Description Year of Amount purchase", "UNHCR office in Kinshasa 2008 3 600", "UNHCR office in Khartoum 1994 542", "Total 4 142", "Note 17 Non-expendable property", "In 2010, the capitalization threshold was changed. For capital assets, the threshold increased from $1,500 in 2009 and previous years to $5,000 in 2010; for serially tracked items, the threshold increased from $100 to $300. In 2009, depreciation was calculated assuming a residual value of 10 per cent of the acquisition value, whereas in 2010 assets were fully depreciated over their useful lives. As at 31 December 2009, the acquisition value of non-expendable property recorded was $343,608,116 and the depreciated value was $119,442,385. As at 31 December 2010, the acquisition value of non-expendable property recorded was $321,074,178 and the depreciated value was $94,573,366.", "Note 18 Accounts payable", "The amount in statement II under accounts payable represents liabilities to suppliers and other elements pending settlement, as shown in table 13.", "Table 13 Accounts payable as at 31 December (Thousands of United States dollars)", "2010 2009", "Commercial suppliers 15 552 31 605", "Payroll and other staff-related entitlements 5 854 7 041", "Accrued United States taxes 6 348 5 564", "Other staff payables 2 258 2 706", "Other United Nations organizations 1 594 (4 602)", "Unrealized exchange gain or loss (582)", "Total 31 024 42 314^(a)", "^(a) In the interest of improved disclosure, liabilities related to end-of-service and post-retirement benefits and voluntary separation were shown separately from accounts payable in 2010. In order to ensure comparability, the 2009 figure was restated accordingly.", "Note 19 Liabilities for end-of-service and post-retirement benefits", "The amount in statement II under end-of-service liabilities represents liabilities for end-of-service accrued benefits, as shown in table 14.", "Table 14 Liabilities for end-of-service accrued benefits (Thousands of United States dollars)", "2010 2009", "After-service health insurance 286 550 347 418 entitlements", "Repatriation entitlements 69 751 65 466", "Annual leave entitlements 37 119 33 945", "Voluntary separation costs 278 1 555", "Total 393 698 448 384", "(a) After-service health insurance", "After-service coverage is available in the form of continued previous membership in the United Nations Staff Mutual Insurance Society or in an insurance scheme of another organization in the United Nations family or through the Medical Insurance Plan for retired locally recruited staff members who served at designated duty stations away from headquarters, and their eligible dependants.", "The organization’s liability for after-service health insurance has been estimated by a consulting actuary. On the basis of the actuary’s study, the value of the accrued liability of UNHCR for after-service health insurance as at 31 December 2010 was $286,550,000 ($347,418,000 as at 31 December 2009). In 2010, the discount rate of 5.55 per cent, based on spot rates for high-quality corporate bonds payable in euros for the corresponding maturity years, was used. In 2009, the discount rate was 6.15 per cent. The overall reduction of $60,868,000 to the after-service health insurance benefit liability can be attributed to (a) the change of discount rate from 6.15 per cent to 5.55 per cent and (b) the downward revision of health-care-trend assumptions for United Nations Staff Mutual Insurance Society participants from 6.0 per cent in 2010 to 3.0 per cent in 2027 (as opposed to the downward revision from 6.0 per cent in 2010 to 4.5 per cent in 2027 assumed in the 2009 valuation), taking into consideration recent changes in the management of the insurance plan and the health-care industry in Switzerland in general.", "Table 15 Liability for after-service health insurance (Thousands of United States dollars)", "Present value of Accrued liability future benefits", "Gross liability 540 261 415 334", "Offset from retiree 178 105 128 784 contributions", "Net liability 362 156 286 550", "The present value of future benefits is the discounted value of all benefits, less retiree contributions, to be paid in the future to all current retirees and active staff expected to retire. The accrued liability represents that portion of the present value of benefits that has accrued from the staff member’s date of entry on duty until the valuation date. An active staff member’s benefit is fully accrued when that staff member has reached the date of full eligibility for after-service benefits. Thus, for retirees and active staff members who are eligible to retire with benefits, the present value of future benefits and the accrued liability are equal. Liabilities are computed using the projected unit credit method, whereby each participant’s benefits under the plan are expensed as they accrue, taking into consideration the plan’s benefit allocation formula. The benefits of the post-retirement plan are funded on a pay-as-you-go basis. No assets have yet been segregated and restricted to provide for post-retirement benefits. The actuarial gains and losses are recognized as they occur. The income statement for 2010 reflects an actuarial gain of $91,196,000 for the year (the actuarial gain amounted to $28,070,000 for 2009).", "(b) Accrued annual leave", "Separating staff are entitled to be paid for any unused leave days that they may have accrued, up to a maximum of 60. On the basis of an average of 32 leave days, the organization’s total liability for such unpaid accrued leave is estimated to be $37,118,829 ($33,945,032 as at 31 December 2009). The average number of leave days was calculated on the basis of the number of staff and the prevailing salary scale using a midpoint reference for General Service and Professional salary scales at the Geneva, Belgrade and Budapest duty stations.", "(c) Repatriation grant, travel and shipment", "In line with the Staff Regulations and the Staff Rules of the United Nations, some staff members are entitled to repatriation grants and related relocation costs upon their separation from the organization, based on the number of years of service. The organization’s actuarially determined accrued liability for repatriation grant and travel was $69,751,000 as at 31 December 2010. The liability was valued on the basis of a discount rate of 5.55 per cent. For 2009, the same methodology was used, except that the discount rate used was 6.15 per cent and the resulting accrued liability was $65,466,000 as at 31 December 2009. The change in the discount rate used resulted in an increase in the accrued liability for repatriation grant, travel and shipment of $4,285,000 at the end of 2010.", "(d) Pension plan", "UNHCR is a member organization participating in the United Nations Joint Staff Pension Fund, which was established by the General Assembly to provide retirement, death, disability and related benefits. The Pension Fund is a defined-benefit plan. The financial obligation of the organization to the Staff Pension Fund consists of its mandated contribution at the rate established by the Assembly, together with any share of any actuarial deficiency payments under article 26 of the Regulations of the Fund. Such deficiency payments are payable only if and when the Assembly has invoked the provision of article 26, following a determination that there is a requirement for deficiency payments based on an assessment of the actuarial sufficiency of the Fund as at the valuation date. At the time of reporting, the Assembly had not invoked this provision. The result of the latest actuarial valuation as at 31 December 2009 was an actuarial surplus of 0.38 per cent of pensionable remuneration.", "Note 20 Contingencies", "A number of legal, disciplinary and administrative appeal cases have been filed against UNHCR. It is not possible to establish the likely outcome of these cases or to estimate the amounts of the possible settlements, if any.", "In one of these cases, UNHCR has offered to settle by making an ex gratia payment. The Tribunal de Grande Instance du Nord-Kivu (Rwanda) ordered UNHCR to pay a private person an amount of $30,000 for lost assets and $50,000 in additional damages and court costs. UNHCR denies the validity of the judgement, because the proper procedure was not followed by the court in relation to the privileges and immunities of the Office; however, in order to show goodwill, UNHCR has offered to settle the case through an ex gratia payment. Considering that the amount could not be determined as at 31 December 2010, since the terms, including in particular the value of the agreement between the parties, had not been finalized, UNHCR did not record a provision and is disclosing the case as a contingent liability.", "Note 21 Related-party transactions", "There were no material transactions with related parties in 2010. The aggregate value of remuneration and compensation pertaining to key management personnel[13] is shown in table 16.", "Table 16 Key management remuneration and compensation (Thousands of United States dollars)", "Related party Number of Aggregate Contribution Total individuals remuneration of the Office to pension, medical insurance\n 2010 2009 2010 2009 2010 2009 2010 2009", "High Commissioner 1 1 273 263 54 54 327 317", "Deputy High Commissioner 1 1 301 135 48 22 349 157", "Assistant High 2 3 468 595 99 126 567 721 Commissioner", "Controller 2 1 266 202 53 43 319 245", "Total 6 6 1 308 1 195 254 245 1 562 1 440", "There were no salary advances, entitlements or remuneration to key management personnel that were not available to other categories of staff. There were no other financial transactions with key management personnel and their close family members during the year.", "Note 22 Extrabudgetary in kind contributions", "The value of 2010 extrabudgetary in kind donations to UNHCR in 2010 is shown in table 17.", "Table 17 Extrabudgetary in kind contributions (Thousands of United States dollars)", "Donor 2010", "Government of Germany 3 702", "Government of Hungary 199", "Government of Israel 500", "Government of Poland 72", "Government of Spain 458", "Government of Sweden 530", "Government of United Arab Emirates 688", "Register of Engineers for Disaster Relief (Australia) 390", "Sony Corporation (Japan) 41", "Total 6 580", "220811", "*1141575*", "[]", "[1] The net liabilities (or negative equity) at 31 December 2010 of $72.3 million are the excess of liabilities over assets. The figure is negative because UNHCR has disclosed its liabilities for after-service staff benefits but not yet its expendable and non-expendable assets (see note 2 (t) to the financial statements for the financial period ended 31 December 2010). Under IPSAS, UNHCR will have to disclose the complete position on all its assets and liabilities.", "[2] Although it is not required under the United Nations system accounting standards, UNHCR has a policy of depreciating its assets (see note 17 to the financial statements).", "[3] The local asset management board is a key part of UNHCR asset control. It advises on the implementation of policies and procedures for the management and disposal of assets, the maintenance of satisfactory standards of accounting, and monitoring the quantity of assets and their disposal.", "[4] The Standing Committee was established as a subsidiary organ of the Executive Committee to review the implementation of programmes and policies throughout the year.", "[5] Top management in UNHCR comprises the High Commissioner, a Deputy High Commissioner, and two Assistant High Commissioners responsible for Country Operations and Protection of displaced populations. There is no formally constituted “Board”.", "[6] Focus is a networked software application developed in-house by UNHCR to plan, record and report country-level and programme-level goals and achievements.", "[7] See UNHCR inter-office memorandum/field office memorandum No. 003/2009.", "[8] See UNHCR operations manual handbook, section 1.6; and UNHCR manual, section 5.1, paras. 3.3 and 3.4.", "[9] See EC/54/SC/CRP.14.", "[10] The Inspector General is an employee of UNHCR and has three mandated functions: to assess the quality of UNHCR management, to investigate allegations of misconduct by anyone working for the agency, and to conduct inquiries into violent attacks on UNHCR staff and operations, as well as other types of incidents that could affect the reputation of the organization.", "[11] The High Commissioner may obligate the funds necessary for the implementation of programmes and projects in accordance with: (a) the terms of the approval given by the Executive Committee for the annual budget; (b) the terms and conditions of the supplementary budgets; or (c) the conditions governing other funds and accounts.", "[12] General Assembly resolution 428 (V), annex.", "[13] In 2009, the Director of the Division of Operational Support was considered to be in the category of key management personnel; however, during the third quarter of 2009 the Division was abolished." ]

[ "United Nations", "Voluntary funds administered by the United Nations High Commissioner for Refugees", "Year ended 31 December 2010", "Financial report and audited financial statements", "Report of the Board of Auditors", "General Assembly", "Official Records Sixty-sixth Session Supplement No. 5E", "General Assembly Official Records Sixty-sixth Session Supplement No. 5E", "United Nations • New York, 2011", "Voluntary funds administered by the United Nations High Commissioner for Refugees", "Year ended 31 December 2010", "Financial report and audited financial statements", "Report of the Board of Auditors", "A/66/5/Add.5", "Annotations", "ISSN 0257-1315", "Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.", "[21 July 2011]", "Contents", "Chapter I. Report of the Board of Auditors on the financial statements: audit opinion Performance report and results-based management", "Letters of transmittal", "New York", "UNITED NATIONS", "Chairman, United Nations Board of Auditors", "In accordance with the Financial Rules for Voluntary Funds administered by the United Nations High Commissioner for Refugees, I have the honour to submit the accounts for 2010. The accounts have been certified as correct and approved in accordance with financial rule 11.4.", "With regard to your audit of the financial statements of the Office of the United Nations High Commissioner for Refugees for the year ended 31 December 2010, we confirm, to the best of our knowledge and belief, and having made appropriate enquiries with other officials of the organization, the following representations:", "We are responsible for preparing financial statements that properly present the activities of the Organization and for making accurate representations to you. All accounting records have been prepared for your audit and all the transactions of the organization that actually occurred during the financial period have been properly reflected and recorded in the accounting records. All other records and related information have been made available to you.", "The financial statements were prepared on the basis of:", "(a) United Nations system accounting standards;", "(b) The Financial Regulations of the United Nations;", "(c) The Financial Rules established by the High Commissioner in consultation with the Executive Committee;", "(d) The accounting policies of the organization, as summarized in note 2 to the financial statements, are applied on a basis consistent with that of the preceding financial periods.", "3. The non-expendable property disclosed in note 17 to the financial statements is owned by the organization and is free of charge. The cost of non-expendable property in existence as at 31 December 2010, as disclosed in the note, was correctly stated.", "4. The recorded cash and inter-agency balances have not diminished, and we believe that they were correctly reported.", "All material receivables have been included in the financial statements and represent valid claims. In addition to the estimated uncollectible accounts receivable recorded under the provision for doubtful accounts receivable, we expect to recover all significant receivables as at 31 December 2010.", "All known accounts payable have been included in the accounts.", "7. Unliquidated obligations recorded represent valid commitments of the organization and were established in accordance with the Financial Rules.", "All material, legal and contingent liabilities have been appropriately reflected in the financial statements.", "9. Except as disclosed in the financial statements, the financial position of the organization was not materially affected by:", "(a) Charges or credits relating to prior years;", "(b) Any change in the basis of accounting.", "All expenditure reported during the period was incurred in accordance with the financial regulations of the organization and specific donor requirements.", "11. All commitments against resources of future financial periods have been disclosed as required by the United Nations system accounting standards.", "12. We further confirm that all losses of cash or receivables, ex gratia payments, presumptive fraud and fraud, wherever incurred, were communicated to the Board of Auditors.", "13. Disclosure is made in the accounts of all matters necessary for the financial statements to present fairly the results of the transactions during the financial period.", "14. Since the date of the statement of assets and liabilities, no transactions have occurred that necessitate revision of the figures included in the financial statements or a note thereto.", "Controller and Director, Division of Financial and Administrative Management", "(Signed) Karen Madeleine Falcas", "United Nations High Commissioner for Refugees", "(Signed) António Guterres", "27 June 2011", "New York", "President of the General Assembly of the United Nations", "I have the honour to transmit to you the report of the Board of Auditors on the financial statements of the voluntary funds administered by the United Nations High Commissioner for Refugees for the year ended 31 December 2010.", "Auditor-General of China", "Chairman, United Nations Board of Auditors", "(Signed) Liu Jiayi", "12 July 2011", "Chapter I", "Report of the Board of Auditors on the financial statements: audit opinion", "The Board of Auditors has audited the accompanying financial statements of the voluntary funds administered by the United Nations High Commissioner for Refugees, comprising the statement of income and expenditure and changes in reserves and fund balances for the year ended 31 December 2010 (statement I), the statement of assets, liabilities, reserves and fund balances as at 31 December 2010 (statement II), the statement of cash flows for the year ended 31 December 2010 (statement III) and the schedules and notes to the financial statements.", "Management ' s responsibility for the financial statements", "The United Nations High Commissioner for Refugees is responsible for the preparation and fair presentation of these financial statements in accordance with the United Nations system accounting standards and for such internal control as is considered necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.", "Auditor ' s responsibility", "It is the responsibility of the auditor to express an opinion on the financial statements based on his audit. The audit was conducted in accordance with the International Standards on Auditing. Those standards require that the auditor comply with ethical requirements and plan and perform the audit to obtain reasonable assurance as to whether the financial statements are free from material misstatement.", "An audit includes procedures to obtain evidence about the amounts and disclosures in the financial statements. The procedures chosen depend on the auditor ' s judgement, including in assessing the risk of material misstatement, whether due to fraud or error. In making such risk assessments, the auditor considers internal control relevant to the entity ' s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity ' s internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of the accounting estimates presented by management, as well as evaluating the overall presentation of the financial statements.", "In our opinion, the audit evidence obtained provides an appropriate and sufficient basis for our audit opinion.", "Audit opinion", "In the opinion of the Board, the financial statements present fairly, in all material respects, the financial position of the voluntary funds administered by the United Nations High Commissioner for Refugees as at 31 December 2010 and its financial performance and cash flows for the year then ended, in accordance with the United Nations system accounting standards.", "Report on other legal and regulatory requirements", "Furthermore, in our opinion, the transactions of the Office of the United Nations High Commissioner for Refugees that have come to our notice or that we have tested as part of our audit have, in all significant respects, been in accordance with the Financial Regulations and Rules of the United Nations, the Financial Rules for Voluntary Funds Administered by the United Nations High Commissioner for Refugees and legislative authority.", "In accordance with article VII of the Financial Regulations and Rules of the United Nations, the Board also issued a long-form report on its audit of the voluntary funds administered by the United Nations High Commissioner for Refugees.", "Comptroller and Auditor-General of the United Kingdom of Great Britain and Northern Ireland (Lead Auditor)", "Permanent Representative", "Auditor-General of South Africa", "(Signed) Terence Nombembe", "Auditor-General of China", "Chairman, United Nations Board of Auditors", "(Signed) Liu Jiayi", "12 July 2011", "Chapter II", "Long-form report of the Board of Auditors", "The Office of the United Nations High Commissioner for Refugees (UNHCR) provides support (food and shelter) and protection services (security and legal support) to approximately 33.9 million people displaced from their homes or homelands. UNHCR operates in a decentralized manner, with over 6,300 regular staff working in some 380 offices in 125 countries. The Board of Auditors has audited the financial statements and reviewed the operations of UNHCR for the year ended 31 December 2010. The audit was conducted through a review of financial transactions and transactions at UNHCR headquarters in Geneva and the Global Service Centre in Budapest, as well as field visits to UNHCR offices in Colombia, Iraq, Jordan and Pakistan. The Board is of the opinion that the financial statements present fairly, in all material respects, the financial position of the voluntary funds administered by the United Nations High Commissioner for Refugees as at 31 December 2010 and the results of transactions and cash flows for the year then ended, in accordance with the United Nations system accounting standards; income and expenditure are recorded for the purposes prescribed by the General Assembly and transactions are in accordance with the Financial Regulations and Rules of the United Nations and the Financial Rules for voluntary funds administered by the High Commissioner for Refugees. In its 2009 audit report, the Board highlighted two matters without expressing a qualified opinion: the unreliability of the non-expendable property disclosed as a value of $343.61 million; and a deficit of $159.9 million in reserves and fund balances resulting from the provision for end-of-service and post-retirement benefit-related liabilities. This year, the Board issued an unmodified audit opinion as a result of UNHCR ' s progress in eliminating deficiencies in the asset register and the Board ' s assurance that UNHCR ' s negative asset position did not indicate that its basic financial situation was unstable. These issues are addressed in more detail in the relevant sections of this report. The overall conclusion of the Board of Auditors is that UNHCR often provides beneficial support and protection to millions of refugees around the world in the face of operational challenges. In 2006, UNHCR began a multi-year structural and management innovation process aimed at strengthening the capacity to provide assistance, protection and solutions to those concerned and at adapting work practices to results-based management. New planning, budgeting and management tools and structures are being mainstreamed into UNHCR operations, and a reform programme is under way. The Board had expected UNHCR to demonstrate the real benefits of its innovative programme, but so far UNHCR had not been able to do so. The Board identified significant concerns with regard to key aspects of UNHCR finance, risk and performance management and identified difficulties encountered by UNHCR in seeking to make value for money a central element of decision-making and operations. The Board is concerned about the significant deficiencies in the financial management of UNHCR, as evidenced by weaknesses and weaknesses in the management of its bank accounts, receivables and assets, poor field financial management capacity and problems encountered by UNHCR in preparing a robust set of audit accounts. This has become a significant risk for UNHCR, as donors are increasingly under pressure to justify public funding to international aid organizations. These issues are further highlighted in the ongoing work to implement the International Public Sector Accounting Standards (IPSAS). While the Board acknowledges that UNHCR is currently in the process of reconciling and identifying and valuing its assets in preparation for the implementation of IPSAS, there is a need to improve the financial literacy of the organization as a whole if the standards are to be successfully implemented and the benefits realized quickly. UNHCR is likely to fall short of the 2012 target for the implementation of the Standards, in particular because the country office network does not have the capacity to meet the stringent new processes and standards required by IPSAS. The ability to produce accurate and timely year-end accounts is also an important indicator of UNHCR ' s ability to successfully implement IPSAS in the first year, especially in view of the fact that more stringent accounting standards will be adopted at that time. Despite ongoing efforts by UNHCR management to implement results-based management, limited progress has been made in this regard. UNHCR remains unable to collect and analyse basic management information on its operations, to consolidate information on costs and performance, and to fully understand the performance of its implementing partners or the delivery of major initiatives. Nor has it established an organization-wide structural approach to risk management. Furthermore, in view of the importance of implementing partners in the delivery of mandates, the Board is particularly concerned about the lack of transparency in the partner selection process and the increased risk of fraud and corruption faced by UNHCR. The Board recognizes that UNHCR recognizes the risks associated with partner selection and is undertaking a wide-ranging review to improve partner selection and management. The Board has not yet observed a clear and built-in culture of accountability for resource management and performance in UNHCR, from country offices to corporate centres. This has led to problems across the network: low levels of compulsory operational control; and a very different approach to common challenges. In summary, for a service organization such as UNHCR to demonstrate the value of funding, it is necessary to link financial management information to the measurement of outputs in a systematic and quantitative manner for all major activities, with effective risk management and regular in-depth evaluation of programme impact. While the Board acknowledges the efforts made by UNHCR, it concludes, on the basis of the audit evidence presented in the present report, that UNHCR has yet to develop mature and effective performance management, financial management and risk management. Until this is done, UNHCR cannot demonstrate in a comprehensive and objective manner that it has used resources in a cost-effective manner in its important work on behalf of refugees. UNHCR's inadequate preparation for financial audits reflects significant deficiencies in the financial statement preparation system, as well as significant deficiencies in the quality of oversight and accountability for the process, from the top leadership to the grass-roots level and the organization as a whole. Key issues are the completeness and accuracy of audit trails across the organization and the uneven quality of financial reviews and reports. The Board of Auditors found weaknesses in control and financial management oversight in a number of areas, in particular: • UNHCR had 425 bank and cash accounts worldwide, with a combined deposit balance of $147 million, of which 11 were inactive. In addition, UNHCR held a number of investment accounts, with a total balance of $290 million as at 31 December 2010. The Board found that 82 bank accounts (with a total balance of $5.3 million) and 17 investment accounts (with a total balance of $325 million) were not reconciled in a timely manner in 2010, which was a key financial control measure. This lack of basic control, combined with the excessive number of bank accounts, increases the risk of UNHCR being exposed to misappropriation and fraud, as well as excessive administrative costs. UNHCR had reduced the backlog of reconciling accounts to 10 by the end of the year (of which only 3 were active) and was in the process of rationalizing and reducing the number of bank accounts it maintained in order to enhance control and efficiency, an area that must be strictly controlled as a matter of urgency. • The Board found errors in UNHCR's expendable property (inventory) system, either because the purchase value of the items was not accurately reflected or because the items had a value record but were outdated. For example, in one warehouse, obsolete inventory accounted for 52 per cent of the total inventory of $1.31 million. If UNHCR is to effectively manage inventory items and meet the requirements of the International Public Sector Accounting Standards in accordance with the planned schedule for 2012, it will need to take urgent action to address deficiencies in its inventory management and valuation. The value of expendable property was approximately $130 million, but it was not disclosed in UNHCR ' s 2010 accounts, as the accuracy of the valuation of its property had not been assured. As a result of the Board ' s audit, UNHCR made adjustments to the financial statements totalling approximately $39 million. UNHCR has reformulated its financial statements, adjusted established accounting policies to reflect accounting practices and disclosed accounting policies relating to other significant balances and transactions, which enabled the Board to issue an unmodified audit opinion. Pending the successful implementation of IPSAS in 2012, it is likely that UNHCR will not be in a position to finalize new policies and practices in a timely manner, communicate them to staff and establish them as a working routine. UNHCR still needs to do a great deal of work to accurately identify assets and liabilities that need to be disclosed as required by IPSAS; in addition, poor financial management capacity at the country office level is a risk to IPSAS implementation and compliance. In view of the limited time available before implementation, the Board is also concerned that to date it has not seen a clear plan to “try” the accounts with real accounting data: The Board is of the view that, without a pilot operation, it is unlikely that a complex organization such as UNHCR will produce high-standard financial statements that will have to be submitted within the established implementation time frame. Even if UNHCR prepared IPSAS-compliant financial statements, it would not immediately enjoy the full benefits of IPSAS. The implementation of IPSAS is not an end in itself, but rather a contribution to more effective accountability and financial management. UNHCR has not yet made the necessary arrangements to benefit from the implementation of the International Public Sector Accounting Standards (IPSAS), including to realize the cost-effective potential for change in its operations and to achieve the major cultural and behavioural changes required. UNHCR did not invest in training to clarify to all staff the impact and potential of IPSAS to improve the cost-effectiveness of activities and their beneficial impact; nor did it have plans to realize benefits. Performance reporting and progress in the implementation of results-based management, UNHCR country network performance reporting, does not enable management to effectively judge the cost-effectiveness of projects and activities or to hold local managers accountable for performance. Despite the introduction of results-based management in 2005, the reports submitted did not regularly integrate financial and outcome data, were not analysed and were not structured in a general and easily readable format. UNHCR recognizes that it must make better use of its existing systems to do so, and that it must duly reconcile the requirements for data collection at the country level to accommodate the need for stronger, relevant and useful performance information at the corporate level. UNHCR has not yet established an organization-wide and systematic risk management approach, including an enterprise-wide risk register. Initial preparation exercises implemented in 2005/06 and 2008 did not continue. The selection process of implementing partners is not rigorous and transparent, thus increasing the risk of fraud, corruption, inefficiency and underperformance of partners. Some 57 per cent of partners have worked with UNHCR for more than five consecutive years (28 per cent over 10 years) and have renewed agreements on several occasions. The Board found little evidence that UNHCR had conducted any form of competitive selection process, benchmarked the costs and performance of alternative partners or compared competencies and “suitability” as required. The frequency and quality of country office monitoring of partner performance and follow-up on underperformance varied. While UNHCR generally follows the same policy in managing its partners, rather than targeting oversight activities through risk assessments of the services provided and based on the size, location, past performance and nature of the services provided, the Board acknowledges that UNHCR intends to pursue the latter approach. As performance monitoring indicators rarely measure the quality of services or results, UNHCR ' s ability to determine the effectiveness of partner activities is limited. When implementing partners perform poorly, management actions are inconsistent and the relevant partners are not necessarily held accountable. The Global Plan of Action on protracted refugee situations had neither a senior and accountable leader nor indicators to measure progress or success. It is implemented as a series of separate projects, not as a coordinated programme. UNHCR launched the plan in 2008 to address five specific situations considered to be the most vulnerable to positive change. The Board did not find any overall measures or objectives that would reflect the extent to which the plan alleviated the protracted refugee situation and reduced the refugees ' dependence on UNHCR, nor did it find any track record of how UNHCR deployed resources for this strategic initiative. While UNHCR was unable to provide the Board with reliable overall data, it planned to increase expenditure to $300 million in 2011 for 11 of the most critical situations (two thirds of the total number of refugees in various situations), representing a 150 per cent increase since 2007. While there are examples of closer collaboration between UNHCR and development agencies such as the United Nations Development Programme, the key challenge remains to deepen the necessary cooperation and to establish appropriate funding mechanisms. In view of the above audit findings, the Board makes detailed recommendations in the main part of the present report. In summary, its main recommendations are that UNHCR: • implement an effective end-of-year financial statement preparation process, including a detailed management review; • study and explore the reasons for inadequate financial management and reporting capacity in country offices; • focus on banking arrangements, close any unnecessary bank accounts and improve bank reconciliation procedures; • strengthen preparations for the implementation of the International Public Sector Accounting Standards (IPSAS) by: (i) discussing with the Board of Auditors the revision of financial rules and regulations at an early stage; (ii) establish a set of accounts that are “tested” compliant with the International Public Sector Accounting Standards; (iii) clean up its accounting records and develop a clear plan for establishing opening balances; (iv) implement an organization-wide change management programme to enable the achievement of the expected benefits of IPSAS projects; • link financial data and output data to enable the assessment of the cost-effectiveness of its operations and enhance accountability; • establish a simple organization-wide risk management approach, without imposing a heavy burden on national operations; and require its national business units to document the rationale for their respective selection partners and formally assess the market of their replacement partners; and • a senior leader to address the protracted refugee situation in order to monitor Of the 24 recommendations made in 2009, 3 (13 per cent) were fully implemented, 14 (58 per cent) were under implementation and 7 (29 per cent) were not implemented. This represents a decline in the implementation rate since 2009, when eight (42 per cent) of the recommendations made in 2008 were implemented.", "Background", "1. The Office of the United Nations High Commissioner for Refugees (UNHCR) provides support (food and shelter) and protection services (security and legal support) to some 33.9 million displaced persons who have fled their homes or homelands. It operates in a decentralized manner, with over 6,300 regular staff, mostly working in some 380 offices in 125 countries.", "2. In 2006, UNHCR launched a multi-year structural and management reform process aimed at strengthening its capacity to deliver services and mandate and to implement results-based management. New planning, budgeting and management tools and structures are being gradually mainstreamed into UNHCR operations. These include the roll-out of the new enterprise resource planning system, the new budget structure and the new results framework, supported by the roll-out of the planning and management software, Focus.", "3. UNHCR has also increased decentralization in the field to enable a more effective response and has launched a global management accountability framework. It has also moved back-office functions from headquarters to Budapest, established a global learning centre and invested in improving the quality of supply management functions — an important activity in providing protection services.", "4. The reform programme is under way. The Committee is concerned that progress has been slow and that UNHCR has so far been unable to deliver tangible benefits. However, against a 70 per cent increase in expenditures between 2006 and 2010, the overall increase in the number of staff in the same period was less than 5 per cent, while the number of staff at Headquarters decreased by about 30 per cent. While these are not final figures, as they do not take into account the results and impact of UNHCR, they suggest that UNHCR may be increasing its output rates in certain areas.", "5. In October 2009, UNHCR presented to its Executive Committee a total of $3 billion, a needs-based global budget for 2010, which was subsequently revised to $3.3 billion during 2010, $1.5 billion more than the $1.8 billion budget for 2009. The year 2010 was characterized by financial constraints on many donor countries, but UNHCR continued to receive strong support from donors, as well as continued support from traditional donors and increasing support from new donors, including the private sector. UNHCR informed the Board that in 2011 it would seek to consolidate the results of its reforms.", "Mandate, scope and methodology", "6. In accordance with General Assembly resolution 74 (I), the Board of Auditors has audited the financial statements and reviewed the operations of UNHCR for the year ended 31 December 2011. The audit was conducted in conformity with the Financial Regulations and Rules of the United Nations, the financial rules for voluntary funds administered by the High Commissioner for Refugees and the International Standards on Auditing. Those standards require that the Board comply with professional ethics and plan and perform the audit to obtain reasonable assurance as to whether the financial statements are free from material misstatement.", "7. The audit was conducted primarily to enable the Board to form an opinion as to whether the financial statements presented fairly the financial position of UNHCR as at 31 December 2010 and the results of its operations and cash flows for the financial period then ended, in accordance with the United Nations system accounting standards. This includes an assessment of whether the expenditures recorded in the financial statements have been incurred for the purposes approved by the governing bodies and whether income and expenditures have been properly classified and recorded in accordance with the Financial Regulations and Rules of the United Nations and the Financial Rules for Voluntary Funds administered by the High Commissioner for Refugees. The audit included a general review of financial systems and internal controls and a test examination of the accounting records and other supporting evidence to the extent that the Board considered necessary to form an opinion on the financial statements.", "8. The Board also reviewed UNHCR operations under United Nations financial regulation 7.5. Financial regulation 7.5 provides that the Board shall make observations with respect to the efficiency of the financial procedures, the accounting system, the internal financial controls and, in general, the administration and management of UNHCR operations. The Board focuses on:", "(a) Progress and readiness to implement the International Public Sector Accounting Standards in 2012;", "(b) Performance reports and progress in the implementation of results-based management;", "(c) Management of implementing partners;", "(d) Management of protracted refugee situations.", "9. During its audit, the Board visited UNHCR headquarters in Geneva and the Global Service Centre in Budapest to review field operations in Colombia, Iraq, Jordan, Pakistan and the United Republic of Tanzania. The Board coordinated with the Office of Internal Oversight Services to avoid duplication and to determine the extent to which reliance could be placed on the work of the Office.", "10. In the opinion of the Board, the matters addressed in the present report should be brought to the attention of the General Assembly, including specific requests by the Assembly and the Advisory Committee on Administrative and Budgetary Questions.", "11. The Board ' s observations and conclusions were discussed with UNHCR, whose views have been appropriately reflected in the present report. The recommendations contained in the present report do not address the measures that UNHCR may take, for example, against officials who do not comply with its financial rules, administrative instructions and other relevant directives.", "C. Conclusions and recommendations", "1. Follow-up of previous recommendations", "12. Of the 24 recommendations made in 2009, 3 (13 per cent) were fully implemented, 14 (58 per cent) were under implementation and 7 (29 per cent) were not implemented. This represents a decrease in the implementation rate since 2009. In 2009, eight (42 per cent) of the recommendations made in 2008 were implemented. Further details on implementation are provided in annex 1.", "13. The recommendations originally made in 2007 and 2008 but not yet implemented in 2009 were reiterated as recommendations in the 2009 report of the Board of Auditors (A/65/5/Add.5). At the request of the Advisory Committee on Administrative and Budgetary Questions (see A/59/736), the Board assessed the timeliness of previous recommendations that had not yet been fully implemented. Of the 21 previous recommendations of the Board that were in the process of being implemented or not yet implemented, 64 per cent related to 2009, none to 2008 and 36 per cent to 2007.", "14. As part of the move of corporate services from Geneva to Budapest in 2008/09, UNHCR sought to reduce administrative costs and ensure continuity of service, at least at the initial stage, to provide the same level of service as previously in Geneva. In its previous report, the Board emphasized that UNHCR had not yet established benchmarks against which to assess better service delivery to country offices. The Board recommends that, prior to each structural change, UNHCR develop detailed objectives and success indicators. The Board considers that it is too early to assess the impact of the relocation to Budapest, but will review this issue in future reports.", "15. UNHCR agreed with the Board ' s recommendation that it prepare comparative statistics and indicators to measure the improvement in the quality of services provided by outposted offices. It intends to implement this recommendation by restructuring the Information Systems and Telecommunications Division and establishing a new information and communications technology service centre in Amman as planned in 2011. The Board reviewed the restructuring plan of the Division and found that it was in the process of establishing relevant indicators and benchmarks. This included a survey to establish benchmarks to measure staff satisfaction with existing information and communications technology services, as well as appropriate indicators and targets to monitor the impact of the restructuring between 2011 and 2015, including on service delivery during the 2011 transition period.", "Recommendations partially implemented or not implemented", "16. With regard to 7 of the 14 recommendations being implemented, the Board noted that their implementation depended on current medium-term projects, such as a strategy for liabilities for after-service and post-retirement benefits, or on the upgrading of UNHCR ' s electronic database for non-expendable property management.", "17. Of the seven recommendations not implemented, the Board was particularly concerned about the recommendation made in 2009 that UNHCR ensure that bank reconciliations are detailed and address the unclear discrepancy between bank confirmation statements and the general ledger. Although UNHCR agreed with this recommendation, the Board found that there had been significant oversight of bank reconciliations during the year. Overall, the low level of implementation in 2010 reflects the numerous deficiencies and errors identified by the Board during its audit and highlighted in the present report. The Board reiterated most of the outstanding recommendations in the relevant sections. Two recommendations not addressed elsewhere in the present report are as follows:", "(a) The Board previously recommended that UNHCR continue its efforts to reduce the number of staff in between assignments who are not on temporary duty assignment. UNHCR has not yet finalized a new policy on staff in between assignments.", "(b) The Board had recommended that UNHCR, in collaboration with OIOS, take appropriate measures to reduce vacancies for internal audit staff. UNHCR remains concerned that the provision of internal audit coverage does not cover the focus areas of programme activities and will continue to pursue this matter as a matter of priority with senior officials of the Office of Internal Oversight Services. However, the Board did not reiterate this recommendation, but will discuss its findings with OIOS as part of its planning for 2011.", "18. The Board reiterates its previous recommendation that UNHCR continue its efforts to reduce the number of staff in between assignments who are not on temporary duty assignment. It will re-examine this issue after UNHCR has revised its policy.", "19. UNHCR indicated its intention to promulgate a revised policy on staff in between assignments by the end of 2011.", "2. Financial overview", "UNHCR ' s overall financial position", "20. The financial statements show UNHCR ' s 2010 income of $1,992 million, an increase of $189.1 million over 2009, with reported expenditure of $1,923 million. This reflects an excess of income over expenditure of $69 million, that is, a net surplus of $73.1 million in 2010, adjusted for prior-year contributions and expenditures, as shown in the statement of income and expenditure and reserves and fund balances. This continues UNHCR ' s recent trend of excess of income over expenditure, resulting in a cumulative cash and term deposits of $437.1 million as at 31 December 2010. UNHCR ' s net liability as at 31 December 2010 was $72.3 million,[1] showing a decrease of some $87.7 million since 2009.", "The bulk of UNHCR's expenditure of $1,923.1 million in 2010 — approximately $1,493.6 million (78 per cent) — was for its programmes (see note 6 to the financial statements) and the remainder for administrative costs and staff benefits. Of the income of $1,992 million in 2010, some $1,903.5 million (96 per cent) was voluntary. The timing of UNHCR ' s voluntary funding may vary considerably, thus creating difficulties for UNHCR country operations to use it in a regular and predictable manner during the year. For example, in 2010, the UNHCR office in Iraq (the largest country operation) received significant inflows in November and December. The Board noted that, as at 31 December 2010, more than half of the annual expenditure of UNHCR Iraq had not been paid and needed to be settled by 31 March 2011.", "22. UNHCR ' s funding is uncertain and at the end it surges, affecting resource management and decision-making. The Board noted that, in many cases, it would be profitable to concentrate on activities for which UNHCR could quickly spend and which were less dependent on future funding or to extend to year-end important “year-round” services such as medical referrals. The Board is also concerned that uneven funding and expenditure patterns may lead to faster year-end expenditure and increased risk of control and compliance.", "23. In 2010, approximately one third of UNHCR ' s expenditure ($677 million) was disbursed through implementing partners. As indicated in note 6 to the financial statements, as at 31 December 2010, management had received financial monitoring reports justifying expenditures of $386 million (57 per cent). By 31 May 2011, it had received all reports covering 98 per cent of expenditure.", "3. Financial management", "24. Despite the concerns raised by the Board of Auditors in 2009, UNHCR is still underprepared for financial audits, reflecting the significant deficiencies in the current system in the preparation of its financial statements and in senior management ' s organization-wide oversight and ownership of such processes. The additional unplanned investment by UNHCR staff to address these deficiencies has resulted in additional costs for the Board. The audit resulted in an adjustment to the financial statements totalling $39 million, resulting in a net decrease of $3.12 million in fund balances as at 31 December 2010.", "25. The Board was unable to determine the audit trail of the trial balance from the accounting records and the trial balance was not consistent with the financial statements, although this was a clear requirement prior to the audit. The comparative information was neither complete nor accurate, and the high rate of misstatement in the transactions audited was unacceptable, as reflected in the extensive adjustments made to the financial statements. In addition, the accounting policies established were incomplete and did not accurately reflect the accounting practices used by UNHCR. For example, UNHCR ' s initial revenue accounting policy required that pledges from Governments be fully recognized only when pledges were actually received; however, the Board found that in practice, UNHCR recognized the year in which the pledges were made as income. Both approaches are acceptable under United Nations system accounting standards, but this accounting practice is not consistent with established accounting policies and is unacceptable. The accounting policy was subsequently modified to reflect actual accounting practices. In accordance with the International Standards on Auditing, the Board of Auditors requested UNHCR to address the issues identified and to resubmit the financial statements for audit.", "26. In particular, the Board was concerned that the accompanying forms and analysis were not prepared sufficiently to facilitate management review to validate that the financial statements submitted were fairly presented, accurately reflected the accounting records or were in accordance with established accounting policies. The Board considers that UNHCR needs to make significant improvements in this area, as the High Commissioner has direct responsibility for the preparation of accurate financial statements.", "27. The Board also found that UNHCR ' s review of financial information throughout the year was limited. For example, accounts receivable are not regularly reviewed to confirm that the balance is an effective asset of the organization. The Board found significant errors in the accounts receivable. A number of accounts receivable have been outstanding for five years, while UNHCR and the Board of Auditors have followed up and found that some of them are unlikely to be received from donors. Accounts have either been received but receivables have not been written off or donors have confirmed that they will not pay their pledged contributions. As a result of the audit, UNHCR made adjustments to its long-outstanding receivables amounting to $5.2 million and to accounts payable and repatriation grant obligations amounting to $2.1 million, resulting in write-offs totalling $4.4 million in prior years.", "28. The Board is of the view that, in all material respects, UNHCR presented its financial statements fairly, having restated them and made other adjustments, including adjustments to established accounting policies to reflect actual accounting practices and disclosure of accounting policies relating to other significant balances and series of transactions.", "29. The Board recommends that UNHCR establish a detailed process for the preparation of financial statements at year ' s end, which should include the cleaning of accounting records, the preparation of comprehensive supporting forms and a detailed, evidence-based management review of the draft statements prior to their submission to the Board. This recommendation replaces the outstanding 2009 recommendation, which originally required UNHCR to (a) ensure that responsible officials comply strictly with the organization ' s closure instructions and (b) adjust its internal procedures to comply with audit requirements.", "30. UNHCR indicated that it would review in detail its year-end closure exercise in the light of lessons learned from recent audits. This review will be completed by 31 October 2011. UNHCR also informed the Board that it had strengthened its management accounting control function and other key positions in the Office of the Controller in June 2011 and had initiated a benchmarking exercise to assess UNHCR financial management practices against best practice standards.", "31. At the country office level, the Board found that UNHCR country offices did not have a sound financial management culture. UNHCR ' s ERP capacity is not well understood by country office users. Local finance officers and supply managers cannot prepare standard financial reports or prepare their cost centre or long-term inventory trial balance or inventory utilization reports, which are essential functions for effective day-to-day financial management.", "32. For example, the Board found that the UNHCR office in the United Republic of Tanzania had unsupported receivables and related bad debts of $2 million, dating back to seven years, and that there had been no supporting financial system balances in its ledger since 2003. The Board also noted that UNHCR had made several adjustments to its ledgers as the main entry entered by field offices was invalid, which indicated inadequate control over field accounting data entry.", "33. The Board recommends that UNHCR review and address the reasons for deficiencies in the financial management and reporting capacity of country offices.", "34. The Board also recommends that UNHCR strengthen its monthly financial closure process, which should include, for example, a documented review and confirmation of assets and liabilities, a budget-based review of income and expenditure, and the signing by the relevant responsible staff at Headquarters and in the field of the relevant parts of the trial balance for which they are responsible.", "35. UNHCR accepted the Board ' s recommendation and stated that it would review the relevant audit and inspection reports, consult with headquarters bureaux and continue to analyse financial data from its enterprise resource planning system to determine which country offices needed to strengthen financial management. UNHCR will develop a work plan to fill identified gaps, including any additional training required in these locations. This work will commence as soon as possible in 2011.", "36. UNHCR also indicated that it would clarify the list of documents to be reviewed and, as part of its month-end closure exercise, sign them by the relevant managers, and that it intended to activate the query functionality in its enterprise resource planning system and to prepare month-end account information so that UNHCR internal units could use the same documents.", "Liabilities for end-of-service benefits", "37. The 2010 financial statements showed end-of-service and post-retirement liabilities of $393.7 million. Of this amount, $286.6 million was after-service health insurance. The liability was determined by actuarial valuation at a discount rate of 5.55 per cent and was based on the spot rate of high-quality institutional bonds in euros (the same method was used in 2009, with a discount rate of 6.15 per cent). As a result of market fluctuations during the reporting period, there was a change in the discount rate, while a decrease in the discount rate actually resulted in a decrease in the estimated total liability (further explained in note 19 to the financial statements). An actuarial surplus or loss was recognized when it occurred and UNHCR disclosed an actuarial surplus of $91 million for the year ended 31 December 2010 in the statement of income. The Board had recommended in 2009 that UNHCR modify the financial disclosure of the figures relating to after-service health insurance in its financial statements to disclose the main changes in actuarial assumptions; the Board continued to point out the need for clearer disclosure of the sensitivity of the assumptions used and their impact on the valuation of liabilities.", "38. In its resolution 64/241, the General Assembly requested the Secretary-General to continue to validate the accrued liabilities for after-service health insurance with the figures audited by the Board of Auditors and to include this information and the results of the validation in his report to the Assembly at its sixty-seventh session. The Board reviewed the actuarial valuation of the liabilities for after-service health insurance and repatriation benefits. The Board concluded that the actuary had the appropriate qualifications to carry out the valuation and that the actuarial assumptions used in calculating the discount rate, as well as the actuarial surplus and loss measures, were in line with the provisions of International Public Sector Accounting Standard (IPSAS) No. 25. However, while it was the responsibility of UNHCR management to ensure that accurate and complete data were provided to the actuary, the Board found that no documented data accuracy and completeness review had been provided prior to the audit. At the request of the Board, UNHCR undertook additional work to review and validate the accuracy of the data.", "39. The Board reiterates its previous recommendation that UNHCR: (a) fully align its disclosure of end-of-service benefit liabilities with the 2011 International Public Sector Accounting Standards (IPSAS) (including by disclosing in its notes more information on the impact of the change in the discount rate on its stated liabilities); and (b) establish a dedicated funding modality for end-of-service benefits and after-service health insurance liabilities.", "40. The Board also recommends that UNHCR develop sound and documented quality control procedures to validate the completeness of the data provided to its actuary on staff end-of-service liabilities.", "41. UNHCR accepted both recommendations and informed the Board that its note disclosure for the 2011 financial period would highlight the impact on its liabilities due to changes in the discount rate or other significant assumptions. UNHCR will also develop procedures to review and validate the data provided to its actuaries. UNHCR also informed the Board that its Standing Committee had approved in June 2011 a strategy for funding its accrued end-of-service and post-retirement benefit liabilities; the Board would review this during its next audit.", "5. Bank accounts, cash and investments", "Bank accounts", "42. As at 31 December 2010, UNHCR had 425 separate bank and cash accounts, with a combined balance of $147 million, and a number of investment accounts, with a year-end balance of $290 million. Of the 425 bank accounts and cash accounts, 414 were active accounts and the remaining 11 were inactive accounts, but remained open on behalf of UNHCR. The high number of bank and cash accounts, combined with the decentralized nature of UNHCR operations, makes it difficult for UNHCR to adequately manage and control the use of these accounts, thus increasing the risk of error, fraud and inefficient management. While financial rules had been established for the opening of new bank accounts, there were no routine procedures to ensure that once a bank account had been opened, there was indeed a need to maintain it. UNHCR ' s year-end cash stock increased from $225 million in 2006 to $437 million in 2010, and its average total cash stock increased to nearly $410 million over the quinquennium.", "43. During its interim audit, the Board recommended that UNHCR rationalize its banking arrangements. UNHCR subsequently informed the Board that it was in the process of rationalizing centralization of banking operations in Africa and Asia, but considered that some local currency bank accounts still needed to be retained. UNHCR believes that when this is done, it will maintain a minimum number of bank accounts necessary for effective financial and operational management.", "44. The Board recommends that, as part of its efforts to rationalize its banking arrangements, UNHCR centralize its headquarters banking arrangements in order to exert maximum influence on the banks it uses and to subject all accounts to regular, rigorous questioning and the immediate closure of any unnecessary bank accounts.", "45. UNHCR accepted this recommendation and indicated that it had implemented a comprehensive plan to continue the roll-out of the centrally disbursed approach in the Africa and Asia regions, which is expected to be completed by the end of 2011. More generally, UNHCR will conduct quarterly reviews to confirm that there is a genuine need for each bank account to be maintained and to provide a comprehensive analysis by account type. UNHCR emphasized the need for an effective bank account structure to balance the needs for programme implementation in hardship areas globally and to provide a cost-effective and integrated cash management and liquidity banking structure.", "Reconciliation of bank accounts", "46. Bank reconciliation is the primary control against fraud and error. UNHCR ' s financial rules provide for the monthly reconciliation of current accounts. This is not a heavy requirement; many organizations in both the public and private sectors are reconciling current accounts on an ongoing or daily basis.", "47. In its previous report, the Board recommended that UNHCR ensure that its bank accounts are reconciled in detail and that the unclear differences between the bank statements and the general ledger are addressed. While UNHCR agreed with this recommendation, the Board found significant deficiencies in the reconciliation of bank accounts during 2010.", "48. In 2010, the Board identified a total backlog of 82 unreconciled bank accounts and 17 unreconciled investment accounts (balances of $50.3 million and $325 million, respectively). This reflects an unacceptable slippage in key financial control operations. Until the end of the year, UNHCR reduced the backlog of unreconciled accounts to 10 (of which only 3 were active accounts with a total balance of $281,000), but the Board was concerned that the backlog in bank reconciliations was allowed at the outset. The Board also found that even when reconciliations were performed, appropriate action was not always taken to update the relevant accounting records. Of the 13 items identified by UNHCR staff for reconciliation, the Board found that no action had been taken in five cases, resulting in audit errors of $981,000.", "49. The Board reiterates its recommendation that UNHCR perform detailed bank reconciliations and reconcile all differences with the general ledger. This should include, as part of the month-end financial procedures, the re-sampling of bank accounts to ensure that management is satisfied that the current reconciliations are timely and accurate and that items requiring them have been properly resolved.", "50. The Board also recommends that UNHCR revise its policy on monthly bank reconciliations, drawing on international best practices, in particular with respect to more active accounts. This will require UNHCR to identify its most active bank accounts, obtain information from them on daily transactions and update its internal procedures accordingly.", "UNHCR accepted these recommendations and indicated that a concerted effort would be made to reduce the number of items to be reconciled and to clear old items to be reconciled. UNHCR will also reassess a sample of field offices engaged in bank reconciliations as part of its month-end process, which began in July 2011; it will also revise its policy to perform routine bank reconciliations for more active accounts. Starting in September 2011, the daily bank reconciliations of its headquarters bank accounts will be performed on a routine basis.", "Management of cash and investments", "52. UNHCR ' s total cash and term deposits as at 31 December 2010 amounted to $437.1 million, an increase of $54.5 million (14 per cent) over 2009; an increase of $211.8 million since 2006. In the five years since 2006, UNHCR ' s average total cash holdings have increased to $409.8 million. The statement of cash flows (statement III) shows that UNHCR ' s cash holdings increased by approximately $95 million over the past two years. The Board also noted that, throughout 2010, UNHCR held an average cash balance of approximately $350 million in addition to its Working Capital Fund. The Fund is maintained to meet necessary payments and secured obligations pending receipt of pledges. As a result, UNHCR currently holds large and increasing cash assets. In 2010, interest income on its cash investments was $1.1 million, compared with $2.3 million in 2009.", "53. UNHCR attributed the increase in year-end cash and term deposits to the unexpected receipt of special contributions in the second half of the year, including earmarked flood-related contributions for Pakistan, which resulted in a significant increase in average holdings for the year. UNHCR informed the Board that its cash holdings were mainly for approximately two months of expenditure. In its next report, the Board will review the impact of the holding of these cash balances on UNHCR ' s planning and programme delivery and on cash flows and financial management.", "6. Non-expendable and expendable property", "Non-expendable property", "54. UNHCR ' s global reach makes it highly dependent on effective asset and inventory management. As at 31 December 2010, UNHCR held approximately $321 million in non-expendable property (recorded at cost). Further to the salient concerns raised in 2009 regarding weaknesses in UNHCR ' s asset register, the Board noted that UNHCR had made progress in 2010 in cleaning its asset register as part of its transition to IPSAS and in response to concerns raised by the Board in 2009 about the quality of record-keeping in the field. The asset register, while compliant with the disclosure requirements of the United Nations system accounting standards, is still not sufficiently complete and reliable for IPSAS disclosures.", "55. In 2010, UNHCR issued a new asset management policy in line with IPSAS. The new policy redefines property as property, plant and equipment, serial tracking items, inventory goods and consumables and specifies which items should be recorded in the UNHCR asset register and how their value should be determined and their whereabouts recorded. Despite this new policy, the Board continued to identify weaknesses in the management of non-expendable property. For example:", "(a) The overvalued and undepreciated value of the vehicles in use [2] raises concerns about the completeness and valuation of the recorded assets. For example, Iraq ' s operational data records the purchase of eight Toyota Land Cruiser Land Cruisers in 2003, each with a historical cost and net book value of $99,000, which is significantly higher than the original purchase price paid by UNHCR and the reasonable value of assets in 2010;", "(b) The Local Assets Management Board[3] met very rarely and incorrectly explained the write-off instructions from Headquarters, which led to an erroneous write-off of assets in the following year, followed by significant write-offs. Given the age of the vehicles, the value involved is low.", "56. The Board recommends that UNHCR intensify its efforts to clear supporting data for the valuation of non-expendable property and strengthen the guidance and information provided to country offices on asset management. The latter should include guidance on the frequency of meetings of local asset management committees.", "57. UNHCR accepts this recommendation and notes that its Supply Management Service launched a global project in June 2011 to assist all country offices in validating their property, plant and equipment and inventories. The project will be completed in September 2011. As part of this work, an internal team of experts will provide on-site support to the 21 largest country operations and provide training to property, plant and equipment and inventory focal points and senior managers to assist in improving the understanding of property, plant and equipment accounting and the conduct of local asset management committee meetings. The training course will cover all regions and will be completed in December 2011.", "58. UNHCR also noted that the remaining country operational units with property, plant and equipment had been instructed to verify property, plant and equipment during that period and would be reviewed. To support this work, UNHCR has established an upgrade process, with monthly exception reports, for deferred disposal projects, assets not verified in MSRP, receipt of purchase orders not received, assets in transit, assets received but not operational and assets over 15 years old. Any significant matters referred to in these exception reports will be followed up within one month with the country ' s PPE focal point; if not, they will be referred to the Assistant High Commissioner for Operations for action.", "Expendable property management", "59. In 2007, the Board recommended that UNHCR disclose the value of expendable property at year-end in order to provide more complete and accurate disclosure of its assets. UNHCR agrees with this recommendation. UNHCR has a global system for tracking the receipt, storage and dispatch of all its warehouse inventory. The information recorded in the system is verified annually by physical counts at each location. While the system tracks inventory levels, it has never provided an accurate valuation of inventory items; therefore, the value of inventory has never been reported in the financial statements. In 2010, UNHCR attempted to establish its inventory management system to enable the accurate valuation of all items during the transition to IPSAS and intends to disclose the inventory of expendable property in the financial statements for the year ended 31 December 2010.", "60. According to UNHCR ' s global inventory system, the value of expendable property as at 31 December 2010 was $130 million. Despite the system upgrades, the Board found, during its field visits, instances of discrepancies between the values recorded in the system and the amounts actually paid by UNHCR for related items, and that some of the valuable inventories were old and should be recorded as zero. For example, during an audit of a warehouse in Iraq, we found that obsolete inventory represented 52 per cent of the total inventory of $1.31 million, but management made no adjustments. UNHCR itself had been concerned about accuracy, which had prompted it to decide not to proceed with the planned change in accounting policy. Accordingly, there was no disclosure of expendable property in the 2010 financial statements.", "61. UNHCR ' s new asset management policy provides for at least one physical inventory per year. However, this may not be appropriate for field offices with particularly high inventory value or operating in difficult circumstances, or for organizations requiring a rapid response to an emergency, as they may need to take a more frequent inventory (perhaps quarterly). Accurate information on the status, suitability and value of inventories is essential for operational work and an important requirement for IPSAS compliance.", "62. The Board recommends that UNHCR refine and strengthen its existing inventory count procedures by drawing on lessons learned in 2010, including the need for more frequent inventory counts until the integrity of the system is assured.", "63. The Board also recommends that UNHCR regularly review all obsolete and damaged inventory items and reduce their value accordingly.", "64. UNHCR accepted the recommendations and indicated that it would implement them as part of its global project to carry out physical verification of all inventories and property, plant and equipment in all country operations during the period from June to September 2011, in addition to the physical count at the end of the year. On the basis of the results of the verification exercise, UNHCR will determine whether it is necessary to continue to conduct comprehensive physical counts twice a year or whether additional counts will be required at a given time. In addition, all inventory items will be verified during the physical count to determine whether they are obsolete or damaged and, if necessary, cancelled.", "7. Progress towards the implementation of IPSAS", "65. In June 2010, the UNHCR Standing Committee[4] decided to postpone full implementation of IPSAS from 2010 to 2012. UNHCR acknowledged that it had underestimated the scope requirements for IPSAS implementation and had not allocated sufficient resources for the project. Subsequently, there were further delays in implementation, as UNHCR faced a number of priorities, including the updating and development of UNHCR software to support results-based management and the introduction of a new budget structure on 1 January 2010.", "Project management", "66. The UNHCR IPSAS implementation project is headed by the Deputy High Commissioner. A Steering Committee, composed of UNHCR senior management, has been established, with a Business Owners Committee to manage the practical implementation of the project. In July 2010, UNHCR appointed an experienced IPSAS project manager supported by a project team of 12 full-time staff.", "67. Since the start of the project, UNHCR has increased the number of working groups from the initial 5 to 11, which are responsible for developing, testing and recording new accounting policies. These working groups were strengthened by the addition of contractual experts in accounting and enterprise resource planning. The Board considers that the management arrangements are adequate and appropriate. However, while it is not inappropriate to contract experts during the implementation period, in the long term, after the adoption of IPSAS, UNHCR will need sufficient and appropriately qualified staff to deliver and ensure the benefits.", "Implementation plans", "68. The plan submitted to the Board of Auditors in May 2011 identified some 1,700 project implementation steps, specifying the actions of each working group and providing a timetable for the delivery of results. While there were delays in the delivery of some results, the Board was not clear whether such delays posed a threat to the 2012 target. UNHCR informed the Board that it had recently updated and realigned its IPSAS project plan to take into account the accounting policies and operational requirements for IPSAS implementation identified in the “scope determination and planning phase”.", "69. In view of earlier delays in the IPSAS implementation plan and the time available, the Board recommends that UNHCR enhance the frequency and depth of management reviews of progress.", "70. In preparation for the implementation of IPSAS, UNHCR issued a new asset management accounting policy in 2010 and provided sufficient information to comply with IPSAS 17 (property, plant and equipment). In line with the Board ' s recommendation, UNHCR has planned to enhance asset disclosure, including valuation and quantity, in its financial statements for 2010, in accordance with the United Nations system accounting standards, but has not fully cleansed and validated its asset data for such disclosure. The Board is concerned that as a result, staff in the field and elsewhere are still not familiar with the valuation and recording requirements for the value of assets.", "71. The project team maintains a project risk register that includes seven risks that will have an impact on successful implementation in 2012. UNHCR considers four of these risks to be highly probable and high-impact:", "(a) Issues related to the integrity of its accounting data and its impact on opening and closing balances. UNHCR has initiated its data clean-up exercise, but has not yet defined performance measures in this area, as it is not yet certain of the scale of the exercise;", "(b) UNHCR ' s IPSAS financial statements will not provide a fair view of its financial position and performance and may not disclose the cash budget performance reconciled with accrual accounts;", "(c) In view of the scale of the changes required across the Organization, new inventory and property, plant and equipment reconciliation procedures need to be developed to ensure compliance with IPSAS;", "(d) Insufficient time to provide training before the “official start” date. UNHCR has not yet developed a mitigation strategy for this risk.", "72. The Board considers that the risks identified are real and that training for data integrity and change management, especially for country offices, is a major challenge in meeting implementation targets. The Board considers that the lack of preparedness of the country office network and low financial management capacity are the main risks in the implementation schedule. As the project approaches the critical “official start-up” phase, the risk register must be regularly updated and reviewed in detail at each meeting of the project steering committee, and mitigation strategies updated or developed.", "73. The Board recommends that, as a matter of priority, UNHCR: (a) check and clean up its accounting records, including all asset and liability balances; and (b) enforce month-end closure procedures to reconcile all accounts and maintain the integrity of accounting records.", "74. UNHCR accepted the recommendations and stated that its implementation plan included a planned comprehensive review of the accounts and their reconciliation from the general to the sub-accounts. The IPSAS implementation team will be strengthened through the recruitment of additional accountants to reconcile all balances.", "Revision of the Financial Rules for Voluntary Funds", "75. The IPSAS implementation team is currently revising UNHCR ' s Financial Rules for Voluntary Funds to reflect the introduction of accrual accounting for approval by the Standing Committee in autumn 2011. The revised plan was sent to the Board of Auditors in June 2011 and is currently under review.", "Preparation of draft model financial statements", "The development of a set of model `pilot' accounts, including core statements, note disclosures and upcoming accounting policies, will provide UNHCR with an early opportunity to test the readiness to prepare IPSAS-compliant accounts. It would also allow the Board to identify potential shortcomings and make relevant recommendations prior to the implementation of IPSAS. The implementation plan foresees that a model set of accounts will be completed and validated by the Board of Auditors in November 2011. However, owing to time constraints and the lack of clarification as to whether the “test-run” accounts would contain real accounting data, the Board is concerned. Furthermore, the Commission has not yet seen these plans. A complex organization such as UNHCR would be unlikely to obtain an unqualified audit opinion within the established time frame for implementation if it did not operate on a trial basis without real data.", "77. UNHCR informed the Board that it had presented the financial statements of the World Food Programme (WFP) (see annex). These statements are IPSAS-compliant and serve as a benchmark for the draft financial statements of the organization to determine the required revisions and disclosures. The Board noted that these considerations were incorporated into the IPSAS implementation plan.", "The Board recommends that UNHCR establish a clear plan for a set of “pilot-run” accounts using real accounting data.", "79. UNHCR indicated that it had scheduled a mock audit in April and August 2012 and would inform the Board of Auditors of its plans.", "Audit of opening balances", "The preparation of the model financial statements will be supported by an action to determine the opening balance of assets, liabilities and reserves for the first year of implementation. Under full accrual accounting, this is in fact the starting point for the preparation of the periodic opening statement of financial position. The IPSAS implementation team expects that opening balances will be recorded in the accounts by 30 April 2012 and validated by 11 May 2012. In addition, the Board noted that the project plan provided for audits required by the United Nations system accounting standards in 2011 and for two dry-run audits in April and August 2012, respectively, along with audit validation. The Board is of the view that these efforts are essential for the successful implementation of accounting standards, but the implementation plan lacks sufficient detail on how to achieve significant milestones.", "81. The Board recommends that UNHCR develop a clear plan for establishing opening balances and inform the Board of Auditors as soon as possible. The plan should allow the Board sufficient time to audit the opening balance sheet, at least three months before the end of the first year of full IPSAS implementation.", "Managing the delivery of the full benefits of IPSAS", "82. The Board found no evidence that the expected benefits of IPSAS adoption had been formally linked to the stated objectives of the projects and were being tracked, and that UNHCR had no plans to realize the benefits. If UNHCR is to succeed in realizing the expected benefits of IPSAS adoption, the benefits must be properly documented and quantified from the outset, followed by active management, monitoring and review to ensure that they continue.", "83. Once compliant with IPSAS, UNHCR will have more accurate, timely and comparable information on inventory, non-expendable property, investments and future liabilities. Many of the potential benefits of IPSAS adoption would be lost if such information were not used to make informed resource allocation decisions and to identify opportunities for cost-effectiveness. Therefore, the business areas associated with IPSAS adoption now need to reflect on how these new information can be used to promote cost-effectiveness.", "84. The Board recognizes that the full benefits of IPSAS will be fully realized over time, but that the planning process for realizing the benefits should start as soon as possible. It is not clear who is responsible within UNHCR for implementing the benefits. Operators have not yet committed to implement quantifiable benefits that fall within their areas of operation, nor can they state how the benefits will be achieved or measured. Without a clear vision for realizing benefits and clear accountability for benefits at the operational unit level, potential benefits are at risk of unnecessary delay or loss. In the absence of a clear and duly agreed plan that specifies what business changes will be implemented in the future, it is possible for business owners or other stakeholders to resist or oppose the changes required to realize the benefits.", "85. UNHCR agreed with the Board ' s recommendation that, in adjusting its implementation strategy, the UNHCR IPSAS implementation team clearly define the objectives and expected benefits of the IPSAS project and develop a methodology to track and manage the implementation of benefits.", "86. It was essential for all staff to understand the impact of the new reporting system on their daily work. Without adequate resources dedicated to training and change management, it is likely that IPSAS will not be understood and the expected benefits will not materialize. UNHCR included “change management” as one of five major work processes in its IPSAS implementation strategy. It has developed a risk-based change management plan and appointed a senior change management officer to coordinate planned activities, including training and communication, that must be undertaken by December 2012. A key task currently under way is to identify all managers in UNHCR who need training or activation (including communicating with them on what specific requirements they need to meet to support successful implementation of IPSAS), and to design and conduct such training.", "87. The Board did not see any indication of a clear vision of what needs to be achieved and how to achieve it, including:", "(a) How the use of accrual information and the active management of balance sheets and cash flows will contribute to improved financial management, decision-making and accountability, as well as more cost-effective ways of working;", "(b) What role the finance function will play in improving UNHCR ' s performance and providing in-depth information for decision-making;", "(c) What training is needed for policy makers and operational managers on new information and how such training can be used to enhance performance measurement, activity costing and investment assessment.", "88. The Board recommends that UNHCR strengthen its organization-wide IPSAS change management programme by specifying how senior management in each business unit must be proactive in taking responsibility and promoting the expected benefits during and after IPSAS implementation.", "8. Performance reporting and results-based management", "89. UNHCR initiated the development of a results-based management framework in 2005 as an important component of a programme to make significant changes to improve its operational management and to report on its implementation to donors. The Board reviewed the progress made by UNHCR in the establishment of results-based management, in particular its country network reporting through its five regional bureaux, which serve as the channel of communication between the top management[5] and the operational units of the organization, and in the implementation of various support processes and mechanisms, including Focus [6].", "Access to adequate and realistic performance information", "90. UNHCR ' s Focus system provides a framework for performance management at the country level, where services are planned and monitored around common goals and objectives. The Focus system was introduced in the planning of UNHCR ' s work in 2010 and 2011, providing country offices with a better common understanding of UNHCR ' s operational priorities. However, the Board noted that:", "(a) Focus had not yet entered all the monitoring data, and the data available to country offices varied significantly;", "(b) The accuracy and reliability of performance data is highly volatile;", "(c) The need for a balance between locally tailored indicators and a consistent reporting system across the UNHCR network for meaningful data aggregation and comparison has not been resolved;", "(d) Indicators are mostly focused on the volume of activities; few are used to measure the quality, timeliness or efficiency of programme and service delivery.", "91. The Board noted that, although country offices had a significant administrative burden in entering data for FOCUS, they had thus far seen limited value in helping to make their operations more cost-effective. UNHCR is taking action to streamline the planning process, reduce reporting requirements, improve data quality and improve reporting. A major challenge for UNHCR will be to reduce country-level demands while ensuring that corporate performance information is more robust, realistic and effective. However, the Board is concerned that six years after the implementation of results-based management, UNHCR faces the risk of increasing fatigue, limited management time being wasted and poor compliance unless it streamlines and focuses on performance measurement of mission-critical activities.", "92. The Board recommends that UNHCR streamline its performance measures and focus in a more comprehensive manner on key mission activities, including the quantity of outputs, the quality of services and the efficiency of delivery. While prioritization of activities is a management responsibility, the criteria should include a substantive financial component, i.e., the extent to which the planned activities provide significant substantive benefits to the major population groups of concern.", "93. UNHCR accepts this recommendation and states that it is fully aware of the issues identified by the Board of Auditors, as feedback from staff has been received in this regard. Building on lessons learned from the first year of full implementation of the UNHCR results framework in 2010, a revised and simplified results framework was developed in early 2011 and will be used in UNHCR operations in 2012. UNHCR also indicated that a working group would continue to review and improve outputs and related performance measures to enable them to support performance monitoring, both quantitative and qualitative. UNHCR will also identify a set of “core indicators”, which will focus on key mandated areas and practical improvements in the situation of populations of concern, with the aim of monitoring its global strategic focus more closely and regularly.", "Performance reporting", "94. Although UNHCR operates under a decentralized structure, senior management is ultimately responsible for the performance of the entire network and the use of resources, and the Board is of the view that Focus and the reports submitted are tools to achieve this. The Board would like to see the Focus system used well to provide reports containing aggregated data, so that senior management can easily explain it and also facilitate meaningful comparisons between country operations. These reports should focus on cost-effective performance and achievements and inform management decision-making on where resources are best allocated.", "95. Despite the enormous potential of Focus, the Board noted that its reporting function was not yet fully operational and that staff had low awareness of its reporting capacity. As a result, UNHCR country network reports to the top management have not made special use of Focus, and reporting formats vary across regions and countries. The use of charts, trend data and indicators is also extremely low. Most reports focused on the rapid identification of developments and issues in countries where UNHCR operates. While this allows senior management to respond quickly to crisis situations, it does not allow for a systematic analysis of performance or enhanced accountability.", "96. The timing of the submission of country reports through Focus is mostly linked to mid-year and end-of-year resource allocation decisions. The data submitted during the planning and mid-year review focused mainly on budget expenditure (measured by “implementation rate”) and justification for budget increases. The Board found that the comparative cost-benefit analysis was limited and that the link between expenditure and results was unclear.", "97. The Directors of the five UNHCR regional bureaux informed the Board that they had received reports that, while they were more useful in outlining current business developments, they lacked a structural analysis of programme progress and impact. The directors were unable to use the reports presented for comparison in their respective regions; to systematically link financial reporting to performance; to identify common themes and gaps or obstacles in achieving objectives; and to identify easily when decisions or actions were needed. The Board is of the view that there is scope for reducing the management time available to process unpredictable ad hoc information flows and to set out the context of events in each country, and for making reports more structured and understandable.", "98. UNHCR informed the Board that phase 2 of Focus development was intended to improve the system ' s management and reporting functions and to provide comprehensive financial and performance information, as well as comparative and quantitative analysis of performance at the country, regional and global levels, in line with UNHCR ' s global strategic priorities. The system will also provide for more frequent monitoring of performance during the year. Many organizations use `scorecards' or `platforms' to provide key information in an easy-to-understand manner to direct top management attention to priorities for action. The Board noted the pilot “scorecard” field in Focus, but the functionality was not yet operational.", "99. The Board recommends that UNHCR develop cost-based comparative information to improve the evidence base for allocation decisions and strengthen linkages for accountability. Particular attention should be given to achieving comparisons between country operations, the relative contribution of UNDP to improving the situation of populations of concern, and linking financial and output data to assess efficiency and cost-effectiveness.", "100. The Board also recommends that UNHCR develop a summary scorecard to strengthen the senior management review of performance and risk at the country and corporate levels, matching it with Focus development to support the implementation of results-based management.", "101. UNHCR accepts these recommendations. UNHCR indicated that the planned upgrade of major operational reports in Focus would be completed by 31 March 2012. A working group, with the assistance of outside experts, is seeking advice on the business processes that will need to be changed in the design of the new business reports, which are expected to reflect the results of impact measurement as well as planned and actual costs in order to assess cost-effectiveness. The resulting report will be prepared as part of an improved global Focus information service, which is planned to be made available to managers and staff in early 2012. In the future, consideration will be given to presenting the factual basis for performance and risk in the scorecard format, so that senior managers can quickly determine where the available and potential resources are most useful.", "Programme evaluation", "102. Programme evaluation is a key element of results-based management; it determines the impact and impact of measures in a manner that is not readily available to regular progress monitoring. To assess the effectiveness of its work, UNHCR needs to complement the regular monitoring of activities, particularly those that deliver outputs to displaced populations, with regular and detailed evaluations.", "103. UNHCR has a small but experienced Policy Development and Evaluation Team in Geneva to undertake or commission evaluations. However, its size limits its evaluation workload; it also focuses on conducting evaluation workshops for over 100 UNHCR staff. However, the Board found little evidence of a systematic and independent evaluation commissioned of country operations inspected; and attributed this to a lack of awareness of existing guidance within country offices and a lack of explicit requirements for evaluation as part of project plans and budgets.", "104. UNHCR agreed with the Board ' s recommendation that it reformulate and incorporate the principles established by UNHCR in its corporate guidance, develop a policy at the country level that clearly defines the circumstances in which country operations generally require the commissioning of programme and project evaluations, and require clear planning and budgeting during project design.", "9. Risk management", "105. The Board noted that UNHCR did not have a formal, systematic organization-wide risk management approach nor an organization-wide risk register, despite attempts to develop such an approach in 2005 and 2008. Through the regional bureaux, national networks have submitted a large number of ad hoc and descriptive reports on risks, taking into account, inter alia, the current and potential impact of external events, such as political instability or conflict, and their relationship with partners. However, much less consideration is given to risks within the organization. The directors of the regional bureaux acknowledged that risk assessments should be better documented and formalized to guide workplans, disaster reduction strategies and interventions.", "106. The Board is of the view that structured risk management is essential for any well-functioning organization and that it is also essential to introduce such management at UNHCR. In particular, for an organization that operates in a globally dispersed and insecure environment, which poses a specific risk to its staff and delivery of results, there is a need for a coordinated assessment of the different risks across the organization, upgrading and mitigating their impact (the Board understands that some similar organizations have clearly identified these risks in their corporate risk registers to draw management ' s attention). UNHCR ' s reliance on voluntary contributions also makes it particularly vulnerable to reputational risk in the event of any apparent failure. UNHCR also needs to seek the cooperation of other humanitarian and development partners that are developing their own increasingly structured risk management approach.", "107. UNHCR agreed with the Board ' s recommendation that it urgently develop a concise organization-wide risk management approach using existing reporting arrangements.", "10. Implementing partners", "UNHCR implements some 1,600 projects worldwide through over 800 “implementing partners”. These partners include government agencies, national and international non-governmental organizations and other United Nations agencies (see figure II.1) that provide services such as housing construction, education, health care, water and food supplies and legal aid. In 2010, approximately one third of UNHCR ' s expenditure ($677 million) was incurred through these partners and the total expenditure through partners increased each year (see figure II.2).", "109. In 2010, UNHCR began to review its management of implementing partners and informed the Board of Auditors during its audit. The recommendations contained in the review take into account many of the recommendations made by the Board during its midterm audit and in the present report.", "Figure II.1 Type and number of implementing partners, 2010", "[Chuckles]", "Source: Board analysis of UNHCR inter-agency service data.", "Figure II.2 Amounts spent through implementing partners over time", "(Millions of United States dollars)", "[Chuckles]", "Source: Board analysis of UNHCR inter-agency service data.", "Note: Expenditure is paid to partners in instalments. Adjustments in instalments may be made during the year.", "Governance and management information", "110. The responsibilities for managing IPs are decentralized across UNHCR, limiting UNHCR ' s ability to assess the management of IPs across the organization and to balance financial and operational aspects, while also limiting its ability to prescribe specific practices and monitor compliance and consistency. At headquarters, there are three divisions, each responsible for policy and guidance development, the processing of corporate relationships and audit certification and financial oversight. Country offices are responsible for the selection, monitoring and disbursement of funds to partners within the policy framework established by headquarters.", "111. The Board understands that UNHCR is considering ways to better manage and report on the performance of implementing partners, which means, first and foremost, that a unit is required to further develop a risk-based partner management approach. Consideration will also be given to consolidating a number of UNHCR headquarters functions into a single oversight unit. To ensure effectiveness, the new unit and structure will require sufficient authority to oversee country offices and hold them accountable for compliance with procedures established by headquarters.", "112. At the country level, the Board found significant variations in the frequency and depth of country office compliance with policies, particularly with regard to oversight of implementing partner performance and expenditure. We have also identified examples of poor performance information and reporting, in particular the lack of a strategic overview of key projects, progress on key milestones and an assessment of potential risks to the delivery of results. In contrast, while the UNHCR Iraq project tracking database does not provide aggregated management information for the overall assessment of partner collaboration, it provides data that may support comparisons between partners or in different areas with the same partners in order to analyse trends, identify common issues and inform decisions on future assignments. The Board noted that the central database of information on UNHCR partners did not currently include performance data.", "113. The Board is of the view that the UNHCR Iraq project tracking database may be more widely applied to UNHCR as a whole, but there is currently no evidence that UNHCR has made any assessment of its compatibility with the corporate IT architecture. While the Board recognizes that UNHCR encourages innovation in its decentralized country office network, UNHCR ' s own accountability framework emphasizes the importance of effective ICT management and oversight of information technology development activities to maximize investment returns and develop compatible systems. The Board is of the view that UNHCR needs to do more to determine the value of locally developed solutions and whether they could be extended.", "114. The Board recommends that UNHCR review the different project tracking practices across the network to identify best practices for wider application and to assess their compatibility with the corporate information technology strategy.", "115. UNHCR accepts this recommendation and states that its ongoing development and improvement of Focus will contribute to an effective and harmonized project tracking system. UNHCR informed the Board that the lessons learned from the project tracking system used by its Iraqi operations would be taken into account in improving the Focus system, which was intended to meet very specific operational needs. The Board remains of the view that there are clear and valuable lessons to be learned from the systems used in Iraq ' s operations and that it is possible for country teams to certify and track activities in unsafe environments, such as the construction of housing or other assets, the use of geographical indications to photograph such activities and the use of this casework to take stock of progress, trends and differences within programmes.", "Management oversight of partners", "116. UNHCR uses, in principle, the same approach to managing its implementing partners, regardless of their size, location, past performance or the nature of the services they provide. This one-size-fits-all approach is inherently inefficient and leads to a reduction in the time spent on managing high-risk implementing partners. In 2009, UNHCR published a “pre-selection checklist” to help country teams assess the risks of working through specific partners and to ensure that selected partners meet the required preconditions. [7] The use of the list is not mandatory but, if redesigned, may help country teams to target high-risk implementing partners. UNHCR is currently considering a new risk-based approach to managing implementing partners. The Board is of the view that, if a more complex, risk-based new approach is to succeed, the current one-size-fits-all management approach must be addressed.", "117. The Board recommends that UNHCR adopt a risk-based approach to the management of implementing partners by clearly defining provisions, using an objective and evidence-based approach to assessing the risks of implementing partners and using robust arrangements to monitor the consistent implementation of this approach by country offices.", "UNHCR indicated that its own review of IP management had led to very similar conclusions that the “one size fits all” approach was flawed and that there was a need for a more risk-based approach. It had decided to implement a “differential, risk-based approach” to implementing partner management and to allocate resources for its application. The Board ' s recommendations will be taken into account in the implementation of this initiative.", "Selection of implementing partners", "119. In some places, UNHCR has a limited number of IPs, but in most places it can actually select IPs. Regular testing or reconsideration of implementing partners, which prevents partners from assuming that they will be selected or will continue to participate in implementation, is an effective way to improve performance and reduce the risk of corruption. However, the Board found that most implementing partners had renewed their contracts over the years and that their costs and performance had never been compared with other sources. In addition, UNHCR has worked with an average of 145 new partners each year over the past five years, with more than half (57 per cent) of its partners working with UNHCR for more than five consecutive years and 28 per cent for more than a decade, indicating a low turnover rate.", "Figure II.3 Duration of partnerships", "[Chuckles]", "Source: Board analysis of UNHCR inter-agency services data.", "120. The Board found that the rationale and methodology for selecting implementing partners varied from country offices. For example, two UNHCR offices require standard justification forms, one of which provides for a cost-benefit assessment. Such justification forms must be approved by a selection committee. In other offices, we have found little evidence of an objective or documented selection process, little review of other collaborating institutions, and no comparative analysis of relevant capacity and “compliance” with requirements.", "121. The Board noted that cost-effectiveness was not an important criterion in the assessment of potential partners or in the selection of partners, whether in the guidelines or in practice, even when there was a clear selection process. To be selected, the partners concerned must meet four conditions (for example, they must legally register and have a bank account). For the 11 other criteria listed in the guidance note, factors such as “local experience”, “quality of services” and “quick response” are important. [8]", "122. UNHCR country teams are reluctant to clearly test the relative value of commercial procurement payments, as building partnerships is a relatively short-duration and less costly process. Procurement required competitive bidding and approval by the Committee on Contracts, and the selection and appointment of implementing partners, while important to UNHCR ' s delivery, required much fewer procedures. The UNHCR Supply Management Service informed the Board that it was up to the UNHCR unit responsible for the country programme to make the choice between partnership and procurement. However, we have found several examples of implementing partners providing commercial services (construction services in Pakistan and logistics services in the United Republic of Tanzania), which would have been more appropriate and cost-effective if they had been competitively selected, but we are not in a position to quantify this approach on a global scale because UNHCR does not collect such data.", "123. Even if partnerships are clearly viable delivery mechanisms, the Board is of the view that transparent, competitive (or at least assessed) and well-documented arrangements for the appointment of implementing partners should be made if UNHCR is to minimize the risk of corruption (because of the high local costs of the risks) and to ensure greater cost-effectiveness and performance. UNHCR informed the Board of the various reasons for not ensuring competitive selection, which may be justified in the local context, including the lack of commercial suppliers, the requirement for vendors to have experience in adequately dealing with displaced persons, and the lack of capacity of UNHCR teams to directly manage commercial suppliers or subcontractors. However, the Board is concerned that practical opportunities to improve partner performance or engage with other business partners are abandoned without due consideration.", "124. The Board recommends that UNHCR consistently implement the following mandatory requirements for its country operations:", "(a) Document their rationale for selecting implementing partners, including clear consideration of cost-effectiveness, drawing on good practice examples;", "(b) Periodic formal assessment of the market situation (at least once every five years) to find alternative partners;", "(c) Alternative commercial procurement should be considered whenever market-trading services are sought; where a market is not tested, a non-commercial partner is selected, the reasons for the selection should be documented.", "125. UNHCR stated that it had issued instructions to all field operations to strengthen the process of selecting and retaining implementing partners, including: (a) the establishment of local partner selection committees; (b) improved selection criteria to strengthen the implementation partner checklist, including value added, cost-benefit analysis and expected impact; (c) proper and comprehensive documentation of all selection processes and decisions; and (d) an inspection and review programme to ensure compliance with improved instructions. These improvements are being reinforced by Headquarters support missions and workshops. These instructions will be further refined in the future in the light of specific recommendations of the Board of Auditors, such as a market assessment to find alternative partners at least every five years.", "Monitoring of IP delivery and performance", "126. The implementing partner ' s sub-agreements include a performance framework designed to link the objectives and activities of the project in question to appropriate indicators and targets for assessing performance. These frameworks, and subsequent monitoring through semi-annual reporting, are one of the main tools used by UNHCR to assess and manage partner performance. The Board noted that each of the implementing partner ' s sub-agreements included a performance framework but also noted a number of deficiencies, including:", "(a) Indicators of achievement will focus primarily on the number of activities, with little focus on the level of beneficiary satisfaction or on the timeliness or quality of services. For example, warehousing services may include measures for the accuracy of inventories or the timeliness of services, rather than focusing solely on the quantity of items stored; protection of displaced persons may include areas such as the satisfaction of beneficiaries or the awareness of services and the number of cases handled;", "(b) The general lack of quantitative benchmarks or targets at the beginning of the agreement and medium-term milestones in the goals and indicators of achievement has made it impossible to assess the progress made during the year; in some cases, the most important parts of the project have very few indicators.", "127. UNHCR agreed with the Board ' s recommendation that it expand the range of indicators used in partner agreements through revised guidelines and that it approve the performance framework before the agreement is signed.", "128. UNHCR stated that this recommendation would be implemented as part of its enhanced performance report.", "129. To ensure good oversight of IP activities, UNHCR should be provided with adequate and reliable information on partner performance. The Board had recommended that UNHCR formalize the monitoring of project implementation progress and maintain monitoring records. While UNHCR was aware that progress in project implementation should be monitored against the performance indicators established at the beginning of the project, the Board found that UNHCR lacked a consistent approach to documenting the study visits in 2010.", "130. UNHCR guidelines require country offices to verify that implementing partners are making progress in implementing agreed results and that the funds are used exclusively for the purposes outlined in the subproject agreements. Country offices do this through quarterly financial monitoring reports from partners and through mid-year and year-end progress reports. It is important that financial and progress reports submitted by partners be regularly verified:", "(a) The Board found that the frequency of financial verification varied from one to four times a year and that the content varied. Country offices had developed a financial monitoring template, but the content and depth of the tests were not consistent. Furthermore, UNHCR programme staff working on verification do not always have the appropriate financial skills to identify and inquire into financial issues;", "(b) With regard to performance monitoring, programme staff use telephone, e-mail and visits to monitor and validate reported progress, and new methodologies such as the Refugee Hotline (for reporting issues) and Global Positioning System software are being tested. The Board noted, however, that such monitoring was not clearly linked to the objectives and workplans of the implementing partners ' sub-agreements and that there were limited records of the scope, frequency and results of independent reviews.", "131. More generally, financial and performance reporting is presented as a stand-alone rather than an integrated activity, and payments to implementing partners are rarely based on the delivery of outputs or the achievement of results. The Board was informed that multifunctional monitoring teams had begun to be established in some country offices in 2011 and that, according to UNHCR, this would result in better comparison of budget expenditure with the completion ratio of specific target activities to support disbursements to implementing partners.", "132. Appropriate and timely follow-up action should be taken when problems are identified in the performance of partners. The Board found that country offices had varied approaches in addressing the issue of poor performance partners. In some country offices, there was clear evidence of positive follow-up by partners with poor performance and a moratorium on payments. Other country offices were less visible. In one country office, the Board noted that, although management was aware that the performance of its partner was significantly inconsistent with the established objectives for the long term (involving significant reductions in planned protection activities for vulnerable groups), there was no evidence of accountability for the partner or that the issue was addressed in the on-site monitoring reports. The Board referred this to UNHCR headquarters.", "133. UNHCR agreed with the Board ' s recommendation that, in developing the new management approach, and in order to enhance consistency, it develop a common checklist that could be issued to field officers, detailing how they should visit their implementing partners. These checklists should emphasize the need for firm action by country offices to address poor partner performance and should require adequate documentation of ongoing actions. This recommendation supersedes the Board ' s previous recommendation.", "134. UNHCR stated that this recommendation would be considered as part of its broader review of improving IP management.", "Audit certification", "135. The independent audit certification process is one of the main means by which UNHCR obtains assurance from managers that partners are spending appropriately. The 2008 audit opinion of the Board of Auditors was qualified by the fact that UNHCR did not commission an independent audit of its partners ' expenditures in a timely manner. In 2010, the Board noted that UNHCR had received 99 per cent of the expected partner audit certificates by May 2011, representing more than 99 per cent of 2010 partner expenditure of $677 million.", "136. An analysis of UNHCR ' s audit reports showed that 40 projects with a total expenditure of $28 million had modified observations. The Board reviewed 13 qualified audit reports with project expenditure in excess of $0.5 million, totalling $20.5 million out of $28 million. We found that the auditors had identified a total error of $597,000 in partner expenditure, and that, taking into account that the remaining modified observations were likely to carry an error (3 per cent), the sum of all errors was not significant. UNHCR is in the process of addressing identified problems with its partners and is proposing corrective measures or recovery where appropriate.", "137. While UNHCR has put in place effective procedures to follow up on qualified audit certificates and errors and uncertainties identified in payments made by its implementing partners, the Board noted that UNHCR did not conduct a proper quality review of unqualified audit certificates. In particular, the Board found little evidence that UNHCR had systematically analysed and addressed the weaknesses identified in its management letter on unqualified opinions.", "138. The Board recommends that UNHCR review and reconcile management letters sent by independent auditors against implementing partner financial monitoring reports and follow up as appropriate.", "11. Protracted refugee situations", "Some 5.5 million of the 10 million refugees served by UNHCR have been in protracted refugee situations for more than five years. UNHCR has identified approximately 25 such cases worldwide, each for an average of approximately 20 years. UNHCR announced in 2007 that “the consequences of this long-standing situation include unnecessary loss of life, waste of resources and increased security threats”. [9]", "140. Since 1950, the role of UNHCR ' s mandate has been, in part, to seek durable solutions to this situation, and reducing reliance on UNHCR is a major objective, but since the 1990s there has been only limited success in implementing complete and durable solutions. The main solutions sought were the voluntary repatriation of refugees to their countries of origin, their integration into host countries and their resettlement in third countries; however, many institutional, financial and political challenges remained in their implementation. For example, UNHCR must rely on the involvement and support of other United Nations entities and Governments to implement such solutions, and in some cases the initial causes of refugee displacement (usually instability and conflict) remain.", "Protracted refugee situations are a strategic issue for UNHCR and have significant resource management implications. The Board therefore reviewed the extent to which these situations and the resource implications of durable solutions were understood within UNHCR, and how UNHCR managed to contain risks and uncertainties in its country operations in developing solutions and working with other United Nations agencies to achieve progress.", "Management and resources", "142. In 2008, UNHCR launched a Global Plan of Action on protracted refugee situations, addressing five specific situations that it considers most likely to bring about positive change. These cases, if successfully resolved, could serve as examples of solutions in other countries (see table II.1).", "Table II.1 Five protracted situations prioritized in the Global Plan of Action", "The number of refugees (as of 2010) The current status of the most important durable solutions solutions The influx of Eritreans in eastern Sudan in the 1980s and 1990s The integration of 149,000 people into local communities The development of a joint action plan for development presented to donors The Burundians in Tanzania The voluntary repatriation of 240,000 in the 1970s and of naturalization and integration into the United Republic of Tanzania (172,000) The voluntary repatriation of refugees was completed The joint action plan for local community integration in Bangladesh The joint action plan for Myanmar in 1991-1992 The presence of 29,000 people in UNHCR camps The development of development programmes for major refugee hosting areas The proposed joint plan for Afghans in Pakistan rejected by the host Government in 2010 The development of a development plan for refugees after 1979 The development of a programme for the main refugee host areas The voluntary repatriation of Croatians in Serbia (including some 1,000 in refugee centres and 8,000 vulnerable persons living in private homes) The voluntary repatriation of some 20,000 refugees to Croatia has largely ceased The current focus on the integration of those who wish to remain in Serbia The integration of Afghans in the proposed joint programme for Afghans in Pakistan", "Source: Summary of Major Protracted Refugee Situations, mainly from UNHCR, February 2010.", "143. The Global Plan of Action is a strategic initiative. However, the Board found that the strategy had been implemented as a series of stand-alone projects without a senior accountable leader and that agency-wide involvement in implementation was widely dispersed across UNHCR headquarters and country operations. This is in part a reflection of the delegation of leadership of individual projects to the country level. However, for the plan as a whole, the Board found that there were no indicators or overall measures to assess the extent to which the plan had generally addressed protracted refugee situations, nor had there been any tracking of how UNHCR deployed resources in this strategic priority area. The Board analysed the data relating to the situation of the 10 refugee groups (covering two thirds of the total number of refugees in various situations) and noted that:", "(a) The number of persons in protracted refugee situations has decreased by 600,000 since 2007. This figure is lower than the 1.2 million refugees recorded as having resolved problems through various means. This may be offset by an increase in the number of newly born or newly arrived refugees;", "(b) UNHCR ' s expenditure on these refugees remains significant and is planned to increase to $300 million in 2011 (equivalent to a 150 per cent increase since 2007). By comparison, the identifiable amount spent on durable solutions appears to be relatively small, but still increasing, from approximately $22 million in 2007 to $42 million in 2009.", "While UNHCR intends to shift more resources invested in protracted refugee situations over the next three to five years from “care and support” to durable solutions, the lack of complete financial and quantitative data on all refugee situations (e.g. on population and migration trends) prevents UNHCR from following up on the results of this initiative and on changes in refugee situations resulting from durable solutions. The information is incomplete not only because there is no agency-wide unit responsible for the integrated treatment of protracted refugee situations, but also because the UNHCR financial and planning system did not define protracted refugee situations as an accounting and output category until 2010. The inability of UNHCR to regularly track progress and resource implications of this important cross-cutting strategic initiative is a major impediment to effective resource management. However, we note that UNHCR has designated protracted refugee situations as a data collection category for 2012-2013.", "145. The Board recommends that UNHCR establish a senior management unit responsible for the integrated treatment of protracted refugee situations, with sufficient authority to monitor and address progress in all situations and to hold country operations accountable.", "146. UNHCR stated that it was fully aware of the fragmentation issues noted by the Board of Auditors and that it needed to assess how the Board ' s recommendations had been implemented and to identify ways and organizational structures for more effective management of protracted situations. The implementation schedule will depend on other priority actions for 2011.", "Operational case for durable solutions", "147. The business case for durable solutions was sent to donors through donor appeal documents and action plans. These documents usually include a description of the situation and an assessment of needs, as well as a description of the proposed solution and its budget. The Board found that there was no clear comparative analysis against the minimum options of “minimum action” or “no change”. As far as we know, while it is important to use the minimum option to assess the cost-effectiveness of a fundamental change in the delivery modality, UNHCR has not made it its standard practice to assess individual programmes against the minimum option.", "148. The business case for durable solutions rarely addresses all the costs and benefits. For a more comprehensive comparative assessment, it is also necessary to take into account the costs and benefits to other United Nations agencies and other partners. While recognizing that cost was only a factor, the Board reviewed the relative cost of providing for refugees in protracted situations and implementing durable solutions. While the data are incomplete and the cost of caring for and providing for each refugee in a “unchanged” situation varies significantly from one refugee leaving a camp through a durable solution to another, we find evidence that in some cases, initially more costly durable solutions can have a resource-saving effect in a number of years.", "149. The Board recognizes that more robust justification does not by itself guarantee that longer-term funding will be available for durable solutions in the future. Donors use a broader set of criteria, including political and other factors, to determine the use of their funding. The Board noted that, in most cases, investment in durable solutions would have important and broader benefits, such as reducing the risk of conflict, but that it was in fact difficult to quantify. In some cases, this benefit, and the fact that different options have different levels of risk, may be more significant than financial disadvantages. In annex II, the Board provides an indicative framework for a comparative assessment of the relevant options for business casework for durable solutions. The Board is of the view that clear consideration of the various options would be beneficial, as it would facilitate decision-making on objective grounds.", "The Board recommends that UNHCR explicitly request that each plan of action it proposes include a comparative assessment of the minimum options for “minimum operations” or “no change” for internal and donor consideration when exploring durable refugee situations. The aim is to enable UNHCR to measure the potential or actual gains from the proposed solution, but this does not mean that UNHCR should consider the “minimum number of operations” or “no change” options as acceptable.", "151. UNHCR stated that it recognized the need for a comprehensive understanding of all the implications of the proposed solution initiative for all stakeholders, including other United Nations agencies, and that it would take into account the recommendations of the Board of Auditors and the above-mentioned indicative model when preparing future plans and submissions.", "Planning and budgeting for durable solutions", "152. Achieving durable solutions requires careful planning and financial control to ensure that the costs of durable solutions are fully understood from the outset and minimized over time. The Board noted that the costs of many durable solutions could rise rapidly in the short term, in some cases because normal cost elements such as security were ignored in the initial estimates or unrealistic assumptions were made about the reuse of existing assets. Other cost increases are usually related to changes in requests from host Governments or to unforeseen costs for United Nations partner entities. While the latter was difficult to predict accurately, it would be necessary to include a certain amount of contingency in the preparation of the budget for such unforeseen additional costs.", "153. UNHCR has developed detailed guidance for its country teams on the planning of durable solutions, mainly for programme design. While the guide could provide information guidance on programme costing and cost-sharing and set out relevant principles, it did not establish specific tools to effectively assist task forces in costing and budgeting. The Board is of the view that the guidance should be updated and revised in the light of UNHCR ' s experience over the past six years.", "154. UNHCR agreed with the Board ' s recommendation that its guidance to country offices on how to develop durable solutions be complemented by a concise checklist based on project experience to help country teams better identify and budget for recurring costs in the implementation of durable solutions.", "Closer cooperation with the United Nations Development Programme on durable solutions", "155. Despite its long and rich experience in managing voluntary repatriation and resettlement programmes as part of durable solutions for refugees, UNHCR has less experience in developing and implementing local integration programmes that require economic and social development. Local integration programmes usually involve multi-year investments in infrastructure, health and education, and livelihood plans to improve employment and income levels of the population. In such programmes, UNHCR needs to work with other agencies dedicated to such development, often through programmes that benefit refugees and host populations and are jointly developed and controlled.", "UNHCR's work in the past to implement durable solutions has been hampered by the lack of capable partners, underfunding and short duration, and by the difficulty of convincing development agencies at the agency-wide and country-level to accept the fact that refugee populations deserve development assistance, not just a “problem” unique to UNHCR. However, a number of partner agencies are currently working with UNHCR to address some of the persistent situations, including the United Nations Children ' s Fund, the World Food Programme and the United Nations Development Programme (UNDP), which is most frequently cooperating. The most frequent reason for working with UNDP is that it has extensive experience in implementing multi-year development programmes and is present in many protracted locations. While the Board noted the joint efforts between UNHCR and UNDP, including the development of a joint action plan for the protracted situation in the United Republic of Tanzania and eastern Sudan and the coordinated approach to seeking donor support, there was no memorandum of understanding between the two agencies that established the basis for cooperation between the two parties and no agreed funding mechanism for joint work. UNHCR informed the Board that a draft memorandum of understanding was currently under review and was expected to be completed in early autumn 2011 and signed by the heads of the two agencies.", "157. UNHCR ' s main annual funding cycle does not effectively guarantee that it will be able to secure the full funding required for the full implementation of durable solutions, which may take several years to complete. UNDP proposes the establishment of a joint global multi-donor trust fund, which would pool resources without earmarking funds for specific countries or activities; one benefit of this approach would be to enable annual contributions to be used for more than one financial year. The Board was informed that UNHCR was considering the UNDP proposal. However, should the proposal prove unacceptable, UNHCR will need to examine other ways to revise its own financial management arrangements so that annual donor funds can be deployed more flexibly to meet the reality of multi-year local integration programmes.", "158. The Board recommends that UNHCR, in cooperation with UNDP, finalize the memorandum of understanding as soon as possible in order to enable country offices to better identify and take advantage of opportunities for cooperation that contribute to the implementation of durable solutions.", "D. Disclosures by management", "1. Write-off of losses of cash, receivables and property", "159. UNHCR informed the Board that it had formally written off $5.9 million of current assets ($1.1 million in 2009). This includes $5.7 million in unpaid contributions, $105,000 in value added tax payments and an overdue balance of $133,000 owed by implementing partners. As indicated above, the Board ' s review of accounts receivable revealed that a provision of $5.2 million would be formally written off in 2011. The Board also noted that, since a currency held by UNHCR was no longer used as an official currency as from April 2009, the Office had recorded $0.69 million as foreign exchange adjustments in 2010.", "Ex gratia payments", "160. UNHCR informed the Board that the High Commissioner had approved two ex gratia payments totalling $15,249 to cover settlement costs in one case before the United Nations Dispute Tribunal and settlement payments for minor charges arising from a security incident in the previous year. UNHCR believes that it has a moral obligation to make these payments and that these payments are in the interest of the organization.", "3. Cases of fraud and presumptive fraud", "161. UNHCR reported two cases of fraud to the Board in 2010, which resulted in a total loss of $35,000 due to the theft of cash and the illegal sale of vehicles. UNHCR has recovered $11,000 so far and the Inspector General is currently investigating both cases. [10] UNHCR has not yet assessed whether these cases reveal any deficiencies in its control measures.", "E. Acknowledgement", "162. The Board of Auditors wishes to express its appreciation for the cooperation and assistance extended to its staff by the High Commissioner, the Deputy High Commissioner, the Assistant High Commissioner and the Controller and their staff.", "Comptroller and Auditor-General of the United Kingdom", "(Lead Auditor)", "Permanent Representative", "Auditor-General of South Africa", "(Signed) Terence Nombembe", "Auditor-General of China", "Chairman, United Nations Board of Auditors", "(Signed) Liu Jiayi", "12 July 2011", "Annex I", "Analysis of the status of implementation of the recommendations of the Board of Auditors for the year ended 31 December 2009", "(b) Not implemented owing to developments in the financial period", "Increased efforts by working groups responsible for preparing for the implementation of IPSAS to achieve the goal of full implementation by 2012", "2 Ensure that its revised financial rules, which are IPSAS compliant, are adopted while IPSAS is being implemented", "3 Analysis of why some working groups have not made progress in preparing for the transition to IPSAS and specific efforts to improve the low progress", "4 Ensure strict compliance by responsible officials with the organization ' s closure protocol; adjust its internal procedures to comply with audit requirements", "5 Whenever bills and invoices are available to support receipt of goods and services, every effort should be made to settle unliquidated obligations in accounts payable expeditiously. 57 2009 X", "Compliance with provisions for the cancellation of unliquidated obligations and strengthening of its mechanisms for controlling the validity of obligations", "Special funding mechanism for UNHCR accrued end-of-service and post-retirement liabilities", "Changes to the notes to the financial statements to include disclosure of changes in the main actuarial assumptions used for the valuation of the after-service health insurance liability, together with an explanation of the reasons for and impact of such changes", "Detailed objectives, indicators and expected management implications should be established before each structural change", "10 Comparative statistics and indicators to measure improvement in the quality of services provided by outposted offices", "11 Ensure that the hiring and assignment of National Professional Officers is in accordance with International Civil Service Commission standards and relevant General Assembly resolutions", "12 Ensure that bank reconciliations are exhaustive; address unclear discrepancies between bank-recognized statements and general ledgers 100", "Continue efforts to improve the rate of timely justification of advances to implementing partners", "14 Assessment of instalments to implementing partners that have not been reported for more than one year; taking appropriate measures to submit payment reports or recover payments from implementing partners", "Continue efforts to receive audit certificates from implementing partners by 30 April of each year", "Continue to make possible adjustments to prior-year expenditure in the financial statements", "Ensure that all expected audit certificates are included in its database", "Update of standard contracts with implementing partners", "Regularize the monitoring of project implementation progress indicators and record inspections", "20 Obtain its annual inventory records from partners; perform cross-checks during field visits of non-expendable property in the asset tracking database and non-expendable property in partner inventory; and check during field visits of inventory of non-expendable property purchased with UNHCR funds and assets donated by UNHCR", "Once non-expendable property is recorded in the asset database, the value of such property is recorded on a timely and regular basis; a comprehensive physical count of non-expendable property in each field representation is conducted to ascertain whether existing assets are in line with the list of assets in the database; and procedures for the disposal of assets are monitored more rigorously", "Disclose in future financial statements the value of expendable property unused at year-end in order to provide a more complete and accurate picture of its assets", "Continue efforts to reduce the number of staff in between assignments who are not on temporary duty assignment", "Appropriate measures should be taken, in collaboration with OIOS, to reduce the number of vacancies for internal auditors", "Total 3 14 7 0", "Percentage of total 13 58 29 0", "(a) See Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 5E (A/65/5/Add.5), chap.", "(b) See annex II.", "Annex II", "Indicative model of business case for durable solutions", "Resource implications for UNHCR, resource implications for the United Nations and other partners, cost and benefits for beneficiaries, broader social, economic and political factors Minimum options: usually “state-of-the-art” or “most likely programme” without the proposed change Ongoing care and support requirements, including the need for no change in initiatives for any planned durable solution; usually fewer resource requirements for other United Nations entities (e.g. the World Food Programme) in the absence of a proposed change initiative The status and risks of beneficiaries in the absence of a proposed change initiative The status and risks of a proposed change initiative The proposed durable solution option usually reduces resources, compared with the minimum options during the multi-year assessment The assessment of the additional pure impact on the welfare of beneficiaries - a combination of qualitative and quantitative assessments of factors such as instability or conflict - usually requires more resources for development agencies such as UNDP - Most are qualitative descriptions, but some quantitative analysis of reduced conflict risk etc.", "Source: United Nations Board of Auditors", "Note: Projected costs and benefits are likely to appear over a period of three, five or ten years, with variations in success.", "Chapter III", "Statement of the High Commissioner ' s responsibilities and approval of the financial statements", "The United Nations High Commissioner for Refugees is ultimately responsible for the content and integrity of the financial statements contained in the accounts of the voluntary funds administered by the High Commissioner to the Executive Committee of the Programme of the United Nations High Commissioner for Refugees and to the General Assembly of the United Nations.", "To fulfil its responsibilities, the Office of the United Nations High Commissioner for Refugees operates in accordance with established accounting policies and standards and maintains systems of internal accounting controls and procedures to ensure the reliability of financial information and the protection of assets. The internal control systems and financial records are reviewed by the Office of Internal Oversight Services and the United Nations Board of Auditors during their respective audits.", "In this connection, the financial statements contained in chapter V, comprising statements I to III, schedules 1 to 3, and the supporting notes, have been prepared in accordance with the Financial Rules for Voluntary Funds Administered by the United Nations High Commissioner for Refugees (A/AC.96/503/Rev.9) and the United Nations system accounting standards. In the opinion of management, the accompanying financial statements present fairly the financial position of the Office of the High Commissioner as at 31 December 2010 and the results of its operations and its cash flows of programmes, funds and accounts for the year then ended.", "The accounts are hereby approved and certified.", "Approved by:", "United Nations High Commissioner for Refugees", "(Signed) António Guterres", "Certifying Officers:", "Controller and Director, Division of Financial and Administrative Management", "(Signed) Karen Madeleine Falcas", "27 June 2011", "Geneva", "Chapter IV", "Financial highlights for the year ended 31 December 2010", "Introduction", "1. The present financial highlights are supplementary to the financial statements of the Office of the United Nations High Commissioner for Refugees for 2010. It summarizes the consolidated results and analyses of the financial statements, highlighting significant trends and changes.", "2. The financial highlights, the audited financial statements and the report of the Board of Auditors, together with the related report of the Advisory Committee on Administrative and Budgetary Questions, will be submitted to the General Assembly for consideration at its sixty-sixth session.", "Background", "3. This was the first year in which UNHCR implemented its programmes in accordance with the new results-based management budget structure envisaged in the Financial Rules approved by the Executive Committee (A/AC.96/503/Rev.9). Starting with the biennium 2010-2011, the revised budget structure uses people of concern as planning principles. This is therefore the first year in which financial information is presented under the new budget structure.", "4. The introduction of the new budget structure of the results-based management framework and the introduction of the integrated operational budget and plan have had a significant impact on the way in which the organization manages its budget and implements its programmes. Many new procedures and protocols have been established. The Financial and Management System has been adjusted and the balances reported in the 2009 financial accounts correspond to the new budget structure used in the 2010 report.", "5. Prior to 2009, programme income and expenditure were classified under the Annual Programme Fund and the Supplementary Programme Fund. Effective 1 January 2010, with the introduction of the new budget structure and the integrated budget, the annual budget includes all budgetary requirements, including supplementary budgets. Supplementary budgets are established for operations arising from the approval of the biennial programme budget by the Executive Committee in case such operations cannot be funded from the operational reserve.", "6. Under the new budget structure, the programmes are grouped under four pillars: pillar 1. Global refugee programme; pillar 2. Global stateless programme; pillar 3. Global reintegration project; and pillar 4. Global internally displaced persons project. Unless otherwise indicated, the summary of financial information for 2010 contained in these summaries relates to the annual budget, including the Annual Programme Fund (pillars 1 and 2), the Reintegration Fund (pillar 3), the Internally Displaced Persons Project Fund (pillar 4), the United Nations Regular Budget Fund and the Junior Professional Officers Fund.", "C. Financial highlights", "Appropriations, funds available and expenditure", "7. The final appropriation for 2010 totalled $3,288.7 million against available funds of $2,112.5 million and total expenditure of $1,878.2 million. The amount available from 2010 was $234.3 million, compared to $202.4 million at the end of 2009, of which $61.8 million was unearmarked and $172.5 million was earmarked.", "8. Table IV.1 shows the breakdown of appropriations, funds available and expenditures by pillar, with the United Nations Regular Budget Fund and the Junior Professional Officers Fund under pillar 1. Available funds include voluntary contributions directly attributable to the pillar, other income, funds carried over from the previous year, adjustments to prior-year expenditures and contributions and transfers between funds.", "9. The difference between the 2010 final appropriation and the funds available shows the unmet needs of UNHCR ' s populations of concern in 2010, totalling $1,176.2 million.", "Table IV.1 Appropriations, funds available and expenditure", "(Millions of United States dollars)", "Pillar 1 (a) Pillar 2 Pillar 3 Pillar 4 Total", "Final appropriation for 2010", "Funds available 1 573.4 29.1 90.2 419.8 2 112.5", "Expenditure 1 353.3 29.1 90.2 405.6 1 878.2", "Carried forward 220.1 – 14.2 234.3", "Expenditure as a percentage of appropriation", "Expenditure as a percentage of funds available 86 100 97 89", "(a) Pillar 1 includes the United Nations Regular Budget Fund, the Junior Professional Officers Fund and the operational and (mandate-related) new or additional activities reserve.", "Contributions", "10. In 2010, voluntary contributions totalled $1,903.5 million, representing an increase of $141.8 million, or 8 per cent, compared with contributions of $1,761.7 million in 2009, indicating that donors provided substantial support despite the precarious economic situation throughout the year.", "11. Voluntary contributions of $1903.5 million represent 58 per cent of the total annual budget based on the combined requirements of $3,288.7 million. Table IV.2 shows the comparison of voluntary contributions with the final appropriation and funds available for 2010. Earmarked contributions are recorded under the respective fund/pillar upon receipt. Unearmarked and unearmarked contributions were initially recorded under pillar 1 and subsequently transferred to other pillars, as required, to meet budgetary requirements. During the year, $184.2 million of such contributions were transferred from the Annual Programme Fund to other funds; $45.2 million was transferred to pillar 3 (Reintegration Projects Fund) and $139 million to pillar 4 (Internally Displaced Persons Projects Fund). Figure IV.1 shows a comparison of voluntary contributions by pillar and the percentage of funds available.", "Table IV.2 Appropriations, voluntary contributions and funds available", "(Millions of United States dollars)", "Pillar 1 Pillar 2 Pillar 3 Pillar 4 Total", "Final appropriation for 2010", "Voluntary contributions 1 610.9 7.8 34.8 250.0 1 903.5", "Carry-over from 2009", "Other income and adjustments 20.4 - 0.5 3.6 24.5", "Transfers to cover administrative expenses 19.4 (0.3) (2.2) (16.9) —", "Transfer to cover other pillars budget (205.8)", "Transfers to other funds (17.9) – (17.9)", "Funds available 1 573.4 29.1 90.2 419.8 2 112.5", "Figure IV.1 Comparison of voluntary contributions and funds available by pillar", "Percentage of voluntary contributions by pillar", "Note: Pillar 1 includes the United Nations Regular Budget Fund, the Junior Professional Officers Fund and the operational and (mandate-related) new or additional activities reserve.", "Expenditure", "12. Expenditure in 2010 totalled $1,878.2 million, compared to $1,754.5 million in 2009, an increase of $123.7 million, or 7 per cent. Figure IV.2 shows the percentage distribution of expenditure by objective in 2010 and table IV.3 shows the distribution of expenditure by pillar for each objective.", "13. The global refugee programme (pillar 1) accounted for the bulk of expenditure, at 72 per cent. The largest share of expenditure was allocated to the goal of refugee protection and mixed solutions, accounting for 37 per cent of total expenditure. UNHCR ' s global management is 16 per cent of expenditure by objective, mostly under pillar 1. This category includes the global programme (operational activities and programme pillar), headquarters and regional offices, and the regional pillar structure as detailed in the 2010-2011 global appeal. In addition, it includes global inventories. Protection provided prior to resolution accounted for 12 per cent of total expenditure, while 6 per cent was spent under emergency response, including activities for flood areas in Pakistan and emergency response activities in Kyrgyzstan.", "Figure IV.2 Percentage distribution of 2010 expenditures by objective", "[Chuckles]", "Legend", "a Emergency b Protection pending resolution c Protection and mixed solutions d Voluntary return e Reintegration f Local integration g Resettlement h Capacity-building i Advocacy for protection and solutions j Resource mobilization k UNHCR Global Management l Balance of Implementing Partners to be Reported m Junior Professional Officers", "Table IV.3 Distribution of expenditure by pillar and objective", "(Millions of United States dollars)", "Objective Pillar 1 Pillar 2 Pillar 3 Pillar 4 Total", "Emergency response 28.2 0.1 – 75.3 103.6 6", "Protection before resolution 160.2 7.0 – 57.1 224.3 12", "Protection and mixed solutions 520.6 6.5 5.7 169.1 701.9 37", "Voluntary return", "Reintegration 20.2 - 62.6 6.1 88.9 5", "Local integration 22.7 0.4 2.7 – 25.8 1", "Relocation 3.5 — 3.5 —", "Capacity-building 8.6 0.7 0.7 0.1 10.1 1", "Advocacy for protection and solutions 41.1 11.1 - 0.6 52.8 3", "Resource mobilization 3.4 — 3.4 —", "UNHCR global management 306.2 0.3 – - 306.5 16", "Subtotal 1 166.8 26.1 75.4 308.3 1 576.6 84", "Balance of implementing partners to be reported 175.4 3.0 14.8 97.3 290.5 15", "Subtotal 1 342.2 29.1 90.2 405.6 1 867.1 99", "Junior Professional Officers 11.1 — — 11.1 1", "Total 1 353.3 29.1 90.2 405.6 1 878.2 100", "Percentage of total expenditure 72 1 5 22 100", "Cost trends", "14. The cost components relating to management and administration, programme support and programme are presented in previous years in the consolidated Annual and Supplementary Programme Funds. Comparative trend results are shown in table IV.4 showing the consolidated Annual Programme Fund, the Reintegration Projects Fund and the Internally Displaced Persons Projects Fund.", "Table IV.4 Cost trends", "(Percentage)", "2006 2007 2008 2009 2010", "Management and administration", "Programme support", "Programme 71 74 75 78 82", "15. Programme support costs decreased from 18 per cent in 2009 to 15 per cent in 2010, while programme costs increased from 78 per cent in 2009 to 82 per cent in 2010. The percentage decrease in management and administration costs and programme support costs and a corresponding 4 per cent increase in programme costs are due mainly to a significant increase in operational implementation and related costs.", "Disbursements to implementing partners", "16. In 2010, UNHCR disbursed and committed a total of $676.9 million, or 36 per cent of annual budget expenditure, through instalments to implementing partners. This figure was $598.8 million in 2009, or 34 per cent of annual budget expenditure. Table IV.3 shows that the balance of instalments paid but not yet reported amounts to $290.5 million; upon receipt of implementing partner reports, expenditure will be charged to the appropriate target.", "Unliquidated obligations", "17. Unliquidated obligations increased by $26.6 million in 2010, and unliquidated obligations as a percentage of the Fund ' s expenditure increased by approximately 1 per cent. At the end of 2010, unliquidated obligations totalled $172.2 million, or 9.2 per cent of total annual budget expenditure, compared to $145.6 million or 8.3 per cent in 2009.", "Cancellation of prior-year obligations", "18. In 2010, the cancellation of prior-year obligations amounted to $14.3 million, representing 9.9 per cent of unliquidated obligations at the end of 2009. The comparable figure for 2009 was $12.1 million, or 10.0 per cent. Management continues to pay close attention to the verification of amounts recorded as unliquidated obligations.", "Cash balances -- voluntary funds", "19. At the end of 2010, total cash available for the organization amounted to $437 million, compared to $382.6 million in 2009, an increase of $54.4 million.", "Reserves and fund balances -- voluntary funds", "20. The organization had a net deficit of $72.3 million in reserves and fund balances at the end of the year. The net deficit was due to the $393.4 million deficit in the Staff Benefits Fund, which was only partially offset by the Medical Insurance Plan surplus of $36.9 million, the Working Capital Fund balance of $50 million and the annual budget carry-over of $234.3 million, as detailed in table IV.1. Efforts are continuing to raise funds for unfunded after-service and post-retirement staff benefits.", "Working Capital and Guarantee Fund", "21. The Working Capital and Guarantee Fund was established to replenish the Annual Programme Fund and to meet necessary expenditures pending receipt of pledges or anticipated contributions. It is financed mainly from interest on investment funds and income from exchange rate adjustments. Its ceiling is $50 million. In 2010, operational requirements were completed without drawing from the Working Capital and Guarantee Fund.", "Interest income", "22. The organization earns interest income mainly from its term deposit balances maintained throughout the year. In 2010, interest income was $1.1 million, of which $0.9 million was reported in the Working Capital Fund and $0.2 million in the Medical Insurance Plan. Interest income decreased by $1.2 million compared to $2.3 million recorded in 2009, as central banks around the world maintained historically low interest rates during the financial crisis. However, as a result of effective liquidity and investment management, UNHCR ' s interest income was higher than its benchmark (the three-month average of interest rates on United States Treasury bills).", "Currency exchange adjustments", "23. Financial markets around the world continued to be highly volatile in 2010, with unprecedented interventions by Governments and central banks. UNHCR has successfully implemented risk management measures to ensure that foreign exchange losses are minimized and that cash holdings and investments are safeguarded. Management will continue to monitor closely and minimize the risk that unexpected exchange rate fluctuations may adversely affect operations.", "24. Figure IV.3 shows the overall trend of exchange gains and losses for UNHCR.", "Figure IV.3 Trends in exchange gains and losses", "(Millions of United States dollars)", "Total benefits and losses implemented and not implemented", "[Chuckles]", "25. In 2010, exchange rate adjustments resulted in a net loss of $17.1 million, compared to a net loss of $1.8 million in 2009. Of the net loss in 2010, $2.8 million represented a net realized loss and $14.3 million a net unrealized loss.", "The total realized net loss of $2.8 million consists of a net realized loss of $16.4 million from contributions, a net realized gain of $10.6 million from closed treasury exchange activities for the year and a net realized gain of $3 million from accounts payable and other sources.", "27. The total net unrealized loss of $14.3 million was due mainly to the revaluation of unliquidated obligations, receivables, accounts payable and cash balances at year ' s end. Table IV.5 shows the United Nations exchange rates used at the end of 2009 and 2010 and shows the percentage change.", "Table IV.5 Changes in major currencies against the United States dollar", "United States dollar exchange rate as at 31 December 2009", "$A 0.986 1.112-11.3", "$1,000,000 1.038-3.7", "Danish kroner 5.675 5.150 +10.2", "Japanese yen 82.000 91.700-10.6", "Norwegian kroner 5.956 5.770 + 3.2", "Swedish kroner 6.852 7.170 - 4.4", "Swiss franc 0.951 1.030 - 7.7", "United Kingdom pounds sterling 0.648 0.625 + 3.7", "Euro 0.761 0.693 + 9.8", "28. In 2010, the bulk of the organization ' s voluntary contributions were in United States dollars, about 53 per cent, 21 per cent in euros, 6 per cent in Swedish kroner, 4 per cent in Norwegian kroner, 4 per cent in Japanese Yen, 3 per cent in Danish kroner, 3 per cent in pounds sterling, 2 per cent in Canadian dollars, 2 per cent in Australian dollars, 1 per cent in Swiss francs and the remainder in various other currencies.", "E. Other matters", "Central Emergency Response Fund", "29. In 2010, UNHCR did not borrow from CERF. The Fund was created by the General Assembly in 1992 for use by operational agencies in the early stages of emergencies. In 2010, however, UNHCR received contributions in the form of Central Emergency Response Fund grants, of which $25.5 million was for Pillars 1 and 222.6 million for Pillar 4.", "Implementing partner performance management study", "30. In February 2010, UNHCR launched a project aimed at improving the management and oversight of implementing partners. The Division of Financial and Administrative Management has assigned a senior staff member to work with other relevant divisions/units in UNHCR to review policies and related procedures, including audit certificates, for implementing partner performance management.", "31. A comprehensive review and benchmarking of the relevant policies, procedures and practices of the performance management and oversight activities of the nine United Nations implementing partners was undertaken during 2010. This is the first phase, which aims to identify gaps and best practices in order to propose an improved policy.", "32. The report that emerged after the end of the first phase identified current procedural problems and gaps in relation to major practices, and included an analysis of IP management practices in a number of other United Nations agencies. In addition, several recommendations were made on how to address the gaps in the performance management of current UNHCR implementing partners identified through a comparative assessment. The results of the first phase led to the recognition that efficient and effective IP management and oversight included a number of factors, not limited to the audit of IP accounts.", "The second phase of the project, which was initiated on the basis of the results of the review and in-house deliberations, aims to improve the performance of implementing partners through the adoption of new models. The model is a risk-based management approach to the management of IP resources and seeks to improve performance and accountability. This decision to adopt such an approach requires that the method of implementation be defined and its impact clarified. At this stage, there is a need for an external perspective and expertise to develop and implement risk-based management models. Ernst and Young, a consulting firm, is involved in helping to further define concepts and assess their impact on organizational structures and resources. The study, which was completed in early 2011, will inform senior management strategic decisions and directives.", "Implementation of International Public Sector Accounting Standards", "34. In June 2010, UNHCR informed the Standing Committee that it had decided, like several other specialized agencies and United Nations organizations, to defer IPSAS implementation until 2012 (see EC/61/SC/CRP.18).", "35. The management of the project continued to improve during 2010, and UNHCR management continued to closely monitor implementation progress to ensure that the 2012 financial statements are IPSAS-compliant.", "Chapter V", "Financial statements for the year ended 31 December 2010", "Statement of income and expenditure and changes in reserves and fund balances for the year ended 31 December 2010", "(Thousands of United States dollars)", "Statement I", "Schedule or note number Working capital and annual programme projects Reintegration of internally displaced persons", "Income", "Note 2 (d), 1 562 379 34 769 250 005 39 641 16 679 1 903 1 761 Schedule 1,473 659", "Other/miscellaneous income", "Note 2 (e), 910 177 1 087 2 295 Note 9 (a)", "Currency exchange adjustments Note 2 (f) (17 052) (17 052) (1 779)", "Adjustments", "Note 2 (g) 34 6 230 8 4 91 196 6 6 681 104 153 40 341", "Total income (16 108) 1 568 609 34 777 250 009 39 641 16 679 91 196 6 858 1 991 1 802 661 516", "Expenditure", "Note 2 (h), note 6, 1 958 1 331 669 90 164 405 588 39 641 11 111 37 927 4 437 1 922 1 795 Schedule 2 (a) 495 677", "Total expenditure", "Excess (shortfall) of income over expenditure (18,065) 236,939 (55,387) (155,579) 5 568 53 269 2 422 69 168 6 839", "Note 2 (i) (4,339) (46) (4,385) (263)", "Note 2 (j) 6 556 355 1 353 8 52 7 8 331 18 386", "Net excess (shortfall) of income over expenditure (18,065) 239 156 (55,031) (154,226) 5 529 53 322 2 429 73 114 24 962", "Cancellation of prior-year obligations", "Transfer to/from other funds", "Adjustments to prior-period end-of-service liabilities (72 204)", "Adjustments to land and buildings first recognized", "Reserves and fund balances, beginning of year", "Reserves and fund balances, schedule 2^ (a) 50 001 208 961 1 14 251 11 093 (393 419) 36 862 (72 250) (159 987)", "(a) Schedule 2 does not include the Working Capital and Guarantee Fund, the Junior Professional Officers Fund, the Staff Benefits Fund or the Medical Insurance Plan Fund.", "(b) Schedule 3 does not include the Staff Benefits Fund.", "Statement of assets, liabilities, reserves and fund balances as at 31 December 2010", "(Thousands of United States dollars)", "Statement II", "Fund for Reintegration of Internally Displaced Persons", "Assets", "Cash and term deposits", "Accounts receivable", "Note 10 69 962 2 192 25 079 1 487 98 720 88 455", "Due from United Nations agencies Note 12 1 142 1 142 3 083", "Due from implementing partners, net, 2 033 16 2 049 2 725", "Other accounts receivable Note 13 21 205 50 21 255 25 654", "Other assets Note 15 22 1 782 1 804 2 229", "Note 16 4 142 4 142 4 142", "Total assets", "Liabilities", "Note 2 (o), note 3 41 472 41 472 32 552", "Unliquidated obligations", "Accounts payable Note 18 31 024 31 024 42 314", "Note 2 (r), note 19 393 698 393 448 384 698", "Total liabilities 158 135 13 564 73 038 13 393 698 638 668 890 448", "Reserves and fund balances", "Total liabilities and reserves and fund balances", "(a) Schedule 2 does not include the Working Capital and Guarantee Fund, the Junior Professional Officers Fund, the Staff Benefits Fund or the Medical Insurance Plan Fund.", "Statement of cash flows for the year ended 31 December 2010", "(Thousands of United States dollars)", "Statement III", "Fund for Reintegration of Internally Displaced Persons", "Cash flows from operating activities", "Net excess (shortfall) of income over expenditure (statement 1) (18 066) 239 157 (55 032) (154,226) 5 530 53 321 2 428 73 112 24 962", "(Increase) decrease in contributions receivable", "(Increase) decrease in other accounts receivable", "(Increase) decrease in other assets", "(Increase) decrease in land and buildings (4,142)", "Increase (decrease) in contributions received in advance", "Increase (decrease) in unliquidated obligations (25,860)", "Increase (decrease) in accounts payable (11 290) (11 71 635 290)", "Increase (decrease) in end-of-service and post-retirement liabilities (54,686) (54,686)", "Less: interest income (910) (175) 087)", "Currency exchange adjustments (a) 2 748 2 748 1 779", "Net cash from operating activities (16 224) 236 834 (46 333) (137 793) 4 137 (1 365) 2 251 41 507 94 811", "Cash flows from investing and financing activities", "Interest income 910 177 1 087 2 295", "Currency exchange adjustments (a) (2,748) (2 (1,779) 748)", "Net cash from investments and financing (1,838) 177 (1,516,661)", "Cash flows from other sources (b)", "Cancellation of prior-year obligations 11 968 116 2 264 1 272 14 621 13 223", "Transfer (to) from other funds 18 066 (181,711) 43 045 122 081 (1,333) (148)", "Adjustments to prior-period end-of-service liabilities (72 204)", "Adjustments to land and buildings first recognized", "Net cash from other sources", "Net increase (decrease) in cash and term deposits", "Cash and term deposits at the beginning of the year", "Cash and term deposits at year-end", "^ (a) is a realized exchange rate adjustment, while the exchange rate adjustment in statement 1 (17,052) includes realized exchange rate adjustments (2,748) and unrealized exchange rate adjustments (14,304).", "(b) The statement of cash flows is presented in accordance with the United Nations system accounting standards. Non-cash items included in cash flows from other sources must be reconciled with the net excess (shortfall) of income over expenditure to arrive at the year-end balance of cash and term deposits.", "Contributions by donor/fund for the year ended 31 December 2010", "(Thousands of United States dollars)", "Schedule 1", "United Nations Regular Budget Junior Professional Officers Fund", "Voluntary contributions", "Government donors", "Algeria 100 – 100 – 100 – 100", "Andorra 66 – 66 – – 9 – 9 – 75 – 75", "Argentina 39 – 39 – 39 – 39", "Australia 37 435 — 37 435 270 — 270 7 330 — 7 330 — 69 45 104 — 45 104", "Austria 3 272 – 3 272 – – 3 272 – 3 272", "Azerbaijan 20 – 20 – 20 – 20", "Bahrain 10 – 10 – 10 – 10", "Belgium 17 831 — 17 831 1 233 — 1 233 2 898 — 2 898 — — 21 962 — 21 962", "Brazil 1,600 – 1,600 – – 1,900 – 1,900 – 3,500 – 3,500", "Canada", "Chile 100 – 100 – 100 – 100", "China 250 – 250 – 250 – 250 – 250", "Colombia 25 – 25 – 25 – 25", "Costa Rica 18 – 18 – 18 – 18", "Cyprus 82 – 82 – 82 – 82", "Czech Republic 165 – 165 – 165 – 165", "Denmark 46 667 — 46 667 5 721 — 5 721 3 467 — 3 467 — 913 56 768 — 56 768", "Egypt 25 – 25 – – 25 – 25", "Estonia 155 – 155 – 155 – 155", "Finland 26 697 – 26 697 – – 289 – 289 – 561 27 547 – 27 547", "France 16 667 — 16 667 540 — 540 2 362 — 2 362 — 487 20 056 — 20 056", "Germany 35 916 5 143 41 059 1 271 135 1 406 5 971 244 6 215 0 1 061 44 219 5 522 49 741", "Greece 551 – 551 – – – – – 551 – 551", "Hungary 174 1 663 1 837 – – – – 174 1 663 1 837", "Iceland 100 – 100 – 100 – 100 – 100", "Ireland 7,738 – 7 738 – – – 7 738 – 7 738", "Israel 60 – 60 – 60 – 60 – 60", "Italy 9 078 – 9 078 – – 1 666 – 1 666 – 733 11 477 – 11 477", "Japan 115 530 — 115 11 818 — 11 818 15 215 — 15 215 — 931 143 — 143 530 494 494", "Kuwait 1,052 – 1,052 – – – 1,052 – 1,052", "Liechtenstein 291 – 291 – – – 141 432 – 432", "Luxembourg 10 462 – 10 462 — — 448 — 226 11 136 — 11 136", "Malta 20 – 20 – – 20 – 20", "Mexico 75 – 75 – 75 – 75", "Monaco 195 – 195 – 195 – 195", "Montenegro 6 – 6 – – – 6 – 6", "Morocco 1,000 – 1,000 – – – – 1,000 – 1,000", "Netherlands 69 457 — 69 457 — — — 1 778 — 1 778 — 2 844 74 079 — 74 079", "New Zealand 4,428 – 4,428 – – – – – 4,428 – 4,428", "Norway 69 091 127 69 218 468 – 468 10 603 – 10 603 – 686 80 848 127 80 975", "Oman 100 – 100 – 100 – 100 – 100", "Portugal 1 639 – 1 639 – – – – 1 639 – 1 639", "Qatar 50 – 50 – 50 – 50 – 50", "Republic of Korea 3,000 – 3,000 – – 3,000 – 3,000", "Russian Federation 1,800 – 1,800 – – 200 – 200 – 2,000 – 2,000", "Saudi Arabia 1 450 – 1 450 – – 18 786 — 18 786 — — 20 236 — 20 236", "Singapore 10 – 10 – 10 – 10", "Slovakia 14 – 14 – – – 14 – 14", "Slovenia 121 – 121 – 121 – 121", "South Africa 179 – 179 – – 179 – 179", "Spain 25 109 — 25 109 2 074 — 2 074 8 967 — 8 967 — 3 020 39 170 — 39 170", "Sweden 104 716 – 104 – – 6 420 – 6 420 – 800 111 – 111 716 936 936", "Switzerland 19 543 1 191 20 734 – – 4 460 – 4 460 – 327 24 330 1 191 25 521", "Thailand 20 – 20 – 20 – 20", "Turkey 200 – 200 – 200 – 200", "United Arab Emirates 346 – 346 – – 3 919 – 3 919 – 4 265 – 4 265", "United Kingdom 47 278 — 47 278 — — 9 724 — 9 724 — — 57 002 — 57 002", "United States 645 610 – 645 – – 63 152 105 63 257 – 3 350 712 105 712 610 112 217", "Uruguay 5 – 5 – – 5 – 5", "Government donors 1,370 137 8 124 1 378 23 395 135 23 530 173 349 173 16 679 1 583 8 608 1 591 261 055 404 266 874", "European Commission 65 343 — 65 343 9 670 — 9 670 43 203 — 43 203 — — 118 118 216 216", "Intergovernmental donors", "IOM 194 – 194 – 194 – 194", "African Union 550 ~ 550 ~ 100 ~ 650 ~ 650", "Arab Gulf Programme for United Nations Development Organizations", "Intergovernmental Authority on Development – – – 659 – 659", "Great Lakes Initiative on HIV/AIDS 483 — 483 — — — — — 483 — 483", "European Commission/Development Bank – – – – 30 – 30 – 30 – 30", "OPEC Fund for International Development", "Economic Community of West African States", "Intergovernmental donors 7,041 – 7,041 – – 130 – 130 – 7,171 – 7,171", "United Nations pooled funding mechanism", "Stabilization and recovery financing mechanisms – – – 760 – 760 – – 760 – 760 – 760", "United Nations – – – – 39 641 – 39 641 – 39 641", "Central Fund for Influenza Operations 1,235 – 1,235 – – 1,235 – 1,235", "UNFPA 221 – 221 – 221", "Democratic Republic of the Congo pooled funding 918 – 918 – – 911 – 911 – 1 829 – 1 829", "Common Humanitarian Fund for the Sudan", "Common Humanitarian Fund of the Central African Republic – 250 – 250 – 250 – 250", "Central Emergency Response Fund", "Joint United Nations Programme on HIV/AIDS", "UNDG Iraq Trust Fund 171 — 171 541 — 541 112 — 112 — 824 — 824", "United Nations Development Programme", "United Nations Trust Fund for Human Security", "United Nations Peacebuilding Fund", "United Nations Delivering as One 2 170 – 2,170 – – – 2,170 – 2 170", "United Nations Millennium Development Goals 228 — 228 243 — 243 1 192 0 1 192 — 1,663 — 1,663", "World Food Programme – 105 – 105 – 35 – 140 – 140", "Office of the United Nations High Commissioner for Human Rights 400 400 400", "United Nations pooled funding mechanism 46 021 — 46 021 1 463 — 1,463 30 334 — 30 334 39 641 — 117 459", "Private donors", "Argentina 1 — 1 — — — — — — 1 — 1", "Angola 307 – 307 – 307 – 307", "Azerbaijan – – – 50 – 50 – 50 – 50 – 50", "Austria 1 – 1 – – – – 1 – 1", "Australia 7 228 – 7 228 – 210 – 210 – 7 438 – 7 438", "Belgium 7 – 7 – – – 7 – 7", "Brazil", "Canada 1 817 – 1 817 – – 6 – 6 – 1 823 – 1 823", "China 2 360 – 2 360 – – 315 – 315 – 2 675 – 2 675", "Colombia 3 – 3 – 10 – 10 – 13 – 13", "Congo", "Cyprus 1 — 1 — — — — — — — 1", "Czech Republic", "Denmark – 477,477 – – – – – – 477,477", "Finland", "France 2 184 186 – – – 2 184 186", "Germany 2 807 – 2 807 – – 410 – 410 – – 3 217 – 3 217", "Greece 300 – 300 – 300 – 300 – 300", "Italy 8 548 – 8 548 – – 247 – 247 – 8 795 – 8 795", "Japan 7 850 558 8 408 — — 215 — 215 — 8 065 558 8 623", "Jordan 2 – 2 – 2 – 2", "Korea 518 – 518 – – 11 – 11 – 529 – 529", "Sri Lanka", "Lebanon 7 – 7 – – – 7 – 7", "Luxembourg 50 – 50 – 50 – 50 – 50", "Malaysia", "Mexico", "Monaco 58 – 58 – 58 – 58", "Netherlands 2 539 1 701 4 240 106 169 169 2 814 1 701 4 515", "Nepal 1 – 1 – – – – 1 – 1", "Pakistan 15 – 15 – 15 – 15", "Portugal 364 1 099 1 463 – – – – – 364 1 099 1 463", "Saudi Arabia 1 – 1 – – – – 1 – 1", "Serbia 72 – 72 – 256 – 256 – 328 – 328", "Spain 9 812 – 9 812 – – 356 – 356 — 10 168 — 10 168", "Sweden 734 – 734 – – – 411 — — 1 145 — 1 145", "Switzerland 842 5 439 6 281 – – 9 9 – 851 5 439 6 290", "Syria 18 – 18 – 18 – 18", "Thailand 2 324 – 2 324 – – 2 324 – – 2 324", "Turkey 9 – 9 – – 9 – 9", "Ukraine 1 — 1 — — — — — — 1 — 1", "United Arab Emirates 300 — 300 — – – – 300 – 300", "United Kingdom 502 46 548 – – 14 0 14 – 516 46 562", "United Republic of Tanzania", "United States of America", "Private donors 54 870 10 843 65 713 106 2 934 2 934 - 57 910 10 843 68 753", "Total contributions 1,543 412 18 967 1 562 34 634 135 34 769 249 349 250 39 641 16 679 1 884 19 451 1 903 656 005 022 473", "Funds available for all funds as at 31 December 2010", "(Thousands of United States dollars)", "Schedule 2", "Unliquidated obligations", "Field operations", "Africa", "Africa total 491 – – 491", "West Africa 46 162 43 862 2 221 46 083 79", "East and Horn of Africa 233 584 214 948 18 634 233 582 2", "Central Africa and the Great Lakes region 232 357 217 719 14 638 232 357 0", "Southern Africa 40 660 39 366 1 294 40 660 0", "Africa 553 254 515 895 36 787 552 682 572", "Middle East and North Africa", "North Africa 25 987 23 931 2 056 25 987 0", "Middle East 229 441 183 493 9 954 193 447 35 994", "Middle East and North Africa 255 428 207 424 12 010 219 434 35 994", "Asia and the Pacific", "Asia and the Pacific total 10 – – 10", "South Asia 21,880 20 303 (1 452) 18 851 3 029", "South-East Asia 42 086 41 142 943 42 085 1", "East Asia and the Pacific 11 577 11 400 178 11 578 (1)", "South-West Asia 185 911 105 482 (15 948) 89 534 96 377", "Central Asia 9 661 9 231 180 9 411 250", "Asia and the Pacific 271 125 187 558-16 099 171 459 99 666", "Europe", "Eastern Europe 31 669 32 026-357 31 669 0", "Central Europe 7 545 7 478 68 7 546 (1)", "Northern, Western and Southern Europe 26 110 24 923 1 188 26 111 (1)", "South Eastern Europe 20 171 19 811 360 20 171 —", "Europe 85 495 84 238 1 259 85 497 (2)", "Americas", "Latin America 30 525 29 888 637 30 525 —", "North America and the Caribbean 6,050 5 743 307 6,050 —", "Americas 36 575 35 631 944 36 575 —", "Field operations 1 201 877 1 030 746 34 901 1 065 647 136 230", "Global programmes 134 103 92 773 41 330 134 103 0", "Headquarters 131 917 122 511 9 408 131 919 (2)", "Total 72 733 0 0 72 733", "Total Annual Programme Fund", "Field operations 1 839 1829 10 839 — Eastern Africa and the Horn of Africa 15 988 10626 5 362 15 988 — Central Africa and the Great Lakes region 11 457 10980 477 11 457 — Southern Africa 1 886 1882 4 1 886 — Africa 31 170 25317 5 853 31 170 — Middle East and North Africa 2817 16 6 368 22817 — 449 Middle East and North Africa 22 817 164 6 368 22 817 559 817 — Asia and the Pacific 540 540 05 540 South-East Asia 228 028 — South-West Asia 27 639 263 1 3008 27 639 — Asia and the Pacific 507 308 — Europe 1 559 559 559 — South-Eastern Europe 540 565 6 6 6 6 960 6 164 6 56 6 6 6 164 164 6 7 7 7 6 7 7 7 7 7 7 6", "58,202,47109 2,271 49,380 2 822 Central and Great Lakes 35,782 3135,425 35 777 5 Southern Africa 2 125,224 2 125 0 Africa 94 346 83774 7 115 0,289 2 827 Middle East and North Africa 76100 65,76100 — 575 Middle East and North Africa 76 100,655 10,525 75 49 380,822 Central Africa and the Great Lakes region 35 782 425 3577 5 Southern Africa 2 125 21,225 125,2 125,0 Africa 94 3 3 416 733 -- South-West Asia 133512 46 809 13,009 133,515 515 515 23,515 554 100,280 Asia and the Pacific 21,265 684 16,335 Western Europe", "Unliquidated obligations", "Headquarters 39 641 39 641 39 641", "Total United Nations Regular Budget Fund 39 641 39 641 0 39 641 776", "Status of prior years ' obligations as at 31 December 2010", "(Thousands of United States dollars)", "Schedule 3", "Unliquidated obligations as at 31 December 2010", "Field operations", "Africa", "West Africa 1 814 1 605 209 —", "East and Horn of Africa 21 516 19 562 1 954 —", "Central Africa and the Great Lakes region 18 363 15 170 3 193 —", "Southern Africa 1 305 1 260 45 —", "Africa 42 998 37 597 5 401 —", "Middle East and North Africa", "North Africa 3 844 3 784 60 —", "Middle East 21 265 19 729 1 536 —", "Middle East and North Africa 25 109 23 513 1 596 —", "Asia and the Pacific", "South Asia 1 448 1 325 123 —", "South-East Asia 2 074 2 020 54 —", "East Asia and the Pacific 269 248 21", "South-West Asia 7 166 6 461, 705 —", "Central Asia 52 51 1 —", "Asia and the Pacific 11 009 10 105 904 —", "Europe", "Eastern Europe 925 891 34 —", "Central Europe 20 18 2 —", "Northern, Western and Southern Europe 252 216 36 —", "South-Eastern Europe 303 200 103 —", "Europe 1,500 1 325 175 —", "Americas", "Latin America 214 204 10 -", "North America and the Caribbean 1 – 1 —", "America 215 204 11 —", "Field operations 80 831 72 744 8 087 —", "Global programmes 18 566 17 178 1 388 —", "Headquarters 12 078 9 328 2 478 272", "All 24 9 15 —", "Total Annual Programme Fund 111 499 99 259 11 968 272", "Unliquidated obligations as at 31 December 2010", "Field operations", "Africa 2 673 2 557 116 —", "Total Reintegration Projects Fund", "Funds for internally displaced persons projects", "Field operations", "Africa 2 792 2 615 177 —", "Middle East and North Africa 1 398 1 324 74 —", "Asia and the Pacific 26 066 24 055 2 011 —", "Europe 1 191 1 191 —", "America 13 11 2 —", "Total IDP Projects Fund 31 460 29 196 2 264 —", "Unliquidated obligations as at 31 December 2010", "Field operations", "Africa 4 3 1 -", "Europe 4 4 —", "Total Junior Professional Officers Fund", "Total 145 640 131 019 14 349 272", "(a) See note 3.", "Appendix", "Statement of objectives and activities of the Office of the United Nations High Commissioner for Refugees", "The basic mandate of the High Commissioner is contained in the statute of the Office of the United Nations High Commissioner for Refugees (UNHCR) (General Assembly resolution 428 (V)). The statute provides that the High Commissioner, acting under the authority of the General Assembly, shall assume the function of providing international protection, under the auspices of the United Nations, to refugees who fall within the scope of the statute and of seeking permanent solutions to refugee problems.", "The Assembly also requested the High Commissioner to provide assistance to returnees and to monitor their safety and well-being on return (General Assembly resolution 40/118). In addition, at the specific request of the Secretary-General or the competent principal organs of the United Nations, and with the consent of the State concerned, UNHCR provides humanitarian assistance and protection to internally displaced persons (General Assembly resolution 48/116). With regard to UNHCR ' s assistance activities, the basic provisions of the statute were expanded by General Assembly resolution 832 (IX).", "Notes to the financial statements", "Note 1 Office of the United Nations High Commissioner for Refugees and its activities", "The Office of the United Nations High Commissioner for Refugees (UNHCR) was established by the General Assembly in its resolution 319 A (IV) of 3 December 1949 and its statute was approved by the Assembly in its resolution 428 (V) of 14 December 1950.", "The overall objective of UNHCR is to provide international protection to refugees and to seek durable solutions to refugee problems. UNHCR seeks to safeguard the fundamental principles of asylum and non-refoulement and to ensure that the fundamental rights of refugees are respected and that they are treated in a dignified and humane manner. UNHCR has also developed, at the request of the General Assembly and the Governments concerned, substantial material assistance programmes to meet the needs of refugees. Subsequent resolutions of the General Assembly, the Economic and Social Council and the Executive Committee of UNHCR have called upon the Office, in accordance with its basic mandate, to provide assistance to other populations of concern to the High Commissioner. In complex humanitarian emergencies, UNHCR is also involved in the provision of humanitarian assistance.", "The High Commissioner reports annually to the General Assembly through the Economic and Social Council. The Executive Committee of the High Commissioner ' s Programme was established pursuant to General Assembly resolution 1166 (XII) of 26 November 1957 to advise the High Commissioner in the exercise of his/her functions and to approve the use of voluntary funds made available to the High Commissioner. The Executive Committee holds a series of meetings annually, including one plenary session and several intersessional meetings of the Standing Committee of the Whole. In 2010, the Executive Committee comprised 79 member States. Each year, the report of the session of the Executive Committee is submitted to the General Assembly as an addendum to the report of the High Commissioner.", "UNHCR headquarters are located in Geneva. UNHCR has a presence in 125 countries and manages its core work through a series of regional offices, branches, sub-offices and field offices in five regions: Africa, the Americas, Asia and the Pacific, Europe and the Middle East and North Africa. The Department of Operations and its divisions manage global programmes at Headquarters.", "Note 2 Summary of significant accounting policies", "In order to better reflect UNHCR accounting practices, the terminology of accounting policies has been modified since the previous year. The revised accounting policy does not affect the comparative figures for the previous year, as UNHCR ' s accounting practices remain the same as in previous periods.", "(a) Basis of presentation", "The accounts of the Voluntary Fund are maintained in accordance with the Financial Rules for Voluntary Funds Administered by the High Commissioner (A/AC.96/503/Rev.9). The rules were approved by the Executive Committee at an extraordinary meeting held on 8 December 2009. The financial statements and schedules also conform to the common accounting standards for the United Nations system (A/48/530, annex), as referred to by the General Assembly in its resolution 48/216 C, as subsequently revised.", "The financial year for the voluntary funds administered by the High Commissioner runs from 1 January to 31 December.", "(b) Fund group", "UNHCR accounts are maintained on a “fund accounting” basis. Separate funds for general and special purposes have been established in accordance with the Financial Rules.", "Each fund is maintained as a distinct financial and accounting entity with separate self-balancing double-entry groups of accounts. Separate financial statements are prepared for each fund or for a group of funds of the same nature.", "Transfers within the same fund or transfers between different funds may be authorized by the High Commissioner in accordance with the Financial Rules.", "The funds reported in the accounts are as follows:", "(i) Working Capital and Guarantee Fund. The established ceiling of $50 million was approved by the Executive Committee and maintained by interest income from invested funds and prior-year programme balances. The Fund shall be used to replenish the Annual Programme Fund and to make the necessary payments and secure obligations pending receipt of pledges;", "(ii) The Annual Programme Fund. It covers the requirements approved biennially by the Executive Committee for programmed activities under pillars 1, Global Refugee Programme, and 2, Global Stateless Programme. It also includes an operational reserve from which the High Commissioner may make allocations to other parts of the annual budget, including supplementary budgets;", "(iii) Reintegration Project Fund. To meet the requirements approved biennially by the Executive Committee for programmed activities under pillar 3, Reintegration projects;", "(iv) IDP Project Fund. To meet the requirements approved biennially by the Executive Committee for programmed activities related to pillar 4, Internally Displaced Persons Projects;", "(v) The United Nations Regular Budget Fund. To cover staff costs and other management and administration costs as stipulated in the statute of UNHCR (General Assembly resolution 428 (V), annex, article 20);", "(vi) Junior Professional Officers Fund. For financial activities specifically designed for the recruitment, training and development of young professionals sponsored by Governments;", "(vii) Staff Benefits Fund. For financial activities related to end-of-service accrued benefits liabilities, relating to after-service health insurance, accrued annual leave and repatriation entitlements, and provisions and expenditures arising from the 2007 and 2008 voluntary separation programmes;", "(viii) Medical insurance plan. The plan was established by the General Assembly at its forty-first session in accordance with United Nations staff regulation 6.2. The purpose of the Fund is to assist participants and eligible family members in meeting certain health-care services, facilities and supplies arising from illness, accident or maternity. The plan is maintained through field staff premiums and proportional payments by UNHCR, as well as interest income. Payments are based on claims processed during the year to cover field staff medical costs. The scope of the plan is limited to locally recruited General Service staff and National Professional Officers in the field. All other staff members are covered by the United Nations Office at Geneva insurance scheme (UNSMIS), the operations of which are reflected in the financial statements of the United Nations.", "(c) Use of estimates", "In order to prepare financial statements that are in conformity with generally accepted accounting principles, management is required to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Actual results may differ from those estimates. The estimates are used to recognize expenditures, in particular but not exclusively for the purpose of determining the amounts to be retained for unliquidated obligations at the end of the financial period, as well as liabilities for after-service health insurance, repatriation grants, travel and freight charges and accrued annual leave.", "(d) Voluntary contributions and pledges", "In accordance with paragraph 34 of the United Nations system accounting standards, pledges received by UNHCR from Governments, international organizations and other United Nations organizations are recognized as income for the period to which they relate. Cash received in advance against pledges for future years is recorded as “contributions received in advance” on the date of receipt of cash.", "Contributions from private donors are recorded as income upon receipt of cash.", "Contributions in kind are classified as budgetary or extrabudgetary. Budgetary contributions in kind replace commodities already budgeted for and purchased by UNHCR or its implementing partners in the normal execution of programmes. Budgetary contributions in kind are recorded in the accounts at fair market value when goods or services are received. Extrabudgetary contributions in kind represent contributions not budgeted by UNHCR. These are additional materials or services that, in UNHCR ' s view, complement programme activities and are consistent with UNHCR ' s mandate. Extrabudgetary contributions in kind are not recorded in the accounts but are shown separately in the notes to the financial statements (note 22), in accordance with the technical guidelines for voluntary contributions for supplies and services (see A/44/624, annex I).", "Cash received against pledges is recorded in United States dollars equivalent at the United Nations operational rate of exchange in effect on the date of receipt, as indicated in note 2 (f) below.", "Pledges due and outstanding are written off after five years unless the donor has reconfirmed the pledge in writing no later than 18 months before the end of the accounting period or the donor has confirmed in writing in the financial year that the outstanding pledge will not be paid to the organization.", "(e) Interest income", "Interest income includes all interest from various bank accounts and income earned on investments. Financial rule 9.3 specifies the conditions for recording investment income, which provides, inter alia, that income from investments shall be credited to the Annual Programme Fund, unless required to maintain the Working Capital and Guarantee Fund. Income earned on funds earned under the Medical Insurance Plan is credited to the Plan.", "(f) Currency exchange adjustments", "The accounts are presented in United States dollars. Transactions are carried out in multiple currencies and are translated into United States dollars using the United Nations operational rates of exchange, as established by the United Nations Controller, in effect at the date of the transaction. At the balance sheet date, the balances of receivables, accounts payable, cash and cash equivalents and commitments are revalued using the United Nations operational rate of exchange as at 31 December.", "Currency exchange adjustments include realized exchange gains and losses arising from differences between current market rates and the United Nations operational rate of exchange and unrealized translation gains and losses arising from the revaluation of year-end asset and liability balances at the United Nations operational rate of exchange. All realized and unrealized gains and losses are recorded in the Working Capital and Guarantee Fund.", "(g) Miscellaneous income", "Miscellaneous income includes income from the sale of old or surplus non-expendable property and income from UNHCR-provided staff accommodations.", "(h) Expenditure", "^ (a) The High Commissioner may commit the necessary funds for the implementation of programmes and projects in accordance with the following provisions: (a) the annual budgetary provisions approved by the Executive Committee; (b) the terms and conditions of the supplementary budget; or (c) the conditions of other funds and accounts.", "Expenditures represent commitments made in accordance with article 8 of the Financial Rules. (a) Expenditure includes operational, staff and administrative expenses. The High Commissioner may enter into commitments for the implementation of programmes to the extent that funds or governmental pledges are available in the appropriate fund or account. Whenever possible and appropriate, the implementation of the project will be entrusted to implementing partners, such as government agencies, intergovernmental or non-governmental organizations, private companies or individual experts, in accordance with the terms of an agreement or a formal exchange of letters. Payments made to or due to implementing partners are recorded as expenditure. If implementing partners refund unused funds, refunds received in the year are charged to expenditure and refunds received in the following year are recorded as prior year adjustments. Implementing partners may make commitments for the duration of the project up to the date of liquidation (i.e. one month after the end of the agreement), unless an extension is approved. Projects are implemented in accordance with the provisions set out in the letter of instruction addressed to the responsible officer or organizational unit of UNHCR.", "(i) Adjustments to prior-year contributions", "Refunds to donors of contributions received in previous years and adjustments to prior years ' recorded contributions are recorded as adjustments to prior years ' contributions.", "(j) Adjustments to prior-year expenditure", "Adjustments to prior-year expenditures include unspent cash balances refunded by implementing partners, write-offs and other adjustments to prior-year recorded expenditures.", "(k) Cancellation of prior-year obligations", "The cancellation of prior-year obligations relates to unliquidated obligations accumulated in prior periods and no longer required by the Organization.", "(l) Deferred charges", "Deferred charges comprise advances for rental and staff expenditure items that are not properly chargeable to the current financial period and that will be charged as expenditure in subsequent financial periods. These costs are reported as “other assets”.", "(m) Ex gratia payments", "The payment of ex gratia payments is governed by financial rule 10.5. Ex gratia payments may be approved by the Controller up to an amount not exceeding $5,000 if such payments are considered desirable in the interest of UNHCR. Payments in excess of $5,000 require the personal approval of the High Commissioner. A statement of ex gratia payments, if any, shall be submitted to the Board of Auditors with the annual accounts.", "(n) Write-offs", "Write-offs arising from losses of cash or of the book value of receivables, including the conversion of loans into grants, are governed by financial rule 10.6. Write-offs are recorded as expenditure. The write-off of losses of UNHCR property is governed by financial rules 10.6 and 10.7, which stipulate that write-offs up to $10,000 may be approved by the Controller after a full investigation of each case. Amounts over $10,000 require the approval of the High Commissioner. A statement of all amounts written off is submitted to the Board of Auditors with the annual accounts.", "(o) Unliquidated obligations", "Unliquidated obligations represent orders placed, contracts awarded or services rendered or instalments payable to implementing partners that have been charged against the resources of the current financial period and that need to be paid for in the subsequent financial period, but which have not been received by UNHCR at the end of the financial period. Such unliquidated obligations at the end of the financial period shall be retained and reported in the accounts as obligations. Unliquidated obligations that are no longer included in future financial periods shall be cancelled.", "(p) Expendable property", "Expendable property includes goods purchased by UNHCR and consumed in the course of its normal activities or in the distribution of relief materials to beneficiaries. UNHCR inventory refers to material or supplies intended for distribution to beneficiaries. The cost of these inventories is charged to expenditure at the time of purchase.", "(q) Property, plant and equipment", "Property, plant and equipment consists of land and buildings and non-expendable property:", "(i) Land and buildings are recorded as capital at original prices. No depreciation is applied to buildings.", "(ii) There are two categories of non-expendable property:", "a. Physical items held for the production or provision of goods or services, lease to other parties or for administrative purposes are expected to be used in multiple reporting periods, regardless of source of funds or use, including in-kind contributions, with initial costs equal to or above $5,000. Such items include non-expendable equipment such as vehicles, communications and information technology equipment, furniture and fixtures, as well as sheds, warehouses and physical buildings such as health, water and sanitation.", "b. Other tangible items, such as computer and telecommunications equipment, for the day-to-day operations of UNHCR, rather than for distribution to beneficiaries. These items are serially numbered for tracing, with an acquisition price of between $300 and $5,000.", "In accordance with the United Nations system accounting standards, non-expendable property purchased from UNHCR voluntary funds is not included in the balance sheet but is charged to the appropriate project in the year of purchase. Additional records are maintained to facilitate the management of non-expendable property, which is translated into United States dollars at the prevailing rate of exchange on the date of acquisition. Depreciation of assets is calculated on the basis of their estimated useful life on a straight-line basis but is not recorded in the books of accounts.", "(r) Liabilities for end-of-service accrued benefits", "Employees of the Organization are entitled to compensation for unused annual leave and termination and repatriation benefits in accordance with their terms of employment. UNHCR recognizes the liabilities for end-of-service accrued benefits related to after-service health insurance, accrued annual leave and repatriation entitlements. These liabilities are unfunded and are included under the Staff Benefits Fund.", "(s) Related-party transactions", "The note discloses all related-party relationships (whether or not transactions between related parties) in which control exists and all transactions with related parties. UNHCR views the incumbents of the five key management positions as related parties: the High Commissioner, the Deputy High Commissioner, the two Assistant High Commissioners and the Controller.", "(t) Going concern", "In presenting negative assets, the financial statements classify them as fully recognizing long-term liabilities for end-of-service and post-retirement benefits on the one hand, and non-current assets on the other hand, in accordance with the United Nations system accounting standards. Based on pledges received for future periods and the level of funds available for existing liabilities that are expected to fall due, UNHCR is now firmly expected to have sufficient resources to continue its normal operations for the foreseeable future. It is therefore appropriate to use going concern-based accounting to prepare annual financial statements.", "Note 3 Changes in prior-year comparative figures", "On 1 January 2010, the revised Financial Rules introduced a new budget and accounting structure, replacing the Annual Programme and Regular Budget Funds reported in previous years. Under the new structure, operational activities are grouped into several pillars. The Annual Programme Fund comprises Pillar 1 (Global Refugee Programme) and Pillar 2 (Global Stateless Programme); Pillar 3 is reported under the Reintegration Project Fund and Pillar 4 under the Internally Displaced Persons Project Fund.", "The assets, liabilities and reserve balances at the end of 2009 correspond to this new structure. The Annual Programme Fund corresponds to pillars 1 and 2, and the Supplementary Programme Fund corresponds to pillars 1, 3 and 4.", "All non-cash assets and accounts payable under the Supplementary Programme Fund as at 31 December 2009 have been transferred to the Annual Programme Fund. The following tables summarize the transfer of unliquidated obligations and the closing balance of reserves at the end of 2009 to the new fund in early 2010.", "The closing balance of the reserve as at 31 December 2009 against the new structure is shown in the table below:", "Table 1 Reserves", "(Thousands of United States dollars)", "Closing balance for 2009 Reverted 2010 opening balance", "Annual Programme Fund", "Supplementary Programme Fund 95 110 (95 110)", "United Nations Regular Budget Fund", "Annual Programme Fund (Pillars 1 and 2)", "Reintegration Project Fund (pillar 3) ^ (b) 11 871 11 871", "Internally Displaced Persons Project Fund (Pillar 4)^(c) 44 131 44 131", "Junior Professional Officers Fund", "Medical Insurance Plan 34 433 34 433", "Staff Benefits Fund (446 865) (446 865)", "Working capital 50 000 50 000", "Total (159 987) 0 (159 987)", "(a) This amount is transferred from the annual budget ($100,439) and the supplementary budget ($39,108).", "(b) This amount is transferred from the supplementary budget.", "(c) This amount is transferred from the supplementary budget.", "The closing balance of unliquidated obligations as at 31 December 2009 against the new structure is shown in the table below:", "Table 2 Unliquidated obligations", "(Thousands of United States dollars)", "Closing balance for 2009 Reverted 2010 opening balance", "Annual Programme Fund 84,564 (84,564)", "Supplementary Programme Fund", "United Nations Regular Budget Fund 34 (34)", "Annual Programme Fund (Pillars 1 and 2)", "Reintegration Project Fund (Pillar 3)", "Internally Displaced Persons Projects Fund (Pillar 4)^(c) 31 460 31 460", "Junior Professional Officers Fund 8 8", "Medical Insurance Plan", "Staff Benefits Fund", "Working capital", "Total 145 640 0 145 640", "(a) The amount is transferred from the annual budget ($84,564), the United Nations regular budget ($34), and the supplementary budget ($26,901).", "(b) This amount is transferred from the supplementary budget.", "(c) This amount is transferred from the supplementary budget.", "Note 4 United Nations Regular Budget Fund", "(b) General Assembly resolution 428 (V), annex.", "In accordance with article 20 of the statute of the Office of the United Nations High Commissioner for Refugees, (b) administrative expenditures relating to the functioning of the Office are borne by the United Nations regular budget, while all other expenditures relating to the activities of the Office are financed by voluntary contributions. The share of the regular budget expenditure would provide for the equivalent of 220 posts in the management and administration category, general operating expenses, supplies and materials and contributions to joint activities.", "Regular budget income for 2010 totalled $39,640,800, of which there were no outstanding receivables at the end of 2010. Regular budget expenditure for 2010 amounted to $39,640,800, of which $32,414,821 covered staff costs, including the posts of the High Commissioner and the Deputy High Commissioner, and $7,225,979 covered other management and administration costs.", "Note 5 Transfers between programmes and funds during 2010", "Transfers between programmes and funds during 2010 are shown in table 3.", "Table 3 Transfers between programmes and funds during 2010", "(Thousands of United States dollars)", "Fund for Project Funds", "Supplementary funds 18 066 (18 066) – –", "Administrative expenses ^ (a) ^ 19 160 (237) (16 923) ^", "Amounts transferred to cover the budget ^ (b) ^ (184,286) 45,282,139,004 ^", "Administrative expenses of the Junior General Service Fund ^ (c) ^ 1,333 ^ (1,333) ^", "Inter-fund transfers – 148 – (148)", "Net transfer 18 066 (181,711) 43 045 122 081 (1,333) (148) —", "(a) See paragraph (a) below.", "(b) See paragraph (b) below.", "(c) See paragraph (c) below.", "(a) Funds are transferred from the Reintegration Projects Fund and the Internally Displaced Persons Projects Fund to the Annual Programme Fund to cover administrative costs incurred by the Annual Programme Fund in support of these funds during 2010.", "(b) Earmarked contributions are recorded in the relevant fund and non-earmarked or general purpose contributions are initially recorded in the Annual Programme Fund; the latter is subsequently used either for infusion of funds into the budget of the Annual Programme Fund or transferred to cover the approved budgets of other funds. During 2010, net transfers from the Annual Programme Fund amounted to $181,710,815; $43,045,271 was transferred to the Reintegration Projects Fund; and $122,081,084 was transferred to the Internally Displaced Persons Projects Fund.", "(c) The equivalent of 12 per cent of the expenditure incurred is transferred from the Junior Professional Officers Fund to the Annual Programme Fund as support costs for the administration of the Junior Professional Officers Fund for UNHCR.", "(d) The actual costs of staff and administrative services are apportioned through the budget between the Annual Programme Fund, the Reintegration Projects Fund and the Internally Displaced Persons Projects Fund. The assessment of the budget is based on the estimation of the staff time required to deliver the results and the administrative budget.", "(e) In 2010, $606,360,492 was apportioned to pillars 1 and 2 (Annual Programme and Regular Budget Fund), $23,847,904 to pillar 3 (Reintegration Projects Fund) and $97,545,324 to pillar 4 (Internally Displaced Persons Projects Fund). Expenditures for the Junior Professional Officers Fund are not assessed but are reported separately.", "Note 6 Breakdown of expenditure", "Table 4 shows UNHCR total expenditure in 2010, by fund and category:", "Table 4 Expenditures of the Office of the United Nations High Commissioner for Refugees, 2010", "(Thousands of United States dollars)", "(a) Programme support (b) Management and administration (c)", "Annual Programme Budget, Reintegration Projects Fund and Internally Displaced Persons Projects Fund", "Regular budget funds 39 641 39 641", "Subtotal 1 493 629 273 771 99 662 1 867 062", "Junior Professional Officers Fund", "Medical Insurance Plan (e) 4 437", "Working Capital and Guarantee Fund 1 958", "Staff Welfare Fund 37 927", "Total expenditure 1 922 495", "(a) See paragraph (a) below.", "(b) See paragraph (b) below.", "(c) See paragraph (c) below.", "(d) See paragraph (d) below.", "(e) See paragraph (e) below.", "(a) Expenditure under the “Programme” category corresponds to direct funding inputs and is used to achieve the objectives of a particular project or programme, including staff, consultants, supplies and equipment, subcontracts, cash assistance and training, and instalments paid to implementing partners. Implementing partners are required to report on the use of instalments received from UNHCR in accordance with the terms and conditions of implementing partner agreements. The following table shows the balance of instalments of implementing partners that had not submitted financial reports by the end of the year. Final financial reports of IPs are usually submitted on 28 February of the following year.", "(Thousands of United States dollars)", "As at 31 December 2010", "Current year agreement", "Implementation partner instalments paid or committed", "Financial reports received from implementing partners (386,404) (333,518)", "Outstanding balance 290 538 265 282", "Previous year agreement", "Outstanding balance 1 740 4 885", "(b) Expenditure under the “programme support” category corresponds to the organizational unit costs of the main function for the formulation, preparation, delivery and evaluation of UNHCR programmes, including the organizational unit costs of providing technical, thematic, geographical, logistical or administrative support to programmes.", "(c) Expenditure under the “management and administration” category corresponds to the costs of organizational units whose primary function is to maintain the nature, direction, welfare and security of UNHCR staff, including those that perform executive direction, organizational policy and evaluation, external relations, advocacy and administrative functions.", "(d) The table below shows the expenditure of the Junior Professional Officers Fund for 2010, by region.", "(Thousands of United States dollars)", "Region 2010", "Africa 3 951 4 792", "Middle East and North Africa 805 932", "Asia and the Pacific", "Europe 788 1 165", "Americas 1 014 747", "Global programmes 458 474", "Headquarters 2 476 2 332", "Total expenditure 11 111 12 122", "These amounts include salaries and other employment-related expenditures incurred by or related to Junior Professional Officers.", "(e) In 2010, the Medical Insurance Plan received contributions from staff premiums and proportional contributions from UNHCR, with income totalling $6,680,757, in addition to interest income of $177,397. Total expenditures under this plan amounted to $4,436,570. This amount includes the reimbursement of medical bills submitted by active and separated participants. It also includes the salaries of two UNHCR staff members who are responsible for the administration of the scheme and their employment-related benefits and expenditures.", "(f) The main elements of the Working Capital and Guarantee Fund include interest income (excluding amounts allocated to the Medical Insurance Plan) of $910,487 and net exchange losses of $17,052,014. Bank charges totalled $1,957,555 in 2010.", "(g) Expenditures under the Staff Benefits Fund reflect accrued annual leave accrued in 2010 for after-service health insurance, repatriation benefits and UNHCR staff less estimated net benefits paid. The effect of actuarial losses relating to these elements is also taken into account in the amount of expenditure.", "Note 7 Write-offs", "In 2010, UNHCR wrote off a total of $5,916,857 in liquid assets, which was reflected in the reported expenditure and the losses involved are shown in table 5.", "Table 5 Write-offs", "(Thousands of United States dollars)", "Region 2010", "Unpaid assessed contributions", "Value added tax", "Prepaid operating expenses, etc. 1", "Implementing partners 133 441", "Total 5 917 1 108", "Note 8 Ex gratia payments", "As approved in accordance with the Financial Rules for Voluntary Funds Administered by the High Commissioner for Refugees, UNHCR made ex gratia payments totalling $15,249, including settlement of a case before the United Nations Dispute Tribunal and a minor allegation of a security incident in the previous year. UNHCR believes that it has a moral obligation to make these payments and that these payments are in the interest of the organization.", "Note 9 Cash and term deposits", "The amount shown in statement II for cash and term deposits represents the total cash balance (including funds held in non-convertible currencies), net of any negative bank balances. Table 6 provides a breakdown of current and deposit accounts as at 31 December 2010 and 2009 and provides information on time deposits and non-convertible currencies held.", "Table 6", "(a) Current and deposit accounts", "(Thousands of United States dollars)", "2009", "Cash deposits as at 31 December", "Cash and call accounts 68 809 66 071", "Term deposits 290 000 240 000", "Interest-bearing account 77 296 76 544", "Investments and interest-bearing accounts 367 296 316 544", "Unrealized exchange gains/losses 977", "437 082 382 615", "Average annual holdings of headquarters accounts", "Current and interest-bearing accounts 95 360 88 939", "Investments (call and term deposits, securities) 208 114 215 833", "303 474 304 772", "Interest earned:", "Interest-bearing account 404,537", "Investment funds 683 1 758", "1 087 2 295", "Average interest rate:", "On hand and bank funds 0.42% 0.60%", "Investment funds 0.33% 0.81%", "(b) Term deposits as at 31 December 2010", "(Thousands of United States dollars)", "Bank term Annual interest rate Amount due (days) Accrued interest (percentage)", "Santander Bank of Spain 7 0.40 7 January 2011 30,000 0.33", "Bank of Santander, Spain", "Barclays Bank 21 0.23 7 January 2011 40,000 3.83", "Banque nationale de Paris 8 0.22 7 January 2011 10,000 0.12", "BNP Paribas 15 0.20 7 January 2011 20,000 1.00", "Deutsche Bank 21 0.22 7 January 2011 40,000 3.67", "United Nordic Bank", "Rabobank 15 0.18 7 January 2011 20,000 0.90", "Rabobank 18 0.20 7 January 2011 40,000 2.67", "Total", "(c) Non-convertible currencies held as at 31 December", "(Thousands of United States dollars equivalent)", "Currency", "Afghanistan", "Albania Lek 23 22", "Angola 187 53", "Bosnia and Herzegovina convertible mark 1 167", "Burundi", "Eritrea Nakfa 259 35", "Ethiopia Bill Ethiopia 662 428^ (a)", "Myanmar Dollar 4 17", "Mozambique Meticar 196 24", "Nigeria 174 77", "Syrian Arab Republic 1 260 867", "Total 2 977 2 628", "(a) The Ethiopian birr was omitted from the list of non-convertible currencies held in the notes to the 2009 financial statements.", "Foreign exchange adjustments include an amount equivalent to $689,569 that has been effectively abolished effective 31 December 2009 and is no longer the official currency of Zimbabwe.", "Note 10 Voluntary contributions receivable", "The balance of voluntary contributions receivable shown in statement II represents contributions outstanding from donors after year-end currency revaluation. The ageing of contributions receivable is shown in table 7.", "Table 7 Voluntary contributions receivable", "(Thousands of United States dollars)", "2009", "2010 72 419 —", "2009 23 108 65 696", "2008 3 872 12 781", "2007 1,036 3 652", "2006 413 2 757", "2005 132 2 176", "2004 2 912", "Total 100 982 87 974", "Unrealized exchange gains/(losses) (2 262) 481", "Total as at statement II 98 720 88 455", "Table 8 shows the status of outstanding contributions as at 31 December 2010.", "Table 8 Status of outstanding contributions as at 31 December 2010", "(Thousands of United States dollars)", "United Nations Development Programme", "Note 11 Voluntary contributions pledged for the 2011 Annual Programme Budget", "At the annual pledging conference held in December 2010, governmental donors pledged $500,307,946 to UNHCR ' s annual budget for 2011. These pledges are not reflected in the 2010 accounts but will be recorded as income in the 2011 accounts.", "Note 12 Due from United Nations and other agencies", "The amounts due from United Nations and other agencies in statement II are shown in table 9.", "Table 9 Due from United Nations and other agencies as at 31 December", "(Thousands of United States dollars)", "2009", "United Nations Headquarters 492 2 149", "Office for the Coordination of Humanitarian Affairs", "United Nations Development Programme 338 398", "Office of the United Nations Security Coordinator", "Other institutions 3 29", "Joint United Nations Programme on HIV/AIDS - 22", "United Nations High Commissioner for Human Rights 13 12", "World Food Programme", "International Criminal Court - 2", "International Labour Organization - 1", "Total 1 142 3 083", "Note 13 Other receivables", "The amounts shown in statement II under “Other accounts receivable” represent salaries, staff-related entitlements and other items pending settlement or recovery after deduction of provisions for related doubtful accounts, as detailed in table 10.", "Table 10 Other receivables as at 31 December", "(Thousands of United States dollars)", "2009", "Education grant advances 12 125 11 219", "Salary advances", "Non-staff related and miscellaneous receivables 2 103 3 704", "Value added tax refundable 1 148 2 731", "Field operations advances 1 247 1 699", "Rental advances 1 483 1 512", "Travel advances", "Agreed supply funds paid 630 548", "Due from staff 18 (481)", "Unrealized exchange gains and losses (1,471)", "Total", "Note 14 Provision for doubtful accounts receivable", "Accounts receivable are shown in statement II, net of a provision for doubtful accounts receivable, as detailed in table 11.", "Table 11 Provision for doubtful accounts receivable", "(Thousands of United States dollars)", "Provision as at 31 December 2009", "Implementing partners 1 930 – – 48 1 978", "VAT 8,050 (105) (619) 1,451 8 777", "Due from staff 1 755 – (292) 1 463", "Non-staff related receivables 92 – – 92", "Unpaid assessed contributions – 2,359 2 359", "Total 11 827 (105) (619) 3 566 14 669", "Adjustments to the provision for doubtful accounts receivable were the result of a review at the end of the financial year 2010.", "Note 15 Other assets", "The balance of other assets reported in statement II is $1,804,484, including advances for expenses to be incurred in future years and accrued interest on investments", "Note 16 Land and buildings", "As at 31 December 2010, the Organization ' s fixed assets consisted of buildings (at original prices) at the following locations, as detailed in table 12.", "Table 12 Land and buildings", "(Thousands of United States dollars)", "Year of purchase", "UNHCR Kinshasa Office 2 008 3 600", "UNHCR Khartoum 1 994 542", "Total 4,142", "Note 17 Non-expendable property", "In 2010, the capitalization threshold changed. The threshold for fixed assets increased from $1,500 in 2009 and prior years to $5,000 in 2010; the threshold for items traceable by serial number increased from $100 to $300. In 2009, depreciation rates were calculated on the basis of a 10 per cent residual value assumption of acquisition value, while in 2010 assets were fully depreciated on the basis of useful life. As at 31 December 2009, the acquisition value of recorded non-expendable property was $343,608,116 and the depreciated value was $119,442,385. As at 31 December 2010, the acquisition value of non-expendable property recorded was $321,074,178 and the depreciated value was $94,573,366.", "Note 18 Accounts payable", "The amounts shown in statement II under accounts payable comprise obligations owed to suppliers and other pending settlements, as detailed in table 13.", "Table 13 Accounts payable as at 31 December", "(Thousands of United States dollars)", "2009", "Commercial suppliers 15 552 31 605", "Payroll and other staff-related entitlements", "United States tax payable", "Other staff payable 2 258 2 706", "Other United Nations organizations", "Unrealized exchange gains and losses (582)", "Total 31 024 42 314^ (a)", "(a) To improve the disclosure of information, liabilities for end-of-service and post-retirement benefits and voluntary separations were reported separately from accounts payable in 2010. To ensure comparability, 2009 figures have been restated accordingly.", "Note 19 Liabilities for end-of-service and post-retirement benefits", "The amount shown in statement II under “end-of-service liabilities” represents end-of-service accrued benefits liabilities, as detailed in table 14.", "Table 14 Liabilities for end-of-service accrued benefits", "(Thousands of United States dollars)", "2009", "After-service health insurance entitlements 286 550 347 418", "Repatriation entitlements", "Annual leave entitlement 37 119 33 945", "Voluntary separation costs 278 1 555", "Total 393 698 448 384", "(a) After-service health insurance", "After-service insurance coverage is provided in the form of continued prior membership in an insurance scheme of the United Nations Staff Mutual Insurance Society or another organization of the United Nations system or membership in a health insurance plan for retired locally recruited staff members serving at designated duty stations away from Headquarters and their eligible dependants.", "The Organization ' s liability for after-service health insurance benefits has been estimated by a consulting actuary. Based on the actuary ' s estimate, UNHCR ' s accrued benefit liability for after-service health insurance as at 31 December 2010 was $286,550,000 ($347,418,000 as at 31 December 2009). A discount rate of 5.55 per cent was applied in 2010, based on the spot rate of high-quality corporate bonds in euros in the corresponding maturity year. The discount rate for 2009 was 6.15 per cent. The overall decrease of $60,868,000 in liabilities for after-service health insurance benefits is attributable to (a) the change in the discount rate from 6.15 per cent to 5.55 per cent and (b) the decrease in the health-care trend assumed by the participants of the United Nations Mutual Insurance Society from 6.0 per cent in 2010 to 3.0 per cent in 2027 (compared with the assessment made in 2009 to 4.5 per cent in 2027), taking into account recent changes in the administration of the insurance plan and in the health-care industry in Switzerland in general.", "Table 15 After-service health insurance benefit liabilities", "(Thousands of United States dollars)", "Current value of future benefits", "Gross liability 540 261 415 334", "Less retiree contributions 178 105 128 784", "Net liability 362 156 286 550", "The present value of future benefits is the discounted value of all benefits to be paid in the future to all current retirees and active staff expected to retire, less contributions from retired staff. The accrued liabilities represent those portions of the present values of benefits that have accrued from the staff members ' dates of entry on duty until the valuation date. Active staff members ' benefits are fully accrued on the date on which they become fully eligible for post-employment benefits. Thus, the present value of future benefits is the same as the accrued liability for retirees and active staff members who are eligible for benefits after retirement. The liability is calculated using the projected unit cost payment method. Under this methodology, the benefits to which each participant is entitled under the plan are expensed when they accrue, taking into account the benefit distribution formula of the plan. Post-retirement plan benefits are funded on a pay-as-you-go basis. To date, no assets have been separated and restricted to provide for post-retirement benefits. An actuarial surplus or loss is recognized as and when it occurs. The income statement for 2010 reflects an actuarial surplus of $91,196,000 for that year (the actuarial surplus for 2009 was $28,070,000).", "(b) Accrued annual leave", "Staff members who separate are entitled to be paid for any unused vacation days they may have accrued up to a maximum of 60 days. The Organization ' s total liability for such unpaid accrued leave is estimated at $37,118,829 ($33,945,032 as at 31 December 2009) based on an average of 32 days of leave. The average number of days of leave is calculated on the basis of the number of staff and the current salary scale, using the midpoint of the General Service and Professional salary scales at the Geneva, Belgrade and Budapest duty stations.", "(c) Repatriation grant, travel and shipment", "Under the Staff Regulations and Staff Rules of the United Nations, some staff members are entitled to repatriation grants and related relocation costs upon separation from the Organization, based on the number of years of service. As at 31 December 2010, the Organization ' s actuarially determined accrued liabilities for repatriation grant and travel amounted to $69,751,000. The liability was valued at a discount rate of 5.55 per cent. The same calculation was applied in 2009, with a discount rate of 6.15 per cent, resulting in an accrued liability of $65,466,000 as at 31 December 2009. The change in the discount rate used resulted in an increase of $4,285,000 in the accrued liabilities for repatriation grant, travel and shipment at the end of 2010.", "(d) Pension plan", "UNHCR is a member organization participating in the United Nations Joint Staff Pension Fund. The Pension Fund was established by the General Assembly to provide retirement, death, disability and related benefits. The Pension Fund is a defined-benefit plan. The financial obligation of the Organization to the Pension Fund consists of its mandated contribution at the rate established by the General Assembly together with any share of any actuarial deficiency payments under article 26 of the Regulations of the Pension Fund. Such deficiency payments are only payable if and when the General Assembly has invoked the provision of article 26, following an assessment of the actuarial sufficiency of the Pension Fund as at the valuation date, in which it determines that deficiency payments are required. At the time of writing, the General Assembly had not invoked that provision. The result of the latest actuarial valuation as at 31 December 2009 was an actuarial surplus of 0.38 per cent of pensionable remuneration.", "Note 20 Contingent expenditure", "UNHCR faced a number of legal, disciplinary and administrative complaints. It is not yet possible to determine the likely outcome of these appeals or to estimate the possible amount of settlement.", "In one case, UNHCR offered to settle the case by making ex gratia payments. The High Court of North Kivu (Rwanda) found that UNHCR was required to pay $30,000 for the loss of one person ' s property and $50,000 for other losses and court expenses. UNHCR did not recognize the validity of the judgement because the Court had not followed due process in respect of UNHCR privileges and immunities; however, in order to show good faith, UNHCR offered to settle the case by making ex gratia payments. Taking into account that the agreed terms, in particular the amount of the agreement between the parties, were not finalized and that no specific amount could be determined as at 31 December 2010, UNHCR did not make provision for it, but only disclosed the case as a contingent liability.", "Note 21 Related party transactions", "^ (c) In 2009, the Director of the Division of Operational Support was considered to be a major manager category, but the Division was abolished in the third quarter of 2009.", "There were no significant financial transactions with related parties in 2010. The total value of remuneration and compensation related to (c) key managers is shown in table 16.", "Table 16 Remuneration and compensation of key managers", "(Thousands of United States dollars)", "Total UNHCR contributions to pensions and health insurance", "High Commissioner 1 1 273 263 54 54 327 317", "Deputy High Commissioner 1 1 301 135 48 22 349 157", "Assistant High Commissioner 2 3 468 595 99 126 567 721", "Controller 2 1 266 202 53 43 319 245", "Total 6 6 1 308 1 195 254 245 1 562 1 440", "Other categories of staff are not entitled to salary advances, entitlements or emoluments, nor are key managers. During the year, there were no other financial transactions by key managers and immediate family members.", "Note 22 Extrabudgetary contributions in kind", "The value of extrabudgetary in-kind contributions to UNHCR in 2010 is shown in table 17.", "Table 17 Extrabudgetary contributions in kind", "(Thousands of United States dollars)", "Donor", "Government of Germany", "Government of Hungary 199", "Government of Israel 500", "Government of Poland", "Government of Spain 458", "Government of Sweden 530", "Government of the United Arab Emirates", "Register of Disaster Relief Engineers (Australia) 390", "Sony (Japan) 41", "Total 6 580", "{\\cHFFFFFF}{\\cH00FFFF}", "11-41574 (C) 220811 230811", "*1141574*", "[Chuckles]", "[1] The net liability (or negative assets) as at 31 December 2010 was $72.3 million, or the excess of the liability over the assets. The negative assets were due to UNHCR ' s disclosure of its liabilities for staff after-service benefits, but not its expendable and non-expendable assets (see note 2 (t) to the financial period ended 31 December 2010). UNHCR will disclose all its assets and liabilities under IPSAS.", "[2] Although the United Nations system accounting standards do not provide for this, UNHCR has a policy on depreciation of assets (see note 17 to the financial statements).", "[3] The Local Asset Management Board is an important component of UNHCR ' s asset control. It is responsible for providing advice on the management and disposal of assets, the maintenance of sound accounting standards and the monitoring of the implementation of policies and procedures on the number of assets and their disposal.", "[4] The Standing Committee was established as a subsidiary body of the Executive Committee to review the implementation of programmes and policies throughout the year.", "[5] UNHCR ' s top management includes the High Commissioner, a Deputy High Commissioner and two Assistant High Commissioners for Country Operations and the Protection of Displaced Populations. There is no formally constituted “Executive Board”.", "[6] Focus (Financial Operations Consolidated Report) is a web application developed within UNHCR to plan, document and report on objectives and achievements at country and programme levels.", "[7] See UNHCR Interdepartmental/Field Office Memorandum 003/2009.", "[8] See UNHCR Operations Manual, section 1.6; and UNHCR Manual, section 5.1, paragraphs 3.3 and 3.4.", "[9] See EC/54/SC/CRP.14.", "[10] The Inspector General is an employee of UNHCR and has three statutory functions: to assess the quality of UNHCR management, to investigate allegations of misconduct against any staff member of the agency, to investigate violent attacks on UNHCR staff and operations and other forms of incidents that may affect the reputation of the organization." ]

[ "大 会 安全理事会", "第六十五届会议 第六十六年", "议程项目34、39、66和75", "古阿姆集团地区旷日持久的冲突及其 对国际和平、安全与发展的影响", "被占领阿塞拜疆领土的局势", "消除种族主义、种族歧视、仇外心理 和相关不容忍行为", "国家对国际不法行为的责任", "2011年7月14日阿塞拜疆常驻联合国代表团临时代办给秘书长的信", "根据收到的阿塞拜疆共和国政府的指示，谨提请你注意2011年6月亚美尼亚共和国武装军队持续违反停火情况的记录(见附件)。在这一期间，亚美尼亚武装部队从亚美尼亚领土和阿塞拜疆被占领区的阵地55次违反停火，造成1名阿塞拜疆平民遇害，阿塞拜疆武装部队1名士兵受重伤。", "在上述期间和接下来的一个月，亚美尼亚高级别官员还前所未有地大肆发表好战言论。除其他外，亚美尼亚总统谢尔日·萨尔基相2011年6月22日在欧洲委员会议会的发言(见http://www.president.am/events/statements/eng/?id=91)、在正式访问乌克兰期间在新闻发布会上的发言(见http://www.president. am/events/press/eng/?id=70)以及在2011年7月9日青年军官第一次军事会议上的发言(见http://www.president.am/events/visits/eng/?visits=2&id", "应特别指出的是，上述言论是在阿塞拜疆总统和亚美尼亚总统6月24日在俄罗斯联邦总统主持下于喀山举行会议、会后双方重申继续寻求谈判解决问题的背景下发表的。亚美尼亚总统在喀山讨论之前和讨论刚结束后宣泄情绪表明，埃里温的官员们仍存有幻想，这是非常有害的。", "阿塞拜疆共和国政府强烈抗议亚美尼亚方面的挑衅行为和言论，认为侵略者的无礼行为显然表明，其罪行仍然没有受到惩罚，并认为亚美尼亚领导人发表放肆言论只有一个目的，即给当前的冲突解决进程抹黑，误导国际社会，并转移本国公众对该国日益严重的内部问题的注意力。", "请将本函及其附件作为大会项目34、39、66和75下的文件和安全理事会文件分发为荷。", "临时代办", "托菲格·穆萨耶夫(签名)", "2011年7月14日阿塞拜疆常驻联合国代表团临时代办给秘书长的信的附件", "2011年6月亚美尼亚共和国武装部队违反停火情况[1]", "日期\t时间\t开火地区\t方向\t所用武器\t伤亡及破坏情况 \n6月1日\t01:00-01:2005:25-05:35\t阿塞拜疆鞑靼区Chayli村和Giziloba村外被占领区\t邻近地区\t火器及机枪\t—\n\t01:15-01:20\t阿塞拜疆菲祖利区Gorgan村外被占领区\t邻近地区\t火器及机枪\t—\n\t01:20-01:3502:10-02:30\t阿塞拜疆阿格达姆区Sarijali村和Yusifjanli村外被占领区\t邻近地区\t火器及机枪\t—\n6月2日\t00:20-01:40\t亚美尼亚Noyanberyan地区Berdavan村\t阿塞拜疆Gazakh区Kemerli村\t火器及机枪\t—\n\t21:10-21:43\t阿塞拜疆Gorgan和不明高地外被占领区\t邻近地区 —\n6月3日\t16:45-16:55\t阿塞拜疆阿格达姆区Garagadjli村外被占领区\t邻近地区\t火器及机枪\t平民ElmarPriryev被打死\n6月5日\t17:35-17:50\t亚美尼亚克拉斯诺谢利斯克地区不明高地\t阿塞拜疆Gadabay区不明高地\t火器及机枪\t—\n6月6日\t01:00-01:1501:30-01:40\t阿塞拜疆阿格达姆区Javahirli村和Garagashli村外被占领区\t邻近地区\t火器及机枪\t—\n6月7日\t00:35-00:45\t阿塞拜疆阿格达姆区Garagashli村外被占领区\t邻近地区\t火器及机枪\t—\n\t21:30-21:45\t阿塞拜疆鞑靼区Chayli村外被占领区\t邻近地区\t火器及机枪\t—\n6月9日\t00:10-00:3000:35-00:40\t阿塞拜疆阿格达姆区Garagashli村和Kangarli村外被占领区\t邻近地区\t火器及机枪\t—\n6月10日\t00:20-01:40\t阿塞拜疆阿格达姆区Shikhlar村外被占领区\t邻近地区\t火器及机枪\t—\n\t01:30-01:45\t阿塞拜疆菲祖利区AshaghiAbdulrahmanli村外被占领区\t邻近地区\t火器及机枪\t—\n\t10:25-10:30\t阿塞拜疆霍贾文德区被占领的不明高地\t邻近地区\t火器及机枪\t—\n\t23:10-23:50\t阿塞拜疆阿格达姆区Garagashli村外被占领区\t邻近地区\t火器及机枪\t\n6月12日\t21:05-21:1023:50-23:55\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村和Gorgan村及Horadiz市外被占领区\t邻近地区\t火器及机枪\t—\n6月13日\t00:44-00:5001:45-01:5005:45-05:50\t阿塞拜疆菲祖利区Abdulrahmanli村和Gorgan村及Horadiz市外被占领区\t邻近地区\t火器及机枪\t—\n\t01:30-01:38\t阿塞拜疆鞑靼区Goyarkh村外被占领区\t邻近地区\t火器及机枪\t—\n\t22:15-22:20\t亚美尼亚Noyanberyan地区被占领的不明高地\t阿塞拜疆Gazakh区不明高地\t火器及机枪\t—\n6月15日\t13:25-13:55\t阿塞拜疆Goygol区不明高地\t邻近地区\t火器及机枪\t—\n\t11:30-11:35\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村和Gorgan村外被占领区\t邻近地区\t火器及机枪\t—\n6月16日\t01:30-01:35\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村和Gorgan村外被占领区\t邻近地区\t火器及机枪\t—\n\t01:10-01:2501:40-01:55\t阿塞拜疆鞑靼区Goyarkh村外被占领区\t邻近地区\t火器及机枪\t—\n6月17日\t17:20-17:2222:45-22:55\t阿塞拜疆阿格达姆区Javahirli村和Garagashli村外被占领区\t邻近地区\t火器及机枪\t—\n\t20:45-21:00\t阿塞拜疆,Goygol区被占领的不明高地\t邻近地区\t火器及机枪\t—\n\t23:45-23:5023:55-00:55\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村和Garakhanbayli村外被占领区\t邻近地区\t火器及机枪\t—\n6月18日\t00:50-01:1002:20-02:3002:45-03:00\t阿塞拜疆Goranboy区Tapgaragoyunlu村外被占领区\t邻近地区\t火器及机枪\t—\t01:20-01:35\t亚美尼亚Ijevan地区Vozashen村和Aygovit村\t阿塞拜疆Gazakh区不明高地和Bala\t火器及机枪\t— \n Jafarli村 \n6月20日\t00:30-00:40\t阿塞拜疆菲祖利区Gorgan村外被占领区\t邻近地区\t火器及机枪\t—\n\t00:00-00:15\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村外被占领区\t邻近地区\t火器及机枪\t—\n\t01:40-02:00\t阿塞拜疆阿格达姆区Javahirli村和Garagashli村外被占领区\t邻近地区\t火器及机枪\t—\n\t14:45-15:2018:40-19:25\t阿塞拜疆克拉斯诺谢利斯克地区不明高地\t阿塞拜疆Gadabay区不明高地\t火器及机枪\t—\n\t19:30-19:35\t阿塞拜疆菲祖利区AshagiAbdulrahmanli村外被占领区\t邻近地区\t火器及机枪\t—6月21日\t05:10-05:45\t阿塞拜疆阿格达姆区Marzli村外被占领区\t邻近地区\t火器及机枪\t阿塞拜疆武装部队士兵Imanov \n Yusif受重伤\n6月22日\t19:40-19:45\t亚美尼亚Ijevan地区Berbaker村\t阿塞拜疆Gazakh区Gizilhajili村\t火器及机枪\t—\n\t20:20-20:25\t亚美尼亚Noyanberyan地区Berdavan村\t阿塞拜疆Gazakh区Kemerli村\t火器及机枪\t—\n\t21:10-21:20\t阿塞拜疆Gornaboy区Tapgaragoyunlu村外被占领区\t邻近地区\t火器及机枪\t—\n\t23:50-00:00\t阿塞拜疆菲祖利区Garakhanbayli村外被占领区\t邻近地区\t火器及机枪\t—\n6月23日\t05:20-05:30\t阿塞拜疆鞑靼区Giziloba村外被占领区\t邻近地区\t火器及机枪\t—\n6月24日\t00:10-00:40\t阿塞拜疆菲祖利区被占领的不明高地\t邻近地区\t火器及机枪\t—\n6月25日\t05:10-05:55\t阿塞拜疆菲祖利区被占领的不明高地\t邻近地区\t火器及机枪\t—\n6月29日\t03:05-03:15\t阿塞拜疆Jabrayil区Mehdili村外被占领区\t邻近地区\t火器及机枪\t—", "[1] ^(a) 本资料中所列阿塞拜疆共和国定居点均在亚美尼亚共和国占领之下或在开火地区附近。" ]

[ "General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda items 34, 39, 66 and 75 Protracted conflicts in the GUAMarea andtheir implications forinternational peace,security and development The situation in the occupiedterritoriesof Azerbaijan Elimination of racism, racialdiscrimination,xenophobia and related intolerance \nResponsibility of States forinternationallywrongful acts", "Letter dated 14 July 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Azerbaijan to the United Nations addressed to the Secretary-General", "In accordance with instructions received from the Government of the Republic of Azerbaijan, I have the honour to draw your attention to ongoing violations of the ceasefire by the armed forces of the Republic of Armenia, recorded for the month of June 2011 (see annex). During this period the armed forces of Armenia violated the ceasefire 55 times from their positions located both in the territory of Armenia and in the occupied areas of Azerbaijan. As a result, one Azerbaijani civilian was killed and one serviceman of the armed forces of Azerbaijan was seriously wounded.", "The above-mentioned period and the following month were also marked by an unprecedented increase in bellicose rhetoric by the high-ranking officials of Armenia. Among others, the statements of the President of Armenia, Serzh Sargsyan, at the Parliamentary Assembly of the Council of Europe on 22 June 2011 (available from http://www.president.am/events/statements/eng/?id=91), made at the press conference during the official visit to Ukraine (available from http://www.president.am/events/ press/eng/?id=70) and at the First Army Conference of Young Officers on 9 July 2011 (available from http://www.president.am/events/visits/eng/?visits=2&id=288), represent the most cynical examples of blatant misinterpretation and distortion of the root causes, course and consequences of the war unleashed by Armenia against Azerbaijan.", "It should be particularly noted that the above-mentioned statements were made against the background of the 24 June meeting in Kazan between the Presidents of Azerbaijan and Armenia, hosted by the President of the Russian Federation, and the confirmation by the sides as a result of the meeting that they would continue to seek a negotiated settlement. A sudden emotional outburst by the President of Armenia on the eve of and immediately after the discussions in Kazan made it clear that the officials in Yerevan continue to remain under the disastrous influence of illusions.", "The Government of the Republic of Azerbaijan strongly protests against provocative actions and statements of the Armenian side, finds the aggressor’s insolent behaviour as obvious manifestation of impunity for its crimes and considers the defiant rhetoric of the Armenian leadership as having the sole purpose of discrediting the ongoing conflict settlement process, misleading the international community and drawing its own public’s attention away from the country’s aggravating internal problems.", "I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly, under agenda items 34, 39, 66 and 75, and of the Security Council.", "(Signed) Tofig Musayev Chargé d’affaires a.i.", "Annex to the letter dated 14 July 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Azerbaijan to the United Nations addressed to the Secretary-General", "Violation of the ceasefire by the armed forces of the Republic of Armenia[1] for the month of June 2011", "Date\tTime\tFire point area\tDirection\tWeaponsused\tCasualtiesand \n damage \n1June\t01.00-01.2005.25-05.35\tOccupied areasoutside Chayli andGiziloba villages,Tartar district,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t01.15-01.20\tOccupied areaoutside Gorganvillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t01.20-01.3502.10-02.30\tOccupied areasoutside Sarijaliand Yusifjanlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n2June\t00.20-01.40\tBerdavan village,Noyanberyan region,Armenia\tKemerlivillage,Gazakhdistrict,Azerbaijan\tFirearmandmachinegun\t—\n\t21.10-21.43\tOccupied areasoutside Gorgan andunknown heights,Azerbaijan\tAdjacentareas —\n3June\t16.45-16.55\tOccupied areaoutside Garagadjlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\tAcivilian,ElmarPriryev,wasshottodeath\n5June\t17.35-17.50\tUnknown heights,Krasnoselsk region,Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n6June\t01.00-01.1501.30-01.40\tOccupied areasoutside Javahirliand Garagashlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n7June\t00.35-00.45\tOccupied areaoutside Garagashlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t21.30-21.45\tOccupied areaoutside Chaylivillage, Tartardistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n9June\t00.10-00.3000.35-00.40\tOccupied areasoutside Garagashliand Kangarlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n10June\t00.20-01.40\tOccupied areaoutside Shikhlarvillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t01.30-01.45\tOccupied areaoutside AshaghiAbdulrahmanlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t10.25-10.30\tOccupied unknownheights, Khojavanddistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.10-23.50\tOccupied areasoutside Garagashlivillage, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t\n12June\t21.05-21.1023.50-23.55\tOccupied areasoutside AshagiAbdulrahmanli andGorgan villages andHoradiz city,Fizuli district,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n13June\t00.44-00.5001.45-01.5005.45-05.50\tOccupied areasoutsideAbdulrahmanli andGorgan villages andHoradiz city,Fizuli district,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t01.30-01.38\tOccupied areaoutside Goyarkhvillage, Tartardistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t22.15-22.20\tOccupied unknownheights,Noyanberyan regionArmenia\tUnknownheights,Gazakhdistrict,Azerbaijan\tFirearmandmachinegun\t—\n15June\t13.25-13.55\tUnknown heights,Goygol district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t11.30-11.35\tOccupied areasoutside AshagiAbdulrahmanli andGorgan villages,Fizuli district,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n16June\t01.30-01.35\tOccupied areasoutside AshagiAbdulrahmanli andGorgan villages,Fizuli district,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t01.10-01.2501.40-01.55\tOccupied areaoutside Goyarkhvillage, Tartardistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n17June\t17.20-17.2222.45-22.55\tOccupied areasoutside Javahirliand Garagashlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t20.45-21.00\tOccupied unknownheights, Goygoldistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.45-23.5023.55-00.55\tOccupied areasoutside AshagiSeyidahamdli andGarakhanbaylivillages, Fizulidistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n18June\t00.50-01.1002.20-02.3002.45-03.00\tOccupied areaoutsideTapgaragoyunluvillage, Goranboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\t01.20-01.35\tVozashen andAygovit villages,Ijevan region,Armenia\tUnknownheightsand BalaJafarlivillages,Gazakh\tFirearmandmachinegun\t— district, \n Azerbaijan \n20June\t00.30-00.40\tOccupied areaoutside Gorganvillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t00.00-00.15\tOccupied areaoutside AshagiAbdulrahmanlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t01.40-02.00\tOccupied areasoutside Javahirliand Garagashlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t14.45-15.2018.40-19.25\tUnknown heights,Krasnoselsk region,Azerbaijan\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n\t19.30-19.35\tOccupied areaoutside AshagiAbdulrahmanlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—21June\t05.10-05.45\tOccupied areaoutside Marzlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\tAservicemanofthearmed forcesofAzerbaijan, Imanov Yusif,wasseriously \n wounded22June\t19.40-19.45\tBerbaker villages,Ijevan region,Armenia\tGizilhajilivillage,Gazakhdistrict,\tFirearmandmachinegun\t— \n Azerbaijan \n\t20.20-20.25\tBerdavan village,Noyanberyan region,Armenia\tKemerlivillage,Gazakhdistrict,Azerbaijan\tFirearmandmachinegun\t—\n\t21.10-21.20\tOccupied areaoutsideTapgaragoyunluvillage, Gornaboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.50-00.00\tOccupied areaoutsideGarakhanbaylivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n23June\t05.20-05.30\tOccupied areaoutside Gizilobavillage, Tartardistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n24June\t00.10-00.40\tOccupied unknownheights, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n25June\t05.10-05.55\tOccupied unknownheights, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n29June\t03:05-03:15\tOccupied areaoutside Mehdilivillage, Jabrayildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—", "[1] Settlements of the Republic of Azerbaijan included in this information are under occupation by the Republic of Armenia or close to fire point areas." ]

[ "General Assembly Security Council", "Sixty-fifth session Sixty-sixth year", "Agenda items 34, 39, 66 and 75", "Protracted conflicts in the GUAM area and their implications for international peace, security and development", "The situation in the occupied territories of Azerbaijan", "Elimination of racism, racial discrimination,", "Responsibility of States for internationally wrongful acts", "Letter dated 14 July 2011 from the Chargé d ' affaires a.i. of the Permanent Mission of Azerbaijan to the United Nations addressed to the Secretary-General", "In accordance with instructions received from the Government of the Republic of Azerbaijan, I have the honour to draw your attention to the record of ongoing violations of the ceasefire by the armed forces of the Republic of Armenia for the month of June 2011 (see annex). During this period, a civilian of Azerbaijan was killed and a soldier of the armed forces of Azerbaijan was seriously wounded by 55 violations of the ceasefire by the armed forces of Armenia from positions on Armenian territory and the occupied areas of Azerbaijan.", "During the above-mentioned period and in the following month, high-level Armenian officials have made unprecedented and aggressive statements. The President of Armenia, Serzh Sargsyan, addressed the Parliamentary Assembly of the Council of Europe on 22 June 2011 (see http://www.president.am/events/statements/eng/?id=91), the press conference during his official visit to Ukraine (see http://www.president.am/events/press/eng/?id=70) and the first military meeting of youth officers on 9 July 2011 (see http://www.president.am/events/visits/eng/?visits=2&id)", "It should be noted, in particular, that the above-mentioned statements were made in the context of the meeting of the Presidents of Azerbaijan and Armenia held in Kazan on 24 June under the auspices of the President of the Russian Federation, after which both sides reaffirmed their continued search for a negotiated settlement. The mood of the Armenian President before and after the discussion in Kazan showed that Yerevan officials still had illusions, which was very harmful.", "The Government of the Republic of Azerbaijan strongly protests the provocative actions and statements of the Armenian side, considers it clear that the aggressor's insolent behaviour continues to show that his crimes remain unpunished, and considers that the outrageous statements made by the Armenian leadership have only one purpose: to discredit the current conflict settlement process, mislead the international community and divert public attention from the growing internal problems of the country.", "I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly, under items 34, 39, 66 and 75, and of the Security Council.", "Annex", "(Signed) Tofig Musayev Ambassador Permanent Representative", "Permanent Representative", "Violations of the ceasefire by the armed forces of the Republic of Armenia for June 2011 [1]", "1 June: 2005: 25-05:35 in the occupied areas outside Chayli and Giziloba villages of the Tartar district of Azerbaijan 01.5-01.20 Firearms and machine guns in the occupied area outside Gogan village, Fizuli district, Azerbaijan 0120-01: 3502:10-0230 Firearms and machine guns in the vicinity of the occupied areas outside Sarijali and Yusifjanli villages, Agdam district, Azerbaijan 2 June — 0020-01:40 Berdavan village, Noyanberyan district, Armenia — Kemerli village, Gazakh district, Azerbaijan — 21:10-21:43 Firearms and machine guns — Gogan, Azerbaijan — occupied area outside unknown heights 3 June 1645-1655 Firearms and machine guns killed civilian Elmar Priryev in the occupied area outside Garagadjli village, Agdam district, Azerbaijan 6 June 01-01: 1501-30-0140 Firearms and machine guns in the vicinity of the occupied areas outside Javahirli and Garagashli villages, Agdam district, Azerbaijan 7 June -- 0035-0045 Firearms and machine guns in the occupied area outside Garagashli village, Agdam district, Azerbaijan 9 June: 0010-00:3000:35-0040 Firearms and machine guns in the vicinity of the occupied areas outside Garagashli and Kangarli villages, Agdam district, Azerbaijan 10 June: 0020-0140 Firearms and machine guns in the occupied area outside Shikhlar village, Agdam district, Azerbaijan 0130-0145 Firearms and machine guns in the vicinity of the occupied area outside Ashaghi Abdulrahmanli village, Fizuli district, Azerbaijan 10:25-10:30 Guns and machine guns in the occupied area of Khojaly district, Azerbaijan 23.10-23.50 Firearms and machine guns in the occupied area outside Garagashli village, Agdam district, Azerbaijan 13 June 00:44-00:5001:45-01:5005:45-05:50:5050 Firearms and machine guns in the vicinity of Abdulrahmanli and Gogan villages in the Fizuli district of Azerbaijan and occupied areas outside Horadiz city 0130-0138 Firearms and machine guns in the occupied area outside Goyarkh village, Tatar district, Azerbaijan 22:15-22:20 Unknown heights, Noyanberyan area, Armenia 15 June 1325-1355 Firearms and machine guns in the vicinity of the unknown heights of Goygol district, Azerbaijan 11.30-11.35 Firearms and machine guns in the vicinity of the occupied areas outside Ashagi Abdulrahmanli and Gogan villages, Fizuli district, Azerbaijan 16 June 0130-0135 Firearms and machine guns in the occupied areas outside Ashagi Abdulrahmanli and Gogan villages, Fizuli district, Azerbaijan 01:10-01: 2501:40-01:55 Firearms and machine guns in the occupied area outside Goyarkh village, Tartar district, Azerbaijan 17 June 17:20-17:2222:45-22:55 Firearms and machine guns — occupied areas outside Javahirli and Garagashli villages, Agdam district, Azerbaijan 2045-2100 Firearms and machine guns in the occupied area of Goygol district, Azerbaijan 23:45-23:5023:55-0055 Firearms and machine guns in the occupied area outside the villages of Ashagi Abdulrahmanli and Garakhanbayli, Fizuli district, Azerbaijan 18 June: 0050-01: 1002:20-02: 3002:45-03: In the occupied area outside Tapgaragoyunlu village, Goranboy district, Azerbaijan 0120-0135 Firearms and machine guns in the unknown heights and Bala in the Gazakh district of Azerbaijan — Jafarli village — 20 June 0030-0040 in the occupied area outside the village of Gogan, Fizuli district, Azerbaijan 00:00-00:15 Firearms and machine guns in the occupied area outside Ashagi Abdulrahmanli village, Fizuli district, Azerbaijan 1930-1935 Firearms and machine guns in the occupied area outside Ashagi Abdulrahmanli village, Fizuli district, Azerbaijan 24 June — 0010-0040 Firearms and machine guns — 25 June 05:10-0555 Firearms and machine guns — in the occupied area of Fizuli district, Azerbaijan 29 June 0305-0315 Firearms and machine guns in the occupied area outside Mehdili village, Jabrayil district, Azerbaijan", "[1] (a) The settlements of the Republic of Azerbaijan listed in this information are under occupation by the Republic of Armenia or near the area of fire." ]

[ "第六十六届会议", "^(*) A/66/50。", "暂定项目表^(*) 项目18(a)", "宏观经济政策问题：国际贸易与发展", "以单方面经济措施作为向发展中国家进行政治和经济胁迫的手段", "秘书长的报告", "摘要", "大会在题为“以单方面经济措施作为向发展中国家进行政治和经济胁迫的手段”的第64/189号决议中请秘书长继续监测施加这类措施的情况，并研究此类措施对受影响国家的冲击，并就该决议的执行情况向大会第六十六届会议提出报告。本报告反映会员国及特定国际组织(见附件一和二)对秘书长寄送的要求提供相关信息的普通照会的答复。报告也包括秘书处收集的其他数据。", "会员国的答复显示它们不赞同以单方面经济措施作为向发展中国家进行政治和经济胁迫的手段，认为这种行动违反《联合国宪章》的原则、国际法规范和按照规则的多边贸易体制。此外，会员国认为这种行动破坏国家主权平等原则。受这种措施影响的会员国强调单方面措施具有域外性质，因这种措施将国内法延伸向其他国家适用。会员国对单方面措施对受影响国家的社会经济发展造成的不利影响，表示关切。西亚经济社会委员会、联合国贸易和发展会议及经济合作与发展组织报告说，单方面制裁往往对受影响国家人口造成不利影响，并妨碍国际贸易。", "目录", "页次\n1.导言 3\n2.从会员国、联合国机构和国际组织收到的答复的摘要 3\n3.监测单方面措施的实施情况及研究这些措施对受影响国家的冲击 4 \n 附件 \n1.从会员国收到的答复 6\n亚美尼亚 6\n文莱达鲁萨兰国 6\n哥伦比亚 6\n古巴 7\n埃及 8\n加蓬 8\n危地马拉 8\n黎巴嫩 9\n马来西亚 9\n马耳他 9\n毛里求斯 10\n墨西哥 10\n缅甸 10\n阿曼 11\n卡塔尔 12\n苏丹 12\n乌克兰 13\n越南 13\n2.从联合国机构和国际组织收到的答复 14\n西亚经济社会委员会 14\n联合国贸易和发展会议 16\n经济合作与发展组织 18", "一. 导言", "1. 本报告是按照大会题为“以单方面经济措施作为向发展中国家进行政治和经济胁迫的手段”的第64/189号决议的要求提交的。在该决议中，大会除其他外，促请国际社会采取紧急和有效的措施，消除对发展中国家采用既未经联合国相关机关授权、又不符合《联合国宪章》所阐述的国际法原则并且违反多边贸易体制基本原则的单方面经济胁迫措施。", "2. 在同一决议中，大会请秘书长继续监测施加这类措施的情况，并研究此类措施对受影响国的冲击，包括对贸易和发展的冲击，并就该决议的执行情况向大会第六十六届会议提出报告。", "3. 因此，秘书处2011年4月4日发出一份普通照会，请各会员国政府就存在的任何单方面制裁以及这些制裁可能已经对国家贸易和发展造成的影响提供意见及任何其他相关资料。秘书处为方便各国提出答复起见，提供了一份简短的问题单，结果，提出答复的国家多于上次报告，当时只有个会员国回应秘书长的要求。截至2011年6月中，有18个会员国依要求提出答复，它们是：亚美尼亚、文莱达鲁萨兰国、哥伦比亚、古巴、埃及、加蓬、危地马拉、黎巴嫩、马来西亚、马耳他、毛里求斯、墨西哥、缅甸、阿曼、卡塔尔、苏丹、乌克兰和越南。这些答复抄录在本报告附件一。第二节提出的资料是答复者提供的，但未经其他消息来源核实。", "4. 此外，还请联合国系统内外的相关组织、方案和机构提供关于该主题领域最近发展情况的资料和分析。西亚经济社会委员会(西亚经社会)、联合国贸易和发展会议(贸发会议)及经济合作与发展组织(经合组织)对此请求作出回应。从这三个组织收到的答复抄录于本报告附件二。", "二. 从会员国、联合国机构和国际组织收到的答复的摘要", "5. 对秘书长要求就该问题提供意见一事提出答复的会员国，表示不赞同施加这种措施，认为单方面经济措施违反《联合国宪章》的原则、国际法规范和按照规则的多边贸易体制，并破坏国家主要平等原则。", "6. 确定自己是遭受经济胁迫措施打击国家的会员国，对单方面经济措施对本国社会经济发展造成的不利影响，表示关切。古巴指出它的国内工业继续受50多年来对其实施贸易和金融封锁的影响。同样的，缅甸指出该国内的外来和本国投资受到一些会员国施加的单方面措施严重影响，这对该国的生产力发展造成不利影响，苏丹指出单方面制裁限制它进入出口市场的机会并且影响到它进口技术和工业基础设施的能力，而这些技术和设施是发展其生产力所必须的。这三个国家都强调，如果没有施加制裁，他们改善社会经济条件的努力应已取得更大进展。", "7. 没有受到单方面制裁影响的一些其他答复者，也表示对遭受这种措施打击的国家在经济发展和生活水平上受到的不利影响，表示关切。在这方面，埃及、加蓬、黎巴嫩和毛里求斯提到，单方面制裁往往对受影响国的关键经济部门造成不昨冲击，因而损害人民的福利。墨西哥指出，这种措施产生严重的人道主义后果，阿曼则强调这种制裁特别影响到妇女和儿童，使他们无法行使其正当人权。亚美尼亚和越南指出，制裁的不良后果，在直接受影响的国家之外也感受到，因为单方面制裁也对国际贸易自由流动和国际经济合作效力产生不利影响。", "8. 西亚经社会扼要说明其负责监测的三个经济体内的最新发展情况，这三个经济体是：巴勒斯坦被占领土、苏丹和阿拉伯叙利亚共和国。加沙地带仍受到自由流动限制和经济封锁。巴勒斯坦被占领土的进口受到极严格限制，导致维持当地民众生活水平所需的基本商品短缺，同时，出口方面的限制也妨碍贸易。苏丹自1997年以来即受到经济、贸易和金融制裁。西亚经社会指出，对石油相关活动和交易的禁止，现在已延伸至南苏丹，使人更加关切，因为南苏丹是非洲经济最落后的国家之一。西亚经社会还指出，有一个会员国禁止向阿拉伯叙利亚共和国出口除食物和药物以外的一切商品，这一措施影响到地方工业及国内的消费者。", "9. 贸发会议扼要说明目前受单方面制裁影响国家的贸易最新发展情况，包括白俄罗斯、古巴、朝鲜民主主义人民共和国、伊朗伊斯兰共和国、阿拉伯利比亚民众国、缅甸、巴勒斯坦被占领土、苏丹和阿拉伯叙利亚共和国。对这些国家实施的措施，虽然规模不同，但主要冲击都包括损失贸易和外汇收入、降低生产力和就业以及人民的经济和社会福利衰退，特别是中、低收群体。经合组织在答复中指出，它支持按照规则的多边贸易体制顺畅运作，在这一体制下，经济制裁应在解决争端的裁决发表后才可制定。", "三. 监测单方面措施的实施情况及研究这些措施对受影响国家的冲击", "10. 根据彼得森国际经济研究所(Peterson Institute for International Economics)研究员的著作[1] 自2000年以来，有23个新的单方面经济措施个案，其中18个新个案是2000年之后开始的，其余5个个案是对古巴、朝鲜民主主义人民共和国、伊朗伊斯兰共和国、缅甸和巴勒斯坦被占领土久已存在的措施采取新的行动。新的18个个案中，6个个案已不再实施，12个个案仍然有效。2000年之后开始但现已不再实施的个案是：中非共和国(2003-2005年)；几内亚(2002-2010年)；几内亚比绍(2003-2004年)；海地(2001-2005年)；洪都拉斯(2009年)；乌兹别克斯坦(2005-2009年)。2000年之后开始、现在仍在继续的个案是：白俄罗斯(2006年-)；刚果民主共和国(2003年-)；斐济(2006年-)；前利比里亚查尔斯·泰勒政权(2007年-)；格鲁吉亚(2006年-)；科特迪瓦(2004年-)；有关黎巴嫩(2007年-)；[2] 阿拉伯利比亚民众国(2011年-)；索马里(2010年-)；苏丹(2004年-)；阿拉伯叙利亚共和国(2011年-)；赞比亚(2002年-)。", "11. 最近的趋势显示，虽然使用广泛定义的贸易封锁仍很重要，但使用“精明”的制裁也越来越多，包括武器禁运、资产冻结和旅行禁令。不过，证据显示，单方面措施、特别是广泛的贸易封锁可以对人民福利和受影响国家的长期发展远景产生严重冲击。新近的研究显示，弱势群体、特别是儿童和穷人往往最受影响。[3] 这些制裁对受影响国家社会经济发展的影响程度，视所施加制裁的性质和时间长短以及有关国家经济的整体特性而定，只能逐国逐国评估。", "附件一", "从会员国收到的答复", "亚美尼亚", "［原件：英文］ ［2011年5月3日］", "亚美尼亚不赞同施加单方面经济措施作为对发展中国家进行政治和经济胁迫的手段。", "亚美尼亚在2008-2010年期间没有受到经济制裁。", "亚美尼亚是一个内陆国，2008-2010年期间，虽然它没有受到直接经济制裁，但它与土耳其的边界(自1993年4月以来，西部边界)和与阿塞拜疆的边界(自1990年以来，东部边界)仍在关闭，造成过境费增加，财政负担加重，妨碍国家的经济社会发展。关闭边界使出海得不到保证，没法利用更有效的贸易机会，对亚美尼亚参加国际合作和加入多边贸易体制的能力产生不利影响。", "文莱达鲁萨兰国", "[原件：英文] [2011年5月10日]", "文莱达鲁萨兰国不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。", "2008-2010年期间，文莱达鲁萨兰国没有受到经济制裁的影响。", "哥伦比亚", "[原件：英文] [2011年5月17日]", "哥伦比亚不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。原则上，哥伦比亚认为应该充分尊重所有国家独立发展自己的内部政策。这一原则反映于哥伦比亚宪法第9条，其中规定哥伦比亚的国际关系以国家主权、尊重各国人民自决和承认哥伦比亚所接受的国际法原则为基础。", "2008-2010年期间，哥伦比亚没有受到经济制裁影响。", "古巴", "[原件：西班牙文] [2011年6月3日]", "古巴不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。", "古巴反对施加单方面胁迫措施作为对发展中国家实施政治经济压力的手段，因为这种措施违反《联合国宪章》的原则，并侵犯一个主权国家的和平、发展和安全权利。这种措施也违反主权国家间和平共处的原则。这种措施在本质上是一种持续威胁一个国家稳定的行为，侵害主权和政治独立权利，破坏贸易和航行自由及多边贸易体制的规范。", "古巴继续受到50多年来美利坚合众国施加的经济、商业和金融封锁政策的影响。", "美国的经济、商业和金融封锁构成古巴经济发展的主要障碍。这个政策的法律基础不变，但加强了政治、行政和压制机制，以更有效地执行政策，特别是压制和骚扰古巴在全世界的商业和金融交易。继续禁止从古巴向美国出口一切种类的产品和服务。继续禁止从美国向古巴出口任何产品和服务，只有非常少数和严格管制的例外。任何国家的商船停靠古巴港口。仍然是180天内不准进入美国港口。任何国家的任何公司如与美国公司有任何种类的从属关系或利益关系，不得与原籍古巴的公司进行贸易，不论公司总部所在国家与古巴的关系如何，亦不论公司原籍国的法律或国际法的规范如何。同古巴有商业联系的第三国公司，不论在世界任何角落，都受到美国政府当局的迫害、威胁和制裁，不论其原籍、基金为何，亦不论其与美国是否有联系。古巴同第三国的金融交易受到更加强烈的骚扰，不论这些国家同古巴的关系如何，亦不论使用的货币如何以及有关国家现行的银行准则如何。通常美国政府禁止美国公民前往古巴旅行，除了非常少数和严格管制的例外。这一复杂的法律和法规木头框架没有拆除。对古巴的封锁是美国历史上对一个国家实施的最长久和最强力的封锁。这个封锁虽然是在1962年正式下令，但其实施于1959年古巴革命成功之时起即已开始。在性质上，美国对古巴的封锁属于1948年防止及惩治种族灭绝罪公约第2条C款所定的种族灭绝行为，以及1909年伦敦海军会议通过的海战法宣言所述的经济战行为。这个封锁继续具有显著的域外性质，因对古巴的单方面制裁，其效力超越美国领土，对第三国公司及公民造成影响。美国实施对古巴的经济、商业和金融封锁，对古巴人民造成的直接经济损害，按金本位计，截至2009年12月，共达7 500多亿美元。", "尽管国际社会越来越强烈要求美国政府改变对古巴的政策、解除封锁和使双边关系正常化，美国政府仍维持其对古巴的政策不变。封锁继续是一种荒谬的、非法的、不道德的政策，不能、将来也不能实现它的目的，即改变古巴人民保全其主权、独立和自决权利的决心；它只会造成人民贫困和痛苦，限制和推迟国家的发展和严重损害古巴的经济。封锁是一种单方面的、不道德的政策，在美国和国际社会都受到反对。美国必须毫不拖延地无条件解除封锁。古巴要求国际社会立即采取措施消除对发展中国家使用经济胁迫措施。古巴坚决反对使用这种措施作为对发展中国家实施政治经济压力的手段。", "埃及", "[原件：英文] [2011年4月15日]", "埃及不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。", "2008-2010年期间，埃及没有受到经济制裁影响。", "埃及坚决反对施加单方面经济措施作为向发展中国家进行政治经济胁迫的手段，理由如下：(a) 这种措施违反《联合国宪章》的原则、国际法规范、尊重主权和领土完整原则；(b) 完全违背多边主义原则和所有国家都应遵守的按照规则的多边贸易体制；(c) 对受影响国家的关键经济部门造成不利影响，包括金融、银行、投资和旅游业部门；(d) 损害受影响国家人民的福利及社会经济发展，因为这种措施对健康、营养、水质、教育和文化直接造成不利影响。埃及呼吁所有国家避免承认这种单方面措施，并支持受影响国家因有国家违反国际议定行为规范而受到的任何损害要求赔偿。", "加蓬", "[原件：英文] [2011年4月22日]", "加蓬不赞同施加单方面措施作为向发展中国家进行政治和经济胁迫的手段。加蓬认为冲突应通过对话和协商解决。加蓬鼓励多边主义而非单边主义。这种单边解决办法应予阻止，因它对一般民众造成严重后果，包括日益贫穷和其他社会疾病。", "2008-2010年期间，加蓬没有受到经济制裁影响。", "危地马拉", "[原件：西班牙文] [2011年6月16日]", "危地马拉不赞同施加单方面措施作为向发展中国家进行政治和经济胁迫的手段。", "任何国家不得使用或鼓励使用经济、政治或任何其他种类措施胁迫他国，以使该国行使其主权权利时听命于它，或取得任何这类利益，这是在《关于各国依联合国宪章建立友好关系和合作的国际法宣言》中明确规定的。", "危地马拉国认为国家间的国际关系非常重要。在这一意义上，在全球化进程的框架内和平共处一类的主题，应是各国在经济和技术发展及国际贸易领域须处理的基本优先事项，特别是促进最不发达国家的利益。", "危地马拉国认为任何措施，不论是单方面的或其他性质的，如影响个人的或集体的适当人类发展，各国都应予以排斥，因必须尊重各国人民的基本权利。", "继续使用单方面经济措施作为政治经济胁迫手段，妨碍自由经济的发展和人民的发展。这种措施是一种反经济措施，其唯一结果是贫穷和发展不足。", "2008-2010年期间，危地马拉没有受到经济制裁的影响。", "黎巴嫩", "[原件：英文] [2011年5月17日]", "黎巴嫩不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。这种毁灭性措施影响发展中国家人民多于影响他们的政府。这种措施极之无效而且起反作用。", "2008-2010年期间，黎巴嫩没有受到经济制裁影响。", "马来西亚", "[原件：英文] [2011年5月4日]", "马来西亚不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。这种施加措施作法同当前国家间日益互赖和互动的趋势格格不入。这种作法也违反建立世界贸易组织的协定的文字与精神。单方面措施在性质上是歧视性的，目的是为打击目标国的特定政治议程服务。这些措施具有域外性质，因为它们将国内法延伸至向其他国家适用。", "2008-2010年期间，马来西亚没有受到经济制裁影响。", "马耳他", "[原件：英文] [2011年4月25日]", "马耳他不赞同施加单方面措施作为向发展中国家进行政治和经济胁迫的手段。马耳他本身没有实施自己的单方面制裁，它在制裁活动上只执行安全理事会的决议和欧洲联盟的条例和决定。这些制裁的执行是不分国家是发展中国家抑或是发达国家的，但必须在有关案件中国际社会认为这些制裁是一种有效的政策工具。", "2008-2010年期间，马耳他没有受到经济制裁的影响。", "毛里求斯", "[原件：英文] [2011年5月4日]", "毛里求斯不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。", "2008-2010年期间，毛里求斯没有受到经济制裁的影响。", "多边进程必须不被单边措施破坏。通过经济制裁达成政治目的，可能无助于实现所期望的国家长期目标，因为大多时间是一般民众的日常生活受苦。", "墨西哥", "[原件：英文] [2011年5月5日]", "墨西哥不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。", "2008-2010年期间，墨西哥没有受到经济制裁的影响。", "墨西哥重申它坚决反对实施单方面措施作为向发展中国家进行政治经济胁迫的手段，如果这些措施在《联合国宪章》中没有法律基础。制裁只能由安全理事会或联合国大会以决议或建议产生。单方面经济措施不遵守这些原则时，会产生违反国际法的严重人道主义后果。这些措施也意味抛弃外交和对话作为解决国家间争端的适当手段。", "缅甸", "[原件：英文] [2011年5月3日]", "缅甸不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段。目前对缅甸施加的单方面制裁完全无理，而且也违反国际法。此外，缅甸认为这种单方面措施起反作用，剥夺国家的发展权利。", "2008-2010年期间，缅甸受到经济制裁的影响。", "由于一些西方国家施加经济制裁，不仅外来投资，就是缅甸公民的投资也受到严重影响。例如，切割-制造-包装公司在制裁之前共有289间，现在，其中182间仍在执业，107间被迫竭业，造成13 951名工人失业。", "此外，外来投资是缅甸经济发展所必需的，外来投资受到障碍连同长期停止国际组织的官方发展援助，使得经济发展缓慢，同时也影响到国家的社会经济进步。", "目前有国家使用制裁作为压迫缅甸的政治手段。缅甸认为这种制裁是不合理的，它希望这些制裁行为停止。尽管遭受制裁，但在国家政府和人民共同努力下，社会经济条件仍得到改善、进步。如果没有制裁，缅甸应能取得更大的进步。", "阿曼", "［原件：阿拉伯文］ ［2011年6月6日］", "的确，大多数大国和大经济集团利用经济、军事和技术优势和政治两极化，将它们的愿望和意识形态强加于非洲、亚洲和拉丁美洲的发展中国家。它们施加专横的胁迫措施、包括制裁、禁止、冻结和没收等等，迫这些国家屈服。这些措施采取各种不同形式，包括金融、经济、军事和技术，甚至空域亦包括在内。这完全违反国际法律和文书规定的国际合法性。", "使用单方面经济措施作为向发展中国家进行政治和经济胁迫的一种方式，完全违反《联合国宪章》的精神和加强各国间团结、合作和友好关系的原则。", "在联合国以各种方法致力促进经济增长和可持续发展的同时，这些措施违反规范一切经济、商业和金融领域国际关系的法律、原则和标准，这些法律、原则和标准的目的是扩大所有国家间的商业、经济、金融和其他方面的互动，使发展中国家加入全球多边经济。", "对于使用这些单方面措施作为向发展中国家进行政治和经济胁迫及敲诈的一种方式，联合国机构、安全理事会和全世界的区域组织和民间社会组织都通过各种决议和决定予以谴责，特别是大会就这个问题通过了许多决议，但都没有作用；在这些决议中，国际社会极力表示必须消除这些措施和采取切实步骤确保永远不再使用这些措施。", "我们不要忘记，通过和实施这些单方面措施及进行陆、海、空禁运的行为，妨碍受影响国居民的经济和社会发展，尤其影响妇女和儿童，使他们不能同其他人一样享受生活，同时妨碍他们实现可持续的发展及充分享受区域和国际人权文书规定的合法权利。这些权利包括人人有权过适当水平的生活，亦即确保健康和福利以及有权得到食物、医疗和必要的社会服务。因此，作为这些专横措施的一部分、向许多发展中国家施加的禁运，明确违反国际法和人权，必须迅速无限制和无条件地予以终止。", "无可否让，单方面经济胁迫措施对所针对发展中国家的合法经济利益构成威胁。联合国和其他相关国际组织和多边组织必须共同努力，建立和加强国际经济条件，使各国毫无区别，在获得国际商业、金融和经济体制的惠益方面，机会平等。这些组织还必须考虑用什么方法补偿措施针对国家因采取这些单方面措施国家的行为而蒙受的物质和精神损失及损害。", "国际社会事实上不停谴责对一些国家施加的措施，特别是鉴于某些区域最近发生的情况。必须采取坚决立场，要求终止这一全世界都反对的政策：使用任何形式的单方面专横经济措施，以对发展中国家建立霸权，迫它们屈服。终止这些措施将有助于建立国际关系的有利气氛和加强国际合法性在维持国家主权平等上的作用。", "阿曼苏丹国因此认为这些措施违反国际规范和文书并损害发展中国家的利益。", "卡塔尔", "[原件：英文] [2011年5月4日]", "卡塔尔支持大会第64/189号决议的原则，这些原则符合卡塔尔的外交政策总方针：促进容忍、国际和平与安全、加强友好关系原则和国际合作，反对一切形式的对任何国家的经济政治胁迫。为了上述理由，卡塔尔支持解决美利坚合众国年年对古巴施加的经济封锁。", "苏丹", "[原件：英文] [2011年5月2日]", "苏丹不赞同施加单方面经济措施作为向发展中国家进行政治和经济胁迫的手段，因为这些措施封锁进入国际市场，限制进口技术、工业基础设施和备件以提高国家的生产力。施加这种制裁限制经济成长和影响受制裁国家的福利。", "2008-2010年期间，苏丹受到经济制裁的影响如下：", "• 限制进入美国市场销售国内产品和从美国生产者进口", "• 限制取得美国技术和备件", "• 阻止美国公司在苏丹投资", "• 禁止银行转账；所有苏丹开始的转账，或苏丹为受益人的转账，继续被美国政府封锁；这严重影响苏丹，因它无法支持杂志和书籍每年的订购费，同时也无法购买教育目的的软件", "• 由于美国施加的单方面制裁，苏丹不能取得减让性贷款和/或多边捐赠方案。", "上述措施是美国于1997年施加的，现在仍有效。有国家承诺在充分执行《全面和平协议》后将会解除这些措施，但现在并不肯定，因为现在就快充分执行这个协议时，又把达尔富尔问题增列入先决条件清单。", "国家大部分的经济活动领域受到严重影响，包括农业生产和相关工业、航空服务、高等教育和科学研究。最近许多飞机引擎故障，造成人员死亡，有人认为是美国施加的制裁所致。", "苏丹13年来同国际货币基金组织合作进行其“工作人员监测方案”，已达成方案的大部分目标，包括定时向国际货币基金组织付款和取得重债穷国债务倡议的债务救济资格。但是尽管如此，为了政治上的理由，苏丹从来没有得到重债穷国倡议的债务救济。", "让个别国家对他国施加单方面措施，是违反国际法和破坏联合国存在的理由的，不能予以容忍。", "乌克兰", "[原件：英文] [2011年5月20日]", "乌克兰没有任何法律或条例支持单方面经济措施作为向发展中国家进行政治经济胁迫的手段。同样的，乌克兰政府不接受使用经济措施作为实现政治目标的手段，同时在它与各国的关系上支持《联合国宪章》的基本原则、国际法规范和贸易及航行自由。", "越南", "[原件：英文] [2011年5月11日]", "越南不赞同施加单方面措施作为向发展中国家进行政治和经济胁迫的手段，这种措施对这些发展中国家人民的生活产生不利冲击，对国际贸易与发展也造成不利影响。施加经济措施应符合国际法原则以及《联合国宪章》的原则和宗旨。", "像国际社会所有国家一样，越南在2008-2010年期间，间接受到经济制裁的影响。这种措施限制国际贸易自由流动，对国家的发展产生不利影响。", "附件二", "从联合国机构和国际组织收到的答复", "西亚经济社会委员会", "[原件：英文] [2011年5月3日]", "西亚经济社会委员会(西亚经社会)兹提供资料，以纳入秘书长关于以单方面经济措施作为向发展中国家进行政治和经济胁迫手段的报告。", "施加惩罚性措施、包括制裁对发展中国家全体人口都造成影响，但不一定及到其原定目标。这种“集体惩罚”让目标国公民、包括儿童受到重大影响。这种措施导致收入减少，直接影响到千年发展目标的实现进度，因其对国家预算产生不利冲击。这些行动也违反大会第64/189号决议。", "西亚经社会对2008-2010年期间经社会区域国家受到经济制裁影响的情况，提出如下报告。", "目标国\t制裁性质\t施加制裁国家\t施加制裁日期\t制裁仍生效？ \n巴勒斯坦被占领土\t流动受限制和经济封锁(加沙地带)\t以色列\t流动受限制(2000年)经济封锁：2007年6月(加沙地带)\t是\n苏丹\t经济、贸易和金融封锁\t美利坚合众国\t1997年10月\t是\n阿拉伯叙利亚共和国\t经济制裁(非食物或药物项目的一般出口禁运)\t美利坚合众国\t2004年5月\t是", "西亚经社会对上述制裁对个别国家的影响、包括对其贸易与发展的影响报告如下：", "苏丹", "美利坚合众国——世界最大的经济体——施加的全面贸易封锁严重妨碍苏丹经济体的贸易和发展进程。特别是美利坚合众国限制同苏丹石油和石油化学工业方面的贸易，而这是苏丹最重要的收入来源。虽然石油相关出口和专门知识交流，同世界其余国家仍在继续，但不能同美利坚合众国进行经济和技术接触，对苏丹石油工业不利。事实上，石油相关活动和交易的禁止延伸至南苏丹，这更使情况复杂，因为南苏丹是世界上经济最落后的地区之一，尽管它拥有丰富的自然资源。虽然南苏丹现政府不是美国制裁的目标，但这一政策不仅导致美国贸易制裁目标政府所管制的苏丹无辜平民痛苦，也导致南苏丹当局所管制的无辜平民痛苦，而这个当局正试图在这种目标不清的制裁之下改善经济条件。", "禁止苏丹和美利坚合众国之间的进出口也损害到地方工业和消费者。工业不能进入世界最大的经济体，也不能从美利坚合众国得到技术方面的物品和服务，使到这一部门失去效能。消费者也不能购买美国物品和服务，而这些物品和服务的质量可能比目前普通苏丹人能获得的物品和服务的质量好。制裁也妨碍就业增长。鉴于苏丹高生殖率，年青人激增和青年高失业率，制裁对国家青年造成不成比例的冲击。", "整体而言，同世界最大经济体之间的贸易和经济受到全面限制，严重妨碍苏丹经济体的贸易和发展进程。限制进入美国市场妨碍出口，减少可能收入，对国家的经济发展造成不利影响，包括推迟千年发展目标的可能实现。", "阿拉伯叙利亚共和国", "禁止食物和药物以外的美国产品向阿拉伯叙利亚共和国出口，使共和国的贸易和发展受到妨碍。为发展目的所需的一系列物品和服务，或不能取得或受到限制，因为消费者必须付出较高的价格才能从非美国来源取得这些物品和服务。这影响到地方工业和消费者。地方工业不能取得高技术的物品和服务，使产出更具效力；消费者也不能享用美国制产品，这些产品的质量可能比现有的其他产品质量好。", "巴勒斯坦被占领土", "经济方面的限制和流动方面的限制对社会每一领域的巴勒斯坦人都产生严重影响。经济极大依赖外来援助和以色列经济。进口方面的严格限制导致维持适当生活水平所需的许多基本商品短缺。出现限制也妨碍同外面世界的贸易，确保以色列对巴勒斯坦经济的霸权。高失业率令人担心，并迫使当局以低于平均率方式雇用工作人员，以防止高涨的劳动力边缘化。千年发展目标的实现也成问题，因为预算、体制和基础设施都受到限制，而这些限制都可直接归因于施加上面所述的种种限制。", "对加沙地带的经济和贸易封锁对贸易与发展造成严重影响。进出口的限制不仅妨碍同外面世界的贸易，也妨碍同西岸和东耶路撒冷的贸易。对“双重用途”进口品的严格管制也导致基础设施不足——基础设施的情况原已很坏。因此，水电供应情况恶化，对经济和创造就业活动造成严重妨碍。对平民造成的普遍不利影响，导致教育和卫生(包括心理卫生)方面的不良影响，包括收入水平。", "此外，西亚经社会提出如下意见：", "• 先前和现在继续在西亚进行的单方面制裁，显示造成更多的紧张和失望，对社会和民众造成全面的不良影响；", "• 整个区域都认为单方面制裁是西方霸权的一个工具，尤其因为大部分现行的和先前的制裁都是西方国家所施加的，即美利坚合众国和欧洲国家。因此，由于制裁的目的通常在于削弱一个政府和/或迫使它采取某些步骤或改变政策，结果往往造成升高的反西方情绪以及地方对有关政府/政权的加强支持，从而使有关政府/政权的合法性更高；", "• 单方面制裁的最严厉个案是以色列对加沙地带施加的封锁。这一封锁不仅违反国际法有关国际贸易的原则，而且也违反第四个日内瓦公约的其他方面，亦即第33条，其中禁止集体惩罚。", "联合国贸易和发展会议", "[原件：英文]", "[2011年4月12日]", "联合国贸易和发展会议(贸发会议)兹提供资料，以纳入秘书长关于以单方面经济措施作为向发展中国家进行政治和经济胁迫手段的报告。", "贸发会议不赞同施加单方面经济措施作为向发展中国家进行政治经济胁迫手段。《阿克拉协定》(2008年贸发会议第12届大会产生)敦促各国避免实施任何违反国际法及《联合国宪章》的单方面经济、金融或贸易措施。它并强调，有意义的贸易自由化必须处理单方面措施问题，因为这种措施可能作为非关税贸易壁垒；同时应作出国际努力以减少或消除这些措施。单方面经济胁迫措施影响目标国公民的经济社会福利，特别是中低收入群体的福利。此外，这些措施在域外实施时还对第三国造成经济金融损害。", "贸发会议对2008-2010年期间，受经济制裁影响国家的情况，提出如下报告：", "目标国\t制裁性质\t施加制裁国家\t施加制裁日期\t制裁仍生效？ \n古巴\t经济、商业和金融封锁\t美国\t1960年代初\t是\n白俄罗斯、古巴、朝鲜民主主义人民共和国、伊朗伊斯兰共和国、阿拉伯利比亚民众国、缅甸、苏丹、阿拉伯叙利亚共和国\t排除在普遍优惠制之外\t普遍优惠制的一些捐国\t1970年代初至2000年代\t是\n伊朗伊斯兰共和国、苏丹、阿拉伯叙利亚共和国\t影响世界贸易组织(世贸组织)的加入进程\t世贸组织一些成员\t三个国家申请加入世贸组织时(1990年代至2000年代)\t是\n巴勒斯坦被占领土\t以色列在西岸施加的关闭政策，2007年中以来对加沙地带的经济封锁。\t以色列\t1990年中对巴勒斯坦被占领土施加的关闭政策(2000年9月加强)。\t是\n\t此外，以色列在西建筑隔离墙使巴勒斯坦被占领土更为经济孤立和碎裂。 2002年开始西岸建筑隔离墙(几已完成)。2007年6月开始封锁加沙地带。", "贸发组织说明上述制裁对国家的影响、包括对其贸易与发展的影响情况如下。", "普遍优惠制向发展中国家和最不发达国家提供非互惠性的优惠市场准入。由于优惠幅度可能非常有利，排除在普遍优惠制体制之外，可能意味农产品和制成品出口商失去竞争力。胁迫措施也影响到伊朗伊斯兰共和国、苏丹和阿拉伯叙利亚共和国申请加入世贸组织的进程，推迟了它们加入国际贸易体制的进程。", "美利坚合众国对古巴的封锁对古巴经济及古巴公民的生活水平造成非常不利的影响。古巴政府报告说，截至2009年底，封锁造成的整个直接经济损害，保守地计算，高达1 000亿美元。这些损失是因为古巴政府、企业和公民在取得货品和服务以及筹措资金方面须付额外费用。封锁影响到古巴公民生活的关键方面，诸如公共卫生和食物供应。此外，封锁严格限制了国家科技等战略部门的发展，以及信息学和通讯等工业的发展，因为美利坚合众国在这些领域占优势地位。如果封锁措施在域外实施，则第三国的商业和投资也可能受到影响。", "自2000年以来，以色列加强其关闭政策，这个政策限制人民和货品在巴勒斯坦被占领土内部和向领土外的流动。这使残余的经济碎裂成为孤岛，大大增加了交易费用，并且限制进入世界市场。许多现存企业变成多余，潜在的投资没有了。1998年巴勒斯坦的生产基础(工厂、农场、树木、房屋和土地)至少有三分之一在一再的对抗中或被破坏，或完全恶化，但都没有更换。以色列目前正在建筑的709公里：“隔离墙”将近完成，这项建筑工程没收了西岸15%最肥沃的土地，同时以色列的安全政策限制渔民出海，并使加沙30%的可耕地不让农民使用。2008年12月/2009年1月以色列对加沙的军事攻击，费用近于40亿美元(几乎是加沙2006年国内生产总值的三倍)。这些政策的累积影响造成1999年至2009年人均国内生产总值下降14%以上，并造成极度贫穷和极高的失业率以及加深依靠外来援助和以色列经济。估计2009年巴勒斯坦的出口较1999年水平低40%。贸易赤字继续等于国内生产总值的60%；整个赤字66%以上出于从以色列的净进口。这大于2009年巴勒斯坦权力机构收到的捐助者支助24亿美元。所有这些因素损害一个将来可以生存的主权巴勒斯坦国家的前景。", "虽然对有关国家施加的胁迫措施，规模不同，但主要影响都是：贸易和外汇收入损失；生产力和就业下降；民众得到的物品和服务有限、包括卫生、教育、科技；交易费用较高；生活水平较低；没有机会加入一个无歧视的、开放的国际贸易体制。", "经济合作与发展组织", "[原件：英文]", "[2011年4月18日]", "经济合作与发展组织(经合组织)兹提供资料，以纳入秘书长关于以单方面经济措施作为向发展中国家进行政治和经济胁迫手段的报告。", "经合组织不赞同施加单方面经济措施作为发展中国家进行政治和经济胁迫的手段。经合组织支持按照规则的多边贸易体制顺畅运作，在这一体制下，经济(即贸易)制裁应在解决争端的裁决发表后才可制定。", "[1] Hufbauer, Gary Clyde, Jeffery J. Schott, Kimberly Ann Elliott, 和 Barbara Oegg, 2008年，“Economic Sanctions Reconsidered”。该著作经 Gary Hufbauer和Julia Muir更新。", "[2] 有关黎巴嫩的制裁并不是针对特定国家。更多的资料可从以下网页得到：http://www.treasury.gov/ resource-center/sanctions/Programs/pages/leb.aspx。", "[3] 海湾冲突和施加制裁后伊拉克儿童死亡率增高((Ali, Mohamed M.和Shah Iqbal H，2000, “Sanctions and Childhood Mortaility in Iraq”, The Lancet, Vol.355,No.9218)。对海地的制裁期间，儿童营养不良情况和儿童死亡率增高((Reid, Britt C.,Psoter, Walter J. Gebrian Bette,和Wang,Min-Qi, 2007, “The Effect of an International Embargo on Malnutrition and Childhood Mortaility in rural haiti”, International Journal of Health Services,Vol.37 No.3)。从69个发展中国家取得的大量代表性数据显示，儿童的体重身高和死亡率受制裁的不利影响 (Petrescu, Iona M., 2011, “The Humanitarian Impact of Economic Sanctions”, mimeo)。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 18 (a) of the preliminary list*", "Macroeconomic policy questions: international trade and development", "Unilateral economic measures as a means of political and economic coercion against developing countries", "Report of the Secretary-General", "Summary", "In its resolution 64/189, entitled “Unilateral economic measures as a means of political and economic coercion against developing countries”, the General Assembly requested the Secretary-General to continue to monitor the imposition of such measures, to study their impact on the affected countries and to report to the Assembly at its sixty-sixth session on the implementation of the resolution. The present report reflects the replies of Member States and selected international organizations (see annexes I and II) to the note verbale sent by the Secretary-General requesting pertinent information. The report also includes additional data collected by the Secretariat.", "The responses from Member States indicated their disagreement with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. Such actions are not viewed as being in accordance with the principles of the Charter of the United Nations, the norms of international law or the rules-based multilateral trading system, moreover, they are perceived as to be undermining the sovereign equality of States. Member States affected by such measures stressed that unilateral measures have an extraterritorial dimension, since they extend the application of domestic laws to other countries. Member States expressed concern about the negative impact of unilateral economic measures on the socio-economic development of the affected countries. The Economic and Social Commission for Western Asia, the United Nations Conference on Trade and Development and the Organization for Economic Cooperation and Development reported that unilateral sanctions tend to adversely affect populations in the affected countries and to hamper international trade.", "Contents", "Page\nI.Introduction 3II.Summary 3 of replies received from Member States, United Nations bodies and international \norganizations III. Monitoring 5 the imposition of unilateral measures and studying the impact of such measures on the affected \ncountries \nAnnexes I.Replies 6 received from Member \nStates \nArmenia 6\nBruneiDarussalam 6\nColombia 6\nCuba 7\nEgypt 8\nGabon 8\nGuatemala 9\nLebanon 9\nMalaysia 10\nMalta 10\nMauritius 10\nMexico 11\nMyanmar 11\nOman 12\nQatar 13\nSudan 13\nUkraine 14Viet 14 \n Nam II.Replies 16 received from United Nations bodies and other international \norganizations Economic 16 andSocialCommission for Western \n Asia United 18 NationsConferenceonTrade and \nDevelopment Organization 21 for Economic Cooperation and \nDevelopment", "I. Introduction", "1. The present report is submitted pursuant to General Assembly resolution 64/189, entitled “Unilateral economic measures as a means of political and economic coercion against developing countries”. In that resolution, the Assembly, inter alia, urged the international community to adopt urgent and effective measures to eliminate the use of unilateral coercive economic measures against developing countries that were not authorized by relevant organs of the United Nations or were inconsistent with the principles of international law as set forth in the Charter of the United Nations and that contravened the basic principles of the multilateral trading system.", "2. In the same resolution, the General Assembly requested the Secretary-General to continue monitoring the imposition of such measures, to study their impact on the affected countries, including the impact on trade and development and to report to the Assembly at its sixty-sixth session on the implementation of the resolution.", "3. Accordingly, the Secretariat, in a note verbale dated 4 April 2011, invited the Governments of all Member States to provide their views and any other relevant information regarding the existence of any unilateral sanctions and the impact they may have had on national trade and development. As a result of the introduction of a short questionnaire by the Secretariat, in order to facilitate the responses from countries, a greater number of countries replied compared to the previous exercise, when only four Member States responded to the request by the Secretary-General. As of mid-June 2011, 18 Member States (Armenia, Brunei Darussalam, Colombia, Cuba, Egypt, Gabon, Guatemala, Lebanon, Malaysia, Malta, Mauritius, Mexico, Myanmar, Oman, Qatar, the Sudan, Ukraine and Viet Nam) had replied to the request. Those replies are reproduced in annex I to the present report. The information presented in section II has been provided by respondents and has not been verified with other sources.", "4. Relevant organizations, programmes and agencies inside and outside the United Nations system were also invited to provide information and analyses concerning recent developments in the subject area. The Economic and Social Commission for Western Asia (ESCWA), the United Nations Conference on Trade and Development (UNCTAD) and the Organization for Economic Cooperation and Development (OECD) responded to that invitation. The replies received from those organizations are reproduced in annex II to the present report.", "II. Summary of replies received from Member States, United Nations bodies and international organizations", "5. Member States that responded to the request of the Secretary-General for their views on the issue expressed disagreement with the imposition of such measures. Unilateral economic measures are viewed as violations of the principles of the Charter of the United Nations, the norms of international law and the rules-based multilateral trading system, and are perceived to undermine the sovereign equality of States.", "6. Member States that identified themselves as countries subject to coercive economic measures expressed concern about the negative impact of unilateral economic measures on their socio-economic development. Cuba indicated that its domestic industries continue to be affected by the application of the trade and financial embargoes imposed against it for more than 50 years. Similarly, Myanmar indicated that foreign and domestic investment in the country has been severely affected by unilateral measures imposed by some Member States, which have had negative impact on its productive capacity development. The Sudan stated that unilateral sanctions have restricted its access to export markets and affected its ability to import technology and industrial infrastructure necessary for the growth of its productivity. All three countries stressed that they would have been able to achieve greater progress in improving their socio-economic conditions had sanctions not been imposed.", "7. Several other respondents not affected by unilateral sanctions also expressed their concern about the adverse impact on economic development and the living standards of countries that face such measures. In this regard, Egypt, Gabon, Lebanon and Mauritius mentioned that unilateral sanctions tend to have an adverse impact on the vital economic sectors of the affected countries, thereby harming the welfare of their populations. Mexico indicated that such measures produce severe humanitarian consequences, and Oman emphasized the particular impact of such sanctions on women and children, preventing them from exercising their legitimate human rights. Armenia and Viet Nam stated that the negative consequences of sanctions are felt beyond the countries directly affected, as unilateral sanctions also have adverse implications for the free flow of international trade and the effectiveness of international economic cooperation.", "8. A summary of latest developments in three of the economies monitored by ESCWA, the Occupied Palestinian Territory, the Sudan and the Syrian Arab Republic, was provided by the Commission. Restrictions on mobility and an economic blockade are still in effect in the Gaza Strip. Heavy restrictions on imports to the Occupied Palestinian Territory have led to shortages of basic commodities required for maintaining the standard of living of the local population, and export restrictions have curtailed trade. Economic, trade and financial sanctions have been in effect in the Sudan since 1997. The Commission indicated that the ban on petroleum-related activities and transactions currently extends to South Sudan as well and is a source of additional concern as South Sudan remains one of the most economically disadvantaged countries in Africa. The Commission also indicated that one Member State has banned all exports other than food and medicines to the Syrian Arab Republic and that the measure is affecting local industries and consumers in that country.", "9. UNCTAD provided a summary of the latest developments related to trade by countries currently affected by unilateral sanctions, including Belarus, Cuba, the Democratic People’s Republic of Korea, the Islamic Republic of Iran, the Libyan Arab Jamahiriya, Myanmar, the Occupied Palestinian Territory, the Sudan and the Syrian Arab Republic. While the scope of measures applied to the countries concerned varies, major impacts include a loss of trade and foreign exchange earnings, a reduction in productive capacity and employment and a deterioration of the economic and social welfare of the population, in particular among middle and lower income groups. In its reply, OECD indicated that it supports a smooth functioning of the rules-based multilateral trading system under which economic sanctions are enacted following a dispute settlement ruling.", "III. Monitoring the imposition of unilateral measures and studying the impact of such measures on the affected countries", "10. According to the publication written by researchers at the Peterson Institute for International Economics,[1] there have been 23 new cases of unilateral economic measures since 2000. Eighteen of the new cases were initiated after 2000, while five cases refer to the introduction of new actions in the long-standing instances of Cuba, the Democratic People’s Republic of Korea, the Islamic Republic of Iran, Myanmar and the Occupied Palestinian Territory. Among the new 18 cases, six cases no longer apply, while 12 cases are still in effect. Cases that were initiated after 2000 and no longer in effect are: the Central African Republic (2003-2005); Guinea (2002-2010); Guinea-Bissau (2003-2004); Haiti (2001-2005); Honduras (2009); and Uzbekistan (2005-2009). Cases that were initiated after 2000 and are still ongoing are: Belarus (2006-); the Democratic Republic of the Congo (2003-); Fiji (2006-); the former Liberian regime of Charles Taylor (2007-); Georgia (2006-); Côte D’Ivoire (2004-); Lebanon-related (2007-);[2] the Libyan Arab Jamahiriya (2011-); Somalia (2010-); the Sudan (2004-); the Syrian Arab Republic (2011-); and Zimbabwe (2002-).", "11. Recent trends suggest that while the use of broadly defined trade embargoes is significant, the use of “smart” sanctions, including arms embargoes, asset freezes and travel bans, have also been on the rise. Evidence indicates, however, that unilateral measures, especially broad trade embargoes, can have a severe adverse impact on the welfare of people and on the long-term growth prospects of the affected countries. Recent studies suggest that vulnerable groups, in particular children and the poor, tend to be the most affected.[3] The magnitude of the impact of such sanctions on the social and economic development of the affected countries, which depends on the nature and length of the sanctions imposed as well as on the overall characteristics of the economy concerned, can only be properly assessed on a country-by-country basis.", "Annex I", "Replies received from Member States", "Armenia", "[Original: English] [3 May 2011]", "Armenia does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Armenia has not been affected by economic sanctions during the 2008-2010 period.", "Armenia is a landlocked country, and although it has not been affected by direct economic sanctions during the 2008-2010 period, its borders with Turkey (since April 1993, western border) and Azerbaijan (since 1990, eastern border) are still closed, a fact which has increased transit fees and has imposed an additional financial burden on and barrier to the economic and social development of the country. The closed borders block guaranteed access to the sea, which would enable the use of more efficient trade opportunities, and have had a negative impact on Armenia’s ability to take part in international economic cooperation and to integrate with multilateral trading systems.", "Brunei Darussalam", "[Original: English] [10 May 2011]", "Brunei Darussalam does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Brunei Darussalam has not been affected by economic sanctions during the 2008-2010 period.", "Colombia", "[Original: English] [17 May 2011]", "Colombia does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. As a principle, Colombia believes in full respect for the independent development of the internal policies of all nations. This principle is reflected in article 9 of its Constitution, which states that the international relations of the State are based on national sovereignty, in respect for the self-determination of peoples and in recognition of the principles of international law, accepted by Colombia.", "Colombia has not been affected by economic sanctions during the 2008-2010 period.", "Cuba", "[Original: Spanish] [3 June 2011]", "Cuba does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Cuba opposes the imposition of unilateral coercive measures as a means of exerting political and economic pressure on developing countries because it contravenes the principles of the Charter of the United Nations. It constitutes a violation of a sovereign State’s right to peace, development and security and breaches the principle of peaceful coexistence among sovereign States. In its essence, it is an act that persistently threatens a country’s stability. It infringes the right to sovereignty and political independence. It violates freedom of trade and navigation and the rules of the multilateral trading system.", "Cuba continues to be affected by an economic, commercial and financial embargo imposed by the Government of the United States for more than 50 years.", "The United States economic, commercial and financial embargo constitutes the primary obstacle to Cuban economic development. The legal basis for this policy remains intact and the political, administrative and repressive machinery has been strengthened in order to make the embargo more effective and in particular to harass and interfere with Cuban financial transactions throughout the world. Export of products or services of any kind from Cuba to the United States remains prohibited. Export of products or services from the United States to Cuba also remains prohibited, with a very few strictly regulated exceptions. Merchant vessels of any country that enter Cuban ports are still barred from entering United States ports for 180 days. No third-country company that is in any way affiliated with or holds an interest in a United States company may do business with Cuban companies, regardless of the host country’s relations with Cuba, the laws of the third-country company’s country of origin or the rules of international law. The authorities of the United States Government harass, threaten and impose penalties on third-country companies with trade ties to Cuba in every corner of the world, regardless of their origin or assets and whether or not they have ties with the United States. Interference in Cuba’s financial transactions with third countries is increasing, regardless of those countries’ relations with Cuba, the currency they use or their current banking regulations. Government regulations prohibit United States citizens from travelling to Cuba, with a very few strictly regulated exceptions. The complex framework of laws and legal provisions governing this policy has not been dismantled. The embargo against Cuba has been the longest and harshest the United States has ever enforced against any country. Although it was officially decreed in 1962, it began to be implemented as soon as the Cuban revolution triumphed in 1959. By its nature, the United States embargo against Cuba constitutes an act of genocide under paragraph (c) of article II (c) of the Convention on the Prevention and Punishment of the Crime of Genocide (1948 Geneva Convention) and an act of economic war under the terms of the Declaration concerning the Laws of Naval War adopted by the London Naval Conference in 1909. The embargo remains distinctly extraterritorial in nature, since the unilateral sanctions against Cuba have a widespread impact outside United States territory on companies and citizens of third countries. The accumulated direct economic damage caused to the Cuban people by the United States economic, commercial and financial embargo by December 2009 amounted to the gold-value equivalent of more than $751 billion.", "Despite the international community’s fervent and increasing calls for the United States Government to change its policy towards Cuba, lift the embargo and normalize bilateral relations, the United States Government has not altered its policy towards Cuba. The embargo continues to be an absurd, illegal and morally unsustainable policy that has not succeeded and will not succeed in its purpose of crushing the resolve of the Cuban people to preserve its sovereignty, independence and right to self-determination; however, it leads to shortages and suffering for the people, hampers and delays Cuba’s development and seriously harms the economy of Cuba. The embargo is a unilateral, immoral policy rejected both in the United States and by the international community. The United States must lift it unconditionally without further delay. Cuba calls on the international community to take immediate steps to eliminate the use of coercive economic measures against developing countries. It categorically opposes their use as a means of exerting political and economic pressure on developing countries.", "Egypt", "[Original: English] [15 April 2011]", "Egypt does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Egypt has not been affected by economic sanctions during the 2008-2010 period.", "Egypt is firmly against the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries for the following reasons: (a) these measures are in breach of the principles of the Charter of the United Nations and the norms of international law, respect for sovereignty and territorial integrity; (b) they are in total contradiction of the principles of multilateralism as well as the rules-based multilateral trading system to which all countries should adhere; (c) they have an adverse impact on the vital economic sectors of the affected countries, including the financial, banking, investment and tourism sectors and; (d) they have detrimental effects on the well-being as well as the socio-economic development of the population of affected countries, since they directly negatively impact health, nutrition, water quality, education and culture. Egypt appeals to all States to refrain from recognizing such unilateral measures and supports the claim of affected countries to compensation for any damage incurred as a result of the breach of internationally agreed norms of conduct.", "Gabon", "[Original: English] [22 April 2011]", "Gabon does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. Gabon believes in resolving conflicts through dialogue and consultation. Gabon encourages multilateralism rather than unilateralism. This type of unilateral solution should be discouraged since it has grave consequences for the population in general, including increasing poverty and other social diseases.", "Gabon has not been affected by economic sanctions during the 2008-2010 period.", "Guatemala", "[Original: Spanish] [16 June 2011]", "Guatemala does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Under the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States, no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind, in accordance with the Charter of the United Nations.", "Guatemala attaches great importance to international relations among countries. In disadvantaged countries especially, issues such as peaceful coexistence in the context of the globalization process are key national priorities for economic and technological development and international trade.", "Guatemala is of the clear opinion that States should eschew any unilateral or other measure that affects adequate individual or collective development out of due respect for the fundamental rights of peoples.", "The continuation of unilateral economic measures as instruments of political and economic coercion hinders the development of the market economy and the development of peoples. These are anti-economic measures. Their sole legacy is poverty and underdevelopment.", "Lebanon", "[Original: English] [17 May 2011]", "Lebanon does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. Such destructive measures impact the populations of developing countries more than their Government. They are highly ineffective and counterproductive.", "Lebanon has not been affected by economic sanctions during the 2008-2010 period.", "Malaysia", "[Original: English] [4 May 2011]", "Malaysia does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. Such impositions are out of step with the current trend towards increasing interdependence and interaction among States. They also violate the letter and spirit of the agreement establishing the World Trade Organization. Unilateral measures are discriminating in nature and are intended to serve specific political agendas against target countries. They also have an extraterritorial dimension, as they extended the application of domestic laws to other countries.", "Malaysia has not been affected by economic sanctions during the 2008-2010 period.", "Malta", "[Original: English] [25 April 2011]", "Malta does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. Malta, which imposes no unilateral sanctions of its own, applies only Security Council resolutions, European Union regulations and decisions in its sanctions activity. These sanctions are applied without distinction as to whether a country is developing or developed in cases where the international community considers them a valid tool of policy.", "Malta has not been affected by economic sanctions during the 2008-2010 period.", "Mauritius", "[Original: English] [4 May 2011]", "Mauritius does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Mauritius has not been affected by economic sanctions during the 2008-2010 period.", "The multilateral process must not be undermined by unilateral measures. Achieving political goals through economic sanctions may not help to achieve the desired long-term objectives of the State because, most of the time, it is the general public, in the course of their day-to-day activities, who suffer the most.", "Mexico", "[Original: English] [5 May 2011]", "Mexico does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries.", "Mexico has not been affected by economic sanctions during the 2008-2010 period.", "The Government of Mexico reiterates its firm opposition to the implementation of unilateral measures as means of political and economic coercion against developing countries when they have no legal basis in the Charter of the United Nations. Sanctions can only emanate from the decisions or recommendations of the Security Council, or from the General Assembly of the United Nations. When unilateral economic measures do not respect these principles, they produce severe humanitarian consequences contrary to international law. They also imply the abandonment of diplomacy and dialogue as appropriate means to solve controversies between States.", "Myanmar", "[Original: English] [3 May 2011]", "Myanmar does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. The unilateral sanctions currently imposed on Myanmar are unwarranted, and they are also against international law. In addition, Myanmar believes that such unilateral sanctions are counterproductive and deprive countries of their right to development.", "Myanmar has been affected by economic sanctions during the 2008-2010 period.", "Because of economic sanctions imposed by some western countries, not only foreign investments but also investments by citizens of Myanmar have been severely affected. For instance, out of a total of 289 cut-make-and-pack businesses that existed before the sanctions, 182 are in operation and 107 have been forced to shut down. As a result 13,951 workers have lost their jobs.", "In addition, the obstruction of foreign investment, which is necessary for the economic development of Myanmar, combined with the long-term suspension of overseas development assistance (ODA) by international organizations, have caused a slow-down of economic development and has also affected the socio-economic progress of the country.", "Sanctions are being employed as a political tool against Myanmar. Myanmar considers the sanctions to be unjust and would like to have such acts cease. Despite the sanctions, progress has been made in improving socio-economic conditions, thanks to the combined efforts of the Government and the people of the country. Without the sanctions, Myanmar will achieve even greater progress.", "Oman", "[Original: Arabic] [6 June 2011]", "Certain, if not, indeed, most major Powers and large economic blocs and groups employ economic, military and technological superiority and political polarization to impose their wishes and ideology on the countries of the developing world in Africa, Asia and Latin America. They subjugate those countries by imposing tyrannical and coercive measures that include, inter alia, sanctions, interdictions, freezing and confiscation. Those measures take a variety of forms, including the monetary, economic, military and technological, and even airspace is not immune. This is a violation of the international legitimacy that has been provided for in international laws and instruments.", "The use of unilateral economic measures against developing countries as a form of political and economic coercion is completely incompatible with the spirit of the Charter of the United Nations and with the strengthening of solidarity, cooperation and friendly relations between States and nations.", "While the United Nations endeavours, in one way or another, to promote economic growth and sustainable development, such measures conflict with all the laws, principles and standards that govern international relations in every economic, commercial and financial field and are designed to integrate developing countries into the global multilateral economy by expanding the commercial, economic, financial and other interaction between all States.", "The use of such unilateral measures against developing countries as a form of political and economic coercion and robbery has been condemned in various resolutions and decisions adopted by United Nations agencies, the Security Council, and regional and civil society organizations throughout the world and, in particular, the General Assembly, which has, to no avail, adopted many resolutions on this matter in which the international community has forcefully expressed the need for such measures to be eliminated and for genuine steps to be taken to ensure that they are never used again.", "Let us not forget that the adoption and application of such unilateral measures and the imposition of air, land or sea embargoes are acts that hinder the economic and social development of the inhabitants of the countries affected and have a particular impact on their women and children, preventing them from enjoying life to the extent that others do and erecting obstacles to their realization of sustainable development and full enjoyment of their legitimate rights as provided for in regional and international human rights instruments. Those rights include the right of every person to a decent standard of living that will ensure health and well-being and the right to food, health care and the requisite social services. Therefore, the embargoes imposed as part of such tyrannical measures on many developing countries are clear examples of violations of international law and human rights, which must be ended expeditiously, without any restrictions or conditions.", "It is an incontrovertible fact that coercive unilateral economic measures represent a threat to the legitimate economic interests of the targeted developing countries. The United Nations and other relevant international and multilateral organizations must combine their efforts to create and strengthen international economic conditions that are capable of bringing about equality of opportunity for all countries, without distinction, to benefit from the international commercial, financial and economic systems. Those organizations must also consider ways and means of compensating targeted countries for the material and moral losses and damage that they have sustained at the hands of those who had recourse to those unilateral measures.", "The international community has in fact never ceased to condemn the measures that have been imposed on several countries, particularly in view of the circumstances that certain regions are currently experiencing. A firm stand must be taken and a call put out for an end to the policy that is rejected by the whole world of using any form of tyrannical unilateral economic measure as a way of imposing hegemony over and subjugating developing countries. The end of such measures would help to create a positive climate for international relations and strengthen the role of international legitimacy in maintaining the principle of the sovereign equality of States.", "The Sultanate of Oman therefore views such measures as incompatible with international norms and instruments and detrimental to the interests of developing countries.", "Qatar", "[Original: English] [4 May 2011]", "Qatar supports the principles set out in General Assembly resolution 64/189, which are in line with the overall orientation of Qatar’s foreign policy, based on the promotion of tolerance, international peace and security, the reinforcement of the principle of amicable relations and cooperation in the international arena and the rejection of all forms of economic and political coercion against any country. For the above reasons, Qatar supports the General Assembly resolution on lifting the economic embargo imposed on Cuba by the United States of America every year.", "Sudan", "[Original: English] [2 May 2011]", "The Sudan does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries because they harm economies of developing countries by blocking access to international markets and by restricting import of technology, industrial infrastructure and spare parts to enhance their productivity. The introduction of sanctions restricts economic growth and affects the well-being of the nations on which they are imposed.", "The Sudan has been affected by economic sanctions during the 2008-2010 period, as follows:", "• Restrictions on access to American markets to sell domestic products and to import from American producers", "• Restrictions on access to American technology and spare parts", "• Discouragement of investment by United States companies in the Sudan", "• Prohibition of bank transfers; all transfers initiated by the Sudan or by which the Sudan benefits are continuously blocked by the United States Government; this has badly affected the country to the extent that it is unable to pay for annual subscriptions to periodicals and books, or to acquire software for educational purposes", "• As a result of the unilateral sanctions imposed by the United States, the Sudan does not have access to concessional loans or multilateral donor programmes.", "The above measures were imposed by the United States in 1997, and they are still binding. There is promise that they will be lifted after the full implementation of the Comprehensive Peace Agreement, although this is no longer certain since, now that the Agreement is about to be fully implemented, the issue of Darfur has been added to the list of preconditions.", "Most areas of the country’s economic activity have been badly affected, including agricultural production and related industries, aviation services, higher education and scientific research. Many recent aircraft engine failures, which have caused the loss of lives, have been blamed on the sanctions imposed by the United States.", "The Sudan has cooperated with the International Monetary Fund (IMF) for 13 years under its staff monitored programme, achieving most of the programme targets, including regular payment to IMF, and qualifying for debt relief. However, in spite of this, for political reasons, the Sudan has never benefited from debt relief under the Heavily Indebted Poor Countries Initiative.", "Allowing individual countries to impose unilateral measures against other countries, which contradicts international law and undermines the raison d’être of the United Nations, should not be tolerated.", "Ukraine", "[Original: English] [20 May 2011]", "Ukraine does not have any legislation or regulations that support unilateral economic measures as a means of political and economic coercion against developing countries. Equally, the Government of Ukraine does not accept the use of economic measures as a means of achieving political aims and upholds, in its relations with countries, the fundamental principles of the Charter of the United Nations, the norms of international law and the freedom of trade and navigation.", "Viet Nam", "[Original: English] [11 May 2011]", "Viet Nam does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries, which lead to negative impacts on the lives of people in those developing countries, as well as on international trade and development. The imposition of economic measures should be compatible with the principles of international law, as well as the principles and objective of the Charter of the United Nations.", "As is the case with all countries in the international community, Viet Nam has been indirectly affected by economic sanctions during the 2008-2010 period. Such measures have constrained the free flow of international trade and have thus had a negative impact on the country’s development.", "Annex II", "Replies received from United Nations bodies and international organizations", "Economic and Social Commission for Western Asia", "[Original: English] [3 May 2011]", "The contribution of the Economic and Social Commission for Western Asia (ESCWA) to the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries is submitted herewith.", "The imposition of punitive measures, including sanctions, impinge upon the entire populations of developing countries, but they may not always reach their intended targets. This “collective punishment” places significant burdens on the citizenry of the targeted countries, including children. Such measures lead to falling incomes, which directly affect progress towards the achievement of the Millennium Development Goals owing to their negative impact on national budgets. These actions are also contrary to the General Assembly resolution 64/189.", "The Commission has the following observations to make on countries affected by economic sanctions in the ESCWA region during the 2008-2010 period as follows.", "Targetcountries\tNature of sanction\tCountryimposingsanction\tDate sanctionwas imposed\tSanctionstillbinding? \nOccupiedPalestinianTerritory\tMobility restrictionsand economic blockade(Gaza Strip)\tIsrael\tMobilityrestrictions2000Economicblockade: June2007 (GazaStrip)\tYes\nSudan\tEconomic, trade andfinancial sanctions\tUnitedStates\tOctober 1997\tYes\nSyrianArabRepublic\tEconomic sanctions(general export banfor non-food ormedicine items)\tUnitedStates\tMay 2004\tYes", "ESCWA reports the impact of the above sanctions on the country, including on its trade and development as follows:", "Sudan", "A total trade embargo imposed by the United States, the world’s largest economy, has seriously hampered the trade and development trajectory of the Sudanese economy. This is especially true with respect to the restriction imposed by the United States on trade with the Sudan’s most important source of revenue, the petroleum and petrochemical industries. While petroleum-related exports and exchanges of expertise continue with the rest of the world, the lack of economic and technological contact with the United States has left the Sudanese petroleum industry at a disadvantage. The fact that the ban on petroleum-related activities and transactions extends to South Sudan has further complicated the situation as South Sudan remains one of the most economically disadvantaged regions in the world, despite possessing abundant natural resources. Given that the current Government of South Sudan is not also a target of American sanctions, this policy has led to the suffering of innocent civilians not just in the Sudan, which is governed by a Government targeted by American trade sanctions, but also of innocent civilians in South Sudan, which is governed by an authority that has to attempt to ameliorate economic conditions in the face of sanctions that have been poorly targeted.", "The banning of exports and imports between the Sudan and the United States has also hurt local industries and consumers. Industries — unable to access the largest economy in the world while also missing out on technological goods and services from the United States — suffer from inefficiencies in that sector. Consumers are also unable to purchase American goods and services, which may be of better quality than those currently available to ordinary Sudanese. The sanctions also curtail employment growth. Given the high birth rate, the youth bulge and high unemployment rates among the young in the Sudan, the sanctions have a disproportionate impact on the youth of the country.", "Overall, sweeping trade and economic restrictions with the world’s largest economy significantly hamper the trade and development trajectory of the Sudanese economy. Restrictions on access to the American market have hampered exports and decreased potential income, with negative repercussions on economic development in the country, including delaying the potential achievement of the Millennium Development Goals.", "Syrian Arab Republic", "The banning of exports of United States products other than food and medicine to the Syrian Arab Republic places a trade and development burden on the country. A range of goods and services needed for development purposes have either become unavailable or restricted owing to the higher price the consumer must pay for them from non-American sources. This impacts both local industries and consumers. Local industries are unable to access technologically rich goods and services that may lead to higher efficiency in output while consumers are also unable to enjoy American-made products that may be of better quality compared to the available alternatives.", "Occupied Palestinian Territory", "Restrictions on the economy and restrictions on movement have heavily affected Palestinians in every area of society. The economy has become heavily dependent to both foreign aid and the Israeli economy. Oppressive restrictions on imports have led to shortages of many basic commodities required for maintaining an adequate standard of living. Export restrictions have also curtailed trade with the outside world, and have ensured Israeli hegemony over the Palestinian economy. Unemployment remains worryingly high, and has forced the authorities to hire staff at a lower-than-average rate just in order to prevent skyrocketing labour force marginalization. Progress towards the realization of the Millennium Development Goals remains problematic in the face of budgetary, institutional and infrastructural constraints, which can be directly attributed to the imposition of the above-mentioned restrictions.", "The economic and trade blockade of the Gaza Strip has had significant ramifications on trade and development. Both import and export restrictions severely curtail trade not just with the outside world but also with the West Bank and East Jerusalem. Strict controls on “dual use” imports have also led to a lack of infrastructure, which was already in poor condition. As a result, the water and electrical supply has deteriorated, significantly impeding economic and, hence, employment-generating activities. The impact on the citizenry, which is both negative and widespread, has led to adverse effects on education and health (including psychological), including income levels.", "In addition, ESCWA comments that:", "• Previous and ongoing experiences of unilateral sanctions in Western Asia have been shown to create more tension and frustration, with an overall adverse effect on societies and populations;", "• Unilateral sanctions are perceived across the region as a tool of Western dominance, especially since most current and previous sanctions have been imposed by Western countries, namely the United States and the European countries. Thus, whereas sanctions are usually meant to weaken a government and/or pressure it to undertake certain steps or change policies, the result tends to be increased anti-Western sentiment, more local support for the government/regime in question and, hence, more legitimacy for it and its policies.", "• The most severe case of unilateral sanctions is the blockade imposed by Israel on the Gaza Strip. This blockade not only violates the principles of international law that are relevant to international trade, but it also violates other aspects of the Fourth Geneva Convention, namely article 33, which prohibits collective punishment.", "United Nations Conference on Trade and Development", "[Original: English] [12 April 2011]", "The contribution of the United Nations Conference on Trade and Development (UNCTAD) to the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries is submitted herewith.", "UNCTAD does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. The Accra Accord, which emerged from the twelfth session of UNCTAD in 2008, urged that States refrain from applying any unilateral economic, financial or trade measure not in accordance with international law and the Charter of the United Nations. It also stressed that meaningful trade liberalization would require addressing unilateral measures, where they may act as non-tariff trade barriers, and that international efforts should be made to reduce or eliminate such measures. Unilateral coercive economic measures affect the economic and social welfare of the citizens in the targeted countries, particularly those in the middle- and low-income groups. Moreover, they cause economic and financial harm to third countries when they are applied extraterritorially.", "UNCTAD has observed countries affected by economic sanctions during the 2008-2010 period as follows:", "Target country Nature of sanction Country Date sanction Sanction imposing was imposed still sanction binding?", "Cuba Economic, United States Early 1960s Yes commercial and financial embargo", "Belarus, Cuba, Exclusion from the Some donor Early 1970s to Yes Democratic Generalized System countries to 2000s People’s of Preferences the Generalized Republic of System of Korea, Islamic Preferences Republic of Iran, Libyan Arab Jamahiriya, Myanmar, Sudan, Syrian Arab Republic", "Islamic Impacting the Some WTO When the three Yes Republic of accession process Members countries Iran, Sudan, to the World Trade applied for WTO Syrian Arab Organization (WTO) membership in Republic 1990s to 2000s", "Occupied Israeli closure Israel Closure policy Yes Palestinian policy imposed in imposed on the Territory the West Bank, and Occupied economic blockade Palestinian on the Gaza Strip Territory in since mid-2007. In mid-1990, but addition, the intensified in construction of September 2000. the separation Construction of barrier in the the separation West Bank by Barrier in the Israel increases West Bank the economic commenced in isolation and 2002 (almost fragmentation of completed). the Occupied Blockade of Gaza Palestinian Strip started in Territory June 2007", "UNCTAD describes the impact of the above sanctions on the countries, including on its trade and development, as follows.", "The Generalized System of Preferences provides non-reciprocal preferential market access to developing countries and the least developed countries. Since its margin of preference may be highly advantageous, exclusion from Generalized System of Preferences schemes could mean a loss of competitiveness for exporters of agricultural and manufactured goods. The coercive measures have also had an impact on the WTO accession process of the Islamic Republic of Iran, the Sudan and the Syrian Arab Republic, and have caused a delay in their integration into the international trading system.", "The United States embargo against Cuba has had significant negative effects on the Cuban economy and on the standard of living of Cuban citizens. The Government of Cuba reports that, on a conservative calculation, overall direct economic damage caused by the embargo had reached over $100 billion by the end of 2009. The losses are attributed to the additional costs incurred by the Cuban Government, enterprises and citizens in obtaining goods, services and financing. The embargo affects critical aspects of the lives of Cuban citizens, such as public health and the food supply. Moreover, it severely limits national development in strategic sectors such as science and technology, as well as industries such as informatics and communications owing to the dominant position of the United States in those fields. In cases where embargo measures are applied extraterritorially, the businesses and investments of third countries may also be affected.", "Since 2000, Israel has intensified its closure policy, a policy that restricts the movement of people and goods within, to and from the Occupied Palestinian Territory. This has fragmented what is left of the economy into isolated islands and has substantially increased transaction costs and restricted access to global markets. Many existing businesses have become redundant and potential investments have vanished. At least one third of the 1998 Palestinian productive base (factories, farms, trees, buildings and land) was not replaced after it was destroyed, or simply deteriorated, during recurrent confrontations. The 709 kilometre “separation barrier”, which is presently being constructed, and is near completion, by Israel, has resulted in the confiscation of 15 per cent of the West Bank’s most fertile land, while Israel’s security policy has limited fishermen’s access to the sea and rendered 30 per cent of arable land in Gaza inaccessible to farmers. The cost of the December 2008/January 2009 Israeli military offensive on Gaza is slightly below $4 billion (almost three times the size of gross domestic product (GDP) of Gaza in 2006). The cumulative effect of these policies translates into a more than 14 per cent drop in real per capita GDP between 1999 and 2009, extremely high poverty and unemployment rates and deepening dependence on foreign aid and on the Israeli economy. It is estimated that the Palestinian exports in 2009 are 40 per cent below the 1999 level. The trade deficit continues to represent 60 per cent of GDP; more than 66 per cent of the overall deficit is net import from Israel. The latter is larger than the $2.4 billion in donor support received by the Palestinian Authority in 2009. All of these factors are undermining the prospects for a future viable and sovereign Palestinian state.", "While the scope of the coercive measures applied to the countries concerned varies, the major impact is felt in loss of trade and foreign exchange earnings, reduction in production capacity and employment, limited access of the population to goods and services including health, education, science and technology, higher costs of transactions, lower living standard and lack of opportunity to integrate into a non-discriminatory and open international trading system.", "Organization for Economic Cooperation and Development", "[Original: English] [18 April 2011]", "The contribution of the Organization for Economic Cooperation and Development (OECD) to the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries, the Organization for Economic Cooperation and Development (OECD) is submitted herewith.", "OECD does not agree with the imposition of unilateral economic measures as instruments of political and economic coercion against developing countries. OECD supports the smooth functioning of the rules-based multilateral trading system under which economic (i.e. trade), sanctions are enacted following a dispute settlement ruling.", "[1] Hufbauer, Gary Clyde, Jeffery J. Schott, Kimberly Ann Elliott, and Barbara Oegg, 2008, Economic Sanctions Reconsidered. The publication has been updated by Gary Hufbauer and Julia Muir.", "[2] Lebanon-related sanctions are not country-specific. More information is available from http://www.treasury.gov/resource-center/sanctions/Programs/pages/leb.aspx.", "[3] Child mortality rates in Iraq increased after the Gulf conflict and the imposition of sanctions (Ali, Mohamed M. and Shah, Iqbal H., 2000, “Sanctions and childhood mortality in Iraq”, The Lancet, vol. 355, No. 9218). Child malnutrition and child mortality increased in the periods when the sanctions were in effect in Haiti (Reid, Britt C., Psoter, Walter J., Gebrian, Bette, and Wang, Min Qi, 2007, “The effect of an international embargo on malnutrition and childhood mortality in rural Haiti”, International Journal of Health Services, vol. 37, No. 3). Evidence from a large repeated cross-section data from 69 developing countries suggests that child weight, height and mortality are negatively affected by the sanctions (Petrescu, Ioana M., 2011, “The humanitarian impact of economic sanctions”, mimeo)." ]

[ "Sixty-sixth session", "^ (*) A/66/50.", "Item 18 (a) of the preliminary list*", "Macroeconomic policy questions: international trade and development", "Unilateral economic measures as a means of political and economic coercion against developing countries", "Report of the Secretary-General", "Summary", "In its resolution 64/189, entitled “Unilateral economic measures as a means of political and economic coercion against developing countries”, the General Assembly requested the Secretary-General to continue to monitor the imposition of such measures and to study the impact of such measures on the affected States and to report to the Assembly at its sixty-sixth session on the implementation of the resolution. The present report reflects replies from Member States and specific international organizations (see annexes I and II) to notes verbales sent by the Secretary-General requesting relevant information. The report also includes other data collected by the secretariat.", "The replies of Member States indicated that they did not agree with the use of unilateral economic measures as a means of political and economic coercion against developing countries, considering such actions to be contrary to the principles of the Charter of the United Nations, the norms of international law and the rules-based multilateral trading system. Furthermore, Member States consider that such actions undermine the principle of the sovereign equality of States. Member States affected by such measures emphasized the extraterritorial nature of unilateral measures, as they extended domestic law to other States. Member States expressed concern about the negative impact of unilateral measures on the socio-economic development of affected countries. The Economic and Social Commission for Western Asia, the United Nations Conference on Trade and Development and the Organization for Economic Cooperation and Development reported that unilateral sanctions often adversely affected the population of affected countries and hindered international trade.", "Contents", "Summary of replies received from Member States, United Nations bodies and international organizations", "Introduction", "The present report is submitted pursuant to General Assembly resolution 64/189, entitled “Unilateral economic measures as a means of political and economic coercion against developing countries”. In that resolution, the Assembly, inter alia, urged the international community to take urgent and effective measures to eliminate the use of unilateral coercive economic measures against developing countries that were not authorized by the relevant organs of the United Nations or were inconsistent with the principles of international law as set forth in the Charter of the United Nations and that violated the basic principles of the multilateral trading system.", "2. In the same resolution, the General Assembly requested the Secretary-General to continue to monitor the imposition of such measures and to study the impact of such measures on affected countries, including the impact on trade and development, and to report to the Assembly at its sixty-sixth session on the implementation of the resolution.", "3. Accordingly, by a note verbale dated 4 April 2011, the Secretariat invited the Governments of Member States to provide their views and any other relevant information on the existence of any unilateral sanctions and their possible impact on national trade and development. In order to facilitate responses from States, the Secretariat provided a short questionnaire, which resulted in more replies than in the previous report, when only Member States responded to the Secretary-General ' s request. As of mid-June 2011, 18 Member States had responded to the request: Armenia, Brunei Darussalam, Colombia, Cuba, Egypt, Gabon, Guatemala, Lebanon, Malaysia, Malta, Mauritius, Mexico, Myanmar, Oman, Qatar, Sudan, Ukraine and Viet Nam. These replies are reproduced in annex I to the present report. The information provided in section II was provided by the respondents but was not verified by other sources.", "4. In addition, relevant organizations, programmes and agencies within and outside the United Nations system were invited to provide information and analysis on recent developments in the subject area. The Economic and Social Commission for Western Asia (ESCWA), the United Nations Conference on Trade and Development (UNCTAD) and the Organization for Economic Cooperation and Development (OECD) responded to that request. The replies received from the three organizations are reproduced in annex II to the present report.", "II. Summary of replies received from Member States, United Nations bodies and international organizations", "5. The Member States that responded to the Secretary-General ' s request for an opinion on the question expressed their disagreement with the imposition of such measures, arguing that unilateral economic measures were contrary to the principles of the Charter of the United Nations, the norms of international law and the rule-based multilateral trading system and undermined the principle of the primary equality of States.", "6. Determines that it is a Member State that has been subjected to coercive economic measures against it and expresses its concern at the negative impact of unilateral economic measures on its socio-economic development. Cuba indicated that its domestic industry continued to be affected by the trade and financial embargo imposed on it for more than 50 years. Similarly, noting that foreign and domestic investment in Myanmar had been severely affected by unilateral measures imposed by some Member States, which had adversely affected the country ' s productivity development, the Sudan noted that unilateral sanctions restricted its access to export markets and affected its ability to import technology and industrial infrastructure, which were necessary for the development of its productivity. All three countries stressed that, without sanctions, their efforts to improve socio-economic conditions should have made more progress.", "7. A number of other respondents, who were not affected by unilateral sanctions, also expressed concern about the negative impact on economic development and living standards in countries affected by such measures. In that regard, Egypt, Gabon, Lebanon and Mauritius mentioned that unilateral sanctions often had an impact on key economic sectors in the affected countries, thereby undermining the well-being of the population. Mexico noted that such measures had serious humanitarian consequences, while Oman stressed that such sanctions particularly affected women and children and prevented them from exercising their legitimate human rights. Armenia and Viet Nam noted that the negative consequences of sanctions were also felt outside the countries directly affected, as unilateral sanctions also adversely affected the free flow of international trade and the effectiveness of international economic cooperation.", "8. ESCWA provided an overview of the latest developments in the three economies it monitored, namely, the Occupied Palestinian Territory, the Sudan and the Syrian Arab Republic. The Gaza Strip remains under restrictions on freedom of movement and economic blockade. Imports in the Occupied Palestinian Territory have been severely restricted, resulting in a shortage of basic commodities needed to maintain the living standards of the local population, while export restrictions have hindered trade. The Sudan has been subject to economic, trade and financial sanctions since 1997. ESCWA noted that the ban on oil-related activities and transactions has now extended to South Sudan, which is a cause for further concern, as it is one of the most economically backward countries in Africa. ESCWA also noted that one Member State prohibited the export to the Syrian Arab Republic of all commodities other than food and medicines, a measure that affected local industry and domestic consumers.", "9. UNCTAD provided an overview of recent developments in trade in countries currently affected by unilateral sanctions, including Belarus, Cuba, the Democratic People ' s Republic of Korea, the Islamic Republic of Iran, the Libyan Arab Jamahiriya, Myanmar, the Occupied Palestinian Territory, the Sudan and the Syrian Arab Republic. While the measures implemented for these countries vary in size, the main shocks include loss of trade and foreign exchange earnings, reduced productivity and employment, as well as a decline in the economic and social well-being of people, especially in the middle- and low-income groups. In its response, OECD indicated that it supported the smooth functioning of the rules-based multilateral trading system, under which economic sanctions should be enacted only after a dispute settlement decision had been issued.", "III. Monitoring the implementation of unilateral measures and studying their impact on affected countries", "10. According to the work of the Fellows of the Peterson Institute for International Economics, there have been 23 new cases of unilateral economic measures since 2000, 18 of which began after 2000, and the remaining 5 cases are new actions on long-standing measures in Cuba, the Democratic People ' s Republic of Korea, the Islamic Republic of Iran, Myanmar and the Occupied Palestinian Territory. Of the 18 new cases, 6 are no longer in effect and 12 remain valid. Cases that began after 2000 but are no longer in operation are: Central African Republic (2003-2005); Guinea (2002-2010); Guinea-Bissau (2003-2004); Haiti (2001-2005); Honduras (2009); Uzbekistan (2005-2009). Cases that began after 2000 and continue to be: Belarus (2006-); Democratic Republic of the Congo (2003-); Fiji (2006-); former Liberian regime of Charles Taylor (2007-); Georgia (2006-); Côte d ' Ivoire (2004-); Lebanon (2007-); [2] Libyan Arab Jamahiriya (2011-); Somalia (2010-); Sudan (2004-); Syrian Arab Republic (2011-); and Zambia (2002-).", "Recent trends indicate that while the use of a widely defined trade embargo remains important, there is also an increasing use of “smart” sanctions, including arms embargoes, asset freezes and travel bans. However, evidence suggests that unilateral measures, in particular broad trade embargoes, can have a serious impact on people ' s well-being and the long-term development vision of the affected countries. Recent research shows that vulnerable groups, especially children and the poor, are often the most affected. [3] The extent of the impact of these sanctions on the socio-economic development of affected countries can only be assessed on a country-by-country basis, depending on the nature and duration of the sanctions imposed and the overall characteristics of the economy.", "Annex I", "Replies received from Member States", "Armenia", "[3 May 2011]", "Armenia does not favour the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "Armenia was not subject to economic sanctions during the period 2008-2010.", "Armenia is a landlocked country, and during 2008-2010, although it was not subject to direct economic sanctions, its borders with Turkey (since April 1993, the western border) and with Azerbaijan (since 1990, the eastern border) remain closed, resulting in increased transit costs and financial burdens, which hamper the economic and social development of the country. The closure of borders, which left no guarantee of access to the sea and no access to more effective trading opportunities, had a negative impact on Armenia ' s ability to participate in international cooperation and in the multilateral trading system.", "Brunei Darussalam", "[10 May 2011]", "Brunei Darussalam does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "During 2008-2010, Brunei Darussalam was not affected by economic sanctions.", "Colombia", "[17 May 2011]", "Colombia does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries. In principle, Colombia believes that all countries should fully respect their own internal policies. This principle is reflected in article 9 of the Colombian Constitution, which stipulates that Colombia ' s international relations are based on the principles of national sovereignty, respect for the self-determination of peoples and recognition of the principles of international law accepted by Colombia.", "During the period 2008-2010, Colombia was not affected by economic sanctions.", "Cuba", "[Original: Spanish] [3 June 2011]", "Cuba does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "Cuba rejects the imposition of unilateral coercive measures as a means of political and economic pressure against developing countries, as such measures violate the principles of the Charter of the United Nations and violate the right of a sovereign State to peace, development and security. Such measures also violate the principle of peaceful coexistence among sovereign States. Such measures are inherently an ongoing threat to the stability of a State, infringe on the right to sovereignty and political independence and undermine freedom of trade and navigation and the norms of the multilateral trading system.", "Cuba continues to be affected by the economic, commercial and financial embargo imposed by the United States of America for more than 50 years.", "The economic, commercial and financial embargo imposed by the United States constitutes a major obstacle to the economic development of Cuba. The legal basis for this policy remains unchanged, but political, administrative and repressive mechanisms have been strengthened to implement it more effectively, in particular by suppressing and harassing Cuba ' s commercial and financial transactions worldwide. Exports of all types of products and services from Cuba to the United States continue to be prohibited. The export of all products and services from the United States to Cuba continues to be prohibited, with very few exceptions and strict controls. Commercial ships from any country dock at Cuban ports. Access to United States ports remains denied for 180 days. No company in any country with any kind of subordination or interest in a United States company may trade with a company of Cuban origin, regardless of the country of its headquarters and its relations with Cuba, or of the laws of its country of origin or the norms of international law. Third-country companies with business links with Cuba, in any part of the world, are subject to persecution, threats and sanctions by the United States Government authorities, regardless of their origin, funds or links to the United States. Cuba ' s financial transactions with third countries are subject to increased harassment, regardless of their relations with Cuba, the currency used and the banking standards in force in the countries concerned. The United States Government normally prohibits United States citizens from travelling to Cuba, with very few and strictly regulated exceptions. This complex legal and regulatory framework of wood has not been dismantled. The embargo against Cuba is the longest and most powerful embargo imposed on a country in the history of the United States. Although it was officially ordered in 1962, its implementation began in 1959 when the Cuban Revolution succeeded. By its very nature, the United States embargo against Cuba is an act of genocide as defined in article 2, paragraph C, of the 1948 Convention on the Prevention and Punishment of the Crime of Genocide and an act of economic warfare as defined in the Declaration on the Law of Maritime War adopted by the London Naval Conference in 1909. The embargo continues to have a significant extraterritorial character, with unilateral sanctions against Cuba, whose effects extend beyond United States territory and affect third-country companies and citizens. The direct economic damage caused to the Cuban people by the economic, commercial and financial embargo imposed by the United States against Cuba amounted to more than $750 billion in gold terms as of December 2009.", "The United States Government maintains its policy towards Cuba despite the growing international demand that the United States Government change its policy towards Cuba, lift the embargo and normalize bilateral relations. The embargo continues to be an absurd, illegal and immoral policy that cannot and will not achieve its purpose, namely, to change the determination of the Cuban people to preserve their sovereignty, independence and right to self-determination; it will only cause poverty and suffering among the people, limit and delay the country ' s development and seriously damage the Cuban economy. The embargo is a unilateral and immoral policy that has been rejected both in the United States and in the international community. The United States must lift the blockade unconditionally and without delay. Cuba calls on the international community to take immediate measures to eliminate the use of coercive economic measures against developing countries. Cuba firmly rejects the use of such measures as a means of political and economic pressure against developing countries.", "Egypt", "[15 April 2011]", "Egypt does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "Egypt was not affected by economic sanctions during the period 2008-2010.", "Egypt is firmly opposed to the imposition of unilateral economic measures as a means of political and economic coercion against developing countries for the following reasons: (a) such measures are contrary to the principles of the Charter of the United Nations, the norms of international law, respect for the principles of sovereignty and territorial integrity; (b) they are totally contrary to the principles of multilateralism and the rules-based multilateral trading system to which all States should adhere; (c) they have a negative impact on key economic sectors of the affected countries, including the financial, banking, investment and tourism sectors; and (d) they are detrimental to the well-being and socio-economic development of the people of the affected countries, as they have a direct negative impact on health, nutrition, water quality, education and culture. Egypt called on all States to refrain from recognizing such unilateral measures and to support compensation for any damage suffered by affected States as a result of violations by States of internationally agreed norms of conduct.", "Gabon", "[Original: English] [22 April 2011]", "Gabon does not favour the imposition of unilateral measures as a means of political and economic coercion against developing countries. Gabon believes that the conflict should be resolved through dialogue and consultation. Gabon encourages multilateralism, not unilateralism. Such unilateral solutions should be prevented, as they have serious consequences for the general population, including increasing poverty and other social diseases.", "Gabon was not affected by economic sanctions during the period 2008-2010.", "Guatemala", "[16 June 2011]", "Guatemala does not agree with the imposition of unilateral measures as a means of political and economic coercion against developing countries.", "No State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to subordinate that State to it in the exercise of its sovereign rights or to secure any such benefits, as is clearly stated in the Declaration on International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.", "The State of Guatemala considers international relations among States to be of great importance. In that sense, themes such as peaceful coexistence within the framework of the globalization process should be the basic priorities to be addressed by States in the field of economic and technological development and international trade, in particular for the benefit of the least developed countries.", "The State of Guatemala believes that any measure, unilateral or otherwise, which affects the proper human development of individuals or groups, should be excluded by all States, as the fundamental rights of peoples must be respected.", "The continued use of unilateral economic measures as a means of political and economic coercion impedes the development of free economies and peoples. Such measures were a counter-economic measure with the sole result of poverty and underdevelopment.", "During the period 2008-2010, Guatemala was not affected by economic sanctions.", "Lebanon", "[17 May 2011]", "Lebanon does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries. Such destructive measures affect more people than Governments in developing countries. Such measures are extremely ineffective and counterproductive.", "During 2008-2010, Lebanon was not affected by economic sanctions.", "Malaysia", "[4 May 2011]", "Malaysia does not favour the imposition of unilateral economic measures as a means of political and economic coercion against developing countries. Such imposition of measures is incompatible with the current trend of increasing inter-State interdependence and interaction. It is also contrary to the letter and spirit of the agreement establishing the World Trade Organization. Unilateral measures are discriminatory in nature and are designed to serve the specific political agenda of the target State. These measures are extraterritorial in nature, as they extend domestic law to other States.", "Malaysia was not affected by economic sanctions during 2008-2010.", "Malta", "[Original: English] [25 April 2011]", "Malta does not favour the imposition of unilateral measures as a means of political and economic coercion against developing countries. Malta itself has not imposed its own unilateral sanctions, and in its sanctions activities it has implemented only Security Council resolutions and European Union regulations and decisions. These sanctions are imposed irrespective of whether the country is a developing country or a developed country, but they must be considered by the international community as an effective policy tool in the relevant cases.", "During 2008-2010, Malta was not affected by economic sanctions.", "Mauritius", "[4 May 2011]", "Mauritius does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "During 2008-2010, Mauritius was not affected by economic sanctions.", "Multilateral processes must not be undermined by unilateral measures. The achievement of political objectives through economic sanctions may not contribute to the desired long-term goals of the State, as most of the time is the daily suffering of the general population.", "Mexico", "[5 May 2011]", "Mexico does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries.", "Mexico was not affected by economic sanctions during the period 2008-2010.", "Mexico reiterates its firm rejection of the application of unilateral measures as a means of political and economic coercion against developing countries if they have no legal basis in the Charter of the United Nations. Sanctions can only be imposed by resolutions or recommendations of the Security Council or the General Assembly. Non-compliance with those principles by unilateral economic measures has serious humanitarian consequences that run counter to international law. Such measures also imply the abandonment of diplomacy and dialogue as appropriate means of settling disputes between States.", "Myanmar", "[3 May 2011]", "Myanmar does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries. The unilateral sanctions currently imposed on Myanmar were totally unjustifiable and contrary to international law. Moreover, Myanmar considers such unilateral measures to be counterproductive and to deprive States of their right to development.", "During 2008-2010, Myanmar was affected by economic sanctions.", "As a result of economic sanctions imposed by some Western countries, not only foreign investment, but also investment by citizens of Myanmar, has been severely affected. For example, there were 289 cut-manufacturing-packaging companies before the sanctions, of which 182 were still in practice and 107 had to be exhausted, leaving 13,951 workers unemployed.", "Moreover, foreign investment, which was necessary for Myanmar ' s economic development, was hampered by the long-term suspension of official development assistance from international organizations, which had slowed economic development and affected the country ' s socio-economic progress.", "Sanctions are currently being used by States as a political tool to oppress Myanmar. Myanmar considered such sanctions unreasonable and hoped that they would cease. Despite sanctions, socio-economic conditions had improved and progress had been made thanks to the joint efforts of the Government and people of the country. Without sanctions, Myanmar should be able to make further progress.", "Oman", "[Original: Arabic] [6 June 2011]", "Indeed, most major Powers and large economic blocs have used economic, military and technological advantages and political polarization to impose their aspirations and ideologies on developing countries in Africa, Asia and Latin America. They impose arbitrary coercive measures, including sanctions, prohibitions, freezing and confiscation, to compel those States to submit. These measures take various forms, including financial, economic, military and technological, and even airspace. This is totally contrary to international legitimacy, as provided for in international law and instruments.", "The use of unilateral economic measures as a means of political and economic coercion against developing countries is totally contrary to the spirit of the Charter of the United Nations and to the principles of solidarity, cooperation and friendly relations among States.", "While the United Nations is working in various ways to promote economic growth and sustainable development, these measures are contrary to the laws, principles and standards that govern international relations in all economic, commercial and financial spheres, with the aim of broadening commercial, economic, financial and other interaction among all countries and of integrating developing countries into the global multilateral economy.", "The use of these unilateral measures as a means of political and economic coercion and extortion against developing countries has been condemned by United Nations bodies, the Security Council and regional and civil society organizations throughout the world through various resolutions and decisions, in particular, the numerous resolutions adopted by the General Assembly on this issue, but without effect, in which the international community has strongly expressed the need to eliminate them and to take practical steps to ensure that they are never used again.", "Let us not forget that the adoption and implementation of these unilateral measures and the imposition of land, sea and air embargoes impede the economic and social development of the population of the affected countries, particularly women and children, and prevent them from enjoying life on an equal footing with others, while impeding their sustainable development and the full enjoyment of their legitimate rights under regional and international human rights instruments. These rights include the right of everyone to a standard of living adequate to ensure health and well-being and the right to food, medical care and necessary social services. Therefore, as part of these arbitrary measures, the embargoes imposed on many developing countries clearly violate international law and human rights and must be brought to an immediate and unconditional end.", "Unilateral coercive economic measures posed a threat to the legitimate economic interests of the developing countries targeted. The United Nations and other relevant international and multilateral organizations must work together to establish and strengthen international economic conditions that would provide equal opportunities for all countries to benefit from the international commercial, financial and economic system, without distinction. These organizations must also consider ways of compensating for the material and moral losses and damage suffered by States as a result of the actions of States that have adopted these unilateral measures.", "The international community has in fact continued to condemn the measures imposed on some countries, particularly in the light of recent events in certain regions. A firm position must be taken to call for an end to this worldwide policy of using any form of unilateral and arbitrary economic measures in order to impose hegemony on developing countries and force them into submission. The termination of those measures would help to establish a favourable climate in international relations and strengthen the role of international legitimacy in maintaining the sovereign equality of States.", "The Sultanate of Oman therefore considers these measures to be contrary to international norms and instruments and to the interests of developing countries.", "Qatar", "[4 May 2011]", "Qatar supports the principles of General Assembly resolution 64/189, which are in line with the general orientation of Qatar ' s foreign policy: the promotion of tolerance, international peace and security, the strengthening of the principles of friendly relations and international cooperation, and the rejection of all forms of economic and political coercion against any country. For the above-mentioned reasons, Qatar supports the resolution of the economic embargo imposed on Cuba by the United States of America every year.", "Sudan", "[Original: English] [2 May 2011]", "The Sudan does not agree with the imposition of unilateral economic measures as a means of political and economic coercion against developing countries, as they block access to international markets and restrict the import of technology, industrial infrastructure and spare parts in order to increase national productivity. The imposition of such sanctions restricts economic growth and affects the well-being of the target State.", "During 2008-2010, the Sudan was affected by economic sanctions as follows:", "• Restrictions on access to the United States market for the sale of domestic products and imports from United States producers", "• Restrictions on access to United States technology and spare parts", "• Prevent United States companies from investing in the Sudan", "• Ban on bank transfers; all transfers initiated in the Sudan or on behalf of the Sudan continue to be blocked by the United States Government; this seriously affects the Sudan, which is unable to support the annual subscription fees for magazines and books and to purchase software for educational purposes", "• As a result of the unilateral sanctions imposed by the United States, the Sudan is unable to obtain concessional loans and/or multilateral donor programmes.", "These measures were imposed by the United States in 1997 and are still in force. While there is a commitment to lift these measures once the Comprehensive Peace Agreement has been fully implemented, it is not certain now that Darfur will be added to the list of preconditions as soon as the Agreement is fully implemented.", "Most areas of economic activity of the country are severely affected, including agricultural production and related industries, air services, higher education and scientific research. The recent failure of many aircraft engines has resulted in the death of people, which is believed to be the result of sanctions imposed by the United States.", "The Sudan had cooperated with the International Monetary Fund for 13 years in its “staff monitoring programme” and had achieved most of its objectives, including regular payments to the Fund and eligibility for debt relief under the Heavily Indebted Poor Countries Debt Initiative. Nevertheless, for political reasons, the Sudan had never received debt relief under the HIPC Initiative.", "Unilateral measures imposed by individual States on other States were contrary to international law and undermined the raison d ' être of the United Nations and could not be tolerated.", "Ukraine", "[Original: English]", "Ukraine has no laws or regulations that support unilateral economic measures as a means of political and economic coercion against developing countries. Similarly, the Government of Ukraine does not accept the use of economic measures as a means of achieving political objectives and, in its relations with States, supports the fundamental principles of the Charter of the United Nations, the norms of international law and the freedom of trade and navigation.", "Viet Nam", "[11 May 2011]", "Viet Nam does not agree with the imposition of unilateral measures as a means of political and economic coercion against developing countries, which have a negative impact on the lives of the people of those countries, as well as on international trade and development. Economic measures should be imposed in conformity with the principles of international law and the principles and purposes of the Charter of the United Nations.", "Like all countries of the international community, Viet Nam was indirectly affected by economic sanctions during the period 2008-2010. Such measures limit the free flow of international trade and adversely affect the development of the country.", "Annex II", "Replies received from United Nations agencies and international organizations", "Economic and Social Commission for Western Asia", "[3 May 2011]", "The Economic and Social Commission for Western Asia (ESCWA) hereby provides information for inclusion in the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries.", "The imposition of punitive measures, including sanctions, has an impact on the entire population of developing countries, but not necessarily on their intended objectives. This “collective punishment” has a significant impact on the citizens of the target State, including children. Such measures have led to a reduction in income and have a direct impact on progress towards the achievement of the Millennium Development Goals, as they have a negative impact on national budgets. Those actions also violated General Assembly resolution 64/189.", "ESCWA provides the following report on the situation of countries in the ESCAP region affected by economic sanctions during the period 2008-2010.", "The target State. The nature of the sanctions. The date on which the sanctions were imposed by the imposing State. In the Occupied Palestinian Territory, restricted movement and economic blockade (Gaza Strip) Israel Limited movement (2000) Economic blockade: June 2007 (Gaza Strip) Economic, trade and financial blockade of Sudan United States of America October 1997 Economic sanctions (general export embargo on non-food or pharmaceutical items) Syrian Arab Republic United States of America May 2004", "ESCWA reports on the impact of the above-mentioned sanctions on individual countries, including their trade and development, as follows:", "Sudan", "The comprehensive trade embargo imposed by the United States of America — the world's largest economy — severely hampers the trade and development process of the Sudanese economy. In particular, the United States of America has restricted trade with the Sudanese oil and petrochemical industries, the most important source of revenue for the Sudan. Although the exchange of oil-related exports and expertise continues with the rest of the world, economic and technical contacts with the United States of America are not possible to the detriment of the Sudanese oil industry. The fact that the ban on oil-related activities and transactions extends to South Sudan further complicates the situation, which is one of the most economically backward areas in the world, despite its abundant natural resources. While the current Government of South Sudan is not the target of United States sanctions, this policy has resulted not only in the suffering of innocent Sudanese civilians under the control of the target Government of the United States trade sanctions, but also in the suffering of innocent civilians under the control of the South Sudanese authorities, which are trying to improve economic conditions under such ill-targeted sanctions.", "The ban on imports and exports between the Sudan and the United States of America also harms local industry and consumers. Industry cannot enter the world ' s largest economies, nor can it obtain technology goods and services from the United States of America, rendering the sector ineffective. Consumers are also unable to purchase United States goods and services, the quality of which may be better than that currently available to ordinary Sudanese. Sanctions also impede employment growth. Given the high fertility rate in the Sudan, the proliferation of young people and the high rate of youth unemployment, sanctions have had a disproportionate impact on national youth.", "Overall, overall trade and economic constraints with the world ' s largest economies have severely hampered the trade and development process of the Sudanese economy. Restrictions on access to the United States market impede exports and reduce potential incomes, adversely affecting the country ' s economic development, including delaying the possible achievement of the Millennium Development Goals.", "Syrian Arab Republic", "The trade and development of the Republic is hampered by the ban on the export of United States products other than food and medicines to the Syrian Arab Republic. A range of goods and services required for development purposes are either inaccessible or restricted, as consumers have to pay higher prices to obtain them from non-United States sources. This affects local industry and consumers. Local industries do not have access to high-tech goods and services, making output more effective; consumers do not have access to United States-made products, which may be of better quality than other existing products.", "Occupied Palestinian Territory", "Economic and movement restrictions have had a serious impact on Palestinians in every area of society. The economy is heavily dependent on foreign aid and the Israeli economy. Severe import restrictions have led to a shortage of many basic commodities needed to maintain an adequate standard of living. Restrictions also hindered trade with the outside world and ensured Israeli hegemony over the Palestinian economy. The high unemployment rate is a cause for concern and forces the authorities to employ staff below average to prevent the marginalization of the rising labour force. The achievement of the Millennium Development Goals is also problematic because of budgetary, institutional and infrastructure constraints, which can be attributed directly to the imposition of the restrictions described above.", "The economic and trade blockade of the Gaza Strip had serious implications for trade and development. Import and export restrictions hamper trade not only with the outside world but also with the West Bank and East Jerusalem. Strict controls on “dual-use” imports also led to inadequate infrastructure, which was already poor. As a result, the deterioration of the water and electricity supply has seriously hampered the economy and job-creation activities. The general negative impact on the civilian population leads to adverse effects in education and health, including mental health, including income levels.", "In addition, ESCWA makes the following observations:", "• Previous and ongoing unilateral sanctions in Western Asia have shown to create additional tensions and frustrations, with all-round negative consequences for society and the population;", "• Unilateral sanctions are considered an instrument of Western hegemony throughout the region, especially since most of the existing and previous sanctions were imposed by Western countries, namely, the United States of America and European countries. Thus, as sanctions are usually aimed at weakening a Government and/or forcing it to take certain steps or change policies, they often result in heightened anti-Western sentiment and increased local support for the Government/regime, thus increasing the legitimacy of the Government/regime;", "• The most severe case of unilateral sanctions is the blockade imposed by Israel on the Gaza Strip. This blockade not only violates the principles of international law relating to international trade, but also other aspects of the Fourth Geneva Convention, article 33, which prohibits collective punishment.", "United Nations Conference on Trade and Development", "[Original: English]", "[12 April 2011]", "The United Nations Conference on Trade and Development (UNCTAD) provides information for inclusion in the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries.", "UNCTAD did not favour the imposition of unilateral economic measures as a means of political and economic coercion against developing countries. The Accra Accord (from the twelfth session of UNCTAD in 2008) urged States to refrain from any unilateral economic, financial or trade measures contrary to international law and the Charter of the United Nations. It also stressed that meaningful trade liberalization must address the issue of unilateral measures, which could act as non-tariff barriers to trade, and that international efforts should be made to reduce or eliminate them. Unilateral coercive economic measures affect the economic and social well-being of the citizens of the target country, particularly those of low- and middle-income groups. Moreover, the extraterritorial application of these measures has caused economic and financial damage to third States.", "UNCTAD reports on countries affected by economic sanctions during 2008-2010 as follows:", "The target State. The nature of the sanctions. The date on which the sanctions were imposed by the imposing State. The economic, commercial and financial embargo imposed by the United States in the early 1960s were some of the contributors to the Generalized System of Preferences (GSP) that were excluded from the Generalized System of Preferences by Belarus, Cuba, the Democratic People's Republic of Korea, the Islamic Republic of Iran, the Libyan Arab Jamahiriya, Myanmar, the Sudan and the Syrian Arab Republic. Israeli closure policy imposed on the Occupied Palestinian Territory in 1990 (enhanced in September 2000). In addition, Israel ' s construction of the separation wall in the west has further isolated and fragmented the economy of the Occupied Palestinian Territory. Construction of the separation wall in the West Bank began in 2002 (almost completed). The blockade of the Gaza Strip began in June 2007.", "UNCTAD described the impact of these sanctions on countries, including their trade and development, as set out below.", "The Generalized System of Preferences provides non-reciprocal preferential market access to developing and least developed countries. As preference margins may be very favourable, exclusion from the Generalized System of Preferences regime may mean that exporters of agricultural and manufactured goods lose their competitiveness. Coercive measures have also affected the accession process of the Islamic Republic of Iran, the Sudan and the Syrian Arab Republic to WTO, delaying their accession to the international trading system.", "The embargo imposed by the United States of America against Cuba has had a very negative impact on the Cuban economy and on the living standards of Cuban citizens. The Government of Cuba reported that, by the end of 2009, the total direct economic damage caused by the embargo had conservatively been as high as $100 billion. These losses are due to additional costs incurred by the Cuban Government, businesses and citizens in obtaining goods and services and in raising funds. The embargo affects key aspects of the lives of Cuban citizens, such as public health and food supplies. In addition, the embargo severely limits the development of strategic sectors such as national science and technology, as well as the development of industries such as informatics and communications, where the United States of America has a predominance. If the embargo is applied extraterritorially, the commerce and investment of third countries may also be affected.", "Since 2000, Israel has intensified its closure policy, which restricts the movement of people and goods within and outside the Occupied Palestinian Territory. This has left the remaining economies isolated, significantly increased transaction costs and restricted access to world markets. Many existing enterprises became redundant and potential investments were lost. At least one third of the Palestinian production base (workshops, farms, trees, houses and land) in 1998 was destroyed or completely deteriorated in repeated confrontations, without any change. Israel's construction of 709 kilometres of “the wall” is nearing completion, with the confiscation of 15 per cent of the most fertile land in the West Bank, while Israeli security policies restrict fishermen's access to the sea and prevent 30 per cent of Gaza's arable land from being used by farmers. Israeli military attacks on Gaza, December 2008/2009, at a cost of nearly $4 billion (in United States dollars) It is almost three times the GDP of Gaza in 2006. The cumulative impact of these policies resulted in a decline of more than 14 per cent in per capita gross domestic product (GDP) between 1999 and 2009, as well as in high levels of poverty and unemployment and increased dependence on external aid and the Israeli economy. Palestinian exports are estimated to be 40 per cent below their 1999 level in 2009. The trade deficit continued to equal 60 per cent of GDP; the overall deficit was more than 66 per cent due to net imports from Israel. This is larger than the $2.4 billion in donor support received by the Palestinian Authority in 2009. All these factors undermine the prospects for a sovereign Palestinian State that will be viable in the future.", "While coercive measures imposed on the countries concerned vary in size, the main effects are: loss of trade and foreign exchange earnings; declining productivity and employment; limited access to goods and services, including health, education, science and technology; higher transaction costs; lower living standards; and lack of access to an open and non-discriminatory international trading system.", "Organization for Economic Cooperation and Development", "[Original: English]", "[18 April 2011]", "The Organization for Economic Cooperation and Development (OECD) hereby provides information for inclusion in the report of the Secretary-General on unilateral economic measures as a means of political and economic coercion against developing countries.", "The OECD does not favour the imposition of unilateral economic measures as a means of political and economic coercion by developing countries. OECD supports the smooth functioning of the rule-based multilateral trading system, under which economic (i.e., trade) sanctions should be enacted only after a dispute settlement decision has been issued.", "[1] Hufbauer, Gary Clyde, Jeffrey J. Schott, Kimberly Ann Elliott, and Barbara Oegg, 2008, “Economic Sanctiones Reconsidered”. The book was updated by Gary Hufbauer and Julia Muir.", "[2] Sanctions on Lebanon are not country-specific. Additional information is available at http://www.treaties.gov/resource-center/sanctions/Programs/pages/leb.aspx.", "[3] Increased child mortality in Iraq following the Gulf conflict and the imposition of sanctions (Ali, Mohamed M. and Shah Iqbal H, 2000, “Sanctions and Childhood Mortarity in Iraq”, The Lancet, vol. 355, No. 9218). Child malnutrition and child mortality increased during the sanctions imposed on Haiti (Reid, Britt C., Psoter, Walter J. Gebrian Bette and Wang, Min-Qi, 2007, “The Effects of an International Embargo on Malinition and Child Mortarity in Rural Haiti”, International Journal of Health Services, Vol. A large number of representative data from 69 developing countries show that the weight and mortality of children are adversely affected by sanctions (Petrescu, Iona M., 2011, “The Humanistic Impact of Economic Activities”, Mimeo)." ]

[ "第六十六届会议", "暂定项目表^(*) 项目132", "财务报告和已审计财务报表以及 审计委员会的报告", "秘书长的说明", "秘书长谨向大会转递审计委员会主席2011年7月12日的信，其中转递该委员会依照大会第52/212 B号决议提出的委员会就2008-2009两年期所提建议执行情况的报告(见附件)。", "^(*) A/66/50。", "附件", "送文函", "联合国大会主席", "纽约", "谨转递审计委员会关于就2008-2009两年期所提建议执行情况的报告。", "中华人民共和国审计长兼联合国审计委员会主席", "刘家义", "2011年7月12日", "目录", "页次\n1.导言 6\n2.审计委员会建议的执行状况：总体意见 6\n3.按实体分列的审计委员会建议的执行情况 10\nA.联合国 10\nB.贸发会议/世贸组织国际贸易中心 12\nC.联合国大学 14\nD.联合国开发计划署 15\nE.联合国儿童基金会 17\nF.联合国近东巴勒斯坦难民救济和工程处 20\nG.联合国训练研究所 22\nH.联合国环境规划署 23\nI.联合国人口基金 25\nJ.联合国人类住区规划署 27\nK.联合国毒品和犯罪问题办公室 29\nL.卢旺达问题国际刑事法庭 32\nM.起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭 34\nN.联合国合办工作人员养恤基金 35\nO.联合国项目事务厅 37\n4.鸣谢 38 \n 附录 \n审计委员会就2006-2007两年期所提建议截至2009年3月31日的执行情况 39", "审计委员会关于其就2008-2009两年期所提建议执行情况的报告", "摘要 \n 任务 \n本报告涉及审计委员会在关于2008-2009两年期的报告中提出并经大会第65/243号决议第2段核准的建议。报告反映出截至2011年3月31日这些建议的执行状况，分为以下几类：(a)已执行，(b) 执行中，(c) 未执行，或(d) 因情况变化而过时。\n 范围和方法 \n本报告涉及审计委员会每两年向大会报告的15个组织。审计委员会每年报告一次或不向大会报告的活动没有包括在内。\n对于每个实体的行政当局提供的关于审计委员会各项建议执行情况的统计数字，只要有可能，审计委员会都进行了验证。其他数据尚待在本审计周期内加以验证。\n 总体意见 \n 审计委员会提出的建议数目从507个增加到个590个，比上个两年期增加了16%。\n 已执行的建议 \n表2列出各个组织执行审计委员会建议的情况。从审计委员会上一次报告(A/64/98)中抄录的截至2009年3月31日的相应数据列于本报告附录。与截至2009年3月31日的情况比较，当时2006-2007年建议执行率是47%，截至2011年3月31日，2008-2009两年期建议执行率仍然基本上保持不变，为46%。 \n审计委员会注意到，总的来说，各行政当局认真考虑了委员会的建议，制订了一系列良好做法，以加强后续行动。但审计委员会鼓励各行政当局加强努力，确保已充分执行建议的比率得到提高。\n审计委员会的建议涉及贯穿许多组织的广泛系列专题，各组织的执行率不同。因此，委员会未能找出可以强调的任何模式和趋势。\n 部分执行的建议 \n执行中的2008-2009两年期建议的执行率几乎与前一个两年期相同，从46%到48%，略有增加。\n鉴于多数实体已经为部分执行的建议规定了目标日期，有些建议将通过执行《国际公共部门会计准则》(《公共部门会计准则》)、新的或经改进的企业资源规划系统或其他业务转型而系统地落实，审计委员会对部分执行的水平总体上没有重大的担忧；但鼓励各实体尽快就审计委员会的建议采取行动。不过，审计委员会已查明了某些组织为加快建议的全面执行可以着手的一些领域。将在本报告的相关章节列明这些领域。\n 未执行的建议 \n审计委员会注意到，截至2011年3月31日，在2008-2009两年期中提出的建议中，有5%的建议没有得到执行，而前一个两年期是4%。虽然审计委员会承认，某些实体对没有执行可能有切实的理由，但存在尚未开始执行进程的其他实体。", "一. 导言", "A. 任务", "1. 大会在第52/212 B号决议中强调，执行审计委员会建议的主要管理权责仍应属于各部的主管和方案管理人员。大会在同项决议中核可审计委员会关于改进经大会核可的建议的执行工作的提议(见A/52/753)，但须符合该决议的规定。", "2. 本报告涉及审计委员会在2008-2009两年期报告中提出、并经大会第65/243号决议第2段核可的建议。本报告反映截至2011年3月31日这些建议的执行状况，分类为：(a) 已执行，(b) 执行中，(c) 未执行，或(d) 因情况变化而过时。", "B. 范围和方法", "3. 本报告涉及审计委员会每两年向大会报告的15个组织。审计委员会每年报告一次的组织(即联合国维持和平行动、基本建设总计划和联合国难民事务高级专员办事处)的资料和活动没有列入本报告，而是同往年一样载入审计委员会向大会提交的有关报告的附件。同样，不向大会提交报告的活动(即联合国(伊拉克)代管账户、联合国赔偿委员会、联合国气候变化框架公约和联合国防治荒漠化公约及其他)未纳入本报告。", "4. 审计委员会要求本报告涉及的15个组织向审计委员会提供它关于2008-2009两年期账目的报告所载建议截至2011年3月31日的执行情况。2011年3月31日至2011年5月31日期间审计小组每当在总部执行规划任务或进行实质性审计时，都验证这些数据。在多数其他情况下，如果审计委员会认为派遣专门小组去审查和验证所提供的数据的做法不符合成本效益，它将通过案头审查来验证客户提供的数据。", "5. 验证过程包括案头审查或实地审计和审查证明文件，以证实各行政当局提供的评估。如果提供的证据不能证明行政当局的评估，审计委员会就在本报告所载经验证的数据中说明自己的评估。", "二. 审计委员会建议的执行状况：总体意见", "建议数目", "6. 审计委员会提出的建议数目从507个增加到590个，比上个两年期增加了16%(表1)。所提建议数目随查明的管理问题及审计方法和侧重点而变化。后者尤其随时间的推移而不同，因为审计所侧重的领域根据审计委员会风险评估和其他因素而每年变化。因此，建议数目增加不一定反映管理和控制有所削弱的趋势，也不说明具体建议的相对重要性，这同样随时间或组织而变化。", "表1 审计委员会就2000-2001两年期至2008-2009两年期所提建议数目", "建议数 增加百分比\n 2000-2001年 2002-2003年 2004-2005年 2006-2007年 2008-2009年 (2006-2007年至2008-2009年)", "共计 335 509 651^(a) 507 590 16", "^(a) 数字不包括与联合国项目事务厅有关建议(但前几个两年期的数据则包括项目厅的数字)，原因是在编写2004-2005年建议执行状况时审计工作尚未完成，因此无从确定建议执行状况。", "已执行的建议", "7. 各组织执行审计委员会建议情况列于表2。取自委员会上次报告(A/64/98)的截至2009年3月31日的相应数据列于本报告的附录。", "8. 与2009年3月的情况(47%)相比较，2011年3月的执行水平(46%)大体保持不变，没有特别明显的趋势(图一)。", "[]图一 比较审计委员会就2008-2009两年期所提建议截至2011年3月31日的执行情况和就2006-2007两年期所提建议截至2009年3月31日的执行情况", "9. 审计委员会指出，一般而言，行政当局一直认真审计各项建议，并在增强后续行动方面制定了一系列良好做法。尽管如此，委员会鼓励各行政当局加紧努力，确保提高充分执行的建议的比例。", "10. 增强委员会各项建议的后续行动的例子包括：", "(a) 高层管理团队利用委员会的报告和各项建议确定优先行动和监测的领域，以作为其目前全面报告安排的一部分；", "(b) 确认反复出现同样的审计意见的根本原因，并制定解决这些问题的适当行动计划；", "(c) 在需要进行机构间合作与共同努力的领域作出改进，以期解决涉及到多个机构的问题；", "(d) 就执行审计委员会的建议确定明确的目标日期和完成标准，以确保易于监测执行情况；", "(e) 由内部审计员进行验证和相关跟踪，以使高层管理团队确信委员会的各项建议及时得到切实执行。", "11. 审计委员会的建议涉及到许多组织各种各样的问题，而各组织的执行率不尽相同。鉴于所涉及问题范围广泛，审计委员会看不出任何值得加以评论的实际规律或趋势。审计委员会在下文第三节就各个组织提出评论。", "部分执行的建议", "12. 执行中的2008-2009两年期建议的执行率几乎与前一个两年期相同，从46%稍稍上升到48%。", "13. 鉴于多数实体就部分执行的建议规定了目标日期，而且有些建议是通过实施《国际公共部门会计准则》(《公共部门会计准则》)、新的或升级的企业资源规划系统或其他企业转变而予以落实，审计委员会对于部分执行的建议总体上并无重大担心，但鼓励各实体尽快就建议采取行动。审计委员会为某些组织查明需要处理的领域特别是：", "• 必须设立一个专门后续机制或职能；", "• 未能解决审计委员会所查明问题的根源，这里所采取的行动仅仅是一种权宜之计。例如，审计委员会前些年对许多组织提出的建议是必须改进非消耗性财产的管理方式；然而，审计委员会担心的是，行政当局在许多情况下仅仅向外地办事处发出指导，而没有监测和必要的后续措施，这样实际上无法从根本上解决问题。", "未执行的建议", "14. 大会在其第65/243号决议第二段核准了审计委员会就2008-2009年所提各项建议。审计委员会指出，截至2011年3月31日，这些建议有5%未能执行(图二)，而前一个两年期则为4%。", "图二 审计委员会就2008-2009两年期所提建议截至2011年3月31日的总体执行情况", "[]", "15. 未执行建议的原因各有不同，第三节就各实体的具体情况作了评论。审计委员认识到有些实体在有些情况下未能执行建议的确事出有因，而其他有些实体则尚未开始执行建议。", "表2 审计委员会就2008-2009两年期所提建议截至2011年3月31日执行情况", "已执行 执行中 未执行 因情况变化而过时\n 组织 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "联合国秘书处 72 29 40 37 51 4 6 2 3", "贸发会议/世贸组织国际贸易中心 9 1 11 8 89 —　 — —　 —", "联合国大学 16 4 25 9 56 3 19 — —", "联合国开发计划署 89 46 52 43 48 —　 — —　 —", "联合国儿童基金会 50 6 12 42 84 2 4 　 0", "联合国近东巴勒斯坦难民救济和工程处 61 31 51 25 41 4 7 1 1", "联合国训练研究所 5 3 60 2 40 —　 — —　 —", "联合国环境规划署 26 10 38 13 50 3 12 —　 —", "联合国人口基金 93 61 66 31 33 1 1 —　 —", "联合国人类住区规划署 19 10 53 7 37 2 11 —　 —", "联合国毒品和犯罪问题办事处 15 1 7 9 60 5 33 —　 —", "卢旺达问题国际刑事法庭 22 7 32 14 64 1 5 —　 —", "前南斯拉夫问题国际刑事法庭 11 7 64 4 36 —　 — —　 —", "联合国合办工作人员养恤基金 43 17 40 19 44 7 16 —　 —", "联合国项目事务厅 59 39 66 20 34 —　 — —　 —", "共计 590 272 46 283 48 32 5 3 1", "2006-2007(百分比) 507 238 47 237 46 19 4 13 3", "2004-2005(百分比) ^(a) 651 342 52 276 43 28 4 5 1", "^(a) 2004-2005两年期所提建议截至2007年5月31日执行情况(数据取自A/62/120，附件)。显示了审计委员会所提建议在连续三个两年期的相对执行速度。不包括与联合国项目事务厅有关的43项建议。", "三. 按实体分列的审计委员会建议的执行情况", "A. 联合国", "16. 如图三和表3所示，在审计委员会就联合国2008-2009两年期账目所提的72项建议(2006-2007年，70项建议)中，[1] 联合国已执行了29项(40%)，有37项(51%)在执行中，2项(3%)因情况变化而过时，4项(6%)未被接受。这72项建议中有1项针对国际公务员制度委员会，不属于秘书处职责范围；而这一项却已执行。如上文第一节B所解释，以下所述审计委员会建议的执行情况业经审计委员会验证。", "图三 审计委员会就2008-2009两年期所提建议总体执行情况：联合国", "[]", "表3 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时\n 领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "财务报表的列报和披露 1 — — 1 100 — — — —", "收入和支出表 5 1 20 3 60 — — 1 20", "技术合作活动 7 1 14 4 57 2 29 — —", "实施国际公共部门会计准则的进展 2 — — — — 1 50 1 50", "普通信托基金 1 — — 1 100 — — — —", "其他特别基金 1 — — 1 100 — — — —", "机构间结余 2 — — 2 100 — — — —", "服务终了负债 1 — — 1 100 — — — —", "成果管理制/预算编制 7 7 100 — — — — — —", "金库管理 4 4 100 — — — — — —", "方案和项目管理 11 5 45 5 45 1 9 — —", "采购和合同管理 4 1 25 3 75 — — — —", "非消耗性财产管理 6 5 83 1 17 — — — —", "人力资源管理 9 1 11 8 89 — — — —", "咨询人、专家和临时人员 2 1 50 1 50 — — — —", "信息技术 4 1 25 3 75 — — — —", "内部审计 2 1 50 1 50 — — — —", "运输和差旅管理 1 — — 1 100 — — — —", "机构间协调 2 1 50 1 50 — — — —", "共计 72 29 40 37 51 4 6 2 3", "2006-2007年 70 19 27 47 68 3 4 1 1", "17. 表3显示，2008-2009两年期建议执行率(40%)与2006-2007年(27%)相比有所增加。审计委员会为此趋势感到鼓励。它指出，在编写本报告时，2006-2007年建议的执行率已上升至74%。", "18. 2008-2009年执行中的37项建议中的7项(19%)的全面执行，取决于联合国内更广泛的变革方案，特别是《公共部门会计准则》的实施和“团结”项目的完成。", "19. 2008-2009年执行中的37项建议中的27项的目标执行日期是在2012年7月前，届时审计委员会将在其2010-2011两年期报告第一卷中再提供关于这些建议执行情况的最新资料。如果所有建议按预期得到执行，执行率将上升至78%。", "20. 尽管大会核准了审计委员会报告中的建议和结论，但4项建议未被行政当局接受或只被部分接受。", "21. 行政当局未接受的第一项建议，涉及到确保所有远离总部的办事处和各委员会与总部联络，加强其实施《公共部门会计准则》的准备工作。行政当局指出，尽管正在开展关于各选计划的初步讨论，但只能在一项取决于“团结”项目的展开战略的执行战略的整体范围内，方可拟定远离总部的办事处和各委员会的详细执行计划。为此，他们断言此举必然是一个中央计划行动，远离总部的办事处和各委员会的任何孤立和不协调的努力都将是多余的。行政当局表示，详细计划一旦制定，远离总部的办事处和各委员会应充分参与。审计委员会并不完全相信这种解释，但确实承认在总部进行规划与远离总部的办事处和各委员会推行计划的能力之间明确存在相互依存关系。审计委员会在编写其2012年关于联合国的报告第一卷时会再论述该问题。", "22. 未被接受的第二个建议，涉及到使关于技术合作的财务报表的编制工作不甚繁琐且更易审计。审计委员会在审计2010-2011年财务报表时将重新评估该进程，同时考虑到行政当局的意见，并在认为必要时提出一项新建议。", "23. 未被接受的第三项建议，涉及到联合国援助审判红色高棉对其今后预算编制的估算方法的审查，其目的是更充分地考虑到以往预算的实际执行。行政当局虽然指出今后提交捐助方核准的预算应预测所有预期资源，但认为过去的支出未反映今后的所需资源，而一项基于需要的前瞻性预算可确保在预算期一开始就得到预算核准，从而无需临时要求增加预算。审计委员会认为，在估算可能在今后一个时期完成的工作量以及因此而应要求的资源数额时，应考虑到作为行政当局利用资源能力指标的以往预算执行率。", "24. 未被接受的第四个建议，涉及到确保经济和社会事务部关于针对广大公众的法定文件的计划成为成果评价的议题。行政当局指出，评价通过各种方法进行，包括联合国经济和社会事务执行委员会成员的反馈、媒体与新闻部伙伴的合作报道、销售数字和内部讨论。行政当局还指出，针对广大公众的出版物没有补贴，由外部出版商决定。它又指出，差别定价政策确保书籍在发展中国家买得起，并且没有进行系统的评价，因为出版物方案中没有这笔钱。", "B. 贸发会议/世贸组织国际贸易中心", "25. 如图四和表4所示，在审计委员会对贸发会议/世贸组织国际贸易中心(国贸中心)2008-2009两年期账户提出的9项建议(2006-2007年，4项建议)中，[2] 国贸中心已执行1项(11%)，8项(89%)正在执行。如上文第一节B所解释，以下图表所示审计委员会建议执行情况业经委员会验证。", "图四 审计委员会就2008-2009两年期所提建议总体执行情况：贸发会议/世贸组织国际贸易中心", "[]", "表4 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时\n 领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "收入和支出表 1 — — 1 100 — — — —", "资产、负债及准备金和基金结余表 1 1 100 — — — — — —", "技术合作活动 1 — — 1 100 — — — —", "实施国际公共部门会计准则的进展 1 — — 1 100 — — — —", "服务终了负债，包括离职后健康保险 2 — — 2 100 — — — —", "成果管理制/成果预算编制 2 — — 2 100 — — — —", "非消耗性财产 1 — — 1 100 — — — —", "共计 9 1 11 8 89 — — — —", "2006-2007年 4 1 25 3 75 — — — —", "26. 8项建议仍在执行中。其中3项的完全执行涉及到在联合国内更广泛地采用《公共部门会计准则》和统一会计政策(即服务终了负债，包括离职后健康保险的处理方法及休假负债的估值)。", "27. 关于把技术合作信托基金的业务准备金从7%增加到15%的建议，国贸中心报告，截至2010年12月31日，它已将其增加至10.7%，标志着一定的进展。审计委员会在提出下一个两年期财务报表时，将验证这项建议的进展情况。国贸中心表示，它将在2011年执行其余4项建议。", "C. 联合国大学", "28. 在审计委员会就联合国大学2008-2009两年期账目所提的16项建议(2006-2007年，21项建议)中，[3] 联合国大学已执行4项(25%)，9项(56%)正在执行，3项(19%)未执行。如上文第一节B所解释，图五和表5所示审计委员会建议执行情况业经委员会验证。", "图五 审计委员会就2008-2009两年期所提建议总体执行情况：联合国大学", "[]", "表5 审计委员会就2008-2009两年期所提建议按重点领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时\n 领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "财务概览 2 — — 1 50 1 50 — —", "服务终了负债，包括离职后健康保险 2 — — 2 100 — — — —", "方案和项目管理 4 — — 3 75 1 25 — —", "采购和合同管理 4 2 50 2 50 — — — —", "非消耗性财产管理 1 1 100 — — — — — —", "咨询人、专家和临时人员 1 1 100 — — — — — —", "运输和差旅管理 1 — — 1 100 — — — —", "内部审计职能 1 — — — — 1 100 — —", "共计 16 4 25 9 56 3 19 0 0", "2006-2007年 21 13 62 7 33 — — 1 5", "29. 在执行中的9项建议中，3项关于捐赠基金股票投资及服务终了负债的建议正处于与联合国秘书处讨论或协商的过程中；2项关于审查项目管理手册的建议，也正在由各研究所主任处理。", "30. 未执行的3项建议中，一项涉及到联合国大学经一项单独的说明披露改变将储备金和基金结余转为收入的政策的原因。虽然大会已经核准了审计委员会的建议，但行政当局并未予以接受，因为它认为，收入和支出表的脚注(c)已充分披露了必要的信息。", "31. 第二项未执行的建议，涉及到更广泛地使用各种语文传播项目的产出。联合国大学表示，目前没有笔译的预算，该建议如没有额外的资金就无法执行。", "32. 第三项未执行的建议，涉及到与内部监督事务厅的协调，目的是加快达成资助协议，为联合国大学提供内部审计服务。该大学表示，它正等待监督厅完成资助协议的定稿。审计委员会将在2010-2011两年期的期未审计报告中审查这些事项。", "D. 联合国开发计划署", "33. 如图六和表6所示,在审计委员会就2008-2009两年期联合国开发计划署(开发署)账目所提的89项建议(2006-2007年，82项建议)中,[4] 开发署已执行46项(52%)，而43项(48%)正在执行中。如本文件导言部分范围和方法一节(第1节B)所解释，建议执行情况业经审计委员会验证。", "图六 审计委员会就2008-2009两年期所提建议总体执行情况：联合国开发计划署", "[]", "34. 如表6所示，3个领域存在执行率较低的实据：财务报表事项、服务终了和退休后福利及资产管理。", "表6 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中\t\n领域\t建议数目\t数目\t百分比\t数目\t百分比 \n 财务报表事项 10 2 20 8 80 \n 固定资产与在建工程 1 — 1 100 \n 普通和有关信托基金 3 1 33 2 67 \n 服务终了和退休后福利 5 — — 5 100 \n实施国际公共部门会计准则的进展\t1\t—\t—\t1\t100\n 成果管理制 2 — — 2 100 \n金库管理(包括银行账户和现金)\t1\t1\t100\t—\t—\n 采购和合同管理 7 5 71 2 29 \n 资产管理 5 — — 5 100 \n 人力资源管理 7 5 71 2 29 \n 咨询人、专家和临时人员 2 2 100 — — \n 信息技术 9 8 89 1 11 \n 基金间结余 2 — — 2 100 \n 运输和差旅管理 2 1 50 1 50 \n 企业资源规划执行 1 1 100 — — \n 方案支出 7 7 100 — — \n 方案和项目管理 2 — — 2 100 \n 多方捐助者信托基金 5 3 60 2 40 \n 共同事务 1 1 100 — — \n 安全和安保 1 1 100 — — \n 联合国妇女发展基金 3 2 67 1 33 \n 联合国资本发展基金 3 2 67 1 33 \n 现金转移统一办法 2 — — 2 100 \n 区域中心职能整合 4 2 50 2 50 \n 内部监督 3 2 67 1 33 \n 共计 89 46 52 43 48 \n 2006-2007年 82 33 40 49 60", "35. 上文表6显示建议数略有增加，从2006-2007两年期的82项建议增加至2008-2009两年期的89项。执行率也从2006-2007年的40%增加至2008-2009年的52%，而执行中的建议比率从60%下降至48%。", "36. 审议委员会注意到，根据管理层的时间表，大部分执行中的建议计划在相应日期按期充分执行。计划的目标执行日期从2011年第二季度到2012年第一季度不等。开发署告知审议委员会，预计若干与政策相关建议将在2012年1月随着实施国际公共部门会计准则而执行完毕，而大部分与财务报表相关建议将在2010-2011两年期终了编制财务报表时执行。", "37. 审计委员会对执行情况表示总体满意。执行中的大多数建议正在按照管理层的目标执行日期如期执行。审议委员会还注意到制定了适当的跟踪机制，这对于充分执行各项建议很重要。", "38. 审议委员会赞扬开发署在跟踪建议方面所做的努力。开发署通过采用实时网络跟踪数据库，使负责部门主管能够上载资料和文件，支持对数据库中执行情况的改动，加强了其审计跟踪数据库。一旦进行了修订，数据库将自动给内部审计员发送一个提示信息，说明已对执行情况进行了更新，使审计员能够审查证明文件，并相应地对执行情况进行重新评估。内部审计员进行修改后，负责部门主管也会收到信息提示。通过这一过程可以保留审计线索，了解建议是如何执行的。", "E. 联合国儿童基金会", "39. 如图七和表7所示,在审计委员会就2008-2009两年期联合国儿童基金会(儿基会)账目所提的50项建议(2006-2007年，42项建议)中,[5] 儿基会已执行6项(12%)，42项(84%)正在执行中，2项(4%)未执行。如本报告第1节B所做解释，建议执行情况业经审计委员会验证。", "图七 审计委员会就2008-2009两年期所提建议总体执行情况：联合国儿童基金会", "[]", "40. 如表7所示，6个领域存在执行率相对较低的实据：财务报表事项、服务终了负债，包括离职后医疗保险、成果管理制/预算编制、现金转移、采购和合同管理以及咨询人、专家和临时人员。", "表7 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行\t\n领域\t建议数目\t数目\t百分比\t数目\t百分比\t数目\t百分比 \n实施国际公共部门会计准则的进展\t1\t1\t100\t—\t—\t—\t—\n 收入和支出表 5 — — 5 100 — — \n资产、负债及准备金和基金结余表\t2\t—\t—\t2\t100\t—\t—\n服务终了负债，包括离职后医疗保险\t4\t—\t—\t3\t75\t1\t25\n 成果管理制/预算编制 3 — — 3 100 — — \n 现金转移 3 — — 3 100 — — \n 方案和项目管理 6 — — 6 100 — — \n 采购和合同管理 4 — — 3 75 1 25\n 非消耗性财产管理 2 1 50 1 50 — — \n 库存管理 3 2 67 1 33 — — \n 人力资源管理 3 1 33 2 67 — — \n 咨询人、专家和临时人员 2 — — 2 100 — — \n 信息技术 2 — — 2 100 — — \n 企业资源规划系统 1 — — 1 100 — — \n 内部审计职能 1 — — 1 100 — — \n 创收活动 6 1 17 5 83 — — \n 差旅管理 2 — — 2 100 — — \n 共计 50 6 12 42 84 2 4 \n2006-2007年\t42\t34\t81\t8\t19\t—\t—", "41. 表7显示出与2006-2007两年期相比建议数增多。执行率从2006-2007两年期的81%大幅降至2008-2009两年期的12%，而执行中的建议比率大幅提高，从19%提高至84%。", "42. 审计委员会指出，42项建议仍在执行中的情况主要是由于许多建议与实施国际公共部门会计准则有关。儿基会告知审议委员会，这些建议将与采用新的会计政策、财务细则和条例以及VISION(企业资源规划系统)一道作为2012年采用国际公共部门会计准则的一部分加以执行。审议委员会认识到，只有完成计划的2010-2011两年期所有实地审计访问后，才能对归类为执行中的2008-2009两年期建议情况进行完全评估。审计委员会将在2010-2011两年期的期末审计中审查这些建议的情况。", "43. 审计委员会注意到儿基会在审查其会计政策、更新《财务细则和条例》、《方案政策和程序手册》以及《供应司程序》方面所做努力。审计委员会还注意到儿基会根据订正的采用国际公共部门会计准则时间表更新了培训和宣传计划。审计委员会鼓励儿基会采取更多措施，充分利用实施国际公共部门会计准则带来的好处，实现资金效益。", "44. 2008-2009两年期有两项建议未执行。第一项建议是有关订正儿基会的休假负债估值政策。儿基会告知审计委员会，截至2009年12月31日采用的估值符合联合国系统会计准则，而且这是整个联合国系统的一个问题，目前正在与审计委员会和联合国所有机构进行讨论。", "45. 第二个未执行建议涉及订购单中推迟交付的惩罚条款。儿基会表示《供应手册》中规定违约赔偿金索赔是可选择的。尽管如此，审计委员会认为，对推迟交付的商品和服务进行惩罚符合该组织的最大利益。审计委员会将在儿基会的下一份审计报告中再次讨论这两个问题。", "F. 联合国近东巴勒斯坦难民救济和工程处", "46. 如图八和表8所示，在审计委员会就联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)2008-2009两年期账目所提的61项(2006-2007年，31项建议)建议中，[6] 近东救济工程处执行了31项(51%)，有25项(41%)正在执行，4项(7%)未执行，1项(1%)因情况变化而过时。如上文第一节B所解释，以下所述审计委员会建议的执行情况业经审计委员会验证。", "47. 建议数目从31项增加到61项，部分原因是出具了2008-2009两年期的经修订意见。", "图八 审计委员会就2008-2009两年期所提建议总体执行情况：联合国近东巴勒斯坦难民救济和工程处", "48. 如表8所示，4个领域存在执行率相对较低的实据：方案和项目管理、非消耗性财产管理、信息技术和内部审计。在61项建议中，涉及这些领域的建议为27项，其中18项正在执行。", "49. 在涉及项目管理的建议方面，近东救济工程处告知审计委员会，其正在编写一份涵盖各种项目的管理的项目管理手册，规定各相关方的责任以及所需的能力和培训。", "50. 在涉及非消耗性财产管理的建议方面，近东救济工程处告知审计委员会，作为公共部门会计准则实施进程的一个部分，其正在实际核查自己的资产，并对地上建筑物进行估值，以更新自己的固定资产登记册。", "表8 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 正在执行 未执行 因情况变化而过时", "领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "实施公共部门会计准则的进展 2 2 100 — — — — — —", "财务报表事项 13 10 76 1 8 1 8 1 8", "固定资产与在建工程 2 1 50 1 50 — —", "服务终了负债，包括离职后健康保险 1 — — — — 1 100 — —", "金库管理 1 1 100 — — — — — —", "方案和项目管理 4 — — 4 100 — — — —", "采购和合同管理 4 3 75 1 25 — — — —", "非消耗性财产管理 4 — — 4 100 — — — —", "消耗性财产管理 2 — — 2 100 — — — —", "人力资源管理 7 6 86 1 14 — — — —", "组织环境和控制 2 1 50 1 50 — — — —", "信息技术 10 6 60 3 30 1 10 — —", "内部审计职能 9 1 11 7 78 1 11 — —", "共计 61 31 51 25 41 4 7 1 1", "2006-2007年 31 15 48 16 52 — — — —", "51. 在涉及信息技术的建议方面，近东救济工程处告知审计委员会，其正在起草《灾害恢复计划》，以建立恢复关键业务系统的具体安排，并正在补充更多资源，以协助加强信息技术部门。", "52. 在涉及内部审计职能的建议方面，近东救济工程处内部监督事务司告知审计委员会，其正在寻求获得更多资源，以便能够更有效地履行自己的职能。审计委员会认识到，自审计委员会报告发表以来，内部审计负责人的职位已发生变化，这影响了建议的执行情况。", "53. 有4项建议未执行。第1项涉及向供应商支付的预付款，这笔款项在资产负债表流动资产项下作为预付款披露，在财务报表附注中又被列入应付款。近东救济工程处告知审计委员会，预付款被列入应付款是为了追踪在途库存。审计委员会认为，这样的披露作法具有误导性，并敦促近东救济工程处正确披露已发生会计事项的影响。", "54. 第2项未执行建议涉及财务报表没有记录的离职回国补助金和休假变现负债，2006-2007两年期财务报表的附注披露了这一资料。涉及国际工作人员的此类负债由联合国承担，但审计委员会认识到，近东救济工程处的国际工作人员包括项目活动雇用的人员。这些人员的费用由近东救济工程处承担，近东救济工程处必须估计这些费用并将其反映在财务报表中。", "55. 第3项建议涉及近东救济工程处内部监督咨询委员会没有按照组织指令的要求审查财务报表。内部监督事务司告知审计委员会，咨询委员会将考虑审查下一个两年期的财务报表。", "56. 第4项未执行建议涉及企业系统管理员和数据库管理员的职责没有分开。近东救济工程处告知审计委员会，其正在获取更多资源，并已实行临时措施，以实现二者职能分开；然而，审计委员会认为临时措施不够充分，因此，仍将建议列为未执行。", "57. 1项因情况变化而过时的建议涉及披露库存会计政策。近东救济工程处解释说，随着公共部门会计准则的实施，库存会计政策的问题将得到解决。", "58. 对于近东救济工程处执行审计委员会建议的总体情况，审计委员会基本感到满意，因为，大部分正在执行的建议正依照近东救济工程处的执行计划按时进行，一些建议的问题将随着公共部门会计准则的实施得到解决。然而，审计委员会对未执行的4项建议感到关切，这表明管理层仍未开始执行这些建议。", "G. 联合国训练研究所", "59. 在审计委员会就联合国训练研究所(训研所)2008-2009两年期账目所提的5项(2006-2007年：12项建议)建议中，[7] 训研所执行了3项(60%)，有2项(40%)正在执行。如上文第一节B所解释，下文图九和表9所述的审计委员会建议的执行情况业经审计委员会验证。", "图九 审计委员会就2008-2009两年期所提建议总体执行情况：联合国训练研究所", "表9 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 正在执行 未执行 因情况变化而过时", "领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "服务终了负债，包括离职后健康保险 1 — — 1- 100- — — — —", "成果管理制/成果预算编制 1 1 100 — — — —", "采购和合同管理 2 1 50 1 50 — — — —", "内部审计职能 1 1 100 — — — — — —", "共计 5 3 60 2 40 — — — —", "2006-2007年 12 8 67 2 17 1 8 1 8", "60. 执行率与2006-2007年度相比较低是由于问题的性质须由纽约联合国总部和联合国日内瓦办事处加以处理。", "61. 关于正在执行的2项建议，第一项涉及到服务终了负债。行政当局表示，由于事关会计政策，已将此事提交联合国主计长采取适当行动。训研所财务报表由联合国主计长编制。", "62. 正在执行的第二项建议涉及采购和合同管理。行政当局表示正在与联合国日内瓦办事处谈判，以确定将移交给训研所的更多财务和预算职能。这项工作结束后，将更新服务协议备忘录。", "H. 联合国环境规划署", "63. 如图十和表10所示在审计委员会就联合国环境规划署(环境署)2008-2009两年期账目提出的26项建议(2006-2007年，11项建议)[8] 中，环境署已执行了10项(38%)，有13项(50%)正在执行，还有3项(12%)未执行。", "64. 在这26项建议中，没有一项直接针对环境署全球环境基金司(全环基金)。该司当时是一个独立部门，就委托排放问题与全环基金董事会保持第二级报告关系。如上文第一节B所解释，下文所示审计委员会建议的执行情况业经审计委员会验证。", "图十 审计委员会就2008-2009两年期所提建议的总体执行情况：联合国环境规划署", "[]", "表10 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时\n 领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "财务管理和报告 12 4 33 5 42 3 25 — —", "为多边环境协定提出报告 4 1 25 3 75 — — — —", "与联合国内罗毕办事处的安排 1 1 100 — — — — — —", "实施国际公共部门会计准则方面的进展 1 — — 1 100 — — — —", "企业资源规划系统 2 1 50 1 50 — — — —", "采购和合同管理 2 1 50 1 50 — — — —", "业绩监测 1 — — 1 100 — — — —", "信息和通信技术 1 1 100 — — — — — —", "内部审计 1 1 100 — — — — — —", "欺诈和推定欺诈案件 1 — — 1 100 — — — —", "共计 26 10 38 13 50 3 12 — —", "2006-2007年 11 4 36 5 46 1 9 1 9", "65. 表10显示审计委员会建议执行率变化极小。与前一个两年期相比，完全执行和部分执行的建议百分比几乎未变，尽管2008-2009年的建议数目是2006-2007年的两倍。", "66. 有13项建议正在执行中。关于其中5项就财务管理和报告提出的建议，环境署表示将在2011年12月31日终了两年期财务报表中充分论述这些建议。", "67. 财务管理和报告领域之外正在执行的3项建议，取决于环境署过渡到公共部门会计准则的速度，以及正在纳入新的企业资源规划系统的适当功能。", "68. 与“团结”项目有关的一项建议是请环境署在其现行财务信息管理系统(综管系统)中增加一个领域，以能记录所采购货物和服务的合同号码。审计委员会从环境署了解到，由于预期要过渡到“团结”项目，目前暂停改进综管系统。到目前为止，这项建议中环境署唯一能够推进的部分就是使合同管理数据库保持更新。", "69. 其余4个正在执行的建议涉及到多边基金的法律状况和披露办法、多边环境协定的控制和披露、关闭用于设立《生物多样性公约》临时秘书处的信托基金、所有绩效指标的书面证据。环境署表示，执行这些建议的工作仍在进行中。", "70. 有3项建议未执行，因为这些建议取决于必须由联合国总部主计长办公室作出的政策更改和随后发出的指示。", "I. 联合国人口基金", "71. 如图十一所示在审计委员会就联合国人口基金(人口基金)2008-2009两年期账目提出的93项建议(2006-2007年，60项建议)[9] 中，人口基金已执行61项(66%)，31项(33%)正在执行中，1项(1%)未执行。如本报告第一节B所解释，下文所述审计委员会建议的执行情况业经审计委员会验证。", "72．建议数目从60项增至93项，部分原因是发表了关于2008-2009两年期的经修订的审计意见。", "图十一 审计委员会就2008-2009两年期所提建议的总体执行情况：联合国人口基金", "[]", "73. 如表11所示人口基金的总体执行率与上一个两年期相比在以下几个领域稍有下降：财务报表事项、方案和项目管理(包括国家执行方式)和采购事务处。", "表11 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行\n 领域 建议数目 数目 百分比 数目 百分比 数目 百分比", "实施公共部门会计准则方面的进展 3 2 67 1 33 — —", "财务报表事项 8 5 63 3 37 — —", "普通信托基金 3 2 67 1 33 — —", "服务终了债务，包括离职后健康保险 3 1 33 1 33 1 34", "成果管理制 1 1 100 — — — —", "金库管理 5 5 100 — — — —", "方案和项目管理，包括国家执行 21 13 62 8 38 — —", "采购和合同管理 9 7 78 2 22 — —", "非消耗性财产管理 7 7 100 — — — —", "消耗性财产管理 2 — — 2 100 — —", "人力资源管理 5 2 40 3 60 — —", "咨询人、专家和临时人员 2 1 50 1 50 — —", "采购事务处 17 10 59 7 41 — —", "内部审计职能 2 2 100 — — — —", "运输和差旅管理 3 1 33 2 67 — —", "机构间协调 2 2 100 — — — —", "共计 93 61 66 31 33 1 1", "2006—2007年 60 44 73 15 25 1 2", "74.唯一未执行的建议涉及到人口基金提供给精算师以计算服务终了负债的人员普查数据的准确性、有效性和完整性。这项建议只能在定于2011年12月进行的下次精算估值时执行。", "75. 方案和项目管理(包括国家执行)方面的建议数目最多(21项建议)。审计委员会确认管理层为执行这些建议作出了努力，从而使这21项建议中有62%被归类为已执行。这是一个良好迹象，显示人口基金已实施了适当程序处理国家执行进程初始阶段的问题。其余建议只能在国家执行周期完成时执行。审计委员会鼓励管理层继续审查这些事项，确保改进后的流程和控制得到维持，以使国家执行报告的成果得到妥善管理。", "76. 人口基金告知审计委员会，正在执行的建议大都涉及到正在开展的进程，按照管理层的行动计划按部就班地执行。审计委员会注意到，正在执行中的一些建议涉及到人口基金已经执行的进程。不过，审计委员会无法验证这些新进程或制度，因为它们需要广泛或实质性的审计以评估管理层所采取措施的充分性。这种情况影响了与国家执行有关的2项建议、与休假管理有关的3项建议和与采购事务处有关的1项建议。", "77. 审计委员会对人口基金取得的进展总体上满意，因为执行工作符合管理层行动计划的目标。审计委员会确认，某些建议只能在编制两年期终了财务报表时才能得到充分执行，并鼓励管理层随时审查这些事项。", "J. 联合国人类住区规划署", "78. 如图十二和表12所示，在审计委员会就联合国人类住区规划署(人居署)2008-2009两年期账目提出的19项建议[10] (就2006-2007两年期提出18项建议)中，人居署执行了10项(53%)，7项(37%)正在执行中，2项(10%)尚未执行。", "79. 如上文第一节B所述，下文所列审计委员会建议的执行情况业经审计委员会验证。", "图十二 审计委员会就2008-2009两年期所提建议的总体执行情况：联合国人类住区规划署", "[]", "表12 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "[TABLE]", "80. 表12表明，得到充分执行的建议的百分比略有增加，这与执行中的建议略有减少的情况相符。此外，与2006-2007两年期相比，所提建议的数目保持在同一水平。", "81. 审计委员会注意到，所提大多数建议是关于财务管理和报告方面。在这方面提出的建议有一半得到充分执行，而其余的建议或者未执行，或者正在执行中。在没有充分执行或根本未执行的五项建议中，三项依赖于需要在联合国总部作出的政策改变以及随后发出的指示。", "82. 在其余4项未充分执行的建议中，三项取决于向公共部门会计准则过渡的步伐以及在新的企业资源规划系统中加入的适当功能。人居署表示，它正在与联合国内罗毕办事处、其会计服务提供者以及公共部门会计准则/“团结”小组紧密合作，以确保在配置并推出新的企业资源规划系统的过程中满足执行这些建议的要求。但是，在推出新的企业资源规划系统之前，人居署已建立监督控制措施，以监测分录凭单的使用。", "83. 在财务管理和报告方面没有充分执行的第四项建议涉及在其目前的财务信息管理系统(综管系统)中加入一栏，用以记录采购货物和服务的合同号。人居署表示，由于要过渡到企业资源规划系统，目前暂停对综管系统的强化工作，迄今为止人居署执行的这一建议的唯一内容是不断更新合同管理数据库。", "84. 关于全面自动化编制财务报表的建议以及更新其检查和控制手册以改进其中的说明的建议，人居署已购置了一个新工具(Business Objects)，以减少其账目编制过程中的人工操作，目前正在部署这一新软件。对检查和控制手册的审查也已开展，手册已经更新。", "85. 关于人居署将其库存管理系统扩展到外地办事处的审计委员会建议，这一进程正在进行中，拟在2011年9月前完成。", "K. 联合国毒品和犯罪问题办公室", "86. 如图十三和表13所示，在审计委员会就联合国毒品和犯罪问题办公室2008-2009两年期账目提出的15项建议[11] (就2006-2007两年期提出19项建议)中，该办公室已执行1项(7%)，9项(60%)正在执行中，5项(33%)尚未执行。如上文第一节B所述，下文所列审计委员会建议的执行情况业经审计委员会验证。", "图十三 审计委员会就2008-2009两年期所提建议的总体执行情况：联合国毒品和犯罪问题办公室", "[]", "表13 审计委员会关于2008-2009两年期所提建议按重点领域开列的执行情况", "[TABLE]", "87. 表13反映出，与2006-2007两年期相比，建议数目有所减少。只有一项建议已得到充分执行。与上一个两年期审计委员会53%的建议得到执行的情况相比，执行率显著下降。更令人关切的是，有5项建议(33%)根本没有执行。", "88. 在五项尚未执行的建议中，三项未得到联合国毒品和犯罪问题办公室的接受。", "89. 虽然迁移到“团结”项目存在固有风险，需要规划和有管理的执行，但联合国毒品和犯罪问题办公室认为，必须在全球秘书处一级进行协调。因此，“团结”项目实施战略中列入有关计划并已获得资金，用于查明、分析和迁移目前在整个秘书处使用的1 000多个系统、独立应用程序和报告模块。“团结”项目小组已编制一个系统清单，其中包括联合国毒品和犯罪问题办公室的应用程序，目前正在分析基础数据结构。“团结”小组一直为此目的与联合国毒品和犯罪问题办公室保持联系。", "90. 联合国毒品和犯罪问题办公室了解到，“团结”项目将在完成设计和澄清推出顺序后提出一份详细的迁移计划。届时，联合国毒品和犯罪问题办公室将更清楚地知道系统退出使用和数据迁移步骤的顺序，并能够就建议采取行动。它认为，全球迁移战略是比依靠地方和不协调举措的战略好得多的办法。这种集中的办法已获大会认可。尽管如此，审计委员会仍认为，联合国毒品和犯罪问题办公室应对自己的具体需求和造成的风险进行分析，与全球秘书处一级的努力保持一致，为新的联合国“团结”系统做好准备。", "91. 联合国毒品和犯罪问题办公室没有接受关于教育补助金会计处理的建议。它指出，整个联合国的标准做法是在收到入学证明文件前将补助金作为预付款处理，而且自教育补助金方案在1976-1977年间成立以来其基本性质没有改变。联合国毒品和犯罪问题办公室的确承认，应按照公共部门会计准则下审查教育补助金的处理问题。", "92. 关于尚未执行的其余两个建议，联合国毒品和犯罪问题办公室认为，它需要等待联合国通过政策和全秘书处采用一致政策和程序。这些建议涉及在联合国毒品和犯罪问题办公室财务报表中的收入和支出报表内记录联合国经常预算，以及为服务终了和退休后负债制定供资计划。对于这两种情况，审计委员会认为，联合国毒品和犯罪问题办公室应积极与秘书处联络，以便在2010-2011两年期结束之前找到解决这些问题的方法。", "93. 审计委员会注意到，联合国毒品和犯罪问题办公室在九项(60%)建议中取得进展。然而，这些建议的情况只能在审计委员会拿到2010-2011两年期财务报表时得到验证。这些建议涉及一个国家银行账户、精算假设的披露和服务终了负债计算所用数据的准确性以及一个执行伙伴记录的预付款的差异。", "94. 联合国毒品和犯罪问题办公室还在处理其余五项执行中的建议。联合国毒品和犯罪问题办公室正在与监督厅讨论，以更新谅解备忘录，并正在实施监督厅查明的事项，目标完成日期为2011年12月。它正在寻求高级管理层的批准，以便到2011年5月正式确定它的内部控制库存程序，并且正在考虑公共部门会计准则对订正休假负债政策的影响，该政策的目标实施日期为2014年12月。", "L. 卢旺达问题国际刑事法庭", "95. 在审计委员会就联合国卢旺达问题国际刑事法庭(卢旺达问题国际法庭)2008-2009两年期账目所提的22项建议[12] (2006-2007年，8项建议)中，卢旺达问题国际法庭已执行了7项(32%)，还有14项(64%)在执行中，1项(4%)未执行。图十四和表14中所述审计委员会建议的执行情况业经审计委员会验证。", "图十四 审计委员会就2008-2009两年期所提建议总体执行情况：卢旺达问题国际刑事法庭", "[]", "表14 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时", "领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "未清债务 1 — — 1 100 — — — —", "成果预算编制 2 1 50 1 50 — — — —", "完成战略 1 — — 1 100 — — — —", "法律援助制度 1 — — 1 100 — — — —", "采购和合同管理 5 2 40 3 60 — — — —", "财产管理 2 — — 2 100 — — — —", "人力资源管理 7 4 57 2 29 1 14 — —", "信息技术 1 — — 1 100 — — — —", "内部审计职能 2 — — 2 100 — — — —", "共计 22 7 32 14 64 1 4 — —", "2006-2007年 8 — — 7 88 1 12 — —", "96. 2008-2009两年期期间，建议的数目从上一个两年期的8项增至22项。", "97. 14项建议仍在执行中，其主要原因是正在开展的工作。例如，关于未清债务的建议，卢旺达问题国际法庭表示正在每月审查一次所有的未清债务。2011年6月30日和9月30日将开展一次详细审查，以确保所有的未清债务到2011年12月31日都会有适当的有效证件支持。此外，还将把所有的未清债务分配给有关的核证人每月进行一次审查，以确保其根据联合国财务细则和财务条例仍然有效。", "98. 造成建议未能全面执行的其他原因包括使用了过时的库存管理系统，以及完成战略所导致的工作人员高更替率。例如，为了解决外地资产管制系统的缺陷和不足，卢旺达问题国际法庭表示正在改用伽利略库存管理系统。", "99. 关于对长期空缺的员额是否必要进行审查的建议仍未执行。尽管行政当局将这项建议列入已执行一类，审计委员会认为这项建议尚未执行，因为行政当局没有提供任何证明文件。审计委员会将在2010-2011两年期的期末审计中审查该事项。", "M. 起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭", "100.　在审计委员会就前南斯拉夫问题国际刑事法庭(前南问题国际法庭) 2008-2009两年期账目所提的11项建议[13] (2006-2007年，7项建议)中，前南问题国际法庭已执行了7项(64%)，还有4项(36%)在执行中。图十五和表15中所述审计委员会建议的执行情况业经审计委员会验证。", "图十五 审计委员会就2008-2009两年期所提建议总体执行情况：前南斯拉夫问题国际法庭", "[]", "表15 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "[TABLE]", "101.　如表15所示，建议的数目从2006-2007两年期的7项增至2008-2009两年期的11项。2008-2009两年期的执行率达64%，而上一个两年期仅为29%。", "102.　审计委员会认可前南问题国际法庭为执行审计委员会建议付出的努力。例如，为了执行关于通过捐赠和免费转让的方式处理非消耗性财产的建议，前南问题国际法庭与总部财产调查委员会协商制定了指定的程序。", "103.　有4项建议仍在执行中。关于驻地审计员的空缺员额问题，征聘进程业已启动，位于纽约的监督厅目前正在处理此事。剩下的3项建议涉及到成果预算编制、咨询人和个体订约人，目前正在执行过程中。审计委员会将在2010-2011两年期的期末审计中审查这些建议的执行情况。", "N. 联合国合办工作人员养恤基金", "104.　如图十六和表16所示，在审计委员会就联合国合办工作人员养恤基金(养恤基金) 2008-2009两年期账目所提的43项建议[14] (2006-2007年，27项建议)中，养恤基金已执行了17项(40%)，19项(44%)在执行中，7项(16%)尚未执行。如本报告第一节B所解释，下文所述审计委员会建议执行情况业经审计委员会验证。", "图十六 审计委员会就2008-2009两年期所提建议总体执行情况：联合国合办工作人员养恤基金", "[]", "105.　如表16所示，有4个领域表现出执行率较低的实据：财务报表事项；服务终了负债、包括离职后健康保险；非消耗性财产管理和养恤基金管理。", "表16 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "已执行 执行中 未执行 因情况变化而过时", "领域 建议数目 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "实施公共部门会计准则的进展 1 — — 1 100 — — — —", "财务报表事项 18 5 28 11 61 2 11 — —", "投资管理 4 3 75 1 25 — — — —", "服务终了负债、包括离职后健康保险 3 1 33 — — 2 67 — —", "非消耗性财产管理 2 — — 2 100 — — — —", "人力资源管理 3 2 67 1 33 — — — —", "养恤基金管理 5 2 40 1 20 2 40 — —", "养恤金的支付 1 — — 1 100 — — — —", "信息技术 6 4 67 1 17 1 16 — —", "共计 43 17 40 19 44 7 16 — —", "2006-2007年 27 11 41 11 41 4 14 1 4", "106.　如表16所示，与2006-2007两年期相比，建议的数目增多了，其主要原因是发布了经修订的审计意见。无论就全面执行的建议而言，还是就执行中的建议而言，2008-2009两年期的建议执行率都与上一个两年期基本持平。", "107.　未执行的建议之一，涉及到及时向审计委员会提交财务报表。养恤基金告知审计委员会，由于需调节养恤基金成员组织的付款并核查总账管理人送交的外部报告，它无法在3月31日最后期限按时提交报告。", "108.　另一项未执行的建议涉及实现养恤基金管理联合国大学捐赠基金的安排的正规化。投资管理处表示正在重新陈述和正式规定双方的角色和责任。", "109.　服务终了负债项下的两项未执行建议涉及到拟订一份服务终了负债的供资计划和披露精算师在服务终了负债估值过程中采用的主要精算假设。审计委员会获悉，拟订供资计划的工作现已中断，等候联合国秘书处制定一份为养恤基金的服务终了负债支付三分之一款项的计划。因此，目前不存在任何供资计划。关于披露主要精算假设的工作，养恤基金表示将在2011年12月对其服务终了负债进行一次精算估值，因此只能在两年期期末的财务报表中处理这项建议。", "110.　信息技术项下未执行的建议涉及到养恤基金需要制定和核准全面的用户账户管理程序，以确保适当管理用户账户。截至验证之日，养恤基金仍未制定用户账户管理程序。", "111.　审计委员会注意到，其大多数建议均被列为执行中，要在编写两年期期末的财务报表时才能全面执行。但是，有7项建议未执行，这表明养恤基金尚未启动执行这些建议的进程，审计委员会对此表示关切。", "O. 联合国项目事务厅", "112.　如图十七和表17所示，在审计委员会就联合国项目事务厅(项目厅)2008-2009两年期账目所提的59项建议[15] (2006-2007年，95项建议)中，项目厅已执行了39项(66%)，还有20项(34%)在执行中。如本报告第一节B所解释，下文所述审计委员会建议执行情况业经审计委员会验证。", "图十七 审计委员会就2008-2009两年期所提建议总体执行情况：联合国项目事务厅", "[]", "表17 审计委员会就2008-2009两年期所提建议按主要领域分列的执行情况", "建议数目 已执行 执行中 未执行 因情况变化而过时\n 领域 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "财务报表的披露 4 4 100 — — — — —", "基金间结余 4 2 50 2 50 — — — —", "服务终了负债,包括离职后健康保险 1 — — 1 100 — — — —", "实施国际公共部门会计准则的进展 5 0 0 5 100 — — — —", "金库管理 3 2 66 1 34 — — — —", "资产管理 10 9 90 1 10 — — — —", "人力资源管理 5 4 80 1 20 — — — —", "采购 1 1 100 — — — — — —", "信息技术 4 3 75 1 25 — — — —", "项目管理 22 14 64 8 36 — — — —", "共计 59 39 66 20 34 — — — —", "2006-2007年 95 37 39 48 51 4 4 6 6", "113. 表17显示2008-2009两年期的建议数比上一个两年期大幅增加，这表明项目厅依据审计委员会的结论意见和建议采取了必要的改正行动。执行率也从39%增长到66%。但是，与公共部门会计准则和项目管理有关的建议执行率较低。", "114. 执行中的建议与管理层的行动计划吻合。执行中的20项建议中共有5项(25%)与公共部门会计准则有关，项目厅已开始采取行动执行这些建议。其他8项建议(40%)与项目管理有关，项目厅正在根据管理层的执行目标逐步执行这些建议。", "115. 审计委员会注意到，项目厅和开发署之间加大了合作，包括将基金间结余事项提升到各自的管理层处理。因此，基金间账户的未调节差异减少了。但是，还有一些剩余的款项需要双方解决。这突出说明，开发署和项目厅必须继续携手合作，及时分析和解决这些差异。", "116. 审计委员会总体上对项目厅建议的执行率表示满意，因为其执行情况与项目厅的行动计划相符，而且其追踪和监测进展情况的进程亦已到位。", "四. 鸣谢", "117. 审计委员会感谢联合国各组织及其工作人员在审计委员会各小组编写本报告过程中给予的合作和协助。", "中华人民共和国审计长", "刘家义(签名)", "南非共和国审计长兼联合国审计委员会主席", "特伦斯·农本贝(签名)", "大不列颠及北爱尔兰联合王国主计长兼审计长", "埃米亚斯·莫尔斯(签名)", "2011年7月12日", "附录", "审计委员会就2006-2007两年期所提建议截至2009年3月31日的执行情况", "已执行 执行中 未执行 因情况变化而过时", "组织 建议数 数目 百分比 数目 百分比 数目 百分比 数目 百分比", "联合国秘书处 70 19 27 47 68 3 4 1 1", "贸发会议/世贸组织国际贸易中心 4 1 25 3 75 — — — —", "联合国大学 21 13 62 7 33 — — 1 5", "联合国开发计划署 82 33 40 49 60 — — — —", "联合国儿童基金会 42 34 81 8 19 — — — —", "联合国近东巴勒斯坦难民救济和工程处 31 15 48 16 52 — — — —", "联合国训练研究所 12 8 67 2 17 1 8 1 8", "联合国环境规划署 11 4 36 5 46 1 9 1 9", "联合国人口基金 60 44 73 15 25 1 2 — —", "联合国人类住区规划署 18 7 39 8 44 2 11 1 6", "联合国毒品和犯罪问题办事处 19 10 53 8 42 1 5 — —", "卢旺达问题国际刑事法庭 8 — — 7 88 1 12 — —", "前南斯拉夫问题国际刑事法庭 7 2 29 3 43 1 14 1 14", "联合国合办工作人员养恤基金 27 11 41 11 41 4 14 1 4", "联合国项目事务厅 95 37 39 48 51 4 4 6 6", "共计 507 238 47 237 46 19 4 13 3", "2004-2005年(百分比) 651 342 52 276 43 28 4 5 1", "2002-2003年(百分比)^(a) 509 235 46 230 45 44 9 — —", "资料来源：审计委员会关于其就2004-2005两年期和2006-2007两年期所提建议执行情况的报告(分别见A/62/120和A/64/98)。", "^(a) 审计委员会有关2002-2003两年期报告中所载建议截至2005年5月31日的执行情况(数据摘自A/60/113，附件)，显示在连续两个两年期间委员会所提建议的相对执行速度。", "[1] 见《大会正式纪录，第六十五届会议，补编第5号》(A/65/5)，第一卷，第二章。", "[2] 同上，第三卷，第二章。", "[3] 同上，第四卷，第二章。", "[4] 同上，《补编第5A号》(A/65/5/Add.1)，第二章。", "[5] 同上，《补编第5B号》(A/65/5/Add.2)，第二章。", "[6] 同上，《补编第5 C号》(A/65/5/Add.3)，第二章。", "[7] 同上，《补编第5 D号》(A/65/5/Add.4)，第二章。", "[8] 同上，《补编第5F号》(A/65/5/Add.6)，第二章。", "[9] 同上，《补编第5G号》 (A/65/5/Add.7)，第二章。", "[10] 同上，《补编第5H号》(A/65/5/Add.8)，第二章。", "[11] 同上，《补编第5I号》(A/65/5/Add.9)，第二章。", "[12] 同上，《补编第5K号》(A/65/5/Add.11)，第二章。", "[13] 同上，《补编第5L号》(A/65/5/Add.12)，第二章。", "[14] 同上，《补编第9号》(A/65/9)，第二章。", "[15] 同上，《补编第5 J号》(A/65/5/Add.10)，第二章。" ]

[ "Sixty-sixth session", "Item 132 of the preliminary list*", "Financial reports and audited financial statements, and reports of the Board of Auditors", "* A/66/50.", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the General Assembly a letter dated 12 July 2011 from the Chairman of the Board of Auditors transmitting the report of the Board on implementation of its recommendations relating to the biennium 2008-2009, submitted in accordance with General Assembly resolution 52/212 B (see annex).", "Annex", "Letter of transmittal", "12 July 2011", "I have the honour to transmit to you the report of the Board of Auditors on the status of implementation of its recommendations relating to the biennium 2008-2009.", "(Signed) Liu Jiayi Auditor-General of the People’s Republic of China Chairman, United Nations Board of Auditors", "The President of the General Assembly", "of the United Nations", "New York", "Contents", "Page\nI.Introduction 6II. Status 7 of implementation of the recommendations of the Board: overall \nobservations III. Status 11 of implementation of the recommendations of the Board, by \nentity A.United 11 \nNations B. International 13 Trade Centre \nUNCTAD/WTO C.United 15 Nations \nUniversity D.United 16 Nations Development \nProgramme E.United 19 Nations Children’s \n Fund F.United 21 Nations Relief and Works Agency for Palestine Refugees in the Near \n East G.United 24 Nations Institute for Training and \nResearch H.United 25 Nations Environment \nProgramme I.United 27 Nations Population \n Fund J.United 29 Nations Human Settlements \nProgramme K.United 31 Nations Office on Drugs and \nCrime L. International 34 Criminal Tribunal for \nRwanda M. International 36 Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law committed in the Territory of the Former Yugoslavia since \n 1991 N.United 37 Nations Joint Staff Pension \n Fund O.United 39 Nations Office for Project \nServices \nIV.Acknowledgement 41\nAppendix Statusofimplementationof 42 the recommendationsof theBoardof Auditors for the biennium2006-2007asat31March \n 2009", "Report of the Board of Auditors on the implementation of its recommendations relating to the biennium 2008-2009", "Summary", "Mandate", "The present report relates to the recommendations made by the Board of Auditors in its reports for the biennium 2008-2009 and approved by the General Assembly in paragraph 2 of its resolution 65/243. It reflects the status of implementation as at 31 March 2011 categorized as recommendations that: (a) have been implemented; (b) are under implementation; (c) have not been implemented; or (d) have been overtaken by events.", "Scope and methodology", "The report covers 15 organizations on which the Board reports on a biennial basis to the General Assembly. The report does not cover activities on which the Board reports annually, or which are not reported to the General Assembly.", "The Board validated the statistics supplied by the Administration of each entity on the status of implementation of the Board’s recommendations in cases which it was possible to do so. In other cases, the data are still to be validated within the current audit cycle.", "Overall observations", "The number of recommendations made by the Board increased from 507 to 590, or 16 per cent compared to the previous biennium.", "Implemented recommendations", "The status of implementation of the Board’s recommendations by individual organization is set out in table 2. The corresponding data as at 31 March 2009, extracted from the previous report of the Board (A/64/98), are set out in the appendix.", "Compared with the position as at 31 March 2009 when the rate of implementation for the 2006-2007 recommendations was 47 per cent, the implementation rate for the biennium 2008-2009 as at 31 March 2011 remained broadly the same, at 46 per cent.", "The Board has noted that generally the Administrations have considered the Board’s recommendations seriously and have developed a range of good practice in enhanced follow-up. The Board nevertheless encourages the Administrations to intensify their efforts to ensure a higher rate of fully implemented recommendations.", "The Board’s recommendations cover a wide variety of topics across many organizations and the rates of implementation vary at the organizational level. As such, the Board was unable to identify any patterns or trends that it could highlight.", "Partially implemented recommendations", "The implementation rate of recommendations for the biennium 2008-2009 which are under implementation remains almost the same as that of the previous biennium, a slight increase from 46 per cent to 48 per cent.", "Given that most of the entities have set target dates for the partially implemented recommendations and that some recommendations are to be systematically addressed through the implementation of the International Public Sector Accounting Standards (IPSAS), new or improved enterprise resource planning systems, or other business transformations, the Board has no major overall concern about the level of partial implementation, but does encourage entities to take action as quickly as possible on its recommendations. The Board nevertheless has identified a number of areas that some organizations could address to expedite the full implementation of the recommendations. They are set out in the relevant section of the present report.", "Recommendations not implemented", "The Board noted that 5 per cent of the recommendations made in the biennium 2008-2009 had not been implemented as at 31 March 2011, compared to 4 per cent for the previous biennium. While the Board recognizes that some entities may have valid reasons for non-implementation, there are other entities that have yet to begin the process of implementation.", "I. Introduction", "A. Mandate", "1. In its resolution 52/212 B, the General Assembly emphasized that primary managerial responsibility and accountability for the implementation of the recommendations of the Board should remain with department heads and programme managers. In the same resolution, the Assembly endorsed the proposals of the Board (A/52/753) for improving the implementation of the recommendations approved by the Assembly, subject to the provision contained in the resolution.", "2. The present report relates to recommendations made by the Board in its reports for the biennium 2008-2009 and approved by the General Assembly in paragraph 2 of its resolution 65/243. It reflects the status of implementation as at 31 March 2011 categorized as recommendations that (a) have been implemented, (b) are under implementation, (c) have not been implemented, or (d) have been overtaken by events.", "B. Scope and methodology", "3. The present report covers 15 organizations on which the Board reports on a biennial basis. Information and activities of organizations on which the Board reports annually (i.e., United Nations peacekeeping operations, the capital master plan and the Office of the United Nations High Commissioner for Refugees) are not included in the present report but appear, as in previous years, in an annex to the respective reports of the Board to the General Assembly. Similarly, activities on which reports are not submitted to the General Assembly (i.e., United Nations escrow (Iraq) accounts, United Nations Compensation Commission, United Nations Framework Convention on Climate Change, United Nations Convention to Combat Desertification and others) are not covered in the present report.", "4. The Board requested that the 15 organizations covered in the present report provide it with the status of implementation of recommendations contained in its reports on the 2008-2009 accounts, as at 31 March 2011. Whenever audit teams were present at Headquarters between 31 March 2011 and 31 May 2011 for planning missions or substantive audits, they validated the data submitted. In most other cases, if the Board determined that it would not be cost-effective to dedicate specific teams to the review and validation of the data provided, it validated the data provided by the clients through a desk review.", "5. The validation process consisted of a desk review or field audit and reviews of supporting documents to back up the assessment provided by each Administration. Whenever the evidence provided did not support the Administration’s assessment, the Board reflected its own assessment in the validated data contained in the present report.", "II. Status of implementation of the recommendations of the Board: overall observations", "Number of recommendations", "6. The number of recommendations made by the Board increased from 507 to 590, or 16 per cent compared to the previous biennium (table 1). The number of recommendations issued is a function of both the management issues identified as well as the audit approach and focus. The latter in particular can be variable over time since audit focus areas are subject to annual change in response to the Board’s risk assessments and other factors. An increase in the number of recommendations is therefore not necessarily a reflection of a trend of weakening management or control, nor does it take account of the relative importance of individual recommendations, which again varies over time and across organizations.", "Table 1 Number of recommendations issued by the Board of Auditors for the bienniums 2000-2001 to 2008-2009", "Number of Percentage recommendations increase (2006-2007 to 2008-2009)\n 2000-2001 2002-2003 2004-2005 2006-2007 2008-2009", "Total 335 509 651^(a) 507 590 16", "^(a) Recommendations made in relation to the United Nations Office for Project Services, which were reflected in data for previous bienniums, have been excluded owing to the fact that, at the time of preparing the 2004-2005 status of recommendations, the audit had not been completed and thus the status of the recommendations could not be determined.", "Implemented recommendations", "7. The status of implementation of the Board’s recommendations by individual organization is set out in table 2. The corresponding data as at 31 March 2009, extracted from the previous report of the Board (A/64/98), is set out in the appendix to the present report.", "8. Compared with the position at March 2009 (47 per cent) the level of implementation at March 2011 (46 per cent) remained broadly the same, with no particular trend evident (figure I).", "Figure I Comparison of the overall status of implementation of the recommendations of the Board for the biennium 2008-2009 as at 31 March 2011 and for the biennium 2006-2007 as at 31 March 2009", "[]", "9. The Board has noted that generally the Administrations have considered its recommendations seriously and have developed a range of good practice in enhanced follow-up. The Board nevertheless encourages those Administrations to intensify their efforts to ensure a higher rate of fully implemented recommendations.", "10. Examples of enhanced follow-up of the Board’s recommendations include:", "(a) Senior management teams using the Board’s report and recommendations to determine areas for priority action and monitoring as part of their ongoing corporate reporting arrangements;", "(b) Identification of the root causes of recurring audit observations and development of appropriate action plans to address them;", "(c) Improvement in areas requiring inter-agency cooperation and joint efforts to address issues that pertain to more than one organization;", "(d) Establishment of clear target dates and completion standards for the implementation of the Board’s recommendations to ensure that the implementation status can be easily monitored;", "(e) Validation and related tracking by internal auditors to provide assurance to senior management teams that the Board’s recommendations are being implemented in a meaningful and timely way.", "11. The Board’s recommendations cover a wide variety of topics across many organizations and the rates of implementation vary at the organizational level. Given the range of topics covered, the Board could not discern any meaningful patterns or trends that would merit comment. The Board does comment on individual organizations in section III below.", "Partially implemented recommendations", "12. The implementation rate of recommendations for biennium 2008-2009 which are under implementation remains almost the same as that of the previous biennium, a slight increase from 46 per cent to 48 per cent.", "13. Given that most of the entities have set target dates for the partially implemented recommendations and that some recommendations are systematically being addressed through the implementation of the International Public Sector Accounting Standards (IPSAS), new or improved enterprise resource planning systems, or other business transformations, the Board has no major overall concern about the level of partially implemented recommendations; but does encourage entities to take action as quickly as possible on its recommendations. The Board did identify areas for some organizations to address, in particular:", "• The need to establish a dedicated follow-up mechanism or function;", "• The failure to address the root causes of the problem identified by the Board, where in effect the action being taken is simply a stopgap. For example, the Board in previous years had recommended across many of the organizations the need to improve the management of non-expendable property; however, it is concerned that in many cases the Administration only issued the guidance to field offices without monitoring and necessary follow-up, which actually does not address the root causes of the problem.", "Recommendations not implemented", "14. In paragraph 2 of its resolution 65/243, the General Assembly approved the recommendations made by the Board with regard to 2008-2009. The Board noted that 5 per cent of those recommendations had not been implemented as at 31 March 2011 (figure II) compared to 4 per cent for the previous biennium.", "Figure II Overall status of implementation of the recommendations of the Board for the biennium 2008-2009 as at 31 March 2011", "[]", "15. The reasons for non-implementation vary and are commented upon in detail at the entity level in section III. While the Board recognizes that some entities may have valid reasons in some cases for non-implementation, there are other entities that have not yet begun the process of implementation.", "Table 2 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009 as at 31 March 2011", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Organization Number Percentage Number Percentage Number Percentage Number Percentage", "United Nations 72 29 40 37 51 4 6 2 3 Secretariat", "International 9 1 11 8 89 — — — — Trade Centre UNCTAD/WTO", "United Nations 16 4 25 9 56 3 19 — — University", "United Nations 89 46 52 43 48 — — — — Development Programme", "United Nations 50 6 12 42 84 2 4 0 Children’s Fund", "United Nations 61 31 51 25 41 4 7 1 1 Relief and Works Agency for Palestine Refugees in the Near East", "United Nations 5 3 60 2 40 — — — — Institute for Training and Research", "United Nations 26 10 38 13 50 3 12 — — Environment Programme", "United Nations 93 61 66 31 33 1 1 — — Population Fund", "United Nations 19 10 53 7 37 2 11 — — Human Settlements Programme", "United Nations 15 1 7 9 60 5 33 — — Office on Drugs and Crime", "International 22 7 32 14 64 1 5 — — Criminal Tribunal for Rwanda", "International 11 7 64 4 36 — — — — Tribunal for the Former Yugoslavia", "United Nations 43 17 40 19 44 7 16 — — Joint Staff Pension Fund", "United Nations 59 39 66 20 34 — — — — Office for Project Services", "Total 590 272 46 283 48 32 5 3 1", "2006-2007 507 238 47 237 46 19 4 13 3 (percentage)", "2004-2005 651 342 52 276 43 28 4 5 1 (percentage)^(a)", "^(a) Status of implementation for the biennium 2004-2005 as at 31 May 2007 (data extracted from A/62/120, annex). Provides an indication of the relative pace of implementation of the Board’s recommendations over three successive bienniums. Excludes 43 recommendations made with regard to the United Nations Office for Project Services.", "III. Status of implementation of the recommendations of the Board, by entity", "A. United Nations", "16. Of the 72 recommendations made by the Board with respect to the accounts of the United Nations for the biennium 2008-2009[1] (for 2006-2007, 70 recommendations), the United Nations had implemented 29 (40 per cent), 37 (51 per cent) were under implementation, two (3 per cent) were overtaken by events, and four (6 per cent) were not accepted, as shown in figure III and table 3. Of the 72 recommendations, one was addressed to the International Civil Service Commission, which does not fall under the purview of the Secretariat; the recommendation was nevertheless implemented. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B above.", "Figure III Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations", "[]", "Table 3", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Presentation and 1 — — 1 100 — — — — disclosure of financial statements", "Statement of income 5 1 20 3 60 — — 1 20 and expenditure", "Technical 7 1 14 4 57 2 29 — — cooperation activities", "Progress made 2 — — — — 1 50 1 50 towards the implementation of the International Public Sector Accounting Standards", "General trust funds 1 — — 1 100 — — — —", "Other special funds 1 — — 1 100 — — — —", "Inter-organization 2 — — 2 100 — — — — balance", "End-of-service 1 — — 1 100 — — — — liabilities", "Results-based 7 7 100 — — — — — — management/ budgeting", "Treasury management 4 4 100 — — — — — —", "Programme and 11 5 45 5 45 1 9 — — project management", "Procurement and 4 1 25 3 75 — — — — contract management", "Non-expendable 6 5 83 1 17 — — — — property management", "Human resources 9 1 11 8 89 — — — — management", "Consultants, experts 2 1 50 1 50 — — — — and temporary assistance", "Information 4 1 25 3 75 — — — — technology", "Internal audit 2 1 50 1 50 — — — —", "Transportation and 1 — — 1 100 — — — — travel management", "Inter-agency 2 1 50 1 50 — — — — coordination", "Total 72 29 40 37 51 4 6 2 3", "2006-2007 70 19 27 47 68 3 4 1 1", "17. Table 3 shows that the level of implementation in the biennium 2008-2009 (40 per cent) represented an increased rate of implementation compared to 2006-2007 (27 per cent). The Board is encouraged by this trend. The Board notes that at the time of this report, the level of implementation of the 2006-2007 recommendations had increased to 74 per cent.", "18. The full implementation of 7 (19 per cent) of the 37 recommendations for 2008-2009 which were under implementation is contingent upon wider change programmes within the United Nations, specifically the implementation of IPSAS and the completion of the Umoja project.", "19. Of the 37 recommendations for 2008-2009 which were under implementation, 27 have a target implementation date before July 2012, when the Board will provide a further update on their implementation in the context of its volume I report for the 2010-2011 biennium. If all are implemented on target, the implementation rate will rise to 78 per cent.", "20. Although the General Assembly approved the recommendations and conclusions contained in the reports of the Board of Auditors, nevertheless four recommendations were not accepted, or were only partially accepted, by the Administration.", "21. The first recommendation which was not accepted by the Administration relates to ensuring that all offices away from Headquarters and commissions strengthen their preparation for the implementation of IPSAS in liaison with the Headquarters. The Administration noted that, although preliminary discussions for plans were under way, a detailed plan for implementation by offices away from Headquarters and Commissions could be drawn up only in the overall context of the implementation strategy that is dependent upon the Umoja roll-out strategy. For this reason, they assert that it will necessarily be a centrally planned exercise, and any isolated and uncoordinated effort by the offices away from Headquarters and Commissions would be redundant. The Administration stated that once detailed plans are drawn up, the offices away from Headquarters and Commissions shall be fully engaged. The Board is not fully convinced by this explanation, but does recognize that there are clear interdependencies between planning at Headquarters and the ability of the offices away from Headquarters and Commissions to move forward. The Board will return to this issue as part of the preparation of its report on United Nations volume I for 2012.", "22. The second recommendation not accepted relates to rendering the preparation of the financial statements on technical cooperation less cumbersome and more easily auditable. The Board will reappraise the process, taking into account the Administration’s comments, in its audit of the 2010-2011 financial statements and make a new recommendation if considered necessary.", "23. The third unaccepted recommendation relates to the United Nations Assistance to the Khmer Rouge Trials review of its estimation methodology for preparing its future budgets with a view to better taking into account the actual implementation of previous budgets. Although noted that future budgets submitted for donor approval should forecast all anticipated resources, the Administration considered that past expenditures are not reflective of future requirements and that a forward-looking budget based on need ensures that budgetary approval is secured at the outset of the budget period, thereby eliminating the need for ad hoc requests for budgetary increases. The Board maintains that previous rates of budget implementation, which are an indicator of the Administration’s ability to utilize the resources, should be taken into account when estimating the amount of work which is likely to be completed in a future period and hence the level of resources which should be requested.", "24. The fourth recommendation not accepted relates to ensuring that the Department of Economic and Social Affairs plan for mandatory documents aimed at the general public is the subject of an evaluation of results. The Administration noted that evaluation was conducted through a variety of means, including feedback from members of the United Nations Executive Committee on Economic and Social Affairs, media coverage with partners in the Department of Public Information, sales figures and internal discussions. The Administration noted further that publications aimed at the general public are not subsidized, and are decided by external publishers. It was further noted that a differential pricing policy ensures that books are affordable in developing countries and that no systematic evaluation is conducted, since there is no money for it in the publication programme.", "B. International Trade Centre UNCTAD/WTO", "25. Of the nine recommendations made by the Board with respect to the accounts of the International Trade Centre UNCTAD/WTO (ITC) for the biennium 2008-2009[2] (for 2006-2007, four recommendations), the ITC had implemented one (11 per cent) and eight (89 per cent) were under implementation, as shown in figure IV and table 4. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B above.", "[]Figure IV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: International Trade Centre UNCTAD/WTO", "Table 4", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Statement of 1 — — 1 100 — — — — income and expenditure", "Statements of 1 1 100 — — — — — — assets, liabilities, reserves and fund balances", "Technical 1 — — 1 100 — — — — cooperation activities", "Progress made 1 — — 1 100 — — — — towards the implementation of the International Public Sector Accounting Standards", "End-of-service 2 — — 2 100 — — — — liabilities, including after-health insurance", "Results-based 2 — — 2 100 — — — — management/ budgeting", "Non-expendable 1 — — 1 100 — — — — property", "Total 9 1 11 8 89 — — — —", "2006-2007 4 1 25 3 75 — — — —", "26. Eight recommendations remain under implementation. For three of them, the full implementation relates to the wider adoption of IPSAS within the United Nations and harmonization of accounting policies (i.e., the treatment of end-of-service liabilities, including after-service health insurance, and valuation of leave liabilities).", "27. With regard to the recommendation to increase the level of the operating reserve under technical cooperation trust funds from 7 to 15 per cent, ITC reported that it had increased the level to 10.7 per cent as at 31 December 2010, which represents some progress. The Board will validate progress against this recommendation when the next biennial financial statements are presented. ITC indicated that it would implement the remaining four recommendations in 2011.", "C. United Nations University", "28. Of the 16 recommendations made by the Board with respect to the accounts of the United Nations University (UNU) for the biennium 2008-2009[3] (for 2006-2007, 21 recommendations), UNU had implemented 4 (25 per cent), 9 (56 per cent) were under implementation, and 3 (19 per cent) were not implemented. The status of implementation of the Board’s recommendations presented in figure V and table 5 was validated by the Board, as explained in section I.B above.", "[]Figure V Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations University", "Table 5 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by focus area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Financial overview 2 — — 1 50 1 50 — —", "End-of-service 2 — — 2 100 — — — — liabilities, including after-service health insurance", "Programme and project 4 — — 3 75 1 25 — — management", "Procurement and 4 2 50 2 50 — — — — contract management", "Non-expendable 1 1 100 — — — — — — property management", "Consultants, experts 1 1 100 — — — — — — and temporary assistance", "Transportation and 1 — — 1 100 — — — — travel management", "Internal audit 1 — — — — 1 100 — — function", "Total 16 4 25 9 56 3 19 0 0", "2006-2007 21 13 62 7 33 — — 1 5", "29. Of the nine recommendations under implementation, three recommendations relating to the equity investment in the Endowment Fund as well as end-of-service liabilities are in the process of discussion or consultation with the United Nations Secretariat, while two recommendations concerning the review of the project management manual were also being addressed by the Directors of the Institutes.", "30. Of the three recommendations not implemented, one relates to UNU disclosing in a separate note the reason for the change in policy about the transfer from reserves and fund balances to income. Although the General Assembly had endorsed the Board’s recommendation, the Administration did not accept it because in its view, footnote (c) of the statement of income and expenditures had adequately disclosed necessary information.", "31. The second unimplemented recommendation relates to the wider use of languages to disseminate project outputs. The University indicated that currently there was no budget for the translation and that the recommendation could not be implemented without additional funding.", "32. The third unimplemented recommendation relates to coordination with the Office of Internal Oversight Services to expedite the funding agreement for the provision of internal audit services to UNU. The University indicated that it was waiting for OIOS to finalize the funding agreement. The Board will review these matters in the final audit for biennium 2010-2011.", "D. United Nations Development Programme", "33. Of the 89 (2006-2007: 82) recommendations made by the Board with respect to the accounts of the United Nations Development Programme (UNDP) for the biennium 2008-2009,[4] UNDP implemented 46 (52 per cent), while 43 (48 per cent) were under implementation as shown in figure VI and table 6. The status of implementation of the recommendations was validated by the Board, as explained in the scope and methodology section of the introduction to the present report, section I.B.", "Figure VI Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Development Programme", "[]", "34. Three areas showed evidence of a relatively low implementation rate: financial statement matters; end-of-service and post retirement benefits; and asset management as shown in table 6.", "Table 6 Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust area", "Number of Implemented Under recommendations implementation\n Area Number Percentage Number Percentage", "Financial 10 2 20 8 80 statements matters", "Capital assets 1 — 1 100 and work in progress", "General and 3 1 33 2 67 related trust funds", "End-of-service 5 — — 5 100 and post-retirement benefits", "Progress towards 1 — — 1 100 implementation of IPSAS", "Results-based 2 — — 2 100 management", "Treasury 1 1 100 — — management, including bank and cash", "Procurement and 7 5 71 2 29 contract management", "Asset management 5 — — 5 100", "Human resources 7 5 71 2 29 management", "Consultants, 2 2 100 — — experts and temporary assistance", "Information 9 8 89 1 11 technology", "Inter-fund 2 — — 2 100 balances", "Transportation 2 1 50 1 50 and travel management", "Enterprise 1 1 100 — — resource planning implementation", "Programme 7 7 100 — — expenditure", "Programme and 2 — — 2 100 project management", "Multi-donor trust 5 3 60 2 40 funds", "Common services 1 1 100 — —", "Safety and 1 1 100 — — security", "United Nations 3 2 67 1 33 Fund for Women", "United Nations 3 2 67 1 33 Capital Development Fund", "Harmonized 2 — — 2 100 Approach to Cash Transfer", "Regional centre 4 2 50 2 50 functional alignment", "Internal 3 2 67 1 33 oversight", "Total 89 46 52 43 48", "2006-2007 82 33 40 49 60", "35. Table 6 above reflects a slight increase in the number of recommendations, from 82 recommendations for the biennium 2006-2007 to 89 for the biennium 2008-2009. The rate of implementation also increased from 40 per cent in 2006-2007 to 52 per cent in 2008-2009, while the rate of recommendations under implementation decreased, from 60 per cent to 48 per cent.", "36. The Board noted that most of the recommendations under implementation were, according to management timelines, on target for full implementation at respective dates. The target implementation target dates ranged from the second quarter of 2011 to first quarter of 2012. UNDP informed the Board that several policy-related recommendations are expected to be closed with IPSAS implementation in January 2012, and most financial statements-related recommendations would be implemented at the end of the biennium 2010-2011 when the financial statements are prepared.", "37. The Board is generally satisfied with the status of implementation. Most of the recommendations under implementation were on target in accordance with management’s implementation target dates. The Board also noted that an adequate tracking mechanism was in place, and that that was important for full implementation of recommendations.", "38. The Board commends the efforts instituted by UNDP to track its recommendations. UNDP enhanced its audit tracking database by introducing a real-time web-based tracking database which allows the responsible section head to upload information and documents to support the changes made to the status of implementation at a database. Once amendments are made, this will automatically send an alert message to the internal auditors that the status has been updated, allowing the auditor to review the supporting documents and reassess the status accordingly. The responsible section head is also alerted to the changes made by the internal auditors. This process will allow for an audit trail to be maintained on how the recommendation was implemented.", "E. United Nations Children’s Fund", "39. Of the 50 (2006-2007: 42) recommendations made by the Board with respect to the accounts of the United Nations Children’s Fund (UNICEF) for the biennium 2008-2009,[5] UNICEF implemented 6 (12 per cent), while 42 (84 per cent) were under implementation and 2 (4 per cent) were not implemented, as shown in figure VII and table 7. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B of the present report.", "Figure VII Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Children’s Fund", "[]", "40. Six areas showed evidence of a relatively low implementation rate: financial statement matters, end-of-service liabilities, including after-service health insurance, results-based management/budgeting, cash transfers, procurement and contract management, and consultants, experts and temporary assistance, as shown in table 7.", "Table 7 Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust areas", "Area Number of Implemented Under Not recommendations implementation implemented\n Number Percentage Number Percentage Number Percentage", "Progress towards IPSAS 1 1 100 — — — — implementation", "Statement of income and 5 — — 5 100 — — expenditure", "Statement of assets, 2 — — 2 100 — — liabilities and reserves and fund balances", "End-of-service liabilities, 4 — — 3 75 1 25 including after-service health insurance", "Results-based 3 — — 3 100 — — management/budgeting", "Cash transfers 3 — — 3 100 — —", "Programme and project 6 — — 6 100 — — management", "Procurement and contract 4 — — 3 75 1 25 management", "Non-expendable property 2 1 50 1 50 — — management", "Inventory management 3 2 67 1 33 — —", "Human resources management 3 1 33 2 67 — —", "Consultants, experts and 2 — — 2 100 — — temporary assistance", "Information technology 2 — — 2 100 — —", "Enterprise resource 1 — — 1 100 — — planning systems", "Internal audit function 1 — — 1 100 — —", "Revenue-producing 6 1 17 5 83 — — activities", "Travel management 2 — — 2 100 — —", "Total 50 6 12 42 84 2 4", "2006-2007 42 34 81 8 19 — —", "41. Table 7 reflects an increase in the number of recommendations compared with the biennium 2006-2007. The rate of implementation decreased significantly from 81 per cent in the biennium 2006-2007 to 12 per cent in the biennium 2008-2009, while the rate of recommendations under implementation was significantly increased, from 19 per cent to 84 per cent.", "42. For the 42 recommendations under implementation, the Board noted that the status was due mainly to the fact that many recommendations relate to the implementation of IPSAS. UNICEF informed the Board that these recommendations would be addressed as part of the adoption of IPSAS in 2012, together with the adoption of the new accounting policies, financial rules and regulations as well as the VISION enterprise resource planning system. The Board recognizes that only until all field visit audits planned for the biennium 2010-2011 have been conducted, can it make a full assessment of the status of the 2008-2009 recommendations which are classified as under implementation. The Board will review the status of these recommendations in its final audit for the biennium 2010-2011.", "43. The Board noted the efforts made by UNICEF to review its accounting policies and update the Financial Rules and Regulations, Programme Policies and Procedures Manual, as well as the Supply Division Procedure. It also noted that UNICEF had updated the training and communication plans based on the revised timeline for IPSAS adoption. The Board encourages UNICEF to take more measures to make full use of the benefits brought by the implementation of IPSAS to achieve good value for money.", "44. There were two recommendations for the biennium 2008-2009 that were not implemented. The first one was about the revision of UNICEF’s policy for the valuation of leave liability. UNICEF informed the Board that the valuation used as at 31 December 2009 was in compliance with the United Nations system of accounting standards and is a United Nations system-wide issue that is currently under discussion with the Board and all United Nations agencies.", "45. The second unimplemented recommendation relates to the penalty clause in purchase orders for late delivery. UNICEF indicated that the liquidated damage claim was optional in the Supply Manual. Notwithstanding that, the Board is of the view that penalties for late delivery of goods and services are in the best interest of the organization. The Board will revert to these two matters in the context of the next audit of UNICEF.", "F. United Nations Relief and Works Agency for Palestine Refugees in the Near East", "46. Of the 61 (2006-2007: 31) recommendations made by the Board with respect to the accounts of the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) for the biennium 2008-2009,[6] UNRWA implemented 31 (51 per cent), while 25 (41 per cent) were under implementation, 4 (7 per cent) were not implemented and 1 (1 per cent) has been overtaken by events as shown in figure VIII and table 8. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B above.", "47. The number of recommendations has increased from 31 to 61, owing in part to the issuance of a modified opinion for the biennium 2008-2009.", "Figure VIII Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Relief and Works Agency for Palestine Refugees in the Near East", "[]", "48. Four areas showed evidence of a relatively low implementation rate: programme and project management; non-expendable property management; information technology; and internal audit function, as shown in table 8. These areas made up 27 of the 61 recommendations, and 18 of the recommendations were under implementation.", "49. In respect of recommendations relating to project management, UNRWA informed the Board that it was developing a project management handbook, which would cover the management of all projects, setting out the responsibilities of all role players as well as the competencies and training required.", "50. Regarding recommendations relating to non-expendable property management, UNRWA informed the Board that as part of the IPSAS implementation process, it was in the process of performing physical verification of its assets and valuations of its land buildings to update its fixed asset register.", "Table 8 Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust areas", "Area Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Number Percentage Number Percentage Number Percentage Number Percentage", "Progress towards the 2 2 100 — — — — — — implementation of IPSAS", "Financial statement 13 10 76 1 8 1 8 1 8 matters", "Capital assets and 2 1 50 1 50 — — construction work in progress", "End-of-service 1 — — — — 1 100 — — liabilities, including after- service health insurance", "Treasury management 1 1 100 — — — — — —", "Programme and project 4 — — 4 100 — — — — management", "Procurement and 4 3 75 1 25 — — — — contract management", "Non-expendable 4 — — 4 100 — — — — property management", "Expendable property 2 — — 2 100 — — — — management", "Human resources 7 6 86 1 14 — — — — management", "Organizational 2 1 50 1 50 — — — — environment and controls", "Information technology 10 6 60 3 30 1 10 — —", "Internal audit 9 1 11 7 78 1 11 — — function", "Total 61 31 51 25 41 4 7 1 1", "2006-2007 31 15 48 16 52 — — — —", "51. With respect to recommendations relating to information technology, UNRWA informed the Board that it was in the process of drafting its Disaster Recovery Plan to establish a specific arrangement for recovery of critical operational systems, and that it was in the process of recruiting more resources to assist with strengthening the information technology department.", "52. In respect of recommendations relating to internal audit function, the UNRWA Division of Internal Oversight Service informed the Board that it was in the process of seeking more resources in order to be able to execute its functions more effectively. The Board is aware that the position of Head of Internal Audit has changed since the Board’s report, which has impacted on the implementation of the recommendations.", "53. Four recommendations have not been implemented. The first one relates to advance payments made to suppliers which were disclosed as prepayment under current assets in the balance sheet and were also included in the accounts payable note in the financial statements. UNRWA informed the Board that advance payments were included in accounts payable to track inventory in transit. The Board is of the view that the disclosure is misleading and urges UNRWA to correctly disclose the effects of the transactions that have occurred.", "54. The second recommendation which was not implemented relates to repatriation grant and leave pay encashment liabilities that were not recorded in the financial statements, while the information had been disclosed in the notes to the financial statements in the biennium 2006-2007. While the liabilities for international staff are borne by the United Nations, the Board is aware that the UNRWA international staff includes staff members employed for project activities. Their respective costs are borne by UNRWA, which will have to estimate these costs and reflect them in the financial statements.", "55. The third recommendation relates to the fact that the UNRWA Advisory Committee on Internal Oversight did not review the financial statements as required under the Organizational Directive. The UNRWA Division of Internal Oversight Service informed the Board that the Advisory Committee would consider reviewing the financial statements for the next biennium.", "56. The fourth recommendation not implemented relates to lack of segregation of duties of the enterprise system administrator and the database administrator. UNRWA informed the Board that it was in the process of obtaining additional resources and had instituted interim measures to achieve segregation; however, the Board is of the view that the interim measures were not sufficient and as such the recommendation is classified as not implemented.", "57. The one recommendation overtaken by events relates to the disclosure of inventory accounting policy. UNRWA explained that the inventory accounting policy would be addressed with the implementation of IPSAS.", "58. The Board is generally satisfied with the overall status of the United Nations Relief and Works Agency for Palestine Refugees in the Near East implementation of its recommendations as the majority of the recommendations that are under implementation are on target in accordance with the UNRWA implementation plan and some will be addressed with IPSAS implementation. The Board is, however, concerned about the four recommendations that were not implemented, which indicate that management had not started the process of implementation of those recommendations.", "G. United Nations Institute for Training and Research", "59. Of the five (2006-2007: 12) recommendations made by the Board with respect to the accounts of the United Nations Institute for Training and Research (UNITAR) for the biennium 2008-2009,[7] UNITAR implemented three (60 per cent), while two (40 per cent) were under implementation. The status of implementation of the Board’s recommendations presented in figure IX and table 9 below was validated by the Board, as explained in section I.B above.", "Figure IX", "[]Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Institute for Training and Research", "Table 9", "Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust area", "Area Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Number Percentage Number Percentage Number Percentage Number Percentage", "End-of-service 1 — — 1 100 — — — — liabilities, including after-service health insurance", "Results-based 1 1 100 — — — — management/ budgeting", "Procurement and 2 1 50 1 50 — — — — contract management", "Internal audit 1 1 100 — — — — — — function", "Total 5 3 60 2 40 — — — —", "2006-2007 12 8 67 2 17 1 8 1 8", "60. The relatively low rate of implementation compared to 2006-2007 can be attributed to the nature of the issues which has to be dealt with by United Nations Headquarters in New York and the United Nations Office in Geneva.", "61. With regard to the two recommendations under implementation, the first relates to end-of-service liabilities. The Administration stated that it had referred the issue to the United Nations Controller for the appropriate action, as it is a matter of accounting policy. The financial statements of the Institute are prepared by the United Nations Controller.", "62. The second recommendation under implementation relates to procurement and contract management. The Administration indicated that it was negotiating with the United Nations Office at Geneva to determine the additional finance and budget functions that will be transferred to UNITAR. Following the conclusion of this exercise, the memorandum of service agreement will be updated.", "H. United Nations Environment Programme", "63. Of the 26 recommendations made by the Board with respect to the accounts of the United Nations Environment Programme (UNEP) for the biennium 2008-2009[8] (for 2006-2007, 11 recommendations), UNEP had implemented 10 (38 per cent), 13 (50 per cent) were under implementation, and three (12 per cent) had not been implemented, as shown in figure X and table 10.", "64. Of the 26 recommendations, none were addressed directly to the UNEP Division of the Global Environment Facility (GEF) which at the time was a stand-alone division with secondary reporting lines to GEF Trustees on fiduciary discharge. The status of implementation of the Board’s recommendation presented below was validated by the Board, as explained in section I.B above.", "Figure X", "Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Environment Programme", "[]", "Table 10", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Financial 12 4 33 5 42 3 25 — — management and reporting", "Reporting for 4 1 25 3 75 — — — — multilateral environmental agreements", "Arrangements with 1 1 100 — — — — — — United Nations Office at Nairobi", "Progress made 1 — — 1 100 — — — — towards the implementation of the International Public Sector Accounting Standards", "Enterprise 2 1 50 1 50 — — — — resource planning system", "Procurement and 2 1 50 1 50 — — — — contract management", "Performance 1 — — 1 100 — — — — monitoring", "Information and 1 1 100 — — — — — — communications technology", "Internal audit 1 1 100 — — — — — —", "Cases of fraud 1 — — 1 100 — — — — and presumptive fraud", "Total 26 10 38 13 50 3 12 — —", "2006-2007 11 4 36 5 46 1 9 1 9", "65. Table 10 shows minimal changes in the rate of implementation of the Board’s recommendations. The percentage of recommendations that were fully and partially implemented has remained almost the same in comparison with the previous biennium, despite a doubling in the number of recommendations for 2008-2009 compared with 2006-2007.", "66. There are 13 recommendations under implementation. For five of them, which were made in respect of Financial management and reporting, UNEP indicated that these would be addressed fully within the financial statements for the biennium ending 31 December 2011.", "67. For three recommendations outside the financial management and reporting area, which are under implementation, they are contingent on the pace of UNEP transition to IPSAS, and on the appropriate functionalities being built into the new enterprise resource planning.", "68. For the recommendation relevant to the Umoja project that UNEP add a field into its current financial information management system (IMIS), to enable the recording of contract numbers for goods and services that are procured, the Board understands from UNEP that in anticipation of the transition to Umoja, there is currently a moratorium on making enhancements to IMIS, and that so far the only element of this recommendation that UNEP has been able to take forward is the recommendation to keep the contract management database up to date.", "69. The remaining four recommendations under implementation relate to the legal situation and disclosure approach of the Multilateral Fund; the control over and disclosure of the Multilateral Environmental Agreements; closure of the Trust Fund for the establishment of the interim secretariat of the Biological Diversity Convention; and documentary evidence for all indicators of achievement. UNEP indicated that work on those recommendations remained ongoing.", "70. There are three recommendations not implemented, as they were dependent on policy changes that were required to be made at the Controller’s Office at United Nations Headquarters, and the subsequent issuance of instructions.", "I. United Nations Population Fund", "71. Of the 93 (2006-2007: 60) recommendations made by the Board with respect to the accounts of the United Nations Population Fund (UNFPA) for the biennium 2008-2009,[9] UNFPA implemented 61 (66 per cent), while 31 (33 per cent) were under implementation and 1 (1 per cent) was not implemented, as shown in figure XI. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B of the present report.", "72. The number of recommendations increased from 60 to 93, due in part to the issuance of a modified audit opinion for the biennium 2008-2009.", "Figure XI", "Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Population Fund", "[]", "73. UNFPA showed a slightly lower overall rate of implementation compared with the previous biennium, in relation to the following areas: financial statement matters; programme and project management, including the national execution modality (NEX); and the Procurement Services Branch, as shown in table 11.", "Table 11", "Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not recommendations implementation implemented\n Area Number Percentage Number Percentage Number Percentage", "Progress towards the 3 2 67 1 33 — — implementation of IPSAS", "Financial statement 8 5 63 3 37 — — matters", "General Trust funds 3 2 67 1 33 — —", "End-of-service 3 1 33 1 33 1 34 liabilities, including after-service health insurance", "Results-based 1 1 100 — — — — management", "Treasury management 5 5 100 — — — —", "Programme and project 21 13 62 8 38 — — management, including NEX", "Procurement and 9 7 78 2 22 — — contract management", "Non-expendable 7 7 100 — — — — property management", "Expendable property 2 — — 2 100 — — management", "Human resource 5 2 40 3 60 — — management", "Consultants, experts 2 1 50 1 50 — — and temporary assistance", "Procurement Services 17 10 59 7 41 — — Branch", "Internal audit 2 2 100 — — — — function", "Transportation and 3 1 33 2 67 — — travel management", "Inter-agency 2 2 100 — — — — coordination", "Total 93 61 66 31 33 1 1", "2006-2007 60 44 73 15 25 1 2", "74. The only recommendation that was not implemented relates to the accuracy, validity and completeness of census data provided by UNFPA to the actuary for the computation of end-of-service liabilities. That recommendation can be implemented only when the next actuarial valuation is performed, which is scheduled for December 2011.", "75. Programme and project management, including NEX, made up the highest number of recommendations (21 recommendations). The Board acknowledges the efforts employed by management in addressing those recommendations, which resulted in 62 per cent of the 21 recommendations being classified as implemented. This is a good indication that UNFPA has implemented adequate processes to address the initial stages of the NEX process. The remaining recommendations can be implemented only when the NEX cycle is complete. The Board encourages management to keep these matters under review to ensure that the improved processes and controls are sustained in order for the results of NEX reports to be adequately managed.", "76. UNFPA informed the Board that the majority of recommendations under implementation relate to ongoing processes and that they were on track in accordance with management’s action plans. The Board noted that some recommendations that were under implementation relate to processes that had already been implemented by UNFPA. The Board, however, could not validate the new processes or system as they required an extensive or substantive audit to assess the adequacy of measures employed by management. This affected two recommendations relating to NEX; three recommendations relating to leave management; and one recommendation relating to the Procurement Services Branch.", "77. The Board is generally satisfied with the progress made by UNFPA given that the implementation was on target in accordance with the management action plans. The Board acknowledges that certain recommendations can only be fully implemented with preparation of the biennium-end financial statements and encourages management to keep these matters under review.", "J. United Nations Human Settlements Programme", "78. Of the 19 recommendations made by the Board with respect to the accounts of the United Nations Human Settlements Programme (UN-Habitat) for the biennium 2008-2009[10] (for 2006-2007, 18 recommendations), UN-Habitat had implemented 10 (53 per cent), 7 (37 per cent) were under implementation, and 2 (10 per cent) had not been implemented, as shown in figure XII and table 12.", "79. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B above.", "Figure XII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Human Settlements Programme", "[]", "Table 12 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Financial management 10 5 50 3 30 2 20 — — and reporting", "Progress made towards 1 — — 1 100 — — — — the implementation of the International Public Sector Accounting Standards", "Enterprise resource 2 — — 2 100 — — — — planning system", "Procurement and 3 2 67 1 33 — — — — contract management", "Performance 1 1 100 — — — — — — monitoring", "Information and 1 1 100 — — — — — — communications technology", "Internal audit 1 1 100 — — — — — —", "Total 19 10 53 7 37 2 10 — —", "2006-2007 18 7 39 8 44 2 11 1 6", "80. Table 12 indicates a slight increase in the percentage of recommendations that were fully implemented, and this is in line with the small reduction of recommendations under implementation. Also, the volume of recommendations made in comparison with 2006-2007 has remained at the same level.", "81. The Board noted that the majority of recommendations were made in respect of Financial management and reporting. Half of the recommendations made in this area were fully implemented, while the remainder were either not implemented or were under implementation. Of the five recommendations not fully implemented or not implemented at all, three are dependent on policy changes required to be made at United Nations Headquarters, and the subsequent issuance of instructions.", "82. Three of the remaining four recommendations that are not fully implemented are contingent on the pace of the transition to IPSAS, and on the appropriate functionalities being built into the new enterprise resource planning system. UN‑Habitat stated that it was working closely with the United Nations Office at Nairobi, its accounting service provider, and with the IPSAS/Umoja teams, to ensure its requirements for the implementation of these recommendations are captured in the process of configuring and rolling out the new enterprise resource planning. In advance, however, of the new enterprise resource planning system being rolled out, UN‑Habitat has put in place oversight controls to monitor the use of journal vouchers.", "83. The fourth recommendation in respect of Financial management and reporting that was not fully implemented relates to the recording of contract numbers for procured goods and services by adding a field into its current financial information management system (IMIS). UN-Habitat indicated that in anticipation of the transition to the enterprise resource planning, there is currently a moratorium on making enhancements to IMIS, and that so far the only element of this recommendation taken by UN-Habitat is to keep the contract management database up to date.", "84. With regard to the recommendations in relation to the fully automated preparation of financial statements, and updating its manual for checks and controls to improve the descriptions therein, UN-Habitat has acquired a new tool (Business Objects) to reduce the manual operations within its accounts preparation process, and is currently working to deploy the new software. A review of the manual for checks and controls has also been undertaken and the manual has been updated.", "85. Regarding the Board’s recommendation that UN-Habitat extend its Inventory Management system to its field offices, this process, which is under way, is to be completed by September 2011.", "K. United Nations Office on Drugs and Crime", "86. Of the 15 recommendations made by the Board with respect to the accounts of the United Nations Office on Drugs and Crime for the biennium 2008-2009[11] (for 2006-2007, 19 recommendations), the Office had implemented 1 (7 per cent); while 9 (60 per cent) were under implementation and 5 (33 per cent) had not been implemented as shown in figure XIII and table 13. The status of implementation of the Board’s recommendations presented below was validated by the Board, as explained in section I.B above.", "[]Figure XIII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Office on Drugs and Crime", "Table 13 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Preparation for 1 — — — — 1 100 — — migration to and implementation of United Nations enterprise resource planning/Umoja", "Statement of income 1 — — — — 1 100 — — and expenditure did not include those from the United Nations regular budget", "Education grants 1 — — — — 1 100 — —", "Unpaid pledges 1 1 100 — — — — — —", "Formal prior 1 — — — — 1 100 — — approval of the revision of the 2008-2009 budget", "End-of-service 4 — — 3 75 1 25 — — liabilities", "Country office bank 1 — — 1 100 — — — — account", "Implementing 1 — — 1 100 — — — — partners", "Non-expendable 2 — — 2 100 — — — — property/inventory", "OIOS memorandum of 1 — — 1 100 — — — — understanding", "OIOS field office 1 — — 1 100 — — — — recommendations", "Total 15 1 7 9 60 5 33 — —", "2006-2007 19 10 53 8 42 1 5 — —", "87. Table 13 reflects a decrease in the number of recommendations compared to the biennium 2006-2007. Only one recommendation had been fully implemented, which is a significant drop in implementation rate from the previous biennium, when 53 per cent of the Board’s recommendations had been implemented. More concerning is the fact that five (33 per cent) were not implemented at all.", "88. For three of the five recommendations that had not been implemented, the United Nations Office on Drugs and Crime did not accept the recommendations.", "89. While it is agreed that the migration to Umoja carries inherent risks and required planning and controlled execution, the United Nations Office on Drugs and Crime considers that an undertaking must be coordinated at the global Secretariat level. As such, the Umoja implementation strategy includes plans and has secured funding for the identification, analysis and migration of more than 1,000 systems, stand-alone applications and reporting modules currently in use throughout the Secretariat. An inventory of systems, that includes United Nations Office on Drugs and Crime applications, has been compiled by the Umoja project team, and the underlying data structures are being analysed. The Umoja team has been liaising with the United Nations Office on Drugs and Crime for this purpose.", "90. The United Nations Office on Drugs and Crime understands that a detailed migration plan will be proposed by Umoja when the design is completed and the roll-out sequence is clarified. At that time, the United Nations Office on Drugs and Crime will have a better idea of the sequence of system decommissioning and the data migration steps, and will be able to take action on the recommendation. It is of the opinion that the global migration strategy is a far better approach than a strategy that relies on local and uncoordinated initiatives. The central approach has been endorsed by the General Assembly. The Board is, nonetheless, of the view that the United Nations Office on Drugs and Crime should prepare for the new United Nations Umoja system by drawing up an analysis of its own specific needs and the risks posed, aligned with the efforts at the global Secretariat level.", "91. The United Nations Office on Drugs and Crime did not accept the recommendation on the accounting treatment of education grants. It stated that standard practice across the United Nations is to treat the payments as advances, prior to receiving proof of attendance, and that there had been no changes to the underlying nature of the education grant programme since its inception in 1976-1977. The United Nations Office on Drugs and Crime did acknowledge that the treatment of education grants should be reviewed under IPSAS.", "92. Of the two remaining recommendations that have not been implemented, the United Nations Office on Drugs and Crime considers that it needs to await United Nations policy adoption and consistent Secretariat-wide policies and procedures. They relate to accounting for the United Nations regular budget within the income and expenditure statement in the United Nations Office on Drugs and Crime financial statements, and developing a funding plan for end-of-service and post-retirement liabilities. In both cases, the Board is of the view that the United Nations Office on Drugs and Crime should proactively liaise with the Secretariat to find a way to resolve these issues before the end of the biennium 2010-2011.", "93. The Board notes that progress has been made by the United Nations Office on Drugs and Crime in nine (60 per cent) recommendations. However, the status of these recommendations can be validated only when the Board has the financial statements for the biennium 2010-2011. They relate to a country bank account, disclosures of actuarial assumptions and accuracy of data in computation of end-of-service liabilities, and discrepancies between advances recorded by an implementing partner.", "94. The United Nations Office on Drugs and Crime is also addressing the five remaining recommendations that are under implementation. The United Nations Office on Drugs and Crime is in discussion with OIOS to update the memorandum of understanding and implements matters identified by OIOS, with a target date of completion by December 2011. It is seeking approval from senior management to formalize its internal control inventory procedures by May 2011, and is also considering the IPSAS implications with regard to a revision of its policy of leave liability, which has a target date for implementation of December 2014.", "L. International Criminal Tribunal for Rwanda", "95. Of the 22 recommendations made by the Board with respect to the United Nations International Criminal Tribunal for Rwanda for the biennium 2008-2009[12] (for 2006-2007, 8 recommendations), the Tribunal had implemented 7 (32 per cent), 14 (64 per cent) were under implementation and 1 (4 per cent) was not implemented. The status of implementation of the Board’s recommendations shown in figure XIV and table 14 was validated by the Board.", "Figure XIV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations International Criminal Tribunal for Rwanda", "[]", "Table 14", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Unliquidated 1 — — 1 100 — — — — obligations", "Results-based 2 1 50 1 50 — — — — budgeting", "Completion 1 — — 1 100 — — — — strategy", "Legal aid system 1 — — 1 100 — — — —", "Procurement and 5 2 40 3 60 — — — — contract management", "Property 2 — — 2 100 — — — — management", "Human resources 7 4 57 2 29 1 14 — — management", "Information 1 — — 1 100 — — — — technology", "Internal audit 2 — — 2 100 — — — — function", "Total 22 7 32 14 64 1 4 — —", "2006-2007 8 — — 7 88 1 12 — —", "96. The number of recommendations increased to 22 for the biennium 2008-2009, compared to 8 in the previous biennium.", "97. Fourteen recommendations remained under implementation owing mainly to ongoing exercises. For example, as for the recommendation of unliquidated obligations, the Tribunal indicated that reviews of all outstanding obligations were being undertaken on a monthly basis. A detailed review would be carried out as at 30 June and 30 September 2011 with a view to ensuring that all outstanding obligations as at 31 December 2011 will be supported by appropriate obligating documents. In addition, all outstanding obligations are distributed to the relevant certifying officers for review on a monthly basis to ensure that they remain valid under the Financial Rules and Regulations.", "98. There were other factors contributing to the lack of full implementation of recommendations, including use of an outdated system of inventory management, and high staff turnover as a result of the completion strategy. For example, in order to address the shortcomings and deficiencies of the Field Assets Control System, the Tribunal indicated that it was changing the system to the GALILEO inventory management system.", "99. A recommendation regarding a review of the necessity of the long-vacant posts was not implemented. Although the Administration classified this recommendation as implemented, the Board is of the view that it has not been implemented since no supporting document was provided. The Board will review this matter in the final audit for the biennium 2010-2011.", "M. International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law committed in the Territory of the Former Yugoslavia since 1991", "100. Of the 11 recommendations made by the Board with respect to the accounts of the International Tribunal for the Former Yugoslavia for the biennium 2008-2009[13] (for 2006-2007, 7 recommendations), the Tribunal had implemented 7 (64 per cent), and 4 (36 per cent) were under implementation. The status of implementation of the Board’s recommendations shown in figure XV and table 15 was validated by the Board.", "Figure XV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: International Tribunal for the Former Yugoslavia", "[]", "Table 15", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Results-based 2 — — 2 100 — — — — budgeting", "Procurement and 3 3 100 — — — — — — contract management", "Non-expendable 2 2 100 — — — — — property and Expendable property", "Human resources 3 2 67 1 33 — — — — management", "OIOS 1 — — 1 100 — — — —", "Total 11 7 64 4 36 — — — —", "2006-2007 7 2 29 3 43 1 14 1 14", "101. Table 15 reflects an increase in the number of recommendations, from 7 for the biennium 2006-2007 to 11 for the biennium 2008-2009. The implementation rate was 64 per cent in the biennium 2008-2009, compared to 29 per cent in the previous biennium.", "102. The Board recognizes the entity’s efforts in addressing the Board’s recommendations. For example, in order to implement the recommendation with regard to the disposal of non-expendable property through donation and free transfer, the Tribunal managed to consult with the Headquarters Property Survey Board to develop procedures as specified.", "103. There were four recommendations that were under implementation. With regard to the vacant posts of the resident auditors, the recruitment process has started and is being handled by OIOS in New York. The remaining three recommendations relating to results-based budgeting and the Consultants and Individual Contractors were in the process of implementation. The Board will review the status of these recommendations in the final audit for biennium 2010-2011.", "N. United Nations Joint Staff Pension Fund", "104. Of the 43 (2007-2008: 27) recommendations made by the Board with respect to the accounts of the United Nations Joint Staff Pension Fund (UNJSPF) for the biennium 2008-2009,[14] the Fund implemented 17 (40 per cent), while 19 (44 per cent) were under implementation and 7 (16 per cent) were not implemented, as shown in figure XVI and table 16. The status of implementation of the Board’s recommendations indicated below was validated by the Board, as explained in section 1.B of the present report.", "Figure XVI Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Joint Staff Pension Fund", "[]", "105. Four areas showed evidence of a relatively low implementation rate: financial statement matters; end-of-service liabilities, including after-service health insurance; non-expendable property management; and pension fund administration as shown in table 16.", "Table 16", "Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Progress towards 1 — — 1 100 — — — — IPSAS implementation", "Financial 18 5 28 11 61 2 11 — — statement matters", "Investment 4 3 75 1 25 — — — — management", "End-of-service 3 1 33 — — 2 67 — — liabilities, including after-service health insurance", "Non-expendable 2 — 2 100 — — — — property management", "Human resources 3 2 67 1 33 — — — — management", "Pension fund 5 2 40 1 20 2 40 — — administration", "Payments of 1 — — 1 100 — — — — benefits", "Information 6 4 67 1 17 1 16 — — technology", "Total 43 17 40 19 44 7 16 — —", "2006-2007 27 11 41 11 41 4 14 1 4", "106. Table 16 reflects an increase in the number of recommendations compared to the biennium 2006-2007, owing mainly to the issuance of a modified audit opinion. The rate of implementation of recommendations for the biennium 2008-2009 remained almost the same as the previous biennium, both in terms of fully implemented recommendations and recommendations under implementation.", "107. One recommendation that was not implemented relates to the timely submission of financial statements to the Board. The Fund informed the Board that it was unable to comply with the 31 March deadline due to the reconciliation procedures for payments from the organizations members of the Fund and verification of external reporting from the master record keeper.", "108. Another unimplemented recommendation relates to the formalization of the arrangement for the Fund to manage the United Nations University Endowment Fund. The Investment Management Division stated that it was in the process of restating and formalizing the roles and responsibilities of both parties.", "109. The two recommendations under end-of-service liabilities that were not implemented relate to the development of a funding plan for end-of-service liabilities, and the disclosure of major actuarial assumptions applied by the actuary in the valuation of end-of-service liabilities. The Board was informed that the development of the funding plan has been put on hold pending a plan by the United Nations Secretariat to fund one third of the Fund’s end-of-service liabilities, and therefore there was no funding plan in place. With regard to the disclosure of major actuarial assumptions, the Fund indicated that it would undertake an actuarial valuation of its end-of-service liabilities in December 2011 and the recommendation can be addressed only in the biennium-end financial statements.", "110. The unimplemented recommendation under information technology relates to the need for the Fund to develop and approve comprehensive user account management procedures to ensure adequate user account management. As at the date of the validation, the Fund had not developed user account management procedures.", "111. The Board noted that the majority of its recommendations have been classified as under implementation and that they could be fully implemented only with the preparation of the biennium-end financial statements. The Board is, however, concerned that seven recommendations were not implemented, which indicates that the Fund had not started a process to implement these recommendations.", "O. United Nations Office for Project Services", "112. Of the 59 (2006-2007: 95) recommendations made by the Board with respect to the accounts of the United Nations Office for Project Services (UNOPS) for the biennium 2008-2009,[15] UNOPS implemented 39 (66 per cent), while 20 (34 per cent) were under implementation, as shown in figure XVII and table 17. The status of implementation of the Board’s recommendations indicated below was partially validated by the Board, as explained in section I.B of the present report.", "Figure XVII Overall status of implementation of the recommendations of the Board for the biennium 2008-2009: United Nations Office for Project Services", "[]", "Table 17", "Status of implementation of the recommendations of the Board for the biennium 2008-2009, by thrust area", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Area Number Percentage Number Percentage Number Percentage Number Percentage", "Financial 4 4 100 — — — — — statement disclosures", "Inter-fund 4 2 50 2 50 — — — — balances", "End-of-service 1 — — 1 100 — — — — liabilities, including after-service health insurance", "Progress towards 5 0 0 5 100 — — — — the implementation of IPSAS", "Treasury 3 2 66 1 34 — — — — management", "Asset management 10 9 90 1 10 — — — —", "Human resources 5 4 80 1 20 — — — —", "Procurement 1 1 100 — — — — — —", "Information 4 3 75 1 25 — — — — technology", "Project 22 14 64 8 36 — — — — management", "Total 59 39 66 20 34 — — — —", "2006-2007 95 37 39 48 51 4 4 6 6", "113. Table 17 shows a substantial decrease in the number of recommendations for the biennium 2008-2009 compared with the previous biennium, indicating that UNOPS has been taking the necessary corrective actions in relation to the Board’s findings and recommendations. The implementation rate also improved from 39 per cent to 66 per cent. However, recommendations relating to IPSAS and project management have shown a relatively low implementation rate.", "114. The recommendations that were under implementation are in line with management’s action plans. A total of 5 of the 20 (25 per cent) recommendations under implementation relate to IPSAS, and UNOPS has initiated actions to implement these recommendations. Eight (40 per cent) other recommendations relate to project management, and UNOPS was on track in accordance with management’s implementation targets.", "115. The Board has noted increased cooperation between UNOPS and UNDP, including escalating to senior management of both organizations matters relating to inter-fund balances. As a consequence, there was a reduction in unreconciled differences in the inter-fund account. There were, however, still residual balances that require resolution by both parties. This emphasizes the need for UNDP and UNOPS to continue working together to analyse and resolve differences in a timely manner.", "116. The Board is generally satisfied with the rate of implementation of the UNOPS recommendations, as it is consistent with the UNOPS action plan and there is a process in place to track and monitor progress.", "IV. Acknowledgement", "117. The Board wishes to express its appreciation to the United Nations organizations and their staff for the cooperation and assistance they provided to the Board’s teams in the preparation of this report.", "(Signed) Liu Jiayi Auditor-General of the People’s Republic of China", "(Signed) Terence Nombembe Auditor-General of the Republic of South Africa Chairman, United Nations Board of Auditors", "(Signed) Amyas Morse Comptroller and Auditor-General of the United Kingdom of Great Britain and Northern Ireland", "12 July 2011", "Appendix", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2006-2007 as at 31 March 2009", "Number of Implemented Under Not Overtaken recommendations implementation implemented by events\n Organization Number Percentage Number Percentage Number Percentage Number Percentage", "United Nations 70 19 27 47 68 3 4 1 1 Secretariat", "International 4 1 25 3 75 — — — — Trade Centre UNCTAD/WTO", "United Nations 21 13 62 7 33 — — 1 5 University", "United Nations 82 33 40 49 60 — — — — Development Programme", "United Nations 42 34 81 8 19 — — — — Children’s Fund", "United Nations 31 15 48 16 52 — — — — Relief and Works Agency for Palestine Refugees in the Near East", "United Nations 12 8 67 2 17 1 8 1 8 Institute for Training and Research", "United Nations 11 4 36 5 46 1 9 1 9 Environment Programme", "United Nations 60 44 73 15 25 1 2 — — Population Fund", "United Nations 18 7 39 8 44 2 11 1 6 Human Settlements Programme", "United Nations 19 10 53 8 42 1 5 — — Office on Drugs and Crime", "International 8 — — 7 88 1 12 — — Criminal Tribunal for Rwanda", "International 7 2 29 3 43 1 14 1 14 Tribunal for the Former Yugoslavia", "United Nations 27 11 41 11 41 4 14 1 4 Joint Staff Pension Fund", "United Nations 95 37 39 48 51 4 4 6 6 Office for Project Services", "Total 507 238 47 237 46 19 4 13 3", "2004-2005 651 342 52 276 43 28 4 5 1 (percentage)", "2002-2003 509 235 46 230 45 44 9 — — (percentage)^(a)", "[1] See Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 5 (A/65/5), vol. I, chap. II.", "[2] Ibid., vol. III, chap. II.", "[3] Ibid., vol. IV, chap. II.", "[4] Ibid., Supplement No. 5A (A/65/5/Add.1), chap. II.", "[5] Ibid., Supplement No. 5B (A/65/5/Add.2), chap. II.", "[6] Ibid., Supplement No. 5C (A/65/5/Add.3), chap. II.", "[7] Ibid., Supplement No. 5D (A/65/5/Add.4), chap. II.", "[8] Supplement No. 5F (A/65/5/Add.6), chap. II.", "[9] Ibid., Supplement No. 5G (A/65/5/Add.7), chap. II.", "[10] Ibid., Supplement No. 5H (A/65/5/Add.8), chap. II.", "[11] Ibid., Supplement No. 5I (A/65/5/Add.9), chap. II.", "[12] Ibid, Supplement No. 5K (A/65/5/Add.11), chap. II.", "[13] Ibid, Supplement No. 5L (A/65/5/Add.12), chap. II.", "[14] Ibid, Supplement No. 9 (A/65/9), chap. II.", "[15] Ibid., Supplement No. 5J (A/65/5/Add.10), chap. II." ]

[ "Sixty-sixth session", "Item 132 of the preliminary list*", "Financial reports and audited financial statements, and reports of the Board of Auditors", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the General Assembly a letter dated 12 July 2011 from the Chair of the Board of Auditors transmitting the report of the Board on the implementation of its recommendations relating to the biennium 2008-2009, submitted pursuant to General Assembly resolution 52/212 B (see annex).", "^ (*) A/66/50.", "Annex", "Letters of transmittal", "President of the General Assembly of the United Nations", "New York", "I have the honour to transmit to you the report of the Board of Auditors on the implementation of its recommendations relating to the biennium 2008-2009.", "Auditor-General of the People ' s Republic of China and Chairman, United Nations Board of Auditors", "Liu Jiayi", "12 July 2011", "Contents", "2. Status of implementation of the recommendations of the Board of Auditors: general observation 6 3. Implementation of the recommendations of the Board of Auditors by entity 10 A. United Nations 10 B. International Trade Centre UNCTAD/WTO 12 C. United Nations University 14 D. United Nations Development Programme 15 E. United Nations Children ' s Fund 17 F. United Nations Relief and Works Agency for Palestine Refugees in the Near East 20 G. United Nations Institute for Training and Research 22 H. United Nations Environment Programme 23 I. United Nations Population Fund 25 J. United Nations Human Settlements Programme 27 K. United Nations Office on Drugs and Crime 29 L. International Criminal Tribunal for Rwanda 32 M. International Criminal Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991 34 N. United Nations Joint Staff Pension Fund 35 O. United Nations Office for Project Services 37", "Report of the Board of Auditors on the implementation of its recommendations relating to the biennium 2008-2009", "The present report covers the recommendations of the Board of Auditors contained in its report for the biennium 2008-2009 and approved by the General Assembly in paragraph 2 of its resolution 65/243. The report reflects the status of implementation of those recommendations as at 31 March 2011 and is divided into the following categories: (a) implemented, (b) under implementation, (c) not implemented, or (d) overtaken by events. The present report covers 15 organizations that the Board reports biennially to the General Assembly. Activities reported by the Board of Auditors on an annual basis or not reported to the General Assembly were not included. The Board validated the statistics provided by the administrations of each entity on the implementation of the Board ' s recommendations wherever possible. Other data have yet to be validated during the current audit cycle. The number of recommendations issued by the Board increased from 507 to 590, an increase of 16 per cent over the previous biennium. Table 2 shows the status of implementation of the Board ' s recommendations by organization. The corresponding data as at 31 March 2009, as reproduced in the Board ' s previous report (A/64/98), are shown in the appendix to the present report. Compared with the situation as at 31 March 2009, when the implementation rate of recommendations for 2006-2007 was 47 per cent, the implementation rate of recommendations for 2008-2009 remained essentially the same at 46 per cent as at 31 March 2011. The Board noted that, in general, the Administrations had given serious consideration to the Board ' s recommendations and had developed a set of good practices to enhance follow-up. However, the Board encourages the Administrations to strengthen their efforts to ensure that the rate of full implementation of recommendations is increased. The Board ' s recommendations covered a wide range of topics across many organizations, with different implementation rates. The Committee was therefore unable to identify any models and trends that could be highlighted. The implementation rate of partially implemented recommendations for the biennium 2008-2009 is almost the same as in the previous biennium, with a slight increase from 46 to 48 per cent. Given that most entities have set target dates for partially implemented recommendations and that some recommendations will be systematically implemented through the implementation of the International Public Sector Accounting Standards (IPSAS), new or improved enterprise resource planning systems or other business transformations, the Board is generally not concerned about the level of partial implementation; however, it encourages entities to take action on the Board ' s recommendations as soon as possible. However, the Board has identified a number of areas that could be undertaken by some organizations to expedite the full implementation of recommendations. These areas will be identified in the relevant sections of this report. The Board noted that as at 31 March 2011, 5 per cent of the recommendations made in the biennium 2008-2009 had not been implemented, compared with 4 per cent in the previous biennium. While the Board acknowledges that some entities may have valid reasons for non-implementation, there are other entities that have not yet started the implementation process.", "Introduction", "A. Mandate", "1. In its resolution 52/212 B, the General Assembly emphasized that the primary managerial responsibility and accountability for the implementation of the recommendations of the Board of Auditors should remain with the heads of departments and programme managers. In the same resolution, the Assembly approved the proposals of the Board of Auditors to improve the implementation of recommendations approved by the Assembly (see A/52/753), subject to the provisions of that resolution.", "2. The present report covers the recommendations of the Board of Auditors contained in its report for the biennium 2008-2009 and endorsed by the General Assembly in paragraph 2 of its resolution 65/243. The present report reflects the status of implementation of those recommendations as at 31 March 2011, classified as (a) implemented, (b) under implementation, (c) not implemented or (d) overtaken by events.", "Scope and methodology", "3. The present report covers 15 organizations that the Board reports biennially to the General Assembly. The information and activities of the organizations reported annually by the Board of Auditors (i.e., United Nations peacekeeping operations, the capital master plan and the Office of the United Nations High Commissioner for Refugees) are not included in the present report but are, as in previous years, annexed to the relevant reports of the Board to the General Assembly. Similarly, activities not reported to the General Assembly (i.e. the United Nations escrow account (Iraq), the United Nations Compensation Commission, the United Nations Framework Convention on Climate Change and the United Nations Convention to Combat Desertification and others) are not included in the present report.", "4. The Board requested that the 15 organizations covered in the present report provide the Board with information on the status of implementation as at 31 March 2011 of the recommendations contained in its report on the accounts for the biennium 2008-2009. These data were validated by audit teams during the period from 31 March 2011 to 31 May 2011 whenever planning missions or substantive audits were conducted at Headquarters. In most other cases, if the Board considers it not cost-effective to send a specialized team to review and validate the data provided, it will validate the data provided by clients through a desk review.", "5. The validation process includes desk reviews or field audits and reviews of supporting documentation to substantiate the assessments provided by the administrations. If the evidence provided does not support the Administration ' s assessment, the Board describes its assessment in the empirical data contained in the present report.", "Status of implementation of the recommendations of the Board of Auditors: general observations", "Number of recommendations", "6. The number of recommendations issued by the Board increased from 507 to 590, an increase of 16 per cent over the previous biennium (table 1). The number of recommendations made varied with the management issues identified and the audit methodology and focus. The latter, in particular, varied from time to time, as the areas of focus of the audit varied from year to year based on the Board ' s risk assessment and other factors. Therefore, the increase in the number of recommendations does not necessarily reflect a trend towards a weakening of management and control, nor does it indicate the relative importance of the specific recommendations, which also evolve over time or over the organization.", "Table 1 Number of recommendations of the Board of Auditors for the bienniums 2000-2001 to 2008-2009", "Percentage increase", "Total 335 509,651^ (a) 507 590 16", "(a) The figures do not include the recommendations relating to the United Nations Office for Project Services (although the data for the previous bienniums include UNOPS figures), as the audit was not completed at the time of the preparation of the 2004-2005 status of recommendations and therefore the status of recommendations could not be determined.", "Recommendations implemented", "7. The implementation of the recommendations of the Board by the organizations is shown in table 2. The corresponding data as at 31 March 2009, taken from the previous report of the Committee (A/64/98), are listed in the appendix to the present report.", "8. Compared to March 2009 (47 per cent), the level of implementation in March 2011 (46 per cent) remained largely unchanged, with no particularly significant trend (figure I).", "Figure I Comparison of the status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009 as at 31 March 2011 and for the biennium 2006-2007 as at 31 March 2009", "9. The Board noted that, in general, the Administration had been carefully auditing the recommendations and had developed a set of good practices for enhanced follow-up. Nevertheless, the Board encourages the Administrations to intensify their efforts to ensure a higher percentage of fully implemented recommendations.", "Examples of enhanced follow-up to the Commission's recommendations include:", "(a) The senior management team uses the reports and recommendations of the Commission to identify priority areas for action and monitoring as part of its current overall reporting arrangements;", "(b) Recognize the root causes of recurring audit observations and develop appropriate action plans to address them;", "(c) Improvements in areas where inter-agency cooperation and joint efforts are needed to address multi-agency issues;", "(d) Establish clear target dates and completion criteria for the implementation of the Board ' s recommendations to ensure easy monitoring of implementation;", "(e) Certification and related tracking by internal auditors to assure senior management that the Board ' s recommendations are implemented in a timely manner.", "11. The Board ' s recommendations addressed a wide variety of issues in many organizations, with varying implementation rates. Given the wide range of issues covered, the Board does not see any actual pattern or trend that warrants comment. The Board comments on individual organizations in section III below.", "Recommendations partially implemented", "12. The implementation rate of recommendations under implementation for the biennium 2008-2009 remained almost the same as in the previous biennium, rising slightly from 46 per cent to 48 per cent.", "13. Given that most entities have set target dates for partially implemented recommendations and that some recommendations have been implemented through the implementation of the International Public Sector Accounting Standards (IPSAS), new or upgraded enterprise resource planning systems or other business transformations, the Board is generally not concerned about partially implemented recommendations, but encourages entities to take action on them as soon as possible. The Board identified areas for some organizations to address, in particular:", "• The need for a dedicated follow-up mechanism or function;", "• The failure to address the root causes of the problems identified by the Board of Auditors is only a stopgap measure. For example, in previous years, the Board had made recommendations to many organizations on the need to improve the management of non-expendable property; however, the Board was concerned that in many cases the Administration had merely issued guidance to field offices without monitoring and necessary follow-up, which would not actually address the root causes of the problem.", "Recommendations not implemented", "14. In paragraph 2 of its resolution 65/243, the General Assembly approved the recommendations of the Board of Auditors for 2008-2009. The Board noted that as at 31 March 2011, 5 per cent of those recommendations had not been implemented (figure II), compared with 4 per cent in the previous biennium.", "Figure II Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009 as at 31 March 2011", "[Chuckles]", "15. The reasons for the non-implementation of recommendations vary, and section III provides comments on the specific situation of each entity. The Board recognizes that some entities do have reasons for their failure to implement recommendations in some cases, while others have not yet implemented the recommendations.", "Table 2 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009 as at 31 March 2011", "Number of organizations whose recommendations have been overtaken by events Number of organizations Percentage of countries Percentage of countries", "United Nations Secretariat 72 29 40 37 51 4 6 2 3", "International Trade Centre UNCTAD/WTO", "UNU 16 4 25 9 56 3 19 —", "United Nations Development Programme", "United Nations Children ' s Fund 50 6 12 42 84 2 4 0", "United Nations Relief and Works Agency for Palestine Refugees in the Near East", "United Nations Institute for Training and Research", "UNEP 26 10 38 13 50 3 12 —", "UNFPA 93 61 66 31 33 1 — —", "United Nations Human Settlements Programme", "United Nations Office on Drugs and Crime", "International Criminal Tribunal for Rwanda", "International Criminal Tribunal for the Former Yugoslavia", "United Nations Joint Staff Pension Fund", "United Nations Office for Project Services", "Total 590 272 46 283 48 32 5 3 1", "2006-2007 (percentage) 507 238 47 237 46 19 4 13 3", "2004-2005 (percentage) ^ (a) 651 342 52 276 43 28 4 5 1", "(a) Status of implementation of recommendations for the biennium 2004-2005 as at 31 May 2007 (data taken from A/62/120, annex). It shows the relative rate of implementation of the Board ' s recommendations over three consecutive bienniums. Excludes 43 recommendations relating to the United Nations Office for Project Services.", "III. Implementation of the recommendations of the Board of Auditors by entity", "A. United Nations", "16. Of the 72 recommendations made by the Board of Auditors with respect to the accounts of the United Nations for the biennium 2008-2009 (for 2006-2007, 70 recommendations),[1] the United Nations has implemented 29 (40 per cent), 37 (51 per cent) are under implementation, 2 (3 per cent) are overtaken by events and 4 (6 per cent) are not accepted, as shown in figure III and table 3. One of the 72 recommendations was directed to the International Civil Service Commission and did not fall within the purview of the Secretariat; it had been implemented. The status of implementation of the Board ' s recommendations, as explained in section I.B above, has been validated by the Board.", "Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations", "[Chuckles]", "Table 3 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Number of recommendations overtaken by events Number of recommendations Percentage Number of recommendations Not implemented Under implementation Number of recommendations", "Presentation and disclosure of financial statements", "Statement of income and expenditure", "Technical cooperation activities 7 1 14 4 57 2 29 —", "Progress towards the implementation of the International Public Sector Accounting Standards", "General trust funds 1 – 1,100 – –", "Other special funds 1 – – 1,100 – –", "Inter-agency balance 2 – 2,100 –", "End-of-service liabilities 1 – 1,100 –", "Results-based management/budgeting", "Treasury management 4 4,100 – – – –", "Programme and project management", "Procurement and contract management", "Non-expendable property management", "Human resources management", "Consultants, experts and temporary assistance", "IT 4 1 25 3 75 – –", "Internal audit", "Transport and travel management 1 – – 1,100 – –", "Inter-agency coordination", "Total 72 29 40 37 51 4 6 2 3", "2006-2007 70 19 27 47 68 3 4 1 1", "Table 3 shows an increase in the implementation rate of recommendations for the biennium 2008-2009 (40 per cent) compared to 2006-2007 (27 per cent). The Board is encouraged by this trend. It noted that, at the time of writing, the implementation rate of recommendations for 2006-2007 had increased to 74 per cent.", "The full implementation of 7 (19 per cent) of the 37 recommendations under implementation in 2008-2009 is dependent on broader change programmes within the United Nations, in particular the implementation of IPSAS and the completion of Umoja.", "19. The target implementation date for 27 of the 37 recommendations under implementation in 2008-2009 is by July 2012, when the Board will provide further updates on the status of implementation of those recommendations in volume I of its report for the biennium 2010-2011. If all recommendations were implemented as expected, the implementation rate would rise to 78 per cent.", "20. Although the General Assembly had approved the recommendations and conclusions contained in the report of the Board of Auditors, four recommendations were not accepted or only partially accepted by the Administration.", "21. The first recommendation, not accepted by the Administration, relates to ensuring that all offices and committees away from Headquarters liaise with Headquarters to enhance their preparedness for IPSAS implementation. The Administration stated that, although preliminary discussions on the various options were under way, detailed implementation plans for offices and committees away from Headquarters could be developed only within the overall context of an implementation strategy that depended on the roll-out strategy of Umoja. To that end, they asserted that the exercise was necessarily a centrally planned operation and that any isolated and uncoordinated effort by offices and committees away from Headquarters would be superfluous. The Administration indicated that, once a detailed plan had been developed, offices away from Headquarters and committees should be fully involved. The Board does not fully believe in this interpretation, but does acknowledge the clear interdependence between planning at Headquarters and the ability of offices and committees away from Headquarters to implement the plan. The Board will revert to this issue when it prepares volume I of its 2012 report on the United Nations.", "22. The second recommendation, which was not accepted, concerned making the preparation of financial statements on technical cooperation less cumbersome and easier to audit. The Board will reassess the process in its audit of the 2010-2011 financial statements, taking into account the comments of the Administration, and will make a new recommendation as deemed necessary.", "23. The third unaccepted recommendation relates to a review of the methodology used by the United Nations Assistance to the Khmer Rouge Trials to estimate their future budget preparation, with the aim of taking fuller account of the actual implementation of previous budgets. While noting that future budget submissions for donor approval should project all expected resources, the Administration is of the view that past expenditure does not reflect future resource requirements, and that a needs-based forward-looking budget would ensure that budget approval is obtained at the outset of the budget period and would not require ad hoc requests for budget increases. The Board is of the view that, in estimating the volume of work that may be accomplished in a future period and the amount of resources that should be requested as a result, account should be taken of the previous budget implementation rates as an indicator of the ability of the Administration to utilize resources.", "24. The fourth recommendation, which was not accepted, concerned ensuring that the Department of Economic and Social Affairs plan for mandated documentation for the general public was the subject of outcome evaluations. The Administration indicated that the evaluation was conducted through various methods, including feedback from members of the Executive Committee on Economic and Social Affairs of the United Nations, collaborative media coverage with Department of Public Information partners, sales figures and internal discussions. The Administration also noted that publications for the general public were not subsidized and were decided by external publishers. It was also noted that the differential pricing policy ensured that books were affordable in developing countries and that no systematic evaluation had been conducted, as the amount was not available in the publications programme.", "International Trade Centre UNCTAD/WTO", "25. Of the nine recommendations (2006-2007, 4 recommendations) made by the Board of Auditors with respect to the accounts of the International Trade Centre UNCTAD/WTO (ITC) for the biennium 2008-2009, [2] ITC has implemented one (11 per cent) and eight (89 per cent) are under implementation, as shown in figure IV and table 4. As explained in section I.B above, the status of implementation of the Board ' s recommendations as shown in the chart below was validated by the Board.", "Figure IV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: International Trade Centre UNCTAD/WTO", "[Chuckles]", "Table 4 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Number of recommendations overtaken by events Number of recommendations Percentage Number of recommendations Not implemented Under implementation Number of recommendations", "Statement of income and expenditure", "Statement of assets, liabilities and reserves and fund balances", "Technical cooperation activities 1 – 1,100 – –", "Progress towards the implementation of International Public Sector Accounting Standards", "End-of-service liabilities, including after-service health insurance", "Results-based management/budgeting 2 – 2,100 –", "Non-expendable property 1 – 1,100 – –", "Total 9 1 11 8 89 – –", "2006-2007 4 1 25 3 75 – –", "26. Eight recommendations are still under implementation. The full implementation of three of those projects involved the wider adoption of IPSAS and the harmonization of accounting policies within the United Nations (i.e., end-of-service liabilities, including the treatment of after-service health insurance and the valuation of leave liabilities).", "27. With regard to the recommendation to increase the operational reserve for the Technical Cooperation Trust Fund from 7 to 15 per cent, ITC reported that it had increased it to 10.7 per cent as at 31 December 2010, marking some progress. The Board will validate the progress of this recommendation in its financial statements for the next biennium. ITC indicated that it would implement the remaining four recommendations in 2011.", "C. United Nations University", "Of the 16 recommendations made by the Board of Auditors with respect to the accounts of UNU for the biennium 2008-2009 (2006-2007, 21 recommendations), [3] UNU had implemented 4 (25 per cent), 9 (56 per cent) were under implementation and 3 (19 per cent) had not been implemented. As explained in section I.B above, the status of implementation of the Board ' s recommendations as shown in figure V and table 5 was validated by the Board.", "Figure V Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations University", "[Chuckles]", "Table 5 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by area of focus", "Number of recommendations overtaken by events Number of recommendations Percentage Number of recommendations Not implemented Under implementation Number of recommendations", "Financial overview", "End-of-service liabilities, including after-service health insurance", "Programme and project management 4 – 3 75 1 25 –", "Procurement and contract management", "Non-expendable property management", "Consultants, experts and temporary assistance", "Transport and travel management 1 – – 1,100 – –", "Internal audit function 1 – – – 1,100 –", "Total 16 4 25 9 56 3 19 0", "2006-2007 21 13 62 7 33 – – 1 5", "29. Of the nine recommendations under implementation, three recommendations on equity investments and end-of-service liabilities of the Endowment Fund are under discussion or consultation with the United Nations Secretariat; two recommendations on the review of the project management manual are also being addressed by the directors of the institutes.", "30. Of the three recommendations not implemented, one concerned the disclosure by UNU, through a separate note, of the reasons for the change in the policy for converting reserves and fund balances into income. Although the General Assembly had approved the Board ' s recommendations, the Administration had not accepted them because it considered that footnote (c) to the income and expenditure statement fully disclosed the necessary information.", "31. The second recommendation, not implemented, relates to the wider use of languages to disseminate the outputs of the project. UNU indicated that there was currently no budget for translation and that the recommendation could not be implemented without additional funding.", "32. The third outstanding recommendation relates to coordination with the Office of Internal Oversight Services with a view to expediting the conclusion of a funding agreement to provide internal audit services to UNU. The University indicated that it was awaiting the finalization of the funding agreement by OIOS. The Board will review these matters in the absence of audit reports for the biennium 2010-2011.", "D. United Nations Development Programme", "33. Of the 89 recommendations made by the Board of Auditors with respect to the accounts of the United Nations Development Programme (UNDP) for the biennium 2008-2009 (2006-2007, 82 recommendations), [4] UNDP has implemented 46 (52 per cent), while 43 (48 per cent) are under implementation. The status of implementation of recommendations has been validated by the Board, as explained in the scope and methodology section of the introduction to the present document (sect.", "Figure VI Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Development Programme", "[Chuckles]", "34. As shown in table 6, three areas showed evidence of a low implementation rate: financial statement matters, end-of-service and post-retirement benefits and asset management.", "Table 6 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Status of implementation of recommendations Status of implementation Status of implementation of recommendations Status of implementation of recommendations Status of implementation Number of recommendations Percentage of recommendations Financial statement Matters Fixed assets and construction-in-progress 1 1 100 General and related trust funds 1 1 33 2 67 End-of-service and post-retirement benefits 5 - Progress in the implementation of International Public Sector Accounting Standards 1 5 100 Results-based management 2 - 2 100 Treasury management (including bank accounts and cash) 1 1 100 - Procurement and contract management 7 5 5 71 2 29 Asset management 5 - 5 100 Human resources management 7 5 5 5 71 2 29 Consultants, experts and temporary staff 2 100 - Information technology 9 8 89 1 11 Fund balance 2 - 2 100 Transport and travel management 2 50 1 50 1 ERP implementation 1 100 - Programme expenditure 7 7 100 - Programme management 2 100 - Multi-Donor Trust Fund 5 60 2 40 1 100 - Safety and security 1 100 - United Nations Development Fund for Women 1 2 2 2 6 6 6 33 United Nations Capital Development Fund 2 6 6 6 6 6 3 1 50 1 33 33 33 Cash transfer for the consolidation of the Regional Centre 2 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3", "35. Table 6 above shows a slight increase in the number of recommendations, from 82 recommendations in the biennium 2006-2007 to 89 recommendations in the biennium 2008-2009. The implementation rate also increased from 40 per cent in 2006-2007 to 52 per cent in 2008-2009, while the rate of recommendations under implementation decreased from 60 per cent to 48 per cent.", "36. The Board noted that, according to the management schedule, most of the recommendations under implementation were planned to be fully implemented by the corresponding dates. The planned target implementation dates ranged from the second quarter of 2011 to the first quarter of 2012. UNDP informed the Board that a number of policy-related recommendations were expected to be implemented in January 2012 with the implementation of the International Public Sector Accounting Standards and that most of the related recommendations in the financial statements would be implemented at the end of the biennium 2010-2011.", "37. The Board expressed overall satisfaction with the status of implementation. Most of the recommendations under implementation are being implemented on schedule according to the target implementation dates of management. The Board also noted the establishment of an appropriate tracking mechanism, which is important for the full implementation of recommendations.", "38. The Board commends UNDP for its efforts in tracking recommendations. UNDP strengthened its audit tracking database by using a real-time web-based tracking database, enabling responsible department heads to upload information and documents, supporting changes in implementation in the database. Once revised, the database will automatically send a reminder to internal auditors that performance has been updated to enable auditors to review supporting documentation and reassess performance accordingly. Following the changes made by the internal auditors, the responsible heads of department are also informed. Through this process, the audit trail can be maintained to see how recommendations are implemented.", "E. United Nations Children ' s Fund", "39. Of the 50 recommendations made by the Board of Auditors on the accounts of the United Nations Children ' s Fund (UNICEF) for the biennium 2008-2009 (for 2006-2007, 42 recommendations), [5] UNICEF has implemented 6 (12 per cent), 42 (84 per cent) are under implementation and 2 (4 per cent) are not implemented, as shown in figure VII and table 7. As explained in section I.B of the present report, the status of implementation of recommendations has been validated by the Board.", "Figure VII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Children ' s Fund", "[Chuckles]", "40. As shown in table 7, evidence of a relatively low implementation rate exists in six areas: financial statement matters; end-of-service liabilities, including after-service health insurance; results-based management/budgeting; cash transfers; procurement and contract management; and consultants, experts and temporary assistance.", "Table 7 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Progress in the implementation of the International Public Sector Accounting Standards", "Table 7 shows an increase in the number of recommendations compared to the biennium 2006-2007. The implementation rate decreased significantly from 81 per cent in 2006-2007 to 12 per cent in 2008-2009, while the rate of recommendations under implementation increased significantly, from 19 per cent to 84 per cent.", "42. The Board noted that the status of implementation of the 42 recommendations remained largely as they related to the implementation of IPSAS. UNICEF informed the Board that the recommendations would be implemented in conjunction with the adoption of the new accounting policies, financial rules and regulations and VISION (Enterprise Resource Planning System) as part of the adoption of IPSAS in 2012. The Board recognizes that a full assessment of the status of recommendations for the biennium 2008-2009, which are classified as being implemented, can only be made once all planned field audit visits for the biennium 2010-2011 have been completed. The Board will review the status of these recommendations in its final audit for the biennium 2010-2011.", "43. The Board noted the efforts made by UNICEF to review its accounting policies, update the Financial Rules and Regulations, the Programme Policy and Procedures Manual and the Supply Division Procedures. The Board also noted that UNICEF had updated its training and public information plan in line with the revised IPSAS adoption timetable. The Board encourages UNICEF to take additional measures to take full advantage of the benefits of IPSAS implementation and to realize value for money.", "44. Two recommendations were not implemented during the biennium 2008-2009. The first was on the revision of the UNICEF policy on the valuation of leave liability. UNICEF informed the Board that the valuation used as at 31 December 2009 was in compliance with the United Nations system accounting standards and that it was an issue across the United Nations system and was currently under discussion with the Board and all United Nations agencies.", "45. The second outstanding recommendation relates to the penalty clause for late delivery in purchase orders. UNICEF indicated that the Supply Manual provided for an optional claim for liquidated damages. Nevertheless, the Board is of the view that it is in the best interests of the organization to penalize goods and services that have been delayed in delivery. The Board will revert to these two issues in the next audit report of UNICEF.", "F. United Nations Relief and Works Agency for Palestine Refugees in the Near East", "46. Of the 61 recommendations (2006-2007, 31 recommendations) made by the Board of Auditors with respect to the accounts of the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) for the biennium 2008-2009, [6] UNRWA implemented 31 (51 per cent), 25 (41 per cent) were under implementation, 4 (7 per cent) were not implemented and 1 (1 per cent) was overtaken by events, as shown in figure VIII and table 8. The status of implementation of the Board ' s recommendations, as explained in section I.B above, has been validated by the Board.", "47. The increase in the number of recommendations from 31 to 61 was due in part to the issuance of revised comments for the biennium 2008-2009.", "Figure VIII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Relief and Works Agency for Palestine Refugees in the Near East", "48. As shown in table 8, four areas have evidence of relatively low implementation rates: programme and project management, non-expendable property management, information technology and internal audit. Of the 61 recommendations, 27 addressed those areas, 18 of which were under implementation.", "49. With regard to recommendations relating to project management, UNRWA informed the Board that it was in the process of preparing a project management manual covering the management of various projects, setting out the responsibilities of all parties involved and the required competencies and training.", "50. With regard to the recommendations relating to the management of non-expendable property, UNRWA informed the Board that, as part of the IPSAS implementation process, it was in the process of physically verifying its assets and valuing buildings on the ground in order to update its fixed asset register.", "Table 8 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Not implemented", "Number of recommendations Number of recommendations Percentage of recommendations Number of recommendations Number of", "Progress towards the implementation of IPSAS 2 2,100 – – – – –", "Financial statement matters", "Fixed assets and construction in progress", "End-of-service liabilities, including after-service health insurance", "Treasury management 1 1,100 – – – –", "Programme and project management", "Procurement and contract management", "Non-expendable property management", "Expendable property management 2 – 2,100 –", "Human resources management", "Organizational environment and control", "IT 10 6 60 3 30 1 10 —", "Internal audit function 9 1 11 7 78 1 11 —", "Total 61 31 51 25 4 7 1", "2006-2007 31 15 48 16 52 – –", "51. With regard to recommendations relating to information technology, UNRWA informed the Board that it was in the process of drafting a disaster recovery plan to establish specific arrangements for the restoration of critical business systems and was supplementing additional resources to assist in strengthening the information technology sector.", "52. With regard to recommendations relating to the internal audit function, the UNRWA Division of Internal Oversight Services informed the Board that it was seeking additional resources to enable it to perform its functions more effectively. The Board recognizes that the position of head of internal audit has changed since the issuance of the Board ' s report, which has affected the implementation of recommendations.", "53. Four recommendations were not implemented. The first relates to advances made to vendors, which are disclosed as advances in current assets on the balance sheet and are included in the notes to the financial statements as accounts payable. UNRWA informed the Board that the advance was included in the accounts payable in order to track the inventory in transit. The Board considers such disclosure to be misleading and urges UNRWA to correctly disclose the impact of transactions that have occurred.", "54. The second recommendation, not implemented, relates to repatriation grant and leave realization liabilities that were not recorded in the financial statements, as disclosed in the notes to the financial statements for the biennium 2006-2007. While the United Nations bears such liabilities in respect of international staff, the Board recognizes that UNRWA international staff include personnel employed under project activities. The costs of these personnel are borne by UNRWA and must be estimated and reflected in the financial statements.", "55. Recommendation 3 concerns the failure of the UNRWA Advisory Committee on Internal Oversight to review the financial statements as required by organizational directives. The Division of Internal Oversight Services informed the Board that the Advisory Committee would consider reviewing the financial statements for the next biennium.", "56. The fourth recommendation, not implemented, relates to the lack of segregation of duties between enterprise systems administrators and database administrators. UNRWA informed the Board that it was in the process of obtaining additional resources and had introduced interim measures to achieve the separation of the two functions; however, the Board was of the view that the interim measures were inadequate and therefore the recommendations remained outstanding.", "57. One recommendation that was overtaken by events related to the disclosure of inventory accounting policies. UNRWA explained that, with the implementation of IPSAS, the issue of inventory accounting policies would be addressed.", "58. The Board is generally satisfied with the overall status of implementation of the Board ' s recommendations by UNRWA, as most of the recommendations under implementation are on schedule in accordance with the UNRWA implementation plan and some of the recommendations will be resolved with the implementation of IPSAS. However, the Board is concerned about four recommendations that have not been implemented, which indicates that management has not yet implemented them.", "United Nations Institute for Training and Research", "59. Of the five recommendations (2006-2007: 12 recommendations) made by the Board of Auditors with respect to the accounts of the United Nations Institute for Training and Research (UNITAR) for the biennium 2008-2009, [7] UNITAR has implemented 3 (60 per cent) and 2 (40 per cent) are under implementation. As explained in section I.B above, the status of implementation of the Board ' s recommendations, as described in figure IX and table 9 below, was validated by the Board.", "Figure IX Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Institute for Training and Research", "Table 9 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Not implemented", "Number of recommendations Number of recommendations Percentage of recommendations Number of recommendations Number of", "End-of-service liabilities, including after-service health insurance", "Results-based management/results-based budgeting", "Procurement and contract management", "Internal audit function", "Total 5 3 60 2 40 – –", "2006-2007", "60. The lower implementation rate compared to 2006-2007 was due to the nature of the problem to be addressed by United Nations Headquarters in New York and the United Nations Office at Geneva.", "61. With regard to the two recommendations under implementation, the first concerned end-of-service liabilities. The Administration stated that, as a matter of accounting policy, the matter had been referred to the United Nations Controller for appropriate action. The financial statements of UNITAR are prepared by the Controller of the United Nations.", "62. The second recommendation under implementation relates to procurement and contract management. The Administration indicated that it was negotiating with the United Nations Office at Geneva to identify additional financial and budgetary functions to be transferred to UNITAR. Upon completion of this exercise, the service agreement memorandum will be updated.", "H. United Nations Environment Programme", "63. Of the 26 recommendations made by the Board of Auditors with respect to the accounts of the United Nations Environment Programme (UNEP) for the biennium 2008-2009 (2006-2007, 11 recommendations) [8], UNEP has implemented 10 (38 per cent), 13 (50 per cent) are under implementation and 3 (12 per cent) are not implemented, as shown in figure X and table 10.", "None of the 26 recommendations directly addressed the UNEP Global Environment Facility Division (GEF). At that time, the Division was an independent department that maintained a second reporting line with the GEF Board on the commissioning of emissions. As explained in section I.B above, the status of implementation of the Board ' s recommendations shown below was validated by the Board.", "Figure X Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Environment Programme", "[Chuckles]", "Table 10 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Number of recommendations overtaken by events Number of recommendations Percentage Number of recommendations Not implemented Under implementation Number of recommendations", "Financial management and reporting", "Reporting to multilateral environmental agreements", "Arrangements with the United Nations Office at Nairobi", "Progress towards the implementation of the International Public Sector Accounting Standards", "Enterprise resource planning system", "Procurement and contract management", "Performance monitoring 1 – – 1,100 – –", "Information and communication technology 1 100 – – – – –", "Internal audit 1 100 – – – – –", "Cases of fraud and presumptive fraud", "Total 26 10 38 13 50 3 12 —", "2006-2007 11 4 36 5 46 1 9 1 9", "65. Table 10 shows the minimal change in the rate of implementation of the Board ' s recommendations. The percentage of fully and partially implemented recommendations remained almost unchanged compared to the previous biennium, although the number of recommendations for 2008-2009 was twice that of 2006-2007.", "66. The implementation of 13 recommendations is in progress. With regard to five of the recommendations on financial management and reporting, UNEP indicated that they would be fully addressed in the financial statements for the biennium ended 31 December 2011.", "67. The three recommendations under implementation outside the area of financial management and reporting depend on the pace of UNEP ' s transition to IPSAS and on the appropriate functionality being incorporated into the new enterprise resource planning system.", "A recommendation related to Umoja was to request UNEP to add an area to its current Financial Information Management System (IMIS) to enable it to record the contract number of goods and services procured. The Board learned from UNEP that improvements to IMIS were currently being suspended owing to the anticipated transition to Umoja. To date, the only part of this recommendation that UNEP can advance is to keep the contract management database up to date.", "The remaining four recommendations under implementation relate to the legal status and disclosure of the Multilateral Fund, the control and disclosure of multilateral environmental agreements, the closure of the trust fund for the establishment of the interim secretariat of the Convention on Biological Diversity, and documentary evidence of all performance indicators. UNEP indicated that implementation of the recommendations was ongoing.", "70. Three recommendations were not implemented, as they were subject to policy changes and subsequent instructions that had to be made by the Office of the Controller at United Nations Headquarters.", "I. United Nations Population Fund", "71. Of the 93 recommendations made by the Board of Auditors on the accounts of the United Nations Population Fund (UNFPA) for the biennium 2008-2009 (2006-2007, 60 recommendations) [9], as shown in figure XI, UNFPA has implemented 61 (66 per cent), 31 (33 per cent) are under implementation and 1 (1 per cent) is not implemented. As explained in section I.B of the present report, the status of implementation of the Board ' s recommendations set out below was validated by the Board.", "72. The number of recommendations increased from 60 to 93, owing in part to the issuance of a revised audit opinion for the biennium 2008-2009.", "Figure XI Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Population Fund", "[Chuckles]", "73. As shown in table 11, the overall implementation rate of UNFPA decreased slightly compared to the previous biennium in the following areas: financial statement matters; programme and project management (including national execution modality); and the Procurement Services Branch.", "Table 11 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Number of recommendations not implemented under implementation Number of recommendations not implemented Percentage of recommendations", "Progress towards IPSAS implementation", "Financial statement matters", "General trust funds 3 2 67 1 33 —", "End-of-service liabilities, including after-service health insurance", "Results-based management", "Treasury management 5 5,100 – –", "Programme and project management, including national execution", "Procurement and contract management", "Non-expendable property management", "Expendable property management", "Human resources management", "Consultants, experts and temporary assistance", "Procurement Services 17 10 59 7 41 —", "Internal audit function 2 2,100 – – –", "Transport and travel management", "Inter-agency coordination", "Total 93 61 66 31 33 1 1", "2006-2007 60 44 73 15 25 1 2", "74. The only outstanding recommendation relates to the accuracy, validity and completeness of census data provided by UNFPA to the actuary to calculate end-of-service liabilities. This recommendation can only be implemented in the context of the next actuarial valuation, scheduled for December 2011.", "75. Programme and project management (including national execution) had the largest number of recommendations (21 recommendations). The Board acknowledges the efforts made by management to implement the recommendations, which resulted in 62 per cent of the 21 recommendations being classified as implemented. This is a good sign that UNFPA has implemented due process to address the initial stages of the national execution process. The remaining recommendations can only be implemented upon completion of the national implementation cycle. The Board encourages management to keep these matters under review to ensure that improved processes and controls are maintained in order to properly manage the results of national execution reports.", "76. UNFPA informed the Board that most of the recommendations under implementation related to ongoing processes and were being implemented in a systematic manner in accordance with the management action plan. The Board notes that some of the recommendations under implementation relate to processes that UNFPA has already implemented. However, the Board was unable to validate these new processes or systems because they required extensive or substantive audits to assess the adequacy of the measures taken by management. This affected two recommendations relating to national execution, three related to leave management and one related to the Procurement Services Office.", "77. The Board is generally satisfied with the progress made by UNFPA, as implementation is in line with the objectives of the management action plan. The Board recognizes that certain recommendations can only be fully implemented in the preparation of financial statements at the end of the biennium and encourages management to keep these matters under review.", "J. United Nations Human Settlements Programme", "78. Of the 19 recommendations made by the Board of Auditors in respect of the accounts of the United Nations Human Settlements Programme (UN-Habitat) for the biennium 2008-2009 [10] (with 18 recommendations for the biennium 2006-2007), UN-Habitat implemented 10 (53 per cent), 7 (37 per cent) were under implementation and 2 (10 per cent) had not been implemented, as shown in figure XII and table 12.", "79. As indicated in section I.B above, the status of implementation of the Board ' s recommendations set out below was validated by the Board.", "Figure XII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Human Settlements Programme", "[Chuckles]", "Table 12 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "[TABLE]", "80. Table 12 shows a slight increase in the percentage of recommendations fully implemented, which is in line with the slight decrease in recommendations under implementation. In addition, the number of recommendations made remained at the same level as for the biennium 2006-2007.", "81. The Board noted that most of the recommendations made related to financial management and reporting. Half of the recommendations made in that regard had been fully implemented, while the remaining recommendations had either not been implemented or were in the process of being implemented. Of the five recommendations not fully implemented or not implemented at all, three relied on policy changes required at United Nations Headquarters and subsequent directives.", "82. Of the remaining four recommendations not fully implemented, three depend on the pace of the transition to IPSAS and the appropriate functionality to be added to the new enterprise resource planning system. UN-Habitat stated that it was working closely with the United Nations Office at Nairobi, its accounting service providers and the IPSAS/Umoja team to ensure that the requirements for the implementation of the recommendations were met in the configuration and roll-out of the new enterprise resource planning system. However, pending the roll-out of the new enterprise resource planning system, UN-Habitat has put in place oversight controls to monitor the use of journal vouchers.", "83. The fourth recommendation not fully implemented in the area of financial management and reporting relates to the inclusion of a column in its current Financial Information Management System (IMIS) to record contract numbers for the procurement of goods and services. UN-Habitat indicated that, as a result of the transition to an enterprise resource planning system, the enhancement of IMIS was currently suspended and that the only aspect of the recommendation that UN-Habitat had implemented to date was the continuous updating of the contract management database.", "84. With regard to the recommendation to fully automate the preparation of financial statements and the recommendation to update its inspection and control manual to improve the narratives contained therein, UN-Habitat has acquired a new tool, Business Objects, to reduce manual operations in the preparation of its accounts, which is currently being deployed. A review of the inspection and control manual has also been undertaken and has been updated.", "85. With regard to the Board ' s recommendation that UN-Habitat extend its inventory management system to field offices, the process is in progress and is to be completed by September 2011.", "K. United Nations Office on Drugs and Crime", "86. Of the 15 recommendations made by the Board of Auditors with respect to the accounts of the United Nations Office on Drugs and Crime for the biennium 2008-2009, as shown in figure XIII and table 13, the Office has implemented 1 (7 per cent), 9 (60 per cent) are under implementation and 5 (33 per cent) have not been implemented. As indicated in section I.B above, the status of implementation of the Board ' s recommendations set out below was validated by the Board.", "Figure XIII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Office on Drugs and Crime", "[Chuckles]", "Table 13 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by area of focus", "[TABLE]", "87. Table 13 reflects a decrease in the number of recommendations compared to the biennium 2006-2007. Only one recommendation has been fully implemented. The implementation rate decreased significantly compared to the implementation of 53 per cent of the Board ' s recommendations in the previous biennium. Of even greater concern was the fact that five recommendations (33 per cent) had not been implemented at all.", "88. Of the five outstanding recommendations, three were not accepted by the United Nations Office on Drugs and Crime.", "While there is an inherent risk of migration to Umoja and a need for planned and managed implementation, the United Nations Office on Drugs and Crime believes that coordination at the global Secretariat level is essential. Accordingly, the Umoja implementation strategy includes plans and has been funded to identify, analyse and relocate over 1,000 systems, stand-alone applications and reporting modules currently in use throughout the Secretariat. The Umoja team has developed a list of systems, including United Nations Office on Drugs and Crime applications, and is currently analysing the underlying data structure. The Unit has been in contact with the United Nations Office on Drugs and Crime for that purpose.", "The United Nations Office on Drugs and Crime understands that Umoja will present a detailed migration plan upon completion of the design and clarification of the roll-out sequence. At that time, the United Nations Office on Drugs and Crime will have a clearer understanding of the sequence of the exit of the system and data migration steps and will be able to take action on the recommendations. It believed that the global migration strategy was a much better approach than one that relied on local and uncoordinated initiatives. This centralized approach has been endorsed by the General Assembly. Nevertheless, the Board is of the view that the United Nations Office on Drugs and Crime should undertake an analysis of its specific needs and risks, in line with efforts at the global Secretariat level, in preparation for the new United Nations Umoja system.", "91. The United Nations Office on Drugs and Crime did not accept the recommendation on the accounting treatment of education grants. It noted that the standard practice for the United Nations as a whole was to treat the grant as an advance pending the receipt of proof of enrolment documents and that the basic nature of the education grant programme had not changed since its inception in 1976-1977. The United Nations Office on Drugs and Crime did recognize that the processing of education grants should be reviewed under IPSAS.", "92. With regard to the remaining two recommendations that had not yet been implemented, the United Nations Office on Drugs and Crime believed that it needed to await the adoption of United Nations policies and the adoption of consistent policies and procedures across the Secretariat. These recommendations relate to the recording of the United Nations regular budget in the statement of income and expenditure in the financial statements of the United Nations Office on Drugs and Crime and the establishment of a funding plan for end-of-service and post-retirement liabilities. In both cases, the Board is of the view that the United Nations Office on Drugs and Crime should actively liaise with the Secretariat in order to find a solution to these problems by the end of the biennium 2010-2011.", "93. The Board noted that the United Nations Office on Drugs and Crime had made progress on nine recommendations (60 per cent). However, the status of these recommendations can only be validated when the Board of Auditors obtains the financial statements for the biennium 2010-2011. These recommendations relate to the accuracy of data used in the calculation of a country bank account, the disclosure of actuarial assumptions and the computation of end-of-service liabilities, as well as differences in advances recorded by an implementing partner.", "94. The United Nations Office on Drugs and Crime is also addressing the remaining five recommendations under implementation. The United Nations Office on Drugs and Crime is in discussions with OIOS to update the memorandum of understanding and is implementing the matters identified by OIOS, with a target completion date of December 2011. It was seeking approval from senior management to formalize its internal control inventory procedures by May 2011 and was considering the impact of IPSAS on the revised leave liability policy, which had a target implementation date of December 2014.", "L. International Criminal Tribunal for Rwanda", "95. Of the 22 recommendations made by the Board of Auditors with respect to the accounts of the United Nations International Criminal Tribunal for Rwanda (ICTR) for the biennium 2008-2009 [12] (2006-2007, 8 recommendations), ICTR had implemented 7 (32 per cent), 14 (64 per cent) were under implementation and 1 (4 per cent) had not been implemented. The status of implementation of the Board ' s recommendations, as described in figure XIV and table 14, was validated by the Board.", "Figure XIV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: International Criminal Tribunal for Rwanda", "[Chuckles]", "Table 14 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Not implemented Not implemented", "Number of recommendations Number of recommendations Percentage of recommendations Number of recommendations Number of", "Unliquidated obligations 1 – 1 100 – –", "Results-based budgeting", "Completion strategy 1 – – 1,100 – –", "Legal aid system 1 – 1,100 –", "Procurement and contract management", "Property management 2 – 2,100 – –", "Human resources management 7 4 57 2 29 1 14 —", "IT 1 – 1,100 – –", "Internal audit function 2 – 2,100 –", "Total 22 7 32 14 64 1 4 —", "2006-2007 8 – 7 88 1 12 –", "96. During the biennium 2008-2009, the number of recommendations increased from 8 in the previous biennium to 22.", "97. The 14 recommendations are still under implementation, mainly because of ongoing work. For example, with regard to the recommendation on unliquidated obligations, the International Criminal Tribunal for Rwanda indicated that all unliquidated obligations were being reviewed on a monthly basis. A detailed review will be conducted on 30 June and 30 September 2011 to ensure that all unliquidated obligations are supported by appropriate valid documents by 31 December 2011. In addition, all unliquidated obligations will be allocated to the certifying officers concerned for a monthly review to ensure that they remain valid in accordance with the financial rules and regulations of the United Nations.", "98. Other reasons for the lack of full implementation of the recommendation included the use of outdated inventory management systems and the high turnover of staff resulting from the completion strategy. For example, in order to address deficiencies and deficiencies in the field assets control system, the International Criminal Tribunal for Rwanda indicated that it was moving to the Galileo inventory management system.", "99. The recommendation to review the need for long-vacant posts has not been implemented. Although the Administration has classified this recommendation as implemented, the Board considers that it has not been implemented, as the Administration has not provided any supporting documentation. The Board will review this matter in the context of its audit at the end of the biennium 2010-2011.", "M. International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991", "100. Of the 11 recommendations made by the Board of Auditors with respect to the accounts of the International Tribunal for the Former Yugoslavia (ICTY) for the biennium 2008-2009 [13] (2006-2007, 7 recommendations), ICTY had implemented 7 (64 per cent) and 4 (36 per cent) were under implementation. The status of implementation of the Board ' s recommendations, as described in figure XV and table 15, was validated by the Board.", "Figure XV Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: International Tribunal for the Former Yugoslavia", "[Chuckles]", "Table 15 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "[TABLE]", "101. As shown in table 15, the number of recommendations increased from 7 in 2006-2007 to 11 in 2008-2009. The implementation rate for the biennium 2008-2009 was 64 per cent, compared with 29 per cent for the previous biennium.", "102. The Board acknowledges the efforts made by the International Tribunal for the Former Yugoslavia to implement its recommendations. For example, in order to implement the recommendation on the disposal of non-expendable property through donations and free transfers, the International Tribunal for the Former Yugoslavia, in consultation with the Headquarters Property Survey Board, developed a designated procedure.", "103. Four recommendations are still under implementation. With regard to vacant posts for resident auditors, the recruitment process had been initiated and was currently being addressed by OIOS in New York. The remaining three recommendations relate to results-based budgeting, consultants and individual contractors and are currently being implemented. The Board will review the implementation of these recommendations in the context of its audit at the end of the biennium 2010-2011.", "N. United Nations Joint Staff Pension Fund", "104. Of the 43 recommendations made by the Board of Auditors with respect to the accounts of the United Nations Joint Staff Pension Fund (UNJSPF) for the biennium 2008-2009 [14] (2006-2007, 27 recommendations), the Fund had implemented 17 (40 per cent), 19 (44 per cent) were under implementation and 7 (16 per cent) had not been implemented, as shown in figure XVI and table 16. As explained in section I.B of the present report, the status of implementation of the Board ' s recommendations presented below was validated by the Board.", "Figure XVI Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Joint Staff Pension Fund", "[Chuckles]", "105. As shown in table 16, four areas showed evidence of a lower implementation rate: financial statement matters; end-of-service liabilities, including after-service health insurance; non-expendable property management; and pension fund management.", "Table 16 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Not implemented Not implemented", "Number of recommendations Number of recommendations Percentage of recommendations Number of recommendations Number of", "Progress towards the implementation of IPSAS 1 – 1,100 –", "Financial statement matters 18 5 28 11 61 2 11 —", "Investment management 4 3 75 1 25 – –", "End-of-service liabilities, including after-service health insurance", "Non-expendable property management", "Human resources management", "Fund administration 5 2 40 1 20 2 40 — —", "Pension payments 1 – 1,100 –", "IT 6 467 1 17 1 16 —", "Total 43 17 40 19 44 7 16 —", "2006-2007 27 11 41 11 41 4 14 1 4", "106. As shown in table 16, the increase in the number of recommendations compared to the biennium 2006-2007 is due mainly to the issuance of revised audit opinions. The rate of implementation of recommendations for the biennium 2008-2009 remained essentially the same as for the previous biennium, both for fully implemented recommendations and for those under implementation.", "107. One of the recommendations not implemented relates to the timely submission of financial statements to the Board of Auditors. The Fund informed the Board that it had not been able to submit its report on time by the 31 March deadline owing to the need to reconcile payments made by member organizations of the Fund and to verify external reports sent by the master record keeper.", "108. Another outstanding recommendation relates to the formalization of arrangements for the Fund to administer the UNU Endowment Fund. The Investment Management Service indicated that the roles and responsibilities of both parties were being restated and formalized.", "109. The two outstanding recommendations under end-of-service liabilities relate to the development of a funding plan for end-of-service liabilities and the disclosure of the major actuarial assumptions used by the actuary in the valuation of end-of-service liabilities. The Board was informed that the preparation of the funding plan had been discontinued pending the development by the United Nations Secretariat of a plan to pay one third of the Fund ' s end-of-service liabilities. Therefore, there are no funding plans at present. With regard to the disclosure of major actuarial assumptions, the Fund indicated that it would carry out an actuarial valuation of its end-of-service liabilities in December 2011 and that the recommendation could therefore only be addressed in the financial statements at the end of the biennium.", "110. The recommendation not implemented under information technology relates to the need for the Fund to develop and approve comprehensive user account management procedures to ensure that user accounts are properly managed. As at the validation date, the Fund had still not established user account management procedures.", "111. The Board noted that the majority of its recommendations were classified as being implemented and that full implementation would be required in the preparation of the financial statements at the end of the biennium. However, the Board is concerned that seven recommendations have not been implemented, which indicates that the Fund has not initiated the process of implementing them.", "United Nations Office for Project Services", "112. Of the 59 recommendations made by the Board of Auditors in respect of the accounts of the United Nations Office for Project Services (UNOPS) for the biennium 2008-2009 [15] (2006-2007, 95 recommendations), UNOPS has implemented 39 (66 per cent) and 20 (34 per cent) are in progress, as shown in figure XVII and table 17. As explained in section I.B of the present report, the status of implementation of the Board ' s recommendations presented below was validated by the Board.", "Figure XVII Overall status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009: United Nations Office for Project Services", "[Chuckles]", "Table 17 Status of implementation of the recommendations of the Board of Auditors for the biennium 2008-2009, by main area", "Number of recommendations implemented No implementation under implementation Number of areas overtaken by events Percentage of recommendations Percentage of recommendations Number of recommendations", "Financial statement disclosure", "Inter-fund balances", "End-of-service liabilities, including after-service health insurance", "Progress towards the implementation of the International Public Sector Accounting Standards", "Treasury management 3 2 66 1 34 – –", "Asset management 10 9 90 1 10 – –", "Human resources management", "Procurement 1 1 100 – – – –", "IT 4 3 75 1 25 – –", "Project management 22 14 64 8 36", "Total 59 39 66 20 34 – – –", "2006-2007 95 37 39 48 51 4 4 6 6", "113. Table 17 shows a significant increase in the number of recommendations for the biennium 2008-2009 compared to the previous biennium, which indicates that UNOPS has taken the corrective action required in response to the Board ' s concluding observations and recommendations. The implementation rate also increased from 39 per cent to 66 per cent. However, the rate of implementation of recommendations relating to IPSAS and project management was low.", "114. The recommendations under implementation are in line with the management action plan. A total of 5 (25 per cent) of the 20 recommendations under implementation related to IPSAS and UNOPS has initiated action to implement them. The other eight (40 per cent) were related to project management, and UNOPS is in the process of implementing them in line with management implementation targets.", "115. The Board noted increased cooperation between UNOPS and UNDP, including the upgrading of inter-fund balances to their respective management. As a result, the unreconciled differences in inter-fund accounts were reduced. However, there are some remaining amounts that need to be resolved by both parties. This underscores the need for UNDP and UNOPS to continue to work together to analyse and address these differences in a timely manner.", "116. The Board is generally satisfied with the rate of implementation of UNOPS recommendations, as their implementation is in line with the UNOPS action plan and the process of tracking and monitoring progress is in place.", "Acknowledgement", "117. The Board wishes to express its appreciation for the cooperation and assistance extended by the United Nations organizations and their staff in the preparation of the present report by the Board ' s teams.", "Auditor-General of the People ' s Republic of China", "(Signed) Liu Jiayi", "Auditor-General of the Republic of South Africa and Chairman, United Nations Board of Auditors", "(Signed) Terence Nombembe", "Comptroller and Auditor-General of the United Kingdom of Great Britain and Northern Ireland", "Permanent Representative", "12 July 2011", "Appendix", "Status of implementation of the recommendations of the Board of Auditors for the biennium 2006-2007 as at 31 March 2009", "Not implemented Not implemented", "Number of recommendations Number of recommendations Percentage of recommendations Number of recommendations Number of", "United Nations Secretariat", "International Trade Centre UNCTAD/WTO", "UNU 21 13 62 7 33 – – 1 5", "United Nations Development Programme", "United Nations Children ' s Fund", "United Nations Relief and Works Agency for Palestine Refugees in the Near East", "United Nations Institute for Training and Research", "United Nations Environment Programme", "UNFPA 60 44 73 15 25 1 2 —", "United Nations Human Settlements Programme", "United Nations Office on Drugs and Crime", "International Criminal Tribunal for Rwanda", "International Criminal Tribunal for the Former Yugoslavia", "United Nations Joint Staff Pension Fund", "United Nations Office for Project Services", "Total 507 238 47 237 46 19 4 13 3", "2004-2005 (percentage)", "2002-2003 (percentage)^ (a) 509 235 46 230 45 44 9", "Source: Report of the Board of Auditors on the implementation of its recommendations relating to the bienniums 2004-2005 and 2006-2007 (see A/62//120 and A/64/98, respectively).", "(a) Status of implementation of the recommendations contained in the report of the Board of Auditors for the biennium 2002-2003 as at 31 May 2005 (data taken from A/60/113, annex), showing the relative rate of implementation of the Board ' s recommendations over two consecutive bienniums.", "[1] See Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 5 (A/65/5), vol. I, chap. II.", "[2] Ibid., vol. III, chap.", "[3] Ibid., vol. IV, chap.", "[4] Ibid., Supplement No. 5A (A/65/5/Add.1), chap.", "[5] Ibid., Supplement No. 5B (A/65/5/Add.2), chap. II.", "[6] Ibid., Supplement No. 5C (A/65/5/Add.3), chap. II.", "[7] Ibid., Supplement No. 5D (A/65/5/Add.4), chap. II.", "[8] Ibid., Supplement No. 5F (A/65/5/Add.6), chap. II.", "[9] Ibid., Supplement No. 5G (A/65/5/Add.7), chap. II.", "[10] Ibid., Supplement No. 5H (A/65/5/Add.8), chap. II.", "[11] Ibid., Supplement No. 5I (A/65/5/Add.9), chap. II.", "[12] Ibid., Supplement No. 5K (A/65/5/Add.11), chap. II.", "[13] Ibid., Supplement No. 5L (A/65/5/Add.12), chap. II.", "[14] Ibid., Supplement No. 9 (A/65/9), chap. II.", "[15] Ibid., Supplement No. 5J (A/65/5/Add.10), chap. II." ]

[ "第六十六届会议", "^(*) A/66/50。", "暂定项目表^(*) 项目100(c)", "审查和执行大会第十二届 特别会议的《结论文件》", "联合国和平、裁军与发展拉丁美洲和加勒比区域中心", "秘书长的报告", "摘要", "本报告概述联合国和平、裁军与发展拉丁美洲和加勒比区域中心2010年7月至2011年6月期间开展的活动。", "应会员国请求，区域中心在本报告所述期间的活动重点是协助会员国处理本区域公共安全面临的最严重威胁之一：火器、弹药和爆炸物的非法贩运和使用。该中心为本区域各国采取包括有力的火器管制措施在内的协调一致区域办法处理这一威胁提供了支助，从而为打击这一祸害作出了贡献。", "同样在本报告所述期间，区域中心在安第斯和加勒比两个次区域都实施了一揽子援助项目。这些有针对性的一揽子项目提供了一个业务架构，该中心在这个架构中向两个次区域的各国提供了援助，援助领域范围包括改善火器库存的安全和建立国家火器委员会，以及对执法人员的火器专门培训和对火器管制的比较立法研究。该中心就范围广泛的问题提供了能力建设、培训和政策、技术和法律方面的援助，这些问题包括火器管制及减少和预防武装暴力的各个方面。", "区域中心协助会员国组织了会议和讲习班，以讨论实现无核武器世界的具体行动，并通过关于在该区域执行安全理事会第1540(2004)号决议的培训，为国家实体提供了能力建设专门知识，从而推动了秘书长关于核裁军五点建议的落实。", "此外，在本报告所述期间，区域中心通过经常预算和预算外资源加强了其人员配置。不过，该中心仍依赖预算外资源维持和执行其所有方案。秘书长要感谢那些以资金和实物捐助支持了区域中心业务和方案的会员国和其他合作伙伴，并呼吁有能力的各方为该中心提供自愿捐助。", "目录", "段次\t页次\n1.导言 5\n2.运转情况和任务规定 5\n3.主要活动领域 5\nA.公共安全 6\n1.区域背景 6\n2.加勒比区域 7\na.火器销毁和库存管理 7\nb.减少和预防武装暴力 8\n3.中美洲区域 8\na.协调机制 8\nb.关于火器问题的法律框架 8\nc.火器管制和管理 9\nd.减少和预防武装暴力 9\ne.私营安保 9\nf.合作与安全对话 10\n4.安第斯区域 10\na.控制火器执法培训 10\nb.性别观点主流化 11\nc.关于火器的法律框架 11\nd.全国委员会 12\n5.南锥体区域 12\na.公共安全对话 12\nb.关于小武器和武器贸易条约的行动纲领 13\nB.大规模杀伤性武器 13 \n4.人员配备、筹资和管理 13\nA.财政 13\nB.人员编制和管理 14\n5.结论 14\n附件:联合国和平、裁军与发展拉丁美洲和加勒比区域中心信托基金2010年的状况 15", "一. 导言", "1. 大会在其第65/79号决议中，重申坚决支持联合国和平、裁军与发展拉丁美洲和加勒比区域中心发挥作用，促进联合国在区域和次区域两级开展活动，加强区域和平、裁军、稳定、安全与发展。大会还鼓励该中心在该区域所有国家就和平、裁军与发展重要领域进一步开展活动，并请秘书长向大会第六十六届会议报告该决议的执行情况。", "2. 本报告依照上述要求提交，涵盖区域中心2010年7月至2011年6月期间的活动。区域中心信托基金2010年财务状况报表载于本报告附件一。", "二. 运转情况和任务规定", "3. 1987年，根据大会第41/60 J号决议，在利马设立了联合国和平、裁军与发展拉丁美洲和加勒比区域中心。它是联合国裁军事务厅区域裁军处的一部分。该中心的任务是应本区域各会员国的请求，为执行和平与裁军措施以及促进经济社会发展的各项举措和其他活动提供实质性支助。", "三. 主要活动领域", "4. 区域中心为该区域各国提供能力建设和培训以及技术、法律和政策援助，以期实现可持续和平与安全。", "5. 在本报告所述期间，由于该区域会员国提出的援助请求以及国际和次区域伙伴提出的协作请求都有所增加，区域中心的活动大幅度增加。该中心已被其伙伴确认在从大规模毁灭性武器不扩散到美洲公民安全等广泛专题方面拥有专长和知识。它的活动重点是通过能力建设和培训以及技术和法律援助，支助该区域各国打击非法贩运火器、弹药和爆炸物的行为。该中心还从事裁军、军备控制和不扩散方面的外联和宣传活动。该中心利用自己在这些领域的经验和专长，制订了一系列次区域一揽子援助项目，以期根据该区域各会员国的实际需要，为它们面临的军备控制挑战提供一个全面对策。", "6. 区域中心继续开办打击非法贩运火器问题机构间培训班，该培训班在中美洲一体化体系一次会议上被授予了一项最佳做法奖(区域军控类)。[1] 该中心还经常编写适应具体需要的补充培训单元和技术情况通报说明。例如，该中心为更新关于火器和爆炸物的国家立法推出了新的培训单元。制备这些单元是为了培训司法系统人员，其中包括检察官和法官。", "7. 在区域中心的方案中，预防和减少武装暴力的行动也具有强烈特色。采取这些行动的方式是为安保和发展部门的官员在他们努力改进与私营安保和边境管制有关的减少武装暴力政策的过程中开展外联和宣传活动。", "8. 区域中心为加勒比国家提供了援助，以改善库存安保管理和销毁多余的火器及弹药。", "9. 安第斯共同体通过《安第斯全面预防、打击和消除小武器和轻武器非法贸易计划》(安第斯共同体第552号决定)之后，区域中心为该次区域各国执行这一计划提供了援助。该中心在比较法律研究和设立国家火器委员会方面为共同体提供了法律和技术援助。", "10. 区域中心还通过进行一次全面的次区域立法研究，为中美洲国家提供了法律支助。", "11. 最后，区域中心参与了同南锥体国家的政策对话和宣传努力，以期推动裁军和不扩散活动。", "A. 公共安全", "1. 区域背景", "12. 非法火器助长了暴力犯罪，对拉丁美洲和加勒比许多国家的公共安全构成了严峻挑战。该区域人口略高于全世界人口的10%，却占了全世界火器凶杀案的40%以上。[2] 与世界其他区域不同的是，这一区域的武装暴力往往发生在非冲突环境中。该区域不断增多的武装暴力是对安全的重大威胁，并对社会经济发展具有严重的负面影响。", "13. 火器和弹药在该区域的非法渠道和黑市加剧了境内和跨境游击活动和暴力犯罪。监测不善和管制松懈的边界往往被犯罪团伙和非法贩运者利用。在拉丁美洲和加勒比区域，把安保事务外包给私营保安公司等私营部门运营者的做法也有所增加。这一现象正在产生对武器的新需求，并在改变整个区域的军火市场格局，也对火器管制构成了新的挑战。", "14. 为应对这些挑战，该区域各国率先为制订适当的军控和裁军文书作出了努力，以解决与安全有关的问题。在这方面，区域中心已加强了努力，协助各国建立能力和促进国家间合作，以打击非法火器。通过其有针对性的次区域一揽子援助项目，该中心与各国密切合作采取有力的国家和次区域举措，以解决非法贩运和使用火器、弹药和爆炸物构成的威胁。", "2. 加勒比区域", "(a) 火器销毁和库存管理", "15. 在加勒比区域，与火器有关的犯罪、暴力和死亡率正在上升。为解决这一安全挑战，一个重要方面就是改善各国火器和弹药库存的安保，防止它们流入非法渠道。在这方面，许多加勒比国家已将库存武器的安全和安保置于国家安全议程的重要地位。", "16. 在这方面，应加勒比国家提出的援助请求，区域中心制订和实施了加勒比国家(安提瓜和巴布达、巴哈马、伯利兹、多米尼加共和国、格林纳达、牙买加、圣卢西亚、圣文森特和格林纳丁斯、特立尼达和多巴哥)火器销毁和库存管理一揽子援助项目。这一项目的执行得到了美利坚合众国的财政支持。", "17. 在执行这一项目的过程中，区域中心为加勒比各国举办了最佳做法讲习班，以重温安全储存及销毁武器的国际标准和确定各个国家的需要。讲习班之后，该中心与国家当局协作进行了六次评估考察(安提瓜和巴布达、巴哈马、伯利兹、多米尼加共和国、圣卢西亚、特立尼达和多巴哥)，[3] 以衡量参加国的能力并了解它们是否具有实行火器销毁和库存管理方案所必需的国家法律框架及技术能力。", "18. 这些评估考察的结论被输入了2010年12月8日和9日在西班牙港举办的联合国加勒比火器销毁和库存管理问题区域讲习班通过的受援国国家行动计划。这些计划勾勒了能力建设和更新国家火器立法的短期和长期战略，其中包括确保35处火器库存设施的安全和销毁在这些受援国确认的50 000件火器及35 000吨弹药的具体步骤。", "19. 这些国家行动计划还包括呼吁各国加速遵守国际裁军文书的建议。在此情况下，圣文森特和格林纳丁斯在2010年下半年批准了联合国火器议定书并加入了《特定常规武器公约》和《集束弹药公约》。", "20. 根据这一项目，加勒比各国保证要放弃以前处置武器时的深海倾倒做法。它们还创建了一个专家知识群体并指定了国家协调中心，负责协调国家行动计划的执行和参与次区域一级的对话与合作。", "21. 在该项目第二阶段，区域中心将为九个加勒比国家执行国家行动计划提供援助，其中包括能力建设和提供法律、政策和技术支助。在这一阶段，预计还有另外三个加勒比国家参加。", "(b) 减少和预防武装暴力", "22. 关于预防武装暴力，区域中心在牙买加开展了推动武装暴力预防方案的活动，该方案由联合国六个机构(联合国开发计划署、世界卫生组织、联合国儿童基金会、联合国裁军事务厅、联合国人类住区规划署以及联合国毒品和犯罪问题办公室)协调。该方案旨在通过支助制订一个国际政策框架促进有效应对武装暴力，这一框架的基础是对武装暴力的原因、性质和影响的清楚理解以及减少和预防暴力举措中产生的最佳做法。该方案的牙买加部分是2010年9月6日至11日执行的一项机构间特派任务的成果。起草了拟订武装暴力预算方案，通过这次任务起草了拟订武装暴力预防方案的建议，区域中心是火器管制援助方面的牵头机构。", "3. 中美洲区域", "23. 中美洲正面临着有组织犯罪和贩毒导致的越来越严重的武装暴力威胁，而各种非法火器可轻易取得的状况使形势更加恶化。非法武器加剧和维持了政治暴力和刑事暴力，从而对社会秩序、良政、人的安全和法治构成了严重威胁。", "(a) 协调机制", "24. 中美洲一体化体系成员国[4] 为建立旨在改善公共安全方面次区域协调的政策和框架作出了协调一致的努力，其中特别值得一提的是中美洲一体化体系《中美洲民主安全框架条约》。由中美洲一体化体系成员国、西班牙政府和联合国开发计划署组织的中美洲知识博览会汇聚了来自各方的执行人员，以拟订一项战略，处理该次区域关键的安全问题，包括火器管制问题。区域中心被任命为该战略之下军备控制小组的技术顾问。该中心以此身份为中美洲一体化体系民主安全议程提出了一批需要优先处理的问题，该议程将界定执行《民主安全框架条约》需要采取的具体行动。", "25. 在本报告所述期间，区域中心在西班牙政府和瑞典政府的财政支持下，在中美洲组织了两次全国性的机构间培训班，约120名执法和司法人员(警察、情报、海关、检察和司法调查人员)参加了2010年7月19日至30日在巴拿马城和2011年5月16日至27日在危地马拉城开办的培训课程。培训班强化了学员对打击非法火器各方面问题的了解和理解，其中包括机构间协调、追踪和调查非法武器、起诉非法贩运者以及执行与火器、小武器和轻武器有关的国际和区域文书。", "(b) 关于火器问题的法律框架", "26. 根据中美洲一体化体系民主安全议程的优先事项并应美洲国家组织(美洲组织)的请求，区域中心就国家火器立法与《美洲国家禁止非法制造和贩运火器、弹药、爆炸物及其他相关材料公约》所规定义务的兼容程度进行了六项法律比较研究。这些比较研究发现了一些国家立法中的疏漏，并确定了加强法律框架的先决条件和一种协调一致的区域立法途径。", "27. 2010年7月，区域中心应请求就巴拿马的火器立法修正草案提出了法律评论意见，而在2010年12月，又就多米尼加共和国的火器立法草案提出了法律评论意见。意见确定了这些立法草案文本所载条款与火器相关全球和区域文书所规定义务之间的差距。此外，该中心还为使这些立法草案与全球和区域法律文书保持一致提出了建议。", "(c) 火器管制和管理", "28. 应危地马拉国家预防小武器和武装暴力委员会的请求，区域中心就火器的定义、分类和火器及小武器弹药库存管理的国际标准提供了咨询。应美洲组织的请求，该中心在2011年1月26日至28日于危地马拉城举行的美洲组织火器销毁和库存管理讲习班期间，向中美洲国家、墨西哥和哥伦比亚介绍了武器收集方案中的经验教训。", "(d) 减少和预防武装暴力", "29. 关于武装暴力与发展之间的关联，重要的是在发展与安全部门之间建立桥梁，以制订用整体方式处理武装暴力的方案。在2010年11月16日至18日于危地马拉安提瓜召开的一次减少和预防武装暴力问题研讨会上，来自中美洲国家、联合国和民间社会组织的与会者交流了预防和减少武装暴力的经验和最佳做法。[5] 这次研讨会为加强各国、国际组织、专业机构和民间社会组织之间的合作提供了一个机会。在会上，区域中心介绍了它关于该区域校园武装暴力问题的研究结果。这一研究后来被进一步发展并导致制订了一项旨在预防和减少非洲、亚洲和太平洋以及拉丁美洲和加勒比校园内火器扩散的跨区域项目提案。这一成果显示了联合国三个和平与裁军区域中心之间协调和运用协同增效办法的价值和重要性。", "(e) 私营安保", "30. 区域中心制订了一套私营安保与法治工具，重点是火器库存管理导则和法律框架。它将召开一次区域专家组会议，会同来自国家监管部门、国际和区域组织、联合国各机构和民间社会的专家一道审查这套工具。", "31. 区域中心与弗里德里希-埃伯特基金会和开放社会研究所合作，向各国提供了处理安保私营化问题的技术援助。该中心强调指出，私营安保公司有义务管理好它们的小武器和轻武器库存的安全保障。", "(f) 合作与安全对话", "32. 区域中心与阿里亚斯和平与人类进步基金会合作，协助该区域各国处理火器贩运和转让问题。在一系列四场区域研讨会[6] 上，该中心向来自拉丁美洲国家的决策者提供了技术指导，以支持国家和次区域的裁军和军备控制措施，并对在执行有关小武器、轻武器和火器的国际和区域文书方面的进展进行了一次审查。", "33. 区域中心与联合国其他实体合作，在一系列问题上为巴拿马政府提供了技术援助，这些问题的范围包括公民安全、人权和以商人为目标的武装暴力。这一活动是2010年7月23日和2011年2月19日在巴拿马城就公民安全问题持续开展对话的一部分，目的是在与保障国家首都公民安全的公共政策管理有关的问题上建立国家政府和市政府官员的能力。该中心工作人员还应邀作为培训员参加了旨在建立巴拿马政府官员能力的关于市民安全的公共政策管理的经常性培训。", "4. 安第斯区域", "34. 火器的非法贩运和日益增加的武装暴力对安第斯次区域的新兴民主国家构成严重威胁，破坏了人类的安全和社会经济发展。武装暴力与其他安全问题，如政治不稳定和贩毒造成的社会动荡，是相关联的。目前在整个安第斯次区域成千上万的非法火器在流通。武装暴力的激增在一些南美国家中再次引发了有关“枪支管制”的辩论，反枪行动的支持者要求就禁止向平民销售火器问题举行国家公投。", "35. 为应对这一威胁，制订了许多国家和次区域倡议，其中包括建立国家火器委员会和开展加强国家火器立法的运动。为了协助各国的努力，联合国和其他利益相关者可以帮助建设各国内部和国家之间的能力并促进协调，以加强他们的能力，有效地解决这一从多个方面威胁社会和公共安全的因素。", "36. 在这方面，区域中心编制了多年期安第斯地区火器政策和技术援助一揽子计划，旨在通过加强火器管制和预防犯罪提升公共安全。该项目得到了加拿大政府的财政支持。", "(a) 控制火器执法培训", "37. 区域中心在4个月期间内，在4个安第斯国家都开办了机构间培训班。[7] 共240名国家执法和司法机构的人员，包括54名妇女参加了培训。", "38. 区域中心的机构间培训班介绍的是在跟踪和调查非法贩运火器时如何进行适当的文件和证据收集，以防止武器贩运案件出现有罪不罚的现象。在秘鲁和哥伦比亚举办的课程产生了重大影响，因为这两个课程的对象都是执法能力薄弱地区的省级执法和司法官员。通过运用区域中心开发的机构间培训班期间获得的技术和程序，一批接受培训的秘鲁执法人员能够有效地使用这些技术，并成功地缴获了大量非法跨境走私弹药，并对肇事者进行了检控。", "39. 加强边境管制是打击非法贩运火器的关键。鉴于整个次区域此类贩运情况复杂且具跨国性质，这尤其如此。在这方面，区域中心组织了两国或三国培训，以加强次区域各国之间的协调和合作，取得打击跨境贩运的执法行动的有效性和协同性。", "(b) 性别观点主流化", "40. 如安理会第1325(2000)号决议所强调，妇女的参与是确保和平与安全的重要组成部分，认识到这一点，区域中心于2010年11月22日至12月3日在利马举办了首期专门以在安第斯地区从事火器控制工作的妇女为对象的机构间培训班。课程汇聚了37名女警官，[8] 目的是加强她们在火器管制各个方面的知识和能力，促进多部门合作，从而加强国家有效执行国际和区域火器管制文书的能力。这一专门针对妇女的培训课程恰逢安全理事会第1325(2000)号决议10周年和大会通过题为“妇女、裁军、不扩散和军备控制”的第65/69号决议，后者确认“妇女对地方、国家、区域和次区域各级防止和减少武装暴力和武装冲突以及促进裁军、不扩散和军备控制方面采取的实际裁军措施的重要贡献”。", "41. 在区域中心的努力下，与前一报告期间相比，妇女参加机构间培训班的人数增加了30%。这与执行联合国裁军事务厅性别观点主流化行动计划和安全理事会第1325(2000)号决议是相符的。", "(c) 关于火器的法律框架", "42. 区域中心在法律和政策方面帮助4个安第斯国家执行国际和次区域小武器和轻武器管制文书。它对各国国内法律规定和有关国际和区域文书的法律规定进行了比较研究，以使二者协调一致。2011年2月4日，区域中心还在基多为政策制定者举办了关于国际和区域火器文书的国家研讨会。研讨会汇集了不同的国家部门负责火器管制的官员和决策者，讨论了如何确保正在发展中的火器法如何履行有关国际和区域文书所载的主要义务。2011年4月11日和12日，区域中心还在拉巴斯组织了次区域研讨会，以审查具有法律约束力的《安第斯全面防止、打击和消除小武器和轻武器非法贸易计划》(安第斯共同体第552号决定)执行进展情况。在研讨会上，区域中心介绍了对多民族玻利维亚国、哥伦比亚、厄瓜多尔和秘鲁进行的次区域法律比较研究的情况。", "43. 为支持《哥伦比亚火器管制国家行动计划》的执行工作，区域中心于2011年2月24日至25日在波哥大为司法人员举办了爆炸物问题研讨会，30名法官和检察官参加了对国家爆炸物立法的审查。", "44. 区域中心与联合国毒品和犯罪问题办公室(禁毒办)、哥伦比亚国家火器委员会和冲突分析资源中心合作，共同举办了研讨会，以审查哥伦比亚国家火器的立法及其执行情况。", "(d) 全国委员会", "45. 区域中心通过分别于2011年2月17日和2011年3月1日在基多和拉巴斯举办的两次能力建设研讨会支持厄瓜多尔和多民族玻利维亚国建立了国家火器委员会。在厄瓜多尔举办研讨会后于2011年4月建立了厄瓜多尔国家火器、弹药和爆炸物委员会，在拉巴斯举办的研讨会推动了在该国建立国家火器委员会的进程。", "5. 南锥体区域", "46. 一些南锥体国家也面临着严重的犯罪和武装暴力问题，包括杀人和抢劫。据估计，非法持有的火器数量可能超过合法注册的武器。南锥体国家也拥有较强的火器和弹药生产能力。南锥体报告的涉及非法贩卖火器的案件既牵扯到在该次区域内生产的武器，也牵扯到在该次区域外生产的武器。", "47. 南锥体国家一直一马当先，努力通过严格的国家和次区域的控制框架防止和打击非法贩运常规武器的行为。该中心促进南锥体国家之间交流经验和专业知识，进行政策对话。", "(a) 公共安全对话", "48. 区域中心被美洲组织选为主要的火器问题的执行伙伴。在2010年11月在圣地亚哥举行的美洲组织公共安全专家会议上，区域中心以执行伙伴身份参与确定了会议议程，在讨论过程中分享了专业知识，就火器对公共安全的影响问题作了发言。", "49. 在2010年8月4日美利坚合众国政府在布宜诺斯艾利斯组织举办的关于南美打击非法贩运小武器和轻武器问题会议上，区域中心阐述了本区域对南锥体国家非法火器贩运构成的挑战的观点。", "(b) 关于小武器和武器贸易条约的行动纲领", "50. 区域中心支持联合国裁军研究所(裁研所)于2011年4月27日至29日在蒙得维的亚组织举办了拉丁美洲和加勒比关于武器贸易条约的区域研讨会。区域中心继续应要求支持本区域各国参加武器贸易条约进程。", "51. 区域中心也一直在积极促进跨区域的能力和取得的经验教训，以便更有效率地整理和使用在打击非法贩运火器方面的专业知识。它促进了拉丁美洲和加勒比地区各次区域的国家之间交流和共享最佳做法和经验教训。", "B. 大规模杀伤性武器", "52. 区域中心积极支持会员国促进核裁军，特别是秘书长关于核裁军问题的五点建议。区域中心在2010年11月8日至9日乌拉圭政府、全球反战行动和弗里德里希·艾伯特基金会在蒙得维的亚合办的核裁军和无核武器世界的区域研讨会上详细介绍了五点建议。", "53. 2010年11月9日至11日，区域中心与美国政府合作在利马举行了关于执行安全理事会第1540(2004)号决议的区域讲习班。阿根廷、巴西、哥斯达黎加、秘鲁、联合国安理会第1540号决议所设委员会及中美洲一体化系统和加勒比共同体和共同市场等次区域组织的政府官员和专家，讨论了加强各国执行第1540号决议能力的区域战略。在研讨会上，与会者表示希望在区域中心机构间培训班中添加一个培训模块，阐述大规模杀伤性武器问题，特别是进/出口和边境管制问题。", "四. 人员配备、筹资和管理", "A. 财政", "54.根据大会第41/60 J号决议的规定，区域中心是利用现有资源及会员国和有关组织为支持其核心业务和方案活动而提供的自愿捐款成立的。在本报告所涉期间，区域中心信托基金收到了2 541 373美元的自愿捐款。[9] 秘书长对加拿大、哥伦比亚、圭亚那、巴拿马、秘鲁、西班牙、瑞典和美利坚合众国政府以及美洲组织对区域中心慷慨的财政捐助表示感谢，这对于区域中心开展所有方案和活动是必不可少的。关于区域中心信托基金2010年状况的资料载于本报告附件一。", "55. 经过区域中心的资源调动工作，与加拿大和美利坚合众国政府及建立了新的伙伴关系。来自这些合作伙伴关系的多年期项目，使中心能够在安第斯和加勒比地区开展公共安全援助计划/活动。由于会员国提出的协助请求增多，再加上区域中心利马总部的生活成本增加，导致区域中心的财政资源紧张。在这方面，秘书长感谢区域中心的东道国——秘鲁提供年度捐款，并呼吁该国继续向提供必要的财政和其他支持，以抵消其运营成本的上扬。", "56. 区域中心也得益于与本区域的其他重要的伙伴，如美洲组织、开发署、中美洲小武器和轻武器控制计划和禁毒办区域和国家办事处的密切合作和联合行动。这些伙伴组织向区域中心提供实物捐助以及费用分摊安排，这极大地帮助该中心实施其计划和活动。", "57. 对于美洲组织和区域中心为解决本区域的裁军和不扩散领域的紧迫问题而开展的合作和共同作出的努力，包括实施具体的联合项目，秘书长表示认可。", "B. 人员编制和管理", "58. 在本报告所述期间，区域中心通过为安第斯和加勒比地区招聘专家加强了公共安全方案队伍。区域中心还利用额外的工作人员充实了内部的法律专业能力。在增加项目工作人员和顾问后，区域中心提高了应对本区域会员国日益增加的援助请求的成效，并更好地满足它们在裁军和安全领域的需要。", "59. 为了有效地履行其职责，区域中心必须有一支由技术精湛的专业人员和辅助人员组成的稳定的核心团队。在这方面，秘书长感谢会员国和其他捐助者为加强和维护区域中心的核心工作人员而提供的宝贵支持。", "60. 区域中心仍然仅仅依靠自愿财政捐款制定和执行其在本区域的所有方案。这些捐款对于针对会员国的要求实施项目和活动而聘用项目人员，同样必不可少。", "五. 结论", "61. 在本报告所述期间，区域中心应本区域会员国的请求开展了40多项实质性活动。会员国的援助请求的数量显著增加，这表明区域中心所做的工作对于本区域的裁军和安全领域的优先工作是有价值的。", "62. 非法火器严重破坏本区域的安全、稳定和社会经济发展，区域中心增加了其向会员国提供的打击非法火器的援助。区域中心的援助方案包括执法能力建设、库存管理和边境安全方面的技术援助，为促进执行全球和区域裁军和不扩散文书而提供的法律和政策支持。", "63. 区域中心在执行其计划和活动的过程中，与会员国、区域和次区域组织、联合国其他实体和民间社会组织建立了牢固的伙伴关系。", "64. 秘书长再次呼吁力所能及的会员国和其他合作伙伴，向区域中心提供必要的财政和实物支持，以确保区域中心可以继续有效地履行其职责和满足本区域会员国的需要。", "附件", "联合国和平、裁军与发展拉丁美洲和加勒比区域中心信托基金2010年的状况", "(单位：美元)", "2010年1月1日储备金和基金余额 1 304 229", "2010年1月1日至12月31日收入", "自愿捐款 2 541 373^(a)", "根据组织间安排收到的资金 21 000", "利息收入 40 965", "其他/杂项收入 75 895", "总收入 2 679 233", "2010年1月1日至12月31日支出 1 906 908", "方案支助费用 247 924", "总支出 2 154 832", "向捐助者退款 (183 492)", "2010年12月31日储备金和基金余额 1 645 138^(b)", "注：本资料的依据是2010年收支报表。在2011年1月1日至5月30日期间，又总共收到334 292美元的捐款，分别来自：加拿大(191 836美元)、圭亚那(1 000美元)和西班牙(141 456美元)。", "^(a) 总共收到2 541 373美元的捐款，分别来自：加拿大(1 176 843美元)、哥伦比亚(2 500美元)、圭亚那(1 000美元)、美洲组织(21 000美元)、巴拿马(1 000美元)、秘鲁(30 000美元)、西班牙(351 800美元)、瑞典(551 870美元)和美利坚合众国(405 360美元)。", "^(b) 包括2010年1月1日储备金和基金余额，加上2010年收入，减去2010年支出和向捐助者的退款。", "[1] 为期10天的培训班包括为武装部队、警察、情报、司法和海关人员举行的现场模拟演练。培训班对学员进行了火器和弹药识别及追踪的技术方面以及防止和打击非法贩运火器、弹药和爆炸物行为所需技术和机构协调技能方面的训练。培训班的实战演练再现了从情报收集到向法官提出证据的全过程。人权、性别平等觉悟和儿童保护等共有问题也被列为重点培训内容。培训班还为全区域执法官员提供了一个分享个人及国家的经验教训和最佳做法的机会。它有助于改进国家机构间的协调，对国家火器委员会的机构成员而言，是更好地执行国家行动计划的一件重要工具。因此，该培训班有助于加强国家能力和更有效地执行国际和区域小武器控制文书。", "[2] 2009年11月4日至5日在圣多明各举行的第二次美洲公共安全部长会议(见OAS/Ser.K/XLIX.2)。", "[3] 前次报告所述期间(2009年6月至2010年7月)，在格林纳达、牙买加、圣文森特和格林纳丁斯进行了三次评估考察。", "[4] 伯利兹、哥斯达黎加、萨尔瓦多、危地马拉、洪都拉斯、尼加拉瓜和巴拿马。多米尼加共和国是观察员。", "[5] 哥伦比亚、哥斯达黎加、多米尼加共和国、萨尔瓦多、危地马拉、洪都拉斯、墨西哥、尼加拉瓜和巴拿马参加了这次研讨会。", "[6] 墨西哥城(2010年6月30日至7月2日)；基多(2010年9月29日至10月1日)；亚松森(2010年10月4日至5日)；利马(2010年12月13日至14日)。", "[7] 厄瓜多尔基多(2011年1月31日至2月11日)；秘鲁通贝斯(2011年3月7日至18日)；哥伦比亚佩雷拉(2011年3月7日至18日)；玻利维亚拉巴斯(2011年4月4日至15日)。", "[8] 参加者包括多民族玻利维亚国、哥伦比亚、厄瓜多尔和秘鲁执法机构、司法和公诉部门的代表以及多米尼加共和国、萨尔瓦多和危地马拉的观察员，包括民间社会代表。", "[9] 本资料的依据是区域中心信托基金2010年收支报表。在2011年1月1日至5月30日期间，又收到总共334 292.47美元的捐款。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 100 (c) of the preliminary list*", "Review and implementation of the Concluding Document of the Twelfth Special Session of the General Assembly", "United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean", "Report of the Secretary-General", "Summary The present report provides an overview of the activities carried outby the United Nations Regional Centre for Peace, Disarmament andDevelopment in Latin America and the Caribbean during the period fromJuly 2010 to June 2011. During the reporting period, at the request of Member States, theRegional Centre focused its activities on supporting Member States inaddressing one of the gravest threats to public security facing theregion: the illicit trafficking and use of firearms, ammunition andexplosives. The Centre contributed to combating this scourge byproviding support to countries in the region for the adoption of aharmonized regional approach to addressing this threat, includingrobust firearms control measures. \nAlso during the reporting period, the Regional Centre implementedassistance packages in both the Andean and Caribbean subregions. Suchtailor-made packages offered an operative framework through which theCentre delivered its assistance to States in those subregions inareas ranging from improving the security of firearms stockpiles andcreating national firearms commissions, to specialized training forlaw enforcement officials and comparative legislative studies onfirearms control. The Centre provided capacity-building, training andpolicy, technical and legal assistance on a wide range of issues,including various aspects of firearms control and armed violencereduction and prevention.The Regional Centre promoted the Secretary-General’s five-pointproposal on nuclear disarmament by assisting Member States inorganizing conferences and workshops to discuss concrete actionstowards a nuclear-weapon-free world and by providing expertise oncapacity-building for State entities through training on theimplementation of Security Council resolution 1540 (2004) in theregion. \nMoreover, during the reporting period, the Regional Centreconsolidated its staffing through both regular budget andextrabudgetary resources. However, the Centre still depends onextrabudgetary resources to maintain and implement all itsprogrammes. The Secretary-General wishes to express his gratitude tothose Member States and other partners that supported the Centre’soperation and programmes with financial and in-kind contributions,and calls upon those in a position to do so to make voluntarycontributions to the Centre.", "Contents", "Page\nI.Introduction 4II.Functioning 4 and \nmandate III.Main 4 areas of \nactivities A.Public 5 \nsecurity 1.Regional 5 \ncontext 2. Caribbean 6 \nregion a.Firearms 6 destruction and stockpile \nmanagement b. Armed 7 violence reduction and \nprevention 3.Central 7 American \nregion a.Coordination 8 \nmechanisms b. Legal 8 frameworks on \nfirearms c.Firearms 8 controls and \nmanagement d. Armed 9 violence reduction and \nprevention e.Private 9 \nsecurity f.Cooperation 9 and security \ndialogue 4.Andean 10 \nregion a.Law 10 enforcement training to control \nfirearms b.Gender 11 \nmainstreaming c. Legal 11 frameworks on \nfirearms d.National 12 \ncommissions 5.Southern 12 Cone \nregion a.Public 12 security \ndialogue b. Programme 13 of Action on Small Arms and Arms Trade \nTreaty B.Weapons 13 of mass \ndestruction IV. Staffing, 13 financing and \nadministration \nA.Finances 13B.Staffing 14 and \nadministration \nV.Conclusion 15\nAnnex \nStatusoftheTrustFundfortheUnitedNationsRegionalCentreforPeace,DisarmamentandDevelopmentinLatinAmericaandtheCaribbeanfor2010 16", "I. Introduction", "1. In its resolution 65/79, the General Assembly reiterated its strong support for the role of the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean in the promotion of United Nations activities at the regional and subregional levels to strengthen peace, disarmament, stability, security and development in the region. The Assembly also encouraged the Centre to further develop activities in all countries of the region in the important areas of peace, disarmament and development, and requested the Secretary-General to report to the Assembly at its sixty-sixth session on the implementation of the resolution.", "2. The present report is submitted in compliance with that request and covers the activities of the Regional Centre from July 2010 to June 2011. A financial statement on the status of the Trust Fund for the Regional Centre for 2010 is contained in the annex to the report.", "II. Functioning and mandate", "3. The United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean, located in Lima, was established in 1987, pursuant to General Assembly resolution 41/60 J. It is part of the Regional Disarmament Branch of the United Nations Office for Disarmament Affairs. The Centre is mandated to provide, upon request, substantive support for the initiatives and other activities of the Member States in the region for the implementation of measures for peace and disarmament, and for the promotion of economic and social development.", "III. Main areas of activities", "4. The Regional Centre provides capacity-building and training, as well as technical, legal and policy assistance to States in the region with a view to achieving sustainable peace and security.", "5. The activities of the Regional Centre increased significantly during the reporting period owing to an increase in requests both for assistance by Member States in the region and for collaboration from international and subregional partners. The Centre has been recognized by its partners for its expertise and knowledge on a wide array of topics, ranging from the non-proliferation of weapons of mass destruction to citizen security in the Americas. It focused its activities on supporting, through capacity-building and training, as well as technical and legal assistance, States in the region to combat the illicit trafficking in firearms, ammunition and explosives. The Centre also engaged in outreach and advocacy activities on disarmament, arms control and non-proliferation. Building on its experience and expertise in these areas, the Centre developed a series of subregional assistance packages that aim at providing a comprehensive response to arms control challenges faced by Member States in the region in accordance with their practical needs.", "6. The Regional Centre continued to deliver its Inter-Institutional Course on Combating Illicit Firearms Trafficking (IITC), which was given a best practice award (regional arms control category) at a meeting of the Central American Integration System (SICA).[1] Additional training modules and technical briefing notes were elaborated regularly by the Centre, adapted to specific needs. For example, the Centre introduced new training modules to update national legislation on firearms and explosives. The modules were developed to train members of the judicial system, including prosecutors and judges.", "7. Actions to prevent and reduce armed violence also featured strongly in the programme of the Regional Centre. They were undertaken through outreach and advocacy activities for officials from the security and development sectors in their efforts to improve armed violence reduction policies related to private security and border controls.", "8. The Regional Centre provided assistance to Caribbean States to improve stockpile security management and to destroy surplus firearms and ammunition.", "9. Following the adoption by the Andean Community of the Andean Plan to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All its Aspects (Andean Community Decision No. 552), the Regional Centre lent its assistance to States in the subregion in the implementation of the Plan. The Centre provided the Community with legal and technical assistance in comparative legal studies and in the creation of national firearms commissions.", "10. The Regional Centre also provided legal support to Central American States by undertaking a comprehensive subregional legislative study.", "11. Finally, the Regional Centre engaged in policy dialogues and advocacy efforts with Southern Cone States, with a view to promoting disarmament and non‑proliferation activities.", "A. Public security", "1. Regional context", "12. Illicit firearms contribute to criminal violence and pose a serious challenge to public security in many States in Latin America and the Caribbean. With a little over 10 per cent of the world’s population, this region accounts for more than 40 per cent of the world’s homicides committed with firearms.[2] Unlike in other regions of the world, armed violence in this region often occurs in non-conflict settings. The increasing armed violence in the region represents a major threat to security and has a grave negative impact on socio-economic development.", "13. Illicit channels and the black market in firearms and ammunition in the region fuel guerrillas and criminal violence within and across borders. Poorly monitored and porous borders are often exploited by criminal groups and illicit traffickers. The Latin American and Caribbean region has also seen an increase in the outsourcing of security services to private sector operators, such as private security companies. This phenomenon is generating a new demand for weapons and is changing the paradigms of the arms market throughout the region, as well as posing new challenges for firearms control.", "14. In responding to these challenges, the States in the region have been at the forefront of efforts to establish appropriate arms control and disarmament instruments to address security-related issues. In this connection, the Regional Centre has stepped up its efforts to assist States to build capacities and foster inter‑State coordination to combat illicit firearms. Through its tailored subregional assistance packages, the Centre worked closely with States in undertaking robust national and subregional initiatives to address the challenges posed by illicit trafficking and use of firearms, ammunition and explosives.", "2. Caribbean region", "(a) Firearms destruction and stockpile management", "15. Firearms-related crime, violence and mortality rates are escalating in the Caribbean region. To address this security challenge, one important aspect is to improve the security of States’ firearms and ammunition stockpiles and prevent their diversion into illicit channels. In this connection, many of the Caribbean States have placed the safe and secure management of weapons stockpiles at the forefront of their national security agenda.", "16. In this regard, and in response to a request from Caribbean States for assistance, the Regional Centre developed and implemented the Firearms Destruction and Stockpile Management Assistance Package for Caribbean States (Antigua and Barbuda, Bahamas, Belize, Dominican Republic, Grenada, Jamaica, Saint Lucia, Saint Vincent and the Grenadines, and Trinidad and Tobago). The project was carried out with financial support from the United States of America.", "17. In implementing the project, the Regional Centre organized Best Practice Workshops for the Caribbean States to review international standards for the secure stockpiling of weapons and their destruction, and to identify their respective national needs. Following the workshops, the Centre conducted six assessment missions (Antigua and Barbuda, Bahamas, Belize, Dominican Republic, Saint Lucia and Trinidad and Tobago)[3] in collaboration with the national authorities to gauge participating States’ abilities and the availability of the requisite national legal frameworks and technical capacities to undertake firearms destruction and stockpile management programmes.", "18. The findings of the assessment missions fed into the national action plans of the recipient States, adopted at the United Nations Caribbean Regional Workshop on Firearms Destruction and Stockpile Management, held in Port of Spain on 8 and 9 December 2010. These plans outlined both short-term and long-term strategies for capacity-building and updating national firearms legislation. They included concrete steps to secure the 35 firearms stockpile facilities and destroy the 50,000 firearms and 35,000 tons of ammunition identified in those recipient States.", "19. The national action plans also included recommendations calling upon States to accelerate their adherence to international disarmament instruments. In this context, Saint Vincent and the Grenadines ratified the United Nations Firearms Protocol and acceded to the Convention on Certain Conventional Weapons and the Cluster Munitions Convention in late 2010.", "20. Under the project, the Caribbean States pledged to forgo the previous practice of deep-sea dumping for weapons disposal. They also created a knowledge community of experts and designated national focal points to coordinate the implementation of the national action plans and to engage in dialogue and cooperation at the subregional level.", "21. In phase II of the project, the Regional Centre will provide assistance to the nine Caribbean States in implementing their national action plans, including capacity-building and the provision of legal, policy and technical support. During that phase, the participation of three additional Caribbean States is envisaged.", "(b) Armed violence reduction and prevention", "22. Regarding armed violence prevention, the Regional Centre carried out activities in Jamaica that contributed to the Armed Violence Prevention Programme, coordinated by six United Nations agencies (United Nations Development Programme (UNDP), World Health Organization, United Nations Children’s Fund, United Nations Office for Disarmament Affairs, United Nations Human Settlements Programme and United Nations Office on Drugs and Crime). The Programme aims to promote effective responses to armed violence through support for the development of an international policy framework founded on a clear understanding of the causes, nature and impacts of armed violence, and best practices generated from violence reduction and prevention initiatives. The Jamaican component of the Programme was the result of an inter-agency mission, undertaken from 6 to 11 September 2010, which drafted a proposal for its programming with the Centre as the lead agency for assistance with firearms control.", "3. Central American region", "23. Central America is facing an increasingly grave threat of armed violence caused by organized crime and drug trafficking, which is exacerbated by the easy availability of a variety of illicit firearms. The illicit weapons aggravate and sustain political and criminal violence, and as such pose a serious threat to social order, good governance, human security and the rule of law.", "(a) Coordination mechanisms", "24. The States members of SICA[4] have made concerted efforts to establish policies and frameworks aimed at improving subregional coordination in the area of public security, notably through the SICA Framework Treaty on Democratic Security in Central America. The Central American Knowledge Fair, organized by States members of SICA, the Government of Spain and UNDP, brought together practitioners to elaborate a strategy to address the key public security concerns of the subregion, including firearms control. The Regional Centre was appointed as technical adviser to the Arms Control Group under the strategy. In this capacity, the Centre recommended priority issues for the SICA Democratic Security Agenda, which defines the specific actions to be taken in order to implement the Framework Treaty on Democratic Security.", "25. During the reporting period, with financial support from the Governments of Spain and Sweden, the Regional Centre organized two national IITC courses in Central America, which benefited some 120 law enforcement and judicial officers (police, intelligence, customs, public prosecutors and judicial investigators) who participated in the training sessions, held in Panama City from 19 to 30 July 2010 and in Guatemala City from 16 to 27 May 2011. The courses enhanced the participants’ knowledge and understanding of the various aspects of combating illicit firearms, including inter-agency coordination, tracing and investigating illicit weapons, prosecuting illicit traffickers, as well as implementing international and regional instruments related to firearms and small arms and light weapons.", "(b) Legal frameworks on firearms", "26. In keeping with the priorities of the SICA Democratic Security Agenda and at the request of the Organization of American States (OAS), the Regional Centre carried out six legal comparative studies on the level of compatibility of national firearms legislation with obligations under the Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives and Other Related Materials. The comparative studies identified lapses in some national legislation and the prerequisites for more robust legal frameworks and a harmonized regional legislative approach.", "27. In July 2010 the Regional Centre provided, upon request, legal comments on the draft amendment to the firearms legislation of Panama and in December 2010 it provided legal comments on the draft firearms legislation of the Dominican Republic. The views identified gaps between the provisions in those draft legislative texts and the obligations under the global and regional firearms-related instruments. Furthermore, the Centre provided recommendations to render the draft legislation consistent with global and regional legal instruments.", "(c) Firearms controls and management", "28. At the request of the National Small Arms and Armed Violence Prevention Commission of Guatemala, the Regional Centre provided advice on firearms definitions, classification and international standards for firearms and small arms ammunition stockpile management. The Centre, at the request of OAS, provided lessons learned in weapons collection programmes to Central American States, Mexico and Colombia during an OAS Workshop on Firearms Destruction and Stockpile Management, held in Guatemala City from 26 to 28 January 2011.", "(d) Armed violence reduction and prevention", "29. With regard to the nexus between armed violence and development, it is important to build bridges between the development and the security sectors in order to design programmes that address armed violence in a holistic manner. At a seminar on armed violence reduction and prevention, held in La Antigua, Guatemala, from 16 to 18 November 2010, participants from Central American States, the United Nations and civil society organizations shared experiences and best practices in preventing and reducing armed violence.[5] The seminar afforded an opportunity to strengthen cooperation among States, international organizations, specialized agencies and civil society organizations. At the meeting, the Regional Centre presented the results of its research on armed violence in schools in the region. The research was subsequently further developed and resulted in the formulation of a cross-regional project proposal aimed at preventing and reducing firearms proliferation in schools in Africa, Asia and the Pacific, and in Latin America and the Caribbean. This outcome demonstrates the value and importance of coordination and the application of a synergistic approach among the three United Nations Regional Centres for Peace and Disarmament.", "(e) Private security", "30. The Regional Centre developed a private security and rule of law toolkit focusing on firearms stockpile management guidelines and legal frameworks. It will convene a regional expert group meeting to review the toolkit with experts from national regulatory authorities, international and regional organizations, United Nations agencies and civil society.", "31. The Regional Centre, in cooperation with the Friedrich-Ebert Stiftung and the Open Society Institute, provided technical assistance to States in addressing the issue of the privatization of security. The Centre highlighted the obligation of private security companies to manage the safety and security of their small arms and light weapons stockpiles.", "(f) Cooperation and security dialogue", "32. The Regional Centre cooperated with the Arias Foundation for Peace and Human Progress in assisting States in the region to address firearms trafficking and transfers. In a series of four regional seminars,[6] the Centre provided technical guidance to policymakers from Latin American States to support national and subregional disarmament and arms control measures, and carried out a review of the progress made in the implementation of international and regional instruments regarding small arms, light weapons and instruments regarding firearms.", "33. The Regional Centre, in cooperation with other United Nations entities, provided technical assistance to the Government of Panama on various issues ranging from citizen security and human rights to armed violence targeting businessmen. This activity, held in Panama City on 23 July 2010 and 19 February 2011, is part of an ongoing dialogue on citizen security issues which aims to build the capacity of national and municipal governmental officials on issues related to public policy management for citizen security in the country’s capital. Centre staff were also invited to participate as trainers in recurrent training courses on public policy management for citizen security aimed to build the capacity of Panamanian Government officials.", "4. Andean region", "34. The illicit trafficking of firearms and increasing armed violence pose serious threats to the emerging democracies of the Andean subregion, undermining human security and socio-economic development. Armed violence is linked to other security concerns, such as social unrest caused by political instability and drug trafficking. Hundreds of thousands of illicit firearms are currently in circulation throughout the subregion. The surge in armed violence reignited the debate about “gun control” in some South American States, with anti-gun supporters pressing for national referendums on banning the sale of firearms to civilians.", "35. Many national and subregional initiatives were developed to address this threat, including the establishment of national firearms commissions and campaigns to tighten national legislation on firearms. In order to assist States in their efforts, the United Nations and other stakeholders can help build capacities and foster coordination within and among States so as to bolster their ability to effectively address this multifaceted threat to their social and public security.", "36. In this connection, the Regional Centre developed a multi-year Firearms Policy and Technical Assistance Package for the Andean Region aimed at enhancing public security through firearms control and crime prevention. The project received financial support from the Government of Canada.", "(a) Law enforcement training to control firearms", "37. The Regional Centre conducted IITC training courses in all four Andean countries within a four-month period.[7] A total of 240 officers from national law enforcement and judicial institutions, including 54 women, participated in the training.", "38. The IITC course addresses proper documentation and evidence collection in tracing and investigating illicit trafficking in firearms so as to prevent impunity in arms trafficking cases. The courses held in Peru and Colombia had a significant impact, since both were conducted for provincial law enforcement and judicial officials from areas with weak law enforcement capabilities. By applying the techniques and procedures acquired during the IITC course developed by the Regional Centre, a number of Peruvian law enforcement participants were able to effectively use the techniques learned. For example, they successfully seized a large quantity of ammunition illegally smuggled across the border and the perpetrators were prosecuted.", "39. Strengthening border controls is critical in combating illicit trafficking in firearms. This is particularly true given the complex and transnational nature of such trafficking throughout the subregion. In this regard, the Regional Centre organized binational or trinational training sessions in order to enhance coordination and cooperation among States in the subregion with a view to achieving effectiveness and synergy in law enforcement operations against cross-border trafficking.", "(b) Gender mainstreaming", "40. Recognizing that the engagement of women is a critical component in ensuring peace and security, as highlighted by the Security Council in its resolution 1325 (2000), the Regional Centre conducted its first IITC course specifically for women working in the area of firearms control in the Andean region. The course, held in Lima from 22 November to 3 December 2010, brought together 37 female officers[8] and was designed to increase their knowledge of and proficiency in a variety of aspects related to firearms control, and to foster multisectoral cooperation, thus strengthening national capacities for the effective implementation of international and regional instruments on firearms control. This women-specific training course coincided with the tenth anniversary of Council resolution 1325 (2000) and the adoption by the General Assembly of its resolution 65/69, entitled “Women, disarmament, non-proliferation and arms control”, in which the Assembly recognizes the “valuable contribution of women to practical disarmament measures carried out at the local, national, regional and subregional levels in the prevention and reduction of armed violence and armed conflict, and in promoting disarmament, non-proliferation and arms control”.", "41. With the Regional Centre’s efforts, women’s participation in the IITC courses increased by 30 per cent as compared to the previous reporting period. This is in line with efforts to implement the Gender Mainstreaming Action Plan of the United Nations Office for Disarmament Affairs, and Security Council resolution 1325 (2000).", "(c) Legal frameworks on firearms", "42. The Regional Centre provided legal and policy assistance to the four Andean States in their implementation of international and subregional instruments regarding small arms, light weapons and firearms control. It carried out legal comparative studies on the provisions in their respective national legislation and those in relevant international regional instruments so as to align them and render them consistent. The Centre also organized a national seminar for policymakers on international and regional firearms instruments in Quito on 4 February 2011. The seminar brought together officials and policymakers from the various national sectors responsible for firearms control to discuss how to ensure that the firearms law which is under development would address all the principal obligations under the relevant international and regional instruments. The Centre also organized a subregional seminar in La Paz on 11 and 12 April 2011 to review progress achieved in implementing the legally binding Andean Plan to Prevent, Combat and Eradicate Illicit Trade in Small Arms and Light Weapons in All its Aspects (Andean Community Decision No. 552). At the seminar, the Centre presented the subregional legal comparative studies for the Plurinational State of Bolivia, Colombia, Ecuador and Peru.", "43. The Regional Centre, in order to provide support for the implementation of the Colombian National Action Plan on Firearms Control, organized a seminar in Bogotá on 24 and 25 February 2011 for judicial personnel in Colombia on the issue of explosives, where 30 judges and prosecutors participated in reviewing national legislation on explosives.", "44. The Regional Centre, in cooperation with the United Nations Office on Drugs and Crime, the Colombian national firearms commission and the Conflict Analysis Resource Centre, co-organized a seminar to review Colombia’s national firearms legislation and its implementation.", "(d) National commissions", "45. The Regional Centre supported the creation of national firearms commissions in Ecuador and the Plurinational State of Bolivia through two capacity-building seminars, held, respectively, in Quito on 17 February 2011 and in La Paz on 1 March 2011. The seminar in Quito resulted in the establishment of Ecuador’s national firearms, ammunition and explosives commission in April 2011; the seminar in La Paz facilitated the process of establishing a national firearms commission in the country.", "5. Southern Cone region", "46. Several Southern Cone States are also confronted with high levels of crime and armed violence, including homicides and robberies. It is estimated that illicit firearms holdings may exceed those of legally registered weapons. There is also a significant firearms and ammunition production capability in the region. Reported cases of illicit firearms trafficking in the Southern Cone involve weapons produced both within and outside the subregion.", "47. Southern Cone States have been at the forefront of efforts to prevent and combat illicit trafficking in conventional arms through rigorous national and subregional control frameworks. The Regional Centre promoted the exchange of experience and expertise, as well as a policy dialogue, among States of the region.", "(a) Public security dialogue", "48. The Regional Centre was chosen by OAS as its principal implementing partner on firearms issues. In that capacity, at the OAS Meeting of Experts on Public Security, held in Santiago in November 2010, the Centre participated in defining the meeting agenda, shared expertise during the discussions and made a presentation on the impact of firearms on public security.", "49. The Regional Centre presented regional perspectives on the challenges posed by illicit firearms trafficking in Southern Cone States during a conference on combating the illicit trafficking in small arms and light weapons in South America, organized by the Government of the United States of America in Buenos Aires on 4 August 2010.", "(b) Programme of Action on Small Arms and Arms Trade Treaty", "50. The Regional Centre supported the United Nations Institute for Disarmament Research in organizing its Latin American and Caribbean regional seminar on an arms trade treaty, held in Montevideo from 27 to 29 April 2011. The Centre continues to support States in the region, as requested, in the process leading to an arms trade treaty.", "51. The Regional Centre has also been active in promoting cross-regional capacity and lessons learned, for more efficient programming and use of expertise in the area of combating illicit firearms trafficking. It promoted the exchange and sharing of best practices and lessons learned with other States among various subregions in Latin America and the Caribbean.", "B. Weapons of mass destruction", "52. The Regional Centre actively supported Member States in promoting nuclear disarmament, especially the Secretary-General’s five-point proposal on nuclear disarmament. It made a detailed presentation on the proposal at a regional seminar on nuclear disarmament and a nuclear-weapon-free world, co-organized by the Government of Uruguay, the Global Action to Prevent War and the Friedrich-Ebert Stiftung, held in Montevideo on 8 and 9 November 2010.", "53. The Regional Centre, in cooperation with the Government of the United States of America, organized a regional workshop on the implementation of Security Council resolution 1540 (2004), which was held in Lima from 9 to 11 November 2010. Government officials and experts from Argentina, Brazil, Costa Rica, Peru, the United Nations Security Council 1540 Committee and such subregional organizations as SICA and the Caribbean Community and Common Market, discussed regional strategies to enhance national capacity to implement the resolution. At the seminar, an interest was expressed that the Centre add a training module to its IITC training course on weapons of mass destruction-related issues, in particular in the context of import/export and border control.", "IV. Staffing, financing and administration", "A. Finances", "54. In accordance with General Assembly resolution 41/60 J, the Regional Centre was established on the basis of existing resources and voluntary contributions made by Member States and interested organizations to support its core operations and programme activities. During the reporting period, voluntary contributions to the Trust Fund for the Regional Centre were received in the amount of $2,541,373.[9] The Secretary-General wishes to express his gratitude to the Governments of Canada, Colombia, Guyana, Panama, Peru, Spain, Sweden and the United States of America, as well as to OAS, for their generous financial contributions to the Centre, which are essential for it to carry out all its programmes and activities. Information on the status of the Trust Fund for 2010 is contained in the annex to the present report.", "55. The Regional Centre’s resource mobilization efforts led to new partnerships with the Governments of Canada and the United States of America. The multi-year projects emanating from these partnerships enabled the Centre to carry out public security assistance programmes and activities in the Andean and Caribbean regions. Increases in requests for assistance by Member States as well as in the cost of living at the Centre’s headquarters in Lima have strained its financial resources. In this regard, the Secretary-General wishes to thank Peru, the host country of the Regional Centre, for its annual contribution and calls upon Peru to continue to provide the necessary financial and other support to the Centre in order to offset the rise in its operating costs.", "56. The Regional Centre also benefited from close cooperation and joint undertakings with such other key partners in the region as OAS, UNDP, the Central American Small Arms and Light Weapons Control Programme, and the United Nations Office on Drugs and Crime regional and country offices. These partner organizations provided the Centre with in-kind contributions and cost-sharing arrangements which greatly assisted the Centre in implementing its programmes and activities.", "57. The Secretary-General wishes to acknowledge the cooperation between OAS and the Regional Centre, and their joint endeavours to address pressing issues in the field of disarmament and non-proliferation in the region, including through concrete joint projects.", "B. Staffing and administration", "58. During the reporting period, the Regional Centre strengthened its public security programme team by recruiting experts for the Andean and Caribbean regions. It also consolidated its in-house legal expertise by securing additional staff. The addition of project staff and consultants enabled the Centre to respond more effectively to the increasing requests for assistance from Member States in the region and to better serve their needs in the fields of disarmament and security.", "59. In order to carry out its mandate effectively, the Regional Centre needs to rely on a stable core team of skilled professional and support staff. In this connection, the Secretary-General would like to thank Member States and other donors for providing their valuable support in strengthening and maintaining the Centre’s core staff.", "60. The Regional Centre continues to rely solely on voluntary financial contributions to develop and carry out all its programmes in the region. Such contributions are likewise essential for hiring project staff needed to implement projects and activities in response to the requests from Member States.", "V. Conclusion", "61. During the reporting period, the Regional Centre undertook more than 40 substantive activities in response to requests from Member States in the region. The significant increase in the number of requests for assistance from Member States demonstrated the relevance of the Centre’s work to disarmament and security priorities in the region.", "62. The Regional Centre increased its assistance to Member States in combating illicit firearms, which seriously undermine security, stability and socio-economic development in the region. The Centre’s assistance programmes included law enforcement capacity-building, technical assistance in stockpile management and border security, and legal and policy support to promote the implementation of global and regional disarmament and non-proliferation instruments.", "63. In carrying out its programmes and activities, the Regional Centre forged a solid partnership with Member States, regional and subregional organizations, other United Nations entities and civil society organizations.", "64. The Secretary-General reiterates his call upon Member States and other partners in a position to do so, to provide the Regional Centre with the necessary financial and in-kind support to ensure that it can continue to carry out its mandate effectively and serve the needs of Member States in the region.", "Annex", "Status of the Trust Fund for the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean for 2010", "(United States dollars)", "Reserves and fund balance, 1 1 304 229 January 2010", "Income, 1 January-31 December 2010", "Voluntary contributions 2 541 373^(a)", "Funds received under 21 000 inter-organization arrangements", "Interest income 40 965", "Other/miscellaneous income 75 895", "Total income 2 679 233", "Expenditure 1 January-31 December 1 906 908 2010", "Programme support costs 247 924", "Total expenditure 2 154 832", "Refunds to donors (183 492)", "Reserves and fund balance, 1 645 138^(b) 31 December 2010", "Note: Information based on the statement of income and expenditure for 2010. During the period from 1 January to 30 May 2011, additional contributions totalling $334,292 were received from Canada ($191,836), Guyana ($1,000) and Spain ($141,456).", "^(a) Contributions totalling $2,541,373 were received from Canada ($1,176,843), Colombia ($2,500), Guyana ($1,000), Panama ($1,000), Peru ($30,000), Spain ($351,800), Sweden ($551,870), the United States of America ($405,360) and the Organization of American States ($21,000).", "^(b) Consists of reserves and fund balance, 1 January 2010, plus income received in 2010, less expenditure and refunds to donors in 2010.", "[1] The 10-day training course includes field simulation exercises for armed forces, police, intelligence, judicial and customs officers. It trains participants on technical aspects of firearms and ammunition identification and tracing, and the technical and institutional coordination skills required to prevent and combat illicit trafficking in firearms, ammunition and explosives. The course’s practical exercise recreates the whole process from intelligence gathering to the presentation of evidence before a judge. Cross-cutting issues, such as human rights, gender sensitivity and child protection, are mainstreamed into the training. The course also provides an opportunity for law enforcement officials to share individual and national experiences, best practices and lessons learned throughout the region. It helps to improve national inter-institutional coordination and serves as an important capacity-building tool for agencies members of national firearms commissions to better implement national action plans. The course thus contributes to the strengthening of national capacities and the more effective implementation of international and regional small arms control instruments.", "[2] Second Meeting of Ministers of Public Security of the Americas, held in Santo Domingo, on 4 and 5 November 2009 (see OAS/Ser.K/XLIX.2).", "[3] During the previous reporting period (June 2009-July 2010), three assessment missions were carried out, in Grenada, Jamaica and Saint Vincent and the Grenadines.", "[4] Belize, Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama. The Dominican Republic is an observer.", "[5] Colombia, Costa Rica, Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Nicaragua and Panama participated in the seminar.", "[6] Mexico City (30 June-2 July 2010); Quito (29 September-1 October 2010); Asunción (4 and 5 October 2010); and Lima (13 and 14 December 2010).", "[7] Quito (31 January 2010-11 February 2011); Tumbes, Peru (7-18 March 2011); Pereira, Colombia (7-18 March 2011); and La Paz (4-15 April 2011).", "[8] Participants included representatives from law enforcement institutions, the judiciary and public prosecutor’s offices of the Plurinational State of Bolivia, Colombia, Ecuador and Peru, together with observers from the Dominican Republic, El Salvador and Guatemala, including three civil society representatives.", "[9] Information based on the statement of income and expenditure of the Trust Fund for the Regional Centre for 2010. During the period from 1 January to 30 May 2011, additional voluntary contributions totalling $334,292.47 were received." ]

[ "Sixty-sixth session", "^ (*) A/66/50.", "Item 100 (c) of the preliminary list*", "Review and implementation of the Concluding Document of the Twelfth Special Session of the General Assembly", "United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean", "Report of the Secretary-General", "Summary", "The present report provides an overview of the activities of the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean during the period from July 2010 to June 2011.", "At the request of Member States, the activities of the Regional Centre during the reporting period focused on assisting Member States to address one of the most serious threats to public security in the region: illicit trafficking in and use of firearms, ammunition and explosives. The Centre has contributed to the fight against this scourge by providing support to countries in the region for a coordinated regional approach to the threat, including strong firearms control measures.", "Also during the reporting period, the Centre implemented assistance packages in both the Andean and Caribbean subregions. These targeted packages provide an operational framework in which the Centre provides assistance to States in both subregions in areas such as improving the security of firearms stockpiles and the establishment of national firearms commissions, as well as specialized firearms training for law enforcement personnel and comparative legislative research on firearms control. The Centre provided capacity-building, training and policy, technical and legal assistance on a wide range of issues, including firearms control and various aspects of armed violence reduction and prevention.", "The Regional Centre facilitated the implementation of the Secretary-General ' s five-point proposal on nuclear disarmament by assisting Member States in organizing meetings and workshops to discuss concrete actions towards a world free of nuclear weapons and by providing capacity-building expertise to national entities through training on the implementation of Security Council resolution 1540 (2004) in the region.", "In addition, during the reporting period, the Regional Centre strengthened its staffing through regular budget and extrabudgetary resources. However, the Centre remains dependent on extrabudgetary resources for the maintenance and implementation of all its programmes. The Secretary-General wishes to thank those Member States and other partners that have supported the operations and programmes of the Regional Centre with financial and in-kind contributions, and appeals to those in a position to do so to make voluntary contributions to the Centre.", "Contents", "2. Operationalization and mandate 5A. Public security 6 1. Regional context 6 2. Firearms destruction and stockpile management 7a. Caribbean region 7 b. Reduction and prevention of armed violence 8a. Coordination mechanism 8 b. Legal framework on firearms 8c. Firearms control and management 9e. Private security 9f. Dialogue on cooperation and security 104.", "Introduction", "1. In its resolution 65/79, the General Assembly reaffirmed its strong support for the role of the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean in the promotion of United Nations activities at the regional and subregional levels to strengthen regional peace, disarmament, stability, security and development. The Assembly also encouraged the Centre to further develop activities in all countries of the region in the important areas of peace, disarmament and development, and requested the Secretary-General to report to it at its sixty-sixth session on the implementation of the resolution.", "2. The present report is submitted pursuant to that request and covers the activities of the Regional Centre for the period from July 2010 to June 2011. A statement of the financial position of the Trust Fund of the Regional Centre for 2010 is contained in annex I to the present report.", "II. Functioning and mandate", "3. The United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean was established in Lima in 1987, pursuant to General Assembly resolution 41/60 J. It is part of the Regional Disarmament Branch of the United Nations Office for Disarmament Affairs. The Centre is mandated to provide, at the request of Member States of the region, substantive support for initiatives and other activities for the implementation of measures for peace and disarmament and for the promotion of economic and social development.", "III. Main areas of activity", "4. The Regional Centre provides capacity-building and training as well as technical, legal and policy assistance to countries in the region with a view to achieving sustainable peace and security.", "5. During the reporting period, the activities of the Regional Centre increased significantly as a result of increased requests for assistance from Member States in the region and from international and subregional partners. The Centre has been recognized by its partners as having expertise and knowledge on a wide range of topics, from the non-proliferation of weapons of mass destruction to the security of citizens of the Americas. Its activities focus on supporting countries in the region in combating illicit trafficking in firearms, ammunition and explosives through capacity-building and training, as well as technical and legal assistance. The Centre also carries out outreach and advocacy activities in the areas of disarmament, arms control and non-proliferation. Drawing on its experience and expertise in these areas, the Centre has developed a series of subregional assistance packages with a view to providing a comprehensive response to the arms control challenges facing Member States in the region, based on their real needs.", "6. The Regional Centre continued its inter-agency training course on combating illicit trafficking in firearms, which was awarded a best practices award (regional arms control category) at a meeting of the Central American Integration System. [1] The Centre also regularly prepares supplementary training modules and technical information notes tailored to specific needs. For example, the Centre launched new training modules to update national legislation on firearms and explosives. The modules are designed to train judicial system personnel, including prosecutors and judges.", "7. Action to prevent and reduce armed violence is also strongly featured in the programmes of the Regional Centre. These actions are undertaken through outreach and advocacy activities for security and development officials in their efforts to improve armed violence reduction policies related to private security and border control.", "8. The Regional Centre provided assistance to Caribbean countries to improve stockpile security management and to destroy surplus firearms and ammunition.", "9. Following the adoption by the Andean Community of the Andean Plan to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (Andean Community decision 552), the Regional Centre provided assistance to the countries of the subregion in the implementation of the Plan. The Centre provided legal and technical assistance to the Community in the area of comparative legal research and the establishment of a national firearms commission.", "10. The Regional Centre also provided legal support to Central American countries through a comprehensive subregional legislative study.", "11. Finally, the Regional Centre participated in policy dialogue and advocacy efforts with the Southern Cone countries with a view to promoting disarmament and non-proliferation activities.", "A. Public security", "1. Regional context", "12. Illicit firearms fuel violent crime and pose a serious challenge to public security in many countries of Latin America and the Caribbean. The region, with slightly more than 10 per cent of the world ' s population, accounts for more than 40 per cent of the world ' s firearms homicides. [2] Unlike other regions of the world, armed violence in that region often occurs in non-conflict settings. The growing armed violence in the region is a major threat to security and has a serious negative impact on socio-economic development.", "Illicit channels and the black market of firearms and ammunition in the region have exacerbated internal and cross-border guerrilla activities and violent crime. Poor monitoring and porous borders are often exploited by criminal groups and illicit traffickers. The outsourcing of security services to private sector operators, such as private security companies, has also increased in the Latin American and Caribbean region. This phenomenon is generating new demand for weapons and changing the pattern of arms markets throughout the region, and poses new challenges to firearms control.", "14. To address these challenges, the States of the region have taken the lead in developing appropriate arms control and disarmament instruments to address security-related issues. In this regard, the Regional Centre has intensified its efforts to assist States in building capacity and promoting inter-State cooperation to combat illicit firearms. Through its targeted subregional assistance package, the Centre has worked closely with States on strong national and subregional initiatives to address the threat posed by illicit trafficking in and use of firearms, ammunition and explosives.", "2. Caribbean region", "(a) Firearms destruction and stockpile management", "15. Firearms-related crime, violence and mortality are on the rise in the Caribbean region. An important aspect of addressing this security challenge is to improve the security of national stockpiles of firearms and ammunition and to prevent their diversion into illicit channels. In this regard, many Caribbean countries have placed the safety and security of their stockpiles high on the national security agenda.", "16. In this regard, in response to requests for assistance from Caribbean countries, the Regional Centre developed and implemented a firearms destruction and stockpile management assistance package for Caribbean countries (Antigua and Barbuda, Bahamas, Belize, Dominican Republic, Grenada, Jamaica, Saint Lucia, Saint Vincent and the Grenadines and Trinidad and Tobago). The implementation of the project received financial support from the United States of America.", "17. In implementing the project, the Regional Centre organized a workshop on best practices for Caribbean countries to revisit international standards for the safe storage and destruction of weapons and to identify the needs of individual countries. Following the workshop, the Centre, in collaboration with national authorities, conducted six assessment missions (Antigua and Barbuda, Bahamas, Belize, Dominican Republic, Saint Lucia, Trinidad and Tobago),[3] to measure the capacity of participating States and to ascertain whether they had the necessary national legal framework and technical capacity to implement firearms destruction and stockpile management programmes.", "18. The findings of these assessment missions were incorporated into the national action plans of recipient countries adopted at the United Nations Caribbean Regional Workshop on Firearms Destruction and Stockpile Management, held in Port of Spain on 8 and 9 December 2010. These plans outline short- and long-term strategies for capacity-building and updating national firearms legislation, including concrete steps to ensure the security of 35 firearms stockpile facilities and the destruction of 50,000 firearms and 35,000 tons of ammunition identified in those receiving countries.", "19. These national action plans also include recommendations calling on States to accelerate compliance with international disarmament instruments. In this context, Saint Vincent and the Grenadines ratified the United Nations Firearms Protocol in the second half of 2010 and acceded to the Convention on Certain Conventional Weapons and the Convention on Cluster Munitions.", "20. Under this project, Caribbean countries have pledged to abandon the previous practice of deep-sea dumping when weapons were disposed of. They have also created an expert knowledge community and designated national focal points to coordinate the implementation of national action plans and participate in dialogue and cooperation at the subregional level.", "21. In the second phase of the project, the Regional Centre will provide assistance to nine Caribbean countries in the implementation of national action plans, including capacity-building and legal, policy and technical support. Three additional Caribbean countries are expected to participate during this phase.", "(b) Reduction and prevention of armed violence", "22. With regard to the prevention of armed violence, the Regional Centre carried out activities in Jamaica to promote an armed violence prevention programme coordinated by six United Nations agencies (the United Nations Development Programme, the World Health Organization, the United Nations Children ' s Fund, the United Nations Office for Disarmament Affairs, the United Nations Human Settlements Programme and the United Nations Office on Drugs and Crime). The programme aims to promote an effective response to armed violence by supporting the development of an international policy framework based on a clear understanding of the causes, nature and impact of armed violence and on best practices emerging from violence reduction and prevention initiatives. The Jamaican component of the programme was the result of an inter-agency mission carried out from 6 to 11 September 2010. The drafting of the armed violence budget programme and the drafting of recommendations for the development of an armed violence prevention programme were carried out through this mission, with the Regional Centre as the lead agency for firearms control assistance.", "3. Central American region", "Central America is facing an increasing threat of armed violence caused by organized crime and drug trafficking, exacerbated by the easy availability of illicit firearms. Illegal weapons exacerbate and sustain political and criminal violence, thus posing a serious threat to social order, good governance, human security and the rule of law.", "(a) Coordination mechanisms", "24. The States members of the Central American Integration System[4] have made concerted efforts to establish policies and frameworks aimed at improving subregional coordination in the area of public security, notably the Central American Integration System Framework Treaty on Democratic Security in Central America. The Central American Knowledge Fair, organized by the States members of the Central American Integration System, the Government of Spain and the United Nations Development Programme, brought together practitioners from all sides to develop a strategy to address key security issues in the subregion, including firearms control. The Regional Centre was appointed as a technical adviser to the arms control team under the strategy. In this capacity, the Centre proposes a set of priority issues for the Central American Integration System (SICA) Democratic Security Agenda, which will define the specific actions required to implement the Framework Treaty on Democratic Security.", "25. During the reporting period, the Regional Centre, with the financial support of the Governments of Spain and Sweden, organized two national inter-agency training courses in Central America, in which some 120 law enforcement and judicial personnel (police, intelligence, customs, prosecution and judicial investigators) participated in training courses held in Panama City from 19 to 30 July 2010 and Guatemala City from 16 to 27 May 2011. The training course enhanced participants ' knowledge and understanding of the various aspects of combating illicit firearms, including inter-agency coordination, tracing and investigation of illicit weapons, prosecution of illicit traffickers and implementation of international and regional instruments related to firearms, small arms and light weapons.", "(b) Legal framework on firearms", "26. In accordance with the priorities of the Central American Integration System democratic security agenda and at the request of the Organization of American States (OAS), the Regional Centre conducted six comparative legal studies on the compatibility of national firearms legislation with obligations under the Inter-American Convention against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives and Other Related Materials. These comparative studies identified gaps in some national legislation and identified prerequisites for strengthening the legal framework and a harmonized approach to regional legislation.", "27. In July 2010, upon request, the Regional Centre provided legal comments on draft amendments to firearms legislation in Panama, and in December 2010 on draft firearms legislation in the Dominican Republic. The comments identified gaps between the provisions contained in the texts of those draft legislation and the obligations under the firearms-related global and regional instruments. In addition, the Centre has made recommendations to harmonize these draft legislation with global and regional legal instruments.", "(c) Firearms control and management", "28. At the request of the Guatemalan National Commission for the Prevention of Small Arms and Armed Violence, the Regional Centre provided advice on the definition, classification and international standards for the management of firearms and stockpiles of small arms and ammunition. At the request of OAS, the Centre shared lessons learned from weapons collection programmes with Central American countries, Mexico and Colombia during the OAS workshop on firearms destruction and stockpile management, held in Guatemala City from 26 to 28 January 2011.", "(d) Reduction and prevention of armed violence", "29. With regard to the link between armed violence and development, it was important to build bridges between development and the security sector to develop programmes to address armed violence in a holistic manner. At a seminar on armed violence reduction and prevention, held in Antigua, Guatemala, from 16 to 18 November 2010, participants from Central American countries, the United Nations and civil society organizations shared experiences and best practices on armed violence prevention and reduction. [5] The seminar provided an opportunity to strengthen cooperation among States, international organizations, professional bodies and civil society organizations. At the meeting, the Regional Centre presented its findings on armed violence in schools in the region. The study was further developed and led to the development of a proposal for a cross-regional project aimed at preventing and reducing the proliferation of firearms in schools in Africa, Asia and the Pacific and Latin America and the Caribbean. This outcome demonstrates the value and importance of a coordinated and synergistic approach among the three United Nations regional centres for peace and disarmament.", "(e) Private security", "30. The Regional Centre developed a set of private security and rule of law tools, focusing on firearms stockpile management guidelines and legal frameworks. It will convene a regional expert group meeting to review the toolkit with experts from national regulatory authorities, international and regional organizations, United Nations agencies and civil society.", "31. In cooperation with the Friedrich-Ebert Foundation and the Open Society Institute, the Regional Centre provided technical assistance to countries in addressing the privatization of security. The Centre stressed the obligation of private security companies to manage the safety and security of their stockpiles of small arms and light weapons.", "(f) Cooperation and security dialogue", "32. In cooperation with the Arias Foundation for Peace and Human Progress, the Regional Centre assisted countries in the region in addressing the trafficking and transfer of firearms. In a series of four regional seminars[6], the Centre provided technical guidance to policymakers from Latin American countries in support of national and subregional disarmament and arms control measures and conducted a review of progress in the implementation of international and regional instruments on small arms, light weapons and firearms.", "33. The Regional Centre, in cooperation with other United Nations entities, provided technical assistance to the Government of Panama on a range of issues, including civil security, human rights and armed violence targeting businessmen. The event was part of an ongoing dialogue on citizen security in Panama City on 23 July 2010 and 19 February 2011, with the aim of building the capacity of government and municipal officials on issues related to the management of public policies to guarantee the security of citizens in the national capital. Staff of the Centre were also invited to participate as trainers in regular training on public policy management for public safety aimed at building the capacity of Panamanian government officials.", "4. Andean region", "34. Illicit trafficking in firearms and increasing armed violence pose a serious threat to emerging democracies in the Andean subregion, undermining human security and socio-economic development. Armed violence is linked to other security issues, such as political instability and social unrest caused by drug trafficking. Thousands of illicit firearms are currently in circulation throughout the Andean subregion. The upsurge in armed violence has rekindled the debate on “arms control” in some South American countries, and supporters of anti-gun operations have called for a national referendum on the prohibition of the sale of firearms to civilians.", "35. Many national and subregional initiatives have been developed to address this threat, including the establishment of national firearms commissions and campaigns to strengthen national firearms legislation. To assist national efforts, the United Nations and other stakeholders can help build capacity and promote coordination within and among countries to strengthen their capacity to effectively address this multifaceted threat to society and public security.", "36. In this regard, the Regional Centre developed a multi-year firearms policy and technical assistance package for the Andean region, which aims to enhance public security by strengthening firearms control and crime prevention. The project received financial support from the Government of Canada.", "(a) Firearms control law enforcement training", "37. The Regional Centre conducted inter-agency training courses in four Andean countries over a period of four months. [7] A total of 240 national law enforcement and judicial personnel, including 54 women, participated in the training.", "38. The Centre ' s inter-agency training course on the proper documentation and evidence-gathering in the tracking and investigation of illicit firearms trafficking in order to prevent impunity in arms trafficking cases. Courses in Peru and Colombia have had a significant impact, as both courses target provincial law enforcement and judicial officials in areas where law enforcement capacity is weak. Through the application of the techniques and procedures acquired during the inter-agency training course developed by the Regional Centre, a group of trained Peruvian law enforcement officers were able to use those techniques effectively and successfully seize large quantities of illicit cross-border ammunition and prosecute perpetrators.", "39. Strengthening border controls is key to combating illicit trafficking in firearms. This is particularly true given the complex and transnational nature of such trafficking across the subregion. In that regard, the Regional Centre organized training for two or three countries to enhance coordination and cooperation among the countries of the subregion in order to achieve effectiveness and synergy in law enforcement action against cross-border trafficking.", "(b) Gender mainstreaming", "40. In recognition of the importance of women ' s participation in ensuring peace and security, as highlighted in Security Council resolution 1325 (2000), the Regional Centre organized the first inter-agency training course in Lima from 22 November to 3 December 2010 specifically for women working in firearms control in the Andean region. The course brought together 37 female police officers,[8] with the aim of strengthening their knowledge and capacity in all aspects of firearms control and promoting multisectoral cooperation, thereby strengthening national capacities for the effective implementation of international and regional firearms control instruments. This women-specific training course coincides with the tenth anniversary of Security Council resolution 1325 (2000) and the adoption of General Assembly resolution 65/69, entitled “Women, disarmament, non-proliferation and arms control”, in which the Assembly recognized “the important contribution of women to the prevention and reduction of armed violence and armed conflict at the local, national, regional and subregional levels and to the promotion of practical disarmament measures for disarmament, non-proliferation and arms control”.", "41. As a result of the Regional Centre ' s efforts, women ' s participation in inter-agency training courses increased by 30 per cent compared to the previous reporting period. This is in line with the implementation of the action plan on gender mainstreaming of the United Nations Office for Disarmament Affairs and Security Council resolution 1325 (2000).", "(c) Legal framework for firearms", "42. The Regional Centre assisted four Andean countries in the implementation of international and subregional small arms and light weapons control instruments in the area of law and policy. It conducted a comparative study of the domestic legal provisions of States and those of relevant international and regional instruments with a view to harmonizing them. The Regional Centre also organized a national seminar for policymakers on international and regional firearms instruments in Quito on 4 February 2011. The seminar brought together officials and policymakers responsible for firearms control from different national departments and discussed how to ensure that the firearms law under development fulfils the main obligations contained in relevant international and regional instruments. On 11 and 12 April 2011, the Regional Centre also organized a subregional seminar in La Paz to review progress in the implementation of the legally binding Andean Plan to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (Andean Community decision 552). At the seminar, the Regional Centre presented a subregional comparative study of law in Bolivia (Plurinational State of), Colombia, Ecuador and Peru.", "43. In support of the implementation of the National Plan of Action for the Control of Firearms in Colombia, the Regional Centre organized a seminar on explosives for judicial personnel in Bogotá from 24 to 25 February 2011, in which 30 judges and prosecutors participated in the review of national legislation on explosives.", "44. The Regional Centre, in cooperation with the United Nations Office on Drugs and Crime (UNODC), the National Firearms Commission of Colombia and the Conflict Analysis Resource Centre, organized a seminar to review Colombia ' s national firearms legislation and its implementation.", "(d) National committees", "45. The Regional Centre supported the establishment of national firearms commissions in Ecuador and the Plurinational State of Bolivia through two capacity-building workshops, held in Quito on 17 February 2011 and La Paz on 1 March 2011. The establishment of the Ecuadorian National Commission on Firearms, Ammunition and Explosives in April 2011, following a seminar held in Ecuador, facilitated the process of establishing a national firearms commission in the country in La Paz.", "Southern Cone region", "46. A number of Southern Cone countries also face serious problems of crime and armed violence, including killings and looting. It is estimated that the number of illegally held firearms may exceed that of legally registered weapons. The Southern Cone countries also have a strong firearms and ammunition production capacity. The cases reported by the Southern Cone involving illicit trafficking in firearms concern both weapons produced in the subregion and weapons produced outside the subregion.", "47. The Southern Cone countries have been at the forefront of efforts to prevent and combat illicit trafficking in conventional arms through strict national and subregional control frameworks. The Centre facilitates the exchange of experience and expertise among the countries of the Southern Cone and conducts policy dialogues.", "(a) Public security dialogue", "48. The Regional Centre has been selected by OAS as the main implementing partner on firearms issues. At the OAS Expert Meeting on Public Security, held in Santiago in November 2010, the Regional Centre participated as an implementing partner in setting the agenda for the meeting, sharing expertise during the discussions and making a presentation on the impact of firearms on public security.", "49. At a conference on combating illicit trafficking in small arms and light weapons in South America, organized by the Government of the United States of America in Buenos Aires on 4 August 2010, the Regional Centre presented its regional perspective on the challenges posed by illicit firearms trafficking in the Southern Cone countries.", "(b) Programme of Action on Small Arms and the Arms Trade Treaty", "50. The Regional Centre supported the organization by the United Nations Institute for Disarmament Research (UNIDIR) of a regional seminar on the arms trade treaty in Latin America and the Caribbean, held in Montevideo from 27 to 29 April 2011. The Regional Centre continued to support countries in the region, upon request, in participating in the arms trade treaty process.", "51. The Regional Centre has also been actively promoting cross-regional capacities and lessons learned to more efficiently collate and use expertise in combating illicit trafficking in firearms. It has facilitated the exchange and sharing of best practices and lessons learned among countries in the various subregions of Latin America and the Caribbean.", "B. Weapons of mass destruction", "52. The Regional Centre actively supported Member States in promoting nuclear disarmament, in particular the Secretary-General ' s five-point proposal on nuclear disarmament. The five-point proposal was presented in detail by the Regional Centre at a regional seminar on nuclear disarmament and a nuclear-weapon-free world, organized by the Government of Uruguay, Global Action against War and the Friedrich Ebert Foundation, held in Montevideo from 8 to 9 November 2010.", "53. From 9 to 11 November 2010, the Regional Centre, in cooperation with the Government of the United States, held a regional workshop in Lima on the implementation of Security Council resolution 1540 (2004). Government officials and experts from Argentina, Brazil, Costa Rica, Peru, the United Nations Security Council Committee established pursuant to resolution 1540 (2004) and subregional organizations such as the Central American Integration System (SICA) and the Caribbean Community and Common Market (CARICOM) discussed regional strategies to strengthen national capacities to implement resolution 1540 (2004). At the seminar, participants expressed the hope that a training module would be added to the regional centre ' s inter-agency training course on weapons of mass destruction, in particular import/export and border control.", "Staffing, funding and management", "Finance", "54. In accordance with General Assembly resolution 41/60 J, the Regional Centre was established using existing resources and voluntary contributions from Member States and interested organizations in support of its core operational and programme activities. During the reporting period, voluntary contributions in the amount of $2,541,373 were received in the Trust Fund for the Regional Centre. [9] The Secretary-General wishes to express his appreciation to the Governments of Canada, Colombia, Guyana, Panama, Peru, Spain, Sweden and the United States of America, as well as OAS, for their generous financial contributions to the Regional Centre, which are essential for the Centre to carry out all its programmes and activities. Information on the status of the Trust Fund for the Regional Centre for 2010 is contained in annex I to the present report.", "55. The resource mobilization efforts of the Regional Centre have resulted in new partnerships with the Governments of Canada and the United States of America. Multi-year projects from these partnerships have enabled the Centre to carry out public security assistance programmes/activities in the Andean and Caribbean regions. The increased number of requests for assistance from Member States, coupled with the increased cost of living at the Centre ' s headquarters in Lima, has put the Centre ' s financial resources under strain. In that regard, the Secretary-General thanked Peru, the host country of the Regional Centre, for its annual contribution and appealed to the country to continue to provide the necessary financial and other support to offset the increase in its operating costs.", "56. The Regional Centre also benefited from close cooperation and joint action with other important partners in the region, such as OAS, UNDP, the Central American Small Arms and Light Weapons Control Plan and UNODC regional and country offices. These partner organizations provide in-kind contributions to the Regional Centre and cost-sharing arrangements, which greatly assist the Centre in implementing its plans and activities.", "57. The Secretary-General acknowledges the cooperation and joint efforts of OAS and the Regional Centre to address pressing issues in the area of disarmament and non-proliferation in the region, including the implementation of specific joint projects.", "B. Staffing and management", "58. During the reporting period, the Regional Centre strengthened its public security programme team by recruiting experts for the Andean and Caribbean regions. The Centre has also strengthened its internal legal expertise with additional staff. With additional project staff and consultants, the Regional Centre has improved its effectiveness in responding to the increasing number of requests for assistance from Member States in the region and in meeting their needs in the field of disarmament and security.", "59. In order to carry out its mandate effectively, the Regional Centre must have a stable core team of skilled professionals and support staff. In this regard, the Secretary-General wishes to thank Member States and other donors for their valuable support in strengthening and maintaining the Centre ' s core staff.", "60. The Regional Centre continues to rely solely on voluntary financial contributions to develop and implement all its programmes in the region. These contributions are also essential for the recruitment of project personnel for the implementation of projects and activities in response to requests from Member States.", "Conclusion", "61. During the reporting period, the Regional Centre undertook more than 40 substantive activities at the request of Member States in the region. The significant increase in the number of requests for assistance from Member States demonstrates the value of the work carried out by the Regional Centre to the region ' s priorities in the field of disarmament and security.", "62. Illicit firearms seriously undermine the security, stability and socio-economic development of the region, and the Regional Centre has increased its assistance to Member States in combating illicit firearms. The assistance programmes of the Regional Centre include technical assistance in law enforcement capacity-building, stockpile management and border security, and legal and policy support to promote the implementation of global and regional disarmament and non-proliferation instruments.", "63. In implementing its plans and activities, the Regional Centre has developed strong partnerships with Member States, regional and subregional organizations, other United Nations entities and civil society organizations.", "64. The Secretary-General reiterates his appeal to Member States and other partners in a position to do so to provide the necessary financial and in-kind support to the Regional Centre to ensure that it can continue to fulfil its mandate and meet the needs of Member States in the region effectively.", "Annex", "Status of the Trust Fund for the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean for 2010", "(United States dollars)", "Reserves and fund balances as at 1 January 2010", "Income from 1 January to 31 December 2010", "Voluntary contributions 2 541 373^ (a)", "Funds received under inter-organizational arrangements 21 000", "Interest income 40 965", "Other/miscellaneous income 75 895", "Total income 2 679 233", "Expenditure 1 January to 31 December 2010", "Programme support costs 247 924", "Total expenditure 2 154 832", "Refunds to donors (183,492)", "Reserves and fund balances as at 31 December 2010", "Note: This information is based on the statement of income and expenditure for 2010. During the period from 1 January to 30 May 2011, additional contributions totalling $334,292 were received from Canada ($191,836), Guyana ($1,000) and Spain ($141,456).", "(a) Contributions totalling $2,541,373 were received from Canada ($1,176,843), Colombia ($2,500), Guyana ($1,000), OAS ($21,000), Panama ($1,000), Peru ($30,000), Spain ($351,800), Sweden ($551,870) and the United States of America ($405,360).", "(b) Includes reserves and fund balances as at 1 January 2010, plus income for 2010, less expenditure for 2010 and refunds to donors.", "[1] A 10-day training course will include on-site simulation exercises for armed forces, police, intelligence, justice and customs personnel. The course trained participants in technical aspects of firearms and ammunition identification and tracing, as well as technical and institutional coordination skills required to prevent and combat illicit trafficking in firearms, ammunition and explosives. The course ' s field exercise recreated the entire process of gathering information and presenting evidence to judges. Cross-cutting issues, such as human rights, gender awareness and child protection, were also given priority training. The course also provided an opportunity for law enforcement officers throughout the region to share lessons learned and best practices from individuals and countries. It has contributed to improved coordination among national agencies and is an important tool for the institutional members of the National Firearms Commission to better implement the national action plan. The training course thus contributes to strengthening national capacity and more effective implementation of international and regional small arms control instruments.", "[2] Second Inter-American Conference of Ministers of Public Security, Santo Domingo, 4-5 November 2009 (see OAS/Ser.K/XLIX.2).", "[3] During the previous reporting period (June 2009 to July 2010), three assessment missions were conducted in Grenada, Jamaica and Saint Vincent and the Grenadines.", "[4] Belize, Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama. The Dominican Republic is an observer.", "[5] Colombia, Costa Rica, the Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Nicaragua and Panama participated in the workshop.", "[6] Mexico City (30 June-2 July 2010); Quito (29 September-1 October 2010); Asunción (4-5 October 2010); Lima (13-14 December 2010).", "[7] Quito, Ecuador (31 January-11 February 2011); Tombes, Peru (7-18 March 2011); Pereira, Colombia (7-18 March 2011); La Paz, Bolivia (4-15 April 2011).", "[8] Participants included representatives of law enforcement agencies, the judiciary and the prosecution services of Bolivia (Plurinational State of), Colombia, Ecuador and Peru, as well as observers for the Dominican Republic, El Salvador and Guatemala, including representatives of civil society.", "[9] This information is based on the Regional Centre Trust Fund statement of income and expenditure for 2010. During the period from 1 January to 30 May 2011, additional contributions totalling $334,292.47 were received." ]

[ "2011年7月13日科威特常驻联合国代表给安全理事会主席的信", "谨随信转递科威特副首相兼外交大臣谢赫穆罕默德·萨巴赫·萨利姆·萨巴赫阁下的信，通报在安全理事会根据《宪章》第七章通过的与伊拉克与科威特间局势项目有关的决议所规定的伊拉克未尽义务问题上的最新事态发展(见附件)。", "请将本函及其附件作为安全理事会文件分发为荷。", "常驻代表", "曼苏尔·伊亚德·奥泰比(签名)", "2011年7月13日科威特常驻联合国代表给安全理事会主席的信的附件", "[原件：阿拉伯文]", "科威特副首相兼外交大臣给安全理事会主席的信", "谨请阁下注意安全理事会根据《宪章》第七章在题为“伊拉克与科威特间局势”的项目框架内通过的有关决议，特别是第687(1991)、833(1993)、1284(1999)和1956(2010)号决议所规定的伊拉克未尽承诺的以下最新事态发展：", "囚犯和归还财产及国家档案两个问题", "科威特国十分珍视伊拉克政府为在红十字国际委员会领导的旨在查明科威特失踪人员和第三国国民下落的三边委员会及其技术小组委员会框架内最后解决这些人道主义问题而表现出的建设性合作。", "这种合作富有成果，605名失踪人员中已有236具遗体得到辨认。不过，2004年以来，在发现其余失踪人员下落方面没有取得进展。有关各方应在技术小组委员会框架内商定各项工作计划和方案，我们希望在即将开始的这些计划和方案的执行阶段继续开展和加强这种合作。", "另一方面，科威特国欢迎安全理事会在2011年6月22日举行的非正式协商中作出决议，延长了高级协调员根纳季·塔拉索夫大使的任务期限，以便对失踪人员及科威特财产和国家档案卷宗采取后续行动，但没有取得任何值得提及的进展。", "科威特国支持续延协调员的任务期限，以确保安全理事会有关决议即第1284(1999)号决议得到执行。科威特国还欢迎安理会2011年6月22日发布的新闻稿，其中要求伊拉克设立一个部长级委员会，对科威特财产和国家档案卷宗采取后续行动，并就该委员会活动情况提出报告。", "维护边界实物标识物", "在执行安全理事会第833号决议的过程中，联合国为执行伊拉克-科威特边界维持项目作出了必要安排。该项目的第一和第二阶段涉及筹备和规划，已于四年多以前完成。然而，该项目的第三阶段即项目的实际执行仍未完成。联合国迄今未能继续执行其任务，原因如下：", "伊拉克不执行联合国技术小组的建议。该小组于2008年2月访问了边界地区，并要求伊拉克消除对边界的所有侵蚀和障碍，包括妨碍边界标识之间可见度的障碍。", "自2010年1月以来，联合国秘书处发出了几封信，最近一封是在2011年5月，要求伊拉克支付该项目费用中应由其承担的剩余部分共计600 000.00美元，并确定何日开始实施伊拉克-科威特边界维持项目的最后阶段。但是，尽管秘书长反复呼吁，伊拉克仍没有对这些信函作出任何反应。因此该维持项目一直停滞不前。值得一提的是，科威特和伊拉克在联合国的主持下举行过两次会议，第一次是2007年1月在纽约，第二次是2008年10月在科威特。我们希望联合国要求来自科威特和伊拉克的技术员举行第三次会议，以恢复实施维持项目，并向安全理事会报告这方面发生的情况。", "赔偿问题", "伊拉克继续履行安全理事会有关决议规定的义务，对于那些因1990年伊拉克侵略科威特而受到影响的人予以赔偿。根据安理会的决议，应从所有石油、石油产品和天然气出口销售收益中扣除一个百分比，存入赔偿基金。这个百分比降低了几次，最近一次是根据第1483(2003)号决议扣除这类收益的5%存入赔偿基金。安全理事会以往各项决议都重申继续扣除这个百分比。最近的是第1956号决议，其中执行部分第3段确认，任何非货币形式支付(即向服务提供者支付的石油、石油产品和天然气)价值的5%也应存入赔偿基金。", "为了执行赔偿基金董事会的决定(要求科威特和伊拉克在联合国的主持下举行会谈，讨论今后的剩余赔偿数额)，第一轮讨论已于2009年5月在约旦阿曼举行。会议结束时双方一致同意再举行一轮讨论，审查顾及两国利益的最佳选择。迄今为止，伊拉克没有答复赔偿委员会秘书处关于举行第二轮讨论的多次信函。", "我们要强调，我们真诚希望改善双边关系，造福于两国和两国人民并加强睦邻关系。我们深信，伊拉克履行联合国框架内的国际义务、确认遵守第833(1993)号决议和实地执行这项决议，应成为两国间建立信任的重要门户，并推动拓展视野，在尊重国际合法性、国际法和不干涉内政原则的基础上建立稳固的关系。", "最后，谨重申科威特国随时准备向伊拉克提供必要的支持和援助，以加快履行安全理事会有关决议规定的未尽义务。", "副首相兼外交大臣", "穆罕默德·萨巴赫·萨利姆·萨巴赫" ]

[ "Letter dated 13 July 2011 from the Permanent Representative of Kuwait to the United Nations addressed to the President of the Security Council", "I transmit to you herewith a letter from His Excellency Sheikh Mohammad Al‑Sabah Al-Salem Al-Sabah, the Deputy Prime Minister and Minister for Foreign Affairs of Kuwait, concerning the latest developments regarding Iraq’s outstanding obligations pursuant to the Security Council resolutions relevant to the item on the situation between Iraq and Kuwait, which were adopted under Chapter VII of the Charter (see annex).", "I should be grateful if you would have this letter and its annex issued as a document of the Security Council.", "Accept, Sir, the assurances of my highest consideration.", "(Signed) Mansour Ayyad SH A Alotaibi Permanent Representative", "Annex to the letter dated 13 July 2011 from the Permanent Representative of Kuwait to the United Nations addressed to the President of the Security Council", "We should like to draw your attention to the latest developments concerning Iraq’s outstanding obligations pursuant to Security Council resolutions relevant to the item on the situation between Iraq and Kuwait, which were adopted under Chapter VII of the Charter, and in particular resolutions 687 (1991), 833 (1993), 1284 (1999), and 1956 (2010).", "In that connection, we should like to state the following.", "The issues of the prisoners and the return of property and the national archive", "The State of Kuwait highly values the constructive cooperation shown by the Government of Iraq to resolve this humanitarian issue within the framework of the Tripartite Commission and its Technical Subcommittee, under the auspices of the International Committee of the Red Cross, with a view to uncovering the fate of missing Kuwaitis and nationals of third States.", "That cooperation made it possible to identify the remains of 236 out of 605 missing persons. However, since 2004, no progress has been made in discovering the fate of the remaining missing persons. We hope that cooperation will continue and intensify in the coming phase in order to implement the workplans and programmes to be determined by the relevant parties through the Technical Subcommittee.", "The State of Kuwait welcomes the decision taken by the Security Council in informal consultations held on 22 June 2011 to extend the mandate of the High-level Coordinator, Ambassador Gennady Tarasov, to follow up the issue of missing persons and the issue of Kuwaiti property and the national archive, which has not seen any notable progress.", "The State of Kuwait supports the continuation of the mandate of the High-level Coordinator in order to ensure implementation of the relevant Security Council resolutions, in particular resolution 1284 (1999). The State of Kuwait welcomes the press release issued by the Council on 22 June 2011, which urges the Government of Iraq to establish an inter-ministerial committee to follow the issue of the Kuwaiti national archives and other property, and to submit reports on the activities of that committee.", "Maintenance of border markers", "In accordance with Security Council resolution 833 (1993), the United Nations made the necessary arrangements to enact the Iraq-Kuwait boundary maintenance project. The first and second phases of the project, which consisted of preparations and planning, were completed over four years ago. However, the third and final phase, which consists of actual implementation of the project, has not been addressed. The United Nations has thus far been unable to continue fulfilling its functions for the following reasons.", "– Iraq has not implemented the recommendations of the United Nations technical team, which visited the border area in February 2006 and requested that Iraq should remove all encroachments and obstacles on the borders, including those impeding visibility between the border markers.", "– Since January 2010, the United Nations Secretariat has written to Iraq on several occasions, most recently in May 2011, requesting that it should pay its remaining share of the project costs, in the amount of $600,000, and determine a start date for the final phase of the Iraq-Kuwait boundary maintenance project. However, despite repeated calls from the Secretary-General, Iraq has not responded to any of those letters and the project remains suspended. Two meetings between Kuwait and Iraq have taken place under the auspices of the United Nations, the first in New York in June 2007 and the second in Kuwait in October 2008. We hope that the United Nations will call for a third meeting of experts from Kuwait and Iraq with a view to resuming implementation of the project and informing the Security Council of developments.", "The issue of compensation", "Iraq continues to fulfil the obligations contained in the relevant Security Council resolutions with regard to compensation for those affected by Iraq’s invasion of Kuwait in 1990. In accordance with those resolutions, a percentage of the proceeds from export sales of petroleum has been deducted and deposited in the Compensation Fund. That percentage has been reduced several times, most recently to 5 per cent in accordance with Security Council resolution 1483 (2003). Subsequent Security Council resolutions have reaffirmed that that percentage should continue to be deducted. Most recently, resolution 1956, paragraph 3 provided that 5 per cent of the value of any non-monetary payments of petroleum, petroleum products and natural gas made to service providers should be deposited in the Compensation Fund.", "In 2008, the Governing Council of the United Nations Compensation Commission, called on Kuwait and Iraq to hold consultations under the auspices of the United Nations on the unpaid compensation balance. In implementation of that decision, a first round of consultations was held in May 2009 in Amman, Jordan. On its completion, an agreement was reached between the two sides to hold another round of discussions to examine the best way forward taking into consideration the interests of both countries. To date, Iraq has not responded to repeated letters from the Secretariat of the Compensations Commission regarding the convening of a second round.", "We wish to emphasize our genuine desire to improve bilateral relations serving the interests of both countries and peoples and to consolidate neighbourly relations. We are confident that Iraq’s implementation of its international obligations under the auspices of the United Nations, and its affirmation of its respect for and implementation of resolution 833 (1993), would constitute an important step in building confidence-building between the two countries, leading to a strong relationship based on respect for international law and the principle of non‑interference in internal affairs.", "In conclusion, we should like to reiterate that the State of Kuwait is fully prepared to provide Iraq with the necessary support and assistance in order to accelerate implementation of its remaining obligations under the relevant Security Council resolutions.", "(Signed) Mohammad Al-Sabah Al-Salem Al-Sabah Deputy Prime Minister and Minister of Foreign Affairs" ]

[ "Letter dated 13 July 2011 from the Permanent Representative of Kuwait addressed to the President of the Security Council", "I have the honour to transmit herewith a letter from His Excellency Sheikh Mohammad Sabah Al-Salem Al-Sabah, Deputy Prime Minister and Minister for Foreign Affairs of Kuwait, on the latest developments concerning Iraq ' s outstanding obligations under Security Council resolutions adopted under Chapter VII of the Charter relating to the item on the situation between Iraq and Kuwait (see annex).", "I should be grateful if you would have the present letter and its annex circulated as a document of the Security Council.", "Permanent Representative", "(Signed) Mansour Ayyad Al-Otaibi", "Permanent Representative", "[Original: Arabic]", "Letter from the Deputy Prime Minister and Minister for Foreign Affairs of Kuwait to the President of the Security Council", "I have the honour to draw your attention to the following relevant resolutions adopted by the Security Council under Chapter VII of the Charter in the framework of the item entitled “The situation between Iraq and Kuwait”, in particular the latest developments with regard to Iraq's outstanding commitments under resolutions 687 (1991), 833 (1993), 1284 (1999) and 1956 (2010):", "Prisoners and restitution of property and State archives", "The State of Kuwait greatly values the constructive cooperation shown by the Government of Iraq for the final resolution of these humanitarian issues within the framework of the Trilateral Commission and its Technical Subcommittee, led by the International Committee of the Red Cross, aimed at ascertaining the fate of Kuwaiti missing persons and third-country nationals.", "This cooperation has been fruitful, with 236 remains identified out of 605 missing persons. However, no progress has been made since 2004 in discovering the whereabouts of the remaining missing persons. All parties concerned should agree on working plans and programmes within the framework of the Technical Subcommittee, and we hope that such cooperation will continue and be strengthened during the forthcoming implementation phase of those plans and programmes.", "On the other hand, the State of Kuwait welcomes the Security Council ' s resolution in informal consultations held on 22 June 2011, extending the mandate of the High-level Coordinator, Ambassador Gennady Tarasov, to follow up on missing persons and Kuwaiti property and the national archives, without any noteworthy progress.", "The State of Kuwait supports the extension of the Coordinator ' s mandate to ensure the implementation of the relevant Security Council resolution, resolution 1284 (1999). The State of Kuwait also welcomes the press release issued by the Council on 22 June 2011 requesting Iraq to establish a ministerial committee to follow up on the Kuwaiti property and national archives and to report on the activities of the committee.", "Maintenance of border physical identifiers", "In the implementation of Security Council resolution 833, the United Nations has made the necessary arrangements for the implementation of the Iraq-Kuwait boundary maintenance project. The first and second phases of the project, involving preparation and planning, were completed more than four years ago. However, the third phase of the project, the actual implementation of the project, remains incomplete. The United Nations has so far been unable to continue to implement its mandate for the following reasons:", "Iraq did not implement the recommendations of the United Nations technical team. The team visited the border area in February 2008 and asked Iraq to remove all encroachments and obstacles to the border, including those that prevent visibility between border signs.", "Since January 2010, the United Nations Secretariat has sent several letters, the most recent of which was in May 2011, requesting Iraq to cover the remaining portion of the project ' s costs, totalling $600,000.00, and to determine the date of commencement of the final phase of the Iraq-Kuwait boundary maintenance project. However, despite repeated calls by the Secretary-General, Iraq has not responded to these letters. The maintenance project has therefore been stalled. It is worth mentioning that Kuwait and Iraq held two meetings under the auspices of the United Nations, the first in New York in January 2007 and the second in Kuwait in October 2008. We hope that the United Nations will request a third meeting of technicians from Kuwait and Iraq to resume the maintenance project and report back to the Security Council on what has happened in that regard.", "The question of compensation", "Iraq continues to fulfil its obligations under the relevant Security Council resolutions to compensate those affected by Iraq ' s invasion of Kuwait in 1990. In accordance with the Council ' s resolutions, a percentage of the proceeds from all export sales of petroleum, petroleum products and natural gas should be deducted from the Compensation Fund. This percentage has been reduced several times, most recently by the deduction of 5 per cent of such proceeds into the Compensation Fund pursuant to resolution 1483 (2003). The continued deduction of this percentage has been reiterated in previous Security Council resolutions. Most recently, resolution 1956, operative paragraph 3 of which recognizes that 5 per cent of the value of any non-monetary payment (i.e., of petroleum, petroleum products and natural gas to service providers) should also be deposited into the Compensation Fund.", "The first round of discussions was held in Amman, Jordan, in May 2009 to implement the decision of the Board of Trustees of the Compensation Fund, which requested Kuwait and Iraq to meet under the auspices of the United Nations to discuss future residual compensation amounts. At the end of the meeting, both sides agreed to hold another round of discussions to examine the best options for taking into account the interests of both countries. To date, Iraq has not responded to numerous letters from the UNCC secretariat concerning the holding of a second round of discussions.", "We would like to stress our sincere desire to improve bilateral relations for the benefit of both countries and their peoples and to strengthen good-neighbourly relations. We are convinced that Iraq's compliance with its international obligations within the framework of the United Nations, its confirmation of its compliance with resolution 833 (1993) and its implementation on the ground should serve as an important gateway to confidence-building between the two countries and contribute to a broader vision of a solid relationship based on respect for international legitimacy, international law and the principle of non-interference in internal affairs.", "In conclusion, I would like to reiterate the readiness of the State of Kuwait to provide Iraq with the necessary support and assistance to expedite the implementation of its outstanding obligations under the relevant Security Council resolutions.", "Deputy Prime Minister and Minister for Foreign Affairs", "Mohammed Sabah Salem Al-Sabah" ]

[ "2011年7月14日以色列常驻联合国代表给秘书长和安全理事会主席的同文信", "谨提请注意，上月以来，特别是在上周，出现了加沙地带向以色列发射火箭炮和迫击炮与日增加这一令人不安的情况。", "2011年6月16日以来，加沙恐怖分子向以色列南部发射火箭炮和迫击炮超过15次，过去五天内就发生了6次袭击。2011年7月9日，两颗火箭炮在Kibbutz Zikum附近爆炸，引发大火。2011年7月12日，向以色列南部发射了两颗火箭炮，其中一颗在平民居住区中心爆炸，炸毁一所房屋。就在昨天，一颗火箭炮在人口超过20万的以色列主要城市Be’er-Sheba附近爆炸。", "这些袭击蓄意针对以色列平民，继续对居民构成严重威胁。最近发射的火箭炮和迫击炮没有造成平民伤亡纯属巧合。以色列认为，实际控制加沙地带的哈马斯恐怖组织必须对从其控制地区发动的所有袭击承担责任。为了应对上述袭击，以色列已经并将继续酌情行使自卫权，并且将采取一切必要措施保护平民。", "这些袭击明显违反国际法，必须以最严肃的态度加以对待。从加沙持续发射火箭不是偶然的。它应该使我们清醒地看到，加沙地带实现平静的道路还很遥远，哈马斯还远远没有改弦更张。安全理事会、秘书长和国际社会应明确谴责上述袭击，并向试图加剧本地区冲突的哈马斯及其后台发出明确的信息。", "这些袭击突出说明了向加沙地带非法走私武器产生的严重后果。安全理事会第1860(2009)号决议述及了这一问题，但未引起国际社会的应有注意。", "请将本函作为安全理事会文件分发为荷。", "常驻代表", "大使", "罗恩·普罗索尔(签名)" ]

[ "Identical letters dated 14 July 2011 from the Permanent Representative of Israel to the United Nations addressed to the Secretary-General and the President of the Security Council", "I write to draw your attention to a disturbing increase in the firing of rockets and mortars at Israel from the Gaza Strip over the course of the past month — and the past week in particular.", "Since 16 June 2011, terrorists in Gaza have launched more than 15 rockets and mortars into Southern Israel, including six attacks in the past five days. Two rockets landed near Kibbutz Zikum on 9 July 2011, causing a fire. On 12 July 2011, two rockets were launched into Southern Israel, one of which exploded in the middle of a civilian neighbourhood and damaged a home. Just yesterday, a rocket exploded near the major Israeli city of Be’er-Sheba, where more than 200,000 people live.", "These attacks are deliberately targeted at Israeli civilians — and continue to represent a serious danger to the population. It is only by coincidence that the recent barrage of rocket and mortar fire has not resulted in civilian casualties. Israel holds the Hamas terrorist organization — which remains in de facto control of the Gaza Strip — fully responsible for all attacks emanating from the area that it controls. In response to these attacks, Israel has exercised and will continue to exercise its right to self-defence, as appropriate, and will take all necessary measures to protect its citizens.", "These attacks constitute a clear violation of international law and must be addressed with the utmost seriousness. The persistence of rocket fire from Gaza is no accident. It should serve as a clear reminder that calm in Gaza is far from certain — and that Hamas is far from changing its ways. Israel expects the Security Council, the Secretary-General and the international community to condemn all of these attacks in very clear terms and send a firm message to Hamas and its patrons, which seek to escalate conflict in our region.", "These attacks also highlight the serious consequences that result from the illegal smuggling of arms into the Gaza Strip — an integral part of Security Council resolution 1860 (2009) that does not receive the attention that it deserves from the international community.", "I should be grateful if you would have the present letter distributed as a document of the Security Council.", "(Signed) Ron Prosor Ambassador Permanent Representative" ]

[ "Identical letters dated 14 July 2011 from the Permanent Representative of Israel to the United Nations addressed to the Secretary-General and the President of the Security Council", "I wish to draw your attention to the disturbing increase in the number of rockets and mortars fired into Israel by the Gaza Strip since last month, particularly last week.", "Since 16 June 2011, more than 15 rockets and mortars have been fired by terrorists in Gaza against southern Israel, with six attacks in the past five days. On 9 July 2011, two rockets exploded near Kibbutz Zikum, causing a fire. On 12 July 2011, two rockets were fired at southern Israel, one of which exploded in the centre of a civilian settlement, damaging a house. Just yesterday, a rocket exploded near the main Israeli city of Be'er-Sheba, with a population of over 200,000.", "These attacks, which deliberately target Israeli civilians, continue to pose a serious threat to the population. It is a coincidence that recent rocket and mortar fire did not cause civilian casualties. Israel holds the Hamas terrorist organization, which has de facto control of the Gaza Strip, responsible for all attacks carried out from areas under its control. In response to these attacks, Israel has exercised and will continue to exercise its right to self-defence, as appropriate, and will take all necessary measures to protect civilians.", "These attacks are in clear violation of international law and must be treated with the utmost seriousness. The continued firing of rockets from Gaza is no coincidence. It should awaken us to the fact that the road to calm in the Gaza Strip is still far from changing. The Security Council, the Secretary-General and the international community should unequivocally condemn these attacks and send a clear message to Hamas and its successors in their attempt to exacerbate the conflict in the region.", "These attacks highlight the serious consequences of illegal arms smuggling into the Gaza Strip. Security Council resolution 1860 (2009) addresses this issue, but has not attracted the attention of the international community.", "I should be grateful if you would have the present letter circulated as a document of the Security Council.", "Permanent Representative", "Ambassador", "(Signed) Ron Prosor Ambassador Permanent Representative" ]

[ "第六十五届会议", "议程项目115", "千年首脑会议成果的后续行动", "大会主席提出的决定草案", "民间社会代表参加将于2011年9月19日和20日召开的关于预防和控制非传染性疾病的大会高级别会议", "大会决定核可大会主席根据大会第65/238号决议第15段规定拟订的A/65/CRP.5号文件所载参加将于2011年9月19日和20日召开的关于预防和控制非传染性疾病的高级别会议的民间社会代表清单。", "^(*) 由于技术原因于2011年7月21日重新印发。" ]

[ "Sixty-fifth session", "Agenda item 115", "Follow-up to the outcome of the Millennium Summit", "Draft decision submitted by the President of the General Assembly", "Participation of civil society representatives in the High-level Meeting of the General Assembly on the Prevention and Control of Non-communicable Diseases, to be convened on 19 and 20 September 2011", "* Reissued for technical reasons on 21 July 2011.", "The General Assembly decides to approve for participation in the High-level Meeting of the General Assembly on the Prevention and Control of Non‑communicable Diseases, to be convened on 19 and 20 September 2011, the list of civil society representatives contained in document A/65/CRP.5, which was drawn up by the President of the General Assembly pursuant to paragraph 15 of Assembly resolution 65/238." ]

[ "Sixty-fifth session", "Agenda item 115", "Follow-up to the outcome of the Millennium Summit", "Draft decision submitted by the President of the General Assembly", "Participation of civil society representatives in the high-level meeting of the General Assembly on the prevention and control of non-communicable diseases, to be held on 19 and 20 September 2011", "The General Assembly decides to endorse the list of civil society representatives participating in the high-level meeting on the prevention and control of non-communicable diseases, to be held on 19 and 20 September 2011, as contained in document A/65/CRP.5, prepared by the President of the General Assembly pursuant to paragraph 15 of Assembly resolution 65/238.", "^ (*) Reissued for technical reasons on 21 July 2011." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目7(d)", "协调、方案和其他问题：支持海地长期方案", "海地问题特设咨询小组的报告^(*)", "摘要", "本报告以2011年6月海地问题特设咨询小组访问情况及小组与海地发展伙伴方的会议情况为依据，介绍了该国在复苏过程中取得的进展及继续阻碍该国复苏的各种挑战。出现这些挑战的主要原因是缺乏明确的权力分配。鉴于实地局势复杂，包括涉及多个行为方，既包括本国行为方，又包括国际行为方，小组无法广泛概述开展的活动，因此仅突出与援助实效和发展政策备选方案相关的要点，通过这些发展政策备选方案可以加强复苏和重建及制定该国急需的长期经济计划。本报告最后向海地当局及其发展伙伴方提出了多项建议。", "^(*) 本报告迟交是为了纳入海地问题特设咨询小组2011年6月15至18日访问结果。", "目录", "页次\n1.导言 3\n2.局势不稳情况下在实地取得显著进展 4\n3.国际支助的协调：正在开展的工作 5\n4.保持对海地的高度支持：国际社会和海地政治行动者的共同责任 9\n5.投资于海地领导人确定的优先领域 10\n6.结论和建议 12 \n 附件 \n2011年6月15日至18日特设咨询小组访问海地的日程 15", "一. 导言", "1. 本报告是海地问题特设咨询小组自2004年恢复工作以来向经济及社会理事会实质性会议提交的第七份报告。当时，应海地政府的请求，理事会通过了第2004/52号决议，其中决定恢复1999年设立的小组的工作，以帮助协调制订一项支持该国的长期方案。", "小组的任务规定和组成", "2. 根据理事会第2004/322、第2009/211和第2009/267号决议的决定，小组由贝宁、巴西、加拿大、智利、萨尔瓦多、海地、秘鲁、西班牙及特立尼达和多巴哥常驻联合国代表组成。2011年，根据巴哈马(E/2011/8)、法国(E/2011/80)和美利坚合众国(E/2011/69)提出的加入小组的请求，理事会又决定将巴哈马和法国常驻联合国代表和美利坚合众国常驻经济及社会理事会代表增列为小组成员。(见理事会第2011/207和2011／211号决定)小组自2004年11月23日第一次会议起，一直由加拿大常驻联合国代表担任主席。根据第2004/322号决定的规定，经济及社会理事会主席和负责海地问题的秘书长特别代表应邀参加小组的会议。", "3. 经社理事会第2010/28号决议决定将特设咨询小组的任期延长至2012年实质性会议，以便密切关注海地促进灾后社会经济复原、稳定和重建的长期发展战略并对此提供咨询意见，特别注意必须确保国际社会根据海地政府的重建和国家发展行动计划中列出的长期优先发展重点，向海地提供一贯和持续的支持，并强调必须避免现有机制的重叠与重复。理事会还请小组报告为支持该国复苏、重建和发展而开展的活动，并酬情向经社理事会提出建议，供其在2011年组织会议和实质性会议上审议。", "特设咨询小组活动概述", "4. 虽然本报告中提出的大部分结论都是以小组2011年6月15日至18日访问海地为依据，但小组与国际非政府组织、海地恢复临时委员会工作人员以及驻地协调员尼格尔·费希尔的初步会议也为本报告的编写提供了资料。", "5 政治原因致使访问时间推迟，影响了与国家当局的互动。自上次访问以来海地取得了多项进展。在重建方面，海地恢复临时委员会在小组2010年访问期间举行了首次会议，此后又举行了若干次会议，批准了多个领域的多个项目。还设立了由世界银行管理的海地重建基金。但大多数的重建和恢复工作都不及政治和选举局势重要，使人们对该国的稳定表示关切。虽然在海地历史上两位当选总统之间首次民主、和平地转移权力值得认可和表扬，但围绕这一过程的不确定性依然阻碍该国实现急需的复苏。在起草本报告时，议会还未核准任命一名新总理，致使政府无法组阁。另外，政治和法律上影射修宪的企图被视为无效。", "6. 小组认识到，实地的现实情况仍给海地人民和联合国国家工作队带来各种挑战。2010年1月12日灾害性地震发生后在复苏过程期间安排了小组的2010年访问，之后很快又赶上了飓风季，爆发了霍乱以及选举进程非常艰难，而在太子港的大街上还不时出现民众骚乱。", "7. 小组成员感谢海地当局在政治过渡和不稳定的情况下挤出时间，帮助得出本报告中提出的结论和建议。小组也赞赏与代总理兼规划和对外合作部长让-马克斯·贝勒里夫、参议院议长鲁道夫·佐智拉、前候任总理丹尼尔·鲁齐耶、外交部长玛丽-米歇尔·雷伊等海地官员以及其他内阁成员进行的坦诚和建设性交流。此外，小组还感谢秘书处经济和社会事务部持续全力支持小组的工作。还向秘书长副特别代表兼联合国海地稳定特派团(联海稳定团)团长凯文·肯尼迪和尼格尔·费希尔、他们的干练团队以及整个联合国国家工作队在此次访问期间给予的大力支持，以及他们在为小组安排的多次会议中提供的资料和分析表示诚挚感谢。", "8. 小组在海地的活动包括访问莱奥甘、与青年代表进行讨论、世界卫生组织(世卫组织)和古巴医疗代表进行情况通报以及与私营部门举行会谈等(见附件)。虽然缺少一个正式政府，但在太子港和首都以外地区与民间社会、私营部门及外交和捐助界等不同行为方进行了高质量的互动交流，因此认为访问还是卓有成效。由于涉及数量众多的行为方，很难详尽无遗地概述开展的所有活动和互动交流。由于选举后情况阻碍该国的重建工作，致使出现了许多挑战，而出现挑战的主要原因是缺乏明确的权力分配。鉴于实地局势复杂，包括涉及多个行为方，既包括当地行为方，又包括国际行为方，因此小组侧重介绍有助于加强复苏和重建及制定该国急需的长期经济计划的要点。", "二． 局势不稳情况下在实地取得显著进展", "9. 小组提出的第一点意见是，与一年前的访问相比局势有所改善。在清除行动和重建太子港及周围社区方面明显取得了进展，这表明海地社会已被动员起来，而且国际社会提供的帮助确实有用。", "10. 在此方面的下列数据很具有说服力：每月约50 000人离开境内流离失所者营地，到永久或半永久住所定居。小组2010年访问时共有130万人住在营地，现在依然有680 000人住在营地，预计到2011年底这一数字约为400 000人。新当局开展的一个旗舰方案是在相应的16个原籍社区启动长期的重建工作，关闭了太子港的6个营地。作为积极接触新总统团队工作的一部分，联合国国家工作队为该方案提供了支持。在此方面，还需解决土地改革问题，以便向境内流离失所者提供有保障的土地保有权。", "11. 通过以现金支付工资方案和以工代赈方案已清除多吨瓦砾。今天，联合国若干实体(联合国开发计划署(开发署)、联合国人类住区规划署(人居署)、国际劳工组织(劳工组织)和联合国项目事务厅(项目厅))共同向公共工程、交通和通讯部提供支持，通过建立回收体系，以可持续方式清除和处理瓦砾，对各地区进行善后。通过这些回收活动创建了小型企业，提供了大量就业机会。小组在访问莱奥甘期间目睹了这些活动，小组在当地参观了开发署和市政厅组织的一个项目，开展的活动包括清除350 000立方的瓦砾，运营一个垃圾填埋场及修建一个瓦砾回收厂。该项目除具有劳动密集型特点外，还将利用回收的瓦砾修建学校设施及加强海地当地的项目执行能力。小组对这一方法予以鼓励，并呼吁快速执行当地民众期望很高的这一项目，将此作为震后可持续活动的一个范例。", "12. 在防治霍乱方面也取得了进展，证明海地和国际行为方有能力在实地发挥作用。小组会见了世卫组织代表并听取了古巴医疗队代表所做发言，古巴医疗队对整个国家，包括偏远农村地区的霍乱情况进行了流行病研究。现在的情况是，虽然现在霍乱感染病例减少，但这一病症还将在海地存在多年，而且雨季可能会提高这一疾病及其他疾病的发病率。", "13. 尽管自地震发生以来取得了这些鼓舞人心、卓有成效的工作实例，但还是让人不免想起成千上万人依然居无定所，三分之二的海地人长期生活贫困。应指出的是，2010年，地震造成海地年增长率萎缩8.5%。反复出现气候和地震威胁使该国变得更加脆弱。", "14. 此外，应指出的是，全球经济和金融危机持续也可能威胁海地经济。即使政府的货币政策能够抑制目前的通胀风险和古德的汇率稳定，但全球粮食价格增长也会助长通胀，造成社会不满。海地最近的历史表明此类危机会造成政治和机制层面的不稳。", "三. 国际支助的协调：正在开展的工作", "15. 协调援助是咨询小组多年来关注的一个重大问题。越来越多的发展合作伙伴参与向海地提供援助，而且也参与重建过程，使该问题变得十分重要。此外，这个过程已产生新的机制，如海地重建临时委员会和海地重建基金。已经可以对这些机构的行动作出初步评估。", "与联合国系统的协调", "16. 咨询小组在访问期间得到联海稳定团和联合国国家工作队的大力支持，会见了15个派驻在当地的联合国机构代表。现在，大家基本上认识到，国家工作队已成功地向海地人民提供人道主义援助，同时从事长期的发展活动。人道主义援助机制，包括各种涉及特定专题的国际机构和非政府组织，在开始遇到一些困难之后，已有条不紊地协助组织国际援助。应当特别强调联合国系统驻地协调员，以及诸如国际移民组织负责难民营管理和儿童基金会负责饮水、环卫和讲卫生运动等协调机构的协同作用。联海稳定团开展的速效项目也增强了特派团的业务能力，包括备灾能力，同时为海地人民带来实际利益。", "17. 虽然联合国各机构之间的合作水平在地震前已有提高，但是，自咨询小组在2010年6月访问以来，这种合作又得到加强。迅速制定的综合战略框架已成为广泛发展部门联合规划的主力渠道。 该框架是联合国参与维持和平环境和实现“一体行动”目标方面迈出的重要一步。国家工作队向海地重建临时委员会提交了总额为3.76亿美元的18个项目，其中大部分涉及几个联合国机构，该事实证明联合国协调一致行动的能力已经提高。咨询小组鼓励系统地制订联合方案，并协调实施这些方案。", "18. 国家工作队为咨询小组组织了关于各种跨领域问题的会议，如政府的能力建设、法治和妇女地位等，并组织了一些专题会议，其中包括教育和卫生等专题。咨询小组注意到，这些会议不仅汇聚了联合国几个致力于共同关心问题的机构，包括联海稳定团和联合国发展实体，而且，也包括海地民间社会组织、女议员和某部门的主要捐助者。尽管有些工作重复，而且优先事项不同，这些会议仍表明，联合国能发挥领导作用，并能动员其他发展伙伴与咨询小组等外部机构合作。", "19. 联海稳定团和联合国各机构之间的互动，特别是在禁止对妇女的性暴力行为(尤其是在难民营中的这类暴力行为)方面的活动能发挥重要作用。利用巡逻和民警，再加上宣传和对受害者的支助，能对一个普遍问题作出多方面的回应。", "20. 另一个重要方面是，太子港以外的工作人员和项目的权力下放，能加强地方治理和发展。在莱奥甘，咨询小组会见了派驻在当地的8个联合国机构，促进以往接受国际援助较少的地区。同样，联海稳定团在海地全国各城市开展能力建设活动，而开发计划署、世界粮食计划署和环境规划署等机构正在各省制订联合可持续发展的项目，如流域管理等。咨询小组鼓励不同机构汇集资源，尽可能扩大它们在该国各地派驻的人员，从而支持权力下放的努力，作为长期发展的必要条件。咨询小组还鼓励所有参与发展的行为者，包括联合国各机构，在太子港之外增派工作人员，因为在太子港之外的人员比例仍然不足。", "捐助者之间的协调", "21. 根据咨询小组的合作伙伴所述，援助协调工作仍然薄弱，这使得所有机构的责任更加不清晰。然而，应突出强调正面的例子，包括防止霍乱和应对飓风。但发展援助的情况并非如此，活动的分工常常不明确。", "22. 捐助界已努力为支助海地促进交流信息和采取协调一致的行动，特别是通过海地的主要捐助集团—十二集团。[1] 另外，还实施了富有创意的援助管理工具，特别是援助管理平台，该平台可以监测已认捐并根据政府行动计划的优先次序分配的捐助资金。咨询小组曾建议采用该工具。开发计划署与联合国海地问题特使办公室合作，在该领域提供的支助值得赞扬。", "23. 然而，只有当政府主导的筹资和规划过程得到实施，从而使得国际合作伙伴可以明确说明它们与各国的项目和活动有关的行动，捐助者之间的协调才能完全有效。显然，海地尚未达到这个阶段，目前不明确的政治局势进一步拖延该阶段的到来。", "通过海地重建临时委员会开展的协调", "24. 海地重建临时委员会于2010年4月成立，负责协调和监督恢复和重建工作。截至2011年6月，该委员会已批准89个优先项目，总预算为32亿美元。已制订一项战略计划，其中包括与执行政府行动计划有关的优先目标，该计划将在委员会的任务结束之前完成，原订2011年10月结束该任务。委员会还吸引了海地和国际的各种组织，包括非政府组织，并设有秘书处，由几个发展机构的专家组成，包括开发计划署。", "25. 咨询小组注意到，该委员会已成为一个复杂机构，其决策过程复杂，而且业务开支高。它对项目的重视，也限制了它的业务战略规划和监督的能力。此外，自2011年4月以来，一直没有人担任总干事，也对该机构的运作产生负面影响。因此，新政府任命一名总干事将是至关重要的。同样，需要对委员会未来工作的步骤作出决定，包括对其策略和工作方式的必要调整，以及按原定计划，该委员会可能转变成一个正式的海地政府机构。从这个角度来看，海地政治局势明朗化是委员会正常运作，继续有条不紊地开展重建过程的先决条件。从短期来看，鉴于委员会的工作量和需要完成其任务，可能需要考虑将委员会任务期限延长到10月之后。", "通过海地重建基金的协调", "26. 海地重建基金是由世界银行设立，其指导委员会主席由海地财政部长担任，该基金已向委员会批准的14个项目拨款2.37亿美元。联合国、世界银行和美洲开发银行是海地重建基金所有项目的实施机构。截至2011年6月中旬，19个捐助者已向基金承诺3.52亿美元。所有发放给海地的重建资金有 20％是通过该基金提供。虽然这可能只是一小部分，但考虑到其他国家建立的类似机制的经验，这些拨款实际上高于原来的预期。", "27. 值得一提的是，海地重建基金提供用于处理残留物的大部分资金，而捐助者往往忽视这项重要的工作领域，它们更倾向于支助发展活动。该基金提供的支助也有利于多边系统，开发计划署的一些项目是通过这个渠道资助。作为一个灵活的机制，该基金至少有7年的周期，有助于增加国际援助的透明度，扩大捐助者基础。咨询小组鼓励该基金在调动资源方面发挥积极作用，包括从非传统捐助者调动资源，并根据新政府成立之后确定的优先事项调整其提供的支助。", "与国家优先事项的协调", "28. 咨询小组欣见地震之后成立的协调机构为在一个非常复杂的环境中提高对海地援助效力所作的贡献。它也承认，从长远来看，根据国家所有权的原则，海地的规划和资助过程应当是独特的，并由政府主导。朝这个方向采取的一个关键步骤是改革地震前建立的关键部门机构，这些机构涉及有关部委领导下的主要国家和国际合作伙伴。让-马克斯·贝勒里夫先生是即将卸任的总理兼海地重建临时委员会共同主席，咨询小组在太子港与他会见，他在这项改革工作中发挥了重要作用。在这方面，发展合作伙伴应能向各部委提供与有效领导这些机构有关的必要能力。", "29. 需要更好地界定海地重建临时委员会的机制与部门机构之间的关系。为了进一步协调该委员会与各项政府进程之间的关系，所有项目在向委员会理事会提交之前，现在均由规划和发展合作部以及关键的部委批准。咨询小组认为，各部门机构应直接纳入委员会的架构，以使海地各部委能更直接地参与委员会的战略规划、决策和筹资。各项目将由率领部门机构的部委与委员会共同分担资金的筹措，该过程将进一步使得国际社会的支助能与海地的国家行动计划以及政府的优先事项进行协调。", "30. 虽然应当由新政府领导人与发展合作伙伴、特别是与属于委员会成员的合作伙伴协商这种互动的确切方式，咨询小组赞成更多地让海地政府发挥主导作用，并给予各部委更多权能的作法。还应该记住，鉴于目前在政治方面遇到的困难，以及国家机构仍然不健全的情况，短期内仍需要保持各种机制，允许面向发展的组织在事先与有关部委讨论和协调提案的情况下，能直接向委员会理事会请求项目资金。", "31. 同时，必须加强海地的能力，以便该国能越来越多地处理这些过程。咨询小组重申在其上份报告中所载的建议，即海地当局直接实施部分比例的项目和相关资金，并通过培训和指导公务员来对能力建设提供相称的支助。咨询小组在上份报告中关切地提到，非政府组织过多参与项目的执行，而没有采用海地国家的能力。咨询小组满意地注意到，在开发计划署的支助下，委员会内部建立了一个非政府组织协调单位，以便交流与非政府组织提案有关的情况，并更好地调节该部门。", "四. 保持对海地的高度支持：国际社会和海地政治行动者的共同责任", "32. 2010年3月31日在纽约举行了国际援助会议“迈向海地新未来”，会上，55个公共部门捐助者(国家政府和多边机构)承诺为海地恢复和发展共捐助56亿美元，捐助 46亿美元用于援助方案，10亿美元用于债务减免。在2010-2011年，捐助者已发放36.1%的捐款(16.6亿美元)。2011年，尚有63.9%(2.93亿美元)未发放，其中一半以上已经承诺到具体项目。收到最多支助的部门是社会重建，即水和卫生设施，教育和卫生，领土重建，特别是交通运输系统。", "33. 提请咨询小组注意，针对长期项目的现有国际资金，及海地政府确认恢复工作需要的资金之间，存在巨大差距，包括瓦砾管理。据估计，仍然急需7.5亿美元，由海地重建委员会立即执行所有优先项目。此外，在人道主义方面，联合国发起的联合呼吁呼吁提供9.15亿美元，但在2011年5月进行的中期审查时，只得到24%。", "34. 这些数字说明，要继续动员捐助界支持海地。除经济复苏和重建外，还需要发展伙伴援助，整顿经济，投资能源和基础设施，可持续的城市规划，建设国家能力，调节经济活动。需要更多的财政支持，协助这一行动。同时，应考虑如何最好地利用有援助的潜力，以便说服捐助者，保持高水平的援助。", "35． 目前海地政局让人担心捐助者对该国的支持是否可持续。首先，政治行动者两极分化，可能阻碍发展方案和项目的连续性，如果一方忽略另一方发起的活动。其次，行政和立法部门之间缺乏协议，可能导致国家机构瘫痪，严重影响国家进行广泛改革的能力。咨询小组强调需要建设性的关系，防止有关方案出现“tabula rasa”，确保增进关键部门长期项目的开发活动。", "36． 政局不稳，也会阻碍一些捐助者通过海地机构提供资金。这将更为不幸，因为提供了更多的预算支持，支持恢复工作，其中一半是直接或间接地给了政府(44%的赠款和预算支持，多边机构收到28%，非政府组织收到27%)。这一积极趋势不应受到损害。", "37． 咨询小组得知，已经着手编制预算(2011-2012两年期财务修正案和预算)，旨在确保国家机器的继续运作。这项工作若要见效，就应澄清政治局势，国会与新掌权者之间应采取建设性的互动。海地预算60%仍然依赖国际援助，捐助者应得到有关这一重要进程的保证。", "38． 这同样适用于编写第二份“国家增长和扶贫战略文件”，这已经告知咨询小组。这样一个过程的圆满成功，将取决于与社会各界，包括国会，进行广泛磋商的能力。", "五. 投资于海地领导人确定的优先领域", "39． 咨询小组与海地和国际各界行动者举行了一系列磋商，探讨必须考虑的关键发展方面，以加强恢复和重建工作，并拟定长期计划。为确保援助的有效性，越来越要侧重国际支助当权者确定的优先领域，包括马特利总统确定的恢复方案的4大组成部分，即教育，就业，环境和法治。", "教育", "40． 海地教育部门长期以来遭受结构性问题，造成教育质量低下，尽管社会需求高。该部门因地震进一步削弱，4 000多所学校受损或被毁。在竞选期间，马特利总统强调，海地需要免费普及教育，承诺到2011年9月，40万儿童入学。", "41． 为帮助实施方案，成立了国家教育基金，资金来自对打入国内的国际电话，海外汇款和捐助者捐款的新征税。咨询小组欢迎这一创新机制，资助关键部门的发展；对此，呼吁新总统有所作为，并呼吁捐助者给予支持。", "42． 教育合作伙伴向小组表示担心，在这么短的时间内，这一政策是否可行，主要原因是，增加这么多学童，缺乏训练有素的教师。虽然捐助承诺很高，一些安排已经到位，加快教师培训，但竞选期间作出的承诺，可能无法在短期内实施。目前的风险是，国人越来越不满，可能反过来加剧社会动荡。", "43． 在这方面，小组呼吁更多调集支助者，支助教育部门，帮助新当局实施其创新的政策。小组还强调，需要充分利用“国家教育合约”，这是海地教育专家为期两年包容性进程的结果。", "就业", "44． 创造就业是大家公认的海地的当务之急。今天，有250万人被确认为失业或就业不足。在太子港，住房和瓦砾相关活动创造就业机会，同时在各省，主要行业仍然是农业，分水岭管理和道路建设。", "45． 私营部门在这方面起着重要的作用。小组会见了私营部门代表，包括银行代表，感到鼓励的是，代表们呼吁海地新政府和国际社会确保建立一个公平竞争环境，促进投资，创造就业。他们提到2009年成立的竞争力委员会报告中的结论，以加强创业精神和创造财富，[2] 他们欢迎新当局愿意利用委员会的工作，采取鼓励工商的政策。", "46． 正在考虑的项目之一，是综合经济区的建立，其中包括工业园区，交通设施，包括机场和海港的进出和培训设施。目前在该国北部的私人园区应作为其他地区的范例。马特利总统经济顾问对小组解释说，必须动员捐助者和投资者，包括海外捐助者和投资者，把这一设想变为现实。小组支持关于采取行动的呼吁，这明确表明当局愿意从事经济分权，在太子港外创造就业机会。", "47． 小组以前曾强调，服装业和其他工业活动，虽然很重要，但不太可能创造足够的就业机会(估计为50 000个)，以便使社会出现深刻变化。在一个大部分人口是农村人口的国家，有必要继续努力，提高农业生产力，使农民，包括农村妇女得到能力。 因此，重要的是，发展地方生产网络，让综合经济区有助于提高农业生产能力。", "48． 最后，政府，工商联合会和工会协商拟定创造就业机会政策，联合国国家工作队也持这一主张，这将是推动社会对话的重要一步。这种做法，在该国必须注重政治对话，打破体制僵局之际，将证明合作精神。", "环境", "49． 在过去的报告中，小组突出说明海地环境退化，急需可持续发展政策，协调经济活动，社会包容和环保。本文件不会详细阐述这个问题，尽管小组欢迎总统团队优先重视国家长远发展问题。", "50． 在访问期间，小组有兴趣了解几个省份的流域管理，防洪减灾和粮食安全等发展项目。小组欢迎这些项目，呼吁进一步把备灾工作纳入地方和国家两级跨部委的能力建设活动。权力下放项目和计划，也应该考虑这个方面。", "51． 小组还欢迎总统团队提出的、建立一个内政，国土规划和环境的三重组合部的想法。", "法治", "52． 小组访问期间，经常提到法治。新掌权者表示，其战略核心即是法治。小组称赞联海稳定团几个月来努力突出其在该国所有活动的中心作用，包括海地当局和其国际合作伙伴的活动。", "53． 小组强调，许多对话者在介绍其愿望和活动时，都提到这个问题的交叉性。因此，法治要落实，才能给人口和经济活动的发展提供安全保障，为海地私营部门和外国投资建立有利环境，许多方面，包括银行业，也都呼吁建立有利环境。", "54． 在金字塔的另一端，民间社会利用法治，要求更多的平等。妇女和青年协会代表冀望一个更公平的社会，根据有效的民事登记系统，公民得到法律上的承认，免受虐待，因为在大多数情况下肇事者仍然逍遥法外。例如，妇女协会倡导颁布前政府起草，但国会未加审议的法律文本，如有关关于父亲负责，家务劳动或承认家庭团聚(海地最常见的家庭团聚形式)的法律。小组在以前的报告中突出了这些文本的重要性(见E/2008/90，第18段)。国会的审议不取决于有效政府的存在，可以立即启动。小组希望，目前正在审议的，设立30%妇女具有选举功能的配额，将有助于这些问题的快速审议。", "55． 法治主题在农村地区一直具有特别重要意义。土地改革要求建立土地登记系统(地籍)，从而促进和允许小农户得到法律保障。今天，土地改革的要求也适用于太子港，在太子港，逐步关闭国内流离失所者营地的同时，还需要进步的信息和土地使用权管理制度，以确定地震前土地占有情况，加强土地所有人的安全。虽然知道这样的过程有难度，很敏感，但小组大力鼓励当局为此尽快启动改革进程。", "56． 促进法治，实现在于公共机构的正常运转。一些对话者提到经常出现的问题，包括警察和司法腐败。此外，如果法律和行政部门没有找到在共同基础，选择一名总理和提名政府，就不会出现显著的进展。之后，需要拟定拟议预算，防止海地国家瘫痪，并利用直接援助的优势，造福目前。", "六. 结论和建议", "57. 小组认为，比以往任何时候都重要的是，必须继续把海地问题作为国际议程项目，并向该国提供适当支持，特别是通过联合国在当地的强有力机构存在向太子港和该国其他脆弱地区提供支持，这些机构包括联海稳定团和联合国国家工作队。当地局势仍然极为复杂，虽然小组在访问期间注意到局势的改善，但这些改善远不能满足该国确保其政治稳定以及经济和社会发展的需要。", "58. 在这种情况下，需要关于海地发展的长期观点，以便将短期和中期取得的成功转化为可持续发展，前提是所有政治行为者，都要发挥作用，确保国家机构充分发挥作用。在这方面，小组认为必须继续执行其与该国政治领导人讨论期间谈及的“改革工程”。", "59. 在这一重要关头，小组呼吁所有相关的海地行为者制定一个快速行动方针，以促进政府在未来全面运作，从而避免对向该国提供的国际援助水平及其长期发展前景产生不利影响。与此同时，需要继续动员捐助界，在目前脆弱的局势下支持海地，并长期支持海地。", "60. 为方便参阅，现摘要介绍报告正文中提出的建议，供理事会审议。", "给联合国系统的建议", "61. 小组欢迎联合国增加驻海地的人力，以便在人道主义和发展问题上发挥领导作用，并建议联合国系统开展下列活动:", "(a) 通过更加重视本国能力建设来促进所有重建项目的可持续性；", "(b) 使联合国各实体的联合方案制度化，并协调其执行工作；", "(c) 集中使用联合国各实体在当地的资源，包括在各省的资源，并鼓励所有发展伙伴更多地共用派驻太子港以外地区的那些工作人员，从而增加当地的能力，支持权力下放工作；", "(d) 联海稳定团继续促进法治，并将之贯穿到海地利益攸关方和发展伙伴的工作中去。", "给海地政府的建议", "62. 小组承认海地当局在保持复苏努力方面已取得很大进展，并建议海地当局考虑采取以下行动：", "(a) 做出一切必要努力，牵头协调捐助者支助，并在这方面，与发展伙伴一道思考利用援助潜力的各种途径；", "(b) 任命一名海地恢复临时委员会主任，并考虑可能需要将该委员会的任务规定延长至10月以后，同时决定该委员会工作的未来步骤，包括可能将其转为一个全面成熟的海地政府机构；", "(c) 避免“重新启动”方案，要充分利用现有的发展支助，以便可以加大着眼于关键部门长期项目的活动；", "(d) 促进议会和新政府之间明确和建设性的互动，以方便编制2011-2012年预算和界定未来发展计划；", "(e) 在实施新的和创新政策来为教育部门提供资金的同时，充分利用诸如《国家教育契约》等现有政策文件；", "(f) 开展一切必要努力，加强法治。法治是创造有利于投资和创造就业机会的环境的关键因素；", "(g) 加强努力，提高农业生产率和增强包括农村妇女在内的农民的权能，同时利用综合经济区的潜力，通过发展基于当地生产情况的电力网来增加农业领域的生产能力；", "(h) 实施由政府、企业联合会和工会参与的创造就业机会的国家政策，以作为逐步加强社会对话的重要一步；", "(i) 将备灾能力纳入地方和国家各级跨部门部委的能力建设活动中，包括纳入权力下放项目和计划中，并在国家几个省内制定发展项目，集流域管理、防洪减灾和粮食安全于一身；", "(j) 鼓励议会快速审议由前政府编写的旨在提高妇女地位和促进其权利的法律草案；", "(k) 着手展开土地改革进程，包括在农村地区实行土地登记制度，在太子港逐步实行土地保有权信息和管理机制，以帮助关闭境内流离失所者营地的进程。", "给捐助界的建议", "63. 为帮助海地恢复和重建及进行长期发展，小组鼓励捐助界：", "(a) 利用海地规划和对外合作部建立的援助管理平台，跟踪捐助者认捐情况和按照政府行动计划优先事项拨款的情况，并为行动计划的全面运作划拨更多的资金；", "(b) 确保海地重建基金在调动资源，包括来自非传统捐助者的资源方面发挥积极作用，让该基金的支助配合即将到位的新政府的优先事项；", "(c) 支持海地各部修改部门表格，意在围绕政府的优先事项来协调关键领域的国际支助，并向各部提供必要的能力来有效领导此类机制；", "(d) 澄清海地恢复临时委员会的各机制与部门表格之间的关系，并将这些表格纳入海地恢复临时委员会的架构内，以便增强海地各部的能力，能更直接地了解该委员会的战略规划、决策和供资情况；", "(e) 确保一定比例的项目和相关资金由海地当局直接执行，并提供相应支持，对公务员进行培训指导，以加强能力建设；", "(f) 继续缩小用于长期项目和用于海地政府确定的恢复，包括清理废墟的资金之间的差距，同时继续提供直接预算支持；", "(g) 响应有关呼吁，向联合国发起的海地人道主义活动联合呼吁提供资金。", "给国际社会的建议", "64. 国际社会，包括民间社会组织，应共同参与海地的复苏和长期发展，小组鼓励国际社会：", "(a) 加强有关非政府组织对重建和发展活动所作贡献以及有关改进对此类活动的管治方面的信息共享，包括通过在开发署的支持下，在海地恢复临时委员会内设立一个非政府组织协调股来这样做；", "(b) 继续审查海地的宏观经济形势，包括粮食价格波动对该国经济的影响，并向该国政府提供适当援助，协助维持宏观经济平衡；", "(c) 确保持续供资，以便海地能进行长期发展和对能源和基础设施等部门、可持续城市规划和国家能力建设进行投资，并向海地恢复临时委员会核准的所有优先项目提供资金；", "(d) 支持国家教育基金，为教育发展提供资金。", "附件", "2011年6月15日至18日特设咨询小组访问海地的日程", "6月15日星期三 \n中午12时25分\t抵达杜桑·卢维杜尔国际机场\t\n下午2时15分\t会见外交部长玛丽-米歇尔·雷伊(外交部)\t\n下午4时\t会见秘书长副特别代表/驻地协调员/人道主义协调员奈杰尔·费舍尔(联合国海地稳定特派团(联海稳定团))\t\n下午4时30分\t会见联合国国家工作队人员，由费舍尔先生主持，包括听取人道主义事务协调厅关于人道主义状况的情况介绍(联海稳定团)\t\n下午6时\t与捐助界的鸡尾酒会晚宴，由费舍尔先生作东\t\n 6月16日星期四 \n上午6时\t访问莱奥甘(乘直升机)\t\n - 会见联合国国家工作队人员 \n - 参观清理废墟和回收项目场地 \n - 参观垃圾倾弃和回收场地 \n下午1时\t会见参议长让-鲁道夫·若埃伊尔(议会)\t\n下午3时15分\t会见联海稳定团、联合国国家工作队、女议员和海地妇女团体人员，讨论基于性别的暴力和性暴力(联海稳定团)\t\n下午6时\t加拿大大使举办的鸡尾酒会(大使官邸)\t\n 6月17日星期五 \n上午8时30分\t会见指定总理丹尼尔·鲁齐耶(国家宫)\t\n上午10时\t会见离任总理让-马科斯·贝勒里维(总理府)\t\n上午11时30分\t会见米歇尔·马尔泰利总统经济顾问威尔逊·拉莱奥(国家宫)\t\n下午1时30分\t会见海地重建基金人员(联海稳定团)\t\n下午3时\t会见联海稳定团和联合国开发计划署(开发署)人员，讨论政府能力建设问题\t\n下午4时\t会见联合国教育、科学及文化组织/联合国儿童基金会/世界银行/加拿大国际开发署人员，讨论教育问题(联海稳定团)\t\n下午5时30分\t会见私营部门代表(佩蒂翁维尔)\t\n下午8时\t法国大使举办的晚宴(大使官邸)\t\n 6月18日星期六 \n上午9时\t会见联海稳定团、开发署和联合国国家工作队其他人员，讨论法治问题(联海稳定团)\t\n上午10时30分\t与世界展望组织和其他非政府组织一道会见海地儿童和青年(联海稳定团)\t\n上午11时30分\t会见古巴医疗队以及世界卫生组织/泛美卫生组织代表，讨论霍乱问题(联海稳定团)\t\n中午12时15分\t与联海稳定团代理团长凯文·肯尼迪和秘书长副特别代表/驻地协调员/人道主义协调员奈杰尔·费舍尔通报情况(联海稳定团)\t\n下午1时\t出发前往纽约", "[1] 十二集团由美国国际开发署、国际货币基金组织、联合国、世界银行、法国、美洲开发银行、西班牙国际发展合作署、欧洲联盟、日本、挪威以及十二集团一个席位(阿根廷、巴西和智利)组成。", "[2] 关于该委员会以前的信息，见E/2009/105，第41至43段。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 7 (d)", "Coordination, programme and other questions: long-term programme of support for Haiti", "Report of the Ad Hoc Advisory Group on Haiti[1]", "Summary", "The present report, which is based on the visit to Haiti of the Ad Hoc Advisory Group on Haiti in June 2011 and on the meetings of the Group with Haiti’s development partners, describes progress made in the recovery process of the country and the challenges that continue to hinder it, which are mainly linked to the absence of clear lines of authority. In the light of the complexity of the situation on the ground, including the number of actors involved, both national and international, the Group could not provide an extensive overview of the activities undertaken and has highlighted the main points related to aid effectiveness and development policy options for strengthening recovery and reconstruction and establishing a highly needed, long-term economic plan for the country. The report concludes with recommendations addressed to the Haitian authorities and their development partners.", "Contents", "Page\nI.Introduction 3II.Tangible 5 progress on the ground, in a precarious \ncontext III.Coordination 6 of international support: a work in \nprogress IV.Maintaining 10 a high level of support to Haiti: a shared responsibility of the international community and Haitian political \nactors V. Investing 11 in priority sectors identified by the Haitian \nleadership VI. Conclusion 14 and \nrecommendations \nAnnex \nProgrammeofthevisitoftheAdHocAdvisoryGrouptoHaiti,15-18June2011 18", "I. Introduction", "1. The present report is the seventh submitted by the Ad Hoc Advisory Group on Haiti to the Economic and Social Council at its substantive session since reactivation of the Group in 2004. Following a request made by the Government of Haiti at the time, the Council adopted resolution 2004/52, by which it decided to reactivate the Group, which had been established in 1999 to help to coordinate the development of a long-term programme of support for the country.", "Mandate and composition of the Group", "2. In accordance with Council decisions 2004/322, 2009/211 and 2009/267, the Group is composed of the Permanent Representatives of Benin, Brazil, Canada, Chile, El Salvador, Haiti, Peru, Spain and Trinidad and Tobago to the United Nations. In 2011, following requests by the Bahamas (E/2011/8), France (E/2011/80) and the United States of America (E/2011/69) to join the Group, the Council also decided to appoint the Permanent Representatives of the Bahamas and France to the United Nations and the Permanent Representative of the United States of America to the Economic and Social Council as additional members of the Group (see Council decisions 2011/207 and 2011/211). Since its first meeting, on 23 November 2004, the Group has been chaired by the Permanent Representative of Canada to the United Nations. As stipulated in decision 2004/322, the President of the Economic and Social Council and the Special Representative of the Secretary-General for Haiti are invited to take part in the Group’s meetings.", "3. In its resolution 2010/28, the Council decided to extend the mandate of the Ad Hoc Advisory Group until its substantive session of 2012, with a view to closely following and providing advice on Haiti’s long-term development strategy to promote post-disaster socio-economic recovery, stability and reconstruction, with particular attention to the need to ensure coherence and sustainability in international support for Haiti, based on the long-term national development priorities, as contained in the Government’s Action Plan for the Reconstruction and National Development of Haiti, and stressed the need to avoid overlap and duplication with respect to existing mechanisms. The Council also requested that the Group report on its activities in support of the recovery, reconstruction and development of the country, with recommendations, as appropriate, to the Council for its consideration at its organizational session for and substantive session of 2011.", "Outline of the activities of the Ad Hoc Advisory Group", "4. While most of the conclusions contained in the present report are based on the visit of the Group to Haiti from 15 to 18 June 2011, the Group’s preliminary meetings with international non-governmental organizations, the staff of the Interim Haiti Recovery Commission and Resident Coordinator Nigel Fisher also provided information that facilitated the preparation of the document.", "5. The political context delayed the timing of the visit and affected the opportunities for interactions with the national authorities. It is worth noting that since the previous visit, many developments have occurred in Haiti. On the reconstruction side, the Interim Haiti Recovery Commission had its first meeting during the Group’s visit in 2010 and has met on several occasions since then, approving numerous projects in various areas. The Haiti Reconstruction Fund, managed by the World Bank, was also set up. However, most of the reconstruction and recovery efforts were overshadowed by the political and electoral situation, creating concerns about the stability of the country. While the first democratic and peaceful transfer of power between two elected presidents in the history of Haiti has to be recognized and praised, uncertainties around the process remain a hindrance to the country’s deeply needed recovery. At the time of drafting, Parliament had still not approved the nomination of a new Prime Minister, blocking the formation of a government. There was also an attempt to modify the Constitution, which, as a result of political and legal innuendos, was considered null and void.", "6. The Group recognizes that realities on the ground have continued to pose challenges to the Haitian population and the United Nations country team. The visit of the Group in 2010 was planned in the middle of the recovery process, beginning with the devastating earthquake of 12 January, which was quickly followed by the hurricane season, the outbreak of cholera and an electoral process that was difficult and, at times, marked by civil unrest in the streets of Port-au-Prince.", "7. The members of the Group wish to express their profound gratitude to the Haitian authorities who managed to find time, in a context of political transition and uncertainty, to help draw up the conclusions and to formulate the recommendations contained in the present report. The Group also wishes to express its appreciation for the open and constructive exchange with Haitian officials, including the Acting Prime Minister and Minister for Planning and External Cooperation, Jean-Max Bellerive; the President of the Senate, Rodolphe Joazile; the former designate Prime Minister, Daniel Rouzier; the Minister for Foreign Affairs, Marie Michèle Rey; and other members of the Cabinet. In addition, the Group is grateful to the Department of Economic and Social Affairs of the Secretariat for its constant and dedicated support of the work of the Group, the Deputy Special Representatives of the Secretary-General for Haiti and the head of the United Nations Stabilization Mission in Haiti (MINUSTAH), Kevin Kennedy, and Nigel Fisher and their able team, as well as the entire United Nations country team, for their excellent support during the visit and for the information and analysis provided during the numerous meetings organized for the Group.", "8. The programme of the Group included a visit to Léogâne, a discussion with youth representatives, a briefing by the World Health Organization (WHO) and a Cuban medical representative and a meeting with the private sector (see annex). Even in the absence of a fully fledged government, the visit was considered highly fruitful, owing in large measure to the quality of the interactions held with the different actors of civil society, the private sector and the diplomatic and donor community, both in Port-au-Prince and outside the capital. The numbers of actors involved makes it difficult to provide an exhaustive overview of all the activities and interactions that took place. As a result of the post-electoral context that hindered reconstruction efforts in the country, many challenges have arisen, mainly linked to the absence of clear lines of authority. In the light of the complexity of the situation on the ground, including the number of actors involved, both at the local and international levels, the Group has highlighted the main points that can serve to strengthen recovery and reconstruction and build a highly needed, long-term economic plan.", "II. Tangible progress on the ground, in a precarious context", "9. The first finding of the Group is that the situation on the ground has improved since its visit at the same time in the previous year. The progress made in clearing and reconstruction work in Port-au-Prince and neighbouring towns is visible and shows that Haitian society is mobilized and that the aid provided by the international community has been useful.", "10. The following figures are telling in this regard: close to 50,000 people leave the camps for internally displaced persons every month in order to settle in permanent or semi-permanent shelters. As a result, of the 1.3 million people living in the camps during the Group’s visit in 2010, 680,000 remain in the camps, with an anticipated case load of 400,000 persons at the end of 2011. One of the flagship programmes of the new authorities is the closure of six camps in Port-au-Prince through the launch of long-term reconstruction in the corresponding 16 neighbourhoods of origin, a programme supported by the United Nations country team as part of its proactive engagement with the new presidential team. In this context, the issue of land reform will need to be addressed in order to provide secured tenure to internally displaced persons.", "11. Tons of debris have already been removed as a result, inter alia, of the cash-for-work and food-for-work programmes. Today, several United Nations entities (United Nations Development Programme (UNDP), United Nations Human Settlements Programme, International Labour Organization and United Nations Office for Project Services) work together towards supporting the Ministry of Public Work, Transport and Communication to rehabilitate areas by setting up recycling systems that will remove and process debris in a sustainable manner. Through the recycling activities, small enterprises and a significant number of jobs have been created. The Group witnessed these activities during its trip to Léogâne, where it reviewed projects being organized by UNDP and the City Hall, including to evacuate 350,000 metric tons of debris and to operate a landfill site and a debris recycling plant. In addition to its labour-intensive nature, the project will foster the construction of school facilities by using the recycled debris, and will strengthen Haitian local capacities for project implementation. The Group encourages such an approach and calls for the rapid implementation of the project, which generates much expectation from the local population and can serve as a model of sustainable activities in a post-earthquake context.", "12. Progress made in the fight against cholera also testifies to the capacity of Haitian and international actors to make a difference on the ground. The Group met with WHO representatives, and attended a presentation by representatives of the Cuban Medical Brigades, who have carried out epidemiological studies on the disease throughout the country, including in remote rural areas. It appears that while the disease has now diminished in numbers, it will continue to exist in Haiti for many years, and the rainy season may increase its incidence together with that of other diseases.", "13. Although these examples are encouraging with regard to the effectiveness of the work carried out since the earthquake, they also highlight the precarious living situation of hundreds of thousands of people and the persistent poverty that affects about two thirds of the Haitian population. It is worth recalling that the country had a negative annual growth rate of 8.5 per cent in 2010 because of the earthquake. Ongoing climate and earthquake threats only increase this vulnerability.", "14. Moreover, due attention should be given to the impact of the global economic situation on the Haitian economy. Although the Government’s monetary policy has so far contained the risk of inflation and maintained a stable exchange rate for the gourde, the increase in global food prices could fuel inflation and lead to social unrest. The recent history of Haiti points to the destabilizing impact that this kind of crisis can have at the political and institutional level.", "III. Coordination of international support: a work in progress", "15. Aid coordination is a major challenge on which the Group has been focusing for several years. It has become particularly urgent in view of the greater number of development partners providing aid to Haiti and the resources committed to the reconstruction process. This process has also given rise to new mechanisms, such as the Interim Haiti Recovery Commission (IHRC) and the Haiti Reconstruction Fund. It would now be possible to conduct an initial assessment of the work of those mechanisms.", "Coordination within the United Nations system", "16. The Group benefited during its visit from strong support by MINUSTAH and the United Nations country team and met with representatives of 15 United Nations agencies present on the ground. It is now largely recognized that the country team was successful in providing humanitarian assistance to the Haitian population while engaging in long-term development activities. After a difficult start, the humanitarian aid mechanisms, including the “clusters” which are groupings of international organizations and non-governmental organizations working in specific areas, have managed to organize humanitarian aid in an orderly manner. Mention should be made of the unifying role of the United Nations Resident Coordinator and the organizations that coordinate the “clusters”, such as the International Organization for Migration in the area of camp management or the United Nations Children’s Fund (UNICEF) for the water, sanitation and hygiene (WASH) cluster. The quick-impact projects carried out by MINUSTAH also enhanced the operational capacity of the Mission, including in disaster preparedness, while generating tangible benefits for the population.", "17. While the level of collaboration among United Nations actors was enhanced even before the earthquake, it appears that such collaboration has increased since the Group’s visit in June 2010. The rapid formulation of the integrated strategic framework has been the main vehicle for joint planning in a wide range of development sectors. The framework represents an important step in terms of United Nations integration in peacekeeping environments and towards the “Delivering as One” objective. The fact that the country team has submitted 18 projects to the Interim Haiti Recovery Commission, for a total of $376 million, most of which involve several United Nations agencies, testifies to increased United Nations coherence. The Group encourages the systematization of joint programmes and their coordinated implementation.", "18. Meetings were organized for the Group by the country team on cross-cutting issues, such as government capacity-building, the rule of law and the status of women, and on thematic issues, including education and health. The Group noted that the encounters not only brought together several United Nations actors working on issues of common interest, including MINUSTAH and United Nations development entities, but also Haitian civil society organizations, women parliamentarians and key donors in a given sector. While some overlaps and diverging priorities were noted, the meetings illustrated the capacity of the United Nations to play a leadership role and engage other development partners, including in their interaction with outside actors, such as the Group.", "19. The complementary nature of the work of MINUSTAH, United Nations agencies and the international community is particularly important in the context of efforts to counter sexual violence against women, especially in the camps. The use of patrols and civilian police forces, together with advocacy and victim support services, provides a multifaceted response to a widespread problem.", "20. Another important dimension is the decentralization of staff and projects outside of Port-au-Prince, which would strengthen local governance and development. In Léogâne, the Group met with eight United Nations actors present on the ground, creating added value in regions that traditionally receive less international assistance. Similarly, throughout the country, MINUSTAH carries out capacity-building activities in the municipalities, while UNDP, the World Food Programme, and the United Nations Environment Programme, among other entities, are developing joint sustainable development projects, such as watershed management, in various départements. The Group encourages the different agencies to pool their resources to expand their presence in Haiti as far as possible and support the decentralization efforts that everyone agrees are a necessary condition for the country’s long-term development. The Group therefore encourages all development actors, primarily the United Nations organizations, to increase the proportion of their staff deployed outside Port-au-Prince, as the numbers of such staff are still insufficient.", "Coordination among donors", "21. Almost all of the interlocutors of the Group held the view that aid is still not sufficiently coordinated, which creates duplication and reduces the effectiveness of interventions. However, there are some positive examples, such as the aid provided for fighting cholera or for hurricane response. This is not the case for development aid activities, which are often criticized for being dispersed.", "22. Efforts have been made by the donor community to exchange information and foster coherence in its support to Haiti, particularly through the Group of Twelve, the main group of donors in Haiti.[2] Innovative aid management tools have been put in place, in particular an aid management platform that allows for the tracking of donor funds pledged and disbursed against the priorities of the Government action plan, a tool that the Group has recommended in the past. The support provided in this field by UNDP in collaboration with the Office of the United Nations Special Envoy for Haiti deserves praise.", "23. However, donor coordination can only be fully effective if a funding and planning process led by the Government is in place, whereby international partners can articulate their actions around nationally owned projects and activities. Clearly, Haiti has not reached this stage yet and the current political uncertainty further delays this prospect.", "Coordination through the Interim Haiti Recovery Commission", "24. The Interim Haiti Recovery Commission, established in April 2010 to coordinate and oversee recovery and reconstruction efforts, has approved, as of June 2011, 89 priority projects for a total budget of $3.2 billion. A strategic plan has been prepared with priority goals related to the implementation of the Government action plan, to be carried out until the end of the Commission’s mandate, which was originally planned for October 2011. The Commission also gathers a diversity of Haitian and international actors, including non-governmental organizations, and is supported by a secretariat staffed with experts from several development agencies, including UNDP.", "25. The attention of the Group was drawn to the fact that the Commission has become a cumbersome structure with a complicated decision-making process and high operating costs. Its focus on projects has also restricted its ability to operate strategic planning and oversight. In addition, the lack of an Executive Director since April 2011 has had a negative impact on the functioning of the entity. In this context, the appointment of a Director by the new Government will be crucial. Similarly, decisions are needed on future steps in the work of the Commission, including the necessary adjustment of its strategies and modus operandi and its possible transformation into a fully fledged Haitian government institution, as originally planned. From this standpoint as well, the clarification of the Haitian political situation is a prerequisite for the functioning of the Commission and the orderly continuity of the reconstruction process. In the short term, it seems that an extension of the Commission’s mandate beyond October might be considered, given its workload and the desirability of having its tasks completed.", "Coordination through the Haiti Reconstruction Fund", "26. The Haiti Reconstruction Fund, established by the World Bank and whose Steering Committee is chaired by the Minister of Finance of Haiti, has already allocated $237 million to 14 projects, all previously approved by the Commission. The United Nations, the World Bank and the Inter-American Development Bank are implementing agencies of all Haiti Reconstruction Fund projects. As of mid-June 2011, 19 donors have committed $352 million to the Fund. A total of 20 per cent of all reconstruction finance disbursed to Haiti has been channelled through the Fund. While this may appear to be a small proportion, it actually exceeds original expectations, given the experience of similar mechanisms established in other countries.", "27. It is noteworthy that the Haiti Reconstruction Fund provides most of the funding allocated for debris management, an important area of work that is often overlooked by donors, who favour more development-oriented activities. Support by the Fund also benefits the multilateral system, with UNDP projects funded through this channel. As a flexible mechanism, with a lifespan of at least seven years, the Fund contributes to increasing the transparency of international assistance and expanding the donor base. The Group encourages the Fund to play an active role in mobilizing resources, including from non-traditional donors, and to adapt its support for the priorities of the new Government when it is in place.", "Alignment with national priorities", "28. The Group welcomes the contributions made by the post-earthquake coordination structures to enhancing aid effectiveness to Haiti in a very complex environment. It also recognizes that in the longer term, the planning and funding processes in Haiti should be unique and Government led, in line with the principle of national ownership. A crucial step in this direction is the revamping of the key sectoral tables that were in place before the earthquake and that involved main national and international partners under the leadership of relevant ministries. The outgoing Prime Minister and Co-Chair of the Interim Haiti Recovery Commission, Jean-Max Bellerive, whom the Group met in Port-au-Prince, has played an important role in this exercise. In this regard, it is important that development partners provide ministries with the necessary capacities to effectively lead such tables.", "29. The connection between the Interim Haiti Recovery Commission mechanisms and the sectoral tables needs to be better defined. In an effort to further align the Commission with Government processes, all projects are now approved by the Ministry of Planning and Development Cooperation and by key sector ministries prior to submission to the Board of the Commission. It appears to the Group that the sector tables should be directly linked and integrated within the Commission architecture in order to empower Haitian ministries to shape more directly the strategic planning, decision-making and funding of the Commission. Projects would be shared by the ministries leading the sector tables for funding by the Board, a process that would further align international support with Haiti’s national action plan and the Government’s priorities.", "30. While the exact modalities for such interaction should be defined by the new political leadership in consultation with development partners, particularly those who are members of the Interim Haiti Recovery Commission, the Group favours an approach that increasingly gives a leading role to the Government of Haiti and empowers the ministries. It should also be kept in mind that given the difficulties currently encountered at the political level and the continued weakness of State institutions, there may be a need in the short term to maintain mechanisms that allow development organizations to directly request project funding from the Board of the Commission, provided that the proposals have been discussed and coordinated with relevant ministries beforehand.", "31. In the meantime, it is essential that Haitian capacities be strengthened so that they can increasingly handle these processes. The Group reiterates the proposal contained in its previous report that a certain percentage of projects and related funding be directly implemented by the Haitian authorities, with a commensurate level of support provided for capacity-building through the training and mentoring of civil servants. The Group, which in its previous reports had noted with concern the overrepresentation of non-governmental organizations in project execution in lieu of Haitian State capacities, noted with satisfaction the creation within the Commission, with UNDP support, of a non-governmental organization coordination unit aimed at sharing information on non-governmental organization proposals and at better regulating the sector.", "IV. Maintaining a high level of support to Haiti: a shared responsibility of the international community and Haitian political actors", "32. At the international donors conference on the theme “Towards a new future for Haiti”, held in New York on 31 March 2010, 55 public sector donors (national Governments and multilateral institutions) pledged a total of $5.6 billion for Haiti’s recovery and development, $4.6 billion for aid programmes and $1 billion for debt relief. For the combined 2010-2011 time frame, donors have disbursed 36.1 per cent ($1.66 billion). This leaves 63.9 per cent ($2.93 million) to be disbursed in 2011, with more than half of that amount already committed for specific projects. The sectors that have received the most support are social rebuilding, namely water and sanitation, education and health, and territorial rebuilding, particularly the transportation system.", "33. The attention of the Group was drawn to the fact that there is a significant gap between available international funding aimed mainly at long-term projects and the funding needs identified by the Government for recovery efforts, including debris management. It is estimated that $750 million is still urgently needed to allow for the immediate implementation of all priority projects approved by the Interim Haiti Recovery Commission. In addition, on the humanitarian side, the consolidated appeal launched by the United Nations for $915 million was only 24 per cent funded at the midpoint review carried out in May 2011.", "34. These figures call for the continued mobilization of the donor community to support Haiti. In addition to economic recovery and reconstruction, assistance by development partners will be required to restructure the economy by investing in energy and infrastructures, sustainable urban planning and building the capacity of the State to regulate economic activities. Additional financial support will be needed to facilitate this course of action. At the same time, further consideration should also be given to the best way to leverage the potential of aid in order to convince donors to maintain a high level of assistance.", "35. The current political situation in Haiti raises concern in terms of the sustainability of donor support for the country. First, the polarization of political actors could hinder the continuity of development programmes and projects if one side ignores what has been initiated by the other. Second, the lack of an agreement between the executive and the legislative branches could lead to a paralysis of State institutions, with a negative impact on the country’s ability to engage in broad reforms. The Group stresses the need for constructive relations that will prevent a tabula rasa for relevant programmes, and will ensure the scale-up of development activities towards longer-term projects in key sectors.", "36. Political uncertainties may also discourage some donors from channelling funds through Haitian institutions. This would be all the more unfortunate since increased budgetary support has been provided to support recovery efforts, with about half of the recovery funds going directly or indirectly to the Government (44 per cent in grants and budget support, while multilateral agencies received 28 per cent and non-governmental organizations 27 per cent). This positive trend should not be undermined.", "37. The Group was informed of the work undertaken to prepare for a budget (finance amendment act and budget for the financial year 2011-2012), aimed at ensuring the continued functioning of the State apparatus. In order for this exercise to be successful, the political situation should be clarified and there should be constructive interaction between the Parliament and the new team in power. Since 60 per cent of the Haitian budget continues to depend on international assistance, donors should receive assurances about this important process.", "38. The same applies to the preparation of a second national growth and poverty reduction strategy paper, which was mentioned to the Group. The successful conclusion of such a process will depend on the capacity to carry out broad consultations with all sectors of society, including the Parliament.", "V. Investing in priority sectors identified by the Haitian leadership", "39. The Group held a series of consultations with a wide range of Haitian and international actors on key development dimensions that must be taken into account in order to strengthen recovery and reconstruction and build a long-term plan. In order to ensure aid effectiveness, it will be increasingly important to focus international support on priority sectors identified by the authorities in power, including the “four Es” that President Martelly has identified as major components of the recovery programme, namely education, employment, environment and the rule of law.", "Education", "40. The education sector in Haiti has long suffered from structural problems that have resulted in poor education quality, in spite of high societal demand. The sector was further weakened by the earthquake, with more than 4,000 schools damaged or destroyed. During the electoral campaign, President Martelly emphasized the need for free universal education in Haiti, with a commitment to enrol 400,000 children by September 2011.", "41. In order to help implement the programme, a national education fund has been established using inputs from a new tax on incoming international telephone calls, the transfer of funds from the diaspora and donor contributions. The Group welcomes this innovative mechanism to finance development in a key sector where the new President is called to make a difference, and calls upon donors to support it.", "42. Education partners have expressed concern to the Group regarding the feasibility of the policy in such a short time frame, essentially because of the lack of well-trained teachers for the number of additional children. Although donor commitment is high, and some arrangements are in place to accelerate the training of teachers, the commitment made during the electoral campaign may not be implemented in the short term. The risk is therefore high that a growing feeling of dissatisfaction within the population could in turn fuel social unrest.", "43. In this context, the Group calls for increased donor mobilization in support of the education sector in order to help the new authorities implement their innovative policy. The Group also stresses the need to make full use of the National Pact on Education, which has been the result of a two-year inclusive process undertaken by Haitian education experts.", "Employment", "44. Job creation is recognized by all as an imperative in Haiti. Today, 2.5 million people are recognized as unemployed or underemployed. In Port-au-Prince, housing- and debris-related activities create job opportunities, while in the provinces the major sectors continue to be agriculture, watershed management and road construction.", "45. The private sector plays a major role in this respect. The Group met with representatives of the sector, including banks, and was encouraged by their call for the new Haitian administration and the international community to ensure the establishment of a level playing field that would enable investments to flourish and jobs to be created. They referred to the conclusions contained in the report of the Commission on Competitiveness, established in 2009 to enhance entrepreneurship and wealth creation[3] and welcomed the willingness of the new authorities in power to use the work of that Commission to inspire a policy that stimulated business.", "46. One of the projects being considered is the creation of integrated economic zones, which would include industrial parks, transport facilities, including providing access to airports and seaports and training facilities. The existing private park in the North of the country should serve as an example for other regions of the country. As explained to the Group by the Economic Adviser to President Martelly, it is imperative to mobilize donors and investors, including from the diaspora, to translate that vision into reality. The Group supports this call for action, which will clearly signal the willingness of the authorities to engage in economic decentralization and to create job opportunities outside of Port-au-Prince.", "47. As the Group has stressed in the past (see E/2009/105, para. 45), the garment sector and other industrial activities, as important as they may be, are unlikely to create a sufficient number of jobs (an estimated number of 50,000) to allow for in-depth societal changes. In a country where most of the population is rural, it is essential to continue to improve agricultural productivity and to empower farmers, including rural women. It is therefore important that the integrated economic zones should contribute to increasing productive capacity in agriculture through the development of networks based on local production.", "48. Lastly, the establishment of a national policy for job creation, as advocated by the United Nations country team, agreed on by the Government, business federations and trade unions, would be a step further for social dialogue. Such an approach would show a welcome spirit of cooperation at a time when the country has to focus on political dialogue in order to break the institutional deadlock.", "Environment", "49. In its previous reports, the Group has highlighted the degradation of the environment in Haiti and the urgent need for sustainable development policies that would reconcile economic activity, social inclusion and environmental protection. It will not elaborate on this crucial matter in detail in the present document, although it welcomes the priority given by the Presidential team to the issue for the long-term development of the country.", "50. During its visit, the Group was interested to learn about development projects that combine watershed management, flood mitigation and food security in several départements. The Group welcomes those projects and calls for further integration of disaster preparedness into capacity-building activities at the local and national levels, across sectoral ministries. Decentralization projects and plans should also take this dimension into account.", "51. The Group also welcomes the idea of creating a ministry with a triple portfolio, covering the Interior, Territorial Planning and Environment, as presented by the Presidential team.", "The rule of law", "52. The rule of law was referred to frequently during the visit of the Group and the new leadership claims to have made it central to its strategy. The Group commends MINUSTAH for the efforts it has made over the past few months to give this issue its rightful place in the activities of the Haitian Government and in international aid.", "53. The Group emphasizes the mainstream nature of this issue, which is referred to by many stakeholders when they describe their aspirations and activities. The rule of law must prevail to guarantee the security necessary for both individuals and economic activities to flourish; and to create a working environment that is conducive to development of the Haitian private sector and to foreign investment, as called for by the banking sector and others.", "54. At the other end of the pyramid, civil society invokes the rule of law in its call for greater equality. Representatives of women’s and young people’s associations have expressed their aspiration for a fairer society, in which citizens would have legal recognition through a functioning registry system and would be protected from abuse, which now most often goes unpunished. The women’s associations, for example, are arguing for the promulgation of laws that were drafted by preceding Governments but never considered by Parliament, such as the bills on responsible paternity, domestic labour and the recognition of consensual unions, the most common form of family union in Haiti. The Group has already referred to the importance of these texts in its previous reports (see, for example, E/2008/90, para. 18). Their review by Parliament could begin at any time as it does not require that a Government be fully functioning. The Group hopes that the establishment of a quota for women of 30 per cent of elective positions, which is currently under consideration, will lead to early consideration of these texts.", "55. The issue of the rule of law has always been of particular interest in rural areas. Land reform requires the establishment of a land registration system to provide legal security for small farmers. Yet the call for land reform is now also being made in the metropolitan area of Port-au-Prince, where the phased closure of camps for displaced persons is taking place with the establishment of progressive mechanisms for information and management of land and real estate tenure in order to determine the status of occupation prior to the earthquake and to strengthen security of tenure. The Group is aware of the difficult and sensitive nature of this task and is actively encouraging the authorities to engage in a reform process to that end as soon as possible.", "56. The promotion of the rule of law can begin when government is functioning normally. Several interlocutors have referred to the recurrent problem of corruption, especially in the judiciary and the police force. It is also unlikely that tangible progress can be made if the legislative and executive branches cannot agree on the selection of a Prime Minister and the appointment of a Government. It would then be essential to establish the budget in order to avoid paralysis of the Haitian State and take advantage of the direct aid that is now available.", "VI. Conclusion and recommendations", "57. The Group considers that it is more than ever imperative for Haiti to remain on the international agenda and for appropriate support to be provided to the country, in particular through a strong United Nations presence on the ground, in the form of MINUSTAH and the United Nations country team, in Port-au-Prince and increasingly in other vulnerable areas of the country. The situation on the ground remains extremely complex. While improvements were noticed by the Group during its visit, they fell short of meeting the country’s needs to ensure its political stability and economic and social development.", "58. In this context, a long-term perspective on the development of Haiti will be necessary in order to translate the success achieved over the short- and medium-term into sustainable progress, provided that all political actors play their part in ensuring that the State institutions function adequately. The Group considers it important to follow the reform project that was addressed during its talks with policymakers.", "59. At this critical juncture, the Group calls upon all relevant Haitian actors to develop a rapid course of action to promote a fully functioning Government in the near future in order to avoid any detrimental effect to the level of international assistance provided to the country and to its prospects for development. In the meantime, the continued mobilization of the donor community is needed in order to support Haiti in its current delicate situation and in the longer term.", "60. For ease of reference, the recommendations formulated in the body of the report are summarized below for consideration by the Council.", "Recommendations addressed to the United Nations system", "61. The Group welcomes the increased capacity of the United Nations presence in Haiti to play a leadership role in humanitarian and development issues and recommends that the United Nations system do the following:", "(a) Foster the sustainability of all reconstruction projects through an increased focus on national capacity-building;", "(b) Systematize the joint programmes of United Nations entities and coordinate their implementation;", "(c) Pool the resources of United Nations entities on the ground, including in the provinces, and encourage all development partners to increase their share of the number of staff posted outside of Port-au-Prince, thereby increasing local capacities and supporting decentralization efforts;", "(d) Continue the promotion by MINUSTAH of the rule of law and its cross-cutting dimension in the work of both Haitian stakeholders and development partners.", "Recommendations addressed to the Government of Haiti", "62. The Group recognizes that much progress has been made by the Haitian authorities to sustain recovery efforts and recommends the following actions for their consideration:", "(a) Make all necessary efforts to lead the coordination of donor support, and in this regard, reflect with development partners on ways to leverage the potential for aid;", "(b) Appoint a Director to the Interim Haiti Recovery Commission, taking into account the possible need to extend the Commission’s mandate beyond October, while deciding on future steps in the work of the Commission, including its possible transformation into a fully fledged Haitian governmental institution;", "(c) Avoid “restarting” programmes and make full use of existing development support so as to allow for the scale-up of activities towards longer-term projects in key sectors;", "(d) Promote clear and constructive interaction between the Parliament and the new Government in order to facilitate preparations for the 2011-2012 budget and the definition of future development plans;", "(e) While implementing the new and innovative policy to fund the education sector, make full use of existing policy documents such as the National Pact on Education;", "(f) Make all necessary efforts to enhance the rule of law, a key element in the creation of an environment that enables investment and job creation;", "(g) Strengthen efforts towards improving agricultural productivity and empowering farmers, including rural women, while utilizing the potential of the integrated economic zones to increase productive capacities in the agricultural field through the development of networks based on local production;", "(h) Implement a national policy for job creation involving the Government, business federations and trade unions, as an important step towards enhanced social dialogue;", "(i) Integrate disaster preparedness into capacity-building activities at the local and national levels, across sectoral ministries, including in decentralization projects and plans, and formulate development projects that combine watershed management, flood mitigation and food security in several départements of the country;", "(j) Encourage rapid consideration by the Parliament of draft laws prepared by former Governments aimed at improving the status of women and promoting their rights;", "(k) Engage in a land reform process, including a land registration system in rural areas and progressive mechanisms of information and management of land tenure in Port-au-Prince in order to help in the process to close internally displaced persons camps.", "Recommendations addressed to the donor community", "63. To assist in the recovery and reconstruction of Haiti, as well as its longer-term development, the Group encourages the donor community to:", "(a) Use the aid management platform established by the Haitian Ministry of Planning and External Cooperation to track donor funds pledged and disbursed against the priorities of the Government action plan and to allocate additional funding for the full operationalization of the action plan;", "(b) Ensure that the Haiti Reconstruction Fund plays an active role in mobilizing resources, including from non-traditional donors, and adapt its support to the priorities of the new Government when it is in place;", "(c) Support Haitian ministries in revamping the sectoral tables aimed at coordinating international support in key areas around the Government’s priorities and provide the ministries with the necessary capacities to effectively lead such mechanisms;", "(d) Clarify the connection between the Interim Haiti Recovery Commission mechanisms and the sectoral tables and integrate them within the Commission architecture so as to empower Haitian ministries to shape more directly the strategic planning, decision-making and funding of the Commission;", "(e) Ensure that a certain percentage of projects and related funding is directly implemented by the Haitian authorities, with a commensurate level of support provided for capacity-building through the training and mentoring of civil servants;", "(f) Continue to close the gap between funding for long-term projects and the recovery identified by the Government of Haiti, including debris management, while continuing to provide direct budgetary support;", "(g) Respond to the call to fund the consolidated appeal launched by the United Nations for humanitarian activities in Haiti.", "Recommendations addressed to the international community", "64. The international community, including civil society organizations, should share in the recovery and long-term development of Haiti, and the Group encourages that community to:", "(a) Enhance information-sharing on the contribution of non-governmental organizations to reconstruction and development activities and on improved regulation of such activities, including through the creation within the Interim Haiti Recovery Commission, with UNDP support, of a non-governmental organization coordination unit;", "(b) Keep the macroeconomic situation in Haiti under review, including the impact of the volatility of food prices on the country’s economy, and provide appropriate support to the Government to assist in maintaining macroeconomic balances;", "(c) Ensure sustained funding in order to allow Haiti to engage in longer-term development, invest in such sectors as energy and infrastructure, sustainable urban planning and State capacity-building, and provide funds for all priority projects approved by the Interim Haiti Recovery Commission;", "(d) Support the national education fund to finance the development of education.", "Annex", "Programme of the visit of the Ad Hoc Advisory Group to Haiti, 15-18 June 2011", "Wednesday, 15 June\n 12.25 p.m. Arrival at Toussaint Louverture International Airport", "2.15 p.m. Meeting with the Minister for Foreign Affairs, Marie-Michèle Rey (Ministry of Foreign Affairs)", "4 p.m. Meeting with the Deputy Special Representative of the Secretary-General/ Resident Coordinator/Humanitarian Coordinator, Nigel Fisher United Nations Stabilization Mission in Haiti (MINUSTAH)", "4.30 p.m. Meeting with the United Nations country team, chaired by Mr. Fisher, including a briefing by the Office for the Coordination of Humanitarian Affairs on the humanitarian situation (MINUSTAH)", "6 p.m. Cocktail buffet with the donor community, hosted by Mr. Fisher", "Thursday, 16 June", "6 a.m. Visit to Léogâne (by helicopter)", "• Meeting with the United Nations country team", "• Visit to a debris removal and recycling project site", "• Visits to dumping and recycling sites", "1 p.m. Meeting with the President of the Senate, Jean Rodolphe Joazile (Parliament)", "3.15 p.m. Meeting on gender-based and sexually-based violence with MINUSTAH, United Nations country team, women parliamentarians and Haitian women’s groups (MINUSTAH)", "6 p.m. Cocktail hosted by the Ambassador of Canada (Residence of the Ambassador)", "Friday, 17 June", "8.30 a.m. Meeting with the designated Prime Minister, Daniel Rouzier (National Palace)", "10 a.m. Meeting with the outgoing Prime Minister, Jean-Max Bellerive (Residence of the Prime Minister)", "11.30 a.m. Meeting with the Economic Adviser to President Michel Martelly, Wilson Laleau (National Palace)", "1.30 p.m. Meeting with the Haiti Reconstruction Fund (MINUSTAH)", "3 p.m. Meeting on government capacity-building with MINUSTAH and the United Nations Development Programme (UNDP) (MINUSTAH)", "4 p.m. Meeting on education (United Nations Educational, Scientific and Cultural Organization/United Nations Children’s Fund/World Bank/Canadian International Development Agency) (MINUSTAH)", "5.30 p.m. Meeting with the representatives of the private sector (Pétion-Ville)", "8 p.m. Dinner hosted by the French Ambassador (Residence of the Ambassador)", "Saturday, 18 June", "9 a.m. Meeting on the rule of law with MINUSTAH, UNDP and other United Nations country team members (MINUSTAH)", "10.30 a.m. Meeting with Haitian children and young people, with World Vision International and other non-governmental organizations (MINUSTAH)", "11.30 a.m. Meeting on cholera with the Cuban Medical Brigades and World Health Organization/Pan American Health Organization (MINUSTAH)", "12.15 p.m. Debriefing with the Acting Chief of MINUSTAH, Kevin Kennedy, and the Deputy Special Representative of the Secretary-General/Humanitarian Coordinator/Resident Coordinator, Nigel Fisher (MINUSTAH)", "1 p.m. Departure to New York", "[1] * The report is submitted late in order to reflect the findings of the visit of the Ad Hoc Advisory Group to Haiti from 15 to 18 June 2011.", "[2] The Group of Twelve is composed of USAID, the International Monetary Fund, the United Nations, the World Bank, France, the Inter-American Development Bank, the Canadian International Development Agency, the Spanish Agency for International Development Cooperation, the European Union, Japan, Norway and one seat for Argentina, Brazil and Chile.", "[3] For previous information by the Group on this Commission, see E/2009/105, paras. 41 to 43." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 7 (d)", "Coordination, programme and other questions: long-term programme of support for Haiti", "Report of the Ad Hoc Advisory Group on Haiti*", "Summary", "The present report is based on the visit of the Ad Hoc Advisory Group on Haiti in June 2011 and its meetings with Haiti ' s development partners, and describes the progress made in the recovery process and the challenges that continue to hinder it. The main reason for these challenges is the lack of a clear distribution of power. Given the complexity of the situation on the ground, which involves a wide range of actors, both national and international, the activities that the Panel is unable to broadly outline, only the key points relating to aid effectiveness and development policy options, through which recovery and reconstruction can be strengthened and the country ' s much-needed long-term economic plan developed. The report concludes with recommendations addressed to the Haitian authorities and their development partners.", "(*) The present report was submitted late in order to incorporate the results of the visit of the Ad Hoc Advisory Group on Haiti from 15 to 18 June 2011.", "Contents", "2. Coordination of international support: ongoing work", "Introduction", "1. The present report is the seventh submitted to the Economic and Social Council at its substantive session since the Ad Hoc Advisory Group on Haiti resumed its work in 2004. At that time, at the request of the Government of Haiti, the Council adopted resolution 2004/52, in which it decided to resume the work of the group established in 1999 to help coordinate the development of a long-term programme of support for the country.", "Mandate and composition of the Panel", "2. Pursuant to Council resolutions 2004/322, 2009/211 and 2009/267, the Group is composed of the Permanent Representatives of Benin, Brazil, Canada, Chile, El Salvador, Haiti, Peru, Spain and Trinidad and Tobago to the United Nations. In 2011, in response to requests from the Bahamas (E/2011/8), France (E/2011/80) and the United States of America (E/2011/69) to join the Group, the Council also decided to add the Permanent Representatives of the Bahamas and France to the United Nations and the Permanent Representative of the United States of America to the Economic and Social Council. Since its first meeting, on 23 November 2004, the Group has been chaired by the Permanent Representative of Canada to the United Nations (see Council decisions 2011/207 and 2011/211). Pursuant to decision 2004/322, the President of the Economic and Social Council and the Special Representative of the Secretary-General for Haiti were invited to participate in the meetings of the Group.", "3. In its resolution 2010/28, the Council decided to extend the mandate of the Ad Hoc Advisory Group until its substantive session of 2012 in order to follow closely and provide advice on Haiti ' s long-term development strategy for post-disaster socio-economic recovery, stabilization and reconstruction, with particular attention to the need to ensure consistent and sustained international support for Haiti, in line with the long-term development priorities set out in the Haitian Government ' s plan of action for reconstruction and national development, and stressed the need to avoid overlap and duplication with regard to existing mechanisms. The Council also requested the Panel to report on its activities in support of the recovery, reconstruction and development of the country and to make recommendations, as appropriate, to the Council for its consideration at its organizational and substantive sessions in 2011.", "Overview of the activities of the Ad Hoc Advisory Group", "4. While most of the findings in the present report were based on the Group ' s visit to Haiti from 15 to 18 June 2011, the initial meetings of the Group with international non-governmental organizations, the staff of the Interim Haiti Recovery Commission and the Resident Coordinator, Nigel Fisher, also contributed to the preparation of the report.", "Political reasons delayed the visit and affected interaction with national authorities. A number of developments have taken place in Haiti since the last visit. In the area of reconstruction, the Interim Haiti Recovery Commission held its first meeting during the Group ' s visit in 2010, followed by several meetings and the approval of projects in various areas. The Haiti Reconstruction Fund, managed by the World Bank, has also been established. However, most reconstruction and rehabilitation efforts were not as important as the political and electoral situation, raising concerns about the stability of the country. While the first democratic and peaceful transfer of power between the two elected Presidents in Haiti ' s history is to be recognized and commended, the uncertainty surrounding this process continues to hamper the country ' s much-needed recovery. At the time of drafting the present report, Parliament had not yet approved the appointment of a new Prime Minister, preventing the Government from forming a cabinet. Furthermore, political and legal insinuations to amend the Constitution were considered null and void.", "6. The Group recognizes that realities on the ground continue to pose challenges to the Haitian people and the United Nations country team. Following the disaster earthquake of 12 January 2010 and the Group ' s 2010 visit during the recovery process, the hurricane season was soon followed by a cholera outbreak and a very difficult electoral process, with occasional civil unrest on the streets of Port-au-Prince.", "7. The panellists expressed their appreciation to the Haitian authorities for making time available in the context of the political transition and instability that helped to draw the conclusions and recommendations contained in the present report. The Group also appreciates the frank and constructive exchanges with the Acting Prime Minister and Minister for Planning and External Cooperation, Jean-Marce Belérif, the President of the Senate, Rodolfo Zozira, former Prime Minister-designate Daniel Ruzier, the Minister for Foreign Affairs, Marie-Michel Rey, and other Cabinet members. In addition, the Group expresses its appreciation to the Department of Economic and Social Affairs of the Secretariat for its continued and full support for its work. We also express our sincere appreciation to Kevin Kennedy and Nigel Fisher, Deputy Special Representative of the Secretary-General and Head of the United Nations Stabilization Mission in Haiti (MINUSTAH), their able team and the United Nations country team as a whole for their strong support during the visit, as well as for the information and analysis they provided during the numerous meetings organized for the Panel.", "8. The activities of the Group in Haiti included visits to Léogâne, discussions with youth representatives, briefings by the World Health Organization (WHO) and Cuban medical representatives and meetings with the private sector (see annex). Despite the absence of a formal Government, the visit was considered to have been effective, as it had had a high-quality interaction with different actors, including civil society, the private sector and the diplomatic and donor community, both in Port-au-Prince and outside the capital. It is difficult to provide an exhaustive overview of all the activities and interactions that have taken place because of the large number of actors involved. The post-electoral situation has hampered the reconstruction of the country, resulting in many challenges, mainly due to the lack of a clear distribution of power. Given the complexity of the situation on the ground, which involves a wide range of actors, both local and international, the Panel focused on elements that could help to strengthen recovery and reconstruction and to develop a much-needed long-term economic plan for the country.", "II. Significant progress on the ground in the context of instability", "9. The first point made by the Panel was that the situation had improved compared to the visit one year earlier. Visible progress has been made in the area of clearance operations and the reconstruction of Port-au-Prince and surrounding communities, demonstrating that Haitian society has been mobilized and that the assistance provided by the international community is indeed useful.", "10. The following data in this regard are convincing: Some 50,000 people leave camps for internally displaced persons each month to settle in permanent or semi-permanent residences. A total of 1.3 million people were living in camps at the time of the Panel ' s visit in 2010 and 680,000 remain. In the camps, the figure is expected to be approximately 400,000 by the end of 2011. A flagship programme carried out by the new authorities has started long-term reconstruction in the corresponding 16 communities of origin, closing six camps in Port-au-Prince. As part of its active engagement with the new presidential team, the United Nations country team supported the programme. In this regard, land reform also needs to be addressed in order to provide secure land tenure for internally displaced persons.", "11. Many tons of rubble have been removed through cash-for-work and work-for-work programmes. Today, a number of United Nations entities (the United Nations Development Programme (UNDP), the United Nations Human Settlements Programme (UN-Habitat), the International Labour Organization (ILO) and the United Nations Office for Project Services (UNOPS)) are providing support to the Ministry of Public Works, Transport and Communications for the rehabilitation of areas through the establishment of a recycling system for the sustainable removal and disposal of rubble. Through these recycling activities, small enterprises have been created and a large number of jobs have been created. During its visit to Léogâne, the Panel witnessed these events, where it visited a project organized by UNDP and the City Hall, which included the removal of 350,000 cubic metres of rubble, the operation of a landfill and the construction of a rubble recovery plant. In addition to its labour-intensive character, the project will use recycled rubble to build school facilities and strengthen local project implementation capacity in Haiti. The Panel encourages this approach and calls for the speedy implementation of this project, which has high expectations among the local population, as an example of post-earthquake sustainable activities.", "12. Progress has also been made in the fight against cholera, demonstrating the capacity of Haitian and international actors to play a role on the ground. The Group met with representatives of WHO and heard a statement by a representative of the Cuban medical team, which conducted an epidemiological study of the cholera situation throughout the country, including in remote rural areas. It is now the case that, while the number of cases of cholera infection is now decreasing, the disease will remain in Haiti for many years and the rainy season is likely to increase the incidence of this and other diseases.", "13. Despite these encouraging and successful examples of work since the earthquake, it is reminiscent that tens of thousands of people are still living in precarious conditions and two thirds of Haitians live in chronic poverty. It should be noted that in 2010, Haiti ' s annual growth rate contracted by 8.5 per cent as a result of the earthquake. Repeated climate and earthquake threats have made the country more vulnerable.", "14. Furthermore, it should be noted that the ongoing global economic and financial crisis may also threaten the Haitian economy. Even if the Government ' s monetary policy can contain the current inflationary risks and the Good exchange rate stability, global food price increases can fuel inflation and create social discontent. The recent history of Haiti shows that such crises can create political and institutional instability.", "III. Coordination of international support: work under way", "15. Coordination of assistance has been a major concern of the Advisory Group for many years. The growing number of development partners involved in the provision of assistance to Haiti, as well as in the reconstruction process, has made the issue important. In addition, this process has resulted in new mechanisms, such as the Interim Haiti Reconstruction Commission and the Haiti Reconstruction Fund. A preliminary assessment of the actions of these bodies is already available.", "Coordination with the United Nations system", "16. During its visit, the Advisory Group received strong support from MINUSTAH and the United Nations country team and met with 15 United Nations agency representatives on the ground. It is now largely recognized that the country team has succeeded in providing humanitarian assistance to the Haitian people while pursuing long-term development activities. Humanitarian assistance mechanisms, including a variety of international agencies and non-governmental organizations dealing with specific topics, have systematically assisted in the organization of international assistance, having begun to encounter some difficulties. Particular emphasis should be placed on the synergies between the resident coordinators of the United Nations system and coordination bodies such as the International Organization for Migration (IOM) for camp management and UNICEF for WASH. The quick-impact projects carried out by MINUSTAH have also enhanced the operational capacity of the Mission, including its disaster preparedness capacity, while delivering tangible benefits to the Haitian people.", "17. Although the level of cooperation among United Nations agencies had increased before the earthquake, it had been strengthened since the Group ' s visit in June 2010. The rapid development of an integrated strategic framework has become the main vehicle for joint planning across a broad range of development sectors. The framework represents an important step forward in the engagement of the United Nations in the peacekeeping environment and in achieving the objectives of “Delivering as one”. The fact that the country team submitted 18 projects to the Interim Haiti Reconstruction Commission totalling $376 million, the majority of which involved several United Nations agencies, proved that the United Nations capacity for concerted action had improved. The Advisory Group encouraged the systematic development and coordinated implementation of joint programmes.", "18. UNCT organized meetings for the Advisory Group on cross-cutting issues, such as government capacity-building, rule of law and the status of women, and organized thematic meetings, including on education and health. The Group notes that these meetings not only brought together several United Nations agencies working on issues of common interest, including MINUSTAH and United Nations development entities, but also Haitian civil society organizations, women parliamentarians and key donors in a sector. Despite some duplication of efforts and differing priorities, these meetings have shown that the United Nations can play a leading role and can mobilize other development partners to work with external agencies such as the Advisory Group.", "19. Interaction between MINUSTAH and United Nations agencies, in particular activities to combat sexual violence against women, especially in refugee camps, can play an important role. The use of patrols and civilian police, together with advocacy and victim support, can provide a multifaceted response to a general problem.", "20. Another important aspect is the decentralization of staff and projects outside Port-au-Prince, which strengthens local governance and development. In Léogâne, the Advisory Group met with eight United Nations agencies present on the ground to facilitate areas that had previously received less international assistance. Similarly, MINUSTAH is carrying out capacity-building activities in cities throughout Haiti, while agencies such as UNDP, the World Food Programme and UNEP are developing joint sustainable development projects in the provinces, such as watershed management. The Advisory Group encouraged the different agencies to pool their resources and maximize their presence throughout the country, thereby supporting decentralization efforts as a necessary condition for long-term development. The Group also encouraged all actors involved in development, including United Nations agencies, to deploy additional staff outside Port-au-Prince, where the proportion of staff remains inadequate.", "Donor coordination", "21. According to the Group ' s partners, aid coordination remains weak, making the responsibilities of all agencies even more unclear. However, positive examples should be highlighted, including the prevention of cholera and the response to hurricanes. This is not the case for development assistance, however, and the division of activities is often unclear.", "The donor community has made efforts to facilitate information-sharing and concerted action in support of Haiti, in particular through Haiti's main donor group, the Twelfth Group. In addition, innovative aid management tools have been implemented, in particular the aid management platform, which monitors donor funds pledged and allocated according to the priorities of the Government ' s action plan. The Advisory Group had recommended the use of the tool. UNDP cooperation with the Office of the United Nations Special Envoy for Haiti in that area was commendable.", "23. However, coordination among donors can only be fully effective if government-led funding and planning processes are implemented, thus allowing international partners to articulate their actions in relation to national projects and activities. Clearly, Haiti has not yet reached that stage, and the current uncertain political situation is further delaying its arrival.", "Coordination through the Interim Haiti Reconstruction Commission", "24. The Interim Haiti Reconstruction Commission was established in April 2010 to coordinate and oversee recovery and reconstruction efforts. As of June 2011, the Commission had approved 89 priority projects with a total budget of $3.2 billion. A strategic plan has been developed that includes priority objectives related to the implementation of the Government ' s action plan, which will be completed before the end of the Commission ' s mandate, which was scheduled to end in October 2011. The Commission has also attracted a wide range of Haitian and international organizations, including non-governmental organizations, and has a secretariat composed of experts from several development agencies, including UNDP.", "25. The Advisory Group noted that the Commission had become a complex body with a complex decision-making process and high operational costs. Its focus on projects has also limited its capacity for operational strategic planning and oversight. In addition, the absence of a Director-General since April 2011 has had a negative impact on the functioning of the Agency. It would therefore be crucial for the new Government to appoint a Director-General. Similarly, a decision needs to be taken on the next steps in the Commission ' s work, including the necessary adjustments to its strategy and working methods, as well as the possible transformation of the Commission into a formal Haitian Government institution, as originally planned. From that perspective, a clear political situation in Haiti is a prerequisite for the Commission to function properly and to continue the process of reconstruction in an orderly manner. In the short term, in view of its workload and the need to fulfil its mandate, consideration may need to be given to extending the mandate of the Commission beyond October.", "Coordination through the Haiti Reconstruction Fund", "26. The Haiti Reconstruction Fund, established by the World Bank and chaired by the Minister of Finance of Haiti, has allocated $237 million to 14 projects approved by the Commission. The United Nations, the World Bank and the Inter-American Development Bank are implementing agencies for all projects of the Haiti Reconstruction Fund. As of mid-June 2011, 19 donors had committed $352 million to the Fund. Twenty per cent of all reconstruction funds disbursed to Haiti are channelled through the Fund. While this may be a small proportion, these allocations are actually higher than originally anticipated, taking into account the experience of similar mechanisms established in other countries.", "27. It is worth noting that the Haiti Reconstruction Fund provides the bulk of the funds for residual disposal, and donors tend to ignore this important area of work, which is more in favour of supporting development activities. The support provided by the Fund also benefits the multilateral system, through which some UNDP projects are funded. As a flexible mechanism, the Fund has a cycle of at least seven years, which helps to increase the transparency of international assistance and broaden the donor base. The Advisory Group encouraged the Fund to play an active role in mobilizing resources, including from non-traditional donors, and to align its support with the priorities established by the new Government following its establishment.", "Coordination with national priorities", "28. The Group welcomes the contribution of the coordinating body established in the aftermath of the earthquake to improving aid effectiveness in Haiti in a very complex environment. It also recognizes that, in the long term, the planning and financing process in Haiti should be unique and Government-led, in accordance with the principle of national ownership. A key step in this direction was the reform of key sectoral institutions established prior to the earthquake, involving key national and international partners under the leadership of relevant ministries. The Advisory Group met with Mr. Jean-Marc Bellerive, the outgoing Prime Minister and co-chair of the Interim Haiti Reconstruction Commission, in Port-au-Prince, who played an important role in this reform effort. In this regard, development partners should be able to provide ministries with the necessary capacity to effectively lead these institutions.", "29. The relationship between the mechanisms of the Interim Haiti Reconstruction Commission and the sectoral institutions needs to be better defined. In order to further harmonize the relationship between the Commission and government processes, all projects are now approved by the Ministry of Planning and Development Cooperation and key ministries prior to their submission to the Board of the Commission. The Group is of the view that the various sectoral structures should be directly integrated into the structure of the Commission in order to enable the Haitian ministries to participate more directly in its strategic planning, decision-making and funding. The projects will be funded by the ministries leading the sectoral institutions, in conjunction with the Commission, and the process will further enable international support to be aligned with Haiti ' s national action plan and Government priorities.", "30. While the exact modalities of such interaction should be consulted by the leadership of the new Government and development partners, in particular those who are members of the Commission, the Group favours an approach that gives more leadership to the Government of Haiti and empowers ministries. It should also be borne in mind that, in the light of the current political difficulties and the still inadequate state of State institutions, there is a need to maintain in the short term mechanisms that allow development-oriented organizations to request project funding directly to the Council of the Commission, with prior discussion and coordination of proposals with the relevant ministries.", "31. At the same time, the capacity of Haiti must be strengthened so that it can increasingly address these processes. The Group reiterates the recommendations contained in its previous report, namely, that the Haitian authorities directly implement a percentage of projects and related funding and provide commensurate support for capacity-building through the training and mentoring of civil servants. In its previous report, the Group noted with concern that non-governmental organizations were over-involved in the implementation of projects rather than using Haitian national capacities. The Advisory Group noted with satisfaction that, with the support of UNDP, an NGO coordination unit had been established within the Committee to exchange information on NGO proposals and to better reconcile the sector.", "IV. Maintaining a high level of support for Haiti: a shared responsibility of the international community and Haitian political actors", "At the International Aid Conference “Towards a New Future for Haiti”, held in New York on 31 March 2010, 55 public sector donors (national Governments and multilateral institutions) pledged a total of $5.6 billion for recovery and development of Haiti, $4.6 billion for assistance programmes and $1 billion for debt relief. In 2010-2011, donors disbursed 36.1 per cent ($1.66 billion). In 2011, 63.9 per cent ($293 million) remained undisbursed, of which more than half had committed to specific projects. The sectors receiving the most support are social reconstruction, namely water and sanitation, education and health, and the reconstruction of the Territory, particularly the transport system.", "33. The attention of the Advisory Group was drawn to the large gap between existing international funding for long-term projects and the funding needs identified by the Government of Haiti for recovery efforts, including rubble management. It is estimated that $750 million is still urgently needed for the immediate implementation of all priority projects by the Haiti Reconstruction Commission. In addition, on the humanitarian front, the United Nations consolidated appeal appeal for $915 million had received only 24 per cent of the midterm review in May 2011.", "34. These figures illustrate the need to continue to mobilize the donor community in support of Haiti. In addition to economic recovery and reconstruction, assistance from development partners is needed to restructure the economy, invest in energy and infrastructure, sustainable urban planning, build national capacity and regulate economic activities. More financial support is needed to assist this initiative. At the same time, consideration should be given to how best to use the potential for aid in order to convince donors to maintain a high level of aid.", "35. The current political situation in Haiti raises concerns about the sustainability of donor support to the country. First, the polarization of political actors may hinder the continuity of development programmes and projects if one side ignores the activities initiated by the other. Secondly, the lack of agreement between the executive and legislative branches could lead to the paralysis of State institutions and seriously affect the capacity of the State to undertake broad-based reforms. The Advisory Group stressed the need for a constructive relationship to prevent the “tabula lasa” of the relevant programmes and to ensure the enhancement of long-term project development activities in key sectors.", "36. Political instability also prevents some donors from providing funding through Haitian institutions. This would be all the more unfortunate because more budgetary support was provided to support recovery efforts, half of which was provided directly or indirectly to Governments (44 per cent of grants and budget support, 28 per cent to multilateral institutions and 27 per cent to non-governmental organizations). This positive trend should not be compromised.", "37. The Advisory Group was informed that the preparation of the budget (financial amendments and budget for the biennium 2011-2012) had been initiated with a view to ensuring the continued operation of the national machinery. If this is to be effective, the political situation should be clarified and there should be constructive interaction between Congress and the new authorities. Sixty per cent of Haiti ' s budget remains dependent on international assistance, and donors should be assured of this important process.", "The same applies to the preparation of the second National Growth and Poverty Reduction Strategy Paper, which was communicated to the Advisory Group. The success of such a process will depend on the ability to consult widely with all sectors of society, including Congress.", "V. Investing in priority areas identified by the Haitian leadership", "39. The Advisory Group held a series of consultations with a wide range of Haitian and international actors on key development issues to be considered in order to strengthen recovery and reconstruction efforts and to develop long-term plans. To ensure aid effectiveness, there is an increasing focus on priority areas identified by international support for authorities, including the four components of the recovery programme identified by President Mattli, namely education, employment, the environment and the rule of law.", "Education", "40. Haiti ' s education sector has long suffered from structural problems, resulting in a low quality of education, despite high social needs. The sector was further weakened by the earthquake, with over 4,000 schools damaged or destroyed. During the electoral campaign, President Matheley stressed the need for free and universal education in Haiti and committed 400,000 children to school by September 2011.", "41. To assist in the implementation of the programme, a national education fund has been established, funded by new taxes on domestic international calls, remittances from abroad and donor contributions. The Advisory Group welcomes this innovative mechanism to finance the development of key sectors; in this regard, calls for the new President to do something and for donor support.", "42. Education partners expressed concern to the Panel about the feasibility of this policy in such a short period of time, mainly because of the large increase in the number of schoolchildren and the lack of trained teachers. Although donor commitments are high and some arrangements are in place to accelerate teacher training, commitments made during the campaign period may not be implemented in the short term. The current risk is that growing discontent among the population may in turn exacerbate social unrest.", "43. In this regard, the Group calls for increased mobilization of support for the education sector and for the new authorities to implement their innovative policies. The Group also emphasizes the need to make full use of the National Contract for Education, which is the result of a two-year inclusive process of Haitian education experts.", "Employment", "44. Job creation is a recognized priority in Haiti. Today, 2.5 million people are recognized as unemployed or underemployed. In Port-au-Prince, housing and rubble-related activities created jobs, while in the provinces, the main sector remained agriculture, watershed management and road construction.", "45. The private sector plays an important role in this regard. The Group met with representatives of the private sector, including the Bank, and was encouraged by their appeal to the new Government of Haiti and the international community to ensure a level playing field for investment and job creation. They referred to the conclusions of the report of the Competitiveness Commission established in 2009 to strengthen entrepreneurship and wealth creation, and welcomed the willingness of the new authorities to take advantage of the work of the Commission and adopt policies to encourage business.", "One of the projects under consideration is the establishment of integrated economic zones, including industrial parks, transport facilities, including access to airports and seaports, and training facilities. Private parks in the north of the country should now serve as examples for other regions. The economic adviser to President Maitley explained to the Panel the need to mobilize donors and investors, including from abroad, to make this vision a reality. The Group supports the call for action, which clearly demonstrates the willingness of the authorities to pursue economic decentralization and to create jobs outside Port-au-Prince.", "47. The Panel has previously stressed that, while important, the garment industry and other industrial activities are unlikely to create enough jobs (estimated at 50,000) to bring about profound changes in society. In a country where the majority of the population was rural, it was necessary to continue efforts to increase agricultural productivity and empower farmers, including rural women. It is therefore important to develop local production networks so that integrated economic zones contribute to enhancing agricultural production capacity.", "48. Finally, the consultation between the Government, the Chamber of Commerce and Industry and the trade unions on the development of employment generation policies, as advocated by the United Nations country team, will be an important step forward in social dialogue. This approach will prove a spirit of cooperation at a time when the country must focus on political dialogue and break the institutional deadlock.", "Environment", "49. In previous reports, the Group highlighted the environmental degradation in Haiti and the urgent need for sustainable development policies, coordination of economic activities, social inclusion and environmental protection. This paper will not elaborate on this issue, although the Group welcomes the priority given by the presidential team to the long-term development of the country.", "50. During its visit, the Group was interested in learning about development projects such as watershed management, flood mitigation and food security in several provinces. The Group welcomes these projects and calls for further integration of disaster preparedness into cross-ministerial capacity-building activities at the local and national levels. Decentralization projects and plans should also consider this aspect.", "51. The Panel also welcomes the idea put forward by the President ' s team of a three-pronged Ministry of Interior, Territorial Planning and the Environment.", "Rule of law", "52. The rule of law was frequently mentioned during the Panel ' s visits. The new authorities indicated that the rule of law was at the heart of their strategy. The Group commends MINUSTAH for its efforts over the past months to highlight the central role of all its activities in the country, including those of the Haitian authorities and its international partners.", "53. The Panel emphasizes that many interlocutors referred to the cross-cutting nature of the issue in their presentations of their aspirations and activities. The rule of law, therefore, must be implemented in order to provide security for the development of the population and economic activities, and to create an enabling environment for the private sector and foreign investment in Haiti, which was also called for in many quarters, including in the banking sector.", "54. At the other end of the pyramid, civil society uses the rule of law to demand more equality. The representatives of women ' s and youth associations aspired to a more equitable society in which citizens were legally recognized and protected from abuse under an effective civil registration system, as in most cases perpetrators remained at large. For example, women ' s associations advocate for the enactment of laws drafted by the former Government but not considered by Congress, such as those on fatherhood, domestic work or the recognition of family reunification (the most common form of family reunification in Haiti). In its previous reports, the Panel highlighted the importance of these texts (see E/2008/90, para. 18). Parliamentary deliberations are not dependent on the existence of an effective Government and can be initiated immediately. The Group hopes that the establishment of a 30 per cent quota for women with an electoral function, which is currently under consideration, will contribute to the rapid consideration of these issues.", "55. The theme of the rule of law has been of particular importance in rural areas. Land reform requires the establishment of land registration systems (cadastres) to promote and allow legal security for small farmers. Today, the requirements of land reform also apply to Port-au-Prince, where the gradual closure of camps for internally displaced persons is accompanied by a progressive system of information and land tenure management to determine pre-earthquake land tenure and to enhance the security of landowners. While aware of the difficulty and sensitivity of such a process, the Panel strongly encourages the authorities to initiate a reform process to this end as soon as possible.", "56. Promoting the rule of law depends on the proper functioning of public institutions. Several interlocutors referred to recurrent problems, including police and judicial corruption. Furthermore, if the legal and administrative authorities did not find common ground for choosing a Prime Minister and a nominating Government, there would be no significant progress. Thereafter, a budget proposal will be needed to prevent the collapse of the Haitian State and to take advantage of direct assistance for the benefit of the present.", "VI. Conclusions and recommendations", "57. The Panel believes that it is more important than ever to continue to make Haiti an international agenda item and to provide appropriate support to the country, in particular through a strong United Nations presence on the ground in Port-au-Prince and other vulnerable areas of the country, including MINUSTAH and the United Nations country team. The situation on the ground remains extremely complex and, while the Panel noted improvements during its visit, they fall far short of what the country needs to ensure its political stability and economic and social development.", "58. In this context, a long-term perspective on Haiti ' s development is required in order to translate the short- and medium-term successes achieved into sustainable development, provided that all political actors play a role in ensuring that State institutions are fully operational. In this regard, the Panel believes that it is important to continue to implement the “reform project” it addressed during its discussions with the country's political leaders.", "59. At this important juncture, the Group calls upon all relevant Haitian actors to develop a rapid course of action to facilitate the full functioning of the Government in the future, so as to avoid adversely affecting the level of international assistance provided to the country and its long-term development prospects. At the same time, there is a need to continue to mobilize the donor community to support Haiti in the current fragile situation and in the long term.", "For ease of reference, the recommendations made in the body of the report are summarized for consideration by the Governing Council.", "Recommendations to the United Nations system", "61. The Group welcomes the increased United Nations presence in Haiti to provide leadership on humanitarian and development issues and recommends that the United Nations system undertake the following activities:", "(a) To promote the sustainability of all reconstruction projects by placing greater emphasis on national capacity-building;", "(b) Institutionalizing and coordinating the implementation of joint programmes of United Nations entities;", "(c) Centralizing the resources of United Nations entities on the ground, including in the provinces, and encouraging greater sharing of staff from all development partners outside Port-au-Prince, thereby increasing local capacity and supporting decentralization;", "(d) MINUSTAH continues to promote the rule of law and to mainstream it into the work of Haitian stakeholders and development partners.", "To the Government of Haiti", "62. The Group recognizes that the Haitian authorities have made considerable progress in sustaining recovery efforts and recommends that they consider the following actions:", "(a) Make all necessary efforts to take the lead in coordinating donor support and, in this regard, reflect with development partners on ways to harness aid potential;", "(b) To appoint a Director of the Interim Haiti Recovery Commission and to consider the possible need to extend the mandate of the Commission beyond October, while deciding on the next steps in the work of the Commission, including its possible transformation into a fully fledged Haitian Government institution;", "(c) Avoiding “relaunch” programmes and making full use of existing development support so that activities focused on long-term projects in key sectors can be scaled up;", "(d) To promote clear and constructive interaction between Parliament and the new Government in order to facilitate the preparation of the 2011-2012 budget and the definition of future development plans;", "(e) Make full use of existing policy documents, such as the National Pact on Education, while implementing new and innovative policies to finance the education sector;", "(f) Undertake all necessary efforts to strengthen the rule of law. The rule of law is a key factor in creating an environment conducive to investment and job creation;", "(g) Strengthen efforts to increase agricultural productivity and empower farmers, including rural women, while harnessing the potential of integrated economic zones to increase productive capacity in agriculture through the development of power grids based on local production;", "(h) Implement a national policy for job creation involving the Government, business associations and trade unions as an important step towards strengthening social dialogue;", "(i) Integrating disaster preparedness into capacity-building activities of cross-sectoral ministries at the local and national levels, including in decentralization projects and plans, and developing development projects in several provinces of the country that integrate watershed management, flood mitigation and food security;", "(j) Encourage the Parliament to consider expeditiously the draft law prepared by the former Government aimed at the advancement of women and the promotion of their rights;", "(k) Commencing the process of land reform, including the implementation of land registration in rural areas and the progressive implementation of land tenure information and management mechanisms in Port-au-Prince to help the process of closing camps for internally displaced persons.", "Recommendations to the donor community", "63. To assist Haiti in its recovery, reconstruction and long-term development, the Group encourages the donor community to:", "(a) To use the aid management platform established by the Ministry of Planning and External Cooperation of Haiti to track donor pledges and allocations in line with the priorities of the Government ' s action plan and to allocate additional funds for its full operation;", "(b) Ensure that the Haiti Reconstruction Fund plays an active role in the mobilization of resources, including from non-traditional donors, and aligns the Fund ' s support with the priorities of the incoming new Government;", "(c) To support the revision of the sectoral tables by the Haitian ministries with the aim of coordinating international support in key areas around the priorities of the Government and to provide the ministries with the necessary capacity to effectively lead such mechanisms;", "(d) Clarify the relationship between the mechanisms and sectoral tables of the Interim Haiti Recovery Commission and incorporate them into the structure of the Interim Haiti Recovery Commission in order to enhance the capacity of Haitian ministries to gain a more direct understanding of the Commission ' s strategic planning, decision-making and funding;", "(e) To ensure that a certain proportion of projects and related funds are implemented directly by the Haitian authorities and to provide corresponding support for the training of civil servants to enhance capacity-building;", "(f) To continue to bridge the gap between the funds allocated for long-term projects and for recovery as determined by the Government of Haiti, including the removal of debris, while continuing to provide direct budgetary support;", "(g) To respond to the appeal for funding of the United Nations consolidated appeal for humanitarian activities in Haiti.", "Recommendations to the international community", "64. The international community, including civil society organizations, should be involved in the recovery and long-term development of Haiti, and the Group encourages the international community to:", "(a) Strengthening the contribution of relevant non-governmental organizations to reconstruction and development activities and information-sharing on improving governance of such activities, including through the establishment of an NGO coordination unit within the Interim Haiti Recovery Commission, with the support of UNDP;", "(b) To continue to examine the macroeconomic situation in Haiti, including the impact of food price volatility on the economy, and to provide appropriate assistance to the Government to help maintain macroeconomic balance;", "(c) Ensure sustained funding to enable long-term development and investment in sectors such as energy and infrastructure, sustainable urban planning and national capacity-building in Haiti, and to finance all priority projects approved by the Interim Haiti Recovery Commission;", "(d) Supporting the National Education Fund to finance education development.", "Annex", "Programme for the visit of the Ad Hoc Advisory Group to Haiti from 15 to 18 June 2011", "Meeting with the Deputy Special Representative of the Secretary-General/Resident Coordinator/Humanitarian Coordinator of the United Nations Stabilization Mission in Haiti (MINUSTAH) at 4.30 p.m.; meeting with the United Nations country team, including the Office for the Coordination of Humanitarian Affairs briefing on the humanitarian situation (MINUSTAH) at 6 p.m.; meeting with the donor community, with the donor community, at 6 p.m.; meeting with the United Nations country team, at 6 p.m., on Thursday, 16 June; visiting the United Nations country team, at 6 p.m.; meeting with the United Nations country team, at the United Nations country team, at the United Nations country team, at the country level; meeting with the United Nations country team, at the United Nations country team, at the country level, at the country level; and meeting with the United Nations country team, at the United Nations country team, at the country level, at the country level, at the United Nations country level, at the country level; and meeting with the United Nations country team, at the United Nations country team, at the United Nations country level, at the country level; and at the United Nations country team, at the United Nations country team, at 3 p", "[1] The twelfth group comprises the United States Agency for International Development, the International Monetary Fund, the United Nations, the World Bank, France, the Inter-American Development Bank, the Spanish Agency for International Development Cooperation, the European Union, Japan, Norway and one seat for the twelfth group (Argentina, Brazil and Chile).", "[2] For previous information on the Committee, see E/2009/105, paras. 41-43." ]

[ "第六十六届会议", "临时议程^(*) 项目93", "从国际安全的角度来看 信息和电信领域的发展", "从国际安全的角度来看信息和电信领域的发展", "秘书长的报告", "目录", "页次\n1.导言 2\n2.已收到的各国政府的答复 2\n澳大利亚 2\n格鲁吉亚 6\n德国 7\n希腊 10\n哈萨克斯坦 11\n荷兰 12\n美利坚合众国 13", "^(*) A/66/150。", "一. 导言", "1. 大会在其第65/41号决议执行段落第3段中邀请所有会员国在考虑到从国际安全的角度来看信息和电信领域的发展政府专家组的报告[1] 的评估意见和建议的情况下，继续向秘书长通报它们对下列问题的看法和评估意见：", "(a) 对信息安全问题的一般看法；", "(b) 国家一级为加强信息安全和促进这一领域的国际合作所作的努力；", "(c) 决议第2段所述概念的内容；", "(d) 国际社会为加强全球一级的信息安全可能采取的措施。", "2. 根据该要求，于2011年3月16日向会员国发出普通照会，请它们就该主题提供信息。下文第二节载有已收到的答复。以后收到的任何答复将作为本报告的增编印发。", "二. 已收到的各国政府的答复", "澳大利亚", "[原件：英文] [2011年5月31日]", "澳大利亚欢迎有机会根据大会关于从国际安全的角度来看信息和电信领域的发展的第65/41号决议提交本答复，表达我们的意见。", "澳大利亚希望成为网络安全方面的世界领袖。我们认识到技术进步对全球数字经济和所有国家的安全所具有的重要性和裨益。澳大利亚力求利用自己的专门知识为所有国家创造最大程度的经济和安全收益。", "随着技术越来越渗透进我们的生活之中，政府、企业和个人也就因各种目的和功能而越来越依赖于技术，如在线购买商品和服务、与别人交流、寻找信息和管理财务，甚至控制采矿和制造业中的设备等。要使因特网和数字经济带来的裨益最大化和增强全球网络安全，各国就必须一起努力，造就一个可靠、安全和有弹性的网络空间。澳大利亚努力成为主动参与者，为所有用户——国家、企业和个人——增强网络空间而发挥作用。", "对信息安全问题的一般看法", "澳大利亚认识到，网络安全属于国家最高安全优先事项。国际社会继续在经受网络犯罪规模不断扩大、复杂性不断增加和成功犯罪次数不断增多的情况。随着电子信息数量和价值的提高，罪犯和其他恶意行为者的努力也在增强；他们把因特网当作进行其活动的更为隐秘、便利和有利可图的途径。", "在面对和管理这些风险时必须与包括隐私权在内的个人的公民自由权进行平衡，并需要促进效率和创新，以确保使澳大利亚实现数字经济的所有潜力。", "澳大利亚及每一个国家的国家安全、经济繁荣和社会福祉都与各种信息和通信技术的可用性、完整性和保密性密不可分。据此，澳大利亚政府已投入大量资源，积极促进维护一个可靠、安全和有弹性的电子操作环境，以造福于所有用户。", "尽管澳大利亚政府的网络安全政策主要侧重于澳大利亚信息和通信技术的可用性、完整性和保密性，但这一政策与其他相关政策和方案的网络安全政策是有协调的，例如网络安全着重于保护个人，特别是儿童，免受冒犯性内容、欺凌、为性剥削目的进行在线跟踪或诱骗等行为的侵扰。", "国家一级为加强信息安全和促进这一领域的国际合作所作的努力", "为加强信息安全而作出的国内努力", "澳大利亚认识到，要促进网络空间的国际合作就必须在国内模拟最佳做法。澳大利亚实施了一种以政府为主导的保护和加强网络安全的综合方法。在2009年，政府公布了首个网络安全战略，阐述了澳大利亚政府网络安全政策的总目标和具体目标，规定了澳大利亚政府为实现这些目标所要完成的各项战略优先事项。该战略还说明了澳大利亚政府在为实现这些战略优先事项而展开的全面工作中将要采取的各项关键行动和措施。", "澳大利亚网络安全政策的目标是维护一个能支持澳大利亚国家安全并能使数字经济的裨益最大化的可靠、安全和有弹性的电子操作环境。该战略的关键举措包括建立两个相互支持的组织：一个新的国家计算机应急小组和网络安全作业中心。国家计算机应急小组成立于2010年，为所有澳大利亚人和澳大利亚企业提供了网络安全信息方面的一个单一联络点，并确保使澳大利亚的因特网用户能得到关于网络威胁、其系统脆弱性的信息，以及有关如何更好地保护其信息和通信技术的信息。国家计算机应急小组与操纵着对澳大利亚国家利益具有重大意义的系统的各关键基础设施和企业的业主和运营商保持密切工作关系。该小组向这些企业提供有针对性的网络安全威胁和脆弱性信息，以协助更好地保护他们的信息和通信技术基础设施。同样成立于2010年的作业中心向澳大利亚政府提供所有来源网络态势情况，并能以更强的能力促进对具有国家重要性的网络安全事件作出业务反应。该中心确认和分析复杂的网络攻击，并协助应对发生于政府和关键私营部门系统和基础设施的网络事件。", "该战略的一个关键优先事项是用信息、信心和实用工具教育和武装所有澳大利亚人，使他们上网时能保护自己。该战略的指导原则是共同责任原则，即所有用户在享受信息和通信技术裨益的同时，应采取合理步骤保护自己系统的安全，在交流和储存敏感信息时应谨慎小心，并有义务尊重其他用户的信息和系统。为使个人能在信息安全领域发挥积极作用，个人就必须知道和理解网络环境及其风险。为实现这一目标，澳大利亚现正开展一个提高认识方案，其中包括为澳大利亚家庭用户和小企业，包括为那些网络知识和技能有限的人建立了一个网络安全信息网站(见 www.staysmartonline.gov.au)，并与企业、消费者团体和社区组织合作开展了一个网络安全认识周。认识周帮助澳大利亚人了解网络安全风险，并教家庭和小企业用户用简单步骤保护其在线个人信息和财务信息。在2010年全国网络安全认识周期间，大约有150个政府机构、行业、社区和消费者组织合作在澳大利亚城市、区域和农村举办各种活动。在2011年，从5月30日至6月4日举行了认识周。", "澳大利亚政府承认，网络空间安全是一项共同责任，因此主动与因特网业协会合作，以拟订一个创新的因特网服务提供商网络安全自愿业务守则，并于2010年12月开始实施。该业务守则为澳大利亚因特网服务提供商提供了一个在网络安全问题方面向其顾客提供信息、教育和保护的一致性做法。澳大利亚在多边论坛上介绍了成功实施该业务守则的情况，并分享了在拟订该守则过程中得到的经验教训。在2010年12月举行的经济合作与发展组织(经合组织)信息安全工作队会议、亚洲-太平洋经济合作组织电信和信息工作组会议和亚太地区电信组织会议上都作了介绍。澳大利亚渴望通过双边能力建设活动和多边论坛与其他国家分享这一守则，以协助其他国家更好地与因特网服务提供商进行协作，并使因特网服务提供商在教育和保护终端用户时更为负责。", "促进国际合作", "澳大利亚将有关网络安全的国际合作列为高度优先事项。鉴于因特网的跨国性质，要实现有效的网络安全就需要开展协调的全球行动，因此，澳大利亚对国际参与采取了一种积极和多层面的方法。除其他方面外，这包括以双边方式和通过多边论坛与外国政府和组织进行联系，以帮助促进国际最佳做法、分享经验教训、建设能力，以及促进协调的全球方法来消除网络安全威胁。", "澳大利亚在联合国的参与包括担任关于下列问题的各项决议的共同提案国：创造全球网络安全文化以及评估各国保护重要信息基础设施的努力，和从国际安全的角度来看信息和电信领域的发展。澳大利亚还响应大会第64/211号决议，就保护包括信息和通信技术在内的关键信息基础设施的最佳做法提出了自己的意见，以促进改善全球网络安全。澳大利亚是国际电信联盟(国际电联)的成员，并向标准化和发展部门所属的研究小组作出贡献。澳大利亚向发展部门提供资金，以开展亚太区域的能力建设工作，包括网络安全举措。澳大利亚是经合组织信息安全和隐私问题工作队的积极贡献者及前任主席，目前是参与该工作队网络安全战略比较分析工作的志愿国。澳大利亚是拟订和执行《首尔-墨尔本关于亚太国家合作反垃圾邮件的协定》和作为在打击垃圾邮件方面的著名国际执法和合作网络的《伦敦行动计划》的当然领头国。", "澳大利亚与其区域伙伴维持着协作关系，并致力于与他们一起工作。我们与本区域的其他国家在能力建设方面密切联系，以期实现一个可靠、有弹性和安全的网络空间。澳大利亚参与亚洲-太平洋经济合作组织电信和信息工作组的活动和东南亚国家联盟(东盟)区域论坛关于网络安全的工作。澳大利亚是亚洲-太平洋经济合作组织电信和信息工作组安全和繁荣问题指导小组的副召集国。澳大利亚目前正寻求担任东盟区域论坛工作计划下网络恐怖主义和跨国犯罪核心领域的共同牵头国。", "在业务层面上，国家计算机应急小组与全球各国的国家计算机应急小组组织保持着密切的工作关系。在澳大利亚，该小组积极参与并促进在全球一级分享可靠和及时信息，包括威胁和脆弱性信息，以确保维持对态势的了解并对在线威胁作出一致和协调的全球应对。该小组积极促进能力建设举措，特别是在亚太地区，包括加入亚太计算机应急小组。该小组认识到信息安全不受地域限制，因此还通过加入事故对应和安全小组论坛和国际观察和警报网络与其他伙伴密切合作。", "国际社会为加强全球一级的信息安全可能采取的措施", "包括澳大利亚在内的所有国家都需继续寻找能加强信息安全的传统和创新措施。要迎接网络安全方面的全球性挑战就必须加强在多边论坛的努力，以改善可互操作网络的安全。这包括在联合国和国际电联内所作的努力，以及在类似亚洲-太平洋经济合作组织这样的区域论坛和具有更具体主题的国际小组(如事故对应和安全小组论坛和国际观察和警报网络)内所作的努力。", "澳大利亚支持拟订关于网络空间负责任行为的国际原则，包括商定一套广泛的网络空间规范行为原则，以促进在网络方面进行更好的国际合作并加深信任，最终拟定商定的国际网络空间规范。澳大利亚作为国际社会的一员将继续支持通过双边和多边论坛在这一问题上取得进展，以帮助实现一个更安全、更具有弹性和更可靠的网络环境。", "国际社会为加强全球一级的信息安全可作出的具体努力包括：", "(a) 拟订全球标准，包括商定一套广泛的网络空间规范行为原则，以促进进行更好的国际合作并加深信任；", "(b) 扩大国际法律体系打击网络犯罪的能力，包括法律框架的一致性(例如，使更多的国家加入《欧洲委员会网络犯罪问题公约》，澳大利亚预计将在2011年底前达到其要求)，和加强执法合作，以使各国能有效制定国内法；", "(c) 发展和推广对态势认识、战略预警和事件应对方面的最佳做法，包括发展各国的国家计算机应急小组，以在各国间开展和协调这类活动；", "(d) 由经验丰富和机构健全的国家采取提高认识举措和开展能力建设活动，以协助发展中国家实现一个可造福于所有人的可靠、安全和有弹性的网络空间；", "(e) 采用更为一致的方法与行业结成伙伴关系，以拟订网络空间的行为导则，如澳大利亚因特网行业业务守则。", "有关国际概念", "现行国际法为预防来自各种行为者的信息安全威胁提供了一个保护框架。各种现行国际法原则可适用于网络空间的使用，包括各国主权平等原则和禁止使用武力和禁止侵略行为，以及国际人道主义法。需要在各国间、国际和区域论坛继续进行讨论，以更确切地确定这些原则对来源于网络领域的威胁的适用范围和适用性。", "格鲁吉亚", "[原件：英文] [2011年6月1日]", "就格鲁吉亚而言，信息安全问题在2008年8月之后得到了特别重视，因为当时俄罗斯联邦对格鲁吉亚展开了猛烈的分布式拒绝服务攻击。", "根据对这些事件的评估并鉴于近期正在迅速大规模发展电子政务项目和服务，因此信息安全成了国家安全概念中的一个重要方面。为改善对信息安全的监管，格鲁吉亚政府近年来一直在采取一些重大举措。", "2010年，格鲁吉亚司法部成立一个法律实体——数据交换机构，直接负责拟订和执行政府部门的信息安全政策。在成立数据交换机构之后，格鲁吉亚政府发展了可协调实现电子政务和信息安全的机构机制。", "数据交换机构在法律及其《章程》规定的职能框架内与格鲁吉亚司法部合作，执行和引入符合ISO 27000国际标准的信息安全政策。该机构还协调执行和引入国家和企业部门信息安全所需的机制或标准，特别是开展具有各种意义的活动。在这些活动中，最重要的一项活动就是每年举行的格鲁吉亚信息技术创新会议；该会议的议程总是与信息和网络安全有关，并得到该机构授权可拟订和执行有关提高公众对信息和网络安全问题认识的政策。", "就日常的网络安全问题而言，数据交换机构负责建立计算机应急小组及其运作；目前该小组在该机构之下发挥职能，管理格鲁吉亚网络空间的信息安全事件。该机构还监测格鲁吉亚政府网络的运作以保障其安全。", "该机构在信息和通信技术方面的职能还包括提高专业教育水平(以培训信息安全专才)、起草建议、监测安全和发放数据签名证书。在专业教育方面，该机构计划在国际捐助方(如欧洲联盟和世界银行)的帮助下开展一些特别项目。这些项目将确保使专业教育达到适当水准。至于数字签名安全，该机构将在民事登记局开始发放公民电子身份证(印有数字签名)时履行这一职能。", "除了作为信息安全牵头和协调机构的数据交换机构所开展的活动外，还应强调格鲁吉亚政府目前所采取的其他举措，而数据交换机构也积极参与了这些举措：", "(a) 在格鲁吉亚国家安全委员会之下成立了负责网络安全战略和行动计划的专家工作组(将在下阶段作出具体定义)；", "(b) 正在拟订一些立法倡议，包括行政法和国家保密法，计划在2011年提交议会。应特别提及数据交换机构现正拟订的关于“信息安全”的法案，计划在2011年提交议会审议；", "(c) 2010年，格鲁吉亚司法部和格鲁吉亚财政部在该机构的帮助下拟订了信息安全内部条例(政策和导则)，现正开始实施。计划在政府其他机构采取类似举措。", "德国", "[原件：英文] [2011年6月6日]", "近年来网络空间的安全态势发生了根本性变化。一方面，我们可以看到技术驱动的创新过程正在发挥作用：越来越多的业务流程管理实现了电子化和相互连通，有时直接或间接连上了因特网。信息技术系统的复杂性不断加深。创新周期越来越短。另一方面，有组织犯罪和其他非国家行为者正在不停地攻击信息技术网络、数据库和网站。在某些情况下，这类攻击产生的影响尚未得到实事求是的评估。", "正是出于这个原因，联邦政府在2011年2月通过了一个新的网络安全战略。该战略的核心就是保护关键基础设施。所有涉及网络安全问题的政府机关都要密切合作，并通过新设立的网络应对中心与其他机关和私营部门直接联系，以期快速侦测和分析重大信息技术事故，提出有关保护性措施的建议。至于政策，新成立的国家部长一级的网络安全委员会负责处理关键的网络安全问题和形成德国对这些问题的立场。", "这包括协调网络外交政策，包括外交、国防、经济和安全政策等各个方面。在网络空间的国际相互连通意味着必须在国际一级采取协调行动。因此，德国将在欧盟和国际组织大力倡导加强网络安全。", "鉴于信息技术的全球连通性，德国在其网络安全战略中倡导拟订广泛、无争议、具有政治约束力的网络空间国家行为规范。这些规范应得到国际社会大部分成员的接受，并应包括能建立信任和增强安全的措施。", "网络空间的信任和安全建设措施", "网络空间是一项公益物和一个公共空间。因此，我们必须从基础设施的弹性及系统和数据的完整性和故障安全性的角度来考虑网络空间的安全。既然是公共空间，各国就必须促进网络空间的安全，特别是针对犯罪和恶意活动的安全性，保护那些选择使用真实性工具的人免遭身份盗窃，确保数据和网络的完整性和保密性。", "网络空间是全球性的。要确保网络安全、执行权利和保护关键信息基础设施，国家就必须在国家一级并与国际伙伴合作作出重大努力。", "在此背景下，德国准备就一整套涉及网络空间内国家对国家行为的行为规范展开工作，特别包括信任、透明度和安全建设措施，并希望得到尽可能多的国家的签署。", "德国最近在2011年5月9日至10日举行的欧洲安全与合作组织(欧安组织)关于网络安全的会议上就这样一个关于国际规范的行为守则作了如下概述：", "(a) 确认关于数据和网络可用性、保密性、竞争性、完整性和真实性、隐私和知识产权保护的一般性原则；", "(b) 尊重保护关键基础设施的义务；", "(c) 加强旨在建立信任、减少风险措施、透明度和稳定的合作，具体做法是：", "• 交流与国际监管网络空间有关的国家战略、最佳做法和国家看法；", "• 交流对与网络空间使用有关的国际法律规范的国家看法；", "• 设立和通报联络点；", "• 设立预警机制和加强各国计算机应急小组之间的合作；", "• 将危机通信链升级以包含网络事故，支持拟订可促进建立稳健和安全的全球网络基础设施的技术建议；", "• 在打击恐怖主义的责任中包含交流对付非国家行为者的做法并加强有关合作；", "• 支持发展中国家的网络安全能力建设，为大型活动(如奥林匹克运动会)的网络安全支助工作拟订自愿措施。", "此外，我们认为有必要就下列方面展开辩论：", "在确定网络攻击的归属方面进行国际合作，因为网络攻击的归属通常很难追踪；国家对于从其领土上发动的网络攻击在得到有关这类攻击的通报之后仍不采取行动结束这类攻击所应承担的责任；国家在不促成网络空间的无法无天状态方面所应承担的责任，例如在知情的情况下容忍在其领土上储存以非法手段收集的个人数据。", "网络安全的军事层面", "由于军队在所有指挥层级都越来越依赖信息技术以掌控日益复杂的情况，对信息的保护及处理信息的手段已成为首要任务。", "但是，在军方的考虑中，信息安全面临的挑战不仅来自知道如何操纵武器实际摧毁信息基础设施的潜在对手，而且还来自不负责任的用户、技术故障、罪犯或单纯的意外事件。", "因此，需要作出的努力包括提高每一个用户的认识，确保信息技术供应链的可靠性，采取对应性防御措施以抵御网络攻击，以及建立一个具有整体弹性的信息技术构架。", "总之，需要进行全面风险管理，采取措施加强国家和全球层面上的信息安全。", "德国联邦国防军在国防军所有部门建立了有弹性的指挥和控制架构、安全技术和程序，以及信息技术安全组织，包括一个独立的计算机应急小组，在出现关键性信息技术运作故障时可进行干预。使个人能力和技术能力适应日益严重的威胁是一项永久性任务。", "德国联邦国防军与德国联邦内政部密切协作作出努力，大力支持加强北大西洋公约组织(北约)和欧盟的信息安全，并为此目的制定政策和建设能力。此外，德国联邦国防军与一些国家就政策层面和工作层面的信息安全问题进行定期交流。", "德国联邦国防军欢迎提出倡议，并与德国联邦政府其他部门就国际行动进行合作，以进一步保护全世界信息网络的可用性，例如拟订网络空间的自愿国际行为守则。", "北约的网络防御", "北约将网络安全定为新兴的关键性安全挑战之一。2010年11月在里斯本举行的北约首脑会议上经国家元首和政府首脑通过的《战略概念》指出：“网络攻击可达到一个威胁国家和欧洲-大西洋繁荣、安全和稳定的门槛”。", "国家元首和政府首脑在《首脑会议宣言》中给北约理事会规定了如下任务：“尽量利用现有的国际结构并根据对我们目前政策的审查结果，在2011年6月底前完成拟订北约深入的网络防御政策，并为执行这项政策起草一份行动计划”。", "作为新政策的第一步，北约国防部长于2011年3月通过了一个网络防御概念。", "该概念侧重于保护北约的网络和与北约网络相连或处理北约信息的成员国国家网络(包括拟订共同原则和标准，以确保在所有成员国内实现最低限度的网络防御)。为减少来自网络空间的全球性风险，北约打算与伙伴国、类似联合国和欧盟这样的有关国际机构、私营部门和学术界合作。", "德国欢迎北约就网络安全作出承诺并积极支持有关讨论。", "欧洲安全与合作组织的网络安全", "欧洲安全与合作组织讨论网络安全问题已经有好几年了。在2010年在阿斯塔纳举行的欧安组织首脑会议上，欧安组织56个与会国的国家元首和政府首脑强调，“在面临新兴的国际威胁时，必须实现目的和行动更大程度的统一”。《阿斯塔纳纪念性宣言》把网络威胁称为这些新兴的国际威胁中的一个威胁。", "德国积极参与了2011年5月9日至10日在维也纳举行的欧安组织全面应对网络安全：探索欧安组织未来作用的会议。在会议期间，讨论了有关欧安组织后续活动的具体建议。", "德国将继续支持欧安组织展开讨论，以探索欧安组织在网络安全领域的未来作用。", "希腊", "[原件：英文]", "[2011年6月6日]", "对信息安全问题的讨论比以往任何时候都更为广泛。现正考虑对目前网络和系统全球化所带来的威胁采取何种反制措施。在国家和国际上研究并采取了维护信息自由流动的措施。", "目前的国际和多国概念得到追踪和研究。需要就风险评估进行国际指导。网络防御问题也应得到讨论。在全球分享信息方面应维护国家在信息安全上的主权权利。", "应认识到，所有会员国都应继续向秘书长通报其对相关问题的看法和评估。在这方面，要注意以下几点：", "(a) 所有信息安全相关问题都应置于高度优先地位；", "(b) 跨越国家和国际边界研究和实行维护信息自由流动和规定必要程度的保密性、完整性、可用性的方法；", "(c) 应在国家和国际一级起草和商定有关建设和分享能力的网络连通性概念。应推行网络连通性风险评估并提供相关国际指导。此外，由于各国一个非常严重的关切问题就是需要采取网络防御措施，因此就需要提供一致性的国际指导，以促进合作、效率和经济效益。最后但并非最不重要的是，不能忽视对国家维护其主权和维持其信息基地的要求，起草的每一个概念都应考虑到这一点；", "(d) 国际社会为加强全球一级信息安全而可能采取的措施如下：", "㈠ 详细阐明并商定有关国际概念；", "㈡ 为统一的通用基础设施提出一个涵盖基本立法事项的指导计划，以为所有函件和短信的电子处理提供必要的信息安全，提供多种通信方式；", "㈢ 应统一多国联盟和小国家集团遵循的概念，并扩大至全球一级施行。对任何设计好的复杂措施进行工程分析远不及就威胁的具体性质及其对人类的不利影响达成一致意见更为重要，因为对手也可能会利用这种分析结果；", "㈣ 在进行上述所有工作的同时，应认识到，国家主权是任何全球化努力的基本参照物。应起草一个包含各种能反映所需的一体化程度假设情况的国际概念，以为国家信息交流网关提供定义，并作为在国家、多国和国际一级作出的所有努力的指南。", "哈萨克斯坦", "[原件：俄文]", "[2011年6月7日]", "为确保信息和通信技术的网络安全，哈萨克斯坦共和国于2010年成立了计算机应急小组。", "在这方面，从哈萨克斯坦网用户处收到的在哈萨克斯坦网域或由哈萨克斯坦服务器提供服务的网站所发现的任何有关病毒、安全代码、软件机器人系统或非法要求(色情、暴力、侵犯版权等)的信息将送交计算机应急小组进行分析。", "荷兰", "[原件：英文]", "[2011年6月6日]", "对信息安全问题的一般看法", "荷兰支持安全和可靠的信息和通信技术，支持保护一个能尊重人权的开放、自由的因特网。安全和可靠的信息和通信技术对我们的繁荣和福祉至关重要，是实现可持续经济增长的催化剂。", "信息和通信技术提供了机会，但也使我们的社会变得更为脆弱。威胁的跨国界性质使得国际合作必不可少。许多措施只有在得到国际共同执行或协调的情况下才能有效。在这方面，荷兰极为重视公共部门与私营部门的伙伴关系，以及使用信息和通信技术的用户的个人责任。", "国家一级为加强信息安全和促进这一领域的国际合作所作的努力", "荷兰正在国内和国际上作出努力，以建立一个安全的数字环境。在国家一级，荷兰政府于2011年2月提出了一个题为“通过合作得到加强”的国家网络安全战略。作为该战略的组成部分，政府将成立国家网络安全委员会，以确保在公共部门、私营部门和学术研究机构之间采取协作方法。政府还将设立国家网络安全中心，以确定趋势和威胁，并帮助管理事故和危机。中心的一个主要任务是根据来自公共和私营方面的信息进行网络威胁分析。中心将包括现有的政府计算机应急小组。", "在国际上，荷兰积极协助欧盟、北约、因特网治理论坛、国际电联和其他伙伴关系作出努力。荷兰促进在各网络安全中心(包括国家计算机应急小组组织)之间进行实务合作，加强国际观察和警报网络。网络犯罪迅速增多，这就需要进行有效执法以维持对数字社会的信心。关于执法工作，荷兰意图鼓励来自其他欧洲国家及欧洲以外国家的执法机构进行更多的跨界调查。荷兰是《欧洲委员会网络犯罪问题公约》的缔约方，并鼓励其他国家加入该公约。", "国际社会为加强全球一级的信息安全可能采取的措施", "荷兰认识到，必须就旨在实现安全使用网络空间的国家行为标准的拟订工作继续进行对话。荷兰愿意对这一对话作出积极贡献。荷兰的出发点是，建立一个能促进创新、刺激经济增长和保障基本自由的开放的因特网。", "荷兰认为，很有必要让私营部门和知识机构参与这一对话，并愿意与其他国家分享经验和最佳做法。", "要使网络空间更为安全和可靠，就必须在所有利益攸关方和各组织之间就知识和信息进行密集的国际交流。在施行现行国际法律框架方面的一致性是值得国际重视的另一个重要问题。", "美利坚合众国", "[原件：英文]", "[2011年6月7日]", "一. 导言", "信息和通信技术对于所有会员国的发展都至关重要。这些技术连接在一起创建了网络空间，有助于实现在2003年和2005年举行的信息社会世界首脑会议所设想的关于信息社会的共同愿景。信息和通信技术有益于日常生活的基本功能、商业及商品和服务的提供、研究、创新、创业，以及信息在个人、组织和政府之间的自由流动。这些技术是一项强大的新工具，促成电子政务，促进经济发展，便利提供人道主义援助，并使关键的民用、公共安全和国家安全基础设施发挥作用。此外，网络通信在减少国际了解和合作障碍方面所能发挥的潜在作用再怎样强调都不为过分。", "尽管对信息和通信技术的依赖日益加深，但与这种依赖性相连的风险也在增加。各种天然和人为的事件和活动威胁着国家关键基础设施、全球网络的可靠运作，威胁着运行于或储存在这些设施和网络中的信息的完整性。人为威胁的数量、复杂性和严重程度都在加大。有一些是来自国家方面的，但许多来自非国家行为者，涉及犯罪或恐怖活动。动机各异，从盗窃钱财或信息、扰乱竞争对手，到民族主义和将国家冲突的传统形式延伸到网络空间，不一而足。这些威胁行为者将个人、公司、国家关键基础设施和政府都当成目标，对各个国家和全球相连的整个国际社会的福祉和安全造成了严重后果。", "不管各国政府为保护其信息网络在国内采取何种国家措施，就减少信息和通信技术风险的战略进行国际协作对于确保所有国家的安全而言都必不可少。各国政府必须有信心，相信支持其国家安全和经济繁荣的网络是安全和有弹性的。实现可靠的信息和通信技术基础设施将确保所有国家都实现信息革命的潜力。", "这项任务并不容易。国际社会面临的挑战是，要维护一个既能促进效率、创新、经济繁荣和自由贸易同时又能促进安全、安保、公民自由权利和隐私权的环境。这项任务的困难因信息和通信技术的独特属性而难上加难：所有人都可利用、网络通常由私营部门而不是由政府拥有和营运。与传统武器不同的是，破坏性的信息技术工具是隐形的，无法看见的。对这类工具的使用可穿越许多国家，很难确定其起始点、身份和肇事者的赞助方。非国家行为者正不断发展能力，使国家或非国家行为者越来越有可能利用代理人参与网络空间的破坏活动。这些属性使传统战略，如类似用于军控的措施，失去控制或遏制威胁行为者的效力；因此，需要采用创造性的新方法来减少风险。尽管任务艰巨，但会员国仍须团结在共同目标之下，通过保障信息技术的安全和完整性来维护和加强信息技术可以作出的贡献。", "会员国的任务有两个方面：国内的和国际的。确保国家信息基础设施的安全是政府在国内与有关民间社会利益攸关方协调下必须领头担负的责任。同时，国内的努力应得到在为解决对网络化信息系统的各种威胁的跨国性质而制定的战略方面的国际协作的支持。这些努力应包括关于事故管理、减少和应对、跨国犯罪调查和起诉方面的合作；关于改善网络基础设施稳健性的技术建议；以及确认国际共享的行为规范，同时采取旨在加强稳定和减少误解风险的建立信任措施。", "二. 威胁、风险、脆弱性", "针对构成网络空间的系统网络和在网络空间中运行的信息的威胁是21世纪严重的全球挑战之一。国家和非国家行为者可通过信息和通信技术把普通公民、商业、关键工业基础设施和政府当作目标。信息和通信技术、因特网及其他基础设施的会集创造了前所未有的可使电信、电力、油管和炼油厂、金融网络和其他关键基础设施瘫痪的机会。", "信息技术的独特特点便利将其用于破坏活动，严重挑战力求减少风险的各国政府。与传统军事技术不同，构成网络空间的网络不是由政府垄断的，在许多情况下是由私营部门拥有和运营的。信息技术本身是广泛可用的技术，不具有固有的民用或军用性质，如何使用这类技术完全取决于使用者的动机。", "所有人都可免费获得可用于破坏的软件工具，至少可获得基础工具。只要掌握必要技能，任何人都可以开发更为复杂的方法。此外，这些工具变化迅速，可利用新发现的脆弱性。这类工具在传统意义上是看不见的，相当隐秘，可能带有易于模仿的隐性“签名”。由于因特网的性质，恶意代码在到达其目标之前可越过许多国家的领土，从而使确认其始发点的工作变得极为繁重、费时，往往需要大量跨国合作。即使发现了始发点，肇事者或赞助者的身份仍可能无迹可寻。因此，恶意行为者可以而且几乎正从地球任何地方进行秘密运作，并在很大程度上可逃脱惩罚。", "身份的模糊性因网络入侵动机的模糊性而变得更为复杂。有组织的犯罪分子和其他个人或团体可能为促进自身的利益而采取行动，但也有可能被国家和非国家行为者招募作为代理人。缺乏及时的高可信属性和哄骗的可能性可能对政府造成不确定性和混乱，从而加大在重大网络事故中危机不稳定性、误导反应和丧失升级控制的潜在可能。", "对网络空间的可靠运作构成威胁的主要行为者包括：", "(a) 犯罪分子。很多恶意工具起源于有组织的犯罪分子和黑客所作的创业努力。犯罪活动的复杂性和范围日益加大，突显了网络空间恶意活动在影响国家竞争力、导致普遍减弱对因特网用于商业和贸易的信心，甚至致使民用基础设施瘫痪方面所具有的潜力。这些活动的数量和范围都在不断加大。", "(b) 国家。有越来越多的传闻性公开报道，说国家正在发展和利用将国家冲突传统形式延伸至、利用或通过网络空间的能力。但是，有关在普遍认为是国家赞助的事件背后的来源或意图的确凿证据仍然无处可寻。通常的情况是，只能从涉及某一事件的目标、效果和其他旁证来推断肇事者的身份和动机。", "(c) 恐怖分子。恐怖分子目前尚不具有破坏信息网络或通过使用信息和通信技术实施具有物理效应的作业的能力，但不能排除今后出现这种能力的可能性。大多数专家认为，恐怖分子目前依赖信息和通信技术来招募人员、进行组织活动和筹集资金。因恐怖分子利用因特网而产生的具体威胁可能包括利用因特网来组织和展开具体的动能恐怖攻击。", "(d) 代理人。让人越来越感到关切的是出于金钱利益或民族主义或其他政治动机而代表其他人，不管是国家还是非国家行为者，从事在线恶意活动的个人或团体。据报告，“软件机器人大师”可向出价最高的人提供各种恶意服务。信息技术的独特属性向这类行为者提供了高度的匿名性，有效地掩盖了与赞助者的任何关系，使赞助者可作出听起来可信的否认。", "国家在应对这类威胁时所面临的挑战很艰巨。信息和通信技术的属性意味着，这些威胁行为者的每一个行动可能只能从其效果中才能看到。因此，无法及时得到肇事者的高可信身份属性(如果有的话)，是否能成功往往依赖高度的跨国合作。代理人的作用越来越大使分析属性的程序进一步复杂化，因为受害方不仅必须确认肇事者，而且还必须确认赞助者，这就使得这一挑战在今后变得更为麻烦。", "要迎接这类挑战，各国政府就需要在国内组织和领头作出努力，为通信和信息基础设施发展和部署具有弹性的分层防御，而不管威胁的来源在何方。同时，这些威胁的复杂跨国性使国际协作成为必要，以便在全球基础上实施解决各种风险的战略。", "三. 行为原则、规则和规范", "A. 国家在保证网络安全方面的责任", "过去10年中，会员国已经认识到本国有责任在国内采取系统性步骤，保护自己免受网络安全威胁，并确认有必要进行国际合作。联合国大会有5项决议提请注意各国政府可采取用于减少其安全风险的基本防御措施。虽然这些决议的目的是为了提高认识，但同时也为了网络安全而推动一些涉及个人和国家行为的有用规范：", "(a) 大会在关于打击非法滥用信息技术的第55/63(2000)号决议中强调，需要有现代化的有效国家法律来充分起诉网络犯罪并促进及时进行跨国调查合作；", "(b) 大会在第56/121号决议中特别提及国际和区域组织在打击高技术犯罪方面的工作，包括欧洲委员会在拟订《网络犯罪问题公约》方面的工作：", "联合国和其他组织一直在该领域展开密集活动。关注非法滥用因特网问题的联合国主要组织包括联合国毒品和犯罪问题办公室、预防犯罪和刑事司法委员会、联合国预防犯罪和刑事司法大会、国际电信联盟和其他组织；", "(c) 大会在第57/239号决议中确认需要创造全球网络安全文化，认识到政府有责任领导社会所有组成部分了解各自在网络安全方面的作用和责任，并强调指出信息社会所有参与者都必须解决的互补性要素；", "(d) 大会在第58/199号决议中特别强调会员国在为创造全球网络安全文化和保护关键信息基础设施所作努力时应考虑的行动。可将这些行动视作政府应采用的一整套规范，这些规范为促进国际协作减少风险提供了基本基础或前提；", "(e) 大会在第64/211号决议中邀请所有会员国利用所附的自我评估工具详细评估本国至今在上述领域及其他领域所作的努力，并分享那些可协助其他会员国作出努力的成功措施和最佳做法。", "B. 在敌对行动情况下可适用的规范", "尽管信息和通信技术的属性独特，但仍可以现行的国际法原则作为适当框架来确定和分析应用于制约敌对行动情况下网络空间使用的规则和规范。在这方面可考虑两个不同但相关的法律体系：诉诸战争权和战时法。前面一个体系提供的框架可用于考虑在网络空间发生的事件是否上升为可触发一国采用自卫权的武力使用水平。后一个体系提供的框架可用于确定应用于制约武装冲突情况下网络空间使用的规则。", "诉诸战争法。制约使用武力和自卫的法律框架的大部分内容来源于《联合国宪章》的三项规定：", "(a) 《宪章》第二条第四款规定：“各会员国在其国际关系上不得使用威胁或武力……，侵害任何…国家之领土完整或政治独立”；", "(b) 《宪章》第三十九条将安全理事会定为仲裁者，负责断定是否发生了威胁和平、破坏和平的情况或侵略行为，并要安全理事会提出建议或作出决定，以根据《宪章》第四十一条和第四十二条采取适当的对应措施；", "(c) 《宪章》第五十一条认可并加强了如下原则：“联合国任何会员国受武力攻击时，在安全理事会采取必要办法，以维持国际和平及安全以前，本宪章不得认为禁止行使单独或集体自卫之自然权利。”", "要就一项在网络空间发生的破坏活动是否构成可触发自卫权的武装攻击达成一个明确的法律结论可能会很困难。例如，当威胁行为者和动机不明、作用的结果也未直接造成大量死亡或实际破坏时，有可能会对是否发生了武装攻击作出不同的结论。但是，这种模糊不清和出现分歧的可能性并不意味着需要拟订一个专用于网络空间的新的法律框架。相反，它们只反映出在施行《宪章》时所出现的挑战，而这类挑战在许多情况下早已存在。然而，在某些情况下，在网络空间发生的一项破坏活动可能构成武装攻击。在这种情况下，应适用以下既定原则：", "(a) 对迫在眉睫或实际发生的武装攻击应用自卫权，不管攻击者是国家行为者还是非国家行为者；", "(b) 自卫时的武力使用必须限于为解决迫在眉睫或实际发生的武装攻击所必需的，并必须与所面临的威胁相对称；", "(c) 各国需采取一切必要措施，确保其领土不被其他国家或非国家行为者用于针对另外国家及其利益的武装活动的目的，包括策划、威胁、实施或为武装攻击提供物资支持。", "战时法。武装冲突法规定了适用于进行武装冲突的规则，即战时法，包括在武装冲突情况下信息技术工具的使用。特别是，武装冲突法的下列关键原则在判断武装冲突时网络攻击的合法性方面发挥重要作用：", "(a) 区分原则要求将攻击局限于合理的军事目标，民用物体不应成为攻击对象；", "(b) 对胡乱攻击的禁止包括禁止实施采用无法合理指向特定军事目标的作战手段或方法的攻击；", "(c) 对称性原则禁止实施预期可能造成平民生命附带损失、平民受伤害或民用物体受破坏并在程度上超过所预期的具体和直接军事优势的攻击。", "这些原则禁止攻击纯粹的民用基础设施，因为干扰或摧毁这些设施并不会带来有意义的军事优势。此外，在攻击一个军事目标之前必须评估附带损害的潜在性。换句话说，对信息技术攻击也必须做目标设定分析，就像传统上为使用动能(常规和战略)武器的攻击所作的分析一样。", "虽然上述原则已确立并适用于网络空间的情况，但在网络空间活动的情况下解释这些法律体系确实会出现新的独特挑战，需要在各国间进行协商与合作。这并非不寻常。当新技术得到开发时，它们经常给现行法律体系的应用带来挑战。", "C. 代理人的使用", "信息和通信技术的独特属性给各国带来了新的挑战，使用代理人从事破坏行动就是其中一个例子。通过代理人采取行动极大地提高了国家参与攻击而又可听起来可信地进行否认的能力。虽然现行国际法有关于使用雇佣军的规定，但是在网络空间使用代理人的做法引起了具有广泛影响的新的重大问题。各国需要共同努力，制订解决该问题的有效方法。", "D. 允许信息自由流动的责任", "有关言论自由和信息自由流动的权利载于《世界人权宣言》和《公民及政治权利国际公约》；这些权利普遍规定，除受某些限制外，每个人都有言论自由的权利，包括不受干扰地保持看法的自由，以及通过任何媒介和超越国界寻找、接收和传授信息的自由。这些原则已在众多的国际论坛上得到确认，包括大会、国际电信联盟和信息社会世界首脑会议等。", "E. 打击恐怖主义的责任", "现在至少有16项安全理事会决议呼吁各国打击恐怖主义。这些义务全面适用于恐怖分子或恐怖主义协助者利用网络空间招募人员、筹资、转移资金、购买武器或策划攻击的情况。所有国家都有义务在尊重其他国家主权及本国在允许信息自由流动方面的责任的情况下，分享有关在线恐怖主义融资、招募人员、策划和协助活动的信息，并采取应对行动。", "四. 透明性、稳定和减少风险及合作措施", "正如上文所概述的，会员国面临着管理一个高度多样化和复杂的威胁环境的挑战。过去10年中，国际上展开了打击网络犯罪威胁的广泛努力。美洲国家组织、亚洲-太平洋经济合作组织、西非国家经济共同体、非洲联盟和欧洲委员会等展开了调查和起诉网络犯罪方面的培训工作。通过《网络犯罪问题公约》及通过受害国之间的双边努力，在调查和起诉网络犯罪方面实现了广泛的国际合作；在应对犯罪活动对信息和通信技术的威胁时，国际合作仍然是最有效的方法。", "受到跨国关切的其他领域亦须得到类似的关注。这些领域包括因对与国家在网络空间的行为有关的国际规范缺乏共同理解而出现误解的风险，这将影响出现重大网络事件时的危机管理工作。这就需要拟订措施，以加强合作和建立信任，减少风险或加强透明性和稳定：", "透明性措施", "• 交流国家网络安全战略和最佳做法(已获得的经验教训)", "• 交流国家对关于使用网络空间的国际规范的看法", "• 交流专门负责网络安全的国家组织结构和联络点", "稳定和减少风险措施", "• 建立或更新通信链及相关协议，以纳入网络事件", "• 加强合作以应对有组织的非国家行为者(罪犯、恐怖分子、代理人)", "• 建立程序，以允许在国家计算机安全事件应对小组之间进行日常信息交流", "合作措施", "• 支持在较不发达国家进行网络安全方面的能力建设。", "[1]" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 93 of the provisional agenda*", "Developments in the field of information and telecommunications in the context of international security", "Developments in the field of information and telecommunications in the context of international security", "Report of the Secretary-General", "Contents", "Page\nI.Introduction 2II.Replies 2 received from \nGovernments \nAustralia 2\nGeorgia 7\nGermany 8\nGreece 11\nKazakhstan 12\nNetherlands 13UnitedStatesof 14 \nAmerica", "I. Introduction", "1. In paragraph 3 of its resolution 65/41, the General Assembly invited all Member States, taking into account the assessments and recommendations contained in the report of the Group of Governmental Experts on Developments in the Field of Information and Telecommunications in the Context of International Security,[1] to continue to inform the Secretary-General of their views and assessments on the following questions:", "(a) General appreciation of the issues of information security;", "(b) Efforts taken at the national level to strengthen information security and promote international cooperation in this field;", "(c) The content of the concepts mentioned in paragraph 2 of the resolution;", "(d) Possible measures that could be taken by the international community to strengthen information security at the global level.", "2. Pursuant to that request, on 16 March 2011, a note verbale was sent to Member States inviting them to provide information on the subject. The replies received are contained in section II below. Any additional replies received will be issued as addenda to the present report.", "II. Replies received from Governments", "Australia", "[Original: English] [31 May 2011]", "Australia welcomes the opportunity to submit this reply containing our views, pursuant to General Assembly resolution 65/41 on developments in the field of information and telecommunications in the context of international security.", "Australia aspires to be a world leader in cybersecurity. We recognize the importance and benefits of the advances in technology to the global digital economy and the security of all nations. Australia aims to maximize economic and security gains for all nations as a result of our expertise.", "As technologies have become more pervasive in our lives, Government, business and individuals have become increasingly dependent upon them for a variety of purposes and functions, ranging from online purchasing of goods and services, communicating with others, searching for information and managing finances through to controlling equipment in the mining and manufacturing industries. To maximize the benefits of the Internet and the digital economy, and to enhance cybersecurity around the globe, it is imperative nations work together to achieve a trusted, secure and resilient cyberspace. Australia strives to be a proactive and engaged player in enhancing cyberspace for all users — States, business and individuals.", "General appreciation of the issues of information security", "Australia recognizes cybersecurity as a top-tier national security priority. The global community continues to experience an increase in the scale, sophistication and successful perpetration of cybercrime. As the quantity and value of electronic information has increased, so too have the efforts of criminals and other malicious actors who have embraced the Internet as a more anonymous, convenient and profitable way of carrying on their activities.", "Confronting and managing these risks must be balanced against individual civil liberties, including the right to privacy, and the need to promote efficiency and innovation to ensure that Australia realizes the full potential of the digital economy.", "Australia’s, and each individual nation’s, national security, economic prosperity and social well-being are critically dependent upon the availability, integrity and confidentiality of a range of information and communications technologies. In response, the Australian Government has committed significant resources to proactively promote the maintenance of a trusted, secure and resilient electronic operating environment for the benefit of all users.", "While the Australian Government’s cybersecurity policy is primarily concerned with the availability, integrity and confidentiality of Australia’s information and communications technologies, it is coordinated with those of other related policies and programmes such as cybersafety, which is focused on protecting individuals, especially children, from offensive content, bullying, stalking or “grooming” online for the purposes of sexual exploitation.", "Efforts taken at the national level to strengthen information security and promote international cooperation in the field", "Domestic efforts to strengthen information security", "Australia recognizes that it must model best practice domestically to be able to promote international cooperation in cyberspace. Australia has a government-led, integrated approach to protecting and strengthening cybersecurity. In 2009, the Government released its inaugural cybersecurity strategy that articulates the overall aim and objectives of the Australian Government’s cybersecurity policy and sets out the strategic priorities that the Australian Government will pursue to achieve these objectives. The strategy also describes the key actions and measures that will be undertaken through a comprehensive body of work across the Australian Government to achieve these strategic priorities.", "The aim of Australia’s cybersecurity policy is to maintain a trusted, secure and resilient electronic operating environment that supports Australia’s national security and maximizes the benefits of the digital economy. Key initiatives of the strategy include the establishment of two mutually supporting organizations: a new national computer emergency response team and the Cyber Security Operations Centre. Established in 2010, the computer emergency response team provides a single point of contact for cybersecurity information for all Australians and Australian businesses and ensures that Australian Internet users have access to information on cyberthreats, vulnerabilities in their systems and information on how to better protect their information and communications technologies. The team maintains close working relationships with owners and operators of critical infrastructure and businesses that operate systems important to Australia’s national interest. It provides these businesses with targeted information about cybersecurity threats and vulnerability to assist in better protecting their information and communications technologies infrastructure. The operations centre, also established in 2010, provides the Australian Government with all-source cybersituational awareness and an enhanced ability to facilitate operational responses to cybersecurity events of national importance. The Centre identifies and analyses sophisticated cyberattacks and assists in responding to cyberevents across government and critical private sector systems and infrastructure.", "A key priority of the strategy is to educate and empower all Australians with the information, confidence and practical tools to protect themselves online. The strategy is guided by the principle of shared responsibility where all users, in enjoying the benefits of information and communications technologies, should take reasonable steps to secure their own systems, should exercise care in the communication and storage of sensitive information and have an obligation to respect the information and systems of other users. To enable individuals to play an active role in information security, it is essential individuals maintain an awareness and understanding of the cyberenvironment and its risks. To achieve this, Australia has an ongoing programme of awareness-raising, which includes a website for cybersecurity information for Australian home users and small businesses, including for those with limited cyberknowledge and skills (see www.staysmartonline.gov.au) and a cybersecurity awareness week conducted in partnership with business, consumer groups and community organizations. The awareness week helps Australians to understand cybersecurity risks and educates home and small business users on the simple steps they can take to protect their personal and financial information online. During the 2010 National Cyber Security Awareness Week around 150 government agencies, industry, community and consumer organizations partnered to deliver events and activities in metropolitan, regional and rural Australia. In 2011, the awareness week was held from 30 May to 4 June.", "In acknowledging that the security of cyberspace is a shared responsibility, the Australian Government has worked proactively with the Internet Industry Association to develop an innovative voluntary Internet service provider cybersecurity code of practice (the “icode”), which commenced in December 2010. The code provides a consistent approach for Australian Internet service providers to help inform, educate and protect their clients in relation to cybersecurity issues. Australia has presented on the successful implementation of the code and shared its lessons learned from developing this code in multilateral forums. Presentations have been made in the Organization for Economic Cooperation and Development (OECD) Working Party on Information Security and Privacy in December 2010, the Asia-Pacific Economic Cooperation (APEC) Telecommunications and Information Working Group and the Asia-Pacific Telecommunity. Australia is eager to share this code with other States, through bilateral capacity-building exercises and multilateral forums, to assist other States in better collaborating with Internet service providers and to make those providers more responsible for educating and protecting end-users.", "Promotion of international cooperation", "Australia gives high priority to international cooperation on cybersecurity. Given the transnational nature of the Internet, in which effective cybersecurity requires coordinated global action, Australia has adopted an active, multilayered approach to international engagement. This includes, among other things, engaging with foreign Governments and organizations bilaterally and via multilateral forums to help promote international best practice, share lessons, build capacity and foster a coordinated global approach to combating cybersecurity threats.", "Australia’s involvement in the United Nations includes co-sponsoring resolutions on the creation of a global culture of cybersecurity and taking stock of national efforts to protect critical information infrastructures, and on developments in the field of information and telecommunications in the context of international security. Australia has also responded to General Assembly resolution 64/211 by providing input on best practices for the protection of critical information infrastructure, including information and communications technologies, with a view to promoting global improvement in cybersecurity. Australia is a member of the International Telecommunication Union (ITU), and contributes to study groups under the Standardization and Development sectors. Australia provides funding to the Development sector for capacity-building work in the Asia and Pacific region, including cybersecurity initiatives. Australia is an active contributor to and the previous Chair of the OECD Working Party on Information Security and Privacy, and currently a volunteer country for the Working Party’s comparative analysis of cybersecurity strategies. Australia was an integral leader in the development and implementation of the Seoul-Melbourne Anti-Spam Agreement on cooperation between Asia-Pacific nations in countering spam and the London Action Plan, which is the pre-eminent international enforcement and cooperation network for combating spam.", "Australia enjoys a collaborative relationship and is committed to working with its regional partners. We are closely engaged with other countries in our region in building capacity to achieve a trusted, resilient and secure cyberspace. Australia participates in activities of the Asia-Pacific Economic Cooperation Telecommunications and Information Working Group (APEC TEL) and the Association of Southeast Asian Nations (ASEAN) Regional Forum work on cybersecurity. Australia is the deputy convenor for the APEC TEL Security and Prosperity Steering Group. Australia is currently seeking to co-lead the cyberterrorism and transnational crime core area under the ASEAN Regional Forum workplan.", "At an operational level, the computer emergency response team maintains close working relationships with national computer emergency response team organizations around the globe. In Australia, the team actively participates in and facilitates trusted and timely information sharing on a global level, including threat and vulnerability information, to ensure the maintenance of situational awareness and a consistent and coordinated global response to online threats. The team actively contributes to capacity-building initiatives, particularly in the Asia-Pacific region, including through its membership of the Asia-Pacific Computer Emergency Response Team. Recognizing that information security is not geographically limited, the team also works closely with other partners through its membership of the Forum of Incident Response and Security Teams and the International Watch and Warning Network.", "Possible measures that could be taken by the international community to strengthen information security at the global level", "All States, including Australia, need to continue to seek out both traditional and innovative measures to strengthen information security. The global challenge of cybersecurity requires an increased effort in multilateral forums to improve the security of interoperable networks. This includes efforts within the United Nations and the ITU, regional forums such as APEC and more subject specific international groups such as the Forum of Incident Response and Security Teams and the International Watch and Warning Network.", "Australia supports the development of international principles of responsible behaviour in cyberspace, including agreeing a broad set of principles for normative behaviour in cyberspace that will facilitate better international cooperation and promote trust in cyberspace and lead to the development of agreed international norms on cyberspace. Australia, as a member of the global community, will continue to support progress on this issue through bilateral and multilateral forums to help achieve a more secure, resilient and trusted cyberenvironment.", "Specific efforts that could be taken by the international community to strengthen information security at the global level include:", "(a) The development of global standards, including agreement to a broad set of international principles for normative behaviour in cyberspace to facilitate better international cooperation and promote trust;", "(b) Expansion of the international legal system’s capacity to combat cybercrime, including consistency in legal frameworks (for example, wider accession to the Council of Europe Cybercrime Convention, the requirements of which Australia anticipates to meet by the end of 2011), and enhancing law enforcement cooperation to allow countries to effectively institute domestic law;", "(c) The development and promotion of best practice in situational awareness and strategic warning and event response, including the development of national computer emergency response teams to conduct and coordinate these activities between all nations;", "(d) Awareness-raising initiatives and capacity-building exercises by experienced and established States to assist developing States to achieve a trusted, secure and resilient cyberspace for the benefit of all;", "(e) A more consistent approach to partnering with industry to develop guidelines around conduct in cyberspace, for example, the Australian Internet industry code of practice.", "Relevant international concepts", "Existing international law provides a framework for protection from information security threats arising from a variety of actors. A range of existing international legal principles may be applicable to the use of cyberspace, including the principles of sovereign equality of States and the prohibition on the use of force and acts of aggression, as well as international humanitarian law. Further discussion among States, in international and regional forums, is necessary to determine more precisely the scope and applicability of these principles to threats emanating from the cyber realm.", "Georgia", "[Original: English]", "[1 June 2011]", "In the context of Georgia, the information security issues were given particular attention after August 2008, when the Russian Federation carried out a heavy distributed denial-of-service attack against Georgia.", "Given the assessment of these events and under the recent rapid and large-scale development of e-governance projects and services, information security has become one of the significant aspects of the national security concept. For the improved regulation of information security, the Government of Georgia has been carrying out a number of significant initiatives in recent years.", "In 2010, a legal entity, the Data Exchange Agency, was established under the Ministry of Justice of Georgia, which is directly responsible for the development and implementation of information security policy in the Government sector. With the establishment of the Data Exchange Agency, the Government of Georgia has developed the institutional mechanism for coordinated realization of e-governance and information security.", "The Data Exchange Agency, within the framework of functions provided for by the law and its own charter, cooperates with the Ministry of Justice of Georgia in pursuing and introducing of an information security policy, which should conform to International Organization for Standardization (ISO) 27000 standard. The Agency also coordinates the enforcement and introduction of either mechanisms or standards necessary for information security in the State and business sectors, particularly by carrying out activities of various levels of significance. Out of these events, one the most important is the annual Georgian information technology innovations conference, the agenda of which always deals with information and cybersecurity; the conference also has the mandate of the Agency to develop and carry out the policy of public awareness enhancement regarding information and cybersecurity issues.", "In the context of everyday cybersecurity, the Data Exchange Agency is responsible for the establishment and operation of the computer emergency response team, which currently is functioning at the Agency with a view to managing the information security incidents in Georgia’s cyberspace. The Agency also monitors the functioning of the Georgian governmental network for the safeguarding of its security.", "The functions of the Agency, in the context of information and communication technologies, also provide for raising the levels of professional education (in order to train information security specialists), preparing proposals, monitoring security and issuing digital signature certificates. Given the sphere of professional education, the Agency plans to carry out a number of special projects with the help of international donors (such as the European Union (EU) and the World Bank). These projects will ensure the appropriate level of professional education; as for digital signature security, the Agency will perform this function upon the beginning of issuance of citizens electronic identity cards (bearing digital signatures) by the Civil Registry Agency.", "Besides the activity of the Data Exchange Agency, which is the leading and coordinating agency for information security, one should underline other initiatives carried out currently by the Government of Georgia, in which the Data Exchange Agency is actively engaged:", "(a) The expert working group, which is working on the cybersecurity strategy and action plan (defined concretely in the next part), has been established under the National Security Council of Georgia;", "(b) A number of legislative initiatives have been developing, including the administrative law and the law regulating State secrets, which are planned to be initiated at the Parliament of Georgia in 2011. One should make special mention of the Bill on information security, which is currently being developed by the Data Exchange Agency and is to be submitted for consideration by the Parliament in 2011;", "(c) In 2010, the Ministry of Justice and the Ministry of Finance of Georgia, with the help of the Agency, developed and are now introducing information security internal regulations (policy and guidelines). Similar initiatives are also expected to be implemented in other governmental institutions.", "Germany", "[Original: English] [6 June 2011]", "The security situation in cyberspace has fundamentally changed over recent years. On the one hand, we can see a technology-driven process of innovation at work, as more and more business processes are managed electronically and interconnected, sometimes directly or indirectly connected to the Internet. Information technology systems are constantly becoming more complex. Innovation cycles are getting shorter and shorter. On the other hand, organized crime and other non-state actors are attacking information technology networks, databases and websites. In some cases, these attacks are having impacts that have not yet been realistically assessed.", "For this reason, in February 2011 the Federal Government adopted a new cybersecurity strategy. The core of the strategy is critical infrastructure protection. All Government authorities that deal with cybersecurity issues are to work closely and directly with each other and with the private sector within a new cyber response centre to rapidly detect and analyse major information technology incidents and recommend protective measures. With regard to policy, the new Cyber Security Council at the State secretary level addresses key cybersecurity issues and Germany’s position on them.", "This includes coordinating cyber foreign policy, including aspects of foreign, defence, economic and security policy. International interconnections in cyberspace mean that coordinated action at the international level is essential. Within the EU and in international organizations, Germany will therefore strongly advocate greater cybersecurity.", "In its cybersecurity strategy, in view of the global interconnection of information technology, Germany advocates developing broad, non-contentious, politically binding norms of State behaviour in cyberspace. They should be acceptable to a large part of the international community and should include measures to build trust and increase security.", "Confidence and security-building measures in cyberspace", "Cyberspace is a public good and a public space. As such we have to consider cyberspace security in terms of the resilience of infrastructure as well as the integrity and failure safety of systems and data. Being a public space, States have to promote security in cyberspace, particularly regarding security against crime and malicious activities, by protecting those who choose to use authenticity tools against identity theft and securing the integrity and confidentiality of data and networks.", "Cyberspace is global by nature. Ensuring cybersecurity, enforcing rights and protecting critical information infrastructures require major efforts by the State both at the national level and in cooperation with international partners.", "Against this backdrop, Germany is ready to work on a set of behavioural norms addressing State-to-State behaviour in cyberspace, including, in particular, confidence, transparency- and security-building measures, to be signed by as many countries as possible.", "Germany outlined possible elements of such a code of conduct on international norms recently at the Organization for Security and Cooperation in Europe (OSCE) conference on cybersecurity, held on 9 and 10 May 2011, as follows:", "(a) Confirm the general principles of availability, confidentiality, competitiveness, integrity and authenticity of data and networks, privacy and protection of intellectual property rights;", "(b) Respect the obligation to protect critical infrastructures;", "(c) Enhance cooperation aiming at confidence-building, risk reducing measures, transparency and stability by:", "• Exchanges of national strategies, best practices and national perceptions referring to the international regulation of cyberspace;", "• The exchange of national views of international legal norms pertaining to the use of cyberspace;", "• The setup and notification of points of contact;", "• The setup of early warning mechanisms and the enhancement of cooperation between computer emergency response teams;", "• The upgrade of crisis communication links to encompass cyberincidents, the support of the development of technical recommendations that advance robust and secure global cyberinfrastructures;", "• The responsibility to combat terrorism comprising the exchange of practices and enhanced cooperation to address non-State actors;", "• The support of cybersecurity capacity-building in developing countries, and the development of voluntary measures for cybersecurity support to large-scale events (e.g. the Olympic Games).", "Moreover we see the necessity to start a debate on an international cooperation in the framework of attribution of cyberattacks, which are usually very difficult to trace, State responsibility for cyberattacks launched from their territory when States do nothing to end such attacks despite being informed about them and States’ responsibility not to facilitate areas of lawlessness in cyberspace, for example by knowingly tolerating the storage of illegally collected personal data on their territory.", "Military aspects of cybersecurity", "As military forces increasingly rely on information technology to master ever more complex scenarios at all levels of command, the protection of the information and the means to process it has become a first order task.", "However, in military thinking, information security is challenged not only by a potential adversary, in an operational understanding, using weaponry for the physical destruction of information infrastructure, but also by irresponsible users, malfunctioning technology, criminals or simply accidents.", "Hence, the efforts to be undertaken range from awareness-raising of each single user and securing the trustworthiness of the supply chain for information technology, to responsive defences to fend off cyberattacks and an overall resilient information technology architecture.", "In essence, a comprehensive risk management is required, with measures to strengthen information security on a national and global scale.", "At an early stage, the German armed forces (Bundeswehr) established resilient command and control architectures, security techniques and procedures as well as an information technology-security organization, encompassing all branches of the armed forces, and including an independent computer emergency response team with the capacity to intervene in case of critical disruptions to the operations of information technology. Adapting personal and technical abilities to the continually increasing level of threat is a perpetual task.", "The German armed forces are collaborating closely with the Federal German Ministry of the Interior in its efforts and strongly support the strengthening of information security in the North Atlantic Treaty Organization (NATO) and the EU and the formation of policies and capacities to this end. Furthermore, the armed forces hold regular exchanges with a number of countries in the context of information security, both at the policy and working levels.", "The German armed forces welcome initiatives and work together with other departments of the Federal German Government on international motions to further protect the utility of worldwide information networks, for example, the development of a voluntary international code of conduct in cyberspace.", "Cyberdefence in NATO", "Cybersecurity has been identified by NATO as one of the key emerging security challenges. The Strategic Concept adopted by Heads of State and Government at the NATO Summit, held in November 2010, in Lisbon, states that “cyber attacks ... can reach a threshold that threatens national and Euro-Atlantic prosperity, security and stability”.", "Heads of State and Government tasked the North Atlantic Council, in the Summit Declaration, “to develop, drawing notably on existing international structures and on the basis of a review of our current policy, a NATO in-depth cyberdefence policy by June 2011 and to prepare an action plan for its implementation”.", "As a first step to the new policy, NATO Defence Ministers adopted a concept on cyberdefence in March 2011.", "The concept focuses on the protection of NATO networks and national networks of member States that are connected to NATO networks or process NATO information (including the development of common principles and criteria to ensure a minimum level of cyberdefence in all member States). To reduce the global risks emanating from cyberspace, NATO intends to cooperate with partner nations, relevant international bodies such as the United Nations and the European Union, the private sector and academia.", "Germany welcomes NATO commitment regarding cybersecurity and actively supports the discussions.", "Cybersecurity in the Organization for Security and Cooperation in Europe", "The Organization for Security and Cooperation in Europe has been discussing cybersecurity issues for several years. At the OSCE Summit held in 2010, in Astana, the Heads of State and Government of the 56 participating States of the OSCE underlined that ‘‘greater unity of purpose and action in facing emerging transnational threats” must be achieved. The Astana Commemorative Declaration mentioned cyberthreats as one of these emerging transnational threats.", "Germany actively participated in the OSCE conference on a comprehensive approach to cybersecurity: “Exploring the future OSCE role”, held on 9 and 10 May 2011, in Vienna. In the course of the conference, concrete recommendations for OSCE follow-up activities were discussed.", "Germany will continue to actively support OSCE discussions on exploring the future OSCE role in the field of cybersecurity.", "Greece", "[Original: English] [6 June 2011]", "Information security issues have been more extensively addressed than in the past. Counter-measures to the threats inherent in the current globalization of networks and systems are being considered. Measures to preserve the free flow of information are studied and applied in both the national and international contexts.", "Current international and multinational concepts are followed and studied. International guidance on risk assessment is needed. Cyberdefence should also be addressed. National sovereignty rights regarding information security in global information sharing should be maintained.", "It is understood that all Member States should continue to inform the Secretary-General of their views and assessments on the corresponding questions. In this respect the following points are noted:", "(a) All information security-related issues are given high priority;", "(b) Ways to preserve the free flow of information and provide for the required degrees of confidentiality, integrity and availability are studied and applied across national and international boundaries;", "(c) The concepts for the interconnection of networks that provide for capabilities enabled and shared at both the national and international levels should be drafted and agreed. Risk assessment for the interconnection of networks must prevail and relevant international guidance should be available. Further to that, and since a very serious concern for every nation has been the need to take measures for its cyberdefence, coherent international guidance is needed for cooperation, efficiency and economy. Last but not least, the requirement for a nation to preserve its sovereignty and maintain its own base of information cannot be overlooked and every concept drafted should account for that;", "(d) Possible measures to be taken by the international community to strengthen information security at the global level are the following:", "(i) Relevant international concepts should be detailed and agreed;", "(ii) A guidance plan for a harmonized generic infrastructure, covering basic legislation matters, could be proposed, in order to deliver the required information security for the electronic handling of all correspondence and messaging, providing multiple ways of communication;", "(iii) Concepts followed by multinational alliances and groupings of small nations should be harmonized and expanded to be applicable at the global level. The agreement to specify the threat and its negative effect on humanity could be more important than the engineering of any sophisticated measures devised, since they could also be used by adversaries;", "(iv) In parallel to all of the above, the nation’s sovereignty should be understood to be the basic reference for every attempt of globalization. An international concept for defining the national information exchange gateways, with scenarios reflecting the desired level of integration, should be drafted and used as a guide, for all efforts at the national, multinational and international levels.", "Kazakhstan", "[Original: Russian] [7 June 2011]", "In 2010, the Republic of Kazakhstan set up a computer emergency response team to ensure cybersecurity for information and communications technologies.", "In this connection, any information received from Kaznet users on viruses, security codes, bot systems or violations of legal requirements (pornography, violence, copyright infringements and so on) detected in the kz domain or on sites hosted by Kazkhstan is sent to the computer emergency response team for analysis.", "Netherlands", "[Original: English] [6 June 2011]", "General appreciation of the issues of information security", "The Netherlands supports safe and reliable information and communications technologies and the protection of an open, free Internet and respect for human rights. Safe and reliable information and communications technologies are essential for our prosperity and well-being and serve as a catalyst for sustainable economic growth.", "Information and communications technologies offer opportunities, but also make our society more vulnerable. The cross-border nature of threats makes international cooperation crucial. Many measures will be effective only if implemented or coordinated internationally. In this connection, the Netherlands attaches great importance to public-private partnerships and individual responsibility on the part of all users of information and communications technologies.", "Efforts taken at the national level to strengthen information security and promote international cooperation in the field", "The Netherlands is working nationally and internationally for a secure digital environment. At the national level, in February 2011, the Dutch Government presented a national cybersecurity strategy, entitled “Strength through cooperation”. In July 2011, as part of the strategy, the Government will establish a national cybersecurity council to ensure a collaborative approach between the public sector, the private sector and academic and research institutions. The Government will also establish a national cybersecurity centre to identify trends and threats and help manage incidents and crises. A major task of the centre will be to conduct cyberthreat analyses based on information from public and private parties. The centre will include the existing Government computer emergency response team.", "Internationally, the Netherlands contributes actively to the efforts of EU, NATO, the Internet Governance Forum, ITU and other partnerships. The Netherlands promotes practical cooperation between cybersecurity centres (including computer emergency response team organizations) and a strengthening of the International Watch and Warning Network. The rapid growth in cybercrime calls for effective enforcement to maintain confidence in the digital society. As to enforcement, the Netherlands aims to encourage more cross-border investigation with enforcement agencies from other European countries, and beyond. The Netherlands is a party to the Council of Europe’s Convention on Cybercrime and encourages others to accede to this convention.", "Possible measures that could be taken by the international community to strengthen information security at the global level", "The Netherlands realizes the importance of continuing dialogue on the development of standards of State behaviour aimed at the safe use of cyberspace. It is keen to contribute actively to this dialogue. The Netherlands’ starting point is an open Internet that promotes innovation, stimulates economic growth and safeguards fundamental freedoms.", "The Netherlands attaches great importance to involving the private sector and knowledge institutions in this dialogue and is keen to share experience and best practices with others. The intensive international exchange of knowledge and information among all stakeholders and organizations is essential for making cyberspace more secure and reliable. Consistency in the application of existing international legal frameworks is another important issue meriting international attention.", "United States of America", "[Original: English] [7 June 2011]", "I. Introduction", "Information and communications technologies are crucial to the development of all Member States. Linked together to create a cyberspace, these technologies help to realize the common vision of an information society as envisaged at the World Summit on the Information Society, held in 2003 and 2005. Information and communications technologies contribute to the essential functions of daily life, to commerce and the provision of goods and services, research, innovation, entrepreneurship, and to the free flow of information among individuals, organizations and Governments. They are a powerful new tool, allowing e‑government, promoting economic development, facilitating the delivery of humanitarian assistance and enabling critical civil, public safety and national security infrastructures. Moreover, the promise that networked communications offer to reduce barriers to international understanding and cooperation cannot be overstated.", "Even as reliance on information and communications technologies grows, risks associated with this dependency grow as well. A diverse range of events and activities, natural and man-made, threaten the reliable functioning of critical national infrastructures, global networks and the integrity of the information that travels over or is stored within them. Man-made threats are increasing in number, sophistication and gravity. Some are State-based, but many come from non-State actors and involve criminal or terrorist activity. Motivations vary, from the theft of money or information, or the disruption of competitors, to nationalism and the extension of traditional forms of State conflict into cyberspace. These threat actors target individuals, corporations, critical national infrastructures and Governments alike, and their effects carry significant consequences for the welfare and security of individual nations and the globally linked international community as a whole.", "Whatever national steps Governments may take domestically to protect their information networks, international collaboration on strategies to reduce risks to information and communications technologies is essential to ensure the security of all. Governments must have confidence that the networks that support their national security and economic prosperity are safe and resilient. Achieving a trusted infrastructure for information and communications technologies will ensure that all achieve the potential of the information revolution.", "That task will not be easy. The international community faces the challenge of maintaining an environment that promotes efficiency, innovation, economic prosperity and free trade while also promoting safety, security, civil liberties and privacy rights. The difficulty of the task is compounded by the unique attributes of information and communications technologies. Accessible to all, networks are often owned and operated by the private sector, rather than by Governments. Unlike traditional weapons, disruptive information technology tools are stealthy and cannot be seen. Their use can be routed through many nations, with the origin, identity and sponsorship of the perpetrator difficult to determine. Increasingly, non-State actors are developing capabilities that raise the possibility of States or non-State actors using proxies to engage in disruptive activities in cyberspace. These attributes make traditional strategies, such as measures similar to those used for arms control, ineffective in controlling or constraining threat actors and therefore, creative new approaches are required to mitigate the risks. Notwithstanding the difficulty of the task, Member States must unite in the common goal of preserving and enhancing the contribution that information technologies make by assuring their security and integrity.", "The tasks of Member States are twofold: domestic and international. Securing national information infrastructures is a responsibility Governments must lead on domestically, in coordination with relevant civil society stakeholders. At the same time, domestic efforts should be supported by international collaboration on strategies that address the transnational nature of the various threats to networked information systems. These efforts should include cooperation on incident management, mitigation and response; transnational criminal investigation and prosecution; technical recommendations to improve the robustness of cyberinfrastructure; and affirmation of internationally shared norms of behaviour supported by confidence-building measures designed to enhance stability and reduce risks of misperception.", "II. Threats, risks, vulnerabilities", "Threats to the network of systems that together constitute cyberspace, and the information that travels over them, is one of the serious global challenges of the twenty-first century. State and non-State actors can target ordinary citizens, commerce, critical industrial infrastructures and Governments through information and communications technologies. The convergence between information and communications technologies, the Internet and other infrastructures creates unprecedented opportunities to cripple telecommunications, electrical power, pipelines and refineries, financial networks and other critical infrastructures.", "The unique characteristics of information technology facilitate its use for disruptive activities and severely challenge Governments that seek to reduce risk. Unlike traditional military technologies, the networks that constitute cyberspace are not the monopoly of Governments, but are in many cases owned and operated by the private sector. Information technology itself is a widely available technology that is neither inherently civil nor military in nature, where its use depends exclusively on the motivation of the user.", "Software tools used for disruption, at least in their basics, are freely available to all. More sophisticated approaches can be developed by anyone with the requisite skill. Moreover, these tools evolve rapidly to take advantage of newly discovered vulnerabilities. Such tools are not visible in the conventional sense, are quite stealthy and may have latent “signatures” that can be easily mimicked. Because of the nature of the Internet, malicious code can be routed through many national territories before delivery to target, making identification of their origin onerous, time-consuming and often requiring substantial transnational cooperation. Even if their origin is discovered, the identity of the perpetrator or the sponsors can remain elusive. Consequently, malicious actors can and do operate in secrecy, with substantial impunity, from virtually anywhere on the planet.", "This obscurity of identity is compounded by an obscurity of the motive underlying an intrusion in cyberspace. Organized criminals and other individuals or groups may act to advance their own interests but also can be enlisted to serve as proxies by both State and non-State actors alike. The lack of timely, high-confidence attribution and the possibility of “spoofing” can create uncertainty and confusion for Governments, thus increasing the potential for crisis instability, misdirected responses and loss of escalation control during major cyberincidents.", "The primary actors that together constitute threats to the reliable functioning of cyberspace include:", "(a) Criminals. Many of the malicious tools originate in the entrepreneurial efforts of organized criminals and hackers. The growing sophistication and scope of criminal activity highlight the potential for malicious activity in cyberspace to affect national competitiveness, to cause a general erosion of trust in the use of the Internet for commerce and trade, even to cripple civil infrastructure. The volume and scope of such activities are increasing;", "(b) States. There is increased anecdotal public reporting that States are developing and using capabilities that extend traditional forms of state conflict into, using, or through cyberspace. However, conclusive evidence regarding the source or intentions behind events commonly assumed to be State-sponsored remains elusive. As is often the case, the identity and motivation of the perpetrator(s) can only be inferred from the target, effects and other circumstantial evidence surrounding an incident;", "(c) Terrorists. Terrorist capability to compromise information networks or to execute operations with physical effects through the use of information and communications technologies is currently lacking, although the possibility that such capabilities may emerge in the future cannot be ruled out. Most experts agree that, currently, terrorists rely on information and communications technologies to recruit, to organize and to solicit funding. Specific threats arising from terrorist use of the Internet may include use of the Internet for organizing and carrying out a specific kinetic terrorist attack;", "(d) Proxies. Of increasing concern are individuals or groups who engage in malicious online activities on behalf of others, whether State or non-State actors, for financial gain or for nationalist or other political motivation. So-called “bot-masters” are reported to offer various malicious services to the highest bidder. The unique attributes of information technology offer a high degree of anonymity to such actors and effectively obscure any relationship to a sponsor, offering the sponsor plausible deniability.", "The challenges States face in addressing such threats are formidable. The attributes of information and communications technologies mean that the actions of each of these threat actors are likely visible only in their effects. Thus, high-confidence attribution of identity to perpetrators cannot be achieved in a timely manner, if ever, and success often depends on a high degree of transnational cooperation. The increasing role of proxies further complicates the process of attribution, as an affected party must identify not only the perpetrator but also the sponsor, promising to make this challenge even more troublesome in the future.", "Such challenges require that national Governments organize and lead domestic efforts to develop and deploy resilient, layered defences for communications and information infrastructures, regardless of the source of the threat. At the same time, the complex transnational nature of these threats requires international collaboration on strategies to address risks on a global basis.", "III. Principles, rules and norms of behaviour", "A. Responsibilities of States in assuring cybersecurity", "Over the past decade, Member States have recognized their national responsibility to take systematic domestic steps to defend themselves from cybersecurity threats and have affirmed the need for international cooperation. Five General Assembly resolutions have drawn attention to essential defensive measures that Governments can perform to reduce risks to their security. While intended to raise awareness, these resolutions nonetheless advance some useful norms for individual and State behaviour in the interest of cybersecurity:", "(a) Resolution 55/63 on combating the criminal misuse of information technologies, in which the General Assembly underscores the need to have modern effective national laws to adequately prosecute cybercrime and facilitate timely transnational investigative cooperation;", "(b) Resolution 56/21, in which the General Assembly specifically notes the work of international and regional organizations in combating high-technology crime, including the work of the Council of Europe in elaborating the Convention on Cybercrime:", "There has been intensive activity by the United Nations and other organizations in this area. United Nations organizations that principally focus on criminal misuse of the Internet include the United Nations Office on Drugs and Crime, the Commission on Crime Prevention and Criminal Justice, the United Nations Congress on Crime Prevention and Criminal Justice, the International Telecommunication Union and others;", "(c) Resolution 57/239, in which the General Assembly affirms the need for the creation of a global culture of cybersecurity, recognizes the responsibility of Governments to lead all elements of society to understand their roles and responsibilities with regard to cybersecurity, and highlights complementary elements that all participants in the information society must address;", "(d) Resolution 58/199, in which the General Assembly focuses in particular on actions that Member States should consider in their efforts to create a global culture of cybersecurity and to protect critical information infrastructures. These too can be considered a set of norms to which Governments should ascribe, and they provide an essential basis or precursor in order to facilitate international collaboration on risk reduction;", "(e) Resolution 64/211, in which the General Assembly invited all Member States to take detailed stock of their national cybersecurity efforts to date, in the above areas as well as others, using an annexed self-assessment tool, and to share those successful measures and best practices that could assist other Member States in their efforts.", "B. Norms applicable in the context of hostilities", "Despite the unique attributes of information and communications technologies, existing principles of international law serve as the appropriate framework within which to identify and analyse the rules and norms of behaviour that should govern the use of cyberspace in connection with hostilities. There are two distinct but related bodies of law to consider in this regard: jus ad bellum and jus in bello. The first provides the framework for considering whether an incident in cyberspace rises to the level of a use of force triggering a nation’s right to self-defence. The second provides the framework for identifying the rules governing the use of cyberspace in the context of an armed conflict.", "Jus ad bellum. Much of the legal framework governing the use of force and self-defence is derived from three provisions of the Charter of the United Nations:", "(a) Article 2(4) of the Charter provides that “[a]ll Members shall refrain in their international relations from the threat or use of force against the territorial integrity or political independence of any state …”;", "(b) Article 39 of the Charter establishes the Security Council as the arbiter of whether a threat to the peace, breaches of the peace, or acts of aggression have occurred, and charges the Security Council with making recommendations or decisions as to what measures under Articles 41 or 42 of the Charter are appropriate in response;", "(c) Article 51 of the Charter recognizes and reinforces the principle that “[n]othing in the present Charter shall impair the right of individual or collective self-defence if an armed attack occurs against a Member of the United Nations, until the Security Council has taken measures necessary to maintain international peace and security”.", "It may be difficult to reach a definitive legal conclusion as to whether a disruptive activity in cyberspace constitutes an armed attack triggering the right to self-defence. For example, where the threat actor and the motive are unknown, and effects result that do not directly cause substantial death or physical destruction, it may be possible to reach differing conclusions about whether an armed attack has occurred. However, such ambiguities and room for disagreement do not suggest the need for a new legal framework specific to cyberspace. Instead, they simply reflect the challenges in applying the Charter framework that already exists in many contexts. Nevertheless, under some circumstances, a disruptive activity in cyberspace could constitute an armed attack. In that context, the following established principles would apply:", "(a) The right of self-defence against an imminent or actual armed attack applies whether the attacker is a State actor or a non-State actor;", "(b) The use of force in self-defence must be limited to what is necessary to address an imminent or actual armed attack and must be proportionate to the threat that is faced;", "(c) States are required to take all necessary measures to ensure that their territories are not used by other States or non-State actors for purposes of armed activities, including planning, threatening, perpetrating or providing material support for armed attacks against other States and their interests.", "Jus in bello. The law of armed conflict set forth the rules, known as jus in bello, that apply to the conduct of armed conflict, including the use of information technology tools in the context of an armed conflict. In particular, the following key principles of the law of armed conflict would play an important role in judging the legality of cyberattacks during an armed conflict:", "(a) The principle of distinction requires attacks to be limited to legitimate military objectives and that civilian objects shall not be the object of attack;", "(b) The prohibition on indiscriminate attacks includes a prohibition on attacks that employ a means or method of warfare that cannot be reasonably directed at a specific military objective;", "(c) The principle of proportionality prohibits attacks that may be expected to cause incidental loss to civilian life, injury to civilians, or damage to civilian objects, which would be excessive in relation to the concrete and direct military advantage anticipated.", "These principles prohibit attacks on purely civilian infrastructure, the disruption or destruction of which would produce no meaningful military advantage. In addition, the potential for collateral damage would have to be assessed before attacking a military target. In other words, targeting analysis would have to be conducted for information technology attacks just as it traditionally has been conducted for attacks using kinetic (conventional and strategic) weapons.", "While the principles above are well-established and apply in the context of cyberspace, it is also true that interpreting these bodies of law in the context of activities in cyberspace can present new and unique challenges that will require consultation and cooperation among nations. This is not unusual. When new technologies are developed, they often present challenges for the application of existing bodies of law.", "C. The use of proxies", "The use of proxies to conduct disruptive operations is an example of an area where the unique attributes of information and communications technologies present new challenges for States. Acting through proxies significantly increases States’ ability to engage in attacks with plausible deniability. While existing international law has provisions governing the use of mercenaries, the use of proxies in cyberspace raises new and significant issues with wide-ranging implications. States will need to work together to develop effective solutions to this problem.", "D. Responsibility to allow free flow of information", "The rights to freedom of expression and the free flow of information are embodied in the Universal Declaration of Human Rights and the International Covenant on Civil and Political Rights, which generally provide, subject to certain limitations, that everyone has the right to freedom of expression, including the freedom to hold opinions without interference and to seek, receive and impart information through any media and regardless of frontiers. These principles have been affirmed in numerous international forums, including the General Assembly, the International Telecommunication Union and the World Summit on the Information Society, among others.", "E. Responsibility to combat terrorism", "At least 16 existing Security Council resolutions call on States to combat terrorism. These obligations apply fully when terrorists or terrorist facilitators use cyberspace to recruit, raise funds, move money, acquire weapons or plan attacks. All States are obliged to share information about, and to take action against, online terrorist financing, recruitment, planning and facilitation activities, while respecting the sovereignty of other States and their own responsibilities to allow the free flow of information.", "IV. Transparency, stability and risk reduction and cooperative measures", "As outlined above, Member States face the challenge of managing a highly varied and complex threat environment. Over the last decade, extensive efforts to combat the threat of cybercrime have been conducted internationally. Efforts in training in the investigation and prosecution of cybercrime have been taken up in the Organization of American States, the Asia-Pacific Economic Cooperation, the Economic Community of West African States, the African Union and the Council of Europe, among others. Extensive international cooperation in the investigation and prosecution of cybercrime has been accomplished through the Convention on Cybercrime, as well as through bilateral efforts between affected countries, and continues to be the most effective way of dealing with the threat to information and communications technologies by criminal activity.", "Other areas of transnational concern have yet to receive similar attention. These include risks of misperception resulting from a lack of shared understanding regarding international norms pertaining to State behaviour in cyberspace, which could affect crisis management in the event of major cyberevents. This argues for the elaboration of measures designed to enhance cooperation and build confidence, reduce risk or enhance transparency and stability:", "Transparency measures", "• Exchanges of national cybersecurity strategies and best practices (lessons learned)", "• Exchanges of national views of international norms governing the use of cyberspace", "• Exchanges of national organizational structures devoted to cybersecurity and points of contact.", "Stability and risk reduction measures", "• Establishing or upgrading communications links and associated protocols to encompass cyberincidents", "• Enhancing cooperation to address organized non-State actors (criminals, terrorists, proxies)", "• Establishing procedures to permit routine exchange of information between national computer security incident response teams.", "Cooperative measures", "• Support cybersecurity capacity-building in less developed nations.", "[1] A/65/201." ]

[ "Sixty-sixth session", "Item 93 of the provisional agenda*", "Developments in the field of information and telecommunications in the context of international security", "Developments in the field of information and telecommunications in the context of international security", "Report of the Secretary-General", "Contents", "2. Replies received from Governments", "A/66/150.", "Introduction", "1. In operative paragraph 3 of its resolution 65/41, the General Assembly invited all Member States to continue to inform the Secretary-General of their views and assessments on the following questions, taking into account the assessments and recommendations contained in the report of the Group of Governmental Experts on Developments in the Field of Information and Telecommunications in the Context of International Security:", "(a) General appreciation of the issues of information security;", "(b) Efforts taken at the national level to strengthen information security and promote international cooperation in this field;", "(c) The content of the concepts referred to in paragraph 2 of the resolution;", "(d) Possible measures by the international community to enhance information security at the global level.", "2. Pursuant to that request, a note verbale was sent to Member States on 16 March 2011 requesting information on the subject. The replies received are contained in section II below. Any further replies received will be issued as addenda to the present report.", "Replies received from Governments", "Australia", "[Original: English] [31 May 2011]", "Australia welcomes the opportunity to present our views in this response to General Assembly resolution 65/41 on developments in the field of information and telecommunications in the context of international security.", "Australia wants to be a world leader in cybersecurity. We recognize the importance and benefits of technological progress for the global digital economy and for the security of all countries. Australia seeks to leverage its expertise to maximize economic and security gains for all countries.", "As technology becomes more and more embedded in our lives, Governments, businesses and individuals become increasingly dependent on technology for various purposes and functions, such as online purchase of goods and services, communication, information and financial management, and even control of equipment in mining and manufacturing. For the benefits of the Internet and the digital economy to be maximized and global cybersecurity enhanced, countries must work together to create a reliable, secure and resilient cyberspace. Australia strives to be an active participant in enhancing cyberspace for all users — States, businesses and individuals.", "General appreciation of the issues of information security", "Australia recognizes that cybersecurity is among the highest national security priorities. The international community continues to experience the growing scale, complexity and number of successful cybercrimes. As the volume and value of electronic information increases, so does the efforts of criminals and other malicious actors, who see the Internet as a more subtle, convenient and profitable way to carry out their activities.", "These risks must be faced and managed in a way that balances the civil liberties of individuals, including the right to privacy, and promotes efficiency and innovation to ensure that Australia realizes all the potential of the digital economy.", "Australia and the national security, economic prosperity and social well-being of each country are inextricably linked to the availability, integrity and confidentiality of information and communication technologies. Accordingly, the Australian Government has invested considerable resources in actively promoting the maintenance of a reliable, safe and resilient electronic operating environment for the benefit of all users.", "While the Australian Government ' s Cybersecurity Policy focuses mainly on the availability, integrity and confidentiality of ICT in Australia, it is coordinated with other relevant policies and programmes, such as Cybersecurity, which focuses on protecting individuals, especially children, from offensive content, bullying, online stalking or seduction for sexual exploitation.", "Efforts taken at the national level to strengthen information security and promote international cooperation in this field", "Domestic efforts to strengthen information security", "Australia recognizes that promoting international cooperation in cyberspace requires domestic modelling of best practices. Australia has implemented a comprehensive, government-led approach to the protection and enhancement of cybersecurity. In 2009, the Government released its first Cybersecurity Strategy, which sets out the goals and targets of the Australian Government ' s Cybersecurity Policy and sets out the strategic priorities that the Australian Government will accomplish to achieve these goals. The strategy also describes key actions and measures to be taken by the Australian Government in its overall efforts to achieve these strategic priorities.", "The goal of the Australian Cybersecurity Policy is to maintain a reliable, safe and resilient electronic operating environment that supports Australia ' s national security and maximizes the benefits of the digital economy. Key initiatives of the strategy include the establishment of two mutually supportive organizations: a new national computer emergency response team and a network security operations centre. The National Computer Emergency Response Team was established in 2010 to provide a single point of contact on cybersecurity information for all Australians and Australian businesses and to ensure that Internet users in Australia have access to information on cyberthreats, the vulnerability of their systems and information on how to better protect their ICT. The National Computer Emergency Response Team maintains a close working relationship with the owners and operators of key infrastructure and businesses that operate systems of great importance to Australia ' s national interests. The Group provides these enterprises with targeted information on cybersecurity threats and vulnerabilities to help better protect their ICT infrastructure. Also established in 2010, the Operations Centre provides the Australian Government with all source network postures and enhances its ability to facilitate operational responses to cybersecurity incidents of national importance. The Centre identifies and analyses complex cyberattacks and assists in responding to cyber incidents that occur in government and key private sector systems and infrastructure.", "A key priority of the strategy is to educate and arm all Australians with information, confidence and practical tools so that they can protect themselves on the Internet. The guiding principle of the strategy is the principle of shared responsibility that all users, while enjoying the benefits of ICT, should take reasonable steps to protect the security of their systems, be careful in the exchange and storage of sensitive information and have an obligation to respect the information and systems of other users. To enable individuals to play an active role in the area of information security, individuals must know and understand the network environment and its risks. To achieve this goal, Australia is currently implementing an awareness-raising programme, which includes a Cybersecurity Information website for Australian family users and small businesses, including those with limited knowledge and skills in the network (see www.staysmartonline.gov.au), and a Cybersecurity Awareness Week in partnership with business, consumer groups and community-based organizations. Awareness Week helps Australians understand cybersecurity risks and teaches families and small business users simple steps to protect their online personal and financial information. During the 2010 National Cybersecurity Awareness Week, approximately 150 government agencies, industries, communities and consumer organizations organized events in Australia ' s cities, regions and villages. In 2011, the Awareness Week was held from 30 May to 4 June.", "Recognizing that cybersecurity is a shared responsibility, the Australian Government has taken the initiative to work with the Internet Industry Association to develop an innovative voluntary code of practice on cybersecurity for Internet service providers, which was launched in December 2010. The Code of Practice provides an Australian Internet service provider with a consistent approach to providing information, education and protection to its customers on cybersecurity. Australia presented the successful implementation of the Code of Practice in multilateral forums and shared lessons learned from its development. Presentations were made at the meeting of the Organization for Economic Cooperation and Development (OECD) Information Security Task Force in December 2010, the Asia-Pacific Economic Cooperation Working Group on Telecommunications and Information and the Asia-Pacific Telecommunity meeting. Australia is keen to share this code with other countries through bilateral capacity-building activities and multilateral forums to assist other countries to better collaborate with ISPs and to make ISPs more accountable in educating and protecting end users.", "Promoting international cooperation", "Australia attaches high priority to international cooperation on cybersecurity. Given the transnational nature of the Internet, effective cybersecurity requires coordinated global action, and Australia has taken a proactive and multidimensional approach to international engagement. This includes, inter alia, engaging foreign Governments and organizations bilaterally and through multilateral forums to help promote international best practices, share lessons learned, build capacity and promote a coordinated global approach to addressing cybersecurity threats.", "Australia ' s engagement at the United Nations includes co-sponsoring resolutions on creating a global culture of cybersecurity and assessing national efforts to protect critical information infrastructures, as well as developments in the field of information and telecommunications in the context of international security. In response to General Assembly resolution 64/211, Australia has also provided its views on best practices to protect critical information infrastructures, including information and communication technologies, to contribute to improving global cybersecurity. Australia is a member of the International Telecommunication Union (ITU) and contributes to the study group of the standardization and development sector. Australia provides funding to the development sector for capacity-building in the Asia-Pacific region, including cybersecurity initiatives. Australia is an active contributor and former Chair of the OECD Task Force on Information Security and Privacy and is currently a volunteer country participating in the Task Force ' s comparative analysis of cybersecurity strategies. Australia is a natural leader in the development and implementation of the Seoul-Melburn Agreement on Asia-Pacific Cooperation against Spam and the London Action Plan as a well-known international law enforcement and cooperation network in combating spam.", "Australia maintains a collaborative relationship with its regional partners and is committed to working with them. We are closely associated with other countries in the region in the area of capacity-building with a view to achieving a reliable, resilient and secure cyberspace. Australia participates in the Asia-Pacific Economic Cooperation Working Group on Telecommunications and Information and in the work of the Association of Southeast Asian Nations (ASEAN) Regional Forum on cybersecurity. Australia is the vice-convenor of the Steering Group on Security and Prosperity of the Asia-Pacific Economic Cooperation Working Group on Telecommunications and Information. Australia is currently seeking to co-lead the core areas of cyberterrorism and transnational crime under the ARF workplan.", "At the operational level, the national computer emergency response teams maintain a close working relationship with national computer emergency response team organizations in countries around the globe. In Australia, the Group actively participates in and facilitates the sharing of reliable and timely information at the global level, including threat and vulnerability information, to ensure that situational awareness is maintained and a coherent and coordinated global response to online threats is achieved. The Group actively promotes capacity-building initiatives, particularly in the Asia-Pacific region, including membership in the Asia-Pacific Computer Emergency Response Team. Recognizing that information security is not geographically restricted, the Panel also works closely with other partners through its membership in the Incident Response and Security Group Forum and the International Watch and Alert Network.", "Possible measures by the international community to strengthen information security at the global level", "All countries, including Australia, need to continue to look for traditional and innovative measures to enhance information security. Meeting the global challenge of cybersecurity requires strengthening efforts in multilateral forums to improve the security of interoperability networks. This includes efforts within the United Nations and ITU, as well as in regional forums such as the Asia-Pacific Economic Cooperation and international groups with more specific themes, such as the Incident Response and Security Group Forum and the International Watch and Alert Network.", "Australia supports the development of international principles on responsible behaviour in cyberspace, including the agreement on a broad set of principles for regulating behaviour in cyberspace, to promote better international cooperation and confidence in networking, and ultimately to develop an agreed international regulation of cyberspace. Australia, as a member of the international community, will continue to support progress on this issue through bilateral and multilateral forums to help achieve a safer, more resilient and more reliable network environment.", "Specific efforts that the international community can make to strengthen information security at the global level include:", "(a) Developing global standards, including agreement on a broad set of principles for regulating behaviour in cyberspace, in order to promote better international cooperation and greater trust;", "(b) Expanding the capacity of the international legal system to combat cybercrime, including the consistency of legal frameworks (e.g., increasing the number of States acceding to the Council of Europe Convention on Cybercrime, which Australia expects to meet by the end of 2011), and strengthening law enforcement cooperation to enable States to effectively enact domestic legislation;", "(c) Develop and promote best practices in situational awareness, strategic early warning and incident response, including the development of national computer emergency response teams, to develop and coordinate such activities among countries;", "(d) Awareness-raising initiatives and capacity-building activities to assist developing countries in achieving a reliable, safe and resilient cyberspace for the benefit of all, by experienced and institutionally sound countries;", "(e) A more consistent approach to partnership with industry to develop guidelines for behaviour in cyberspace, such as the Australian Internet Industry Code of Practice.", "Relevant international concepts", "Existing international law provides a protective framework for the prevention of information security threats from various actors. Various existing principles of international law could be applied to the use of cyberspace, including the principle of the sovereign equality of States and the prohibition of the use of force and acts of aggression, as well as international humanitarian law. Discussions need to continue among States, international and regional forums to determine more precisely the scope and applicability of these principles to threats originating in the network domain.", "Georgia", "[Original: English] [1 June 2011]", "In the case of Georgia, the issue of information security was given special attention after August 2008, when the Russian Federation launched a violent distributed denial-of-service attack on Georgia.", "Based on an assessment of these events and in view of the rapid and large-scale development of e-government projects and services in the recent past, information security has become an important aspect of the concept of national security. The Government of Georgia has been undertaking a number of major initiatives in recent years to improve the regulation of information security.", "In 2010, the Ministry of Justice of Georgia established a legal entity, the Data Exchange Agency, which is directly responsible for the development and implementation of the information security policy in the government sector. Following the establishment of the Data Exchange Agency, the Government of Georgia has developed institutional mechanisms for the coordination of e-government and information security.", "The data exchange bodies cooperate with the Ministry of Justice of Georgia in the implementation and introduction of an information security policy in accordance with the international standards of ISO 27000 within the framework of the functions specified in the Law and its Statute. It also coordinates the implementation and introduction of the mechanisms or standards required for information security in the State and business sectors, in particular the implementation of activities of various significance. One of the most important of these activities is the annual Conference on Information Technology Innovation in Georgia, the agenda of which is always related to information and network security and which is mandated by the Agency to develop and implement policies to raise public awareness on information and cybersecurity issues.", "As far as day-to-day cybersecurity issues are concerned, the Data Exchange Agency is responsible for the establishment and operation of the Computer Emergency Response Team, which currently functions under the Agency to manage information security incidents in cyberspace in Georgia. The Agency also monitors the functioning of the Georgian government network to ensure its security.", "Its functions in the area of information and communication technology also include raising the level of professional education (to train information security specialists), drafting recommendations, monitoring security and issuing data signature certificates. In the area of professional education, the Agency plans to undertake special projects with the help of international donors, such as the European Union and the World Bank. These projects will ensure an appropriate level of professional education. With regard to digital signature security, this function will be carried out by the Civil Registry Office when the issuance of an electronic civil identity card (with a digital signature) begins.", "In addition to the activities carried out as the lead and coordinating body for data exchange in information security, emphasis should be placed on other initiatives currently undertaken by the Government of Georgia, in which the data exchange agencies are actively involved:", "(a) The establishment of an expert working group under the National Security Council of Georgia on a strategy and action plan for cybersecurity (specific definitions will be provided at the next stage);", "(b) A number of legislative initiatives, including an administrative law and a law on State secrecy, are under preparation and are scheduled to be submitted to Parliament in 2011. Special mention should be made of the bill on “information security” currently being prepared by the data exchange agency, which is scheduled to be submitted to Parliament in 2011;", "(c) In 2010, the Ministry of Justice and the Ministry of Finance of Georgia, with the assistance of the Agency, prepared internal regulations (policies and guidelines) on information security, which are now being implemented. Similar initiatives are planned in other government agencies.", "Germany", "[6 June 2011]", "The security posture of cyberspace has changed fundamentally in recent years. On the one hand, we can see that technology-driven innovation processes are working: more and more business process management is electronic and interconnected, sometimes directly or indirectly linked to the Internet. The complexity of information technology systems is increasing. The innovation cycle is becoming shorter. On the other hand, organized crime and other non-State actors are constantly attacking information technology networks, databases and websites. In some cases, the impact of such attacks has not been realistically assessed.", "It is for this reason that the Federal Government adopted a new cybersecurity strategy in February 2011. At the heart of the strategy is the protection of critical infrastructure. All government agencies involved in cybersecurity are required to work closely together and to make direct contact with other agencies and the private sector through the newly established Network Response Centre, with a view to rapidly detecting and analysing major IT accidents and recommending protective measures. As for policy, the newly established National Council for Cybersecurity, at the ministerial level, deals with key cybersecurity issues and shapes Germany ' s position on these issues.", "This includes the coordination of cyber-foreign policies, including foreign, defence, economic and security policies. International connectivity in cyberspace means that concerted action must be taken at the international level. Germany will therefore strongly advocate for greater cybersecurity in the EU and international organizations.", "In view of the global connectivity of information technology, Germany has advocated in its cybersecurity strategy the development of broad, non-controversial and politically binding norms of national behaviour in cyberspace. These norms should be accepted by the majority of the international community and should include confidence-building and security-enhancing measures.", "Confidence- and security-building measures in cyberspace", "Cyberspace is a public good and a public space. We must therefore consider cybersecurity in terms of the resilience of infrastructure and the integrity and failure security of systems and data. Since it is a public space, States must promote the security of cyberspace, especially with regard to criminal and malicious activities, protect those who choose to use authentic tools from identity theft and ensure the integrity and confidentiality of data and networks.", "Cyberspace is global. Ensuring cybersecurity, enforcement of rights and protection of critical information infrastructures requires significant national efforts and cooperation with international partners.", "In that context, Germany was prepared to work on a set of norms of conduct for States in cyberspace, including, in particular, confidence-building, transparency and security-building measures, and hoped to receive as many signatures as possible.", "Germany recently outlined such a code of conduct on international norms at the Organization for Security and Cooperation in Europe (OSCE) Conference on Cybersecurity, held from 9 to 10 May 2011, as follows:", "(a) To recognize the general principles of data and network availability, confidentiality, competitiveness, integrity and authenticity, privacy and intellectual property protection;", "(b) Respect for the obligation to protect critical infrastructure;", "(c) To strengthen cooperation aimed at confidence-building, risk reduction measures, transparency and stability by:", "• Exchange of national strategies, best practices and national perspectives related to international regulation of cyberspace;", "• Exchange of national views on international legal norms related to the use of cyberspace;", "• Establishment and communication of focal points;", "• Establishing early warning mechanisms and strengthening cooperation among national computer emergency response teams;", "• Upgrading the crisis communication chain to include cyberaccidents and supporting the development of technical recommendations that could contribute to a robust and secure global network infrastructure;", "• Include in its responsibility to combat terrorism an exchange of practices and enhanced cooperation against non-State actors;", "• Support capacity-building for cybersecurity in developing countries and develop voluntary measures for cybersecurity support in large-scale events, such as the Olympic Games.", "In addition, we deem it necessary to debate:", "International cooperation in determining the attribution of cyberattacks is often difficult to trace; the responsibility of States for cyberattacks carried out from their territories, after having been informed of such attacks, to take no action to put an end to such attacks; and the responsibility of States not to contribute to the lawlessness of cyberspace, for example by knowingly condoning the storage on their territories of personal data collected by illegal means.", "Military aspects of cybersecurity", "As the military increasingly relies on information technology at all levels of command to manage increasingly complex situations, the protection of information and the means to process it have become a priority.", "However, in military considerations, the challenge to information security arises not only from potential opponents who know how to manipulate weapons to physically destroy information infrastructure, but also from irresponsible users, technical failures, criminals or mere accidents.", "Therefore, efforts need to include raising awareness among every user, ensuring the reliability of the information technology supply chain, implementing counter-defense measures against cyberattacks and establishing a fully resilient information technology architecture.", "Overall, comprehensive risk management and measures to strengthen information security at the national and global levels are needed.", "The German Federal Defence Forces have established flexible command and control structures, security techniques and procedures in all branches of the Defence Forces, as well as information technology security organizations, including an independent computer emergency response team, to intervene in the event of critical information technology malfunctions. Adapting individual and technical capacities to the growing threat is a permanent task.", "The efforts of the German Federal Defence Forces, in close collaboration with the German Federal Ministry of the Interior, strongly support the strengthening of information security in the North Atlantic Treaty Organization (NATO) and the European Union, as well as policy development and capacity-building for this purpose. In addition, the German Federal Defence Force has regular exchanges with a number of States on information security issues at both the policy and working levels.", "The German Federal Defence Forces welcomed initiatives and cooperated with other German Federal Government departments on international action to further protect the availability of information networks worldwide, such as the development of a voluntary international code of conduct for cyberspace.", "NATO Cyber Defense", "NATO has identified cybersecurity as one of the key emerging security challenges. The Strategic Concept adopted by the Heads of State and Government at the NATO Summit held in Lisbon in November 2010 states that “cyber attacks can reach a threshold that threatens the prosperity, security and stability of nations and the Euro-Atlantic Ocean”.", "In the Summit Declaration, the Heads of State and Government assigned to the NATO Council the following mandate: “to make maximum use of existing international structures and, on the basis of the review of our current policy, to complete the elaboration of the NATO in-depth cyberdefence policy by June 2011 and to draft an action plan for its implementation”.", "As a first step in the new policy, the NATO Defence Minister adopted a cyberdefence concept in March 2011.", "The concept focuses on the protection of NATO networks and national networks of member States connected to or processing NATO information (including the development of common principles and standards to ensure minimum cyberdefence within all member States). To reduce global risks from cyberspace, NATO intends to work with partner countries, relevant international institutions such as the United Nations and the EU, the private sector and academia.", "Germany welcomes NATO ' s commitment and active support for discussions on cybersecurity.", "Cybersecurity in the Organization for Security and Cooperation in Europe", "The Organization for Security and Cooperation in Europe has been discussing cybersecurity for several years. At the OSCE Summit in Astana in 2010, the heads of State and Government of the 56 OSCE participating States stressed “the need for greater unity of purpose and action in the face of emerging international threats”. The Astana Memorial Declaration describes cyberthreats as one of these emerging international threats.", "Germany actively participated in the OSCE Conference on a Comprehensive Response to Cybersecurity: Exploring the Future Role of OSCE, held in Vienna from 9 to 10 May 2011. Specific proposals for OSCE follow-up activities were discussed during the meeting.", "Germany will continue to support OSCE discussions to explore the future role of OSCE in the area of cybersecurity.", "Greece", "[Original: English]", "[6 June 2011]", "The discussion on information security is more extensive than ever. Consideration is being given to counter-measureing the current threats posed by the globalization of networks and systems. Measures to safeguard the free flow of information have been studied and adopted at the national and international levels.", "Current international and multinational concepts are tracked and studied. International guidance on risk assessment is needed. Cyberdefence should also be discussed. The sovereign right of States to information security should be upheld in the global sharing of information.", "It should be recognized that all Member States should continue to inform the Secretary-General of their views and assessments on relevant issues. In this regard, the following points should be noted:", "(a) All information security-related issues should be given high priority;", "(b) To study and implement methods for maintaining the free flow of information and providing for the necessary degree of confidentiality, integrity and usability across national and international borders;", "(c) The concept of network connectivity for capacity-building and sharing should be drafted and agreed upon at the national and international levels. Network connectivity risk assessments and relevant international guidance should be promoted. Moreover, as a very serious concern of States is the need for cyberdefence measures, there is a need for coherent international guidance to promote cooperation, efficiency and economic efficiency. Last but not least, the requirement that States maintain their sovereignty and maintain their information base cannot be ignored, and every concept drafted should take this into account;", "(d) Possible measures by the international community to strengthen information security at the global level are as follows:", "(i) To elaborate and agree on relevant international concepts;", "(ii) To propose a guidance plan for a unified common infrastructure covering essential legislative matters to provide the necessary information security and multiple means of communication for the electronic processing of all communications and text messages;", "(iii) The concepts followed by multinational alliances and small groups of countries should be harmonized and extended to the global level. An engineering analysis of any complex measures designed is far less important than agreement on the specific nature of the threat and its adverse effects on human beings, as it may also be used by opponents;", "(iv) In doing all the above, it should be recognized that national sovereignty is the basic reference for any globalization effort. An international concept that would reflect the required level of integration scenarios should be drafted to provide a definition of the national information exchange gateway and serve as a guide for all efforts undertaken at the national, multinational and international levels.", "Kazakhstan", "[Original: Russian]", "[7 June 2011]", "To ensure cybersecurity in information and communication technologies, the Computer Emergency Response Team was established in 2010.", "In this regard, any information on viruses, security codes, software robotic systems or illegal requirements (pornography, violence, copyright infringement, etc.) found in the Kazakhstan network domain or on websites serviced by the Kazakhstan server will be sent to the Computer Emergency Response Team for analysis.", "Netherlands", "[Original: English]", "[6 June 2011]", "General appreciation of the issues of information security", "The Netherlands supports safe and reliable information and communication technologies and the protection of an open and free Internet that respects human rights. Safe and reliable information and communication technologies are essential to our prosperity and well-being and are a catalyst for sustainable economic growth.", "ICT offers opportunities, but also makes our societies more vulnerable. The cross-border nature of the threat makes international cooperation essential. Many measures can be effective only if they are jointly implemented or coordinated internationally. In that regard, the Netherlands attached great importance to public-private partnerships and to the personal responsibility of users of ICT.", "Efforts taken at the national level to strengthen information security and promote international cooperation in this field", "The Netherlands is making national and international efforts to create a secure digital environment. At the national level, in February 2011, the Government of the Netherlands presented a national cybersecurity strategy entitled “Strengthening through cooperation”. As part of the strategy, the Government will establish a national cybersecurity committee to ensure a collaborative approach between the public sector, the private sector and academic research institutions. The Government will also establish a national cybersecurity centre to identify trends and threats and help manage accidents and crises. One of the main tasks of the Centre is to conduct cyberthreat analysis based on information from both public and private sources. The Centre will include the existing Government Computer Emergency Response Team.", "Internationally, the Netherlands actively contributes to the efforts of the EU, NATO, the Internet Governance Forum, ITU and other partnerships. The Netherlands promotes practical cooperation among the various cybersecurity centres, including the National Computer Emergency Response Team, to strengthen the international observation and alert network. The rapid increase in cybercrime required effective law enforcement to maintain confidence in the digital community. With regard to law enforcement, the Netherlands intends to encourage more cross-border investigations by law enforcement agencies from other European and non-European countries. The Netherlands is a party to the Council of Europe Convention on Cybercrime and encourages other States to accede to it.", "Possible measures by the international community to strengthen information security at the global level", "The Netherlands recognizes the importance of continuing dialogue on the development of national standards of conduct aimed at the safe use of cyberspace. The Netherlands is ready to contribute actively to this dialogue. The starting point for the Netherlands is an open Internet that promotes innovation, stimulates economic growth and guarantees fundamental freedoms.", "The Netherlands believes that it is important to engage the private sector and knowledge institutions in this dialogue and is willing to share experiences and best practices with other countries.", "For cyberspace to be more secure and reliable, there must be an intensive international exchange of knowledge and information between all stakeholders and organizations. Coherence in the implementation of the existing international legal framework is another important issue that deserves international attention.", "United States of America", "[Original: English]", "[7 June 2011]", "Introduction", "Information and communication technologies are essential for the development of all Member States. Together, these technologies create cyberspace and contribute to the realization of a common vision of the information society as envisaged at the World Summit on the Information Society in 2003 and 2005. Information and communication technologies (ICTs) contribute to the provision of basic functions of daily life, business and goods and services, research, innovation, entrepreneurship and the free flow of information among individuals, organizations and Governments. These technologies are a powerful new tool for e-government, economic development, the facilitation of humanitarian assistance and the functioning of critical civil, public safety and national security infrastructure. Moreover, the potential role of cybercommunication in reducing barriers to international understanding and cooperation cannot be overemphasized.", "Despite increasing reliance on ICT, the risks associated with this dependence are also increasing. Natural and man-made events and activities threaten the reliable functioning of critical national infrastructure, global networks and the integrity of information that operates or is stored in those facilities and networks. Man-made threats are increasing in number, complexity and severity. Some come from State sources, but many come from non-State actors and involve criminal or terrorist activities. Motives vary from stealing money or information, disturbing competitors, to nationalism and extending traditional forms of State conflict into cyberspace. The targeting of individuals, corporations, key national infrastructure and Governments by those threatening actors has serious consequences for the well-being and security of individual countries and the entire international community, which is globally linked.", "Whatever national measures Governments take to protect their information networks at the national level, international collaboration on ICT risk reduction strategies is essential to ensure the security of all countries. Governments must be confident that the networks that support their national security and economic prosperity are secure and resilient. Achieving a reliable ICT infrastructure will ensure that all countries realize the potential of the information revolution.", "The task is not easy. The challenge for the international community is to preserve an environment that promotes efficiency, innovation, economic prosperity and free trade while promoting safety, security, civil liberties and privacy. The difficulty of this task is compounded by the unique nature of ICT: it is accessible to all, and networks are usually owned and operated by the private sector rather than Governments. Unlike traditional weapons, destructive information technology tools are invisible and invisible. The use of such tools can travel through many countries and it is difficult to identify their starting points, identities and sponsors of perpetrators. Non-State actors are developing their capabilities, making it increasingly possible for State or non-State actors to use agents to engage in sabotage activities in cyberspace. These attributes make traditional strategies, such as measures similar to those used in arms control, ineffective in controlling or containing threats; therefore, creative new approaches to risk reduction are needed. Despite the magnitude of the task, Member States must remain united in their common goal of preserving and enhancing the contribution that information technology can make by safeguarding its security and integrity.", "The mandates of Member States are twofold: domestic and international. Ensuring the security of the national information infrastructure is the responsibility of the Government, in coordination with relevant civil society stakeholders at the national level. At the same time, domestic efforts should be supported by international collaboration on strategies to address the transnational nature of threats to networked information systems. These efforts should include cooperation on incident management, mitigation and response, transnational crime investigation and prosecution; technical recommendations to improve the soundness of the network infrastructure; and the recognition of internationally shared norms of conduct, together with confidence-building measures aimed at enhancing stability and reducing the risk of misunderstanding.", "Threats, risks, vulnerabilities", "The threat against the network of systems that make up cyberspace and the information that operates in cyberspace is one of the major global challenges of the twenty-first century. States and non-State actors can target ordinary citizens, business, critical industrial infrastructure and government through ICT. The convergence of information and communications technology, the Internet and other infrastructure has created unprecedented opportunities to paralyse telecommunications, electricity, pipelines and refineries, financial networks and other critical infrastructure.", "The unique characteristics of information technology facilitate its use in destructive activities and pose a serious challenge to Governments seeking to reduce risks. Unlike traditional military technologies, the networks that make up cyberspace are not monopolized by Governments and in many cases owned and operated by the private sector. Information technologies themselves are widely available and do not have an inherent civilian or military character, and how they are used depends entirely on the motivation of the users.", "Software tools that can be used for destruction are available free to all, at least as basic tools. With the necessary skills, anyone can develop more sophisticated methods. In addition, these tools are rapidly evolving and can take advantage of newly identified vulnerabilities. Such tools are traditionally invisible, rather secretive, and may have hidden “signatures” that are easy to imitate. Owing to the nature of the Internet, malicious codes can cross the territory of many countries before reaching their targets, making the identification of their origin extremely onerous and time-consuming, often requiring extensive transnational cooperation. Even if the origin is discovered, the identity of the perpetrator or sponsor may remain unknown. As a result, malicious actors can and are operating clandestinely from anywhere on Earth and, to a large extent, with impunity.", "The ambiguity of identity is complicated by the ambiguity of the motives for cyber-invasion. Organized criminals and other individuals or groups may act for their own benefit, but may also be recruited as agents by State and non-State actors. The lack of high-level, timely and credible attributes and the potential for deception may create uncertainty and confusion for Governments, thus increasing the potential for crisis instability, misleading responses and loss of upgrading control in major cyberaccidents.", "The main actors that threaten the reliable functioning of cyberspace include:", "(a) Criminals. Many malicious instruments originate from entrepreneurial efforts by organized criminals and hackers. The growing complexity and scope of criminal activities highlight the potential of malicious activities in cyberspace to affect the competitiveness of States, lead to a general erosion of confidence in the use of the Internet for commerce and trade and even to paralyse civilian infrastructure. The number and scope of these activities are increasing.", "(b) States. Anecdotal public reporting is increasing that States are developing and using the capacity to extend traditional forms of national conflict to, to and through cyberspace. However, there is still no hard evidence of the source or intent behind what is generally considered to be State-sponsored incidents. Typically, the identity and motivation of the perpetrator can only be inferred from the objectives, effects and other circumstantial evidence relating to an incident.", "(c) Terrorists. Terrorists do not currently have the capacity to disrupt information networks or to conduct operations with physical effects through the use of information and communication technologies, but the possibility of such a capability emerging in the future cannot be ruled out. Most experts believe that terrorists now rely on information and communication technologies to recruit, organize and raise funds. Specific threats arising from terrorist use of the Internet may include the use of the Internet to organize and carry out specific kinetic terrorist attacks.", "(d) Agents. There is a growing concern about individuals or groups who represent others, whether State or non-State actors, for financial gain or nationalism or other political motives, and engage in malicious online activities. It has been reported that “software robot masters” can provide a variety of malicious services to the highest bidder. The unique attributes of information technology provide such actors with a high degree of anonymity, effectively concealing any relationship with the sponsors and allowing them to make what may sound credible denials.", "The challenges faced by States in responding to such threats are daunting. The attributes of information and communication technologies mean that every action of these threatening actors may be seen only in their effects. As a result, the high credible identity of perpetrators, if any, is not available in a timely manner and success often depends on high levels of transnational cooperation. The increasing role of agents further complicates the process of analysing attributes, as the injured party must identify not only the perpetrator but also the sponsor, which makes this challenge more problematic in the future.", "To meet such challenges, Governments need to organize and lead efforts at the national level to develop communication and information infrastructure and deploy resilient layers of defence, regardless of the source of the threat. At the same time, the complex transnational nature of these threats makes international collaboration necessary to implement risk-solving strategies on a global basis.", "III. Principles, rules and norms of conduct", "A. State responsibility for cybersecurity", "Over the past 10 years, Member States have recognized their responsibility to take systematic steps at the national level to protect themselves from cyber-security threats and the need for international cooperation. Five resolutions of the United Nations General Assembly drew attention to the basic defensive measures that Governments could take to reduce their security risks. While the aim of these resolutions is to raise awareness, they also promote useful norms concerning the conduct of individuals and States for the sake of cybersecurity:", "(a) In its resolution 55/63 (2000) on combating the criminal misuse of information technologies, the General Assembly stressed the need for modern and effective national laws to adequately prosecute cybercrime and promote timely transnational investigative cooperation;", "(b) In its resolution 56/121, the General Assembly made particular reference to the work of international and regional organizations in combating high-technology crime, including the work of the Council of Europe on the elaboration of the Convention on Cybercrime:", "The United Nations and other organizations have been carrying out intensive activities in this area. Major United Nations organizations concerned with the criminal misuse of the Internet include the United Nations Office on Drugs and Crime, the Commission on Crime Prevention and Criminal Justice, the United Nations Congress on Crime Prevention and Criminal Justice, the International Telecommunication Union and other organizations;", "(c) In its resolution 57/239, the General Assembly recognized the need to create a global culture of cybersecurity, recognized the responsibility of Governments to lead all components of society in understanding their respective roles and responsibilities with regard to cybersecurity, and stressed the complementary elements that must be addressed by all participants in the information society;", "(d) In its resolution 58/199, the General Assembly placed particular emphasis on actions to be considered by Member States in their efforts to create a global culture of cybersecurity and to protect critical information infrastructures. These actions can be seen as a set of norms to be adopted by Governments that provide a basic basis or prerequisite for promoting international collaboration on risk reduction;", "(e) In its resolution 64/211, the General Assembly invited all Member States to use the accompanying self-assessment tool to assess in detail their efforts to date in the above and other areas and to share successful measures and best practices that could assist other Member States in their efforts.", "B. Applicable norms in the context of hostilities", "Despite the unique characteristics of information and communication technologies, the existing principles of international law could serve as an appropriate framework for the identification and analysis of rules and norms applicable to regulating the use of cyberspace in the context of hostilities. Two different but related legal systems could be considered in this regard: the right to resort to war and the law of wartime. The framework provided by the previous system could be used to consider whether events in cyberspace had increased to levels of use of force that could trigger a State ' s right to self-defence. The latter system provides a framework for determining the rules to be applied to regulating the use of cyberspace in situations of armed conflict.", "Recourse to the laws of war. Much of the legal framework governing the use of force and self-defence derives from three provisions of the Charter of the United Nations:", "(a) Article 2, paragraph 4, of the Charter provides that “All Members shall refrain in their international relations from the threat or use of force against the territorial integrity or political independence of any State ...”;", "(b) Article 39 of the Charter defines the Security Council as an arbitrator who determines whether a threat to the peace, a breach of the peace or an act of aggression has occurred and requires the Security Council to make recommendations or decisions to take appropriate countermeasures in accordance with Articles 41 and 42 of the Charter;", "(c) Article 51 of the Charter recognizes and strengthens the principle that “The present Charter shall not consider a prohibition on the exercise of the inherent right of individual or collective self-defence in the event of an armed attack against a Member of the United Nations until the Security Council has taken the necessary measures to maintain international peace and security”.", "It may be difficult to reach a clear legal conclusion as to whether a destructive activity in cyberspace constitutes an armed attack that triggers the right to self-defence. For example, it is possible to draw different conclusions as to whether an armed attack has taken place when the perpetrators of the threat and their motives are unknown and the consequences of their actions do not directly result in significant death or physical destruction. However, this potential for ambiguity and divergence does not imply the need for a new legal framework dedicated to cyberspace. On the contrary, they reflect only the challenges that arise in the application of the Charter, which in many cases already exist. However, in some cases, a destruction in cyberspace may constitute an armed attack. In such cases, the following established principles shall apply:", "(a) Application of the right of self-defence to an imminent or actual armed attack, whether committed by State or non-State actors;", "(b) Use of force in self-defence must be limited to those necessary to resolve an imminent or actual armed attack and must be proportionate to the threat faced;", "(c) States need to take all necessary measures to ensure that their territory is not used by other States or non-State actors for the purpose of armed activities against other States and their interests, including planning, threatening, carrying out or providing material support for armed attacks.", "Wartime law. The law of armed conflict lays down the rules applicable to the conduct of armed conflict, namely the law of war, including the use of information technology tools in situations of armed conflict. In particular, the following key principles of the law of armed conflict play an important role in determining the legality of cyberattacks in times of armed conflict:", "(a) The principle of distinction requires that an attack be limited to a reasonable military objective and that civilian objects not be the object of attack;", "(b) The prohibition of indiscriminate attacks includes the prohibition of attacks by means or methods of warfare that cannot reasonably be directed at a particular military objective;", "(c) The principle of symmetry prohibits an attack that is expected to cause incidental loss of civilian life, injury to civilians or damage to civilian objects and to a greater extent than the concrete and direct military advantage anticipated.", "These principles prohibit attacks on purely civilian infrastructure, as interference with or destruction of such infrastructure does not provide a meaningful military advantage. In addition, the potential for collateral damage must be assessed before attacking a military target. In other words, information technology attacks must also be subject to target-setting analysis, as has traditionally been done for attacks using kinetic (conventional and strategic) weapons.", "While the above-mentioned principles have been established and are applicable in the case of cyberspace, the interpretation of these legal systems in the context of cyberspace does present new and unique challenges requiring consultation and cooperation among States. This is not unusual. When new technologies are developed, they often pose challenges to the application of existing legal systems.", "C. Use of agents", "The unique attributes of ICT pose new challenges to States, as exemplified by the use of agents for sabotage operations. Acting through agents has greatly enhanced the ability of States to participate in attacks and to appear to be credible in denial. While existing international law provided for the use of mercenaries, the use of agents in cyberspace raised new and important issues of wide impact. States need to work together to develop effective solutions to the problem.", "Responsibility for allowing the free flow of information", "The right to freedom of expression and the free flow of information is enshrined in the Universal Declaration of Human Rights and the International Covenant on Civil and Political Rights; these rights generally provide that, subject to certain restrictions, everyone has the right to freedom of expression, including the freedom to hold opinions without interference and to seek, receive and impart information through any media and beyond national borders. These principles have been recognized in numerous international forums, including the General Assembly, the International Telecommunication Union and the World Summit on the Information Society.", "E. Responsibility for combating terrorism", "There are now at least 16 Security Council resolutions calling on States to combat terrorism. These obligations are fully applicable when terrorists or terrorist facilitators use cyberspace to recruit, raise funds, transfer funds, purchase weapons or plan attacks. All States have an obligation to share information and take action in response to online terrorist financing, recruitment, planning and facilitating activities, while respecting the sovereignty of other States and their responsibility to allow for the free flow of information.", "IV. Transparency, stability and risk reduction and cooperation measures", "As outlined above, Member States face the challenge of managing a highly diverse and complex environment of threats. Over the past decade, extensive international efforts have been made to combat the threat of cybercrime. The Organization of American States, the Asia-Pacific Economic Cooperation, the Economic Community of West African States, the African Union and the Council of Europe have conducted training in the investigation and prosecution of cybercrime. Extensive international cooperation in the investigation and prosecution of cybercrime had been achieved through the Convention on Cybercrime and through bilateral efforts among affected States; international cooperation remained the most effective way to address the threat posed by criminal activities to information and communication technologies.", "Other areas of transnational concern require similar attention. These areas include the risk of misunderstandings about the lack of a common understanding of international norms relating to the conduct of States in cyberspace, which will affect crisis management in the event of major cyber incidents. This requires the development of measures to enhance cooperation and build confidence, reduce risk or enhance transparency and stability:", "Transparency measures", "• Exchange of national cybersecurity strategies and best practices (lessons learned)", "• Exchange of national views on international norms on the use of cyberspace", "• Exchange of national organizational structures and focal points dedicated to cybersecurity", "Stabilization and risk reduction measures", "• Establishing or updating communication chains and related protocols to include network events", "• Enhanced cooperation to address organized non-State actors (criminals, terrorists, agents)", "• Establishing procedures to allow daily exchange of information between the National Computer Security Incident Response Team", "Cooperative measures", "• Support capacity-building for cybersecurity in less developed countries.", "[1]" ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目1", "通过议程和其他组织事项", "审查世界粮食计划署管理计划周期", "秘书处的说明", "1. 针对世界粮食计划署(粮食署)执行局提出的建议，请经济及社会理事会(经社理事会)核准并建议大会批准对《世界粮食计划署总条例》第十四条(财务安排)的修正案。粮食署执行局审议的文件的全文(WFP/EB.A/2011/6-B/1)，其中包括执行局的建议，见http://one.wfp.org/eb/docs/2011/wfp234536~1.pdf。关于本项请求的背景情况见下文。", "2. 按照《世界粮食计划署总条例》第十五条的规定，对《粮食署总条例》的修正案必须经过联合国大会和联合国粮食及农业组织(粮农组织)会议的批准。粮食署执行局可以通过经社理事会和粮农组织理事会提出修正《总条例》的建议。", "3. 在2011年6月7日举行的执行局年会上，执行局表示希望将两年期粮食署管理计划和预算周期改为带有一年预算的三年管理计划，每年以滚动的方式获得批准。粮食署执行局依照《粮食署总条例》第十五条采取行动，通过经社理事会和粮农组织理事会建议大会和粮农组织会议对《粮食署总条例》第十四条第6款进行修正，将第十四条第6款(a)项中的“两年期”替换为“年度”，经修正的第十四条第6款案文如下：", "6. 执行主任将把下列文件提交执行局批准：", "(a) 粮食署年度预算，和在例外情况下酌情编制的粮食署补充预算；", "(b) 粮食署年度财务报表及外聘审计人的报告；", "(c) 其他财务报告。", "这些文件还将提交给粮农组织财务委员会和行政和预算问题咨询委员会进行审查和提出意见。这些机构的报告将提交给执行局。", "4. 在2011年7月7日的一封信中(E/2011/131)，粮食署执行局主席向经社理事会主席和粮农组织理事会独立主席提交了对《粮食署总条例》的建议修正。修正建议获得了粮农组织理事会的核准，随后于2011年6月29日获得了粮农组织会议的批准。因此，依照《粮食署总条例》第十五条第2款的规定，粮农组织执行局请求经社理事会核准并建议大会批准对《粮食署总条例》第十四条第6款的修正案。", "供经社理事会审议的建议草稿作为附件附在本说明之后。", "附件", "决定草稿", "对《世界粮食计划署总条例》的拟议修正案", "经社理事会决定：", "按照《世界粮食计划署总条例》第十五条的规定，建议大会批准对《粮食署总条例》第十四条第6款进行修正，将第十四条第6款(a)项中的“两年期”替换为“年度”，经修正的第十四条第6款案文如下：", "6. 执行主任将把下列文件提交执行局批准：", "(a) 粮食署年度预算，和在例外情况下酌情编制的粮食署补充预算；", "(b) 粮食署年度财务报表及外聘审计人的报告；", "(c) 其他财务报告。", "这些文件还将提交给粮农组织财务委员会和行政和预算问题咨询委员会进行审查和提出意见。这些机构的报告将提交给执行局。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 1", "Adoption of the agenda and other organizational matters", "Review of the World Food Programme Management Plan Cycle", "Note by the Secretariat", "1. Further to a recommendation by the World Food Programme (WFP) Executive Board, the Economic and Social Council is requested to endorse and to recommend that the General Assembly approve the amendment to article XIV (Financial arrangements) of the WFP General Regulations. The full text of the document considered by the WFP Board (WFP/EB.A/2011/6-B/1), which contains the Executive Board’s recommendation, is available from http://one.wfp.org/eb/docs/ 2011/wfp234536~1.pdf. The background to the present request is provided below.", "2. Under article XV of the WFP General Regulations, amendments to the WFP General Regulations must be approved by the General Assembly of the United Nations and the Food and Agriculture Organization of the United Nations (FAO) Conference. The WFP Executive Board may recommend amendments to those General Regulations through the Economic and Social Council and the Council of FAO.", "3. On 7 June 2011, at its annual session in 2011, the Executive Board expressed its desire to move from a biennial WFP management plan and budget cycle to a three-year management plan with a one-year budget, approved each year on a rolling basis. Acting pursuant to article XV of the WFP General Regulations, the WFP Executive Board accordingly recommended to the General Assembly and the FAO Conference, through the Economic and Social Council and the FAO Council, that article XIV.6 of the WFP General Regulations be amended by replacing the word “biennial” in article XIV.6 (a) with the word “annual” in order for article XIV.6 to read as follows:", "6. The Executive Director will submit the following to the Executive Board for approval:", "(a) The annual WFP budget, and supplementary WFP budgets whenever appropriate prepared in exceptional circumstances;", "(b) Annual financial statements of WFP, together with the report of the External Auditor;", "(c) Other financial reports.", "These will also be submitted to the FAO Finance Committee and the ACABQ for their review and comments. The reports of these bodies will be submitted to the Board.", "4. That recommended amendment to article XIV.6 of the World Food Programme General Regulations was submitted by the President of the Executive Board of the World Food Programme to the President of the Economic and Social Council and the Independent Chair of the Food and Agriculture Organization of the United Nations Council in a letter dated 7 June 2011 (E/2011/131). The recommended amendment was endorsed by the Food and Agriculture Organization of the United Nations Council and then approved by the Food and Agriculture Organization of the United Nations Conference on 29 June 2011. Accordingly, and pursuant to article XV.2 of the World Food Programme General Regulations, the Executive Board of the World Food Programme requests the Economic and Social Council to endorse and to recommend that the General Assembly approve the amendment to article XIV.6 of the General Regulations of the World Food Programme.", "5. A draft proposal for the consideration of the Economic and Social Council is annexed to the present note.", "Annex", "Draft decision", "Proposed amendment to the General Regulations of the World Food Programme", "The Economic and Social Council decides to recommend to the General Assembly that, consistent with article XV of the General Regulations of the World Food Programme, article XIV.6 of the General Regulations be amended by replacing the word “biennial” in article XIV.6 (a) with the word “annual” in order for article XIV.6 to read as follows:", "6. The Executive Director will submit the following to the Executive Board for approval:", "(a) the annual World Food Programme budget, and supplementary World Food Programme budgets whenever appropriate prepared in exceptional circumstances;", "(b) Annual financial statements of the World Food Programme, together with the report of the External Auditor;", "(c) Other financial reports.", "These will also be submitted to the FAO Finance Committee and the ACABQ for their review and comments. The reports of these bodies will be submitted to the Board." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 1", "Adoption of the agenda and other organizational matters", "Review of the World Food Programme management plan cycle", "Note by the Secretariat", "1. In response to the recommendation made by the Executive Board of the World Food Programme (WFP), the Economic and Social Council is requested to approve and recommend to the General Assembly the approval of amendments to article XIV (Financial arrangements) of the General Regulations of the World Food Programme. The full text of the document considered by the WFP Executive Board (WFP/EB.A/2011/6-B/1), including the recommendations of the Board, can be found at http://one.wfp.org/eb/docs/2011/wfp234536~1.pdf. The background to this request is set out below.", "2. In accordance with article XV of the General Regulations of the World Food Programme, amendments to the General Regulations of the World Food Programme must be approved by the General Assembly of the United Nations and the Conference of the Food and Agriculture Organization of the United Nations (FAO). The WFP Executive Board may make recommendations for amendments to the General Regulations through ECOSOC and the FAO Council.", "3. At the annual session of the Executive Board, held on 7 June 2011, the Board expressed the hope that the biennial WFP management plan and budget cycle would be changed to a three-year management plan with a one-year budget, which would be approved annually in a rolling manner. Acting in accordance with article XV of the WFP General Regulations, the WFP Executive Board, acting through the ECOSOC and FAO Council, recommended that the General Assembly and the FAO Conference amend article XIV, paragraph 6, of the WFP General Regulations by replacing the word “biennial” in article XIV, paragraph 6 (a), with the word “annual”, and that article XIV, paragraph 6, as amended, read as follows:", "The Executive Director will submit the following documents to the Executive Board for approval:", "(a) The WFP annual budget and, where appropriate, supplementary WFP budgets prepared on an exceptional basis;", "(b) Annual financial statements of WFP and report of the External Auditor;", "(c) Other financial reports.", "These documents will also be submitted to the FAO Finance Committee and the Advisory Committee on Administrative and Budgetary Questions for review and comment. Their reports will be submitted to the Executive Board.", "4. In a letter dated 7 July 2011 (E/2011/131), the President of the WFP Executive Board submitted proposed amendments to the WFP General Regulations to the President of ECOSOC and the Independent President of the FAO Council. The amendments were approved by the FAO Council and subsequently by the FAO Conference on 29 June 2011. Accordingly, in accordance with article XV, paragraph 2, of the WFP General Regulations, the FAO Executive Board requests the Economic and Social Council to approve and recommend to the General Assembly the amendment to article XIV, paragraph 6, of the WFP General Regulations.", "The draft recommendations for consideration by the Council are annexed to the present note.", "Annex", "Draft decision", "Proposed amendments to the General Regulations of the World Food Programme", "The Council decided:", "In accordance with article XV of the General Regulations of the World Food Programme, it is recommended that the General Assembly approve an amendment to article XIV, paragraph 6, of the General Regulations of the World Food Programme by replacing the word “biennial” in article XIV, paragraph 6 (a), with the word “annual” and that article XIV, paragraph 6, as amended, read as follows:", "The Executive Director will submit the following documents to the Executive Board for approval:", "(a) The WFP annual budget and, where appropriate, supplementary WFP budgets prepared on an exceptional basis;", "(b) Annual financial statements of WFP and report of the External Auditor;", "(c) Other financial reports.", "These documents will also be submitted to the FAO Finance Committee and the Advisory Committee on Administrative and Budgetary Questions for review and comment. Their reports will be submitted to the Executive Board." ]

[ "第六十六届会议", "临时议程^(*) 项目94和101", "建立中东无核武器区", "中东的核扩散危险", "建立中东无核武器区", "秘书长的报告", "^(*) A/66/150。", "目录", "页次\n1.导言 3\n2.意见 3\n3.从各国政府收到的答复 4\n4.澳大利亚 4\n5.奥地利 4\n布基纳法索 5\n古巴 5\n埃及 6\n爱沙尼亚 8\n伊拉克 9\n爱尔兰 10\n日本 11\n哈萨克斯坦 13\n黎巴嫩 13\n墨西哥 14\n阿拉伯叙利亚共和国 14\n土库曼斯坦 15\n委内瑞拉玻利瓦尔共和国 17", "一. 导言", "1. 在关于建立中东无核武器区的第65/42号决议第10段中，大会请秘书长依照第46/30号决议第7段的规定，并考虑到该地区演变中的局势，继续与该地区各国和其他有关国家进行协商，并就秘书长1990年10月10日(A/45/435)的报告所附研究报告第三和第四章所载的措施或其他有关措施征求这些国家的意见，以便推进建立中东无核武器区的工作。在同一决议的第11段中，大会又请秘书长就本决议的执行情况向大会第六十六届会议提交报告。本报告是按照该项要求提出的。", "2. 2011年3月9日，向全体会员国发出一份普通照会，请它们注意第65/42号决议第10和11段，并征询它们对此事的意见。目前已收到如下国家的答复，载于下文第三节：澳大利亚、奥地利、布基纳法索、古巴、埃及、爱沙尼亚、伊拉克、爱尔兰、日本、哈萨克斯坦、黎巴嫩、墨西哥、阿拉伯叙利亚共和国、土库曼斯坦和委内瑞拉玻利瓦尔共和国。此后再收到的其他答复将作为本报告增编印发。", "二. 意见", "3. 秘书长注意到，最近在中东各地发生的政治变革没有以任何方式削弱建立中东无核武器区的国际共识。尤其是区域内的《不扩散核武器条约》缔约国继续高度重视全面执行不扩散核武器条约2010年审议大会商定的切实步骤(见A/65/121(Part I)，第3段)。", "4. 根据上述切实步骤，秘书长和1995年关于中东的决议的共同提案国已经开始与该区域国家协商，以实施必要步骤，包括任命主持人并指定东道国政府，以便于2012年召开一次会议，由中东所有国家参加，商讨在该区域各国自由作出安排的基础上并在核武器国家充分支持和参与下，如何建立中东无核武器和其它所有大规模毁灭性武器区的问题。", "5. 秘书长还注意到为支持执行1995年关于中东的决议而开展的各项活动，其中包括由欧洲联盟主办、于2011年7月6日和7日在布鲁塞尔举行的研讨会。", "6. 秘书长重申迫切需要为阿拉伯-以色列冲突寻求公正和持久的解决办法。秘书长相信，对双方最为有利的是结束冲突，解决包括耶路撒冷、边界、难民和安全在内的所有最终地位问题，并且成立一个拥有主权、独立和可生存的巴勒斯坦国，与以色列毗邻且在和平与安全中共存。秘书长呼吁执行安理会的所有相关决议，尤其是第1850(2008)和1860(2009)号决议。秘书长欢迎美国为促成以色列与巴勒斯坦之间取得政治进展所做的努力。他吁请双方不带先决条件地立即重新谈判并讨论所有核心问题，以期最终解决冲突。他将继续与四方一同朝着该目标努力。秘书长强调和平解决办法必须全面，重申阿拉伯和平倡议在这方面的重要性。他促请该区域内外所有有关各方采取建设性态度，以期创造稳定的安全环境，最后达成解决办法，促进建立中东无核武器区的进程。秘书长重申，联合国继续准备随时提供有助于这方面工作的任何协助。", "三. 从各国政府收到的答复", "澳大利亚", "[原件：英文] [2011年6月1日]", "澳大利亚继续支持该区域各国自由建立中东无核武器和其他大规模毁灭性武器区。澳大利亚政府欢迎不扩散核武器条约2010年审议大会就1995年中东问题决议取得的成果，并将支持各种建设性努力，以推动落实中东无核武器区方面取得进展。", "奥地利", "[原件： 英文] [2011年5月31日]", "核裁军与不扩散是奥地利外交政策的主要优先事项之一。因此，奥地利一贯支持由不扩散核武器条约缔约国1995年审议大会通过且后来在2000年和2010年审议大会上重申的关于中东的决议所载列的建立中东无核武器和其他大规模毁灭性武器区的目标。", "奥地利欢迎2010年审议大会上达成共识，以启动全面落实中东无大规模毁灭性武器区的进程。这是朝着奥地利完全赞同的目标迈进的重要一步。", "要取得积极成果，需要所有相关各方本着合作精神，采取有建设性的办法，认真解决与此问题有关的许多复杂的难题。奥地利坚定地认为，建立中东无核武器和其他大规模毁灭性武器区的进程将为中东建立信心和安全做出重要贡献，因此奥地利欢迎在这方面所做的全部努力。", "此外，这方面的进展对于国际核裁军与不扩散架构的完整性而言十分重要。奥地利关切该区域持续存在大规模毁灭性武器的问题以及相关多边法律文书缺乏普遍性的问题，其中最突出的是《不扩散核武器条约》、《生物武器公约》和《化学武器公约》。在这方面，奥地利呼吁尚未加入《不扩散核武器条约》的中东国家立即作为无核武器国家加入该条约。", "奥地利希望尽可能协助这一进程取得成功。为此，奥地利提出主办2012年关于建立中东无核武器和其他大规模毁灭性武器区以及设立主持人办公室的中东会议。", "布基纳法索", "[原件：法文] [2011年5月5日]", "布基纳法索坚定崇尚彻底核裁军原则。本国一向支持一切旨在消除核武器对世界所造成威胁的区域性和国际性举措。", "因此，布基纳法索在1996年签署并事后批准了关于建立非洲无核武器区的《佩林达巴条约》。布基纳法索也是《不扩散核武器条约》的缔约国，一向确信建立中东无核武器区将是恢复该区域各国之间相互信任的重要步骤。布基纳法索因此敦促该区域各国以及所有其他国家遵守大会2010年12月8日第65/42号决议的规定。", "根据该决议的有关规定，布基纳法索支持迅速执行该决议。不扩散核武器条约缔约国2010年审议大会重申以色列加入该条约的重要性，这会加速建立中东无核武器区，并有助于实现建立无大规模毁灭性武器世界的目标。", "为此目的，联合国应发起该条约缔约国之间的双边和多边对话。布基纳法索坚定地认为，为促使所有中东国家加入《不扩散核武器条约》而通过一个行动计划和时间表，将是促进该区域全面彻底裁军和建立无大规模毁灭性武器区的重要步骤。", "古巴", "[原件：西班牙文] [2011年6月7日]", "古巴重申，核武器的存在本身就对人类造成重大威胁。估计世界上核武器的数量达22 600件，其中12 000件处于战备状态。同样不可接受的是，一些防务和安全理论仍不放弃此类武器的使用，一些国家还耗费巨额经费研制新型核武器。古巴因此希望与不结盟国家运动一起强调，核裁军是裁军的首要优先事项。", "在世界各区域创设无核武器区是向核裁军目标迈进的重要一步。古巴认为，建立无核武器区应以相关区域各国之间自由谈判达成的协定为基础，并且应包含各区域缔约国和签署国之间的合作安排。", "建立第一个无核武器区的《特拉特洛尔科条约》为其他区域创建一个无核武器的世界铺平了道路。2005年在墨西哥特拉特洛尔科举行的建立无核武器区条约缔约国和签署国第一次会议以及2010年4月30日在纽约举行的第二次会议极大激励了无核武器区缔约国促进其相互之间、根据各有关条约设立的机关之间以及与其他有关国家开展合作的方法。", "不幸的是，尽管联合国大会和安全理事会以及国际原子能机构通过了许多决议和决定，中东压倒多数的国家建立中东无大规模毁灭性武器(包括核武器)区的要求仍然被忽视。", "古巴认为，必须做出认真努力，以执行安全理事会第487(1981)号决议和第687(1991)号决议第14段、不扩散核武器条约缔约国1995年审议大会就这一事项通过的决定以及大会和国际原子能机构通过的其他决议。", "更近些时，在2010年5月举行的不扩散核武器条约缔约国第八次审议大会上，参与方继续上述努力，商定于2012年召开一次大会以跟进决议的执行情况，因为该决议是有关这一事项必须尽快得到执行的决定之一。", "建立中东无核武器区将为实现核裁军做出重要贡献，是该区域和平进程中的重要步骤。为实现这一目的，以色列作为该区域唯一不是《不扩散核武器条约》缔约方且从未表示过有此意图的国家，必须立即加入该条约并将其核设施置于国际原子能机构的全面保障监督之下。", "与此同时，古巴敦促相关各国政府立即停止向以色列转让任何类型的核设备、资料、材料和设施、资源或装置、以及核领域内的科学和技术援助。古巴在这方面敦促尤其是拥有核武器的《不扩散核武器条约》缔约国遵守该条约的规定。", "以色列取得核能力对各邻国的安全以及本已动荡不安的区域和平构成威胁。以色列总理在2006年12月12日的发言中承认以色列是一个核武器国家，令人深为关切。", "埃及", "[原件：英文] [2011年6月3日]", "应阿拉伯埃及共和国和伊朗伊斯兰共和国的请求，大会于1974年首次把题为“建立中东无核武器区”的项目列入议程。大会自1980年起每年都要通过一份建立中东无核武器区的决议，埃及则不断寻求实现在中东消除核武器威胁的目标。", "建立中东无核武器区的主要障碍是以色列。埃及严重关切地注意到，以色列仍然是唯一不遵守《不扩散核武器条约》的中东国家。所有中东国家都已成为《不扩散核武器条约》的缔约国，而以色列却对要求它遵守这项条约、将其核设施置于国际原子能机构(原子能机构)全面保障监督之下的再三呼吁置若罔闻，以致本区域不平衡的危险状况长期继续下去，并威胁到区域及国际和平与安全。", "不扩散核武器条约缔约国2010年审议大会在最后文件中提到了以色列不遵守《不扩散核武器条约》一事。审议大会回顾了以色列加入《不扩散核武器条约》并将其全部核设施置于国际原子能机构全面保障监督之下的重要性，重申迫切需要实现该条约的普遍性(见NPT/CONF.2010/50)。", "埃及还重申1995年关于中东问题的决议，《不扩散核武器条约》缔约国在2000年审议大会上一致重申以色列必须加入《不扩散核武器条约》并将其所有核设施置于原子能机构全面保障监督之下。2000年审议大会在最后文件中：", "回顾1995年关于中东的决议执行部分第4段“呼吁那些尚未加入条约的所有中东国家毫无例外地尽快加入条约，并将其核设施置于原子能机构的全面保障监督之下”。会议注意到，在这方面，联合国秘书处关于1995年关于中东的决议的执行情况的报告(NPT/CONF.2000/7)指出，若干国家已加入条约，随着这些国家的加入，中东区域所有国家，除以色列之外，都已成为《不扩散核武器条约》的缔约国。会议欢迎这些国家的加入，并重申以色列应加入不扩散核武器条约，并将其所有核设施置于原子能机构的全面保障监督之下，以实现中东普遍加入条约的目标(NPT/CONF.2000/28)。", "除了在不扩散核武器条约审议进程等场合紧急呼吁建立中东无核武器区外，原子能机构、大会和安全理事会还紧急呼吁以色列将其核设施置于原子能机构的保障监督之下(安全理事会第487(1981)号决议)，并回顾在中东地区建立无核武器区的目标(安全理事会第687(1991)号决议)。", "为努力建设中东无核武器区，2010年审议大会强调必须开展一个进程促使全面执行1995年关于中东的决议，并核可了朝着建立中东无核武器区迈进的切实步骤。2010年审议大会的最后文件表示，联合国秘书长和1995年决议的共同提案国经与该区域各国协商，将在2012年召开一次由中东所有国家参加的会议，商讨在该区域各国自由作出的安排基础上并在核武器国家充分支持和参与的情况下建立中东无核武器和其他所有大规模毁灭性武器区的问题。2012年大会应把1995年决议作为其工作范围(NPT/CONF.2010/50)。", "埃及相信2012年大会朝着建立中东无核武器区迈进了一步，埃及表示愿意与相关各方合作，以便大会能对建立中东无核武器区做出积极和有意义的贡献。", "重要的是，秘书长和1995年决议的共同提案国应按照2010年审议大会最后文件的规定，尽早任命一位主持人以开展2012年大会的筹备工作，并且为大会指定东道国政府。", "埃及注意到，2011年5月23至27日在印度尼西亚巴厘举行的不结盟运动第十六次部长级会议的最后文件以及阿拉伯外交部长理事会于2011年5月15日在埃及开罗通过的第7362号决议强调，呼吁联合国秘书长和1995年决议的共同提案国迅速执行关于中东的行动计划，立即任命一位主持人，指定东道国并确认2012年大会的日期。", "埃及坚信，在冲突地区建立无核武器区大大有助于缓和紧张局势，建立信任，防止冲突，发展和平关系及相互合作。埃及相信，就建立中东无核武器区开始谈判的唯一先决条件是，无论是在区域内各国还是对区域安全与稳定有直接利害关系的各方之间，需要存在政治意愿。", "《不扩散核武器条约》的缔约国，包括区域内的所有缔约国，一致通过了促进建立中东无核武器和其他大规模毁灭性武器区的进程，这表明存在政治意愿。", "《不扩散核武器条约》缔约国表明的承诺须予迅速落实。埃及期待联合国秘书长和《条约》保存国认真努力采取商定的必要措施，为早日就建立中东无核武器区问题开始谈判铺平道路。", "中东区域目前正面临以色列的核威胁，这种威胁正在引发进一步的扩散危险，对安全构成挑战。谈判如能取得成功，将是努力重获区域安全的一个重大突破。", "埃及有意与所有各方积极合作，努力维护中东安全，应对所有核威胁，通过建立中东无核武器区，以综合、平衡的办法，确保区域所有国家的安全，消除核危险。", "爱沙尼亚", "[原件：英文] [2011年4月19日]", "爱沙尼亚继续支持按照裁军审议委员会1999年通过的准则的规定，在相关区域各国自由作出的安排基础上建立中东无核武器和其他大规模毁灭性武器区。无核武器区能增进区域和全球的和平与安全，是促进核裁军、稳定和信任的手段。", "无核武器区符合《不扩散核武器条约》的原则，该条约是爱沙尼亚不扩散政策的基础。爱沙尼亚政府欢迎2010年5月28日通过的不扩散条约2010年审议大会最后文件，该文件核可了全面执行1995年关于中东的决议的切实步骤，包括在2012年举行建立中东无大规模毁灭性武器区会议。", "爱沙尼亚完全了解影响中东区域的扩散挑战以及建立无大规模毁灭性武器及其运载系统区所面临的挑战。爱沙尼亚一直支持普遍遵守《不扩散核武器条约》这一目标，鼓励所有尚未加入《不扩散核武器条约》的国家加入该条约。不仅是在核方面，而且在化学和生物武器的不扩散、军备控制以及裁军协定和文书(如《化学武器公约》、《生物武器公约》和《防止弹道导弹扩散海牙行为准则》)方面，也是如此。", "此外，爱沙尼亚认为，《不扩散核武器条约》缔约国全面遵守该条约的所有规定以及安全理事会和国际原子能机构(原子能机构)的各项决议，也同样重要。此外，爱沙尼亚认为，区域内各国应承诺加入国际原子能机构全面保障监督协定，作为无核武器区协定的组成部分。为确保实施这些步骤，区域内各国的建设性贡献不可或缺。", "爱沙尼亚在大会第六十四届会议上参与一致通过了题为“建立中东无核武器区”的第65/42号决议。作为这些努力的组成部分，爱沙尼亚支持在2010年9月20至24日举行的原子能机构大会第五十四届常会上通过的题为“在中东实施国际原子能机构保障”的国际原子能机构决议(GC(54)/RES/13)。", "爱沙尼亚继续致力于执行1995年审议大会通过的关于中东的决议，并认识到这项执行工作很有价值。", "伊拉克", "[原件：阿拉伯文] [2011年3月31日]", "1. 伊拉克赞赏地认为，建立无核武器区能增强实现核裁军的努力，巩固相关国家的安全，缩短它们的距离，以达到实现并维持国际和平与安全的崇高目标。 在此原则基础上，伊拉克支持并协助为在各地理区域、尤其是中东建立无核武器区所做的努力。为奠定尝试建立中东无核武器区的基础，应采取基本步骤包括，以色列进行核裁军，加入《不扩散核武器条约》并将其全部核设施置于国际原子能机构全面保障监督之下。", "2. 无核武器区对于在区域一级建立信任至关重要，可以成为奠定核不扩散基础和加强核不扩散机制的手段。无核武器区还可以成为一种表达共同价值观的方式，在各方朝着核裁军、军备控制和不扩散目标努力的过程中得以形成和发展。", "3. 伊拉克申明其坚信建立中东无核武器区重的重要性。伊拉克支持大会在建立中东无核武器区议程项目下通过的联合国决议，以此方式切实表明了上述立场。伊拉克认为，中东目前无法消除核武器是因为以色列军事核设施的能力没有得到核实，而该区域除以色列以外所有其他国家的核设施都已经置于原子能机构的保障监督机制之下。", "4. 伊拉克呼吁执行安全理事会第487(1981)号决议和第687(1991)号决议。第487(1981)号决议紧急要求以色列将其核设备置于原子能机构的保障监督之下。第687(1991)号决议第14段提到在中东建立无大规模毁灭性武器区的目标。", "5. 伊拉克强调阿拉伯世界要求落实不扩散核武器条约缔约国1995年和2000年审议大会的目标，并要求条约各方按照2000年审议大会的决定，采取必要措施执行1995年审议和延期大会所通过的关于中东的决议。5个核武器国家也在该次大会上再度承诺全面执行该决议。", "6. 伊拉克非常重视2010年审议大会关于促进全面执行1995年中东问题决议的进程的申明以及该次大会最后文件载列的切实步骤，敦促联合国秘书长予以执行。", "7. 以色列加入《不扩散核武器条约》并将其全部核设施置于国际原子能机构全面保障监督之下，是建立中东无大规模毁灭性武器区的基本前提条件。", "8. 以色列对国际条约或协定做出承诺能促进实现将于2012年举行的建立中东无核武器区大会的任务。", "9. 在对待疑为拥有军事用途核方案的国家时，不应适用双重标准。", "10. 伊拉克政府申明，承诺遵守2011年3月2日阿拉伯国家联盟理事会外交部长级第135次常会上通过的各项决议。第7298号决议涉及以色列核武器和大规模毁灭性武器对国际和平与阿拉伯国家安全造成的威胁，而第7319号决议则涉及以色列在空间和导弹方面的活动对阿拉伯国家安全所造成的危险。", "爱尔兰", "[原件：英文] [2011年6月14日]", "爱尔兰遵照大会第65/42号决议第10和11段，并依照裁军事务厅2011年3月9日的要求，谨此向秘书长提交对设立中东核武器区问题的意见。", "爱尔兰一直大力支持《核不扩散条约》。事实上，正是爱尔兰1950年代向大会提出一系列决议，才为《条约》奠定了基础。在2010年审议大会上，爱尔兰十分努力，确保就《条约》的三大支柱商定行动计划，并就设立中东无核武器和其他所有大规模毁灭性武器区的决议达成一致。爱尔兰多次承认并肯定：在实施1995年审议和延期大会通过的关于中东的决议方面取得进展具有关键意义。就中东无核武器和大规模毁灭性武器区达成一致意见，能够帮助缓解该区域的紧张局势，为增加该区域各国的政治接触营造空间。", "爱尔兰在国家一级并同其他伙伴一道努力，积极促进实施1995年决议。在大会第六十五届会议期间，爱尔兰作为新议程联盟的协调员，在第一委员会提出了每年一度的新议程联盟决议，题为《争取无核武器世界：加快实施核裁军承诺》。该决议吁请所有核不扩散条约缔约国努力争取全面实施关于中东的决议，并吁请秘书长和1995年决议的共同提案国，以及所有其他有关国家和组织，作出一切必要的准备，以实施2010年审议大会在此方面商定的实际步骤。", "爱尔兰还在第一委员会支持新议程联盟关于中东的有关决议，包括关于中东核扩散风险的决议。", "2010年审议大会主席要求爱尔兰出任负责在实施1995年关于中东的决议方面取得进展的第2附属机构主席，这是对爱尔兰致力于全面实施该决议的认可。在该附属机构内，爱尔兰竭力调和所有不扩散条约缔约国的不同愿望，得以谈判达成一份获得共识的案文。此项一致意见中关键的一条在于：2012年举行一次关于设立中东无核武器和其他所有大规模毁灭性武器区的会议。", "在欧洲联盟内，爱尔兰也正在努力乘2010年审议大会的东风，包括向2011年7月欧洲联盟旨在促进建立信任的讨论会提供积极支助，并支持一个旨在设立中东无大规模毁灭性武器和运输工具区的进程。欧洲联盟的讨论会是支持2012年中东问题会议的。", "日本", "[原件：英文] [2011年5月31日]", "日本支持建立无核武器区，但必须以有关区域国家自愿达成的安排为基础，并以建立该区有助于区域及全球稳定和安全为条件。", "建立中东无大规模毁灭性武器区一事毫无进展，令人严重关切。日本过去支持，现在继续全力支持，1995年关于中东的决议，该决议要求建立一个可有效核查的中东无大规模毁灭性武器(核武器、化学武器和生物武器)及其运载系统区。日本相信，建立中东无大规模毁灭性武器区一事取得进展，会进一步提升《不扩散核武器条约》(《不扩散条约》)的信誉。同过去多届会议一样，日本在大会第六十五届会议上再次支持以协商一致方式通过的题为“建立中东无核武器区”的第65/42号决议。日本欢迎2010年5月28日通过的不扩散条约2010年审议大会最后文件，该文件核可了全面执行1995年关于中东问题决议的切实步骤，包括在2012年举办建立中东无大规模毁灭性武器区会议。要确保稳步执行这些步骤，该区域所有国家就务必作出积极、建设性的贡献。", "2010年9月，日本同其它九个无核武器国家一道，发起了一项新倡议，即不扩散和裁军倡议，以推动稳步实施2010年审议大会最后文件的结论和后续行动建议。该倡议还支持2010年审议大会赞同的、争取2012年召开关于建立中东无核武器和所有其他大规模毁灭性武器区的会议的实际步骤，并随时准备着向召开此次会议提供必要援助。", "建立中东无核武器和所有其他大规模毁灭性武器及其运载系统区，最终要求该区域所有国家都加入《不扩散条约》和《化学武器公约》。该区域所有国家加入《全面禁止核试验条约》，也将是朝着这一目的迈出的重要、实际的一步。日本一直积极参与国际努力，鼓励普遍加入这些关于裁减大规模毁灭性武器的多边文书。作为这些努力的一部分，日本曾支持2010年10月20日至24日国际原子能机构大会第五十四届常会通过的题为“在中东实施国际原子能机构保障”的决议(GC(54)/RES/13)。此外，日本曾在各种场合敦促以色列加入《不扩散条约》、《生物武器公约》和《化学武器公约》，并尽快批准《全面禁止核试验条约》。日本也曾敦促其他中东国家尽早加入其尚未成为缔约国的相关大规模毁灭性武器问题条约，以促进创造有利于在该区域建立无大规模毁灭性武器区的环境。", "必须充分确保这些法律文书得到遵守。日本已经敦促伊朗遵守原子能机构理事会和联合国安全理事会关于该国核计划的所有相关决议的规定，包括暂停一切有关铀浓缩的活动，并批准及执行附加议定书。在这一范围内，日本也强调必须加强原子能机构保障监督制度，这个制度在巩固《不扩散条约》方面发挥重大作用。日本强烈认为，该区域内所有国家缔结原子能机构全面保障监督协定和附加议定书，对建立无核武器区十分必要。为实现普遍加入全面保障监督协定和附加议定书的目的，日本准备随时同该区域内感兴趣的国家分享专门知识，并协同原子能机构向它们提供技术援助。", "日本坚定承诺支持中东和平进程，认为这是区域稳定的关键，而区域稳定是为无大规模毁灭性武器区奠定基础的重要因素。认识到实现中东和平的唯一途径是以色列和巴勒斯坦两国之间实现和平共处，日本一直全力促进这一目的；特别是采取了如下措施：", "(a) 日本同以色列和巴勒斯坦权力机构都维持高级别政治对话，以便鼓励它们推动和平进程。例如，日本政府中东问题特使饭村丰大使于2010年7月和2011年2月访问以色列和巴勒斯坦领土，与相关当事方的高级官员一道，鼓励他们发挥负责任的作用，促进以两国解决办法为基础的中东和平进程。此外，巴勒斯坦权力机构总理萨拉姆·法耶兹应日本政府邀请，于2010年11月访问日本，与菅直人首相和时任外相的前原诚司会晤并讨论各个问题，包括日本援助巴勒斯坦人和中东和平进程；", "(b) 自1993年《奥斯陆协定》签订以来，日本一直积极参与援助巴勒斯坦人。截至2011年5月，日本向巴勒斯坦人提供了11.9亿多美元的援助。2010年财政年度，日本政府根据菅直人首相2010年11月在东京会晤巴勒斯坦权力机构总理法耶兹时所作承诺，提供了约1亿美元的援助。菅首相和法耶兹总理肯定继续支持巴勒斯坦建国努力的重要性。在这方面，2010年9月和12月，日本政府决定向巴勒斯坦权力机构提供25亿日元的非项目赠款援助，目的是促进巴勒斯坦权力机构的经济和社会发展工作；", "(c) 日本政府积极发起和赞助许多有利于促进以色列人和巴勒斯坦人之间建立信任的项目。此外，日本以其在上述领域的努力为基础，通过在以色列、巴勒斯坦权力机构、约旦和日本之间进行区域合作的努力，正在推动建立“和平与繁荣走廊”的倡议，以此作为中长期努力，将以色列和巴勒斯坦国家之间未来共存共荣的希望和信任带给区域各国人民。为实施这一倡议，必须进行区域合作。日本、巴勒斯坦权力机构、以色列和约旦设立了“四方协商小组”，自2007年3月以来，举行了数次部长级会议和技术级会议。2010年3月举行的第五次技术级会议，导致四方重申坚定致力于实施这一倡议，并确认将继续尽其最大努力，在2012年底建成杰里科农工业园区。", "哈萨克斯坦", "[原件：俄文] [2011年6月7日]", "哈萨克斯坦一贯信奉不扩散和裁军的理念，原则上支持设立无核武器区，以保证实现无核武器世界。", "潘基文秘书长在访问哈萨克斯坦期间，鉴于哈萨克斯坦对不扩散和核裁军的贡献，向努尔苏丹·纳扎尔巴耶夫总统提出，要提议建立中东无核武器区。哈萨克斯坦国家元首2010年4月在美国首都华盛顿举行的举行的全球核安全问题首脑会议以及2010年6日在伊斯坦布尔举行的第三次亚洲相互协作与建立信任措施会议上讲话时便这样做了。", "我们坚信，以有针对性的和持续的方法来建立无核武器区，将促进该地区的邻国之间的信任，并为局势剧变、迎来和平与合作(包括在中东)奠定基础。", "黎巴嫩", "[原件：阿拉伯文] [2011年5月20日]", "黎巴嫩申明：", "– 黎巴嫩没有大规模毁灭性武器，并深信使用或威胁使用此类武器是不合法的；", "– 黎巴嫩遵守大会通过的决议，特别是关于建立中东无核武器区的决议，并为消除大规模毁灭性武器开展合作。黎巴嫩对以色列未能遵守国际法感到忧虑。以色列的核武库对本区域所有国家构成威胁，进而威胁到国际和平与安全；", "– 黎巴嫩支持和欢迎关于裁军、特别是在中东地区裁军的所有举措，再度肯定联合国在这方面的作用；", "– 黎巴嫩更新了法律法规，允许监测任何形式大规模毁灭性武器或相关物项的出口、转口和跨界运输；", "– 黎巴嫩不向寻求获取、制造、持有、运输、提供或使用核武器或其他武器的任何集团提供任何形式的帮助；", "– 阿拉伯国家召开会议并采取举措，旨在实现本区域无大规模毁灭性武器，从而消除中东紧张局势的根源；黎巴嫩对此予以支持。这十分有助于负责起草实现中东无大规模毁灭性武器、特别是核武器的条约草案的技术委员会的所有会议。黎巴嫩强调，以色列的核军备和其他大规模毁灭性武器对国际和平及阿拉伯国家安全构成威胁。", "墨西哥", "[原件：西班牙文] [2011年6月2日]", "30多年来，“建立中东无核武器区”的项目就一直被列入联合国大会议程；大家为实现在该区域消除核武器的目标作出了多项努力。墨西哥政府支持这一目的，鼓励国际社会促成这一目标的实现。", "墨西哥政府认为，在自由谈判达成的协定的基础上扩大和设立无核武器区，尤其是在中东等紧张地区这样做，是对彻底消除核武器作出的重大贡献。", "此外，墨西哥政府认为，该区域各国的政治意愿是在设立中东无核武器区目标方面取得切实进展的必要条件。", "墨西哥为履行对此问题的承诺，倡导召开第二次建立无核武器区条约缔约国和签署国会议(2010年4月30日在纽约举行)；此次会议与会者通过一份宣言，作为设立无核武器区条约缔约国和签署国提供的材料，提交(2010年)第八次不扩散核武器条约缔约国审议大会。", "墨西哥传统上支持通过关于设立中东无核武器区的决议，在联合国大会第一委员会和国际原子能机构(原子能机构)大会理事会都这样做。", "最后，墨西哥通过有10个国家参加的核不扩散和核裁军倡议，重申促进设立中东核武器区和按照该条约缔约国2010年审议大会最后文件所阐述的行动计划、就此问题召开一次大型会议(定于2012年举行)的重要性；该行动计划体现在参加该倡议的各国于2010年9月22日和2011年4月30日通过的部长级宣言中。", "阿拉伯叙利亚共和国", "[原件：阿拉伯文] [2011年5月6日]", "阿拉伯叙利亚共和国认为，建立中东无核武器区和限制核扩散威胁的唯一途径在于所有国家加入《不扩散核武器条约》，实施其中第3条，该条要求缔约国与原子能机构缔结全面保障监督协定。该条约存在已超过37年，迄未实现这一目标。", "阿拉伯叙利亚共和国一直致力于建立中东无大规模毁灭性武器(特别是核武器)区。2003年4月，叙利亚代表阿拉伯国家集团，在纽约向安全理事会提出了实现中东无大规模毁灭性武器、特别是核武器的倡议。然而，当时的国际条件和安全理事会中一些有影响力的国家的立场，阻碍这一倡议得到成功。2003年12月，阿拉伯叙利亚共和国向安全理事会重新提交了此项倡议。它仍然以初稿形式摆在安理会面前，等待国际条件更有利了再重新提交审核通过。", "尽管各方面多次呼吁以色列加入该条约，并通过了国际决议，但以色列拒不加入，这仍然是实现中东无核武器的根本障碍；阿拉伯叙利亚共和国对此表示严重关切。", "叙利亚同其他阿拉伯国家一道，作出外交努力，确保审议大会最后文件包含关于中东和实施1995年关于中东的决议的条款。由于作出了这些努力，“最后文件”载有以下条款：", "1. 重申1995年关于中东的决议和2000年审议大会所作决定的重要性，强调该决议仍然有效，直到其目标已实现为止。", "2. 回顾2000年审议大会重申以色列须加入该条约及将其所有核设施置于原子能机构全面保障监督之下的重要性。", "3. 强调所有缔约国必须履行它们依照该条约所作承诺；敦促该地区所有国家采取相关步骤和建立信任措施，促成实现1995年关于中东的决议的目标；并吁请所有国家不要采取任何有碍建立中东无核武器区的措施。", "阿拉伯叙利亚共和国政府重申，它随时准备与秘书长合作，以建立中东无核武器区。", "土库曼斯坦", "[原件：俄文] [2011年4月27日]", "实施大会关于建立中东无核武器区的第65/42号决议的情况", "土库曼斯坦宪法关于土库曼斯坦永久中立的第6条(1995年12月27日)", "土库曼斯坦不拥有、生产或传播核武器、化学武器、细菌武器或其他类型大规模毁灭性武器，也不允许在其领土上建立外国军事基地。", "土库曼斯坦作为中立国的外交政策原则(1995年12月27日)", "土库曼斯坦不拥有、生产或传播核武器、化学武器、细菌武器或其他类型大规模毁灭性武器，也不帮助建造新类型的此种武器或生产此种武器的技术。土库曼斯坦是保障建立集体安全体系的所有主要国际法律文书的缔约方。", "土库曼斯坦履行有关中立国国际行为的义务，在冲突中不支持任何一方，也不许在其领土上建立外国军事基地。", "独立和永久中立的土库曼斯坦的军事原则(2009年1月21日)", "土库曼斯坦承诺不拥有、生产、传播或通过其领土运送核生化武器或其他类型大规模毁灭性武器。", "土库曼斯坦刑法第254条第3款(走私)(2010年5月10日)", "⑶ 以下行为如果不为海关检查人员所知，或冒用文件或海关识别手段对海关检查人员加以隐瞒，或伴随有未申报或虚假申报货物的情形，得处以3至8年有期徒刑，同时没收(或不没收)财产：经过土库曼斯坦海关运送麻醉品；精神、剧毒、有毒、毒性或放射性物质或爆炸物；军火、爆炸装置、火器或弹药；核生化武器或其他类型大规模毁灭性武器；可能被用于制造大规模毁灭性武器的材料和设备(而且就经过土库曼斯坦海关运送此类材料和设备而言，已制定特别条例)；具有战略意义的原材料；以及文物(就经过土库曼斯坦海关运送此类文物而言、已制定特别条例者)。", "土库曼斯坦是以下国际裁军和不扩散文书的缔约国：", "1. 《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》(1993年1月13日，巴黎)；", "2. 《不扩散核武器条约》(1968年7月1日，莫斯科、华盛顿和伦敦)；", "3. 《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》(1972年4月10日，纽约)；", "4. 《关于禁止使用、储存、生产和转让杀伤人员地雷及销毁此种地雷的公约》(1997年12月3日，渥太华)；", "5. 《全面禁止核试验条约》(1996年9月24日)；", "6. 《制止恐怖主义爆炸的国际公约》(1997年12月15日，纽约)；", "7. 《防止弹道导弹扩散海牙行为准则》(2002年11月25日，海牙)；", "8. 《禁止或限制使用某些可被认为具有过分伤害力或滥杀滥伤作用常规武器公约》及其所附第1号议定书《关于无法检验的碎片的议定书》、第2号议定书《禁止或限制使用地雷(水雷)、诱杀装置和其他装置的议定书》(1980年10月10日，日内瓦)；", "9. 《核材料实物保护公约》(1980年3月3日开放供签署)；", "10. 《联合国打击跨国有组织犯罪公约关于打击非法制造和贩运枪支及其零部件和弹药的补充议定书》(2001年5月31日，纽约)；", "11. 《核材料实物保护公约修正案》(2005年7月8日，维也纳)；", "12. 《中亚无核武器区条约》(2006年9月8日，塞粑拉金斯克)；", "13. 《制止核恐怖主义行为国际公约》(2005年4月13日，纽约)。", "委内瑞拉玻利瓦尔共和国", "[原件：西班牙文] [2011年4月18日]", "委内瑞拉玻利瓦尔共和国多次对中东几十年来存在不公正、不稳定和冲突的局势表示关注；这一局势的起因是宗教间纷争和地域野心(主要是为了霸占土地和水以及在该区域发现的石油资源)。", "委内瑞拉认为，该区域动荡的关键根源在于以色列对其邻国和对巴勒斯坦人民的政策，此项政策在若干起明确侵犯阿拉伯各国人民人权及其国家主权的事件中得到体现。更有甚者，以色列政府(它已在若干场合表明不尊重联合国和国际原子能机构决议、不尊重国际人道主义法)通过其总理2006年12月11日发表的言论，承认它拥有核武器。因此，以色列是该区域唯一核武器国家，也是唯一没有加入《不扩散核武器条约》的国家。", "所以，委内瑞拉政府认为，作为实现中东无核武器区的关键步骤，以色列应当最终听取联合国和许多个别国家的呼吁，加入《条约》，将其核设施置于国际原子能机构保障监督之下。另外也必须尊重就此问题通过的各项决议，实施第八次《条约》缔约国审议大会最后文件(尤其是题为《中东，特别是1995年中东问题决议的执行情况》的章节)所阐述的行动，包括2012年召开一次关于设立中东无核武器区的会议并任命一名主持人，支持实施1995年关于中东的决议。" ]

[ "Sixty-sixth session", "* A/66/150.", "Items 94 and 101 of the provisional agenda*", "Establishment of a nuclear-weapon-free zone in the region of the Middle East", "The risk of nuclear proliferation in the Middle East", "Establishment of a nuclear-weapon-free zone in the region of the Middle East", "Report of the Secretary-General", "Contents", "Page\nI.Introduction 3\nII.Observations 3III.Replies 4 received from \nGovernments \nAustralia 4\nAustria 4Burkina 5 \n Faso \nCuba 6\nEgypt 7\nEstonia 9\nIraq 10\nIreland 11\nJapan 12\nKazakhstan 15\nLebanon 15\nMexico 16Syrian 17 Arab \nRepublic \nTurkmenistan 18Venezuela 19 (Bolivarian Republic \n of)", "I. Introduction", "1. By paragraph 10 of its resolution 65/42, on the establishment of a nuclear-weapon-free zone in the region of the Middle East, the General Assembly requested the Secretary-General to continue to pursue consultations with the States of the region and other concerned States, in accordance with paragraph 7 of its resolution 46/30 and taking into account the evolving situation in the region, and to seek from those States their views on the measures outlined in chapters III and IV of the study annexed to the report of the Secretary-General of 10 October 1990 (A/45/435) or other relevant measures, in order to move towards the establishment of a nuclear-weapon-free zone in the region of the Middle East. By paragraph 11 of the same resolution, the Assembly also requested the Secretary-General to submit to it at its sixty-sixth session a report on the implementation of the resolution. The present report is submitted pursuant to that request.", "2. On 9 March 2011, a note verbale was sent to all Member States drawing their attention to paragraphs 10 and 11 of General Assembly resolution 65/42 and seeking their views on the matter. Replies, which have been received from Australia, Austria, Burkina Faso, Cuba, Egypt, Estonia, Iraq, Ireland, Japan, Kazakhstan, Lebanon, Mexico, the Syrian Arab Republic, Turkmenistan and Venezuela (Bolivarian Republic of), are reproduced in section III below. Additional replies received from Governments will be issued as addenda to the present report.", "II. Observations", "3. The Secretary-General notes that none of the recent political changes taking place throughout the Middle East have in any way weakened the international consensus pertaining to the establishment of a nuclear-weapon-free zone in the region. In particular, States of the region that are party to the Treaty on the Non‑Proliferation of Nuclear Weapons have continued to place considerable importance on the full implementation of the practical steps agreed to at the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (see A/65/121 (Part I), para. 3).", "4. In accordance with the above-mentioned practical steps, the Secretary-General and the co-sponsors of the 1995 resolution on the Middle East have initiated consultations with States of the region with a view towards enacting the requisite steps, including the appointment of a facilitator and the designation of a host Government, for the convening of a conference in 2012, to be attended by all States of the Middle East, on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction, on the basis of arrangements freely arrived at by the States of the region, and with the full support and engagement of the nuclear-weapon States.", "5. The Secretary-General also notes the activities aimed at supporting the implementation of the 1995 resolution on the Middle East, including the seminar hosted by the European Union held in Brussels on 6 and 7 July 2011.", "6. The Secretary-General reaffirms the urgent need for a just and lasting solution to the Arab-Israeli conflict. He believes that it is in the best interest of both parties to achieve an end to the conflict, a resolution of all final status issues — including Jerusalem, borders, refugees and security — and the emergence of a sovereign, independent, contiguous and viable State of Palestine living side-by-side in peace and security with Israel. He calls for the implementation of all relevant resolutions of the Security Council, in particular resolutions 1850 (2008) and 1860 (2009). The Secretary-General welcomes the efforts of the United States to facilitate political progress between Israelis and Palestinians. He appeals to the parties to return to negotiations without preconditions and without delay and to discuss all core issues with a view to a final resolution of the conflict. He will continue to work towards that end with the Quartet. The Secretary-General emphasizes the importance of any peace settlement to be comprehensive and reiterates the importance of the Arab Peace Initiative in this regard. He calls upon all concerned parties within and outside the region to adopt a constructive attitude with a view to creating stable security conditions and an eventual settlement that would facilitate the process of establishing a zone free of nuclear weapons in the Middle East. The Secretary-General reiterates the continued readiness of the United Nations to provide any assistance deemed helpful in this regard.", "III. Replies received from Governments", "Australia", "[Original: English] [1 June 2011]", "Australia continues to support the establishment of a Middle East zone free of nuclear weapons and other weapons of mass destruction, freely arrived at by regional states. The Australian Government welcomed the outcome of the 2010 Nuclear Non-Proliferation Treaty Review Conference on the 1995 Middle East resolution and will support constructive efforts to progress the implementation of a Middle East nuclear-weapon-free zone.", "Austria", "[Original: English] [31 May 2011]", "Nuclear disarmament and non-proliferation are among the key priorities of Austrian foreign policy. Austria thus consistently supported the goal of a Middle East zone free of nuclear weapons as well as other weapons of mass destruction as enshrined in the resolution on the Middle East, adopted at the 1995 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and subsequently reaffirmed at the 2000 and 2010 Review Conferences.", "Austria welcomed the consensus reached at the 2010 Review Conference to initiate a process leading to the full implementation of a zone free of weapons of mass destruction in the Middle East. This constitutes an important step towards a goal that Austria fully shares.", "Achieving a positive outcome will require a cooperative spirit and constructive approach by all parties involved to seriously address the many difficult and complex problems related to this issue. Austria firmly believes that a process towards a Middle East zone free of nuclear weapons and other weapons of mass destruction would be an important confidence- and security-building contribution for the Middle East and therefore welcomes all efforts made in this regard.", "Moreover, progress on this issue is essential for the integrity of the international nuclear disarmament and non-proliferation architecture. Austria is concerned about the continued presence of weapons of mass destruction in the region and the lack of universality of relevant multilateral legal instruments, most notably the Non-Proliferation Treaty, the Biological Weapons Convention and the Chemical Weapons Convention. In this context, Austria calls on the State in the Middle East that has not done so to accede without delay to the Non-Proliferation Treaty as a non-nuclear-weapon State.", "Austria wishes to contribute to the extent possible to the success of this process. Austria has therefore offered to host the 2012 Middle East Conference on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction as well as establishment of the Facilitator’s Office.", "Burkina Faso", "[Original: French] [5 May 2011]", "Burkina Faso is deeply committed to the principles of total nuclear disarmament. The country has always supported all regional and international initiatives to rid the world of the threat of nuclear weapons.", "Accordingly, in 1996 Burkina Faso signed, and later ratified, the Pelindaba Treaty on an African nuclear-weapon-free zone. Burkina Faso, which is also a party to the Treaty on the Non-Proliferation of Nuclear Weapons, remains convinced that the establishment of a nuclear-weapon-free zone in the Middle East will represent a significant step towards restoring confidence among the States of that region. Burkina Faso therefore urges the States of the region and all other States to abide by the provisions of General Assembly resolution 65/42 of 8 December 2010.", "In accordance with the relevant provisions of that resolution, Burkina Faso supports its prompt implementation. The 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons reaffirmed the importance of Israel’s accession to the Treaty, which would expedite the establishment of a nuclear-weapon-free zone in the Middle East and would contribute towards the goal of a world free of weapons of mass destruction.", "To this end, the United Nations should initiate bilateral and multilateral dialogue among the States parties to the Treaty. Burkina Faso firmly believes that the adoption of an action plan and a timetable for the accession of all the Middle Eastern States to the Treaty on the Non-Proliferation of Nuclear Weapons are important steps in promoting general and complete disarmament and the establishment of a zone free of weapons of mass destruction in the region.", "Cuba", "[Original: Spanish] [7 June 2011]", "Cuba reiterates that the very existence of nuclear weapons — estimated to number 22,600 in the world, of which over 12,000 are in a state of operational readiness — poses a serious threat to mankind. Likewise, the persistence of defence and security doctrines that include the use of such weapons and the huge amounts spent on developing new types of nuclear weapons are unacceptable. Cuba therefore wishes to stress, along with the Movement of Non-Aligned Countries, that nuclear disarmament is the top disarmament priority.", "The creation of nuclear-weapon-free zones in various regions of the world is an important step towards the goal of nuclear disarmament. In the view of Cuba, such zones should be based on arrangements freely arrived at among the States of the region concerned and should include arrangements for cooperation between the States parties and signatories in the various zones.", "The Treaty of Tlatelolco, which established the first such zone, paved the way for other regions in order to achieve a world free of nuclear weapons. The First Conference of States Parties and Signatories to Treaties that Establish Nuclear-Weapon-Free Zones, held in 2005 in Tlatelolco, Mexico, and the Second Conference, held in New York on 30 April 2010, were a great incentive for States parties in such zones to promote methods of cooperation between themselves, between the organs established under each of the relevant treaties and with other interested States.", "Unfortunately, in the Middle East, the call by the overwhelming majority of the States of the region for it to be made into a zone free of weapons of mass destruction, including nuclear weapons, has gone unheeded despite the many resolutions and decisions adopted by the United Nations General Assembly and Security Council and by the International Atomic Energy Agency (IAEA).", "Cuba considers that serious efforts must be made to implement Security Council resolution 487 (1981) and paragraph 14 of Security Council resolution 687 (1991), the resolution on this matter adopted at the 1995 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and other resolutions adopted by the General Assembly and IAEA.", "More recently, the participants in the eighth Review Conference of the Parties to the Treaty, held in May 2010, renewed these efforts and agreed to convene a conference in 2012 to follow up on that resolution, which is one of the decisions on this matter that must be implemented as soon as possible.", "The creation of a nuclear-weapon-free zone in the region of the Middle East would make an important contribution to the attainment of the goal of nuclear disarmament and would be a huge step in the peace process in that region. In order for this to happen, Israel — the only country in the region that has neither become nor stated its intention to become a party to the Non-Proliferation Treaty — must accede to the Treaty without delay and place all its nuclear facilities under comprehensive IAEA safeguards.", "In the meantime, Cuba urges the Governments concerned to put an immediate stop to the transfer to Israel of any type of nuclear equipment, information, material and facilities, resources or devices, as well as nuclear-related scientific and technological assistance. In this connection, it urges, in particular, the nuclear-weapon States parties to the Non-Proliferation Treaty to abide by the provisions of that Treaty.", "The acquisition of nuclear capability by Israel represents a threat to the security of the neighbouring States and to peace in the region, which is already in turmoil. The statements made by the Israeli Prime Minister on 12 December 2006, admitting that Israel is a nuclear-weapon State, are a source of great concern.", "Egypt", "[Original: English] [3 June 2011]", "The item entitled “Establishment of a nuclear-weapon-free zone in the Middle East” was first inscribed on the agenda of the General Assembly in 1974 at the request of the Arab Republic of Egypt and the Islamic Republic of Iran. Since 1980, the General Assembly has annually adopted a resolution calling for the establishment of a nuclear-weapon-free zone in the Middle East, and Egypt has relentlessly pursued the objective of ridding the Middle East of nuclear weapons.", "The main impediment to establishing a nuclear-weapon-free zone in the Middle East has been Israel. Egypt notes with grave concern that Israel remains the sole country in the Middle East not to adhere to the Nuclear Non-Proliferation Treaty. While all States of the Middle East have become State parties to the Non‑Proliferation Treaty, Israel persists in ignoring repeated calls for its adherence to the Treaty and the placement of its nuclear facilities under full-scope International Atomic Energy Agency (IAEA) safeguards. Its refusal to adhere to the Non‑Proliferation Treaty has perpetuated a dangerous imbalance and, accordingly, presents a threat to regional and international peace and security.", "The 2010 Review Conference of the parties to the Treaty on the Non‑Proliferation of Nuclear Weapons addressed, in its Final Document, Israel’s non-adherence to the Non-Proliferation Treaty. It recalled the importance of Israel’s accession to the Treaty and the placement of all its nuclear facilities under comprehensive IAEA safeguards and reaffirmed the urgency and importance of achieving universality of the Treaty (see NPT/CONF.2010/50).", "Egypt also reaffirms the 1995 resolution on the Middle East, and the State parties to the Non-Proliferation Treaty had reiterated unanimously at the 2000 Review Conference the importance of Israel’s accession as a non-nuclear-weapon State to the Non-Proliferation Treaty and the placement of all its nuclear facilities under comprehensive IAEA safeguards. In the 2000 Review Conference Final Document:", "The Conference recalls that in paragraph 4 of the 1995 resolution on the Middle East, the Conference “calls upon all States in the Middle East that have not yet done so, without exception, to accede to the Treaty as soon as possible and to place their nuclear facilities under full-scope International Atomic Energy Agency safeguards”. The Conference notes, in this connection, that the report of the United Nations Secretariat on the implementation of the 1995 resolution on the Middle East (NPT/CONF.2000/7) states that several States have acceded to the Treaty and that, with these accessions, all States of the region of the Middle East, with the exception of Israel, are States parties to the Treaty on the Non-Proliferation of Nuclear Weapons. The Conference welcomes the accession of these States and reaffirms the importance of Israel’s accession to the Non-Proliferation Treaty and the placement of all its nuclear facilities under comprehensive IAEA safeguards, in realizing the goal of universal adherence to the treaty in the Middle East (NPT/CONF.2008/28).", "In addition to urgent calls for the establishment of a nuclear-weapon-free zone in the Middle East, inter alia, in the context of the Non-Proliferation Treaty review processes, IAEA, the General Assembly and the Security Council called upon Israel to urgently place its nuclear facilities under the safeguards of IAEA (Security Council resolution 487 (1981)) and recalled the objective of the establishment of a nuclear-weapon-free zone in the region of the Middle East (Security Council resolution 687 (1991)).", "In an effort to establish a nuclear-weapon-free zone in the Middle East, the 2010 Review Conference emphasized the importance of a process leading to full implementation of the 1995 resolution on the Middle East and endorsed practical steps towards the establishment of a nuclear-weapon-free zone in the Middle East. The 2010 Review Conference Final Document states that the Secretary-General of the United Nations and the co-sponsors of the 1995 resolution, in consultation with the States of the region, will convene a conference in 2012, to be attended by all States of the Middle East, on the establishment of the Middle East zone free of nuclear weapons and all other weapons of mass destruction, on the basis of arrangements freely arrived at by the States of the region, and with the full support and engagement of the nuclear-weapon States. The 2012 conference shall take its terms of reference from the 1995 resolution (NPT/CONF.2010/50).", "Egypt believes that the 2012 conference is a step forward towards establishing the nuclear-weapon-free zone in the Middle East and expresses its intent to cooperate fully with all relevant parties so that the conference will have a positive and meaningful contribution towards establishing a nuclear-weapon-free zone in the Middle East.", "The early appointment, by the Secretary-General and the co-sponsors of the 1995 resolution, of a facilitator to undertake preparations for the convening of the 2012 conference and the designation of a host Government for the conference, as stipulated in the 2010 Review Conference Final Document, is essential.", "Egypt notes the call for the prompt implementation by the Secretary-General of the United Nations and the co-sponsors of the 1995 resolution of the action plan on the Middle East, the immediate appointment of a facilitator, designation of a host country and confirmation of the date of the 2012 conference as emphasized in the Final Document of the Sixteenth Ministerial Conference of the Non-Aligned Movement held in Bali, Indonesia, from 23 to 27 May 2011 and in resolution (7362) adopted by the Arab Council of Foreign Ministers on 15 May 2011 in Cairo, Egypt.", "Egypt firmly believes that the establishment of nuclear-weapon-free zones in areas of conflict contributes significantly to easing tensions, confidence-building, conflict prevention and the development of peaceful relations and mutual cooperation. Egypt believes that the only prerequisite for the commencement of negotiations on the establishment of a nuclear-weapon-free zone in the Middle East is the existence of political will, whether among States in the region or parties that have a direct stake in the region’s security and stability.", "The existence of political will has been manifested through the consensual adoption by States parties to the Non-Proliferation Treaty, including all State parties in the region, of a process leading to the establishment of a zone free of nuclear weapons and other weapons of mass destruction in the Middle East.", "This manifestation of commitment by States parties to the Non-Proliferation Treaty needs to be implemented promptly. Egypt looks forward to earnest efforts by the Secretary-General of the United Nations as well as the depository States to undertake the necessary agreed measures to pave the way for the early commencement of negotiations on the establishment of a nuclear-weapon-free zone in the Middle East.", "The success of such negotiations would represent a serious breakthrough in efforts geared towards regaining security in a region currently facing an Israeli nuclear threat that provokes further proliferation and presents security challenges.", "Egypt expresses its intent to cooperate actively with all parties in an effort to safeguard the Middle East against all nuclear threats through a comprehensive and balanced approach that can ensure the security of all States of the region against nuclear dangers through the establishment of a Middle East zone free of nuclear weapons.", "Estonia", "[Original: English]", "[19 April 2011]", "Estonia continues to support the establishment of a Middle East zone free of nuclear weapons and other weapons of mass destruction, based on arrangements freely arrived at among States of the region concerned, as elaborated in the guidelines adopted by the Disarmament Commission in 1999. Nuclear-weapon-free zones enhance regional and global peace and security and are a means of promoting disarmament, stability and confidence.", "The nuclear-weapon-free zones are in conformity with the principles of the Non-Proliferation Treaty, which is the cornerstone of the non-proliferation policy of Estonia. The Estonian Government welcomed the Final Document of the 2010 Non‑Proliferation Treaty Review Conference, adopted on 28 May 2010, which endorsed practical steps for full implementation of the 1995 resolution on the Middle East, including convening of a conference on the establishment of the Middle East zone free of weapons of mass destruction in 2012.", "Estonia is fully aware of the challenges to proliferation affecting the Middle East region and the establishment of a zone free of weapons of mass destruction and their delivery systems. Estonia has always supported the objective of universal adherence to the Non-Proliferation Treaty and encouraged all States remaining outside the Non-Proliferation Treaty to accede it. This not only regards nuclear, but also chemical and biological non-proliferation, arms control and disarmament agreements and instruments, such as the Chemical Weapons Convention and the Biological Weapons Convention and The Hague Code of Conduct against ballistic missile proliferation.", "Furthermore, Estonia considers equally important that States that are party to the Non-Proliferation Treaty comply fully with all of its provisions and with all relevant Security Council and International Atomic Energy Agency (IAEA) resolutions. In addition, Estonia is of the view that as part of the nuclear-weapon-free zone agreement, the States in the region should undertake to sign comprehensive safeguard agreements with IAEA. In order to ensure the implementation of these steps, constructive contribution by all States of the region is indispensable.", "Estonia joined, at the sixty-fourth session of the General Assembly, the adoption by consensus of resolution 65/42, entitled “Establishment of a nuclear-weapon-free zone in the region of the Middle East”. As part of these endeavours, Estonia supported the adoption of the International Atomic Energy Agency resolution (GC(54)/RES/13) entitled “Application of IAEA safeguards in the Middle East” at the fifty-fourth regular session of the General Conference of IAEA, held from 20 to 24 September 2010.", "Estonia remains committed to and recognizes the value of the implementation of the resolution on the Middle East adopted at the 1995 Review Conference.", "Iraq", "[Original: Arabic]", "[31 March 2011]", "1. Iraq appreciates that the establishment of nuclear-weapon-free zones enhances endeavours to achieve nuclear disarmament and also reinforces the security of the States concerned, bringing them closer to realizing the lofty goal of achieving and maintaining international peace and security. On the basis of that principle, Iraq has supported and contributed to the efforts that have been exerted with a view to establishing nuclear-weapon-free zones in various geographical regions and, in particular, the Middle East. The ground for any attempt to establish a nuclear-weapon-free zone in the region of the Middle East must be prepared by basic steps that include Israeli nuclear disarmament, accession by Israel to the Treaty on the Non-Proliferation of Nuclear Weapons and placement of all its nuclear installations under the International Atomic Energy Agency (IAEA) safeguards regime.", "2. Nuclear-weapon-free zones are essential to confidence-building at the regional level and can be a means of underpinning nuclear non-proliferation and strengthening the nuclear non-proliferation regime. Zones free of nuclear weapons could also constitute a means of expressing shared values that numerous parties could incorporate and foster in working towards nuclear disarmament, weapons control and non-proliferation.", "3. Iraq affirms its unshakable belief in the importance of establishing a nuclear-weapon-free zone in the Middle East. It gives practical expression to that position through its support for United Nations resolutions adopted by the General Assembly under the item concerning the establishment of a nuclear-weapon-free zone in the region of the Middle East. Iraq believes that the Middle East is currently not free of nuclear weapons because the capabilities of Israeli military nuclear installations have not been verified, whereas all the other nuclear installations of the States of the region, except those of Israel, have been placed under the IAEA safeguards regime.", "4. Iraq calls for implementation of Security Council resolution 487 (1981), which calls upon Israel urgently to place its nuclear facilities under the safeguards of IAEA, and of resolution 687 (1991), which mentions in paragraph 14 the goal of establishing in the Middle East a zone free from weapons of mass destruction.", "5. Iraq underscores the Arab demand for the goals of the 1995 and 2000 Review Conferences of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons to be implemented, and for all Parties to the Treaty to take the measures necessary for implementation of the resolution on the Middle East that was adopted at the 1995 Review and Extension Conference, as was decided at the latter of those two Conferences. At that Conference, the five nuclear-weapon States also reaffirmed their commitment to full implementation of that resolution.", "6. Iraq attaches particular importance to the affirmations of the 2010 Review Conference concerning the process that will lead to full implementation of the 1995 resolution on the Middle East and the practical steps that were set forth in the final document of the 2010 Conference, and urges the Secretary-General of the United Nations to implement them.", "7. Accession by Israel to the Treaty on the Non-Proliferation of Nuclear Weapons and the placement of all its nuclear facilities under comprehensive International Atomic Energy Agency safeguards is a basic prerequisite for establishing in the Middle East a zone free from weapons of mass destruction.", "8. Commitment by Israel to international treaties and agreements would facilitate the task of the conference on the establishment of a Middle East zone free of nuclear weapons that is to be held in 2012.", "9. Double standards should not be applied in dealing with countries that are suspected of having nuclear programmes with military applications.", "10. The Government of Iraq affirms its commitment to the resolutions that were adopted at the 135th regular session of the Council of the League of Arab States at the Foreign Minister level that was held on 2 March 2011. Resolution 7298 concerns the threat posed by Israeli nuclear weapons and weapons of mass destruction to international peace and Arab national security, while resolution 7319 concerns the dangers posed to Arab national security by Israeli space and missile-related activity.", "Ireland", "[Original: English]", "[14 June 2011]", "In compliance with paragraphs 10 and 11 of General Assembly resolution 65/42 and on foot of a request from the Office of Disarmament Affairs dated 9 March 2011, Ireland hereby submits its views to the Secretary-General on the establishment of a nuclear-weapon-free zone in the Middle East.", "Ireland has always been a strong supporter of the Nuclear Non-Proliferation Treaty. Indeed, it was a series of resolutions introduced by Ireland to the General Assembly in the 1950s that laid the groundwork for the Treaty. At the 2010 Review Conference, Ireland worked hard to secure agreement on the action plan for the three pillars of the Treaty, and on the resolution on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction. Ireland has on many occasions acknowledged and affirmed the central importance of making progress on implementing the resolution on the Middle East adopted by the 1995 Review and Extension Conference. Securing agreement on a zone free of nuclear weapons and of weapons of mass destruction in the Middle East could help in reducing tensions in the region and create the space for enhanced political engagement by States in the region.", "Ireland is active in promoting implementation of the 1995 resolution, working both nationally and with other partners. During the sixty-fifth session of the General Assembly, Ireland, acting as coordinator of the New Agenda Coalition, tabled the annual New Agenda Coalition resolution at the First Committee, entitled “Towards a nuclear-weapon-free world: accelerating the implementation of nuclear disarmament commitments”. The resolution calls on all Non-Proliferation Treaty States parties to work towards the full implementation of the resolution on the Middle East and calls on the Secretary-General and the co-sponsors of the 1995 resolution, as well as all other relevant States and organizations, to undertake all necessary preparations to implement the practical steps agreed upon at the 2010 Review Conference in this regard.", "Ireland also supported related resolutions on the Middle East of the New Agenda Coalition at the First Committee, including on the risk of nuclear proliferation in the Middle East.", "Ireland’s commitment to the full implementation of the 1995 resolution on the Middle East was recognized by the Chair of the 2010 Review Conference when he asked Ireland to chair subsidiary body 2, charged with making progress on implementing the resolution. In that subsidiary body, Ireland strove to reconcile the divergent aspirations of all Non-Proliferation Treaty States parties and succeeded in negotiating a text that commanded consensus. Central to that agreement is the holding of a conference in 2012 on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction.", "Within the European Union, too, Ireland is working to build on the momentum achieved at the 2010 Review Conference, including through active support for a European Union seminar in July 2011 with the aim of promoting confidence-building and in support of a process aimed at establishing a zone free of weapons of mass destruction and means of delivery in the Middle East. The European Union seminar is in support of the 2012 conference on the Middle East.", "Japan", "[Original: English]", "[31 May 2011]", "Japan supports the establishment of nuclear-weapon-free zones on the basis of arrangements voluntarily arrived at among the States of the regions concerned and on the condition that the establishment of such zones would contribute to regional and global stability and security.", "Lack of progress in the establishment of a weapons-of-mass-destruction-free zone in the Middle East poses a serious concern. Japan supported, and continues to fully support, the 1995 resolution on the Middle East, which calls for the establishment of an effectively verifiable Middle East zone free of weapons of mass destruction — nuclear, chemical and biological — and their delivery systems. Japan believes that progress in the establishment of a weapons-of-mass-destruction-free zone in the Middle East will further strengthen the credibility of the Treaty on the Non‑Proliferation of Nuclear Weapons. Following previous sessions, Japan again joined, at the sixty-fifth session of the General Assembly, the consensus adoption of resolution 65/42, entitled “Establishment of a nuclear-weapon-free zone in the region of the Middle East”. Japan welcomes the final document of the 2010 Review Conference, adopted on 28 May 2010, which endorsed practical steps for full implementation of the 1995 resolution on the Middle East, including convening a conference on the establishment of a Middle East zone free of weapons of mass destruction in 2012. In order to ensure steady implementation of these steps, active and constructive contributions by all States of the region are indispensable.", "In September 2010, Japan, together with nine other non-nuclear-weapon States, launched a new initiative, namely, the Non-Proliferation and Disarmament Initiative, in order to contribute to steady implementation of the conclusion and recommendations for follow-on actions of the Final Document of the 2010 Review Conference. The initiative also supports the practical steps endorsed by the 2010 Review Conference towards the convening of a conference in 2012 on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction, and stands ready to offer the necessary assistance for the realization of such a conference.", "The establishment of a zone free of nuclear and all other weapons of mass destruction and their delivery systems in the Middle East will ultimately require the adherence by all States in the region to the Non-Proliferation Treaty and the Chemical Weapons Convention. The adherence to the Comprehensive Nuclear-Test-Ban Treaty by all States in the region would also be a substantial and practical step towards this end. Japan has been actively taking part in the international efforts to encourage the universal adherence to these multilateral instruments on the disarmament of weapons of mass destruction. As part of such endeavours, Japan supported the International Atomic Energy Agency (IAEA) resolution (GC(54)/RES/13), entitled “Application of IAEA safeguards in the Middle East” at the fifty-fourth regular session of the General Conference of the IAEA, held from 20 to 24 September 2010. Furthermore, Japan on various occasions has urged Israel to become a party to the Non-Proliferation Treaty, the Biological Weapons Convention and the Chemical Weapons Convention, as well as to ratify the Comprehensive Nuclear-Test-Ban Treaty as soon as possible. Japan has also urged other Middle Eastern States to join at the earliest date the relevant treaties related to weapons of mass destruction to which they are not parties in order to foster an environment conducive to the creation of a zone free of weapons of mass destruction in the region.", "It is imperative that compliance with those legal instruments be fully assured. Japan has urged Iran to comply with the obligations and requirements in the relevant IAEA Board of Governors and United Nations Security Council resolutions regarding Iran’s nuclear programme, including the suspension of all enrichment-related activities and the ratification and implementation of the Additional Protocol. In this context, Japan also stresses the necessity of strengthening the IAEA safeguards system, which plays a vital role in underpinning the Non-Proliferation Treaty. Japan strongly believes that the conclusion of the IAEA comprehensive safeguards agreements and additional protocols by all States in the region is essential for the establishment of a nuclear-weapon-free zone. Japan, with the aim of achieving universal adherence to the comprehensive safeguards agreements and additional protocols, is ready to share its expertise and to provide technical assistance to those interested States in the region in concert with IAEA.", "Japan is firmly committed to supporting the Middle East peace process, considering that it is a key for regional stability, which is a vital factor in establishing a foundation for a zone free of weapons of mass destruction. Based on the recognition that the only way to achieve peace in the Middle East is through the realization of the peaceful coexistence between the two States — Israel and a future Palestinian state — Japan has been making its utmost efforts to that end. In particular, Japan has been promoting the following measures:", "(a) Japan maintains high-level political dialogues with both Israel and the Palestinian Authority in order to encourage them to advance the peace process. For instance, Ambassador Yutaka Iimura, Special Envoy of the Government of Japan for the Middle East, visited Israel and the Palestinian territories in July 2010, January and February 2011, in order to work with high-level officials of the relevant parties to play a responsible role in enhancing the Middle East peace process based on the two-State solution. In addition, Prime Minister Salam Fayyad of the Palestinian Authority visited Japan, at the invitation of the Government of Japan, in November 2010. He held meetings with Prime Minister Naoto Kan and then Foreign Minister Seiji Maehara and discussed various issues, including Japan’s assistance to the Palestinians and the Middle East peace process;", "(b) Japan has been actively involved in assisting the Palestinians since the Oslo Accords of 1993. As of May 2011, Japan has disbursed a total of more than $1.19 billion in assistance to the Palestinians. In fiscal year 2010, Japan extended assistance that amounts to around $100 million, in line with what Prime Minister Kan pledged at his meeting with Prime Minister Fayyad of the Palestinian Authority in Tokyo in November 2010. Prime Ministers Kan and Fayyad confirmed the importance of continuing to support the efforts for Palestinian state-building. In this regard, in September and December 2010, the Government of Japan decided to extend non-project grant aid of 2.5 billion JPY to the Palestinian Authority aiming at the promotion of economic and social development efforts by the Palestinian Authority;", "(c) The Government of Japan has actively been initiating and sponsoring various projects that will contribute to confidence-building between the Israelis and the Palestinians. In addition to that, Japan, based on its efforts in the fields mentioned above, is promoting the “Corridor for peace and prosperity” initiative through regional cooperation among Israel, the Palestinian Authority, Jordan and Japan, as its mid- and long-term effort to generate hope and trust among the peoples in the region for future coexistence and co-prosperity between Israel and a Palestinian state. The initiative requires regional cooperation. Japan, the Palestinian Authority, Israel and Jordan established “the Four-Party Consultation Unit” which has already held several meetings at the ministerial and technical levels since March 2007. As a result of the fifth technical-level meeting, held in March 2010, the four parties reaffirmed their strong commitment to the initiative and confirmed that they would continue to make their utmost efforts to establish Jericho Agro-Industrial Park by the end of 2012.", "Kazakhstan", "[Original: Russian] [7 June 2011]", "As a strong and consistent believer in the idea of non-proliferation and disarmament, Kazakhstan supports as a matter of principle the establishment of nuclear-weapon-free zones as a way to guarantee the achievement of a nuclear-free world.", "During his visit to Kazakhstan, Secretary-General Ban Ki-moon approached President Nursultan Nazarbayev, in view of Kazakhstan’s contribution to non‑proliferation and nuclear disarmament, to put forward a proposal for the establishment of a nuclear-weapon-free zone in the Middle East. The Head of State did so in his address at the Global Summit on Nuclear Security held in Washington, D.C., in April 2010, and at the third meeting of the Conference on Interaction and Confidence-building Measures in Asia held in Istanbul in June 2010.", "We strongly believe that a targeted and sustained approach to the establishment of such zones would foster trust among neighbours in the region and lay the foundations for a radical change in the situation that would lead to peace and cooperation, including in the Middle East.", "Lebanon", "[Original: Arabic] [20 May 2011]", "Lebanon affirms the following:", "– Lebanon does not possess or produce weapons of mass destruction, and is opposed to the legality of the threat or use of such weapons;", "– Lebanon complies with the resolutions adopted by the General Assembly, particularly as regards the establishment of a nuclear-weapon-free zone in the Middle East, and cooperates in efforts to eliminate weapons of mass destruction. It is apprehensive, however, about Israel’s failure to adhere to international legitimacy. Israel maintains a nuclear arsenal that constitutes a constant threat to all the countries of the region, and consequently to international peace and security;", "– Lebanon supports and welcomes all initiatives to achieve disarmament, particularly in the Middle East, and reaffirms the role of the United Nations in that regard;", "– Lebanon has updated laws and regulations to permit the monitoring of the export, transit and cross-border transport of any form of weapons of mass destruction or their accessories;", "– Lebanon does not provide assistance of any kind to any group seeking to acquire, manufacture, possess, transport, provide or use nuclear or other weapons;", "– Lebanon supports Arab conferences and initiatives aimed at eliminating the causes of tension in the Middle East by ridding the region of weapons of mass destruction. It contributes effectively to all meetings of the technical committee responsible for preparing a draft treaty on ridding the Middle East of weapons of mass destruction, particularly nuclear weapons. Lebanon stresses the danger which Israel’s nuclear armaments and other Israeli weapons of mass destruction represent for international peace and Arab national security.", "Mexico", "[Original: Spanish] [2 June 2011]", "For more than three decades, the item “Establishment of a nuclear-weapon-free zone in the region of the Middle East” has been on the agenda of the United Nations General Assembly, and numerous efforts have been made to attain the goal of eliminating nuclear weapons in that region. The Government of Mexico has supported that aim, and encourages the international community to bring it to fruition.", "The Government of Mexico believes that the expansion and establishment of nuclear-weapon-free zones on the basis of freely negotiated agreements, especially in areas of tension such as the Middle East, makes an important contribution towards achieving the total elimination of nuclear weapons.", "In addition, the Government of Mexico considers that political will on the part of the States of the region is a sine qua non for making effective progress towards the establishment of a nuclear-weapon-free zone in the Middle East.", "As a sign of its commitment to this issue, Mexico advocated the convening of the Second Conference of States Parties and Signatories to Treaties that Establish Nuclear-Weapon-Free Zones, held in New York on 30 April 2010, at which the participants adopted a declaration that was submitted to the eighth (2010) Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons as a contribution from the States parties and signatories to treaties that establish such zones.", "Mexico has traditionally supported the adoption of resolutions on the establishment of a nuclear-weapon-free zone in the Middle East, both in the First Committee of the United Nations General Assembly and in the Board of Governors of the General Conference of the International Atomic Energy Agency (IAEA).", "Lastly, through the Nuclear Non-Proliferation and Disarmament Initiative, in which 10 States participate, Mexico has reiterated the importance of promoting the establishment of a nuclear-weapon-free zone in the Middle East and the convening of a conference on the subject, scheduled for 2012, in accordance with the action plan set out in the Final Document of the 2010 Review Conference of the Parties to the Treaty, which was reflected in the ministerial declarations adopted on 22 September 2010 and 30 April 2011 by the States participating in the Initiative.", "Syrian Arab Republic", "[Original: Arabic] [6 May 2011]", "The Syrian Arab Republic believes that the only way to establish a nuclear-weapon-free zone in the Middle East and limit the threat of nuclear proliferation is for all States to accede to the Treaty on the Non-Proliferation of Nuclear Weapons in implementation of article 3 thereof, which requires States parties to conclude a comprehensive safeguards agreement with IAEA. After over 37 years in existence, the Treaty has yet to achieve that aim.", "The Syrian Arab Republic has always worked to establish a zone free from weapons of mass destruction and, in particular, nuclear weapons in the Middle East. In April 2003, on behalf of the Group of Arab States, Syria proposed an initiative to the Security Council in New York to rid the Middle East of weapons of mass destruction and, in particular, nuclear weapons. However, international conditions at the time and the positions of certain influential States in the Security Council did not favour the success of that initiative. In December 2003, the Syrian Arab Republic resubmitted the same initiative to the Security Council. It is still in blue before the Council, awaiting more favourable international conditions for its resubmission and adoption.", "The Syrian Arab Republic expresses its grave concern that Israel’s refusal to accede to the Treaty, despite numerous calls and international resolutions urging it to do so, remains the fundamental obstacle to ridding the Middle East of nuclear weapons.", "Along with its fellow Arab States, Syria made diplomatic efforts to ensure that the Final Document of the Review Conference included provisions on the Middle East and on the implementation of the 1995 resolution on the Middle East. As a result of those efforts, the Final Document includes the following provisions:", "1. It reaffirms the importance of the 1995 resolution on the Middle East and the decisions taken at the 2000 Review Conference, and stresses that the resolution remains valid until its goals have been achieved.", "2. It recalls the reaffirmation by the 2000 Review Conference of the importance of Israel’s accession to the Treaty and the placement of all its nuclear facilities under comprehensive IAEA safeguards.", "3. It stresses the necessity of adherence by all States parties to their commitments under the Treaty; urges all States in the region to take relevant steps and confidence-building measures to contribute to the realization of the objectives of the 1995 resolution on the Middle East; and calls upon all States to refrain from taking any measures that impede the establishment of a nuclear-weapon-free zone in the Middle East.", "The Government of the Syrian Arab Republic reaffirms that it stands ready to cooperate with the Secretary-General in order to establish a nuclear-weapon-free zone in the Middle East.", "Turkmenistan", "[Original: Russian] [27 April 2011]", "Information on the implementation of General Assembly resolution 65/42 on the establishment of a nuclear-weapon-free zone in the region of the Middle East", "Article 6 of the Constitutional Law of Turkmenistan on the permanent neutrality of Turkmenistan (27 December 1995)", "Turkmenistan shall not possess, produce or disseminate nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor shall it allow the establishment of military bases of foreign States in its territory.", "Foreign policy doctrine of Turkmenistan as a neutral State (27 December 1995)", "Turkmenistan shall not possess, produce or disseminate nuclear, chemical, bacteriological or other types of weapons of mass destruction, or help to create new types of such weapons or technologies for their production. Turkmenistan is a party to all the main international legal instruments providing guarantees for the creation of a system of collective security.", "In the context of the obligations governing the international behaviour of a neutral State, Turkmenistan refuses to take sides in a conflict or to allow the establishment of military bases of foreign States in its territory.", "Military Doctrine of independent and permanently neutral Turkmenistan (21 January 2009)", "Turkmenistan pledges not to possess, produce, disseminate or transport through its territory nuclear, chemical, biological or other types of weapons of mass destruction.", "Criminal Code of Turkmenistan, paragraph 3 of article 254 (Smuggling) (10 May 2010)", "(3) The transport across the customs border of Turkmenistan of narcotics; psychotropic, virulent, toxic, poisonous or radioactive substances, or explosives; arms; explosive devices, firearms or ammunition; nuclear, chemical, biological or other types of weapons of mass destruction; materials and equipment that may be used to make weapons of mass destruction and in respect of which special regulations have been established governing their transport across the customs border of Turkmenistan; strategically important raw materials; and cultural objects in respect of which special regulations have been established governing their transport across the customs border of Turkmenistan, if such act is committed without the knowledge of customs inspectors or is concealed from them through the fraudulent use of documents or means of customs identification, or are accompanied by a failure to declare goods or a false declaration of goods, shall be punished by imprisonment for three to eight years, with or without confiscation of property.", "Turkmenistan is a party to the following international instruments on disarmament and non-proliferation:", "1. The Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction (Paris, 13 January 1993);", "2. Treaty on the Non-Proliferation of Nuclear Weapons (Moscow, Washington, D.C., and London, 1 July 1968);", "3. Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (New York, 10 April 1972);", "4. Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction (Ottawa, 3 December 1997);", "5. Comprehensive Nuclear-Test-Ban Treaty (24 September 1996);", "6. International Convention for the Suppression of Terrorist Bombings (New York, 15 December 1997);", "7. International Code of Conduct against Ballistic Missile Proliferation (The Hague, 25 November 2002);", "8. Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons Which May Be Deemed to Be Excessively Injurious or to Have Indiscriminate Effects, and its Protocols on Non‑Detectable Fragments (Protocol I) and on Prohibitions or Restrictions on the Use of Mines, Booby Traps and Other Devices (Protocol II) (Geneva, 10 October 1980);", "9. Convention on the Physical Protection of Nuclear Material (opened for signature on 3 March 1980);", "10. Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime (New York, 31 May 2001);", "11. Amendment to the Convention on the Physical Protection of Nuclear Material (Vienna, 8 July 2005);", "12. Treaty on a Nuclear-Weapon-Free Zone in Central Asia (Semipalatinsk, 8 September 2006);", "13. International Convention for the Suppression of Acts of Nuclear Terrorism (New York, 13 April 2005).", "Venezuela (Bolivarian Republic of)", "[Original: Spanish] [18 April 2011]", "On various occasions the Bolivarian Republic of Venezuela has expressed its concern about the situation of injustice, instability and conflict that has prevailed for decades in the Middle East as a result of interreligious disputes and geopolitical ambitions aimed principally at achieving hegemony over the land and the water and oil resources found in that region.", "Venezuela considers that the key source of the turmoil in that region is the policy of Israel towards its neighbours and towards the Palestinian people, which has been reflected in a variety of clear violations of the human rights of the Arab peoples and of their countries’ sovereignty. What is worse, the Israeli Government, which has already on a number of occasions demonstrated its lack of respect for the resolutions of the United Nations and the International Atomic Energy Agency and for international humanitarian law, has acknowledged, in statements made by its Prime Minister on 11 December 2006, that it possesses nuclear weapons. It is thus the only nuclear-weapon State in the region and the only one that is not a party to the Treaty on the Non-Proliferation of Nuclear Weapons.", "The Venezuelan Government therefore considers that, as a fundamental step towards the achievement of a nuclear-weapon-free zone in the Middle East, Israel should finally heed the call of the United Nations and of many individual countries to accede to the Treaty and to place its nuclear facilities under International Atomic Energy Agency safeguards. It is also important to respect the various resolutions adopted on this issue and to implement the actions set out in the Final Document of the eighth Review Conference of the Parties to the Treaty, specifically in the chapter entitled “The Middle East, particularly implementation of the 1995 Resolution on the Middle East”, including the convening in 2012 of a conference on the establishment of a Middle East zone free of nuclear weapons and the appointment of a facilitator to support implementation of the 1995 Resolution on the Middle East." ]

[ "Sixty-sixth session", "Items 94 and 101 of the provisional agenda*", "Establishment of a nuclear-weapon-free zone in the region of the Middle East", "The risk of nuclear proliferation in the Middle East", "Establishment of a nuclear-weapon-free zone in the region of the Middle East", "Report of the Secretary-General", "A/66/150.", "Contents", "3. Replies received from Governments", "Introduction", "1. In paragraph 10 of its resolution 65/42, on the establishment of a nuclear-weapon-free zone in the region of the Middle East, the General Assembly requested the Secretary-General to continue to pursue consultations with the States of the region and other concerned States, in accordance with paragraph 7 of resolution 46/30 and taking into account the evolving situation in the region, and to seek from those States their views on the measures outlined in chapters III and IV of the study annexed to the report of the Secretary-General of 10 October 1990 (A/45/435), or other relevant measures, in order to move towards the establishment of a nuclear-weapon-free zone in the Middle East. In paragraph 11 of the same resolution, the Assembly also requested the Secretary-General to submit to it at its sixty-sixth session a report on the implementation of the resolution. The present report is submitted pursuant to that request.", "2. On 9 March 2011, a note verbale was sent to all Member States drawing their attention to paragraphs 10 and 11 of resolution 65/42 and seeking their views on the matter. Replies have been received from Australia, Austria, Burkina Faso, Cuba, Egypt, Estonia, Iraq, Ireland, Japan, Kazakhstan, Lebanon, Mexico, the Syrian Arab Republic, Turkmenistan and Venezuela (Bolivarian Republic of). Additional replies received will be issued as addenda to the present report.", "Observations", "3. The Secretary-General notes that the recent political changes throughout the Middle East have not in any way weakened the international consensus for the establishment of a nuclear-weapon-free zone in the Middle East. In particular, States parties to the Treaty on the Non-Proliferation of Nuclear Weapons in the region continue to attach great importance to the full implementation of the practical steps agreed to at the 2010 Review Conference of the Parties to the Treaty (see A/65/121 (Part I), para. 3).", "4. On the basis of the practical steps outlined above, the Secretary-General and the co-sponsors of the 1995 resolution on the Middle East have begun consultations with the States of the region to implement the necessary steps, including the appointment of the facilitator and the designation of the host Government, to convene a conference in 2012, with the participation of all States of the Middle East, on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction, on the basis of arrangements freely arrived at by the States of the region and with the full support and participation of the nuclear-weapon States.", "5. The Secretary-General also notes the activities undertaken in support of the implementation of the 1995 resolution on the Middle East, including the seminar hosted by the European Union and held in Brussels on 6 and 7 July 2011.", "6. The Secretary-General reiterates the urgent need to find a just and lasting solution to the Arab-Israeli conflict. The Secretary-General believes that it is in the best interests of both parties to end the conflict, to resolve all final status issues, including Jerusalem, borders, refugees and security, and to establish a sovereign, independent and viable Palestinian State living side by side with Israel in peace and security. The Secretary-General called for the implementation of all relevant Council resolutions, in particular resolutions 1850 (2008) and 1860 (2009). The Secretary-General welcomes the efforts of the United States to bring about political progress between Israel and Palestine. He called on the parties to renegotiate and discuss all core issues without preconditions without delay, with a view to a final settlement of the conflict. He would continue to work with the Quartet towards that goal. The Secretary-General stressed the importance of a comprehensive peace settlement and reaffirmed the importance of the Arab Peace Initiative in that regard. He urged all parties concerned, both within and outside the region, to adopt a constructive approach with a view to creating a stable security environment leading to a settlement that would facilitate the process of establishing a nuclear-weapon-free zone in the Middle East. The Secretary-General reiterates that the United Nations remains ready to provide any assistance that might assist in this regard.", "Replies received from Governments", "Australia", "[Original: English] [1 June 2011]", "Australia continues to support States in the region in freely establishing a Middle East zone free of nuclear weapons and other weapons of mass destruction. The Australian Government welcomes the outcome of the 2010 NPT Review Conference on the 1995 resolution on the Middle East and will support constructive efforts to advance progress towards a nuclear-weapon-free zone in the Middle East.", "Austria", "[Original: English] [31 May 2011]", "Nuclear disarmament and non-proliferation are among the main priorities of Austria ' s foreign policy. Austria has therefore consistently supported the goal of a Middle East zone free of nuclear weapons and other weapons of mass destruction, as contained in the resolution on the Middle East adopted by the 1995 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and later reaffirmed at the 2000 and 2010 Review Conferences.", "Austria welcomes the consensus reached at the 2010 Review Conference to launch a process for the full implementation of a zone free of weapons of mass destruction in the Middle East. This is an important step towards a goal that Austria fully endorses.", "A positive outcome requires a constructive approach by all concerned, in a spirit of cooperation, to seriously address the many complex challenges associated with this issue. Austria firmly believes that the process of establishing a Middle East zone free of nuclear weapons and other weapons of mass destruction will make an important contribution to building confidence and security in the Middle East and therefore welcomes all efforts in this regard.", "In addition, progress in this area is essential to the integrity of the international nuclear disarmament and non-proliferation architecture. Austria is concerned about the persistence of weapons of mass destruction in the region and the lack of universality of relevant multilateral legal instruments, most notably the Treaty on the Non-Proliferation of Nuclear Weapons, the Biological Weapons Convention and the Chemical Weapons Convention. In this regard, Austria calls on the Middle East States that have not yet done so to accede to the Treaty on the Non-Proliferation of Nuclear Weapons as non-nuclear-weapon States without delay.", "Austria hopes to contribute as much as possible to the success of this process. To that end, Austria offered to host the 2012 Middle East Conference on the establishment of a Middle East zone free of nuclear weapons and other weapons of mass destruction, as well as the establishment of an Office of the Facilitator.", "Burkina Faso", "[5 May 2011]", "Burkina Faso firmly upholds the principle of complete nuclear disarmament. It has always supported all regional and international initiatives aimed at eliminating the threat to the world posed by nuclear weapons.", "Accordingly, in 1996 Burkina Faso signed and subsequently ratified the Treaty of Pelindaba on the establishment of a nuclear-weapon-free zone in Africa. Burkina Faso is also a party to the Treaty on the Non-Proliferation of Nuclear Weapons and has always been convinced that the establishment of a nuclear-weapon-free zone in the Middle East would be an important step towards restoring mutual confidence among the States of the region. Burkina Faso therefore urges the States of the region and all other States to comply with the provisions of General Assembly resolution 65/42 of 8 December 2010.", "In accordance with the relevant provisions of that resolution, Burkina Faso supports its speedy implementation. The 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons reaffirmed the importance of Israel ' s accession to the Treaty, which would accelerate the establishment of a nuclear-weapon-free zone in the Middle East and contribute to the goal of a world free of weapons of mass destruction.", "To that end, the United Nations should initiate bilateral and multilateral dialogue among the States parties to the Treaty. Burkina Faso firmly believes that the adoption of a plan of action and a timetable for the accession of all States of the Middle East to the Treaty on the Non-Proliferation of Nuclear Weapons would be an important step towards general and complete disarmament in the region and the establishment of a zone free of weapons of mass destruction.", "Cuba", "[Original: Spanish] [7 June 2011]", "Cuba reiterates that the very existence of nuclear weapons poses a major threat to humanity. The number of nuclear weapons in the world is estimated at 22,600, of which 12,000 are in operational status. It is also unacceptable that some defence and security doctrines still do not renounce the use of such weapons and that some States have spent a great deal of money developing new types of nuclear weapons. Cuba therefore wishes to join the Movement of Non-Aligned Countries in emphasizing that nuclear disarmament is a top priority for disarmament.", "The creation of nuclear-weapon-free zones in all regions of the world is an important step towards the goal of nuclear disarmament. Cuba believes that the establishment of nuclear-weapon-free zones should be based on agreements freely negotiated among the States of the regions concerned and should include arrangements for cooperation among the States parties and signatories of the regions.", "The Treaty of Tlatelolco, which established the first nuclear-weapon-free zone, paved the way for other regions to create a world free of nuclear weapons. The First Conference of States Parties and Signatories to Treaties that Establish Nuclear-Weapon-Free Zones, held in Tlatelolco, Mexico, in 2005, and the Second Conference, held in New York on 30 April 2010, have greatly inspired the ways in which States parties to nuclear-weapon-free zones can promote cooperation among themselves, between the organs established under the relevant treaties and with other interested States.", "Unfortunately, despite the many resolutions and decisions adopted by the General Assembly and the Security Council of the United Nations and the International Atomic Energy Agency, the demand of the overwhelming majority of States in the Middle East for a Middle East zone free of weapons of mass destruction, including nuclear weapons, remains ignored.", "Cuba believes that serious efforts must be made to implement Security Council resolution 487 (1981) and paragraph 14 of resolution 687 (1991), the decisions adopted on this matter by the 1995 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and other resolutions adopted by the General Assembly and the International Atomic Energy Agency.", "More recently, at the eighth Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons, held in May 2010, participants continued these efforts and agreed to convene a conference in 2012 to follow up on the implementation of the resolution, which is one of the decisions that must be implemented as soon as possible on this matter.", "The establishment of a nuclear-weapon-free zone in the Middle East would make an important contribution to nuclear disarmament and would be an important step in the peace process in the region. To that end, Israel, the only State in the region that is not a party to the Treaty on the Non-Proliferation of Nuclear Weapons and has never expressed its intention to do so, must accede to the Treaty without delay and place its nuclear facilities under full-scope International Atomic Energy Agency safeguards.", "At the same time, Cuba urges the Governments concerned to immediately cease the transfer to Israel of any type of nuclear equipment, information, material and facilities, resources or devices, as well as scientific and technical assistance in the nuclear field. In this regard, Cuba urges States parties to the Treaty on the Non-Proliferation of Nuclear Weapons, in particular those possessing nuclear weapons, to comply with the provisions of the Treaty.", "Israel ' s acquisition of nuclear capabilities poses a threat to the security of neighbouring countries and to an already volatile regional peace. In his statement of 12 December 2006, the Prime Minister of Israel recognized Israel as a nuclear-weapon State and was deeply concerned.", "Egypt", "[3 June 2011]", "The item entitled “Establishment of a nuclear-weapon-free zone in the region of the Middle East” was first included in the agenda of the General Assembly in 1974, at the request of the Arab Republic of Egypt and the Islamic Republic of Iran. Every year since 1980, the General Assembly has adopted a resolution on the establishment of a nuclear-weapon-free zone in the Middle East, and Egypt has continuously sought to achieve the goal of ridding the Middle East of the threat of nuclear weapons.", "The main obstacle to the establishment of a nuclear-weapon-free zone in the Middle East is Israel. Egypt notes with grave concern that Israel remains the only Middle East State in non-compliance with the Treaty on the Non-Proliferation of Nuclear Weapons. All the States of the Middle East have become parties to the Treaty on the Non-Proliferation of Nuclear Weapons, while Israel has ignored repeated calls to comply with the Treaty and to place its nuclear facilities under comprehensive International Atomic Energy Agency (IAEA) safeguards, thus perpetuating the dangerous imbalance in the region and threatening regional and international peace and security.", "The 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons referred in its final document to Israel ' s non-compliance with the Treaty on the Non-Proliferation of Nuclear Weapons. The Conference recalls the importance of Israel ' s accession to the Treaty on the Non-Proliferation of Nuclear Weapons and placement of all its nuclear facilities under comprehensive International Atomic Energy Agency safeguards, and reaffirms the urgent need to achieve the universality of the Treaty (see NPT/CONF.2010/50).", "Egypt also reaffirms the 1995 resolution on the Middle East, and the States parties to the Treaty on the Non-Proliferation of Nuclear Weapons unanimously reaffirmed at the 2000 Review Conference the need for Israel to accede to the Treaty on the Non-Proliferation of Nuclear Weapons and to place all its nuclear facilities under comprehensive IAEA safeguards. In its Final Document, the 2000 Review Conference:", "Recalling operative paragraph 4 of the 1995 resolution on the Middle East “calls upon all States in the Middle East that have not yet done so, without exception, to accede to the Treaty as soon as possible and to place their nuclear facilities under full-scope IAEA safeguards”. The Conference notes, in this regard, that the report of the United Nations Secretariat on the implementation of the 1995 resolution on the Middle East (NPT/CONF.2000/7), states that a number of States have acceded to the Treaty and that, with their accession, all States of the Middle East region, with the exception of Israel, have become parties to the Treaty on the Non-Proliferation of Nuclear Weapons. The Conference welcomes the accession of those States and reaffirms the importance of Israel ' s accession to the Treaty on the Non-Proliferation of Nuclear Weapons and placement of all its nuclear facilities under comprehensive IAEA safeguards, in realizing the goal of universal adherence to the Treaty in the Middle East (NPT/CONF.2000/28).", "In addition to the urgent call for the establishment of a nuclear-weapon-free zone in the region of the Middle East, including on the occasion of the NPT review process, the IAEA, the General Assembly and the Security Council have also made an urgent appeal to Israel to place its nuclear facilities under IAEA safeguards. Security Council resolution 487 (1981) and recalling the objective of establishing a nuclear-weapon-free zone in the region of the Middle East (Security Council resolution 687 (1991)).", "In an effort to build a nuclear-weapon-free zone in the Middle East, the 2010 Review Conference emphasized the importance of a process leading to the full implementation of the 1995 resolution on the Middle East and endorsed practical steps towards the establishment of a nuclear-weapon-free zone in the Middle East. The Final Document of the 2010 Review Conference stated that the Secretary-General of the United Nations and the co-sponsors of the 1995 resolution, in consultation with the States of the region, would convene a conference in 2012 with the participation of all States of the Middle East on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction on the basis of arrangements freely arrived at among the States of the region and with the full support and participation of the nuclear-weapon States. The 2012 Conference should take the 1995 resolution as its terms of reference (NPT/CONF.2010/50).", "Egypt believed that the 2012 Conference had taken a step towards the establishment of a nuclear-weapon-free zone in the Middle East and expressed its willingness to cooperate with all parties concerned so that the Conference could make a positive and meaningful contribution to the establishment of a nuclear-weapon-free zone in the Middle East.", "It is important that the Secretary-General and the co-sponsors of the 1995 resolution appoint, as soon as possible, a facilitator to carry out the preparations for the 2012 Conference, in accordance with the provisions of the Final Document of the 2010 Review Conference, and to designate the host Government for the Conference.", "Egypt notes that the final document of the Sixteenth Ministerial Conference of the Non-Aligned Movement, held in Bali, Indonesia, from 23 to 27 May 2011, as well as resolution 7362, adopted by the Council of Arab Ministers for Foreign Affairs in Cairo, Egypt, on 15 May 2011, stress the call to the Secretary-General of the United Nations and the co-sponsors of the 1995 resolution to implement the plan of action on the Middle East expeditiously, to appoint immediately a facilitator, to designate the host country and to confirm the dates of the 2012 Conference.", "Egypt firmly believes that the establishment of nuclear-weapon-free zones in conflict zones contributes significantly to the reduction of tension, confidence-building, the prevention of conflicts, the development of peaceful relations and mutual cooperation. Egypt is convinced that the only prerequisite for the commencement of negotiations on the establishment of a nuclear-weapon-free zone in the Middle East is the need for political will between the countries of the region and those with a direct interest in regional security and stability.", "The political will is demonstrated by the unanimous adoption by States parties to the Treaty on the Non-Proliferation of Nuclear Weapons, including all States parties in the region, of a process to promote the establishment of a Middle East zone free of nuclear weapons and other weapons of mass destruction.", "The commitments made by the States parties to the Treaty on the Non-Proliferation of Nuclear Weapons must be implemented expeditiously. Egypt looks forward to serious efforts by the Secretary-General of the United Nations and the depositary of the Treaty to take the necessary measures agreed upon to pave the way for the early commencement of negotiations on the establishment of a nuclear-weapon-free zone in the Middle East.", "The Middle East region is currently facing an Israeli nuclear threat that is posing further proliferation risks and challenges to security. A successful outcome would be a major breakthrough in efforts to regain regional security.", "Egypt intends to cooperate actively with all parties in their efforts to maintain security in the Middle East, address all nuclear threats and ensure the security of all States in the region and eliminate nuclear dangers through the establishment of a nuclear-weapon-free zone in the Middle East, in a comprehensive and balanced manner.", "Estonia", "[Original: English] [19 April 2011]", "Estonia continues to support the establishment of a Middle East zone free of nuclear weapons and other weapons of mass destruction on the basis of arrangements freely arrived at among the States of the region concerned, as stipulated in the guidelines adopted by the Disarmament Commission in 1999. Nuclear-weapon-free zones enhance regional and global peace and security and are a means of promoting nuclear disarmament, stability and confidence.", "Nuclear-weapon-free zones are in line with the principles of the Treaty on the Non-Proliferation of Nuclear Weapons, which is the basis of Estonia ' s non-proliferation policy. The Government of Estonia welcomes the Final Document of the 2010 NPT Review Conference, adopted on 28 May 2010, which endorsed practical steps for the full implementation of the 1995 resolution on the Middle East, including the convening of a conference in 2012 on the establishment of a Middle East zone free of weapons of mass destruction.", "Estonia is fully aware of the proliferation challenges affecting the Middle East region and the challenges of establishing a zone free of weapons of mass destruction and their delivery systems. Estonia has consistently supported the goal of universal adherence to the Treaty on the Non-Proliferation of Nuclear Weapons and encourages all States that have not yet done so to accede to the Treaty. This is true not only in the nuclear field, but also in the non-proliferation of chemical and biological weapons, arms control and disarmament agreements and instruments such as the Chemical Weapons Convention, the Biological Weapons Convention and the Hague Code of Conduct against Ballistic Missile Proliferation.", "Furthermore, Estonia believes that full compliance by States parties to the Treaty on the Non-Proliferation of Nuclear Weapons with all the provisions of the Treaty and the resolutions of the Security Council and the International Atomic Energy Agency (IAEA) is equally important. Furthermore, Estonia believes that States in the region should undertake to accede to comprehensive IAEA safeguards agreements as an integral part of nuclear-weapon-free zone agreements. To ensure the implementation of these steps, the constructive contribution of the countries of the region is indispensable.", "At the sixty-fourth session of the General Assembly, Estonia participated in the unanimous adoption of resolution 65/42, entitled “Establishment of a nuclear-weapon-free zone in the region of the Middle East”. As part of these efforts, Estonia supports the International Atomic Energy Agency resolution entitled “Application of International Atomic Energy Agency safeguards in the Middle East” (GC(54)/RES/13), adopted at the fifty-fourth regular session of the IAEA General Conference, held from 20 to 24 September 2010.", "Estonia remains committed to the implementation of the resolution on the Middle East adopted at the 1995 Review Conference and recognizes the value of that implementation.", "Iraq", "[Original: Arabic] [31 March 2011]", "1. Iraq believes with appreciation that the establishment of nuclear-weapon-free zones enhances efforts to achieve nuclear disarmament, consolidates the security of the countries concerned and reduces their distance in order to achieve the noble goal of achieving and maintaining international peace and security. On the basis of that principle, Iraq supports and contributes to efforts to establish a nuclear-weapon-free zone in all geographical regions, particularly in the Middle East. Basic steps should be taken to lay the foundations for an attempt to establish a nuclear-weapon-free zone in the Middle East, including nuclear disarmament by Israel, accession to the Treaty on the Non-Proliferation of Nuclear Weapons and placement of all its nuclear facilities under comprehensive International Atomic Energy Agency safeguards.", "Nuclear-weapon-free zones are essential for confidence-building at the regional level and can be a means of laying the foundation for nuclear non-proliferation and strengthening the nuclear non-proliferation regime. Nuclear-weapon-free zones can also be a means of expressing common values that can be formed and developed as all parties work towards nuclear disarmament, arms control and non-proliferation.", "Iraq affirms its firm belief in the importance of the establishment of a nuclear-weapon-free zone in the Middle East. By supporting the United Nations resolutions adopted by the General Assembly under the agenda item on the establishment of a nuclear-weapon-free zone in the region of the Middle East, Iraq has effectively expressed this position. Iraq believes that the current inability to eliminate nuclear weapons in the Middle East is due to the unverified capabilities of Israel ' s military nuclear facilities, all of which, with the exception of Israel, have been placed under IAEA safeguards.", "Iraq calls for the implementation of Security Council resolutions 487 (1981) and 687 (1991). Resolution 487 (1981) urgently calls upon Israel to place its nuclear equipment under IAEA safeguards. Paragraph 14 of resolution 687 (1991) refers to the goal of a zone free of weapons of mass destruction in the Middle East.", "5. Iraq stresses the Arab call for the implementation of the goals of the 1995 and 2000 Review Conferences of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and for the parties to the Treaty to take the necessary measures to implement the resolution on the Middle East adopted by the 1995 Review and Extension Conference, in accordance with the decision of the 2000 Review Conference. At the Conference, the five nuclear-weapon States also renewed their commitment to the full implementation of the resolution.", "6. Iraq attaches great importance to the declaration of the 2010 Review Conference on the process to promote the full implementation of the 1995 resolution on the Middle East and the practical steps contained in the final document of the Conference, and urges the Secretary-General of the United Nations to implement them.", "7. Israel ' s accession to the Treaty on the Non-Proliferation of Nuclear Weapons and the placement of all its nuclear facilities under comprehensive International Atomic Energy Agency safeguards are essential prerequisites for the establishment of a zone free of weapons of mass destruction in the Middle East.", "8. Israel ' s commitment to international treaties or agreements could contribute to the realization of the mandate of the conference to be held in 2012 on the establishment of a nuclear-weapon-free zone in the Middle East.", "9. Double standards should not be applied to States suspected of having nuclear programmes for military purposes.", "10. The Government of Iraq affirms its commitment to comply with the resolutions adopted by the Council of the League of Arab States at its 135th ordinary session at the level of Foreign Ministers on 2 March 2011. Resolution 7298 deals with the threat posed by Israeli nuclear weapons and weapons of mass destruction to international peace and Arab national security, while resolution 7319 deals with the danger to Arab national security posed by Israeli space and missile activities.", "Ireland", "[14 June 2011]", "Pursuant to paragraphs 10 and 11 of General Assembly resolution 65/42 and in accordance with the request of the Office for Disarmament Affairs of 9 March 2011, Ireland has the honour to submit to the Secretary-General its views on the establishment of a nuclear-weapon-free zone in the Middle East.", "Ireland has been a strong supporter of the Nuclear Non-Proliferation Treaty. In fact, it was Ireland that laid the foundation for the Treaty by submitting a series of resolutions to the General Assembly in the 1950s. At the 2010 Review Conference, Ireland worked very hard to ensure that an agreed action plan was agreed on the three pillars of the Treaty and on a resolution establishing a Middle East zone free of nuclear weapons and all other weapons of mass destruction. Ireland has repeatedly acknowledged and affirmed the critical importance of progress in the implementation of the resolution on the Middle East adopted at the 1995 Review and Extension Conference. An agreement on a Middle East zone free of nuclear weapons and weapons of mass destruction could help to reduce tensions in the region and create space for increased political engagement by the States of the region.", "Ireland actively promotes the implementation of the 1995 resolution at the national level and with other partners. During the sixty-fifth session of the General Assembly, Ireland, as coordinator of the New Agenda Coalition, presented in the First Committee the annual New Agenda Coalition resolution entitled “Towards a nuclear-weapon-free world: accelerating implementation of nuclear disarmament commitments”. The resolution called upon all States parties to the NPT to work towards the full implementation of the resolution on the Middle East and called upon the Secretary-General and the co-sponsors of the 1995 resolution, as well as all other interested States and organizations, to make all necessary preparations to implement the practical steps agreed at the 2010 Review Conference in that regard.", "Ireland also supports in the First Committee the relevant New Agenda Coalition resolutions on the Middle East, including the resolution on the risk of nuclear proliferation in the Middle East.", "Ireland ' s commitment to the full implementation of the 1995 resolution on the Middle East had been endorsed by the President of the 2010 Review Conference, who had called on Ireland to chair subsidiary body 2, which was responsible for making progress in the implementation of the resolution. Within this subsidiary body, Ireland has worked hard to reconcile the different aspirations of all NPT States parties and has been able to negotiate a consensus text. A key element of this agreement is the convening in 2012 of a conference on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction.", "Within the European Union, Ireland is also working to take advantage of the winds of the 2010 Review Conference, including by actively supporting the European Union ' s July 2011 seminar aimed at promoting confidence-building and supporting a process aimed at establishing a Middle East zone free of weapons of mass destruction and means of transport. The European Union seminar was held in support of the 2012 conference on the Middle East.", "Japan", "[Original: English] [31 May 2011]", "Japan supports the establishment of nuclear-weapon-free zones, provided that they are based on arrangements freely arrived at by the States of the region concerned and on conditions conducive to regional and global stability and security.", "The lack of progress in establishing a zone free of weapons of mass destruction in the Middle East is a matter of grave concern. Japan has supported and continues to fully support the 1995 resolution on the Middle East, which calls for the establishment of an effectively verifiable Middle East zone free of weapons of mass destruction (nuclear, chemical and biological) and their delivery systems. Japan is confident that progress towards a zone free of weapons of mass destruction in the Middle East will further enhance the credibility of the Treaty on the Non-Proliferation of Nuclear Weapons (NPT). As at previous sessions, Japan again supported resolution 65/42, entitled “Establishment of a nuclear-weapon-free zone in the region of the Middle East”, which was adopted by consensus at the sixty-fifth session of the General Assembly. Japan welcomes the Final Document of the 2010 NPT Review Conference, adopted on 28 May 2010, which endorsed practical steps for the full implementation of the 1995 resolution on the Middle East, including the convening of a conference in 2012 on the establishment of a Middle East zone free of weapons of mass destruction. The active and constructive contribution of all States in the region is essential to ensure the steady implementation of these steps.", "In September 2010, Japan, together with nine other non-nuclear-weapon States, launched a new initiative, the Non-Proliferation and Disarmament Initiative, to promote the steady implementation of the conclusions and recommendations for follow-on actions of the Final Document of the 2010 Review Conference. It also supported the practical steps endorsed by the 2010 Review Conference towards the convening of a conference in 2012 on the establishment of a Middle East zone free of nuclear weapons and all other weapons of mass destruction and stood ready to provide the necessary assistance for the convening of the conference.", "The establishment of a Middle East zone free of nuclear and all other weapons of mass destruction and their delivery systems ultimately requires all States in the region to accede to the NPT and the Chemical Weapons Convention. The accession of all States in the region to the Comprehensive Nuclear-Test-Ban Treaty would also be an important and practical step towards that end. Japan has been actively involved in international efforts to encourage universal adherence to these multilateral instruments on the disarmament of weapons of mass destruction. As part of these efforts, Japan supported the resolution entitled “Application of International Atomic Energy Agency safeguards in the Middle East” (GC(54)/RES/13), adopted by the General Conference of the International Atomic Energy Agency at its fifty-fourth regular session from 20 to 24 October 2010. Furthermore, Japan has on various occasions urged Israel to accede to the NPT, the Biological Weapons Convention and the Chemical Weapons Convention and to ratify the Comprehensive Nuclear-Test-Ban Treaty as soon as possible. Japan has also urged other States in the Middle East to accede to the relevant treaties on weapons of mass destruction to which they are not yet parties as soon as possible in order to promote an environment conducive to the establishment of a zone free of weapons of mass destruction in the region.", "Compliance with those legal instruments must be fully ensured. Japan has urged Iran to comply with the provisions of all relevant resolutions of the IAEA Board of Governors and the United Nations Security Council on its nuclear programme, including the suspension of all activities related to uranium enrichment and the ratification and implementation of the Additional Protocol. In this context, Japan also stresses the need to strengthen the IAEA safeguards system, which plays a significant role in consolidating the NPT. Japan strongly believes that the conclusion of comprehensive IAEA safeguards agreements and additional protocols by all States in the region is necessary for the establishment of a nuclear-weapon-free zone. With a view to achieving universal adherence to comprehensive safeguards agreements and additional protocols, Japan stands ready to share its expertise with interested States in the region and to provide technical assistance to them in cooperation with IAEA.", "Japan is firmly committed to supporting the Middle East peace process as a key to regional stability, which is an important element in laying the foundations for a zone free of weapons of mass destruction. Recognizing that the only way to achieve peace in the Middle East is through peaceful coexistence between two States, Israel and Palestine, Japan has been fully committed to that end, in particular by taking the following measures:", "(a) Japan maintains high-level political dialogue with both Israel and the Palestinian Authority in order to encourage them to advance the peace process. For example, the Japanese Government ' s Special Envoy for the Middle East, Ambassador Ishimura, visited Israel and the Palestinian territories in July 2010 and February 2011 and, together with senior officials of the relevant parties, encouraged them to play a responsible role in promoting the Middle East peace process based on the two-State solution. In addition, the Prime Minister of the Palestinian Authority, Salam Fayyad, visited Japan in November 2010, at the invitation of the Government of Japan, to meet and discuss various issues, including Japan ' s assistance to the Palestinians and the Middle East peace process, with the then Prime Minister and Foreign Minister Zhang Nao and the former Minister;", "(b) Japan has been actively involved in assisting the Palestinians since the Oslo Accords of 1993. As of May 2011, Japan had provided more than $1.19 billion in assistance to Palestinians. In fiscal year 2010, the Government of Japan provided approximately $100 million in assistance, in line with commitments made by Prime Minister Xinjiang at his meeting with Prime Minister Fayyad of the Palestinian Authority in Tokyo in November 2010. Prime Ministers Kan and Fayyad affirmed the importance of continuing to support Palestinian State-building efforts. In this regard, in September and December 2010, the Government of Japan decided to provide 2.5 billion yen in non-project grant assistance to the Palestinian Authority with the aim of promoting the economic and social development of the Palestinian Authority;", "(c) The Government of Japan has actively initiated and sponsored a number of projects that contribute to confidence-building between Israelis and Palestinians. In addition, Japan, building on its efforts in the above-mentioned areas, is promoting the initiative to establish a “corridor of peace and prosperity” through regional cooperation between Israel, the Palestinian Authority, Jordan and Japan as a medium- and long-term effort to bring to the peoples of the region hope and trust for future co-existence and prosperity between the Israeli and Palestinian States. Regional cooperation is necessary to implement this initiative. Japan, the Palestinian Authority, Israel and Jordan established the “quartet” and have held several ministerial and technical-level meetings since March 2007. The fifth technical-level meeting, held in March 2010, led the Quartet to reaffirm its strong commitment to the initiative and to confirm that it would continue to do its utmost to complete the Jericho Agro-Industries Park by the end of 2012.", "Kazakhstan", "[Original: Russian] [7 June 2011]", "Kazakhstan has always believed in the concept of non-proliferation and disarmament and, in principle, supports the establishment of nuclear-weapon-free zones to guarantee a world free of nuclear weapons.", "During his visit to Kazakhstan, Secretary-General Ban Ki-moon proposed to President Nursultan Nazarbayev the establishment of a nuclear-weapon-free zone in the Middle East, in view of Kazakhstan ' s contribution to non-proliferation and nuclear disarmament. This was done when the Head of State of Kazakhstan addressed the Global Nuclear Security Summit, held in Washington, D.C., in April 2010, and the Third Conference on Interaction and Confidence-building Measures in Asia, held in Istanbul in June 2010.", "We are convinced that a targeted and sustained approach to the establishment of nuclear-weapon-free zones will promote confidence among neighbouring countries in the region and lay the foundations for a dramatic change in the situation and for peace and cooperation, including in the Middle East.", "Lebanon", "[Original: Arabic] [20 May 2011]", "Lebanon affirms that:", "- Lebanon does not possess weapons of mass destruction and is convinced that the use or threat of use of such weapons is unlawful;", "- Lebanon abides by the resolutions adopted by the General Assembly, in particular those relating to the establishment of a nuclear-weapon-free zone in the Middle East, and cooperates in the elimination of weapons of mass destruction. Lebanon is concerned about Israel ' s failure to comply with international law. Israel ' s nuclear arsenal constitutes a threat to all States in the region, and thus to international peace and security;", "- Lebanon supports and welcomes all initiatives on disarmament, particularly in the Middle East region, and reaffirms the role of the United Nations in this regard;", "- Lebanon has updated its laws and regulations to permit the monitoring of the export, transit and cross-border transport of any form of weapons of mass destruction or related items;", "- Lebanon does not provide any form of assistance to any group seeking to acquire, manufacture, possess, transport, supply or use nuclear or other weapons;", "– Lebanon supports the convening of Arab conferences and initiatives aimed at eliminating the root causes of tension in the Middle East with a view to achieving a region free of weapons of mass destruction. This has greatly contributed to all the meetings of the Technical Committee responsible for drafting a draft treaty to achieve a Middle East free of weapons of mass destruction, in particular nuclear weapons. Lebanon emphasizes that Israeli nuclear armament and other weapons of mass destruction constitute a threat to international peace and Arab national security.", "Mexico", "[Original: Spanish] [2 June 2011]", "The item “Establishment of a nuclear-weapon-free zone in the region of the Middle East” had been on the agenda of the United Nations General Assembly for more than 30 years; many efforts had been made to achieve the goal of the elimination of nuclear weapons in the region. His Government supported that aim and encouraged the international community to contribute to its achievement.", "The Government of Mexico believes that the expansion and establishment of nuclear-weapon-free zones on the basis of freely negotiated agreements, particularly in regions of tension such as the Middle East, is a significant contribution to the total elimination of nuclear weapons.", "Furthermore, the Government of Mexico believes that the political will of the States of the region is a sine qua non for real progress towards the goal of a nuclear-weapon-free zone in the Middle East.", "In keeping with its commitment to this issue, Mexico advocated the convening of the Second Conference of States Parties and Signatories to Treaties that Establish Nuclear-Weapon-Free Zones (New York, 30 April 2010), at which the participants adopted a declaration to be submitted to the Eighth Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (2010) as a contribution by States parties and signatories to treaties establishing nuclear-weapon-free zones.", "Mexico has traditionally supported the adoption of resolutions establishing a nuclear-weapon-free zone in the Middle East, both in the First Committee of the United Nations General Assembly and in the Board of Governors of the General Conference of the International Atomic Energy Agency (IAEA).", "Finally, through its nuclear non-proliferation and nuclear disarmament initiative, to which 10 States are parties, Mexico reaffirms the importance of promoting the establishment of a nuclear-weapon-free zone in the Middle East and of convening a major conference on this issue, to be held in 2012, in accordance with the action plan set out in the Final Document of the 2010 Review Conference of the Parties to the Treaty, as reflected in the ministerial declarations adopted by the States participating in the initiative on 22 September 2010 and 30 April 2011.", "Syrian Arab Republic", "[Original: Arabic] [6 May 2011]", "The Syrian Arab Republic believes that the only way to establish a nuclear-weapon-free zone in the Middle East and limit the threat of nuclear proliferation is for all States to accede to the Treaty on the Non-Proliferation of Nuclear Weapons and implement its article 3, which requires States parties to conclude comprehensive safeguards agreements with IAEA. More than 37 years into its existence, the Treaty has not achieved that goal.", "The Syrian Arab Republic has been working to establish a Middle East zone free of weapons of mass destruction, in particular nuclear weapons. In April 2003, Syria, on behalf of the Group of Arab States, presented an initiative to the Security Council in New York to achieve a Middle East free of weapons of mass destruction, in particular nuclear weapons. However, the international conditions of the time and the positions of some influential States in the Security Council have impeded the success of this initiative. In December 2003, the Syrian Arab Republic resubmitted the initiative to the Security Council. It is still before the Council in the form of a preliminary draft, awaiting more favourable international conditions before being resubmitted for approval.", "The Syrian Arab Republic expresses its grave concern at Israel ' s refusal to accede to the Treaty, despite repeated calls for its accession and the adoption of international resolutions, which remains a fundamental obstacle to the achievement of a nuclear-weapon-free Middle East.", "Syria, together with other Arab States, has made diplomatic efforts to ensure that the Final Document of the Review Conference contains provisions on the Middle East and the implementation of the 1995 resolution on the Middle East. As a result of these efforts, the Final Document contains the following provisions:", "1. Reaffirms the importance of the 1995 resolution on the Middle East and the decisions taken at the 2000 Review Conference, and stresses that the resolution remains valid until its objectives have been achieved.", "2. Recalls that the 2000 Review Conference reaffirmed the importance of Israel ' s accession to the Treaty and placement of all its nuclear facilities under full-scope IAEA safeguards.", "3. Stresses the importance of the implementation by all States parties of their commitments under the Treaty; urges all States in the region to take relevant steps and confidence-building measures to achieve the goals of the 1995 resolution on the Middle East; and calls upon all States to refrain from any measures that impede the establishment of a nuclear-weapon-free zone in the Middle East.", "The Government of the Syrian Arab Republic reaffirms its readiness to cooperate with the Secretary-General with a view to establishing a nuclear-weapon-free zone in the Middle East.", "Turkmenistan", "[Original: Russian] [27 April 2011]", "Implementation of General Assembly resolution 65/42 on the establishment of a nuclear-weapon-free zone in the region of the Middle East", "Article 6 of the Constitution of Turkmenistan on the permanent neutrality of Turkmenistan (27 December 1995)", "Turkmenistan does not possess, produce or disseminate nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor does it permit the establishment of foreign military bases on its territory.", "Principles of Turkmenistan ' s foreign policy as a neutral State (27 December 1995)", "Turkmenistan does not possess, produce or disseminate nuclear, chemical, bacteriological or other types of weapons of mass destruction, nor does it contribute to the construction of new types of such weapons or the technology for their production. Turkmenistan is a party to all the main international legal instruments that guarantee the establishment of a collective security system.", "Turkmenistan fulfils its obligations with regard to the international conduct of neutral States, does not support any party in conflicts and does not permit the establishment of foreign military bases on its territory.", "Military principles of independent and permanently neutral Turkmenistan (21 January 2009)", "Turkmenistan undertakes not to possess, produce, disseminate or transport through its territory nuclear, chemical or biological weapons or other types of weapons of mass destruction.", "Article 254, paragraph 3, of the Criminal Code of Turkmenistan (smuggling) (10 May 2010)", "(3) The following acts, if they are not known to the customs inspectors, or if they are concealed by means of documents or customs identification, or are accompanied by undeclared or false declarations of goods, are punishable by imprisonment for a term of three to eight years, with or without confiscation of property: the transport of narcotics through the customs of Turkmenistan; psychotropic, toxic, toxic or radioactive substances or explosives; arms, explosive devices, firearms or ammunition; nuclear, chemical or biological weapons or other types of weapons of mass destruction; materials and equipment that may be used for the manufacture of weapons of mass destruction (and special regulations have been established for the transport of such materials and equipment through the customs of Turkmenistan); raw materials of strategic significance; and cultural objects (for the transport of such objects through the customs of Turkmenistan, special regulations have been established).", "Turkmenistan is a party to the following international disarmament and non-proliferation instruments:", "1. Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction (Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction) Paris, 13 January 1993;", "Treaty on the Non-Proliferation of Nuclear Weapons (Moscow, Washington and London, 1 July 1968);", "3. Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC) New York, 10 April 1972;", "4. Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-personnel Mines and on Their Destruction Ottawa, 3 December 1997;", "Comprehensive Nuclear-Test-Ban Treaty (24 September 1996);", "International Convention for the Suppression of Terrorist Bombings (New York, 15 December 1997);", "7. The Hague Code of Conduct against Ballistic Missile Proliferation (HCOC) The Hague, 25 November 2002;", "8. The Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons Which May Be Deemed to Be Excessively Injurious or to Have Indiscriminate Effects and its annexed Protocols I Protocol on Non-Detectable Fragments, and II Protocol on Prohibitions or Restrictions on the Use of Mines, Booby Traps and Other Devices (CCW/CONF.II/CONF.II/CONF.I/12/Add.1) Geneva, 10 October 1980;", "9. Convention on the Physical Protection of Nuclear Material (opened for signature on 3 March 1980);", "10. Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime (see annex). New York, 31 May 2001;", "11. Amendment to the Convention on the Physical Protection of Nuclear Material (Vienna, 8 July 2005);", "12. Treaty on a Nuclear-Weapon-Free Zone in Central Asia (8 September 2006, Sérgio Lagos);", "International Convention for the Suppression of Acts of Nuclear Terrorism (New York, 13 April 2005).", "Venezuela (Bolivarian Republic of)", "[Original: Spanish] [18 April 2011]", "The Bolivarian Republic of Venezuela has repeatedly expressed its concern at the situation of injustice, instability and conflict in the Middle East for decades, which is the result of interreligious strife and territorial ambitions (mainly for the seizure of land and water and of oil resources found in the region).", "Venezuela believes that the key source of instability in the region lies in Israel ' s policy towards its neighbours and against the Palestinian people, which has been reflected in a number of clear violations of the human rights of Arab peoples and their national sovereignty. Moreover, the Government of Israel, which on several occasions has stated that it does not respect the resolutions of the United Nations and the International Atomic Energy Agency and that it does not respect international humanitarian law, has acknowledged its possession of nuclear weapons through statements made by its Prime Minister on 11 December 2006. Therefore, Israel is the only nuclear-weapon State in the region and the only State not to have acceded to the Treaty on the Non-Proliferation of Nuclear Weapons.", "That is why the Government of Venezuela believes that, as a crucial step towards a nuclear-weapon-free zone in the Middle East, Israel should finally heed the call of the United Nations and many individual States to accede to the Treaty and place its nuclear facilities under International Atomic Energy Agency safeguards. It is also important to respect the resolutions adopted on this issue and to implement the actions set out in the Final Document of the Eighth Review Conference of the Parties to the Treaty, in particular the section entitled \" Implementation of the 1995 Resolution on the Middle East \" , including the convening in 2012 of a conference on the establishment of a nuclear-weapon-free zone in the Middle East and the appointment of a facilitator to support the implementation of the 1995 Resolution on the Middle East." ]

[ "第六十六届会议", "^(*) A/66/50。", "暂定项目表^(*) 项目99(i)", "全面彻底裁军", "区域和次区域两级的常规军备控制", "秘书长的报告", "目录", "页次\n1.导言 3\n2.会员国提交的答复 3\n亚美尼亚 3\n哥伦比亚 4\n刚果 5\n萨尔瓦多 7\n约旦 7\n哈萨克斯坦 8\n黎巴嫩 9\n墨西哥 9\n黑山 10\n挪威 13\n葡萄牙 13\n俄罗斯联邦 14\n土库曼斯坦 15\n乌克兰 15", "一． 导言", "1. 2010年12月8日大会关于区域和次区域两级的常规军备控制的第65/46号决议决定紧急审议区域和次区域两级的常规军备控制所涉及的各种问题，并请秘书长征求各会员国对本主题的意见，向大会第六十六届会议提出报告。本报告就是根据这一要求提交的。", "2. 2011年3月9日，秘书处向各会员国发出普通照会，征求各国对本主题的意见。截至本报告编写之时，共收到以下14个国家的答复： 亚美尼亚、哥伦比亚、刚果、萨尔瓦多、约旦、哈萨克斯坦、黎巴嫩、墨西哥、黑山、挪威、葡萄牙、俄罗斯联邦、土库曼斯坦和乌克兰。这些答复转载于本报告第二节。以后收到的答复将作为增编印发。", "二. 会员国提交的答复", "亚美尼亚", "[原件：英文] [2011年5月19日]", "可以借大会第65/46号决议提供的机会，来重点讨论与区域和次区域两级常规军备控制有关的各种挑战，确定问题和不足，并寻找解决方案。", "在处理军备控制问题时，亚美尼亚高度重视在国际组织特别是联合国和欧洲安全与合作组织的框架内开展合作。", "欧洲安全与合作组织", "欧安组织通过其预防冲突中心和安全合作论坛处理军备控制、裁军和安全合作问题。负责监督《欧洲常规武装力量条约》执行情况的联合协商小组虽然并不是欧安组织的正式部门，但同其他机构的工作有着密切联系。", "安全合作论坛讨论的内容涵盖《1999年维也纳文件》、《行为守则》、《全球军事信息交流》，以及有关杀伤人员地雷、小武器和轻武器、各国出口管制做法等问题。所有这些均设想每年进行有关的信息交流，在《维也纳文件》方面，还进行检查和评价访问。亚美尼亚每年接受3次指定地区检查及一次评价访问。目前更新《1999年维也纳文件》的进程非常及时，将会提高军事透明度，加强建立信任工作。", "欧安组织年度安全审查会议、欧安组织年度执行情况评估会议以及欧安组织审查小武器和轻武器文件会议，是预防冲突中心/安全合作论坛反思和评价欧安组织建立信任和安全措施执行情况的主要工具。", "《欧洲常规武装力量条约》", "《欧洲常规武装力量条约》是欧洲常规军备控制制度的基石，亚美尼亚认为，该条约是实现安全和军事可预测性的关键之一。自1992年以来，该条约的实施在欧洲形成了一个安全的环境，大大增强了相互信任，使重大军事冲突的可能性几乎完全消失。", "一如欧安组织其他军备控制措施，该条约也要求每年定期进行军事情报交流，并计划裁减军备和通过视察来进行核查。", "亚美尼亚完全支持关于修订该条约的谈判，并且认为，最终结果应当是一份切实可行、具有法律约束力和适应各种情况的文件，并继续致力于和平和相互信任。", "阿塞拜疆违反《欧洲常规武装力量条约》的情况", "阿塞拜疆过去十年来军事预算的多倍增长(自2000年以来增加了470%；2011年31.2亿美元的国防开支将占政府总支出的20%左右)以及阿塞拜疆喋喋不休的军事论调加剧了本地区的紧张局势，严重妨碍了旨在就现有问题达成解决方案的对话进程。阿塞拜疆公然违反《条约》规定的具有法律约束力的义务，并过度积累常规军备，是对南高加索及周边地区安全的严重威胁。", "官方资料显示，截至2011年1月1日，阿塞拜疆有两类《条约》限制的装备大大超过规定的上限。阿塞拜疆拥有的主战坦克达381辆(允许的上限是220辆)，火炮469门(允许的上限是285门)。2010年其拥有的攻击直升机和作战飞机的数量也大幅增加。", "亚美尼亚正常提醒国际社会注意此种公然违规的行为，指出对之置若罔闻的态度很危险，是不可容忍的。也正在向联合国、欧洲联盟、欧洲安全与合作组织、集体安全条约组织和北大西洋公约组织提出这一问题。如果不坚持遵守《条约》，会使目前正在维也纳进行的《条约》现代化进程陷入严重的困境。这反过来又会在次区域一级形成极为危险的军备竞赛趋势。", "哥伦比亚", "[原件：西班牙文] [2011年5月19日]", "区域和次区域两级常规军备控制的原则", "哥伦比亚特别重视缔结有约束力的文书，以便制订控制常规军备的法规，加强对国际武器转让的管制，防止将武器转移到非法市场，特别是转移给非法武装团伙或非法的非国家行为者，或用于有组织犯罪和普通犯罪。", "因此，哥伦比亚表示愿意建立起一个全球制度，为各国规定明确的国际规范，用于控制所有常规武器、小武器和轻武器、备件、弹药、爆炸物和相关部件以及补充配件及各项相关技术的国际和越境转移。", "为此，自2008年起，哥伦比亚参加了在联合国框架内为评估一项武器贸易条约的范围和可行性而建立的各种论坛。在这方面，哥伦比亚提出了以下一般性原则。哥伦比亚认为，这些原则也可用于制订区域和次区域常规军备协定：", "(a) 如《联合国宪章》第五十二条所示，区域和次区域协定应符合联合国的宗旨和原则；", "(b) 确认军备控制、裁军和不扩散对于国际和平与安全至关重要；", "(c) 遵守国际法，包括国际人权法和国际人道主义法；", "(d) 尊重《联合国宪章》所载的原则，特别是合法自卫的固有权利、所有国家的主权和平等以及不干涉内政等原则；", "(e) 所有国家均有权为合法自卫目的生产、出口、进口、转让和拥有常规军备；", "(f) 非法武装团伙、有组织犯罪和一般犯罪等各种形式的武装暴力，对每个国家的内部事务及其应对能力产生影响；有鉴于此，各国有权、有义务维护其人民安全，控制领土；", "(g) 承认向非国家行为体转让武器会对各国国内安全产生负面影响，因为这些武器可能被用于实施危害人类罪或严重违反国际人道主义法；", "(h) 禁止向非国家行为体转让常规军备；", "(i) 确认各国就安全和防卫事宜开展对话和合作的重要性，以便除其他外，改善常规军备控制体系，提高交易透明度，增进信任；", "(j) 考虑到各国的不同情况和能力，采取总体措施，改善常规军备监测和控制系统；", "• 制订控制和监测常规军备贸易所有方面的措施和程序，包括确定和监测最终用户", "• 制订明确的措施和程序，妥善管理、收集、储存和处置常规军备", "刚果", "[原件：法文] [2011年4月30日]", "导言", "联合国裁军事务厅发出普通照会，征求刚果共和国政府对起草区域常规军备控制协定的意见，对此，刚果共和国愿重申，本国承诺按照联合国集体安全的原则致力于国际和区域裁军。为此，刚果共和国谨转递本国关于起草区域常规军备控制协定的意见。", "总体背景", "非洲常规军备状况分析及意见建议", "2001年资料册所述联合国常规武器登记册对于非洲进行更好的常规军备控制至关重要。这一资料册分为五大部分。1991年12月9日联合国大会第46/36 L号决议呼吁所有会员国在区域和次区域范围内合作，充分考虑到区域或次区域内现有的具体情况，以期加强和协调旨在增加军备方面公开性和透明度的国际努力。利用该手册，我们确定了第46/36 L号决议所涉区域方面的情况。虽然从总体来说，非洲向登记册提供的材料比其他大洲少，但鉴于非洲存在许多武装冲突的热点，因而仍处于面临最严重安全挑战的大洲之列。因此，必须促进和(或)加强非洲的常规军备控制。", "1999年10月，联合国中部非洲安全问题常设咨询委员会通过了《恩贾梅纳宣言》(A/54/530-S/1999/1141)。委员会在《宣言》中建议创建一个国家和次区域统一的武器登记册，并敦促所有国家落实大会第46/36 H号决议关于国际武器转让的指导方针所载的各项建议。非洲若干国家的军备控制政策回避了联合国登记册的登记原则。《恩贾梅纳宣言》关于建立一个次区域登记册的建议无人理会。", "必须指出，即使存在次区域登记册，也只是在需要记录的武器方面补充联合国登记册。事实上，在非洲特别是撒哈拉以南地区许多冲突中使用最多的，正是那些不属于联合国常规武器登记册规定类别的武器和装备。轻武器就是这方面的一个例子。", "要让非洲各国参加常规军备控制，就必须让他们充分参与联合国常规武器登记册的工作；这反过来又可促进登记册的普及。因此，亟需国际社会通过建立相关的合作机制提供援助，促进非洲的裁军。", "此外，题为“军备上的透明度”的第46/36 L号决议表明了国际社会增加军备控制方面透明度的愿望；1992年12月15日第47/52 L号决议和1997年12月9日第52/38 R号决议重新肯定了该决议的原则。", "在许多国家，包括非洲国家，对指定“机密信息”的过度利用，使得透明度实际上并不可行，从而使增加透明度的这一愿望受挫。这一点说明了为什么非洲国家对联合国常规武器登记册贡献不多。非洲大陆和次区域旨在在各国之间建立信任和安全的协定包括：", "• 《非洲联盟互不侵犯和共同防御条约》(2005年1月31日，阿布贾)；", "• 《中非国家经济共同体各成员国互不侵犯条约》(2006年7月8日，雅温得)；", "• 《中非国家经济共同体各成员国互助条约》(2000年2月24日，马拉博)；", "• 《中非国家经济共同体各成员国互不侵犯、团结和互助条约》(2004年1月28日，布拉柴维尔)；", "区域和次区域裁军方面的利益攸关方应参照这些区域文书，说服非洲各国赞同军备方面透明度的概念。", "这一问题应列入非洲联盟国家元首和政府首脑会议以及他们各自次区域的会议议程。", "通过参考其他大洲包括美洲的例子，非洲国家会更愿意签署关于常规军备控制的协定。", "萨尔瓦多", "[原件：西班牙文] [2011年5月2日]", "常规军备控制是促进和维持区域各国互信的一个解决方案。实施常规军备控制措施可以预防各国之间的冲突。", "为维护和谐、和平和互信，必须保持区域内的军事平衡。还必须制定并维护一些控制措施，以防止任何国家秘密获得武器，这会造成地区紧张局势，带来突然军事袭击的危险，破坏各国之间达成的平衡。控制军备竞赛可以预防任何国家采取突然袭击或爆发敌对行动的可能性。", "各国应在互信、透明和真实的基础上保持信息交流。也必须采取措施，核查常规军备控制的遵守情况。", "维持常规军备控制制度需要有一个组织，这个组织能够就参与方提出的问题和通过的措施，以及关于在实施参与方制订或通过的措施时产生问题的报告采取后续行动。", "常规军备控制将可促进区域的和平与稳定，因为它确保各国维持保持区域内防御能力平衡所必需的尽可能低的军备水平。", "约旦", "[原件：阿拉伯文] [2011年4月28日]", "大会关于区域和次区域两级常规军备控制的决议，有助于区域和国际的和平与安全。", "制造和维持庞大的常规武器库的国家有责任控制这些武器，从而可以有效地削减这些武器的数量，并加强有关区域安全的协议。", "常规军备控制应与削减核武器和大规模毁灭性武器库存的谈判和会议同时进行。", "常规军备控制措施必须尊重各国拥有武器以保障自身安全的权利，在这方面不应对不同国家存在歧视。", "采取常规军备控制措施必须以同等安全的原则为基础。任何国家的安全都是一个红线，是每个国家的合法权利。国家安全的概念必须对所有国家一样：一个国家的安全不能比另一个国家的安全更重要。", "为了确保在区域和次区域两级的军备措施取得成功，必须考虑到并解决军备竞赛的原因。一个区域大国装备大量武器的事实，必将促使该区域其他国家获取武器，以维持常规军备方面的战略平衡。", "因此，必须重点解决国际冲突，特别是阿拉伯-以色列冲突，以防止该区域的军备竞赛。", "约旦一贯申明，遵守联合国有关武器、主权和国家平等的文书规定的原则以及各国有权为合法自卫拥有和获得常规武器。", "约旦承诺遵守联合国各项决议，并签署了多项关于常规武器及其他武器的国际协定和公约。本国与国际社会共同关注这个问题。", "哈萨克斯坦", "[原件：俄文] [2011年5月26日]", "哈萨克斯坦每年都会依照大会相关决议提供以下信息：", "Q号决议)；", "执行《联合国从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领》情况的国家报告(第58/241号决议)；", "2010年在哈萨克斯坦共和国举行了下列活动：", "9月16日和17日在阿拉木图举行了关于打击中亚地区小武器和轻武器非法贸易的国际研讨会。欧洲安全与合作组织(欧安组织)成员国的代表出席了这次活动。", "本次研讨会的目的是讨论对武器进口、出口、中介和标识的控制、国际小武器控制标准、欧安组织小武器和轻武器文件以及未来发展。", "与会者包括中亚各国、欧安组织预防冲突中心、联合国裁军事务厅、设在日内瓦的联合国裁军研究所以及其他专门从事小武器控制的国际组织的代表。哈萨克斯坦国防部、内政部、紧急情况部、国家安全委员会和财政部海关监管委员会的官员出席了研讨会。", "黎巴嫩", "[原件：阿拉伯文] [2011年5月31日]", "国防部要提出以下几点：", "– 关于这一事项，联合国通过的具有国际合法性的决议应得到充分遵守，《联合国宪章》也应受到尊重；", "所有有关区域国家仍应遵从《不扩散核武器条约》，以防止对该《条约》再次适用双重标准。若不遵守《条约》，则各国应承担责任；", "应控制武器制造和转让，打击武器走私和非法贩运，以确保武器不落入恐怖分子之手；", "在区域和国际层面应制订立法，限制这种武器的扩散，同时允许个人或集体可以使用这种武器抵制侵略或保卫领土；", "墨西哥", "[原件：西班牙文] [2011年5月2日]", "关于这一问题，常驻代表团回顾指出，墨西哥政府认为，由裁军谈判会议审议制订可作为控制常规军备区域协定框架的原则既不可行也不适宜，原因如下：", "• 裁军谈判会议无权做出这种分析，因为裁军谈判会议是谈判论坛，没有研究常规军备的授权；", "• 鉴于裁军谈判会议持续存在的瘫痪状况和工作方法，加之裁军谈判会议的议程有未决问题，再在其议程上加入制订常规军备控制原则的任务是不可行的。此外，继续把人力、财力、专业和政治资源分配给不实现自身目标的机构的做法令人无法接受。", "黑山", "[原件：英文] [2011年5月20日]", "黑山为实现其加入北约和成为欧洲联盟一员的战略目标，坚持履行军备控制与核查领域的国际承诺，明确致力于全面支持和促进建设和加强区域和欧洲的稳定与安全。", "在恢复国家独立及加入欧安组织和联合国后，黑山在军事和政治领域做出了众多承诺，由黑山国防部与其他有关机构一道实施。在批准了关于裁军、不扩散武器、不扩散大规模毁灭性武器和常规武器、控制进出口、控制军备和反雷活动的最新协定和公约后，黑山作为一个平等的主体，开始履行关于落实国际法律文书的承诺。", "黑山国防部积极参与实施以下协定和公约：", "• 1999年维也纳文件", "• 《次区域军备控制协定》", "• 《化学武器公约》", "• 《生物武器公约》", "• 《禁止或限制使用常规武器公约》", "• 《关于禁止杀伤人员地雷的公约》(渥太华公约)", "• 关于小武器和轻武器的文件", "国防部及其军备控制司自建立之日起就积极参与同希腊共和国、匈牙利共和国和德意志联邦共和国在军备控制领域的双边合作。同德国核查中心的合作最为深入细致。", "双边合作包括的活动涉及培养军备管制检查员、信息交流、批准另外的相互检查、举行评估会议和改善合作以及向军备管制部捐赠装备。除双边合作外，欧洲、特别是这些区域的核查中心尤其重要，因为他们为设立军备管制部提供了所有专门知识，还促进采用军备管制标准和履行欧安组织规定的义务。", "区域层面最深入细致的军备管制合作是执行源自关于波斯尼亚和黑塞哥维那的《代顿和平协定》附件1B第四条规定的《次区域军备控制协定》。《次区域军备控制协定》于1996年6月14日制订，签署国有波斯尼亚和黑塞哥维那、塞族共和国、波斯尼亚和黑塞哥维那联邦、克罗地亚共和国及南斯拉夫联盟共和国。自2005年以来，波斯尼亚和黑塞哥维那、塞族共和国及波斯尼亚和黑塞哥维那联邦达成协定，由波斯尼亚和黑塞哥维那代表《协定》所有三方着手实施《协定》。", "恢复独立后，黑山和塞尔维亚共和国2007年7月6日在波德戈里察签署了关于《次区域军备控制协定》实施原则和程序的一个双边协定，由此，塞尔维亚和黑山成为该《协定》的独立缔约方。", "《协定》是战后几年建立安全和信任的重要基准。《协定》实质是自1997年11月1日起大量缩减军备(包括战斗坦克、75毫米口径及以上大炮、作战飞机、攻击直升机和装甲战斗车)至商定的限额以下以及《协定》各方武装部队和国防部之间开展合作。", "《协定》包括15条和6个议定书(关于减少视察、次区域协商委员会、交流信息和通告的议定书、关于现有军备种类的议定书以及关于战斗能力训练机型号和类型重新分类程序的议定书)。此外，《协定》各方还承诺宣布自愿限制武装部队人数。[1]", "欧安组织当值主席个人代表(其办公室设在维也纳)本人直接负责实施《协定》；出席次区域协商委员会会议的有欧安组织主席个人代表和作为证人的联络小组成员(美利坚合众国、俄罗斯联邦、法国、德意志联邦共和国、英国和意大利)以及《协定》各方(塞尔维亚、克罗地亚、波斯尼亚和黑塞哥维那及黑山)。", "为了提出《协定》合理化方式并分析其执行情况，一年举行两次常会和特别会议：常设工作组(迄今10次会议)、次区域制宪委员会(迄今举行了45次会议)和每两年举行一次审查会议(迄今7次会议)。", "在执行《协定》方面，迄今取得了显著的良好业绩，《协定》各方距离实现基本目标也更为接近，即：实施《协定》，确立安保领域侧重于建设透明度和信任的新合作形式，达到最低水平的国防部队均衡、常设兵力，为《协定》各方安保制度的运作提供条件。", "如今，《协定》体现了签署国之间的关系的新特性，因为黑山于2007年正式加入《协定》，在其职权范围内充分致力于各种形式的合作，且愿意审议次区域和区域两级进一步完善军备控制机制的提议。", "截至2007年，黑山实施了下列行动：", "• 视察了已申报的地点24次(12次在自己的领土上，12次在其他方的领土上)，", "• 2009年3月完成了在黑山、波斯尼亚和黑塞哥维那军备缩减情况的公共视察，", "• 欧安组织当值主席个人代表分别于2007和2009年随实况调查团两次视察了黑山要出口的军备。", "黑山缩减了重型军备数目，具体如下：", "• 2007年6-7月，61辆战斗坦克——60辆坦克被销毁、拆成碎片，1辆送给博物馆展出", "• 2009年3月，46门130毫米大炮——45门大炮被销毁、拆成碎片，1门送给博物馆展出", "• 24门122毫米榴弹炮，分两批——2009年12月8门榴弹炮和2010年8月16门榴弹炮出口到亚美尼亚", "• 100门82毫米迫击炮，分两批——2009年8月30门迫击炮和2009年12月70门迫击炮出口到亚美尼亚", "• 50门120毫米迫击炮，分两批——2009年8月12门迫击炮和2009年12月38门迫击炮出口到亚美尼亚", "• 依据塞尔维亚共和国政府和黑山政府关于交流方法和文件的协定，2010年10月黑山把6架作战飞机N-62(Super Galeb G-4)运至塞尔维亚", "这一缩减总计四年时间共缩减280多台重型装备。", "外交和欧洲一体化部及军备控制司的代表定期参加常设工作组的会议(在维也纳举行)和次区域协商委员会的会议(在担任次区域协商委员会主席的国家举行)。迄今为止，黑山主办了三次次区域协商委员会会议，还三次担任为期六个月的轮值主席(2007和2008年在布德瓦，2010年在科拉欣)。", "在黑山开展的所有活动都对本区域视察员和欧安组织当值主席个人代表办事处的代表透明公开。黑山支持有利于建立和加强信任、安保及发展次区域和区域合作的所有提议。", "目前正在开展的活动涉及把《协定》所有权从维也纳欧安组织当值主席个人代表移交给《协定》各方。预计第一阶段到2011年底完成(没有拖延且运作顺利)，第二阶段是所有权的全面过渡，尚未由法律加以规范或确定，但预计至迟到2014年底完成。", "在黑山，国防部军备控制司-核查中心负责实施《协定》。", "国防部在其职权范围内充分履行了军备控制方面的义务，目前致力于改善区域和全球两级的安保措施和信任。", "挪威", "[原件：英文] [2011年4月29日]", "挪威充分支持区域和次区域层面的常规军备控制。挪威遵守《欧洲常规武装力量条约》，希望可以尽快解决与这一《条约》有关的未决问题，以确保《条约》生效。", "挪威仍确信，区域和次区域两级的区域常规军备控制必须以区域和次区域情况为出发点。挪威并不认为裁军谈判会议是制订可作为常规军备控制区域协定框架原则的恰当论坛。此外，挪威从根本上质疑裁军谈判会议的作用，因为这一机构自1990年代末以来没有进行过谈判，而且并不对联合国所有会员国开放。", "葡萄牙", "[原件：英文] [2011年6月13日]", "军品出口控制", "列入《欧洲普通军品清单》和《瓦森纳弹药清单》“常规军备”项下的所有物项受到出口控制。", "进、出口上述产品必须获得负责办理军品许可证的葡萄牙国防部的许可。", "转运上述清单所列物项也受到管制，必须获得主管部门的许可。", "所有申请由国防部根据综合评测的情况逐一评估。每项申请还由外交部根据外交政策利益予以审议。因此，外交部将根据对欧盟所有成员国有法律约束力的2008年12月8日欧洲联盟理事会第2008/944/CFSP号共同立场所述准则检查每一项进口和出口请求。这些最低标准准则简述如下：", "• 尊重成员国的国际承诺、尤其是安全理事会或欧洲联盟颁布的禁令、关于不扩散和其他问题的协定以及其他国际义务", "• 尊重最终目的地国家的人权以及最终目的地国遵守国际人道主义法", "• 最终目的地国的国内局势，它同紧张局势或武装冲突的存在相关连", "• 维护地区和平、安全与稳定", "• 各成员国的国家安全情况，以及对外关系由成员国负责的领土的安全情况以及友好盟国的国家安全情况", "• 购买国在国际社会的表现，尤其是该国政府对恐怖主义的态度、结盟情况以及尊重国际法的情况", "• 存在着装备在购买国境内被挪用或在不理想条件下再出口的风险", "• 出口军备与接收国的技术水平和经济能力的相容性，同时考虑到军备接收国是否能在军备上花最少的人力和经济资源以实现合法的安全和防卫需要", "此外，进口和出口许可证若与联合国、欧洲联盟或欧安组织禁运规定相悖将不予发放。2002年通过的《瓦森纳安排》准则适用于小武器和轻武器。", "获得出口许可证所需文件取决于出口商和接收方、进口国、武器数目、打算用途和数量。所需文件包括进口国职能部门发放的进口许可证或国际进口证书。如果是军事装备，则还需要带有不再出口条款的最终用户证书。", "中介活动管制", "随着2009年8月5日第48/2009号法的生效，葡萄牙就着手执行2003年6月23日欧洲联盟理事会关于控制军火中介活动的第2003/468/CFSP号共同立场。", "所有中间商必须在国防部注册，未经授权的中间商不得进行中介活动。", "必须到国防部申办具体中介交易许可证，若国家立法有规定，则到对中间商住所或公司所在地有管辖权的有关当局申办。获得这种中介许可证的所有人员及实体的记录必须保存至少15年。", "俄罗斯联邦", "[原件：俄文] [2011年4月27日]", "俄罗斯方面认为，《常规军备控制区域协定》可以基于以下各种可能的原则：", "– 军事充足；", "– 均衡与互惠；", "– 军事意义；", "– 促进建立信任与安全；", "– 提高透明度和可预测性；", "– 合算性；", "– 可核实性；", "– 进一步适应能力；", "– 权利和义务平等。", "清单基于俄罗斯列入欧洲安全与合作组织(欧安组织)框架的“欧安组织在军备控制及建立信任和安全措施领域的进一步作用方案”草案，其中载有欧安组织文件中先前采用的表述。", "土库曼斯坦", "[原件：俄文] [2011年6月1日]", "独立、中立的土库曼斯坦积极参与加强社会安定和稳定，承认保障建立国际安全制度的主要公约、条约和协定以及其他公认的国际法准则。", "2008年9月26日修订的《土库曼斯坦宪法》第6条规定，土库曼斯坦是国际社会的全权主体，在外交政策中奉行的原则是实事求是的永久中立，不干预他国内务，不使用武力，不参与军事集团和联盟，促进与区域各国和世界各国发展和平、友好和互利关系。", "2008年12月10日，在阿什哈巴德开设了联合国中亚各国预防性外交区域中心。土库曼斯坦充分支持联合国在中亚地区设立无核武器和其他现代大规模毁灭性武器区的工作，严格遵守所签署的各项公约以及承担的所有国际义务。", "土库曼斯坦是欧洲安全与合作组织(欧安组织)成员，依照1992年赫尔辛基文件现行方案与欧安组织其他成员国一道每年提供军事信息。为了根据每年提供的信息实施军备控制，土库曼斯坦在1999年建立信任与安全措施谈判维也纳文件框架内按照欧安组织方针每年增加由他国专家开展的军事视察。", "乌克兰", "[原件：俄文] [2011年4月15日]", "乌克兰促进设立基于军事政治活动中的相互谅解和坦诚态度的建立信任与安全新机制，还积极参与区域和次区域的常规军备控制制度。", "1. 乌克兰认为《欧洲常规武装力量条约》是在区域一级加强安保的重要工具。", "在这方面，乌克兰充分履行自己的条约义务。", "此外，2006年，乌克兰还单方面增加了降低军备和战斗技术装备门槛的义务：", "作战坦克——从4 080辆降至3 200辆；", "火炮系统——从4 040个降至3 600个；", "作战飞机——从1 090架降至800架；", "攻击直升机——从330架降至250架。", "尽管如此，乌克兰继续把军备和战斗技术装备总数降至低于《欧洲常规武装力量条约》规定的水平。特别是，到2011年1月1日，数目为：", "作战坦克——2 525辆(水平—3 200辆)；", "装甲战车——3 855辆(水平—5 050辆)；", "火炮系统——3 149个(水平—3 600个)；", "作战飞机——517架(水平—800架)；", "攻击直升机——147架(水平—250架)。", "为了履行单方面增加的关于海岸防御部队和海军陆战队的义务，乌克兰每年向其他国家提供自己拥有的军备和战斗技术装备的信息。这些装备数目有很大减少，到2011年1月1日为：", "海岸防御部队和海军陆战队：", "作战坦克——39辆；", "装甲战车——171辆；", "火炮系统——72个；", "装甲战车——3辆。", "2010年期间，乌克兰武装部队军人人数仍保持不变，到2011年1月1日为15万人。", "2. 在欧洲安全与合作组织框架内，1999年维也纳文件是建立信任与安全措施领域开展国际合作的规范基础。", "为了在乌克兰周边建立稳定和互信区，乌克兰的一个活动方面是在区域安保系统中开展双边和多边合作。", "依照1999年维也纳文件第十部分，乌克兰在双边基础上与邻国在边境地区发展建立信任和安全措施领域的合作。", "乌克兰依照双边政府间协定积极与匈牙利共和国、波兰共和国、斯洛伐克共和国、白俄罗斯共和国开展合作：", "乌克兰内阁和匈牙利共和国政府关于建立信任和安全措施与发展双边军事关系的协定；", "乌克兰内阁和斯洛伐克共和国政府关于建立信任和安全补充措施的协定；", "乌克兰内阁和波兰共和国部长会议关于信任和安全措施的协定；", "乌克兰内阁和白俄罗斯共和国政府关于信任和安全补充措施的协定。", "这些协定规定，要预先通知开展军事活动，邀请观察员观察演习，视察和参观部队。", "依照协定规定，除1999年维也纳文件规定的定额视察活动外，各方每年在各国开展建立信任和安全措施领域的两三次活动。", "自2001年协定生效以来，在乌克兰境内外共开展了115次活动。", "每年评估协定执行情况的工作会议可以就建立新的合作机制进行公开对话。", "建立信任方面的重要步骤之一是，协定签署方不在邻国边境地区开展营级及以上的战斗演习。", "我们认为，乌克兰积极参与实施管制常规军备领域的现行国际条约、特别是同邻国签署的关于建立信任和安全补充措施的协定，这可促进在区域和次区域一级维护和平和保障稳定。", "[1] 2009年11月2日至5日在诺维萨德举行的次区域协商委员会第43次会议通过并批准了关于自愿限制武装部队人数、人员和库存的声明，具体如下：波斯尼亚和黑塞哥维那限制在16 000人(9 910名常设人员)，黑山限制在5 000人(2 400名常设人员)，克罗地亚共和国限制在44 000人(19 712名常设人员)，塞尔维亚共和国限制在119 605人(29 357名常设人员)。" ]

[ "Sixty-sixth session", "* A/66/50.", "Item 99 (i) of the preliminary list*", "General and complete disarmament", "Conventional arms control at the regional and subregional levels", "Report of the Secretary-General", "Contents", "Page\nI.Introduction 2II.Replies 2 received from Member \nStates \nArmenia 2\nColombia 3\nCongo 5 El 6 \nSalvador \nJordan 7\nKazakhstan 8\nLebanon 8\nMexico 9\nMontenegro 9\nNorway 13\nPortugal 13\nRussianFederation 15\nTurkmenistan 15\nUkraine 16", "I. Introduction", "1. By its resolution 65/46 of 8 December 2010 on conventional arms control at the regional and subregional levels, the General Assembly decided to give urgent consideration to the issues involved in conventional arms control at the regional and subregional levels, and requested the Secretary-General to seek the views of Member States on the subject and to submit a report to the General Assembly at its sixty sixth session. The present report is submitted pursuant to that request.", "2. On 9 March 2011, the Secretariat sent a note verbale to Member States requesting their views on the subject. As of the writing of the present report, 14 replies have been received from the following States: Armenia, Colombia, Congo, El Salvador, Jordan, Kazakhstan, Lebanon, Mexico, Montenegro, Norway, Portugal, the Russian Federation, Turkmenistan and Ukraine. Those replies are reproduced in section II of the present report. Subsequent replies will be issued as addenda.", "II. Replies received from Member States", "Armenia", "[Original: English] [19 May 2011]", "General Assembly resolution 65/46 provides an opportunity to focus on challenges related to conventional arms control at the regional and subregional levels, to identify the problems and shortcomings and look for solutions.", "Armenia attaches high importance to cooperation within the framework of international organizations, in particular the United Nations and the Organization for Security and Cooperation in Europe (OSCE), dealing with arms control.", "Organization for Security and Cooperation in Europe", "The OSCE deals with arms control, disarmament and security cooperation issues through its Conflict Prevention Centre and the Forum for Security Cooperation. The Joint Consultative Group overseeing the implementation of the Treaty on Conventional Armed Forces in Europe, though formally not being part of the OSCE, is closely linked to the work of other structures.", "The Forum covers the Vienna Document 1999, Code of Conduct, Global Exchange of Military Information, as well as issues on anti-personnel landmines, small arms and light weapons and the national practice of export control. All of them envisage annual exchange of relevant information, and in the case of the Vienna Document there are also inspections and evaluation visits. Every year, Armenia receives three designated-area inspections along with one evaluation visit. The ongoing process of the update of the Vienna Document 1999 is very timely and will strengthen the military transparency and enhance confidence-building.", "The OSCE Annual Security Review Conference, and the OSCE Annual Implementation Assessment Meeting, as well as the OSCE Meeting to Review the Document on Small Arms and Light Weapons are major instruments of the Centre and Forum to reflect and evaluate the implementation of the OSCE confidence and security-building measures.", "Treaty on Conventional Armed Forces in Europe", "The Treaty is the cornerstone of European conventional arms control regime and Armenia perceives it as a key to provide for security and military predictability. Since 1992, the implementation of the Treaty has created a secure environment in Europe, significantly enhanced mutual trust and reduced almost to non-existence the possibility of a major military conflict.", "As with the other OSCE arms control measures, the Treaty requires the annual and periodic exchange of military information and envisages arms reduction and verification through inspections.", "Armenia fully supports the negotiations on modernization of the Treaty and believes that the end result should be a viable, legally binding, all-weather document that will continue to serve the purpose of peace and mutual trust.", "Violation of the Treaty on Conventional Armed Forces in Europe by Azerbaijan", "The manyfold increase of Azerbaijan’s military budget (since 2000 by 470 per cent; defence spending in 2011, which makes up $3.12 billion, will account for about 20 per cent of the Government’s total expenditures) over the last decade and the incessant military rhetoric heighten the tension in the region and seriously hamper the process of dialogue aimed at reaching solutions to existing problems. The blatant violation by Azerbaijan of its legally binding obligations under the Treaty and excessive accumulation of conventional armaments are a serious threat to security in the South Caucasus region and beyond.", "According to official information, as of 1 January 2011, Azerbaijan significantly exceeds its established ceilings in two categories of Treaty Limited Equipment. The Azeri holdings in battle tanks are 381 (permitted ceiling is 220) and in artillery are 469 (permitted ceiling is 285). In 2010, there was a sizeable increase of holdings also in the categories of attack helicopters and combat aircraft.", "Armenia regularly alerts the international community in regard to such open defiance and inadmissibility and danger of negligence. The issue is being raised in international bodies like the United Nations, European Union, Organization for Security and Cooperation in Europe, Collective Security Treaty Organization and North Atlantic Treaty Organization. If the Treaty implementation is not adhered to it will create a serious predicament for the process of modernization of the Treaty currently under way in Vienna. That, in turn, will unlock an extremely dangerous arms race trend at the subregional level.", "Colombia", "[Original: Spanish] [19 May 2011]", "Principles for conventional arms control at the regional and subregional levels", "Colombia attaches particular importance to the conclusion of binding instruments that establish regulations on the control of conventional arms, enhance control over international arms transfers and prevent the diversion of arms to the illicit market, in particular to illegal armed groups or unlawful non-State actors, organized crime and ordinary crime.", "Colombia has accordingly manifested its interest in establishing a global regime with clear international norms for States that control the international and cross-border movement of all conventional arms, small arms and light weapons, spare parts, ammunition, explosives and related parts, as well as complementary accessories and their respective technology.", "For this reason, since 2008, Colombia has been participating in the various forums established within the framework of the United Nations to assess the scope and feasibility of an arms trade treaty. In this context, Colombia has presented the following general principles, which it also considers to be relevant to the development of regional and subregional agreements on conventional arms:", "(a) Regional and subregional agreements should be consistent with the purposes and principles of the United Nations, as indicated in article 52 of the Charter of the United Nations;", "(b) Recognition that arms control, disarmament and non-proliferation are essential to peace and international security;", "(c) Respect for international law, including human rights law and humanitarian law;", "(d) Respect for the principles enshrined in the Charter of the United Nations, in particular the inherent right to self-defence, the sovereignty and equality of all States and non-interference in internal affairs;", "(e) The right of all States to produce, export, import, transfer and possess conventional arms for the purpose of self-defence;", "(f) The right and obligation of States to safeguard their population and maintain control over their territory in view of the various forms of armed violence resulting from the actions of illegal armed groups, organized crime and ordinary crime, which affect each State internally and its ability to respond;", "(g) Recognition that arms transfers to non-State actors have a negative impact on the internal security of States, as such arms can be used to commit crimes against humanity or serious violations of international humanitarian law;", "(h) Prohibition of the transfer of conventional arms to non-State actors;", "(i) Recognition of the importance of dialogue and cooperation among States on security and defence matters, with the goal, inter alia, of improving systems for conventional arms control, enhancing the transparency of transactions and building trust;", "(j) Adoption of general measures to improve systems for monitoring and controlling conventional arms, taking into account the different situations and capacities of States;", "• Establishment of measures and procedures to control and monitor all aspects of the trade in conventional arms, including identification and monitoring of end users", "• Establishment of clear measures and procedures for appropriate handling, collection, storage and final disposal of conventional arms", "Congo", "[Original: French] [30 April 2011]", "Introduction", "Further to the note verbale by which the United Nations Office for Disarmament Affairs requested the views of the Government of the Republic of the Congo with regard to the drafting of regional agreements on conventional arms control, the Republic of the Congo wishes to reiterate its commitment to international and regional disarmament in accordance with the United Nations doctrine of collective security. In that connection, the Republic of the Congo transmits herewith its views with regard to the drafting of regional agreements on conventional arms control.", "General background", "Analysis of the conventional arms situation in Africa and proposal of views", "The United Nations Register of Conventional Arms, as described in the 2001 Information Booklet, is crucial to ensuring better conventional arms control in Africa. Using the Information Booklet, which comprises five main parts, we have identified the regional aspects in respect of which the United Nations General Assembly, in its resolution 46/36 L of 9 December 1991, calls upon Member States to cooperate at a regional and subregional level, taking fully into account the specific conditions prevailing in the region or subregion, with a view to enhancing and coordinating international efforts aimed at increased openness and transparency in armaments. Although Africa has contributed less overall to the Register than have other continents, it is nevertheless among those that face the greatest security challenges, given the many centres of armed conflicts in Africa. It is therefore necessary to promote and/or strengthen conventional arms control in Africa.", "In October 1999, the United Nations Standing Advisory Committee on Security Questions in Central Africa adopted the N’Djamena Declaration (A/54/530-S/1999/1141). In the Declaration, the Committee recommended the creation of a uniform weapons register at the national and subregional levels and urged all States to give effect to the recommendations contained in the guidelines for international arms transfers in the context of General Assembly resolution 46/36 H. The arms control policies of a number of African countries eschew the principle of registration in the United Nations Register. The recommendation in the N’Djamena Declaration to establish a subregional register has gone unheeded.", "It is important to note that, even if a subregional register were to exist, it would merely serve to supplement the United Nations Register in terms of the weapons to be accounted for. Indeed, as a general rule, the arms and equipment that do not fall under the categories of the United Nations Register of Conventional Arms are those most used in the many conflicts in Africa, especially in the sub‑Saharan region. Light weapons are a case in point.", "To engage African States in conventional arms control requires their full participation in the United Nations Register of Conventional Arms; this in turn will lead to the universalization of the Register. There is therefore a great need for international aid to contribute to disarmament in Africa through the establishment of related cooperation mechanisms.", "Furthermore, resolution 46/36 L, entitled “Transparency in armaments”, the principle of which is reiterated in resolutions 47/52 L of 15 December 1992 and 52/38 R of 9 December 1997, expresses the international community’s desire for transparency in arms control.", "In a number of countries, including in Africa, that desire for transparency is frustrated by the excessive use of the designation of “classified information”, which makes transparency impracticable. This explains the weak contribution of African countries to the United Nations Register of Conventional Arms. Agreements at the continent and subregional levels are aimed at building confidence and security among States include:", "• African Union Non-Aggression and Common Defence Pact (Abuja, 31 January 2005);", "• Non-Aggression Pact among the States members of the Economic Community of Central African States (Yaoundé, 8 July 2006);", "• Mutual Assistance Pact among the States members of the Economic Community of Central African States (Malabo, 24 February 2000);", "• Non-Aggression, Solidarity and Mutual Assistance Pact among the States members of the Economic Community of Central African States (Brazzaville, 28 January 2004).", "Regional and subregional disarmament stakeholders should refer to these regional instruments to persuade African States to endorse the concept of transparency in armaments.", "This issue should be included in the agenda of meetings of African Union Heads of State and of Government as well as conferences in their respective subregions.", "By referring to examples of other continents, including the Americas, African States will be better prepared to sign agreements on conventional arms control.", "El Salvador", "[Original: Spanish] [2 May 2011]", "Conventional arms control represents a solution for fostering and maintaining mutual trust among States at the regional level. The implementation of measures for conventional arms control can serve to prevent conflicts between States.", "In order to preserve harmony, peace and mutual trust, it is important to maintain the military balance in the region. It is also important to establish and uphold control measures to prevent any country from obtaining arms covertly, which would create tension in the area and a risk of surprise military attacks, fragmenting the balance achieved among States. Reining in the arms race will forestall the possibility of surprise attacks by any State or the outbreak of hostilities.", "A flow of information based on mutual trust, transparency and truthfulness should be maintained between States. It is also important to adopt measures to verify compliance with controls on conventional arms.", "Maintaining a conventional arms control regime requires an organization that can follow up on questions and measures adopted by participating parties and on reports of problems that arise in implementing the measures established or adopted by the participating parties.", "Conventional arms control will contribute to the peace and stability of the region by ensuring that States maintain the lowest possible level of armaments required to preserve a balance in defence capabilities within the region.", "Jordan", "[Original: Arabic] [28 April 2011]", "The General Assembly resolution on conventional arms control at the regional and subregional levels promotes peace and security at the regional and international levels.", "States which manufacture and maintain large arsenals of conventional arms have a responsibility to control such arms, and can make thereby an effective reduction in their number and strengthen agreements concerning regional security.", "Conventional arms control should go hand in hand with negotiations and conventions reducing stocks of nuclear weapons and weapons of mass destruction.", "It is important that conventional arms control measures respect the right of States to possess arms in order to guarantee their own security and that no distinction should be made between States in that regard.", "The principle of equal security for all must be the basis on which conventional arms control measures are taken. The security of any State represents a red line, and is the legitimate right of every State. The concept of State security must be the same for all States: the security of one State cannot be more important than that of another State.", "In order to ensure the success of arms measures at the regional and subregional levels, it is important to consider and address the reasons for an arms race. The fact that one regional power is heavily armed will prompt the other States of the region to acquire arms in order to maintain strategic balance in respect of conventional arms.", "It is therefore essential to focus on resolving international conflicts and, in particular, the Arab-Israeli conflict, in order to prevent an arms race in the region.", "Jordan has consistently affirmed its respect for the principles set forth in United Nations instruments relating to arms, sovereignty and the equality of States and the right of States to own and acquire conventional arms for the purposes of legitimate self-defence.", "Jordan is committed to United Nations resolutions and has signed numerous international agreements and conventions relating to conventional and other arms. It shares the international community’s concerns in respect of the issue.", "Kazakhstan", "[Original: Russian] [26 May 2011]", "Every year, in accordance with the relevant General Assembly resolutions, Kazakhstan provides the following information:", "– A report on military expenditures over the previous fiscal year (resolutions 54/43 and 56/14);", "– Data on imports and exports for inclusion in the United Nations Register of Conventional Arms (resolutions 46/36 L, 47/52 L and 56/24 Q);", "– A national report on the implementation of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (resolution 58/241).", "The following events were held in the Republic of Kazakhstan in 2010:", "– An international seminar on combating the illicit trafficking of small arms and light weapons in Central Asia was held in Almaty on 16 and 17 September. The event was attended by representatives of States members of the Organization for Security and Cooperation in Europe (OSCE).", "The purpose of the seminar was to discuss controls on arms imports, exports, brokering and marking, international small arms control standards, the OSCE Document on Small Arms and Light Weapons and future developments.", "The seminar participants included representatives of the Central Asian States, the OSCE Conflict Prevention Centre, the United Nations Office for Disarmament Affairs, the United Nations Institute for Disarmament Research in Geneva and other international organizations specializing in the field of small arms control. Officials of the Kazakhstan Ministries of Defence, Internal Affairs and Emergency Situations, the National Security Committee and the Customs Control Committee of the Ministry of Finance attended the seminar.", "Lebanon", "[Original: Arabic] [31 May 2011]", "The Ministry of National Defence wishes to make the following points:", "– In regard to this matter, resolutions of international legitimacy adopted by the United Nations should be duly complied with, and the Charter should be respected;", "– Particular emphasis should be placed on the resolution of international disputes, in particular the Arab-Israeli conflict;", "– States are equal in terms of sovereignty and territorial integrity. It is important to prevent an arms race and build confidence;", "– All concerned regional States should remain compliant with a view to precluding any repetition of the double standards applied in connection with the Treaty on the Non-Proliferation of Nuclear Weapons. States should be held accountable in the event of non-compliance;", "– The manufacture and transfer of arms should be controlled, and the smuggling of and illicit trafficking in arms should be suppressed in order to ensure that they do not fall into the hands of terrorists;", "– Legislation should be enacted at the regional and international levels in order to limit the proliferation of such weapons, while allowing for the possibility of their individual or collective use to resist occupation or defend territory;", "– Multilateralism should be strengthened as a means of furthering negotiation on arms regulation and disarmament.", "Mexico", "[Original: Spanish] [2 May 2011]", "Concerning this issue, the Permanent Mission wishes to recall that the Mexican Government believes that it is neither feasible nor appropriate for the Conference on Disarmament to consider the formulation of principles that could serve as a framework for regional agreements on conventional arms control, for the following reasons:", "• The Conference on Disarmament is not competent to carry out such an analysis, given that it is a forum for negotiation and does not have a mandate to conduct studies on conventional arms;", "• Given the state of paralysis and working methods that persist in the Conference on Disarmament, it is not feasible to add the task of developing principles on conventional arms control to the pending issues on its agenda. Furthermore, it is unacceptable to continue allocating human, financial, professional and political resources to an institution that does not achieve its objectives.", "Montenegro", "[Original: English] [20 May 2011]", "In pursuit of its strategic goals of accession to NATO and membership of the European Union, Montenegro has clearly committed itself to giving full support and contribution to building and strengthening both regional and European stability and security through consistent fulfilment of international commitments in the field of control and verification of arms.", "In the military and political fields, after the renewal of state independence and accession to OSCE and the United Nations, Montenegro assumed numerous commitments that are fulfilled by the Ministry of Defence of Montenegro along with other relevant institutions. After the ratification of recent agreements and conventions pertaining to disarmament, non-proliferation of arms, non-proliferation of weapons of mass destruction and conventional arms, export and import control, control of arms and anti-mine activities, acting as an equal party, Montenegro started fulfilling its commitments pertaining to the implementation of international legal acts.", "The Ministry of Defence of Montenegro actively participates in the implementation of the following agreements and conventions:", "• Vienna Document 1999", "• Agreement on Subregional Arms Control", "• Chemical Weapons Convention", "• Biological Weapons Convention", "• Convention on Prohibitions or Restrictions on the Use of Conventional Weapons", "• Convention on the Prohibition of Anti-Personnel Mines (Ottawa Convention)", "• Document on Small Arms and Light Weapons", "From its foundation onwards, the Ministry of Defence and its Department for Arms Control have actively participated in bilateral cooperation with the Republic of Greece, the Republic of Hungary and the Federal Republic of Germany in the field of arms control. Cooperation has been most intensive with the verification centre from Germany.", "Bilateral cooperation encompasses activities related to the education of arms control inspectors, information exchange, approving of reciprocal additional inspection, meetings for assessment and improving cooperation, as well as donation of information technology equipment to the Department for Arms Control. Apart from bilateral cooperation, verification centres in Europe, and particularly those in the regions, are particularly important as they provided all their expertise for the foundation of the Department for Arms Control and were instrumental in adopting standards for arms control and the fulfilment of obligations prescribed by OSCE.", "The most intensive cooperation regarding arms control at the regional level is in compliance with the Agreement on Sub-Regional Arms Control stemming from annex 1B, article IV, of the Dayton Peace Agreement for Bosnia and Herzegovina. The Agreement on Sub-Regional Arms Control was made on 14 June 1996 and was signed by Bosnia and Herzegovina, Republic of Srpska, Federation of Bosnia and Herzegovina, Republic of Croatia and Federal Republic of Yugoslavia. Since 2005 Bosnia and Herzegovina, Republic of Srpska and Federation of Bosnia and Herzegovina made an agreement that Bosnia and Herzegovina took over the implementation of the agreement on behalf of all three parties to the Agreement.", "After it renewed independence, Montenegro and the Republic of Serbia signed a bilateral agreement on the principles and procedures for implementation of the Agreement on Subregional Arms Control in Podgorica on 6 July 2007, whereby Serbia and Montenegro became independent parties to the Agreement thereof.", "The Agreement served as an important benchmark for building security and trust in the post-war years. The essence of the Agreement is the significant downscale of armaments (including: combat tanks, artillery of 75mm calibre and above, combat aircrafts, attack helicopters and armoured combat vehicles) below agreed limits starting from 1 November 1997 as well as the cooperation among armed forces and ministries of defence of parties to the Agreement.", "The Agreement comprises 15 articles and 6 protocols (protocols on inspections reduction, subregional consultative commission, exchange of information and notifications, on the existing types of armaments and on the procedures of reclassification of models and versions of combat capable trainer aircrafts). Also, the parties to this Agreement have pledged to issue statements on voluntary limitation of the number of armed forces personnel.[1]", "Personal representative of the OSCE Chairmanship in Office, with his office in Vienna is personally responsible for implementing the Agreement; meetings of that Subregional Consultative Commission are attended by the personal representatives of the OSCE Chairmanship and members of the Contact Group (United States of America, Russian Federation, France, Federal Republic of Germany, Great Britain and Italy) as witnesses, along with the parties themselves (Serbia, Croatia, Bosnia and Herzegovina and Montenegro).", "With a view to come up with modalities to streamline the Agreement as well as for the purpose of analysing its implementation, regular and extraordinary meetings are organized twice a year: standing work groups (10 meetings so far), subregional constitutional commissions (45 meetings held so far) and Review Conference events two years (7 conferences so far).", "Significant track record has been achieved in the implementation of the Agreement so far and all parties to the Agreement came quite closer to reaching the basic goal, the implementation of the Agreement, establishing new forms of cooperation in the field of security focused on creating transparency and trust and also to achieving balanced and standing levels of defence force at the lowest level required for providing conditions for operation of security system of each party to the Agreement.", "Today, the Agreement reflects a new quality of relations among its signatories having in mind the fact that in 2007 Montenegro officially became a new party to the Agreement, is fully committed to all forms of cooperation within its remits and is ready to consider proposals for further improvement of mechanisms of arms control at the subregional and regional levels.", "As of 2007, Montenegro has implemented the following:", "• 24 inspections of declared sites (12 on its own territory and 12 on the territory of other parties)", "• Public inspection of the arms reduction in Montenegro, Bosnia and Herzegovina completed inspection in March 2009", "• Two visits of the personal representative of the OSCE Chairmanship in Office in a fact-finding mission for arms that Montenegro wanted to export, in 2007 and 2009, respectively.", "Montenegro reduced the number of heavy armaments as follows:", "• 61 combat tanks, period June-July 2007 — 60 tanks destroyed — scrapped into pieces and one given to a museum as an exhibit", "• 46 cannons of 130mm, in March 2009, 45 cannons destroyed — scrapped into pieces and one given to a museum as an exhibit", "• 24 howitzers 122mm, in two rounds, in December 2009 — 8 howitzers and August 2010 — 16 howitzers exported to Armenia", "• 100 mortars 82mm, in two rounds, August 2009 — 30 mortars and December 2009 — 70 mortars exported to Armenia", "• 50 mortars of 120mm, in two rounds — August 2009 — 12 mortars and December 2009 — 38 mortars exported to Armenia", "• 6 combat plates N-62 (Super Galeb G-4), in October 2010, Montenegro delivered to Serbia based on the Agreement of the Government of the Republic of Serbia and Government of Montenegro on exchange of means and documentation", "All together this reduction totalled over 280 pieces of heavy armaments for four years.", "The representatives of the Ministry of Foreign Affairs and European Integrations and of the Arms Control Department regularly take part in the meetings of the Standing Work Group (held in Vienna) and in the meetings of the Subregional Consultative Commission (held in countries that hold chair in Subregional Consultative Commission). So far, Montenegro has hosted three meetings of the Subregional Consultative Commission and it held the chair in as many six-month rotations (Budva in 2007 and 2008, and Kolašin in 2010).", "All activities implemented in Montenegro were made transparent and open to the inspectors from the region and representatives of the office of the personal representative of the OSCE Chairmanship in Office. Montenegro supported all proposals in favour of building and enhancing trust, security and development of subregional and regional cooperation.", "The implementation of activities related to transferring ownership of the Agreement from the personal representative of the OSCE Chairmanship in Office from Vienna to parties to the Agreement is under way. By the end of 2011 the first phase is scheduled to be completed (no lags and it runs smoothly), and the second phase with full transition of ownership has not been legally regulated and determined, but is expected to be finished by the end of 2014.", "The Arms Control Department — Verification Centre of the Ministry of Defence is vested with the implementation of the Agreement in Montenegro.", "Within its remit, the Ministry of Defence has fully delivered on its obligations regarding arms control and it works on improving security measures and trust both at the regional and the global levels.", "Norway", "[Original: English] [29 April 2011]", "Norway fully supports conventional arms control at the regional and subregional levels. Norway is committed to the Convention on Conventional Forces in Europe, and hopes that outstanding issues related to that Convention may be solved as soon as possible in order to ensure its entry into force.", "Norway remains convinced that regional conventional arms control at the regional and subregional levels must have as a point of departure the regional and subregional context. Norway is not convinced that the Conference on Disarmament would be the right forum to formulate principles that can serve as a framework for regional agreements on conventional arms control. Moreover, Norway fundamentally questions the role of the Conference given the fact that no negotiations have taken place in this body since the end of the 1990s and that it is not open for all States Members of the United Nations.", "Portugal", "[Original: English] [13 June 2011]", "Export Controls of Military Products", "All items on the European Common Military List and the Wassenaar Munitions List, under the title “conventional arms”, are subject to export controls.", "The import and export of said items are subject to a licence issued by the Ministry of Defence, which is the Portuguese licensing authority for military products.", "Transit of the items on the aforementioned lists is also regulated. A permit must be obtained from the licensing authority.", "All applications are considered by the Ministry of Defence on a case-by-case evaluation, based on an overall assessment. Each application is also considered by the Ministry of Foreign Affairs, in the light of foreign policy interests. Accordingly, the Ministry of Foreign Affairs checks every import and export request against the criteria enshrined in the European Union Council Common Position 2008/944/CFSP, of 8 December 2008, which is legally binding for all European Union member States. Briefly, these minimum standard criteria are as follows:", "• Respect for the international commitments of member States, in particular the sanctions decreed by the Security Council or the European Union, agreements on non-proliferation and other subjects, as well as other international obligations", "• Respect for human rights in the country of final destination as well as respect by that country of international humanitarian law", "• Internal situation in the country of final destination, as a function of the existence of tensions or armed conflicts", "• Preservation of regional peace, security and stability", "• National security of the member States and of territories whose external relations are the responsibility of a member State, as well as that of friendly and allied countries", "• Behaviour of the buyer country with regard to the international community, in particular its attitude to terrorism, the nature of its alliances and respect for international law", "• Existence of a risk that the equipment will be diverted within the buyer country or re-exported under undesirable conditions", "• Compatibility of the arms exports with the technical and economic capacity of the recipient country, taking into account the desirability that States should achieve their legitimate security and defence needs with the least diversion of human and economic resources for armaments", "Furthermore, import and export licences are not granted if in contravention of United Nations, European Union or OSCE embargoes. For small arms and light weapons, the Wassenaar Arrangement guidelines adopted in 2002 also apply.", "The necessary documentation for obtaining an export licence depends, inter alia, on the exporter and the recipient, the importing country, the amount of weapons, the intended use and quantity. The documentation required includes an import licence or an international import certificate from the competent authorities in the importing country.", "For military equipment, an end-user certificate with a non-re-export clause is also required.", "Regulation of brokering activities", "Portugal has implemented the European Union Council Common Position 2003/468/CFSP, of 23 June 2003 on the control of arms brokering with the entry into force of the law 48/2009, of 5 August 2009.", "All brokers are required to register with the Ministry of Defence. Brokers who have not been granted an authorization are not allowed to conduct brokering activities.", "A licence for a specific brokering transaction must be obtained from the Ministry of Defence and, where required by national legislation, from the authorities with jurisdiction over the place of residence or establishment of the broker. Records of all persons and entities which have obtained such a brokering licence must be kept for a minimum of 15 years.", "Russian Federation", "[Original: Russian] [27 April 2011]", "The Russian Federation believes that the following principles could form the basis of regional conventional arms control agreements:", "– Military sufficiency;", "– Balanced approach and reciprocity;", "– Military significance;", "– Contribution to confidence- and security-building;", "– Enhanced transparency and predictability;", "– Cost-effectiveness;", "– Verifiability;", "– Further adaptability;", "– Equality of rights and obligations.", "This list is derived from the paper put forward by Russia within the Organization for Security and Cooperation in Europe (OSCE), entitled “Draft OSCE programme for further action in the field of arms control and confidence- and security-building measures”, which contains wording taken from documents previously adopted by OSCE.", "Turkmenistan", "[Original: Russian] [1 June 2011]", "Turkmenistan, an independent and neutral State, actively contributes to the strengthening of public peace and stability and recognizes the fundamental conventions, treaties and agreements that constitute the system of international security, as well as other generally accepted rules of international law.", "As stated in article 6 of the new version of the Constitution of Turkmenistan adopted on 26 September 2008, “Turkmenistan, as a fully fledged member of the international community, maintains a foreign policy based on the principles of permanent positive neutrality, non-interference in the internal affairs of other countries, renunciation of the use of force and of participation in military blocs and unions and the promotion of peaceful, friendly and mutually beneficial relations with the countries of the region and States throughout the world”.", "The United Nations Regional Centre for Preventive Diplomacy for Central Asia was opened in Ashgabat on 10 December 2008. Turkmenistan fully supports the efforts of the United Nations to establish a zone free of nuclear weapons and all other weapons of mass destruction in Central Asia and abides strictly by all the conventions it has signed and all the international commitments it has made with respect to the prohibition of these types of weapons.", "As a member of the Organization for Security and Cooperation in Europe (OSCE), Turkmenistan, along with the other member States, submits an annual military report in accordance with the Helsinki Document of 1992. OSCE arms inspectors, comprising experts from other nations, come to Turkmenistan every year to conduct inspections based on the annual report submitted in accordance with the Vienna Document 1999 of the negotiations on confidence- and security-building measures.", "Ukraine", "[Original: Russian] [15 April 2011]", "Ukraine is promoting the establishment of new confidence- and security-building mechanisms on the basis of mutual understanding and openness in military and political activities and is playing an active role in regional and subregional conventional arms control systems.", "1. Ukraine believes that the Treaty on Conventional Armed Forces in Europe is an important instrument for strengthening regional security.", "Consequently, Ukraine fully complies with its commitments under the Treaty.", "In addition, in 2006, Ukraine made additional unilateral commitments to lower the ceilings on armaments and military equipment, as follows:", "Battle tanks — from 4,080 to 3,200;", "Artillery systems — from 4,040 to 3,600;", "Combat aircraft — from 1,090 to 800;", "Attack helicopters — from 330 to 250.", "In addition, Ukraine is proceeding with the disposal of armaments and military equipment to bring the total below the ceilings specified in the Treaty on Conventional Armed Forces in Europe. The status as at 1 January 2011 is as follows:", "Battle tanks — 2,525 (ceiling: 3,200);", "Armoured combat vehicles — 3,855 (ceiling: 5,050);", "Artillery systems — 3,149 (ceiling: 3,600);", "Combat aircraft — 517 (ceiling: 800);", "Attack helicopters — 147 (ceiling: 250).", "With regard to the fulfilment of additional unilateral commitments with respect to the coast guard and the marine corps, Ukraine provides an annual report to other nations on the armaments and military equipment in the possession of those units. Following a significant decrease, the status as at 1 January 2011 is as follows:", "Battle tanks — 39;", "Armoured combat vehicles — 171;", "Artillery systems — 72;", "Armoured combat vehicles — 3.", "The number of military personnel in Ukraine remained unchanged in 2010 and totalled 150,000 as at 1 January 2011.", "2. Within the Organization for Security and Cooperation in Europe (OSCE), the Vienna Document 1999 forms the regulatory framework for international cooperation in the area of confidence- and security-building measures.", "The Government has enhanced both bilateral and multilateral cooperation in the context of regional security systems in order to establish a zone of stability and mutual confidence around Ukraine.", "In accordance with chapter X of the Vienna Document 1999, Ukraine is developing bilateral cooperation with neighbouring States on confidence- and security-building measures in border areas.", "Ukraine is actively cooperating with Belarus, Hungary, Poland and Slovakia through the following bilateral intergovernmental agreements:", "– Agreement between the Cabinet of Ministers of Ukraine and the Government of the Republic of Hungary on confidence- and security-building measures and the development of bilateral military contacts;", "– Agreement between the Cabinet of Ministers of Ukraine and the Government of the Slovak Republic on additional confidence- and security-building measures;", "– Agreement between the Cabinet of Ministers of Ukraine and the Council of Ministers of the Republic of Poland on confidence- and security-building measures;", "– Agreement between the Cabinet of Ministers of Ukraine and the Government of the Republic of Belarus on additional confidence- and security-building measures.", "The agreements provide for prior notification of military activities, invitations to observe exercises, and inspections of and visits to military units.", "In accordance with the agreements, the parties each conduct two to three confidence- and security-building measures per year in each of the countries in addition to the quota of inspections established in the Vienna Document 1999.", "Since the entry into force of the agreements in 2001, 115 measures have been conducted in Ukraine and elsewhere.", "The annual working meetings held to assess the implementation of the agreements provide an opportunity for open dialogue to take place on the establishment of new mechanisms for cooperation.", "An important confidence-building step is the agreement of the parties to refrain from tactical military exercises at the battalion level and higher at their neighbours’ borders.", "We believe that Ukraine’s active implementation of existing international treaties on conventional arms control, particularly the agreements concluded with neighbouring States on additional confidence- and security-building measures, promotes the maintenance of regional and subregional peace and stability.", "[1] At the 43rd meeting of the Subregional Consultative Commission, held from 2 to 5 November 2009 in Novi Sad declarations on voluntary limitation of the number of armed forces, personnel and stocks were adopted and approved, as follows: Bosnia and Herzegovina to limit itself with 16,000 staff (9,910 standing staff), Montenegro to limit itself with 5,000 staff (2,400 standing staff), Republic of Croatia limits itself with 44,000 staff (19,712 standing staff), Republic of Serbia to limit itself with 119,605 staff (29,357 standing staff)." ]

[ "Sixty-sixth session", "^ (*) A/66/50.", "Item 99 (i) of the preliminary list*", "General and complete disarmament", "Conventional arms control at the regional and subregional levels", "Report of the Secretary-General", "Contents", "2. Replies received from Member States", "Introduction", "1. By its resolution 65/46 of 8 December 2010 on conventional arms control at the regional and subregional levels, the General Assembly decided to give urgent consideration to the issues involved in conventional arms control at the regional and subregional levels and requested the Secretary-General to seek the views of Member States on the subject and to submit a report to the Assembly at its sixty-sixth session. The present report is submitted pursuant to that request.", "2. On 9 March 2011, the Secretariat sent a note verbale to Member States seeking their views on the subject. At the time of writing, replies had been received from the following 14 States: Armenia, Colombia, Congo, El Salvador, Jordan, Kazakhstan, Lebanon, Mexico, Montenegro, Norway, Portugal, Russian Federation, Turkmenistan and Ukraine. Those replies are reproduced in section II of the present report. Additional replies received will be issued as addenda.", "Replies received from Member States", "Armenia", "[Original: English] [19 May 2011]", "The opportunity provided by General Assembly resolution 65/46 could be used to focus on the challenges related to conventional arms control at the regional and subregional levels, to identify problems and shortcomings and to find solutions.", "In addressing arms control issues, Armenia attaches great importance to cooperation within the framework of international organizations, in particular the United Nations and the Organization for Security and Cooperation in Europe.", "Organization for Security and Cooperation in Europe", "The OSCE addresses arms control, disarmament and security cooperation through its Conflict Prevention Centre and the Forum for Security Cooperation. The Joint Consultative Group, which oversees the implementation of the Treaty on Conventional Armed Forces in Europe, although not an official part of OSCE, is closely linked to the work of other bodies.", "The Forum for Security Cooperation discussed the Vienna Document 1999, the Code of Conduct, the Global Exchange of Military Information and issues related to anti-personnel mines, small arms and light weapons, and national export control practices. All of this envisages an annual exchange of relevant information, as well as inspection and evaluation visits in the context of the Vienna Document. Armenia receives three designated area inspections and one evaluation visit per year. The current process of updating the Vienna Document 1999 is very timely and will enhance military transparency and confidence-building.", "The OSCE Annual Security Review Conference, the OSCE Annual Implementation Assessment Meeting and the OSCE Meeting to Review the Document on Small Arms and Light Weapons are key tools for reflection and evaluation of the implementation of OSCE confidence- and security-building measures at the Centre for Conflict Prevention/Forum for Security Cooperation.", "Treaty on Conventional Armed Forces in Europe", "The Treaty on Conventional Armed Forces in Europe, the cornerstone of the European conventional arms control regime, is considered by Armenia to be one of the keys to achieving security and military predictability. Since 1992, the implementation of the Treaty has created a secure environment in Europe, greatly enhancing mutual confidence and almost completely eliminating the possibility of major military conflicts.", "Like other OSCE arms control measures, the Treaty also requires regular exchange of military information on an annual basis and plans for disarmament and verification through inspections.", "Armenia fully supports the negotiations on the revision of the Treaty and believes that the final outcome should be a practical, legally binding and context-appropriate document, and remains committed to peace and mutual confidence.", "Violations of the Treaty on Conventional Armed Forces in Europe by Azerbaijan", "Azerbaijan ' s military budget has grown exponentially over the past decade (470 per cent since 2000; defence expenditure of $3.12 billion in 2011 will account for about 20 per cent of the total government expenditure) and its intransigent military rhetoric has increased tensions in the region and seriously hampered the process of dialogue aimed at reaching a solution to existing problems. Azerbaijan ' s flagrant violation of its legally binding obligations under the Treaty and its excessive accumulation of conventional arms constitute a serious threat to the security of the South Caucasus and surrounding areas.", "According to official information, as at 1 January 2011, Azerbaijan had two categories of Treaty-restricted equipment well above the established ceiling. Azerbaijan has 381 main battle tanks (up to a permitted ceiling of 220) and 469 artillery (up to a permitted ceiling of 285). Its holdings of attack helicopters and combat aircraft also increased significantly in 2010.", "Armenia has regularly drawn the attention of the international community to such flagrant violations and stated that it is dangerous and intolerable to ignore them. The issue is also being raised with the United Nations, the European Union, the Organization for Security and Cooperation in Europe, the Collective Security Treaty Organization and the North Atlantic Treaty Organization. Failure to adhere to the Treaty would put the current process of modernizing the Treaty in Vienna in serious jeopardy. This, in turn, would create an extremely dangerous trend of an arms race at the subregional level.", "Colombia", "[Original: Spanish] [19 May 2011]", "Principles of conventional arms control at the regional and subregional levels", "Colombia attaches particular importance to the conclusion of binding instruments for the development of legislation on the control of conventional arms, the strengthening of controls on international arms transfers and the prevention of the diversion of weapons to the illicit market, in particular to illegal armed groups or illegal non-State actors, or for use in organized crime and common crime.", "Colombia therefore expresses its willingness to establish a global system that would provide States with clear international norms for the control of international and transboundary movements of all conventional arms, small arms and light weapons, spare parts, ammunition, explosives and related components, as well as complementary parts and related technologies.", "To that end, since 2008, Colombia has participated in various forums established within the framework of the United Nations to assess the scope and feasibility of an arms trade treaty. In this regard, Colombia proposes the following general principles. In the view of Colombia, these principles can also be used in the formulation of regional and subregional agreements on conventional arms:", "(a) Regional and subregional agreements should be consistent with the purposes and principles of the United Nations, as stated in Article 52 of the Charter of the United Nations;", "(b) Recognize that arms control, disarmament and non-proliferation are essential to international peace and security;", "(c) To comply with international law, including international human rights law and international humanitarian law;", "(d) Respect for the principles enshrined in the Charter of the United Nations, in particular the inherent right of legitimate self-defence, the sovereignty and equality of all States and non-interference in their internal affairs;", "(e) The right of all States to produce, export, import, transfer and possess conventional arms for legitimate self-defence purposes;", "(f) The impact of various forms of armed violence, such as illegal armed groups, organized crime and crime in general, on the internal affairs of each State and its response capacity; in view of this, States have the right and the duty to maintain the security of their people and control their territory;", "(g) Recognize that the transfer of arms to non-State actors can have a negative impact on the internal security of States, as they may be used to commit crimes against humanity or serious violations of international humanitarian law;", "(h) Prohibition of the transfer of conventional arms to non-State actors;", "(i) Recognized the importance of dialogue and cooperation among States on security and defence matters, with a view to, inter alia, improving conventional arms control systems, enhancing transparency in transactions and enhancing confidence;", "(j) To take general measures to improve conventional arms monitoring and control systems, taking into account the different circumstances and capabilities of States;", "• Development of measures and procedures to control and monitor all aspects of the conventional arms trade, including identification and monitoring of end-users", "• Establishing clear measures and procedures for the proper management, collection, storage and disposal of conventional arms", "Congo", "[Original: French] [30 April 2011]", "Introduction", "In response to a note verbale from the United Nations Office for Disarmament Affairs seeking the views of the Government of the Republic of the Congo on the drafting of regional agreements on conventional arms control, the Republic of the Congo wishes to reiterate its commitment to international and regional disarmament in accordance with the principles of United Nations collective security. In this connection, the Republic of the Congo has the honour to transmit herewith its views on the drafting of regional agreements on conventional arms control.", "Overall context", "Analysis of the situation of conventional arms in Africa and recommendations", "The United Nations Register of Conventional Arms, as described in the 2001 Register, is essential for better conventional arms control in Africa. The brochure is divided into five main sections. The United Nations General Assembly, in its resolution 46/36 L of 9 December 1991, called upon all Member States to cooperate at the regional and subregional levels, taking fully into account the specific conditions existing in the region or subregion, with a view to strengthening and coordinating international efforts aimed at increasing openness and transparency in armaments. Using the manual, we have identified the regional aspects of resolution 46/36 L. Although, overall, Africa has contributed less to the Register than other continents, it remains among the continents facing the most serious security challenges, given the many hot spots of armed conflict in Africa. It is therefore important to promote and/or strengthen conventional arms control in Africa.", "In October 1999, the United Nations Standing Advisory Committee on Security Questions in Central Africa adopted the N'Djamena Declaration (A/54/530-S/1999/1141). In the Declaration, the Commission recommended the creation of a unified national and subregional arms register and urged all States to implement the recommendations contained in the guidelines for international arms transfers contained in General Assembly resolution 46/36 H. The arms control policies of several African countries circumvent the principles of registration in the United Nations Register. The N ' Djamena Declaration ' s recommendation to establish a subregional register has gone unheeded.", "It is important to note that even if a subregional register exists, it will be a supplement to the United Nations Register only with regard to the weapons to be recorded. Indeed, it is those weapons and equipment that do not fall within the category of the United Nations Register of Conventional Arms that are most used in many conflicts in Africa, particularly in sub-Saharan Africa. Light weapons are an example of this.", "For African countries to participate in conventional arms control, they must be fully involved in the United Nations Register of Conventional Arms, which in turn can contribute to its universalization. It is therefore imperative that the international community provide assistance to promote disarmament in Africa through the establishment of relevant cooperation mechanisms.", "Furthermore, resolution 46/36 L, entitled “Transparency in armaments”, which reaffirmed the principles of the resolution, reflects the desire of the international community to increase transparency in arms control, and resolutions 47/52 L of 15 December 1992 and 52/38 R of 9 December 1997.", "In many countries, including those in Africa, the overuse of designated “confidential information” has made transparency virtually non-feasible, thus thwarting the desire for greater transparency. This explains why African States have not contributed much to the United Nations Register of Conventional Arms. Agreements on the African continent and the subregion aimed at building confidence and security among States include:", "• The African Union Non-Aggression and Common Defence Pact (AU) Abuja, 31 January 2005;", "• Treaty on Non-Aggression among the States Members of the Economic Community of Central African States Yaoundé, 8 July 2006", "• Mutual Assistance Pact between the States Members of the Economic Community of Central African States (ECCAS) Malabo, 24 February 2000;", "• Treaty on Non-Aggression, Solidarity and Mutual Assistance among the States Members of the Economic Community of Central African States Brazzaville, 28 January 2004;", "Regional and subregional disarmament stakeholders should use these regional instruments to convince African States to endorse the concept of transparency in armaments.", "This issue should be included in the agenda of the Assembly of Heads of State and Government of the African Union and their respective subregions.", "By taking into account the examples of other continents, including the Americas, African countries would be more willing to sign agreements on conventional arms control.", "El Salvador", "[Original: Spanish] [2 May 2011]", "Conventional arms control is a solution for promoting and maintaining mutual trust among States in the region. The implementation of conventional arms control measures could prevent conflicts between States.", "In order to maintain harmony, peace and mutual trust, the military balance in the region must be maintained. Control measures must also be put in place and maintained to prevent the clandestine acquisition of weapons by any State, which could create regional tensions, create the risk of sudden military attacks and undermine the balance achieved among States. Controlling the arms race can prevent the possibility of surprise attacks or the outbreak of hostilities by any State.", "States should maintain the exchange of information on the basis of mutual trust, transparency and authenticity. Measures must also be taken to verify compliance with conventional arms control.", "Maintaining the conventional arms control regime requires an organization that can follow up on issues raised and measures adopted by participants, as well as on reports arising from the implementation of measures developed or adopted by participants.", "Conventional arms control will contribute to regional peace and stability by ensuring that States maintain the lowest possible level of armaments necessary to maintain a balance of defence capabilities in the region.", "Jordan", "[Original: Arabic] [28 April 2011]", "General Assembly resolutions on conventional arms control at the regional and subregional levels contribute to regional and international peace and security.", "It is the responsibility of States that manufacture and maintain large arsenals of conventional weapons to control them, thus effectively reducing their number and strengthening agreements on regional security.", "Conventional arms control should go hand in hand with negotiations and conferences on the reduction of stockpiles of nuclear weapons and weapons of mass destruction.", "Conventional arms control measures must respect the right of States to possess weapons in order to guarantee their own security, and there should be no discrimination against different States in that regard.", "The adoption of conventional arms control measures must be based on the principle of equal security. The security of any State is a red line and a legitimate right of every State. The concept of national security must be the same for all States: the security of one State cannot be more important than that of another.", "In order to ensure the success of arms measures at the regional and subregional levels, the causes of the arms race must be taken into account and addressed. The fact that a large regional Power is heavily armed will certainly prompt other countries in the region to acquire weapons in order to maintain a strategic balance in conventional armaments.", "It is therefore necessary to focus on resolving international conflicts, particularly the Arab-Israeli conflict, in order to prevent an arms race in the region.", "Jordan has consistently affirmed its adherence to the principles set forth in United Nations instruments relating to weapons, sovereignty and the equality of States, as well as the right of States to possess and acquire conventional weapons for legitimate self-defence.", "Jordan is committed to United Nations resolutions and has signed numerous international agreements and conventions on conventional and other weapons. His country shared the concerns of the international community.", "Kazakhstan", "[Original: Russian] [26 May 2011]", "Every year, Kazakhstan provides the following information in accordance with the relevant General Assembly resolutions:", "Resolution Q;", "National reports on the implementation of the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects (resolution 58/241);", "The following events were held in the Republic of Kazakhstan in 2010:", "An international seminar on combating the illicit trade in small arms and light weapons in Central Asia was held in Almaty on 16 and 17 September. The event was attended by representatives of States members of the Organization for Security and Cooperation in Europe (OSCE).", "The purpose of this seminar is to discuss the control of the import, export, brokering and marking of weapons, the International Small Arms Control Standards, the OSCE Document on Small Arms and Light Weapons and future developments.", "Participants included representatives of the Central Asian States, the OSCE Conflict Prevention Centre, the United Nations Office for Disarmament Affairs, the United Nations Institute for Disarmament Research in Geneva and other international organizations specializing in small arms control. Officials from the Ministry of Defence, the Ministry of Internal Affairs, the Ministry of Emergency Situations, the State Security Committee and the Customs Control Committee of the Ministry of Finance of Kazakhstan attended the seminar.", "Lebanon", "[Original: Arabic] [31 May 2011]", "The Ministry of Defence would like to make the following points:", "– With regard to this matter, the resolutions of international legitimacy adopted by the United Nations should be fully respected and the Charter of the United Nations respected;", "All regional States concerned should continue to adhere to the Treaty on the Non-Proliferation of Nuclear Weapons in order to prevent the re-application of double standards to the Treaty. In case of non-compliance with the Treaty, States should be held accountable;", "Arms manufacture and transfer should be controlled and arms smuggling and illicit trafficking should be combated to ensure that weapons do not fall into the hands of terrorists;", "Legislation should be enacted at the regional and international levels to limit the proliferation of such weapons, while allowing them to be used individually or collectively to resist aggression or to defend territory;", "Mexico", "[Original: Spanish] [2 May 2011]", "On this issue, the Permanent Mission recalls that the Government of Mexico believes that it is neither feasible nor appropriate for the Conference on Disarmament to consider the formulation of principles that could serve as a framework for regional agreements on conventional arms control for the following reasons:", "• The Conference on Disarmament does not have the authority to make such an analysis, as it is a negotiating forum and does not have a mandate to study conventional arms;", "• Given the continuing paralysis and working methods of the Conference on Disarmament and the unresolved issues on the agenda of the Conference on Disarmament, it is not feasible to include in its agenda the task of developing principles for conventional arms control. Moreover, it was unacceptable to continue allocating human, financial, professional and political resources to institutions that did not achieve their own goals.", "Montenegro", "[Original: English]", "In order to achieve its strategic objective of joining NATO and becoming a member of the European Union, Montenegro has maintained its international commitments in the field of arms control and verification and has made a clear commitment to fully supporting and promoting the building and strengthening of regional and European stability and security.", "Following the restoration of national independence and its accession to OSCE and the United Nations, Montenegro has made numerous commitments in the military and political fields, implemented by the Montenegrin Ministry of Defence together with other relevant bodies. Following the ratification of the most recent agreements and conventions on disarmament, non-proliferation of weapons of mass destruction and conventional weapons, control of import and export, arms control and anti-mine activities, Montenegro, as an equal subject, has begun to implement its commitments on the implementation of international legal instruments.", "The Ministry of Defence of Montenegro is actively involved in the implementation of the following agreements and conventions:", "• Vienna Document 1999", "• Agreement on Subregional Arms Control", "• Chemical Weapons Convention", "• Biological Weapons Convention", "• Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons", "• Convention on the Prohibition of Anti-Personnel Mines (Ottawa Convention)", "• Document on small arms and light weapons", "Since its establishment, the Ministry of Defence and its Arms Control Department have actively participated in bilateral cooperation in the field of arms control with the Hellenic Republic, the Republic of Hungary and the Federal Republic of Germany. Cooperation with the German Verification Centre is most intensive.", "Bilateral cooperation includes activities related to the training of arms control inspectors, the exchange of information, the approval of additional mutual inspections, the holding of assessment meetings and the improvement of cooperation, as well as the donation of equipment to the Department of Arms Control. In addition to bilateral cooperation, verification centres in Europe, particularly in these regions, are particularly important because they provide all their expertise for the establishment of arms control departments and also promote the adoption of arms control standards and the fulfilment of OSCE obligations.", "The most intensive cooperation on arms control at the regional level is the implementation of the Agreement on Subregional Arms Control, which derives from article IV of annex 1B to the Dayton Peace Agreement on Bosnia and Herzegovina. The Agreement on Subregional Arms Control was established on 14 June 1996 and is signed by Bosnia and Herzegovina, the Republika Srpska, the Federation of Bosnia and Herzegovina, the Republic of Croatia and the Federal Republic of Yugoslavia. Since 2005, agreements have been reached between Bosnia and Herzegovina, Republika Srpska and the Federation of Bosnia and Herzegovina to implement the Agreement by Bosnia and Herzegovina on behalf of all three parties to the Agreement.", "Following the restoration of independence, Montenegro and the Republic of Serbia signed a bilateral agreement on the principles and procedures for the implementation of the Agreement on Subregional Arms Control in Podgorica on 6 July 2007, whereby Serbia and Montenegro became an independent party to the Agreement.", "The Agreement is an important benchmark for building security and trust in the years following the war. The essence of the Agreement is the substantial reduction of armaments (including battle tanks, artillery of 75 mm calibre and above, combat aircraft, attack helicopters and armoured combat vehicles) to the agreed limits from 1 November 1997 to the cooperation between the armed forces of the parties to the Agreement and the Ministry of Defence.", "The Agreement includes 15 articles and 6 protocols (on the reduction of inspections, the subregional consultative committees, the exchange of information and notifications, the existing types of armaments, and the procedure for the reclassification of combat capability training machines and types). In addition, the parties to the Agreement have undertaken to declare voluntary restrictions on the number of armed forces. [1]", "The Personal Representative of the OSCE Chairman-in-Office, whose office is located in Vienna, is personally responsible for the implementation of the Agreement; the meetings of the Subregional Consultative Council are attended by the Personal Representative of the OSCE Chairman and members of the Contact Group as witnesses (United States of America, Russian Federation, France, Federal Republic of Germany, United Kingdom and Italy), as well as by the parties to the Agreement (Serbia, Croatia, Bosnia and Herzegovina and Montenegro).", "In order to propose ways of rationalizing the Agreement and to analyse its implementation, regular and special meetings are held twice a year: the Permanent Working Group (10 meetings to date), the Subregional Constitutional Commission (45 meetings to date) and the biennial review conference (7 meetings to date).", "In the implementation of the Agreement, there have been notable good performances to date, and the parties to the Agreement have come closer to achieving the basic objectives of implementing the Agreement, establishing new forms of cooperation in the area of security focused on building transparency and confidence, achieving a minimum level of balance and permanent strength of defence forces, and providing conditions for the functioning of the security regime for the parties to the Agreement.", "Today, the Agreement reflects the new characteristics of relations among the signatories, as Montenegro formally acceded to the Agreement in 2007, is fully committed to various forms of cooperation within its mandate and is ready to consider proposals for further improvement of arms control mechanisms at the subregional and regional levels.", "As of 2007, Montenegro has implemented the following actions:", "• 24 inspections of declared sites (12 on its own territory and 12 on the other side)", "• The completion of public inspections of arms reductions in Montenegro and Bosnia and Herzegovina in March 2009,", "• The Personal Representative of the OSCE Chairman-in-Office undertook two missions to Montenegro in 2007 and 2009 with the fact-finding mission.", "Montenegro has reduced the number of heavy armaments, as follows:", "• In June/July 2007, 61 battle tanks — 60 tanks were destroyed and broken to pieces and 1 was sent to the museum for exhibition", "• In March 2009, 46 130-mm cannons — 45 pieces of artillery were destroyed and broken and 1 was sent to the museum for exhibition", "• 24 122mm howitzers in two groups — 8 in December 2009 and 16 in August 2010 — exported to Armenia", "• 100 82mm mortars in two groups — 30 mortars in August 2009 and 70 mortars exported to Armenia in December 2009", "• 50 120 mm mortars in two groups — 12 mortars in August 2009 and 38 mortars exported to Armenia in December 2009", "• Six combat aircraft N-62 (Super Galeb G-4) were transported to Serbia in October 2010 pursuant to an agreement between the Government of the Republic of Serbia and the Government of Montenegro on methods of exchange and documentation", "This reduction represents a reduction of more than 280 heavy equipment for a total of four years.", "Representatives of the Ministry of Foreign Affairs and European Integration and the Department of Arms Control regularly participate in meetings of the Permanent Working Group (held in Vienna) and the Subregional Consultative Committee (held in the countries that chair the Subregional Consultative Committee). To date, Montenegro has hosted three meetings of the subregional consultative committee and held three six-month chairmanships (in Boudwa in 2007 and 2008 and in Kolachin in 2010).", "All activities in Montenegro are transparent and open to the inspectors in the region and representatives of the Office of the Personal Representative of the OSCE Chairman-in-Office. Montenegro supports all proposals that contribute to building and strengthening confidence, security and the development of subregional and regional cooperation.", "Ongoing activities involve the transfer of ownership of the Agreement from the Personal Representative of the OSCE Chairman-in-Office in Vienna to the parties to the Agreement. The first phase, which is expected to be completed by the end of 2011 (without delay and without success), and the second phase, a comprehensive transition of ownership, has not yet been regulated or determined by law, but is expected to be completed by the end of 2014.", "In Montenegro, the Arms Control Division-Verification Centre of the Ministry of Defence is responsible for the implementation of the Agreement.", "Within its mandate, the Ministry of Defence has fully implemented its arms control obligations and is currently working to improve security measures and confidence at the regional and global levels.", "Norway", "[Original: English] [29 April 2011]", "Norway fully supports conventional arms control at the regional and subregional levels. Norway adheres to the Treaty on Conventional Armed Forces in Europe and hopes that the outstanding issues relating to this Treaty can be resolved as soon as possible to ensure its entry into force.", "Norway remains convinced that regional and subregional approaches to conventional arms control at the regional and subregional levels must be based on regional and subregional circumstances. Norway does not believe that the Conference on Disarmament is the appropriate forum for developing principles that could serve as a framework for regional agreements on conventional arms control. Furthermore, Norway fundamentally questions the role of the Conference on Disarmament, as this body has not been negotiated since the late 1990s and is not open to all United Nations Member States.", "Portugal", "[13 June 2011]", "Arms export control", "All items included under “Conventional Armaments” in the Common European Military List and the Wassenaar Munitions List are subject to export controls.", "The import and export of the above-mentioned products must be authorized by the Portuguese Ministry of Defence, which is responsible for the licensing of military goods.", "The trans-shipment of items listed in the above-mentioned list is also controlled and requires authorization from the competent authorities.", "All applications are assessed on a case-by-case basis by the Ministry of Defence on the basis of a comprehensive assessment. Each application is also considered by the Ministry of Foreign Affairs in the light of foreign policy interests. Accordingly, the Ministry of Foreign Affairs will examine each import and export request in accordance with the guidelines set out in Council Common Position 2008/944/CFSP of 8 December 2008, which is legally binding on all EU member States. These minimum standards are outlined below:", "• Respect for the international commitments of member States, in particular prohibitions issued by the Security Council or the European Union, agreements on non-proliferation and other issues and other international obligations", "• Respect for human rights in the country of final destination and for international humanitarian law in the country of final destination", "• The internal situation in the country of final destination, which is linked to the existence of tension or armed conflict", "• Maintaining regional peace, security and stability", "• The national security situation of the member States, as well as the security situation in the territories under the responsibility of the member States and the national security situation of friendly allies", "• The performance of the purchasing State in the international community, in particular the attitude of the Government towards terrorism, its affiliation and its respect for international law", "• There is a risk of equipment being diverted within the country of purchase or re-exported under undesirable conditions", "• Compatibility of arms exports with the technical level and economic capabilities of the receiving State, taking into account whether the receiving State is able to devote the least human and economic resources to armaments in order to achieve legitimate security and defence needs", "In addition, import and export licences will not be issued if they are contrary to United Nations, European Union or OSCE embargoes. The Wassenaar Arrangement guidelines adopted in 2002 apply to small arms and light weapons.", "The documents required to obtain an export licence depend on the exporter and recipient, the country of import, the number of weapons, the intended use and quantity. The required documentation includes import licences or international import certificates issued by the competent authorities of the importing country. In the case of military equipment, an end-user certificate with a non-export clause is also required.", "Control of brokering activities", "With the entry into force of Act No. 48/2009 of 5 August 2009, Portugal proceeded to implement Council Common Position 2003/468/CFSP of 23 June 2003 on the control of arms brokering.", "All brokers must register with the Ministry of Defence, and unauthorized brokers may not engage in brokering activities.", "A licence for a specific brokering transaction must be obtained from the Ministry of Defence or, if required by national legislation, from the competent authorities with jurisdiction over the broker ' s residence or the location of the company. Records must be kept for at least 15 years for all persons and entities who have obtained such an intermediary licence.", "Russian Federation", "[Original: Russian] [27 April 2011]", "The Russian side believes that the Regional Agreement on Conventional Arms Control could be based on the following possible principles:", "– Military adequacy;", "- Balance and reciprocity;", "– Military significance;", "- Promoting confidence-building and security;", "- Increased transparency and predictability;", "– Validity;", "– Verifiable;", "- Further adaptive capacity;", "– Equal rights and obligations.", "The list is based on the draft OSCE Programme for Further Roles in the Area of Arms Control and Confidence- and Security-building Measures, which Russia has included in the framework of the Organization for Security and Cooperation in Europe (OSCE), and contains the language previously used in the OSCE document.", "Turkmenistan", "[Original: Russian] [1 June 2011]", "Independent and neutral Turkmenistan actively participates in the strengthening of social stability and stability, recognizing the main conventions, treaties and agreements that guarantee the establishment of the international security system and other recognized norms of international law.", "Article 6 of the Constitution of Turkmenistan, as amended on 26 September 2008, stipulates that Turkmenistan is the subject of full authority of the international community and that the principles of foreign policy are permanent and realistic, non-interference in other national affairs, non-use of force, non-participation in military blocs and alliances and the promotion of peaceful, friendly and mutually beneficial relations with the countries of the region and the world.", "The United Nations Regional Centre for Preventive Diplomacy for Central Asian Countries was opened in Ashgabat on 10 December 2008. Turkmenistan fully supports the efforts of the United Nations to establish a zone free of nuclear weapons and other modern weapons of mass destruction in Central Asia, in strict compliance with the conventions signed and with all its international obligations.", "Turkmenistan is a member of the Organization for Security and Cooperation in Europe (OSCE) and provides military information on an annual basis, together with other OSCE member States, in accordance with the existing programme of the 1992 Helsinki Document. In order to implement arms control on the basis of the information provided annually, Turkmenistan, within the framework of the Vienna Document of the 1999 negotiations on confidence- and security-building measures, has increased the number of military inspections conducted annually by experts from other States, in accordance with the OSCE guidelines.", "Ukraine", "[15 April 2011]", "Ukraine promotes the establishment of new confidence- and security-building mechanisms based on mutual understanding and openness in military political activities and is also actively involved in conventional arms control regimes at the regional and subregional levels.", "1. Ukraine considers the Treaty on Conventional Armed Forces in Europe to be an important instrument for strengthening security at the regional level.", "In this regard, Ukraine fully complies with its treaty obligations.", "In addition, in 2006 Ukraine unilaterally increased its obligation to lower the threshold for armaments and combat technology equipment:", "Battle tanks — from 4,080 to 3,200;", "Artillery systems — from 4,040 to 3,600;", "Combat aircraft — from 1,090 to 800;", "Attack helicopters — from 330 to 250.", "Nevertheless, Ukraine continues to reduce the total number of armaments and combat technical equipment to levels below those stipulated in the Treaty on Conventional Armed Forces in Europe. In particular, as at 1 January 2011, the number was:", "Battle tanks - 2,525 (level - 3,200);", "Armoured combat vehicles — 3,855 (level — 5,050);", "Artillery systems — 3,149 (level - 3,600);", "Combat aircraft - 517 (level - 800);", "Attack helicopters — 147 (level-250).", "In order to fulfil its unilaterally increased obligations with regard to coastal defence forces and marines, Ukraine provides information to other countries on an annual basis on its own armaments and combat technology. The number of such equipment has been significantly reduced to 1 January 2011:", "Coast Guard and Marines:", "Battle tanks — 39;", "Armoured combat vehicles — 171;", "Artillery systems — 72;", "Armoured combat vehicles — three.", "During 2010, the number of members of the Ukrainian armed forces remained unchanged, at 150,000 as at 1 January 2011.", "2. Within the framework of the Organization for Security and Cooperation in Europe, the Vienna Document 1999 is the normative basis for international cooperation in the field of confidence- and security-building measures.", "One aspect of Ukraine ' s activities is bilateral and multilateral cooperation in the regional security system, with a view to establishing a zone of stability and mutual confidence around Ukraine.", "In accordance with Part X of the 1999 Vienna Document, Ukraine is developing, on a bilateral basis, cooperation with neighbouring countries in the area of confidence- and security-building measures in border areas.", "Ukraine actively cooperates with the Republic of Hungary, the Republic of Poland, the Slovak Republic and the Republic of Belarus in accordance with bilateral intergovernmental agreements:", "Agreement between the Cabinet of Ministers of Ukraine and the Government of the Republic of Hungary on confidence- and security-building measures and the development of bilateral military relations;", "Agreement between the Cabinet of Ministers of Ukraine and the Government of the Slovak Republic on additional confidence- and security-building measures;", "Agreement between the Cabinet of Ministers of Ukraine and the Council of Ministers of the Republic of Poland on confidence and security measures;", "Agreement between the Cabinet of Ministers of Ukraine and the Government of the Republic of Belarus on additional confidence and security measures.", "These agreements provide for advance notification of military activities, invitations to observers to observe exercises, inspections and visits to troops.", "In accordance with the terms of the agreement, the parties carry out two or three activities per year in the field of confidence- and security-building measures in States, in addition to the quota inspections provided for in the Vienna Document 1999.", "Since the entry into force of the Agreement in 2001, 115 activities have been carried out in Ukraine and abroad.", "An annual working session to assess the implementation of the Agreement allows for an open dialogue on the establishment of new cooperation mechanisms.", "One of the important confidence-building steps is that the signatories of the Agreement do not conduct battalion-level and above combat exercises in the border areas of neighbouring countries.", "We believe that the active participation of Ukraine in the implementation of existing international treaties in the field of conventional arms control, in particular the agreements with neighbouring countries on additional confidence- and security-building measures, could contribute to the maintenance of peace and the guarantee of stability at the regional and subregional levels.", "[1] At its 43rd meeting, held in Novi Sad from 2 to 5 November 2009, the Subregional Consultative Council adopted and approved a declaration on voluntary restrictions on the number, personnel and inventories of armed forces, as follows: Bosnia and Herzegovina is limited to 16,000 (9,910 permanent personnel), Montenegro is limited to 5,000 (2,400 permanent personnel), the Republic of Croatia is limited to 44,000 (19,712 permanent personnel) and the Republic of Serbia is limited to 119,605 (29,357 permanent personnel)." ]

[ "第六十六届会议", "临时议程[1] 项目104", "全面禁止核试验条约", "全面禁止核试验条约", "秘书长的报告", "1. 大会在题为“全面禁止核试验条约”的第65/91号决议第11段中请秘书长同全面禁止核试验条约组织筹备委员会协商编写报告，说明已批准《条约》的国家为各国普遍加入《条约》作出的努力，以及向请求在批准程序上给予协助的国家提供这种协助的可能性，并向大会第六十六届会议提出这份报告。", "2. 本报告根据这项要求提出。全面禁止核试验条约组织筹备委员会就此议题提交的资料载于附件。", "附件", "关于各国为实现普遍加入《全面禁止核试验条约》而作出的努力的报告[2]", "2010年6月至2011年5月", "国家\t日期/期间\t活动和内容\t备注 \n 1. 双边 \n1(a).　与附件2国家有关的活动 \n比利时\t2010年6月至2011年5月\t无论通过双边还是作为欧洲联盟成员，比利时支持《欧洲联盟行动计划》，并在与附件2国家的双边接触中、包括酌情在高级别双边接触中特别强调批准或签署《条约》以及该促使《条约》生效的重要性\t\n巴西\t2010年6月至2011年5月\t巴西在与尚未签署和/或批准《条约》的附件2国家的双边接触中，利用一切适当机会，强调签署和批准《条约》的重要性\t\n\t2011年3月19日\t2011年3月19日，迪尔玛·鲁索总统与来访的美利坚合众国巴拉克·奥巴马总统发表联合公报，强调“必须促使《全面禁止核试验条约》生效”。\t\n保加利亚\t2010年6月至2011年5月\t保加利亚在双边接触、特别是在同朝鲜民主主义人民共和国、印度和巴基斯坦等尚未签署或批准《条约》的附件2国家的双边接触中，提出签署和批准《条约》的问题，敦促这些国家尽早签署和批准《条约》，并强调促使《条约》生效的重要性\t\n克罗地亚\t2010年6月至2011年5月\t克罗地亚在双边接触、特别是在同尚未签署或批准《条约》的附件2国家的双边接触中，提出签署和批准《条约》的问题，敦促这些国家尽早签署和批准《条约》，并强调促使《条约》生效的重要性\t\n爱沙尼亚\t2010年6月至2011年5月\t爱沙尼亚在与尚未签署或批准《条约》的附件2国家的双边会晤中提出批准《条约》的问题，目的是促使《条约》生效\t\n法国\t2010年6月至2011年5月\t法国与尚未签署或批准《条约》的附件2国家进行定期讨论。在这些讨论中，法国利用一切机会强调，法国十分重视促使《条约》生效\t\n德国\t2010年6月至2011年5月\t德国在高级别双边会谈和有关多边论坛上重申《条约》早日生效的重要性，并敦促批准《条约》，特别是敦促剩余的附件2国家批准《条约》\t\n\t2010年10月\t联邦外交部长在2010年10月访问印度期间，在公开和非公开场合都呼吁印度政府加入《条约》。他在印度理工学院发表演讲，指出《条约》生效是实现“全球零点”目标的关键性第一步\t\n日本\t2010年6月至2011年5月\t日本在双边接触中利用每一个适当机会向尚未签署或批准《条约》的附件2国家提出批准《条约》问题\t\n墨西哥\t2010年6月至2011年5月\t墨西哥支持全面核禁试条约组织筹备委员会所作的努力，促使尚未签署和(或)批准《条约》的附件2国家尽快签署和批准《条约》，以使《条约》生效\t\n\t2010年6月至2011年5月\t墨西哥在与附件2国家的双边会晤中重申，必须尽早签署/批准《条约》，以使《条约》早日生效\t\n摩洛哥\t2010年6月至2011年5月\t摩洛哥做印度尼西亚外交部的工作，说明完成批准程序的必要性和相关性，鼓励印度尼西亚在批准《条约》方面进一步取得进展\t\n新西兰\t2010年6月至2011年5月\t新西兰在有关多边、区域和双边论坛、讲习班和会议中，尤其是在与尚未签署或批准《条约》的附件2国家举办的这些活动中，利用一切机会，推动促使《条约》生效的活动，敦促这些国家尽早签署和批准《条约》，强调促使《条约》生效的重要性\t\n\t2010年6月至2011年5月\t新西兰向尚未批准《条约》的若干附件2国家强调《条约》生效的重要性\t\n挪威\t2010年6月至2011年5月\t挪威在双边接触中，特别是在与附件2国家的双边接触中，提出签署和批准《条约》的问题\t\n\t2010年11月\t中国有关部门负责核查《条约》问题的代表访问了挪威国家数据中心。访问活动包括从技术角度讨论共同感兴趣的问题以及参访设在挪威的一个国际监测系统地震监测站\t\n菲律宾\t2010年6月至2011年5月\t菲律宾认识到，《条约》是建立信任的重要机制，在促进与其他国家合作、解决涉及区域和全球安全的问题方面具有关键作用，菲律宾一贯支持促使《条约》早日生效的呼吁\t\n波兰\t2010年6月至2011年5月\t波兰在与尚未签署和/或批准《条约》的附件2国家的部长级和部长以下各级双边会晤中提出批准《条约》的问题\t\n俄罗斯联邦\t2010年6月至2011年5月\t在与附件2国家进行双边接触时，俄罗斯联邦不断呼吁这些国家尽快签署/批准《条约》。在这方面，俄罗斯联邦不断呼吁美利坚合众国政府将其在许多双边和多边文件中宣布的批准《条约》意图转变为切实行动，尽早批准《条约》\t\n西班牙\t2010年11月\t西班牙就防扩散和裁军问题与美利坚合众国进行了协商，并强调批准《条约》的重要性\t\n瑞典\t2010年6月至2011年5月\t瑞典在与尚未签署和(或)批准《条约》的若干附件2国家的部长级和部长以下级别的双边接触中强调促使《条约》生效的重要性\t\n土耳其\t2010年6月至2011年5月\t土耳其在双边接触中向若干附件2国家强调签署和批准《条约》的重要性\t\n乌克兰\t2010年6月至2011年5月\t乌克兰官员在同尚未签署或批准《条约》的附件2国家官员的双边会晤中敦促这些国家政府签署和批准《条约》\t\n大不列颠及北爱尔兰联合王国\t2010年6月至2011年5月\t联合王国在双边讨论中利用一切适当机会，鼓励剩余附件2国家酌情签署和批准《条约》，使《条约》早日生效，例如，最近，联合王国对印度尼西亚承诺批准《条约》表示欢迎\t\n 1. 双边 \n1(b).与非附件2国家有关的活动 \n比利时\t2010年6月至2011年5月\t无论通过双边还是作为欧洲联盟成员，比利时支持《欧洲联盟行动计划》，并在与非附件2国家的双边接触中、包括酌情在高级别双边接触中特别强调批准或签署《条约》以及该促使《条约》生效的重要性\t\n巴西\t2010年6月至2011年5月\t巴西在与尚未签署和/或批准《条约》的非附件2国家的双边接触中，利用一切适当机会，强调签署和批准《条约》的重要性\t\n厄瓜多尔\t2010年6月至2011年5月\t厄瓜多尔在与非附件2国家的双边会晤中，在一切相关的时候都强调《条约》的重要性，并推动促使《条约》早日生效\t\n爱沙尼亚\t2010年6月至2011年5月\t爱沙尼亚在与非附件2国家的双边接触中利用一切适当机会提出这个问题，并鼓励这些国家努力签署和/或批准《条约》\t\n法国\t2100年6月至2011年5月\t法国与尚未签署或批准《条约》的非附件2国家举行定期讨论。在这些讨论中，法国利用一切机会强调，法国十分重视促使《条约》生效的问题\t\n\t2011年1月26日至2月2日\t在亚的斯亚贝巴非洲联盟首脑会议举行之际，法国以第十四条进程共同主席的身份，在若干非洲和亚洲国家首都开展活动，鼓励批准《条约》\t\n\t2010年9月24日\t在支持全面禁止核试验条约第五次部长级会议举行之际，法国以第十四条进程共同主席的身份，在若干非洲和亚洲国家首都开展活动，鼓励批准《条约》\t\n\t2010年5月30日至6月1日\t在非洲-法国首脑会议举行之际，法国以第十四条进程共同主席的身份，在若干非洲国家首都开展活动，鼓励批准《条约》\t\n匈牙利\t2010年12月14日\t匈牙利常驻联合国代表在纽约举办了一次午餐会，执行秘书和孟加拉国、古巴、多米尼加共和国、格林纳达、牙买加、印度尼西亚、菲律宾和毛里求斯等国常驻联合国代表以及加勒比共同体代表参加了午餐会。会议的目的是推动《条约》，尤其是强调国际监测系统的民生和科学用途。会议特别强调该系统支持海啸预警的能力，因为受邀参加的国家对这个方面很感兴趣\t\n日本\t2010年6月至2011年5月\t日本在双边接触中利用每一个适当机会向剩余的非附件2国家提出《条约》问题\t\n墨西哥\t2010年6月至2011年5月\t墨西哥与要求使《条约》早日生效的许多签署国家一道，支持全面核禁试条约组织筹备委员会所作的努力，促使尚未签署和(或)批准《条约》的非附件2国家尽快签署和批准《条约》，以使《条约》生效\t\n摩洛哥\t2010年6月至2011年5月\t摩洛哥是第十四条进程共同主席，积极做若干非洲国家的工作，尤其是做安哥拉、中非共和国和赤道几内亚的工作，鼓励批准《条约》和加强核查制度。摩洛哥强调国际监测系统的重要性和技术惠益，强调该系统对各国能力建设的重要性\t\n新西兰\t2010年6月至2011年5月\t新西兰在有关双边场合向非附件2国家强调《条约》的重要性，并推动促使《条约》早日生效\t\n\t2010年6月至2011年5月\t新西兰提供自愿捐款，使非附件2发展中国家的专家能够参加全面核禁试条约组织筹备委员会的正式技术会议，从而重申了《条约》的普遍性\t\n挪威\t2010年1月至2011年5月\t挪威支持挪威国家数据中心与比什凯克地震研究所开展的双边合作项目。该项目的中心活动是建设执行《条约》的能力，吉尔吉斯斯坦国家数据中心得到了技术培训、软件和硬件方面的支助\t\n\t2010年6月至2011年5月\t挪威一直支持挪威国家数据中心与哈萨克斯坦地球物理研究所开展双边合作项目，建设在中亚执行《条约》的能力。该项目包括在哈萨克斯坦阿拉木图设立一个国际技术培训中心，以支持《条约》的核查职能。在该项目支助下，已于2010年底开始为来自中亚各国的人员举办培训班，培训班将持续到2012年\t\n俄罗斯联邦\t2010年6月至2011年5月\t在与尚未签署或批准《条约》的非附件2国家进行双边接触时，俄罗斯联邦不断呼吁这些国家尽快加入《条约》\t\n斯洛伐克\t2010年6月至2011年5月\t斯洛伐克在有关双边会晤中继续支持普遍加入《条约》\t\n西班牙\t2010年11月\t国家地理研究所与全面禁止核试验条约组织筹备委员会临时技术秘书处合作，在马德里为东欧国家数据中心技术人员举办了一期高级能力建设班\t\n大不列颠及北爱尔兰联合王国\t2010年6月至2011年5月\t联合王国利用一切适当的双边机会，鼓励非附件2国家签署和/或批准《条约》\t\n\t2011年5月\t联合王国向全面禁止核试验条约组织筹备委员会一个项目自愿捐款，在12个小岛屿发展中国家推动签署和批准《条约》\t\n乌克兰\t2010年6月至2011年5月\t乌克兰定期与尚未签署或批准《条约》的非附件2国家进行讨论。在讨论中，乌克兰利用一切机会强调乌克兰对促使《条约》生效问题的重视\t\n 2. 多边 \n2(a).全球 \n比利时\t2010年6月至2011年5月\t比利时在不同的适当国际论坛上以本国身份和欧洲联盟成员国的身份重申支持《条约》，并重申比利时对促使《条约》早日生效问题的重视\t\n\t2010年9月\t比利时外交部长参加了支持全面禁止核试验条约第五次部长级会议，并代表欧洲联盟发言，支持促使《条约》生效\t\n\t2010年12月\t比利时投票赞成大会下述决议：题为“建立一个无核武器世界：加速履行核裁军承诺”的第65/59号决议、题为“采取联合行动彻底消除核武器”的第65/72号决议、题为“全面禁止核试验条约”的第65/91号决议和题为“联合国同全面禁止核试验条约组织筹备委员会的合作”的第65/127号决议，除其他外，所有这些决议均呼吁促使《条约》迅速生效\t\n巴西\t2010年4月28日\t巴西参加了第二次建立无核武器区条约缔约国和签署国及蒙古会议，支持其最后文件，该文件再次要求全面禁止一切核试验，重申必须促使各国家、特别是促使所有拥有核武器的国家和附件2国家普遍遵守《全面禁止核试验条约》，要求在《条约》生效之前维护和维持暂停核试验或任何其他核爆炸的措施\t\n\t2010年5月\t巴西支持不扩散核武器条约缔约国2010年审议大会最后文件，该文件强调《全面禁止核试验条约》的重要性，再次要求促使《条约》早日生效\t\n\t2010年6月至2011年5月\t巴西积极参加所有相关多边论坛，努力促使《条约》早日生效，推动各国普遍加入\t\n\t2010年12月8日\t巴西和56个国家是大会题为“全面禁止核试验条约”的第65/91号决议的共同提案国\t\n保加利亚\t2010年6月至2011年5月\t保加利亚在联合国大会、裁军谈判会议和2010年审议大会等相关多边论坛上利用各种机会强调《条约》及其早日生效的重要性\t\n\t2010年8月\t为支持禁止核试验国际日，保加利亚外交部长在哈萨克斯坦外交部专门设立的网站上就《条约》发表了一份国家声明\t\n\t2010年9月\t外交部长参加了在纽约举行的支持《全面禁止核试验条约》第五次部长级会议并签署了联合部长声明\t\n\t2010年9月至12月\t保加利亚支持通过下列大会决议：题为“建立一个无核武器世界：加速履行核裁军承诺”的第65/59号决议、题为“采取联合行动彻底消除核武器”的第65/72号决议、题为“全面禁止核试验条约”的第65/91号决议、题为“联合国同全面禁止核试验条约组织筹备委员会的合作”的第65/127号决议\t\n克罗地亚\t2010年5月\t外交和欧洲一体化部多边事务司司长参加了在纽约举行的不扩散核武器条约缔约国2010年审议大会并发言支持《全面禁止核试验条约》生效\t\n\t2010年12月\t克罗地亚支持联合国为确保《条约》早日生效而开展的各项活动，《条约》是国际核不扩散与核裁军机制的支柱之一。在此方面，克罗地亚投票支持大会题为“采取联合行动彻底消除核武器”的第65/72号决议、题为“全面禁止核试验条约”的第65/91号决议、题为“联合国同全面禁止核试验条约组织筹备委员会的合作”的第65/127号决议，所有这些决议除其他外，呼吁促使条约迅速生效\t\n厄瓜多尔\t2010年6月至2011年5月\t在联合国大会第一委员会一次会议期间，厄瓜多尔在核裁军主题下发言，都呼吁各国普遍加入《条约》\t\n爱沙尼亚\t2010年5月\t爱沙尼亚外交部长在纽约举行的不扩散核武器条约缔约国2010年审议大会上发言时促请其遵守《全面禁止核试验条约》是使《条约》生效的必要条件的国家毫不拖延地、无条件签署和批准《条约》\t\n\t2010年9月23日\t爱沙尼亚外交部长参加了支持《全面禁止核试验条约》第五次部长级会议，他在会议期间赞同联合部长声明，重申爱沙尼亚大力支持《条约》\t\n\t2010年10月\t爱沙尼亚是大会第六十五届会议通过的题为“全面禁止核试验条约”第65/91号决议的共同提案国\t\n芬兰\t2010年6月\t外交部在哈萨克斯坦专门为支持禁止核试验国际日设立的网站上撰文，呼吁还未签署和批准《条约》的所有国家签署和批准《条约》\t\n\t2010年7月\t在芬兰的支持下，欧洲联盟理事会通过决定(2010/46/CFSP)，支持全面禁止核试验条约组织筹备委员会的各项活动，以便加强其在欧洲联盟防止大规模毁灭性武器扩散战略框架内的监测和核查能力\t\n\t2010年9月23日\t芬兰外交部长在纽约举行的支持《全面禁止核试验条约》第五次部长级会议上发言支持该《条约》。芬兰是《全面禁止核试验条约》之友成员国(澳大利亚、加拿大、芬兰、日本和荷兰)，也是会议的共同组织国之一\t\n\t2010年12月\t芬兰是大会2010年12月8日通过的题为“全面禁止核试验条约”的第65/91号决议的共同提案国\t法国\t2010年6月至\t法国在相关多边论坛上利用各种机会促进《条约》生效 \n 2011年5月 \n\t2010年6月至2011年5月\t法国以第十四条进程共同主席的身份(与摩洛哥一道)主持了与签字国的若干次磋商，讨论执行促进《条约》生效的行动计划及筹备促进《全面禁止核试验条约》生效第七次会议\t\n\t2010年9月23日\t法国以第十四条进程共同主席的身份与摩洛哥一道与《全面禁止核试验条约》之友于2010年9月23日在纽约共同组织了支持《全面禁止核试验条约》第五次部长级会议，呼吁促使《条约》立即生效\t\n\t2010年12月8日\t法国是题为“全面禁止核试验条约”的大会第65/91号决议共同提案国\t\n德国\t2010年6月至2011年5月\t德国作为八国集团成员国积极支持集团在加拿大担任主席期间提出的行动方针，促请批准《条约》\t\n\t2010年9月23日\t联邦外交部长积极参加了2010年9月23日在纽约举行的支持《全面禁止核试验条约》第五次部长级会议并在大会发言中强调《条约》生效带来的安全益处\t\n罗马教廷\t2010年9月\t在国际原子能机构第五十四届大会之际，罗马教廷指出，《条约》生效是最优先事项\t\n\t2010年10月\t在联合国大会第一委员会一次会议期间，罗马教廷指出，它一直在竭尽全力，并鼓励各国加大努力，推动《条约》生效\t\n日本\t2010年9月23日\t《全面禁止核试验条约》之友和第十四条进程共同主席法国和摩洛哥共同主持了在纽约举行的支持《全面禁止核试验条约》第五次部长级会议。外交部长参加了会议，呼吁剩余附件2国家政治领导人采取果断行动，早日签署和批准《条约》\t\n\t2011年1月至3月\t日本邀请来自10个国家的10名地震专家参加全球地震观察以及将其用于核试验监测技术的培训班\t\n立陶宛\t2011年2月24日\t立陶宛外交部长以欧洲安全与合作组织轮值主席身份会见了全面禁止核试验条约组织筹备委员会执行秘书，并表示支持筹备委员会的各项活动\t\n墨西哥\t2010年12月8日\t墨西哥是大会通过的题为“全面禁止核试验条约”的第65/91号决议共同提案国\t\n\t2010年6月至2011年5月\t墨西哥参加了全面禁止核试验条约组织筹备委员会及其附属机构的会议，并参加了各种协商，会议和协商的目的是促进《条约》生效和加强核查机制，使其充分有效\t\n\t2011年4月30日\t墨西哥支持2011年4月30日在柏林举行的不扩散和裁军问题跨区域集团部长级会议发表的联合声明\t\n摩洛哥\t2010年6月至2011年5月\t摩洛哥定期参加全面禁止核试验条约组织筹备委员会及其附属机构的会议，并参加各种协商，会议和协商的目的是促进《条约》生效\t\n\t2010年6月至2011年5月\t摩洛哥为旨在推动发展中国家的专家参加全面禁止核试验条约组织筹备委员会技术会议的项目捐献了资金\t\n\t2010年9月至2011年5月\t与法国一道作为促进《条约》生效的第十四条进程共同主席，摩洛哥制定了行动计划，积极参与所有相关的多边、双边和区域一级的活动，促进《条约》生效\t\n\t2010年9月23日\t摩洛哥出席了在大会第六十五届会议期间举行的支持《全面禁止核试验条约》第五次部长级会议。外交与合作大臣与法国外交部长共同指出促使《条约》生效的重要性，鼓励与会各国采取行动\t\n\t2010年10月\t在各国议会联盟一次会议和其他区域会议期间，摩洛哥积极努力在阿拉伯和非洲立法机构间宣传《条约》并支持开展外交努力。2010年10月29日，在拉巴特举行的地中海议会大会第五届全会期间，执行秘书强调各国议会在促进《条约》方面可以发挥的作用\t\n\t2010年12月至2011年2月\t摩洛哥投票支持题为“全面禁止核试验条约”的大会第65/91号决议。摩洛哥热烈欢迎大会通过题为“联合国同全面禁止核试验条约组织筹备委员会的合作”的大会第65/127号决议，其中强调联合国和筹备委员会之间的合作\t\n新西兰\t2010年9月23日\t新西兰赞同在纽约举行的支持《全面禁止核试验条约》第五次部长级会议通过的联合部长声明，鼓励其批准是《条约》生效必要条件的各国家毫不拖延地批准《条约》\t\n\t2010年12月\t新西兰是大会“全面禁止核试验条约”年度决议的主要提案国，是大会第六十五届会议通过的题为“建立一个无核武器世界：加速履行核裁军承诺”的第65/59号决议的共同提案国\t\n\t2011年1月至5月\t新西兰裁军和武器控制部长在筹备委员会杂志《禁核试组织简讯》上发表了题为“结束核试验指日可待”的文章，强调各国普遍加入《条约》的重要性\t\n挪威\t2010年6月至2011年5月\t挪威支持大会鼓励所有国家批准《条约》的各项决议，并在大会和国际原子能机构的国家发言中以及在有关不扩散核武器条约的声明中重复这一项呼吁\t\n\t2010年6月至2011年5月\t挪威积极参与了全面禁止核试验条约组织筹备委员会B工作组的工作，以便执行《条约》核查机制，为《条约》生效做准备。挪威国家数据中心代表为这一工作做出了贡献并担任了工作组主席咨询人\t\n\t2010年6月至2011年5月\t挪威为禁止核试验条约组织筹备委员会促进发展中国家专家参加筹备委员会技术会议的一个项目捐献了资金\t\n\t2010年9月\t外交部长参加了9月23日在纽约举行的支持《全面禁止核试验条约》第五次部长级会议并作了发言。挪威也支持联合部长声明\t\n\t2011年3月\t中国军控与裁军协会组织了禁止核试验技术科学家论坛。挪威向此次论坛提供了财政支持，与会的挪威专家介绍了他们的看法\t\n菲律宾\t2010年5月\t菲律宾成功主持了不扩散核武器条约缔约国2010年审议大会，会上重申全面禁止核试验条约在全球裁军和不扩散议程中的重要性。菲律宾与其他国家一道支持审议大会的最后文件，文件突出了全面禁止核试验条约在核裁军和不扩散机制中的重要作用。最后文件中行动10至14列出了不扩散核武器条约所有缔约国在全面禁止核试验条约方面应采取的措施，包括推动《条约》早日生效，在《条约》生效前不进行核武器试验\t\n\t2010年6月至2011年5月\t菲律宾支持法国和摩洛哥作为第十四条进程协调员开展的努力，请秘书长召集促进《全面禁止核试验条约》生效会议，具体而言，应在大会第六十六届大会期间举行该会议\t\n\t2010年6月至2011年5月\t菲律宾一贯支持扩大国际监测系统，因为该系统对于加强全面禁止核试验条约组织筹备委员会核查制度非常关键\t\n\t2010年9月23日\t在2010年9月23日举行的支持《全面禁止核试验条约》第五次部长级会议上，前外交部长阿尔韦托·罗慕洛和其他国家外长一道发表了联合部长声明，重申支持《条约》\t\n\t2010年9月23日\t前外交部长罗慕洛还发言支持联合部长宣言，并敦促各国代表团、特别是敦促参加不扩散核武器条约缔约国2010年审议大会并同意行动要点的国家代表团切实履行义务。菲律宾促请依然未加入《条约》的核武器国家以身作则，提请注意自愿承诺暂停核试验的绝对必要性。他在发言中还提及菲律宾积极参与了《条约》的核查机制\t\n波兰\t2010年6月至2011年5月\t波兰以本国身份和欧洲联盟成员国身份继续在适当多边论坛处理签署和批准《条约》以及使其早日生效问题\t大韩民国\t2010年8月30日\t大韩民国在大韩民国大田为一组国际人员和培训员主办了实地核查目视观察桌面演练 \n 至9月4日 \n\t2010年9月23日\t大韩民国代理外交通商部长参加了支持《全面禁止核试验条约》第五次部长级会议，强调有必要促使《条约》早日生效，并促请朝鲜民主主义人民共和国不再进行任何核试验，充分遵守安全理事会第1718(2006)和1874(2009)号决议规定的所有义务\t\n\t2010年9月至2011年5月\t韩国地理科学和矿产资源学院参加了下列讲习班：2010年9月6日至9日在法国Montpellier举行的机器学习和地球结构讲习班、2011年1月25日至27日在以色列Eilat举行的东地中海次声实验讲习班、2011年5月9日至13日在美利坚合众国圣地亚哥举行的业务与维护讲习班以及2011年5月16日至20日在奥地利Baden举行的实地核查讲习班\t\n\t2010年10月26日至12月8日\t大韩民国与其他国家联合提出并投票支持题为“全面禁止核试验条约”的决议草案，联合国大会第一委员会于2010年10月26日通过了该草案，而且大会于2010年12月8日通过该草案，成为第65/91号决议\t\n俄罗斯联邦\t2010年6月至2011年5月\t俄罗斯联邦继续奉行支持《条约》的政策，并积极参与执行2009年举行的促进全面禁止核试验条约生效第六次会议通过的行动计划\t\n\t2010年6月至2011年5月\t俄罗斯联邦与联合国所有有关国家、其他国际组织及论坛合作，促使《条约》成为有效的国际法律文书\t\n\t2010年6月至2011年5月\t俄罗斯联邦已暂停核试验，但同时也认为，这一措施尽管重要，却不能替代使《条约》早日生效这一主要目标\t\n\t2010年5月\t俄罗斯联邦支持在不扩散核武器条约缔约国2010年审议大会最后文件中提及全面禁止核试验条约\t\n\t2010年9月\t俄罗斯联邦参加了2010年9月在纽约举行的支持《全面禁止核试验条约》第五次部长级会议，并支持会议发表的联合部长声明\t\n\t2010年12月\t俄罗斯联邦支持2010年12月8日通过的题为“全面禁止核试验条约”的大会第65/91号决议，并且是该决议的共同提案国\t\n\t2010年10月至2011年5月\t俄罗斯联邦与《条约》其他批准国参与了将于2011年9月在纽约举行的促进全面禁止核试验条约生效第七次会议筹备工作\t\n塞尔维亚\t2010年9月\t塞尔维亚参加了2010年9月23日在纽约举行的支持《全面禁止核试验条约》第五次部长级会议，会上通过了联合部长声明。塞尔维亚在会上支持欧洲联盟的发言\t\n新加坡\t2010年10月\t新加坡投票支持呼吁促使《条约》生效的大会以下决议：题为“采取联合行动彻底消除核武器”的第65/72号决议和题为“全面禁止核试验条约”的第65/91号决议\t斯洛伐克\t2010年6月至\t斯洛伐克继续在有关多边论坛支持各国普遍加入《条约》 \n 2011年5月 \n\t2010年8月29日\t斯洛伐克欢迎禁止核试验国际日。斯洛伐克还利用该场合欢迎一些附件2国家发出的批准《条约》的积极信号，并呼吁所有尚未批准《条约》的国家批准《条约》\t\n\t2010年9月\t斯洛伐克总统在大会第六十五届会议上发表讲话，表示斯洛伐克愿与各个合作伙伴就诸如《全面禁止核试验条约》的生效等诸多优先事项开展合作\t\n\t2010年9月\t斯洛伐克参加了支持全面禁止核试验条约第五次部长级会议，并支持在会上通过的部长联合声明\t\n\t2010年10月\t在大会第一委员会的会议上，斯洛伐克强调必须促使《条约》生效。斯洛伐克担任第一委员会主席期间也多次重申了对《条约》的支持\t\n\t2010年12月\t斯洛伐克是题为“全面禁止核试验条约”的大会决议共同提案国\t\n西班牙\t2010年9月\t西班牙参加了2010年9月在纽约举行的支持全面禁止核试验条约第五次部长级会议，并加入了会上通过的部长联合声明，对各国普遍加入《条约》的努力表示支持\t瑞典\t2010年6月至\t瑞典外交部长在多个场合的公共宣传中强调《条约》的重要性 \n 2011年5月 \n\t2010年6月至2011年5月\t瑞典支持促进全面禁止核试验条约生效会议，认为这是促成《全面禁止核试验条约》早日生效的重要工具\t\n\t2010年6月至2011年5月\t瑞典外交部长积极支持“全球零点”倡议，这是一个呼吁制止核武器扩散、分阶段核实核武库削减额的循序渐进的计划，其最终目的是完全销毁所有核武器\t瑞士\t2009年6月至\t瑞士在所有相关论坛所作的发言中都呼吁促使《条约》生效 \n 2010年5月 \n\t2010年9月\t瑞士参加了2010年9月23日在纽约举行的支持全面禁止核试验条约第五次部长级会议，并呼吁尚未批准《条约》的附件2国家尽早批准《条约》\t\n\t2010年12月\t瑞士投票赞成大会题为“建立一个无核武器世界：加速履行核裁军承诺”的第65/59号决议、题为“采取联合行动彻底消除核武器”的第65/72号决议和题为“全面禁止核试验条约”的第65/91号决议，这些决议都呼吁促使《条约》生效\t\n土耳其\t2010年5月\t在不扩散核武器条约缔约国2010年审议大会期间，土耳其敦促尚未签署和批准《全面禁止核试验条约》的国家在该框架内采取必要的步骤\t\n\t2010年4月\t土耳其总理在核安全峰会上以土耳其名义发言，强调《条约》尽早生效十分必要\t\n\t2010年6月至2011年5月\t土耳其和其他9个国家是根据澳大利亚–日本倡议成立的非正式集团的成员国，该集团在核不扩散和裁军领域开展活动。土耳其参加了该集团的第一次部长级会议，并参与拟定了在会上发表了政治声明和文件，这些声明和文件指出，《条约》尽早生效是在核裁军领域取得进展的必要步骤。土耳其共和国外交部长在会上所做的讲话也提及了这一必要性\t\n\t2010年6月至2011年5月\t作为捐助国，土耳其出资资助发展中国家的专家参与全面禁止核试验条约组织筹备委员会的技术会议\t\n\t2010年6月至2011年5月\t土耳其在其多边接触中强调，《条约》尽早生效十分重要，并在此框架内提供了各种各样的支持，包括技术和财政支持。土耳其在大会第六十五届会议的开幕发言中也提及了这一点\t\n\t2010年8月29日\t土耳其总统在8月29日禁止核试验国际日致辞中也强调，必须加强这样一种理解，即《条约》是核裁军和防止核扩散的基石\t\n乌克兰\t2010年6月至2011年5月\t在裁军谈判会议的框架内，乌克兰多次强调《条约》生效十分重要。乌克兰呼吁核武器国家继续暂停核试验和任何其他核爆炸装置，并力行克制，不做任何可能有碍于实现《条约》宗旨的行动\t\n\t2010年6月\t乌克兰主办了主题为“21世纪的战略贸易”的第十一届国际出口管制年度会议，会议研究了核不扩散问题。70多个国家参加了这次会议。此外，欧洲安全与合作组织、国际原子能机构、瓦塞纳尔安排、导弹技术控制制度、澳大利亚集团和核供应国集团等国际机构也参与了这次活动\t\n\t2010年9月\t乌克兰积极参与在联合国总部举行的支持全面禁止核试验条约第五次部长级会议。乌克兰重申致力于推动各国普遍加入《条约》。此外，乌克兰还加入了欧洲联盟在这方面的发言\t\n阿拉伯联合酋长国\t2010年9月\t为推动不扩散核武器条约缔约国2010年审议大会行动计划取得进展，阿拉伯联合酋长国采取了一项举措，与其他国家一道组建了一个跨区域集团，其宗旨是推进不扩散核武器条约缔约国2010年审议大会的协商一致成果，共同推进核裁军与不扩散议程这两个彼此加强的进程。澳大利亚、加拿大、智利、德国、日本、墨西哥、荷兰、波兰、土耳其和阿拉伯联合酋长国等十个国家共同宣布致力于推动各国普遍加入《不扩散核武器条约》，并就实现核裁军、核不扩散和和平利用核能的办法达成了一致，同时强调《全面禁止核试验条约》生效十分重要\t\n\t2011年\t阿拉伯联合酋长国与其他9个国家一道参加了核不扩散和裁军倡议第二次会议，并发表了联合声明，呼吁应将《条约》的生效列作多边议程上的又一个重要目标。会议强调，有效结束核试验将增进而不是削弱国家和全球安全，并将大大促进全球核不扩散和裁军机制。十国致力于利用各种外交机会敦促尚未签署和批准《条约》的国家尽早签署和批准《条约》，并立即采取行动完成《条约》生效所需的步骤。该集团还致力于支持全面禁止核试验条约组织筹备委员会设立有效的监控和核实制度，并对业已完成的工作表示赞赏\t\n联合王国\t2010年6月至2011年5月\t联合王国对一个项目提供了进一步的自愿捐助，以便促成发展中国家的专家参加全面禁止核试验条约组织筹备委员会的正式技术会议，推动各国普遍加入《条约》，并协助发展中国家提高关于《条约》益处的认识\t\n\t2010年8月\t联合王国发表通告，支持哈萨克斯坦关于禁止核试验国际日的倡议，并敦促所有尚未批准《条约》的国家尽早批准《条约》\t\n\t2010年9月\t联合王国支持2010年9月23日在纽约支持《全面禁止核试验条约》第五次部长级会议上通过的关于全面禁止核试验条约的部长联合声明。联合王国外交和联邦事务部国务大臣出席了这次会议，并发表讲话支持《条约》尽早生效\t\n\t2010年12月\t联合王国是支持《条约》的大会第65/91号决议的共同提案国\t\n2.多边层次 \n 2(b)区域 \n比利时\t2010年6月至2011年5月\t在相关区域论坛上，比利时以本国和欧洲联盟成员国的身份，继续处理《条约》签署、批准和早日生效问题\t\n巴西\t2010年6月至2011年5月\t在2010年6月举行的美洲国家组织第40次全体会议上，巴西支持通过第2533号决议，该决议敦促“各国，特别是《条约》附件2所列国家，考虑尽快签署或批准《全面禁止核试验条约》，以便《条约》能够尽早生效。”\t\n\t2010年6月至2011年5月\t巴西积极参与拉丁美洲和加勒比禁止核武器组织的活动，以推动各国普遍加入《条约》。在2010年11月18日举行的拉加禁核组织大会第二十次特别会议上，巴西强调必须敦促尚未批准《全面禁止核试验条约》的国家尽早批准《条约》\t\n保加利亚\t2010年6月至2011年5月\t保加利亚支持欧洲联盟理事会2010年7月26日通过的关于支持全面禁止核试验条约组织筹备委员会监测和核查机制的2010/461/CFSP号决定，以期加强筹备委员会探测可能的核试验的能力\t\n厄瓜多尔\t2010年6月至2011年5月\t作为美洲国家组织(美洲组织)成员国，厄瓜多尔积极支持美洲组织支持《条约》的立场、声明和活动。在各次区域会议和其他区域活动中发表的声明和立场文件都邀请所有国家迅速加入《条约》，支持《条约》生效，并支持各国普遍加入《条约》\t\n\t2010年6月至2011年5月\t作为南美洲国家联盟成员国，厄瓜多尔以集团主席的身份，支持和建议在新的区域机制下设立一项保证机制，以维持南美的无核武器区地位，并支持包括《条约》在内的所有机制\t\n爱沙尼亚\t2010年6月至2011年5月\t作为欧洲联盟成员国，爱沙尼亚支持欧洲联盟支持《条约》的所有有关声明、立场文件、倡议和财政捐助\t\n法国\t2010年10月\t法国以第十四条进程共同主席的身份参加摩洛哥和全面禁止核试验条约组织筹备委员会10月28日和29日在拉巴特为非洲国家举办的区域讲习班\t德国\t2010年6月至\t作为欧洲联盟成员国，德国积极支持欧洲联盟支持《条约》的相关声明、立场和投入 \n 2011年5月 \n匈牙利\t2011年1月至5月\t在匈牙利担任欧洲联盟理事会轮值主席期间，匈牙利以轮值主席的身份领导协调欧洲联盟专家在维也纳开展的工作。匈牙利长期致力于核不扩散，支持《条约》生效，并秉承这一精神履行职责。匈牙利在担任轮值主席期间组织举办了一次非正式工作午餐，邀请了全面禁止核试验条约组织筹备委员会执行秘书和驻欧洲联盟使团团长参加。此外还与阿拉伯国家、以色列、美利坚合众国、拉丁美洲和加勒比国家集团、不结盟运动和77国集团国家举行了一系列外联会议，除其他外，其目标是促使《条约》生效。在4月份的欧洲联盟特派团团长会议上，匈牙利提出了欧洲联盟关于加强外联活动的说明，并向布鲁塞尔转递了一份支持《条约》生效的欧洲联盟声明，供其进一步审议\t\n立陶宛\t2010年6月至2011年5月\t立陶宛参与了欧洲联盟在双边或多边层次上开展的每一项活动，强调《条约》早日生效的重要性，并敦促所有尚未签署和/或批准《条约》的国家，特别是附件2国家，不再拖延，签署或批准《条约》\t\n摩洛哥\t2010年9月24日\t2010年9月24日至2011年9月期间，摩洛哥和法国担任第十四条进程的共同主席，摩洛哥以共同主席的身份，在旨在促成《条约》生效的法国–摩洛哥行动计划的框架之内，于2010年10月28日和29日与全面禁止核试验条约组织筹备委员会在拉巴特共同组织举办了一个区域讲习班，以推动尚未签署或批准《条约》的非洲国家促使《条约》生效\t\n新西兰\t2010年8月\t新西兰支持在2010年太平洋岛屿论坛公报中纳入推动各国普遍加入《条约》的行文\t\n菲律宾\t2010年6月至2011年5月\t菲律宾积极参与亚太地区在该地区各国中推动签署和批准《条约》的努力。菲律宾通过开展双边磋商、参加推动《全面禁止核试验条约》生效的各类会议、积极参与大会关于《条约》和核裁军总体议程的讨论，继续在东南亚国家联盟(东盟)的框架内努力推动各国普遍加入《条约》\t\n\t2010年6月至2011年5月\t东盟地区论坛是亚太地区就安全问题开展对话与合作的主要机制，菲律宾始终如一在论坛会议上发表其关于《条约》的观点。2010年7月5日至7日，东盟地区论坛休会期间不扩散和裁军问题会议第二次会议在新加坡举行；2011年2月23日至25日，东盟地区论坛休会期间不扩散和裁军问题会议第三次会议在美国拉斯维加斯举行，这两次会议是就核不扩散和裁军问题拓展对话、促进合作与相互理解的重要步骤。在会上，菲律宾强调致力于促成各国普遍遵守《不扩散核武器条约》和《全面禁止核试验条约》的国际努力\t\n波兰\t2010年6月至2011年5月\t波兰以本国和欧洲联盟成员国的身份继续在适当的多边论坛上处理签署和批准《条约》以及促使《条约》尽早生效的问题\t\n大韩民国\t2010年12月2日和3日\t大韩民国组织举办了在大韩民国济州岛举行的第九次联合国-大韩民国裁军和不扩散问题联合会议。会议的主题为“核复兴和国际和平与安全”，会议重申，《条约》早日生效十分重要\t\n新加坡\t2011年2月\t东盟地区论坛休会期间不扩散和裁军问题会议第三次会议重点讨论不扩散和裁军问题，新加坡在这次会议上敦促所有尚未批准《条约》的附件2国家尽早批准《条约》\t\n西班牙\t2010年6月至2011年5月\t作为欧洲联盟成员国，西班牙支持技术和政治层面上的所有外联活动，包括针对9个剩余附件2国家的活动\t瑞典\t2010年6月至\t瑞典强调，必须通过欧洲联盟促使《条约》尽早生效 \n 2011年5月 \n\t2010年6月至2011年5月\t瑞典通过欧洲联盟继续开展技术和政治层面上的外联活动，特别是针对尚未批准《条约》的9个附件2国家的活动，因为《条约》必须获得这9个国家的批准才能生效\t\n\t2010年6月至2011年5月\t欧洲联盟在不扩散核武器条约缔约国2010年审议大会上提交了一份题为“《全面禁止核试验条约》核查机制的效能”的工作文件(NPT/CONF.2010/WP.55)，瑞典是这份文件的发起国之一\t\n联合王国\t2010年6月至2011年5月\t联合王国完全支持欧洲联盟为促使《条约》生效所作的努力，包括欧洲联盟支持《条约》的各项联合行动以及欧洲联盟的各项声明，特别是比利时副总理兼外交部长代表欧洲联盟于2010年9月23日在纽约举行的支持全面禁止核试验条约第五次部长级会议上所作的发言", "[1] ^(*) A/66/150。", "[2] ^(*) 本报告包括已经完成(即不是目前正在进行或计划进行)的活动，以及促使条约生效的活动。" ]

[ "Sixty-sixth session", "Item 104 of the provisional agenda*", "* A/66/150.", "Comprehensive Nuclear-Test-Ban Treaty", "Report of the Secretary-General", "1. By paragraph 11 of its resolution 65/91 entitled “Comprehensive Nuclear-Test-Ban Treaty”, the General Assembly requested the Secretary-General, in consultation with the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, to prepare a report on the efforts of States that had ratified the Treaty towards its universalization and possibilities for providing assistance on ratification procedures to States that so request it, and to submit such a report to the General Assembly at its sixty-sixth session.", "2. The present report is submitted pursuant to that request. Information on the subject provided by the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization is contained in the annex.", "Annex", "Report on efforts of States towards the universalization of the Comprehensive Nuclear-Test-Ban Treaty*", "June 2010-May 2011", "State\tDate/period\tActivities and context\tComments \n1.Bilaterallevel \n1 (a)Activitiesrelatingto annex2 States \nBelgium\tJune2010-May2011\tBelgium, both bilaterally and as amember of the European Union, wassupportive of the Plan of Action ofthe European Union and, in itsbilateral contacts with annex 2States, including, whenappropriate, at a high level,systematically raised theimportance of ratifying or signingthe Treaty and of its entry intoforce\t\nBrazil\tJune2010-May2011\tBrazil took every appropriateopportunity in its bilateralcontacts to raise the importance ofthe signature and ratification ofthe Treaty with the annex 2 Statesthat had not yet signed and/orratified it\t\n\t19 March2011\tThe joint communiqué issued byPresident Dilma Rousseff andPresident Barack Obama of theUnited States of America, on theoccasion of his visit to Brazil on19 March 2011, highlighted “theneed to bring into force theComprehensive Nuclear-Test-BanTreaty”\t\nBulgaria\tJune2010-May2011\tBulgaria raised the issue of thesignature and ratification of theTreaty in its bilateral contacts,especially with annex 2 States thathad not yet signed or ratified theTreaty, including the DemocraticPeople’s Republic of Korea, Indiaand Pakistan, and urged them to doso without further delay, stressingthe importance of the entry intoforce of the Treaty\t\nCroatia\tJune2010-May2011\tCroatia raised the issue of thesignature and ratification of theTreaty in bilateral contacts,especially with annex 2 States thathad not yet signed or ratified theTreaty and urged them to do sowithout further delay, stressingthe importance of the entry intoforce of the Treaty * The presentreport includesactivitiesthathavebeencompleted(i.e.,thatarenot ongoingor planned)andthatwereaimedatpromotingtheentryintoforceof the \n Treaty. \nEstonia\tJune2010-May2011\tEstonia raised the issue of Treatyratification in bilateral meetingswith annex 2 States that had notyet signed and/or ratified theTreaty with the aim of achievingits entry into force\t\nFrance\tJune2010-May2011\tFrance conducted regulardiscussions with annex 2 Statesthat had not yet signed or ratifiedthe Treaty. In those discussions,France seized every opportunity tostress the importance that itattaches to the entry into force ofthe Treaty\t\nGermany\tJune2010-May2011\tGermany reiterated the importanceof the early entry into force ofthe Treaty and urged itsratification, in particular byremaining annex 2 States, inhigh-level bilateral talks andrelevant multilateral forums\t\n\tOctober2010\tDuring his visit to India inOctober 2010, the Federal ForeignMinister called on the Governmentof India, both in private and inpublic, to accede to the Treaty. Inhis speech at the Indian Instituteof Technology, he described theentry into force of the Treaty as acrucial first step towardsachieving the Global Zero goal\t\nJapan\tJune2010-May2011\tJapan took every suitableopportunity in its bilateralcontacts to raise the matter of theratification of the Treaty with theannex 2 States that had not yetsigned or ratified the Treaty\t\nMexico\tJune2010-May2011\tMexico supported the efforts madeby the Preparatory Commission forthe Comprehensive Nuclear-Test-BanTreaty Organization with the aim ofhaving annex 2 States that had notyet signed and/or ratified theTreaty do so as soon as possible inorder to achieve its entry intoforce\t\n\tJune2010-May2011\tIn bilateral meetings with annex 2States, Mexico reiterated theimportance of signing/ratifying theTreaty at the earliest opportunitywith the aim of achieving its earlyentry into force\t\nMorocco\tJune2010-May2011\tMorocco carried out démarches withthe Indonesian Ministry of ForeignAffairs to encourage furtherprogress towards Indonesia’sratification of the Treaty,explaining the necessity andpertinence of finalizing theratification process\t\nNewZealand\tJune2010-May2011\tIn relevant multilateral, regionaland bilateral forums, workshops andmeetings, New Zealand seized everyopportunity to promote the entryinto force of the Treaty,especially with annex 2 States thathad not yet signed or ratified theTreaty, and urged them to do sowithout further delay, stressingthe importance of the entry intoforce of the Treaty\t\n\tJune2010-May2011\tNew Zealand raised the importanceof the early entry into force ofthe Treaty with several annex 2States that had not yet ratifiedthe Treaty\t\nNorway\tJune2010-May2011\tNorway raised the issue ofsignature and ratification of theTreaty in bilateral contacts,especially with annex 2 States\t\n\tNovember2010\tRepresentatives from variousinstitutions in China involved inthe Treaty’s verification visitedthe Norwegian National Data Centre(NORSAR). The visit includedtechnical discussions on issues ofcommon interest, as well as a visithosted by Norway to aninternational monitoring systemseismic station\t\nPhilippines\tJune2010-May2011\tThe Philippines has recognized thecritical role of the Treaty as akey confidence-building mechanismto promote cooperation with otherStates in resolving issues thathave ramifications on regional andglobal security, and hasconsistently supported the call forthe early entry into force of theTreaty\t\nPoland\tJune2010-May2011\tPoland raised the issue of theratification of the Treaty inbilateral meetings, at theministerial level and below, withannex 2 States that had not yetsigned and/or ratified the Treaty\t\nRussianFederation\tJune2010-May2011\tIn bilateral contacts with annex 2States, the Russian Federationpersistently called upon them tosign/ratify the Treaty as soon aspossible. In that context, theRussian Federation consistentlyseeks the earliest ratification ofthe Treaty by the United States ofAmerica, calling upon the UnitedStates Administration to move fromits intention to ratify the Treaty,declared in a number of bilateraland multilateral documents, topractical actions in that regard\t\nSpain\tNovember2010\tSpain held consultations onnon‑proliferation and disarmamentissues with the United States ofAmerica and stressed the importanceof its ratification\t\nSweden\tJune2010-May2011\tIn its bilateral contacts, at theministerial level and below, Swedenraised the importance of the entryinto force of the Treaty withseveral annex 2 States that had notyet signed and/or ratified theTreaty\t\nTurkey\tJune2010-May2011\tIn its bilateral contacts, Turkeystressed to several annex 2 Statesthe importance of signing andratifying the Treaty\t\nUkraine\tJune2010-May2011\tIn bilateral meetings betweenUkrainian officials and theircounterparts in annex 2 States thathad not yet signed or ratified theTreaty, Ukraine urged theirGovernments to sign and ratify theTreaty\t\nUnitedKingdomof GreatBritainandNorthernIreland\tJune2010-May2011\tThe United Kingdom took everysuitable opportunity in bilateraldiscussions to encourage theremaining annex 2 States to signand ratify the Treaty, asnecessary, in order to bring aboutthe early entry into force of theTreaty; most recently, for example,the United Kingdom has welcomedIndonesia’s commitment to ratifythe Treaty\t\n1.Bilaterallevel \n1 (b)Activitiesrelatingtonon-annex2 States \nBelgium\tJune2010-May2011\tBelgium, both bilaterally and as amember of the European Union, wassupportive of the Plan of Action ofthe European Union and, in itsbilateral contacts withnon-annex 2 States, including, whenappropriate, at a high level,systematically raised theimportance of ratifying or signingthe Treaty and of its entry intoforce\t\nBrazil\tJune2010-May2011\tBrazil took every appropriateopportunity in its bilateralcontacts to raise the importance ofthe signature and ratification ofthe Treaty with non-annex 2 Statesthat had not yet signed and/orratified it\t\nEcuador\tJune2010-May2011\tWhenever relevant during bilateralmeetings with non-annex 2 States,Ecuador underlined the importanceof the Treaty and promoted itsearly entry into force\t\nEstonia\tJune2010-May2011\tIn bilateral contacts withnon-annex 2 States, Estonia seizedevery suitable opportunity to raisethe issue and to encourage Statesto make efforts to sign and/orratify the Treaty\t\nFrance\tJune2010-May2011\tFrance conducted regulardiscussions with non-annex 2 Statesthat had not yet signed or ratifiedthe Treaty. In those discussions,France seized every opportunity tostress the importance that itattaches to the entry into force ofthe Treaty\t\n\t26January-2February2011\tOn the occasion of the AfricanUnion Summit in Addis Ababa,France, in its capacity as Co-Chairof the Article XIV process, carriedout démarches in the capitals ofseveral African and Asian States toencourage ratification of theTreaty\t\n\t24September2010\tOn the occasion of the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, France, in its capacity asCo-Chair of the Article XIVprocess, carried out démarches inthe capitals of several African andAsian States to encourageratification of the Treaty\t\n\t30 May-1June 2010\tOn the occasion of theAfrica-France Summit, France, inits capacity as Co-Chair of theArticle XIV process, carried outdémarches in the capitals ofseveral African States to encourageratification of the Treaty\t\nHungary\t14 December2010\tA working luncheon was organized inNew York by the PermanentRepresentative of Hungary to theUnited Nations with theparticipation of the ExecutiveSecretary and PermanentRepresentatives to the UnitedNations of Bangladesh, Cuba, theDominican Republic, Grenada,Jamaica, Indonesia, thePhilippines, Mauritius andrepresentatives of the CaribbeanCommunity. The purpose of themeeting was the promotion of theTreaty, with particular emphasis oncivil and scientific applicationsof the International MonitoringSystem. Tsunami warning supportcapabilities were especiallyhighlighted, as the invited Stateshave a particular interest in thatfield\t\nJapan\tJune2010-May2011\tJapan constantly took everysuitable opportunity in itsbilateral contacts to raise thematter of the Treaty with remainingnon-annex 2 States\t\nMexico\tJune2010-May2011\tMexico supported the efforts madeby the Preparatory Commission forthe Comprehensive Nuclear-Test-BanTreaty Organization with the aim ofhaving non-annex 2 States that hadnot yet signed and/or ratified theTreaty do so as soon as possible inorder to achieve its entry intoforce, thereby joining the largenumber of States signatories thatcall for an early entry into forceof the Treaty\t\nMorocco\tJune2010-May2011\tAs Co-Chair for the Article XIVprocess, Morocco actively carriedout démarches with several AfricanStates aimed at encouraging theratification of the Treaty and atstrengthening the verificationregime, especially in Angola, theCentral African Republic andEquatorial Guinea. Moroccoemphasized the importance andtechnological benefits of theInternational Monitoring System andcapacity-building for States\t\nNewZealand\tJune2010-May2011\tWherever relevant during bilateraloccasions, New Zealand underlinedtonon-annex 2 States the importanceof the Treaty and promoted itsearliest possible entry into force\t\n\tJune2010-May2011\tNew Zealand provided voluntaryfinancial contributions to enableexperts from non-annex 2 developingcountries to participate inofficial technical meetings of thePreparatory Commission of theComprehensive Nuclear-Test-BanTreaty, thereby reiterating theuniversal character of the Treaty\t\nNorway\tJanuary2010-May2011\tNorway supported a bilateralcooperative project between NORSARand the Institute of Seismology inBishkek. The project focuses oncapacity-building in implementingthe Treaty, and the KyrgyzstanNational Data Centre receivessupport in terms of technicaltraining, software and hardware\t\n\tJune2010-May2011\tNorway has been supporting abilateral cooperative projectbetween NORSAR and the Institute ofGeophysical Research in Kazakhstanon capacity-building inimplementing the Treaty withinCentral Asia. As part of thatproject, an international technicaltraining centre in support of theverification functions of theTreaty has been established inAlmaty, Kazakhstan. Trainingcourses for participants fromCentral Asian countries started inlate 2010 and will continue into2012 with support from that project\t\nRussianFederation\tJune2010-May2011\tIn the framework of its bilateralcontacts with the non-annex 2States that had not yet signed orratified the Treaty, the RussianFederation persistently continuedto call upon them to join theTreaty as soon as possible\t\nSlovakia\tJune2010-May2011\tSlovakia continued to support theuniversalization of the Treaty inrelevant bilateral meetings\t\nSpain\tNovember2010\tThe National Geographic Instituteorganized in Madrid, incollaboration with the ProvisionalTechnical Secretariat to thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization, an advancedcapacity-building course fornational data centre technicalstaff in Eastern Europe\t\nUnitedKingdomof GreatBritainandNorthernIreland\tJune2010-May2011\tThe United Kingdom took everysuitable bilateral opportunity toencouragenon-annex 2 countries to signand/or ratify the Treaty\t\n\tMay 2011\tThe United Kingdom has made avoluntary contribution to a projectof the Preparatory Commission forthe Comprehensive Nuclear-Test-BanTreaty Organization to promote thesignature and ratification of theTreaty in 12 small islanddeveloping States\t\nUkraine\tJune2010-May2011\tUkraine conducted regulardiscussions with non-annex 2 Statesthat had not yet signed or ratifiedthe Treaty. In the discussions,Ukraine seized every opportunity tostress the importance that itattaches to the entry into force ofthe Treaty\t\n2.Multilaterallevel \n2 (a)Global \nBelgium\tJune2010-May2011\tBelgium, both in its nationalcapacity and as a member of theEuropean Union, reiterated itssupport of the Treaty and theimportance it attaches to its earlyentry into force in differentappropriate international forums\t\n\tSeptember2010\tThe Minister for Foreign Affairs ofBelgium participated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty and delivered the EuropeanUnion statement in favour of theentry into force of the Treaty\t\n\tDecember2010\tBelgium voted in favour of GeneralAssembly resolutions 65/59,entitled “Towards anuclear-weapon-free world:accelerating the implementation ofnuclear disarmament commitments”;65/72, entitled “United actiontowards the total elimination ofnuclear weapons”; 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”; and 65/127, entitled“Cooperation between the UnitedNations and the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization”. All of thoseresolutions call, inter alia, forthe prompt entry into force of theTreaty\t\nBrazil\t28 April2010\tBrazil participated in the SecondConference of States Parties andSignatories of Treaties thatEstablish Nuclear-Weapon-Free Zonesand Mongolia, and supported thefinal document which reiterates thedemand for the total ban of allnuclear tests and the need forreaching universal adherence to theComprehensive Nuclear-Test-BanTreaty, particularly by allnuclear-weapon States and annex 2States, and called for upholdingand maintaining the moratorium onsuch tests or any other nuclearexplosions pending the entry intoforce of the Treaty\t\n\tMay 2010\tBrazil supported the Final Documentof the 2010 Review Conference ofthe Parties to the Treaty on theNon-Proliferation of NuclearWeapons, which highlights theimportance of the ComprehensiveNuclear-Test-Ban Treaty andreinforces the call for its earlyentry into force\t\n\tJune2010-May2011\tBrazil actively engaged in allrelevant multilateral forums topromote the early entry into forceand universalization of the Treaty\t\n\t8 December2010\tBrazil, together with 56 States,co-sponsored General Assemblyresolution 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”\t\nBulgaria\tJune2010-May2011\tIn relevant multilateral forumssuch as the General Assembly, theConference on Disarmament and the2010 Review Conference, Bulgariaused every opportunity to underlinethe importance of the Treaty andits early entry into force\t\n\tAugust 2010\tIn support of the International DayAgainst Nuclear Tests, the Ministerfor Foreign Affairs of Bulgariaposted a national statement aboutthe Treaty on the dedicated websiteestablished by the Ministry ofForeign Affairs of Kazakhstan\t\n\tSeptember2010\tThe Minister for Foreign Affairsparticipated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, held in New York, andsigned the joint ministerialstatement\t\n\tSeptember-December2010\tBulgaria supported the adoption ofthe following General Assemblyresolutions: 65/59, entitled“Towards a nuclear-weapon-freeworld: accelerating theimplementation of nucleardisarmament commitments”; 65/72,entitled “United action towards thetotal elimination of nuclearweapons”; 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”; and 65/127, entitled“Cooperation between the UnitedNations and the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization”\t\nCroatia\tMay 2010\tThe Director-General of theDirectorate for MultilateralAffairs of the Ministry of ForeignAffairs and European Integrationparticipated in the 2010 ReviewConference of the Parties to theTreaty on the Non-Proliferation ofNuclear Weapons, held in New York,and delivered a statement in favourof the entry into force of theComprehensive Nuclear-Test-BanTreaty\t\n\tDecember2010\tCroatia supported the activities ofthe United Nations aimed atensuring the early entry into forceof the Treaty, one of the pillarsof the international regime ofnuclear disarmament andnon‑proliferation. In that regard,Croatia voted in favour of GeneralAssembly resolutions 65/72,entitled “United action towards thetotal elimination of nuclearweapons”; 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”; and 65/127, entitled“Cooperation between the UnitedNations and the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization”, all of which callfor, inter alia, the prompt entryinto force of the Treaty\t\nEcuador\tJune2010-May2011\tDuring a meeting of the FirstCommittee of the United NationsGeneral Assembly, in its statementon the theme of nucleardisarmament, Ecuador called for theuniversalization of the Treaty\t\nEstonia\tMay 2010\tIn his statement at the 2010 ReviewConference of the Parties to theTreaty on the Non‑Proliferation ofNuclear Weapons, held in New York,the Minister for Foreign Affairs ofEstonia urged the States whoseadherence is required for theComprehensive Nuclear-Test-BanTreaty to enter into force, to signand ratify the Treaty without delayand without conditions\t\n\t23September2010\tThe Minister for Foreign Affairs ofEstonia participated in the FifthMinisterial Meeting, in support ofthe Comprehensive Nuclear-Test-BanTreaty, during which he endorsedthe Joint Ministerial Statementreaffirming Estonia’s strongsupport for the Treaty\t\n\tOctober2010\tEstonia co-sponsored GeneralAssembly resolution 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”, which was adopted at itssixty-fifth session\t\nFinland\tJune 2010\tThe Ministry of Foreign Affairsprovided a submission for thewebsite dedicated to theInternational Day Against NuclearTests and established byKazakhstan, and called upon allStates that had not yet signed andratified the Treaty to do so\t\n\tJuly 2010\tThe Decision of the Council of theEuropean Union (2010/461/CFSP), onsupport for activities of thePreparatory Commission of theComprehensive Nuclear-Test-BanTreaty Organization in order tostrengthen its monitoring andverification capabilities and inthe framework of the implementationof the European Union Strategyagainst Proliferation of Weapons ofMass Destruction, was adopted withthe support of Finland\t\n\t23September2010\tThe Minister for Foreign Affairs ofFinland delivered a statement insupport of the Treaty at the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, held in New York. Finland,belonging to the Friends of theComprehensive Nuclear-Test-BanTreaty (Australia, Canada, Finland,Japan and the Netherlands), wasamong theco-organizers of the meeting\t\n\tDecember2010\tFinland co-sponsored resolution65/91, entitled “ComprehensiveNuclear-Test-Ban Treaty”, which wasadopted by the General Assembly on8 December 2010\t\nFrance\tJune2010-May2011\tIn relevant multilateral forums,France seized every opportunity topromote the entry into force of theTreaty\t\n\tJune2010-May2011\tIn its capacity as Co-Chair of theArticle XIV process, France chaired(with Morocco) severalconsultations with Statessignatories on the implementationof an action plan for facilitatingthe entry into force of the Treatyand on the preparation of theSeventh Conference on Facilitatingthe Entry into Force of theComprehensive Nuclear-Test-BanTreaty\t\n\t23September2010\tIn its capacity as Co-Chair of theArticle XIV process, France,together with Morocco and theFriends of the ComprehensiveNuclear-Test-Ban Treaty, organizedthe Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held inNew York on 23 September 2010,which called for the prompt entryinto force of the Treaty\t\n\t8 December2010\tFrance co-sponsored GeneralAssembly resolution 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”\t\nGermany\tJune2010-May2011\tAs a member of the Group of Eight,Germany actively supported thedémarches of the Group carried outunder the Canadian Presidencyurging ratification of the Treaty\t\n\t23September2010\tThe Federal Foreign Ministeractively participated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, held in New York on 23September 2010, and stressed thesecurity benefits of the Treaty’sentry into force in his speech atthe General Assembly\t\nHoly See\tSeptember2010\tOn the occasion of the 54th GeneralConference of the InternationalAtomic Energy Agency, the Holy Seestated that the entry into force ofthe Treaty is of the highestpriority\t\n\tOctober2010\tDuring a meeting of the FirstCommittee of the General Assembly,the Holy See stated that it hadbeen making every effort andencouraged States to intensifytheir own efforts, with a view tohelping the entry into force of theTreaty\t\nJapan\t23September2010\tThe Friends of the ComprehensiveNuclear-Test-Ban Treaty and Franceand Morocco, in their capacity asArticle XIV coordinators, co-hostedthe Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held inNew York. The Foreign Ministerparticipated in the Meeting, andappealed to the political leadersof the remaining annex 2 States toact decisively for early signaturesand ratifications of the Treaty\t\n\tJanuary-March2011\tJapan invited 10 seismology expertsfrom 10 countries to the trainingcourse in global seismologicalobservation and its application fornuclear test monitoring technology\t\nLithuania\t24 February2011\tThe Minister for Foreign Affairs ofLithuania, as Chairperson-in-Officeof the Organization for Securityand Cooperation in Europe, met withthe Executive Secretary of thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization and expressedsupport of the activities of thePreparatory Commission\t\nMexico\t8 December2010\tMexico co-sponsored resolution65/91, entitled “ComprehensiveNuclear-Test-Ban Treaty”, which wasadopted by the General Assembly\t\n\tJune2010-May2011\tMexico participated in the meetingsof the Preparatory Commission forthe Comprehensive Nuclear-Test-BanTreaty Organization and itssubsidiary bodies, as well as inconsultations aimed at promotingthe entry into force of the Treatyand reinforcing the verificationregime so as to become fullyeffective\t\n\t30 April2011\tMexico supported the jointstatement issued by the ministerialmeeting of the cross-regional groupon non-proliferation anddisarmament, held in Berlin on30 April 2011\t\nMorocco\tJune2010-May2011\tMorocco participated regularly inthe meetings of the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization and its subsidiarybodies, as well as in consultationsaimed at promoting the entry intoforce of the Treaty\t\n\tJune2010-May2011\tMorocco contributed to the projectaimed at facilitating theparticipation of experts fromdeveloping countries in technicalmeetings of the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization\t\n\tSeptember2010-May2011\tIn its capacity as Co-Chair withFrance of the Article XIV processto promote entry into force of theTreaty, Morocco developed an actionplan and actively engaged in allrelevant multilateral, bilateraland regional levels to promote theentry into force of the Treaty\t\n\t23September2010\tMorocco attended the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, held during the sixty-fifthsession of the General Assembly, inwhich the Minister for ForeignAffairs and Cooperation declared,together with his Frenchcounterpart, the importance ofurging the entry into force of theTreaty and encouraged Statespresent to take action\t\n\tOctober2010\tDuring a meeting of theInter-Parliamentary Union and otherregional meetings, Morocco activelyworked to promote the Treaty amongArab and African legislativeinstitutions and support diplomaticefforts. On 29 October 2010, duringthe fifth plenary session of theParliamentary Assembly of theMediterranean, held in Rabat, theExecutive Secretary emphasized therole that parliaments could play inthe promotion of the Treaty\t\n\tDecember2010-February2011\tMorocco voted in favour of GeneralAssembly resolution 65/91, entitled“Comprehensive Nuclear-Test-BanTreaty”. Morocco warmly welcomedthe adoption of General Assemblyresolution 65/127, entitled“Cooperation between the UnitedNations and the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization”, underlining thecooperation between the UnitedNations and the PreparatoryCommission\t\nNewZealand\t23September2010\tNew Zealand associated itself withthe Joint Ministerial Statementadopted at the Fifth MinisterialMeeting in support of theComprehensive Nuclear-Test-BanTreaty, held in New York,encouraging those States whoseratification is required for entryinto force to ratify the Treatywithout delay\t\n\tDecember2010\tNew Zealand is a main sponsor ofthe annual resolution“Comprehensive Nuclear-Test-BanTreaty” at the General Assembly andco-sponsored resolution 65/59,entitled “Towards anuclear-weapon-free world:accelerating the implementation ofnuclear disarmament commitments”,adopted by the Assembly at itssixty-fifth session\t\n\tJanuary-May2011\tThe New Zealand Minister forDisarmament and Arms Controlauthored an article entitled “Theend of nuclear testing is withinour reach”, published in themagazine of the PreparatoryCommission, CTBTO Spectrum. Thearticle highlights the importanceof universalization of the Treaty\t\nNorway\tJune2010-May2011\tNorway has supported resolutions inthe General Assembly that encourageall countries to ratify the Treaty,and repeated that plea in nationalstatements in the General Assembly,at the International Atomic EnergyAgency and in relation to theTreaty on the Non-Proliferation ofNuclear Weapons\t\n\tJune2010-May2011\tNorway participates actively in theefforts of Working Group B of thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization to implementthe verification regime of theTreaty in preparation for its entryinto force. Representatives ofNORSAR contribute to the work andacted as advisers to its Chair\t\n\tJune2010-May2011\tNorway contributes to a project ofthe Preparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization, whichfacilitates the participation ofexperts from developing countriesin technical meetings of thePreparatory Commission\t\n\tSeptember2010\tThe Foreign Minister took part inand addressed the Fifth MinisterialMeeting in support of theComprehensive Nuclear-Test-BanTreaty, held on 23 September in NewYork. Norway also supported theJoint Ministerial Statement\t\n\tMarch 2011\tThe China Arms Control andDisarmament Association organized ascientist-to-scientist workshop onthe technical aspects of a ban onnuclear testing. The workshop wassupported financially by Norway andparticipating Norwegian expertsshared their knowledge\t\nPhilippines\tMay 2010\tThe 2010 Review Conference of theParties to the Treaty on theNon-Proliferation of NuclearWeapons, which was successfullypresided over by the Philippines,reaffirmed the importance of theComprehensive Nuclear-Test-BanTreaty in the global disarmamentand non-proliferation agenda. ThePhilippines joined other States insupporting the Final Document ofthe Review Conference, whichhighlighted the essential role ofthe Comprehensive Nuclear-Test-BanTreaty within the nucleardisarmament and non-proliferationregime. Actions 10-14 of the FinalDocument contained measures thatall States Parties to the Treaty onthe Non-Proliferation of NuclearWeapons must undertake with respectto the ComprehensiveNuclear-Test-Ban Treaty, includingpushing for the early entry intoforce of the Treaty and refrainingfrom testing nuclear weaponspending entry into force of theTreaty\t\n\tJune2010-May2011\tThe Philippines supported theefforts of France and Morocco, intheir capacity as coordinators ofthe Article XIV process, to requestthe Secretary-General to convene aConference on facilitating theentry into force of theComprehensive Nuclear-Test-BanTreaty, specifically at thesidelines of the sixty-sixthsession of the General Assembly\t\n\tJune2010-May2011\tThe Philippines consistentlysupported the expansion of theInternational Monitoring System asit is crucial in strengthening theverification regime of thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization\t\n\t23September2010\tAt the Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held on 23September 2010, the formerSecretary of Foreign Affairs,Alberto G. Romulo, and otherforeign ministers issued a jointministerial statement reaffirmingtheir support for the Treaty\t\n\t23September2010\tFormer Secretary of Foreign AffairsRomulo also delivered a statementendorsing the joint ministerialstatement and urging delegations,especially those that took part inthe 2010 Review Conference of theParties to the Treaty on theNon-Proliferation of NuclearWeapons and that agreed to theaction points, to hold fast totheir obligations. The Philippinesurged nuclear-weapons States thathave remained outside the Treaty tolead by example and drew attentionto the absolute necessity toenshrine voluntary commitments byStates on a moratorium on testing.The statement also cited the activeparticipation of the Philippines inthe verification regime of theTreaty\t\nPoland\tJune2010-May2011\tPoland, both in its nationalcapacity and as a member State ofthe European Union, continued toaddress the issue of the signature,ratification and early entry intoforce of the Treaty in theappropriate multilateral forums\t\nRepublicof Korea\t30 August-4September2010\tThe Republic of Korea hosted thetabletop exercise on visualobservation for on-site inspectionfor an international team ofparticipants and trainers inDaejeon, Republic of Korea\t\n\t23September2010\tThe Acting Minister for ForeignAffairs and Trade of the Republicof Korea participated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, emphasized the need for theearly entry into force of theTreaty, and urged the DemocraticPeople’s Republic of Korea not toconduct any further nuclear testsand to come into full compliancewith all its obligations underSecurity Council resolutions 1718(2006) and 1874 (2009)\t\n\tSeptember2010-May2011\tThe Korea Institute of Geoscienceand Mineral Resources participatedin workshops on the following:machine learning and earthstructure, held from 6 to9 September 2010, in Montpellier,France; infrasound experiment inthe eastern Mediterranean, heldfrom 25 to 27 January 2011, inEilat, Israel; operation andmaintenance, held from 9 to 13 May2011, in San Diego, United Statesof America; and on-site inspection(workshop-19), held from 16 to 20May 2011, in Baden, Austria\t\n\t26October-8December2010\tThe Republic of Korea jointlyproposed and voted in favour of adraft resolution entitled“Comprehensive Nuclear-Test-BanTreaty”, which was adopted by theFirst Committee of the UnitedNations General Assembly on 26October 2010 and by the GeneralAssembly in its resolution 65/91 on8 December 2010\t\nRussianFederation\tJune2010-May2011\tThe Russian Federation continued topursue a policy aimed at supportingthe Treaty and activelyparticipated in implementing theaction plan adopted at the SixthConference on Facilitating theEntry into Force of theComprehensive Nuclear-Test-BanTreaty, held in 2009\t\n\tJune2010-May2011\tThe Russian Federation cooperatedwith all interested States in theUnited Nations, other internationalorganizations and forums in orderthat the Treaty may become aneffective legal internationalinstrument\t\n\tJune2010-May2011\tThe Russian Federation maintained amoratorium on nuclear testing, atthe same time proceeding from theassumption that this measure,however important, cannotsubstitute the main goal of theearly entry into force of theTreaty\t\n\tMay 2010\tThe Russian Federation supportedmention of the ComprehensiveNuclear-Test-Ban Treaty in theFinal Document of the 2010 ReviewConference of the Parties to theTreaty on the Non‑Proliferation ofNuclear Weapons\t\n\tSeptember2010\tThe Russian Federation took part inthe Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held inNew York in September 2010, andsupported its joint ministerialstatement\t\n\tDecember2010\tThe Russian Federation supportedand co-sponsored General Assemblyresolution 65/91, “ComprehensiveNuclear-Test-Ban Treaty”, adoptedon 8 December 2010\t\n\tOctober2010-May2011\tThe Russian Federation participatedwith other States that had ratifiedthe Treaty, in preparation of theseventh Conference on Facilitatingthe Entry into Force of theComprehensive Nuclear-Test-BanTreaty, to be held in New York inSeptember 2011\t\nSerbia\tSeptember2010\tSerbia participated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, convened in New York on 23September 2010, when the JointMinisterial Statement was adopted.At the meeting, Serbia associateditself with the Statement of theEuropean Union\t\nSingapore\tOctober2010\tSingapore voted in favour of thefollowing General Assemblyresolutions that called for, interalia, the entry into force ofresolutions 65/72, entitled “Unitedaction towards the totalelimination of nuclear weapons”,and 65/91, entitled “ComprehensiveNuclear-Test-Ban Treaty”\t\nSlovakia\tJune2010-May2011\tSlovakia continued to support theuniversalization of the Treaty inrelevant multilateral forums\t\n\t29 August2010\tSlovakia hailed the InternationalDay Against Nuclear Tests. Slovakiaalso used that occasion to welcomethe positive signals from someannex 2 countries to ratify theTreaty and appealed to allremaining States that had not yetdone so to follow suit\t\n\tSeptember2010\tIn his speech at the sixty-fifthsession of the General Assembly,the President of Slovakia statedthat Slovakia was prepared tocooperate with partners on a numberof priorities, such as the entryinto force of the ComprehensiveNuclear-Test-Ban Treaty\t\n\tSeptember2010\tSlovakia took part in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty and supported the JointMinisterial Statement adopted atthat meeting\t\n\tOctober2010\tDuring a meeting of the FirstCommittee of the General Assembly,Slovakia stressed the need for theTreaty to enter into force. Thesupport for the Treaty was alsoreiterated at appropriate occasionsby the Slovak Chair of the FirstCommittee\t\n\tDecember2010\tSlovakia co-sponsored GeneralAssembly resolution, entitled“Comprehensive Nuclear-Test-BanTreaty”\t\nSpain\tSeptember2010\tSpain participated in the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty at the ministerial level,which was held in New York inSeptember 2010 and expressed itssupport for the efforts towards theuniversalization of the Treaty byjoining the Joint MinisterialStatement adopted at the Meeting\t\nSweden\tJune2010-May2011\tThe Minister for Foreign Affairs ofSweden stressed on severaloccasions the importance of theTreaty in his public outreach\t\n\tJune2010-May2011\tSweden supported the Conference onFacilitating the Entry into Forceof the ComprehensiveNuclear-Test-Ban Treaty as animportant instrument contributingto the early entry into force ofthe Treaty\t\n\tJune2010-May2011\tThe Minister for Foreign Affairs ofSweden actively lent his support tothe Global Zero initiative, astep-by-step plan calling for astop of the spread of nuclearweapons and phased and verifiedreductions of nuclear stockpiles,with the eventual goal of thecomplete elimination of all nuclearweapons\t\nSwitzerland\tJune2009-May2010\tSwitzerland called for the entryinto force of the Treaty in all itsstatements in relevant forums\t\n\tSeptember2010\tSwitzerland participated in theFifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held inNew York on 23 September 2010, andcalled for ratification of theTreaty by those annex 2 States thathad not yet ratified it\t\n\tDecember2010\tSwitzerland voted in favour ofGeneral Assembly resolutions 65/59,entitled “Towards anuclear-weapon-free world:accelerating the implementation ofnuclear disarmament commitments”;65/72, entitled “United actiontowards the total elimination ofnuclear weapons”; and 65/91,entitled “ComprehensiveNuclear-Test-Ban Treaty”. All ofthose which called, inter alia, forthe entry into force of the Treaty\t\nTurkey\tMay 2010\tDuring the 2010 Review Conferenceof the Parties to the Treaty on theNon-Proliferation of NuclearWeapons, Turkey urged countriesthat had not signed and ratifiedthe Comprehensive Nuclear-Test-BanTreaty to take the necessary stepsin this framework\t\n\tApril 2010\tDuring the national statementdelivered by the Prime Minister atthe Nuclear Security Summit, Turkeyoutlined the necessity of the earlyentry into force of the Treaty\t\n\tJune2010-May2011\tTurkey, with nine other countries,is a member of the informal groupestablished as a result of theAustralian-Japanese initiative thatis acting in the field ofnon‑proliferation and disarmament.Turkey participated in the FirstMinisterial Meeting of the groupand has been part of the politicalannouncement/paper delivered at themeeting, where it was mentionedthat the early entry into force ofthe Treaty was a necessary step inorder to advance in the field ofnuclear disarmament. That necessityhas been also mentioned during thespeech delivered at that meeting bythe Minister of Foreign Affairs ofthe Republic of Turkey\t\n\tJune2010-May2011\tTurkey provided a contribution, asa donor country, to finance theparticipation of experts fromdeveloping countries in technicalmeetings of the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization\t\n\tJune2010-May2011\tIn its multilateral contacts,Turkey outlined the importanceattached to the early entry intoforce of the Treaty and provided inthat framework all kinds ofsupport, including technical andfinancial. That aspect was alsomentioned in the opening statementof the sixty-fifth session of theGeneral Assembly\t\n\t29 August2010\tThe necessity to strengthen theunderstanding that the Treatyconstitutes the basic pillar fornuclear disarmament and theprevention of nuclearproliferation, was also outlined inthe message published by thePresident of Turkey on the occasionof the International Day AgainstNuclear Tests, on 29 August\t\nUkraine\tJune2010-May2011\tWithin the Conference onDisarmament, Ukraine repeatedlystressed the importance of theentry into force of the Treaty.Ukraine called upon thenuclear-weapon States to maintain amoratorium on nuclear testing andany other nuclear explosives and torefrain from any actions that wouldhamper the aims of the Treaty\t\n\tJune 2010\tUkraine hosted the Eleventh AnnualInternational Export ControlConference, on the theme of“Strategic Trade in the 21stCentury”, which dealt withnon‑proliferation issues. More than70 countries were represented atthe conference. Moreover, suchinternational bodies as theOrganization for Cooperation andSecurity in Europe, theInternational Atomic Energy Agency,the Wassenaar Arrangement, theMissile Technology Control Regime,the Australian Group and theNuclear Suppliers Group took partin the event\t\n\tSeptember2010\tUkraine actively participated inthe Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty held atUnited Nations Headquarters.Ukraine reiterated its commitmentto the universalization of theTreaty. In addition, Ukraine joinedthe European Union statement inthat regard\t\nUnitedArabEmirates\tSeptember2010\tIn an initiative towardsprogressing the action plan of the2010 Review Conference of theParties to the Treaty on theNon‑Proliferation of NuclearWeapons, the United Arab Emiratesjoined forces with other countriesto form a cross-regional groupwhose purpose is to take forwardthe consensus outcomes of the 2010Review Conference on theNon-Proliferation of NuclearWeapons and jointly to advance thenuclear disarmament andnon‑proliferation agendas asmutually reinforcing processes. The10 countries, Australia, Canada,Chile, Germany, Japan, Mexico, theNetherlands, Poland, Turkey and theUnited Arab Emirates, jointlydeclared their commitment to theuniversality of the Treaty on theNon‑Proliferation of NuclearWeapons and agreed on approaches toachieve nuclear disarmament,non-proliferation and the peacefuluse of nuclear power, highlightingthe importance of the entry intoforce of the Comprehensive NuclearTest-Ban Treaty\t\n\t2011\tThe United Arab Emirates joinednine other countries for the secondmeeting of the Non-proliferationand Disarmament Initiative andissued a joint declaration callingfor the entry into force of theTreaty as another major objectiveon the multilateral agenda. Themeeting emphasized that aneffective end to nuclear testingwill enhance and not weakennational as well as global securityand would significantly bolster theglobal non‑proliferation anddisarmament regime. The 10countries are committed toutilizing various diplomaticopportunities to urge States thathave not done so to sign and ratifythe Treaty and promptly completethe steps necessary to bring itinto force. The group alsocommitted to support thePreparatory Commission for theComprehensive NuclearTest-Ban-Treaty Organization insetting up an effective monitoringand verification system andcommended the work alreadyaccomplished\t\nUnitedKingdom\tJune2010-May2011\tThe United Kingdom made a furthervoluntary contribution to a projectto enable experts from developingcountries to attend officialtechnical meetings of thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization, enhancing theuniversalization of the Treaty andhelping to build awareness of thebenefits of the Treaty indeveloping countries\t\n\tAugust 2010\tThe United Kingdom gave a messageof support for Kazakhstan’sinitiative on the International DayAgainst Nuclear Tests, urging allthose countries still to ratify theTreaty to do so as soon as possible\t\n\tSeptember2010\tThe United Kingdom supported theJoint Ministerial Statement on theComprehensive Nuclear-Test-BanTreaty, adopted at the FifthMinisterial Meeting in support ofthe Comprehensive Nuclear-Test-BanTreaty, held in New York on 23September 2010; the Foreign andCommonwealth Office Minister ofState of the United Kingdomattended the meeting and delivereda national statement in support ofearly entry into force\t\n\tDecember2010\tThe United Kingdom co-sponsoredGeneral Assembly resolution 65/91in support of the Treaty\t\n2.Multilaterallevel \n2 (b)Regional \nBelgium\tJune2010-May2011\tBelgium, both in its nationalcapacity and as a member State ofthe European Union, continued toaddress the issue of the signature,ratification and early entry intoforce of the Treaty in theappropriate regional forums\t\nBrazil\tJune2010-May2011\tDuring the 40th Plenary Session ofthe Organization of AmericanStates, held in June 2010, Brazilsupported resolution 2533, whichurged States to consider signing orratifying the ComprehensiveNuclear-Test-Ban Treaty as soon aspossible, in particular the Stateslisted in annex 2 to the Treaty, sothat it may enter into force in theshortest possible time\t\n\tJune2010-May2011\tBrazil actively engaged in theAgency for the Prohibition ofNuclear Weaponsin Latin America and the Caribbeanto promote the universalization oftheTreaty. At the XX Special Sessionof the Agency’s General Conference,held on 18 November 2010, Brazilhighlighted the importance ofurging States that had not yetratified the ComprehensiveNuclear-Test-Ban Treaty to do so assoon as possible\t\nBulgaria\tJune2010-May2011\tBulgaria supported European UnionCouncil Decision 2010/461/CFSP insupport of the PreparatoryCommission for the ComprehensiveNuclear-Test-Ban TreatyOrganization’s monitoring andverification system that wasadopted on 26 July 2010, with aview to strengthening thecapabilities of the PreparatoryCommission to detect potentialnuclear tests\t\nEcuador\tJune2010-May2011\tAs a member State of theOrganization of American States(OAS), Ecuador actively supportedthe positions, statements andcontributions of the organizationin support of the Treaty.Declarations and positions duringregional conferences and otherregional events reflect aninvitation for all countries toquickly accede to the Treaty and tosupport its entry into force andits universality\t\n\tJune2010-May2011\tAs a member State of the Union ofSouth American Nations, Ecuador, inits capacity of President of thegroup, supported and proposed underthe new regional regime a warrantyin order to preserve South Americaas a zone free of nuclear weapons,and support for all mechanismsincluding the Treaty\t\nEstonia\tJune2010-May2011\tAs a member State of the EuropeanUnion, Estonia supported allrelevant statements, positions,initiatives and financialcontributions of the European Unionin support of the Treaty\t\nFrance\tOctober2010\tIn its capacity as Co-Chair of theArticle XIV process, Franceparticipated in the regionalworkshop for African States,organized by Morocco, and thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization, held in Rabaton 28 and 29 October\t\nGermany\tJune2010-May2011\tAs a member State of the EuropeanUnion, Germany actively supportedthe relevant statements, positionsand contributions of the EuropeanUnion in support of the Treaty\t\nHungary\tJanuary-May2011\tDuring this period, Hungary heldthe rotating Presidency of theCouncil of the European Union and,in that capacity, led thecoordination of the work ofEuropean Union experts for theTreaty based in Vienna. Hungaryperformed that duty in the spiritof its long-standing commitment tonon-proliferation and its supportof the entry into force of theTreaty. During the Presidency, aninformal working luncheon wasorganized with the participation ofthe Executive Secretary of thePreparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization and Heads ofMissions of the European Union. Anumber of outreach meetings werealso held with Arab countries,Israel, the United States ofAmerica, the Group of LatinAmerican and Caribbean Countries,the Non-Aligned Movement and theGroup of 77 States, with the aim,among others, of promoting theentry into force of the Treaty. Atthe European Union meeting of Headsof Missions held in April, Hungarypresented a European Union note onstrengthening outreach activities,and a draft European Unionstatement in support of the entryinto force of the Treaty wasforwarded to Brussels for furtherconsideration\t\nLithuania\tJune2010-May2011\tLithuania joined every activityperformed by the European Union ona bilateral or multilateral levelto stress the importance of theearly entry into force of theTreaty, and urged all the Statesthat had not yet signed and/orratified the Treaty, in particularannex 2 States, to do so withoutfurther delay\t\nMorocco\t24September2010\tIn its capacity as Co-Chair withFrance of the Article XIV process,from 24 September 2010 to September2011, and within the framework ofthe France-Morocco action planaimed at the entry into force ofthe Treaty, Morocco organized, withthe Preparatory Commission for theComprehensive Nuclear-Test-BanTreaty Organization, a regionalworkshop, held in Rabat on 28 and29 October 2010, to promote theentry into force of the Treatyamong African States that had notyet signed or ratified the Treaty\t\nNewZealand\tAugust 2010\tNew Zealand supported languagepromoting the universalization ofthe Treaty in the 2010 PacificIslands Forum Communiqué\t\nPhilippines\tJune2010-May2011\tThe Philippines was activelyinvolved in the Asia-Pacific regionin promoting the signing andratification of the Treaty amongcountries in the region. ThePhilippines continued to workwithin the Association of SoutheastAsian Nations (ASEAN) for theuniversalization of the Treatythrough such efforts as bilateralconsultations, participation in theconferences on facilitating theentry into force of theComprehensive Nuclear-Test-BanTreaty and active participation inGeneral Assembly discussionspertaining to the Treaty and thenuclear disarmament agenda ingeneral\t\n\tJune2010-May2011\tThe Philippines has consistentlyexpressed its views on the Treatyin meetings of the ASEAN RegionalForum, which is the primarymechanism for dialogue andcooperation on security issues inthe Asia-Pacific region. Theconvening of the second and thirdintersessional meetings of theRegional Forum on non‑proliferationand disarmament held in Singaporefrom 5 to 7 July 2010, and from 23to 25 February 2011 in Las Vegas,United States, are major steps inexpanding dialogue and promotingcooperation and mutualunderstanding on nuclearnon-proliferation and disarmament.During the meetings, thePhilippines emphasized itscommitment to international effortsto achieve universal adherence tothe Treaty on the Non-Proliferationof Nuclear Weapons and theComprehensive Nuclear-Test-BanTreaty\t\nPoland\tJune2010-May2011\tPoland, both in its nationalcapacity and as a member State ofthe European Union, continued toaddress the issue of the signature,ratification and early entry intoforce of the Treaty in theappropriate multilateral forums\t\nRepublicof Korea\t2-3December2010\tThe Republic of Korea organized theninth United Nations-Republic ofKorea Joint Conference onDisarmament and Non‑ProliferationIssues, held in Jeju Island, theRepublic of Korea. Under the theme“Nuclear renaissance andinternational peace and security”,the conference reaffirmed theimportance of the early entry intoforce of the Treaty\t\nSingapore\tFebruary2011\tAt the third ASEAN Regional ForumInter-Sessional Meeting, whichfocused on non‑proliferation anddisarmament, Singapore urged allannex 2 States that had notratified the Treaty to do so assoon as possible\t\nSpain\tJune2010-May2011\tSpain, as a member State of theEuropean Union, supported alloutreach activities at thetechnical and political levels,including those aimed at the nineoutstanding annex 2 States\t\nSweden\tJune2010-May2011\tSweden underlined the importance ofthe early entry into force of theTreaty through the European Union\t\n\tJune2010-May2011\tSweden, through the European Union,continued outreach activities atthe political and technical level,in particular towards the remainingnine annex 2 States, whoseratification is required for theTreaty’s entry into force\t\n\tJune2010-May2011\tSweden was among the initiators ofa European Union working paper,entitled “The capacity of theComprehensive Nuclear-Test-BanTreaty verification regime”(NPT/CONF.2010/WP.55), presented atthe 2010 Review Conference of theParties to the Treaty on theNon-Proliferation of NuclearWeapons\t\nUnitedKingdom\tJune2010-May2011\tThe United Kingdom fully supportedefforts by the European Union topromote the early entry into forceof the Treaty, including throughthe European Union’s various jointactions in support of the Treaty,and in various European Unionstatements, notably that by theDeputy Prime Minister and Ministerfor Foreign Affairs of Belgium, onbehalf of the European Union, atthe Fifth Ministerial Meeting insupport of the ComprehensiveNuclear-Test-Ban Treaty, held inNew York on 23 September 2010" ]

[ "Sixty-sixth session", "Item 104 of the provisional agenda [1]", "Comprehensive Nuclear-Test-Ban Treaty", "Comprehensive Nuclear-Test-Ban Treaty", "Report of the Secretary-General", "In paragraph 11 of its resolution 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty”, the General Assembly requested the Secretary-General, in consultation with the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, to prepare a report on the efforts of States that have ratified the Treaty towards its universalization and possibilities for providing assistance on ratification procedures to States that so request it, and to submit such a report to the Assembly at its sixty-sixth session.", "2. The present report is submitted pursuant to that request. Information submitted by the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization on this subject is contained in the annex.", "Annex", "Report on the efforts of States towards the universalization of the Comprehensive Nuclear-Test-Ban Treaty [A C E F R S] ii)", "June 2010-May 2011", "1. Belgium supported the European Union Action Plan from June 2010 to May 2011, both bilaterally and as a member of the European Union, and, in its bilateral contacts with Annex 2 countries, including, as appropriate, at a high level, with particular emphasis on the ratification or signature of the Treaty and its importance for the entry into force of the Treaty, Brazil, from June 2010 to May 2011, in its bilateral contacts with Annex 2 countries that had not yet signed and/or ratified the Treaty, took every appropriate opportunity to stress the importance of signing and ratifying the Treaty, and on 19 March 2011, President Dirma Russo issued a joint communiqué with the visiting President of the United States of America, Barack Obama, stressing “the importance of facilitating the entry into force of the Comprehensive Nuclear-Test-Ban Treaty”. Bulgaria raised the issue of signing and ratifying the Treaty at the bilateral level, in particular with annex 2 States that had not yet signed or ratified the Treaty, such as the Democratic People ' s Republic of Korea, India and Pakistan, between June 2010 and May 2011, urging those States to sign and ratify the Treaty as soon as possible, stressing the importance of promoting the entry into force of the Treaty, and Croatia raised the issue of signing and ratifying the Treaty at the bilateral level between June 2010 and May 2011, in particular with annex 2 States that had not yet signed or ratified the Treaty, urging those States to sign and ratify the Treaty as soon as possible, and stressing the importance of promoting the entry into force of the Treaty. Estonia raised the issue of ratification at the bilateral meeting with annex 2 States that had not yet signed or ratified the Treaty between June 2010 and May 2011, with a view to facilitating regular discussions between France and annex 2 States that had not yet signed or ratified the Treaty between June 2010 and May 2011. During these discussions, France took every opportunity to stress the importance that it attaches to the entry into force of the Treaty. Germany reaffirmed the importance of the early entry into force of the Treaty at high-level bilateral talks and relevant multilateral forums between June 2010 and May 2011, and urged ratification of the Treaty, in particular by the remaining annex 2 States, and in October 2010, during the visit of the Federal Minister for Foreign Affairs to India, in public and in private, called upon the Government of India to accede to the Treaty. Speaking at the Indian Institute of Technology, he noted that the entry into force of the Treaty was a critical first step towards achieving the goal of “global zero” in the bilateral contacts between Japan and Japan from June 2010 to May 2011 to take every appropriate opportunity to raise the issue of ratification of the Treaty with Annex 2 States that had not yet signed or ratified the Treaty, Mexico supported the efforts of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization between June 2010 and May 2011 and encouraged Indonesia to make further progress towards ratification of the Treaty by signing and/or ratifying the Treaty as soon as possible, with a view to enabling New Zealand to sign and ratify the Treaty as soon as possible, in June 2010 and May 2011, during its bilateral meetings with Annex 2 States, in particular those that had not yet signed or ratified the Treaty, to take advantage of all opportunities to promote the entry into force of the Treaty, to urge those States to do so as soon as possible, to work with the Ministry of Foreign Affairs of Indonesia from June 2010 to May 2011, to explain the importance of completing the ratification process for ratification of the Treaty, to encourage Indonesia to make further progress in ratifying the Treaty between June 2010 and May 2011, and to highlight the importance of bilateral contacts The visit included a technical discussion of issues of mutual interest and a visit to an International Monitoring System seismic monitoring station in Norway, Philippines, June 2010-May 2011, recognizing that the Treaty was an important confidence-building mechanism and played a key role in promoting cooperation with other States in addressing issues related to regional and global security. The Philippines consistently supported the call for early entry into force of the Treaty. Poland, from June 2010 to May 2011, raised the issue of ratification of the Treaty in bilateral meetings at the ministerial and sub-ministerial levels with annex 2 States that had not yet signed and/or ratified the Treaty. In this regard, the Russian Federation has consistently called upon the Government of the United States of America to translate its intention to ratify the Treaty into practical action, as announced in many bilateral and multilateral documents, and to undertake consultations with the United States of America on non-proliferation and disarmament issues at the earliest possible date, Spain, Spain, November 2010, and Sweden, in its bilateral contacts with a number of Annex 2 States that have not yet signed and/or ratified the Treaty, from June 2010 to May 2011, at the ministerial and sub-ministerial levels, Sweden, in its bilateral contacts with a number of Annex 2 States that have not yet signed and/or ratified the Treaty, Sweden, from June 2010 to May 2011, stressed the importance of the signing of the Treaty, as appropriate, by Turkey, during its bilateral contacts with a number of Annex 2 States from June 2010 to May 2011, and, most recently, by Ukraine, from June 2010 to May 2011, in its bilateral meetings with officials of Annex 2 States that have not yet signed or ratified the Treaty, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain and Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, Spain, During these discussions, France took every opportunity to emphasize the importance that it attaches to the issue of the entry into force of the Treaty on the occasion of the African Union Summit held in Addis Ababa from 26 January to 2 February 2011, in its capacity as Co-Chair of the Article XIV Process, in several African and Asian capitals, to encourage ratification of the Treaty on 24 September 2010, in its capacity as Co-Chair of the Article XIV Process, in several African and Asian capitals, and on the occasion of the Africa-France Summit held from 30 May to 1 June 2010, in its capacity as Co-Chair of the Article XIV Process, in a number of African capitals, and in a luncheon organized by the Permanent Representative of Hungary to the United Nations in New York on 14 December 2010, at which the Executive Secretary and representatives of Bangladesh, Cuba, the Dominican Republic, Grenada, Jamaica, Indonesia, the Philippines and Mauritius, as well as the Caribbean Community, participated. The purpose of the Conference was to promote the Treaty, in particular by emphasizing the vital and scientific uses of the international monitoring system. The Conference placed particular emphasis on the system ' s capacity to support tsunami early warning, as invited countries were interested in this regard, as Japan took every appropriate opportunity in its bilateral contacts between June 2010 and May 2011 to raise the issue of the Treaty with the remaining non-annex 2 States. Mexico Mexico, from June 2010 to May 2011, together with the many signatory States that called for the early entry into force of the Treaty, supported the efforts of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization to promote the signature and ratification of the Treaty as soon as possible by non-annex 2 States that had not yet signed and/or ratified the Treaty, with a view to bringing the Treaty into force, Morocco as co-chair of the Article XIV process from June 2010 to May 2011, and actively engaged in the work of a number of African States, in particular Angola, the Central African Republic and Equatorial Guinea, encouraging ratification of the Treaty and strengthening the verification system. Morocco stressed the importance and technical benefits of the International Monitoring System, emphasizing its importance for national capacity-building, New Zealand, from June 2010 to May 2011, stressed the importance of the Treaty to non-annex 2 States on relevant bilateral occasions, and contributed to the early entry into force of the Treaty by making voluntary contributions to enable experts from non-annex 2 developing States to participate in the formal technical meetings of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, thereby reaffirming the universality of the Treaty. The project focused on capacity-building for the implementation of the Treaty, and the National Data Centre of Kyrgyzstan received technical training, software and hardware support. Norway has been supporting bilateral cooperation projects between the Norwegian National Data Centre and the Kazakhstan Geophysical Institute between June 2010 and May 2011 to build capacity for the implementation of the Treaty in Central Asia. The project includes the establishment of an international technical training centre in Almaty, Kazakhstan, to support the verification function of the Treaty. In its bilateral contacts with non-Annex 2 States that have not yet signed or ratified the Treaty, the Russian Federation continued to call upon those States to accede to the Treaty as soon as possible. Slovakia continued to support the universalization of the Treaty during relevant bilateral meetings between June 2010 and May 2011. 2. The Secretary-General of the United Nations has taken the opportunity to highlight the importance attached by Ukraine to the entry into force of the Treaty. The Secretary-General of the Comprehensive Nuclear-Test-Ban Treaty has joined the co-sponsors of resolution 65/59, entitled “Joint action towards the total elimination of nuclear weapons”, resolution 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty” of 2010 and resolution 65/127, entitled “Cooperation between the United Nations and the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization” of 2010 and the meeting of the States parties to the Treaty on the Non-Proliferation of Nuclear Weapons of 2010 to the Conference on the Non-Proliferation of Nuclear Weapons of 2010, in which Belgium, in its national capacity and as a member of the European Union, reaffirmed the need for States, in particular those with nuclear weapons, and annex 2 States, to maintain and maintain the moratorium on nuclear explosions pending the entry into force of the Treaty, and the Secretary-General of the Conference of the States Parties to the Treaty on the Non-Proliferation of Nuclear Weapons of Bosnia and Herzegovina of 2010, in which, inter alia, “the Secretary-General of the Conference of the States Parties to the United Nations to the Treaty on the Non-Proliferation In this regard, Croatia voted in favour of General Assembly resolutions 65/72, entitled “United action towards the total elimination of nuclear weapons”, 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty”, and 65/127, entitled “Cooperation between the United Nations and the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization”, all of which, inter alia, called for the prompt entry into force of the Treaty. Ecuador, during a session of the First Committee of the United Nations General Assembly held from June 2010 to May 2011, in its statement on the subject of nuclear disarmament, called for the universalization of the Treaty. Estonia, in its statement at the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons, held in New York in May 2010, the Minister for Foreign Affairs of Estonia urged States that had not yet done so to sign and ratify the Treaty without delay, without conditions, and the Minister for Foreign Affairs of Estonia, in support of the Comprehensive Nuclear-Test-Ban Treaty at the fifth ministerial meeting of the Council of the European Union in July 2010, endorsed the joint ministerial statement, reiterating Estonia's strong support for the Treaty and its strong support for the activities of the Preparatory-Test-Ban Treaty Preparatory-Ban Treaty As a member of the Friends of the Comprehensive Nuclear-Test-Ban Treaty (Australia, Canada, Finland, Japan and the Netherlands) and one of the co-sponsors of the Conference, Finland co-sponsored resolution 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty”, adopted by the General Assembly on 8 December 2010 in New York on 23 September 2010, France, from June 2010 to France, in its capacity as co-chair of the Article XIV process, took various opportunities to promote the entry into force of the Treaty in relevant multilateral forums, from June 2011 to May 2011 and from 8 December 2010 in its capacity as co-chair of the Article XIV process (with Morocco), hosted several consultations with signatory States on the implementation of the action plan for the entry into force of the Treaty and preparations for the Seventh Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty, held on 23 September 2010 in preparation for the entry into force of the Treaty, in its capacity as co-chair of the Article XIV Process, together with Morocco, in its capacity as co-Chair of the fifth ministerial meeting in support of the Comprehensive Nuclear-Test-Ban Treaty, held in New York on 23 September 2010, and in its statement to the fifth meeting of the General The Minister for Foreign Affairs of Lithuania, in his capacity as Chairman-in-Office of the Organization for Security and Cooperation in Europe, met with the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization on 24 February 2011, and expressed support for the activities of the Preparatory Commission. Mexico, on 8 December 2010, co-sponsored resolution 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty”, adopted by the General Assembly, participated in the meetings of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization and its subsidiary bodies, as well as in consultations aimed at promoting the entry into force of the Treaty and strengthening the verification mechanism, to be fully effective, with 10 seismic experts from 10 countries, from January to March 2011. The Minister for Foreign Affairs and Cooperation, together with the Minister for Foreign Affairs of France, noted the importance of promoting the entry into force of the Treaty and encouraged participating States to take action during a meeting of the Inter-Parliamentary Union and other regional meetings in October 2010, Morocco had actively worked to promote the Treaty among Arab and African legislative bodies and to support diplomatic efforts. On 29 October 2010, during the fifth plenary session of the Parliamentary Assembly of the Mediterranean, held in Rabat, the Executive Secretary emphasized the role that parliaments could play in promoting the Treaty. Morocco warmly welcomes the adoption by the General Assembly of its resolution 65/127, entitled “Cooperation between the United Nations and the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization”, in which New Zealand endorsed the Joint Ministerial Statement in support of the Comprehensive Nuclear-Test-Ban Treaty adopted at the Fifth Ministerial Conference in New York on 23 September 2010, encouraged States whose ratification was necessary for the entry into force of the Treaty to ratify it without delay, in December 2010, and co-sponsored General Assembly resolution 65/59, entitled “Towards a nuclear-weapon-free world: accelerating the implementation of nuclear disarmament commitments”, adopted by the Assembly at its sixty-fifth session, entitled “Cooperation between the United Nations and the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization”, in which the Minister for Disarmament and Arms Control of New Zealand published an article in the Preparatory Commission's magazine, CTBTO Bulletin, entitled “Ending the nuclear test target day”, stressing the importance of universalization of the Treaty. The representative of the Norwegian National Data Centre contributed to this work and served as consultant to the Chair of the Working Group from June 2010 to May 2011 Norway contributed funds for a project of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization to facilitate the participation of experts from developing countries in the technical meetings of the Preparatory Commission. Norway also supported the joint ministerial statement on the organization by the China Arms Control and Disarmament Association of the Forum of Technical Scientists against Nuclear Tests in March 2011. Norway provided financial support to the Forum, where Norwegian experts shared their views on the Philippines ' successful chairmanship of the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons in May 2010, which reaffirmed the importance of the Comprehensive Nuclear-Test-Ban Treaty on the global disarmament and non-proliferation agenda. The Philippines joins others in supporting the Final Document of the Review Conference, which highlights the important role of the Comprehensive Nuclear-Test-Ban Treaty in the nuclear disarmament and non-proliferation regime. Actions 10 to 14 of the final document set out the measures to be taken by all States parties to the Treaty on the Non-Proliferation of Nuclear Weapons in the context of the Comprehensive Nuclear-Test-Ban Treaty, including the promotion of the early entry into force of the Treaty, the non-testing of nuclear weapons pending the entry into force of the Treaty, the Philippines supported the efforts of France and Morocco as coordinators of the Article XIV process from June 2010 to May 2011, requested the Secretary-General to convene the Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty and, in particular, to convene the Conference during the sixty-sixth session of the General Assembly from June 2010 to May 2011, it had consistently supported the expansion of the International Monitoring System, which was crucial to the strengthening of the verification system of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, since on 23 September 2010, at the fifth ministerial meeting in support of the Comprehensive Nuclear-Test-Ban Treaty, held on 23 September 2010, the former Minister for Foreign Affairs, Alberto Romulo, together with other Ministers, had issued a joint ministerial statement reiterating support for the Joint Ministerial Declaration of 23 September 2010 and urging delegations, in particular those that had participated in the 2010 at The Philippines urges the nuclear-weapon States that remain outside the Treaty to lead by example by drawing attention to the absolute need for a voluntary commitment to a moratorium on nuclear testing. In his statement, he also referred to the active participation of the Philippines in the verification mechanism of the Treaty, Poland, from June 2010 to May 2011, Poland, in its national capacity and as a member of the European Union, continued to address the issue of signature and ratification of the Treaty and its early entry into force in the appropriate multilateral forums. The Republic of Korea hosted a field verification visual observation desktop exercise for a team of international personnel and trainers in Daejeon, Republic of Korea, on 30 August 2010, until the fifth ministerial meeting in support of the Comprehensive Nuclear-Test-Ban Treaty, on 23 September 2010, in which the Acting Minister of Foreign Affairs and Trade of the Republic of Korea participated, stressed the need to promote the early entry into force of the Treaty and urged the Democratic People ' s Republic of Korea to refrain from any further nuclear tests and to comply fully with all its obligations under Security Council resolutions 1718 (2006) and 1874 (2009). The draft resolution entitled “Comprehensive Nuclear-Test-Ban Treaty”, adopted by the First Committee of the United Nations General Assembly on 26 October 2010 and adopted by the General Assembly on 8 December 2010 as resolution 65/91, by which the Russian Federation continued to pursue its policy of supporting the Treaty between June 2010 and May 2011 in Eilat, Israel, and actively participated in the implementation of the action plan adopted at the Sixth Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty, held in Santiago, United States of America, from 9 to 13 May 2011, and by the Republic of Korea from 26 October to 8 May 2011 in Baden, Austria, jointly sponsored and voted in support of the draft resolution entitled “Comprehensive Nuclear-Test-Ban Treaty”, adopted by the General Assembly on 26 October 2010 and adopted by the Assembly on 8 December 2010 as resolution 65/91, by which the Russian Federation continued to support the policy of supporting the Treaty's early entry into force between June 2010 and May 2011, as well as the participation of the Russian Federation in the preparatory meeting of the States parties to the Treaty on the Non-Proliferation of Nuclear Weapons, to be held in May 2010 in the context of the final document of the Conference of the other States parties to the In October 2010, Singapore voted in favour of General Assembly resolutions 65/72, entitled “United action towards the total elimination of nuclear weapons”, and 65/91, entitled “Comprehensive Nuclear-Test-Ban Treaty”. Slovakia continued to support universalization of the Treaty in relevant multilateral forums from June 2010 to June 2010 and Slovakia welcomed the International Day against Nuclear Tests on 29 August 2011. Slovakia also took advantage of the occasion to welcome the positive signals of ratification of the Treaty from a number of annex 2 States, and called on all States that had not yet ratified the Treaty to do so. In his statement at the sixty-fifth session of the General Assembly, in September 2010, the President of Slovakia expressed Slovakia ' s readiness to cooperate with partners on a number of priorities, such as the entry into force of the Comprehensive Nuclear-Test-Ban Treaty. In September 2010, Slovakia participated in the Fifth Ministerial Conference in support of the Comprehensive Nuclear-Test-Ban Treaty, and supported the joint ministerial statement adopted at that meeting. In October 2010, at the First Committee of the General Assembly, Slovakia stressed the importance of promoting the entry into force of the Treaty. During its chairmanship of the First Committee, Slovakia also reiterated its support for the Treaty on a number of occasions during the period from June 2011 to May 2011, during which Slovakia co-sponsored the General Assembly resolution entitled “Comprehensive Nuclear-Test-Ban Treaty” in December 2010, Spain participated in the Fifth Ministerial Conference in support of the Comprehensive Nuclear-Test-Ban Treaty, held in New York in September 2010, and joined the joint ministerial statement adopted at that meeting, in which it expressed support for Sweden's efforts to achieve universal adherence to the Treaty, from June 2010 to June 2010, in a number of public briefings by the Minister for Foreign Affairs of Sweden, in which it stressed the importance of the Treaty, Sweden supported the Fifth Ministerial Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty, held in New York on 23 September 2010, and called upon the Minister for Foreign Affairs of Sweden to actively support the early ratification of the Treaty, from June 2010 to May 2011, as well as Switzerland's vote in December 2010 in favour of the General Assembly's resolution 65/59, entitled “Towards the total elimination of all nuclear weapons”, in June 2009 to Switzerland's statement at all relevant forums, in which it called for the entry into force of the Comprehensive Nuclear- Turkey participated in the Group ' s first ministerial meeting and in the preparation of the political statements and documents issued at that meeting, which stated that the early entry into force of the Treaty was a necessary step towards progress in the field of nuclear disarmament. The Minister for Foreign Affairs of the Republic of Turkey, in his statement at the meeting, also referred to this need, as a donor country, which funded the participation of experts from developing countries in the technical meeting of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization from June 2010 to May 2011, in which Turkey stressed in its multilateral contacts the importance of the early entry into force of the Treaty and provided a wide range of support, including technical and financial support, within that framework. Turkey also referred to this in its opening statement to the sixty-fifth session of the General Assembly on 29 August 2010, in his message on the occasion of the International Day against Nuclear Tests, on 29 August, and stressed the need to strengthen the understanding that the Treaty is the cornerstone of nuclear disarmament and the prevention of nuclear proliferation. Ukraine called on the nuclear-weapon States to maintain their moratoriums on nuclear testing and any other nuclear explosive devices and to refrain from any action that might impede the achievement of the purposes of the Treaty. In June 2010, Ukraine had hosted the eleventh annual conference on international export controls, on the theme “Strategic trade in the twenty-first century”, which had addressed nuclear non-proliferation. More than 70 countries participated in the meeting. In addition, international bodies such as the Organization for Security and Cooperation in Europe, the International Atomic Energy Agency, the Wassenaar Arrangement, the Missile Technology Control Regime, the Australia Group and the Nuclear Suppliers Group participated actively in the Fifth Ministerial Conference in support of the Comprehensive Nuclear-Test-Ban Treaty, held at United Nations Headquarters in September 2010. Ukraine reaffirms its commitment to promote the universalization of the Treaty. In addition, Ukraine joined the European Union statement in this regard. In September 2010, the United Arab Emirates took an initiative to move forward with the action plan of the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons by forming a cross-regional group with the aim of advancing the consensus outcome of the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and the mutually reinforcing processes of nuclear disarmament and non-proliferation. Australia, Canada, Chile, Germany, Japan, Mexico, the Netherlands, Poland, Turkey and the United Arab Emirates jointly declared their commitment to the universalization of the Treaty on the Non-Proliferation of Nuclear Weapons and agreed on ways to achieve nuclear disarmament, nuclear non-proliferation and peaceful uses of nuclear energy, while stressing the importance of the entry into force of the Comprehensive Nuclear-Test-Ban Treaty. The United Arab Emirates participated in the second meeting of the Nuclear Non-Proliferation and Disarmament Initiative in 2011, together with nine other States, and issued a joint statement calling for the entry into force of the Treaty as another important objective on the multilateral agenda. It was emphasized that an effective end to nuclear testing would enhance, rather than weaken, national and global security and would contribute significantly to the global nuclear non-proliferation and disarmament regime. The 10 States are committed to taking all diplomatic opportunities to urge States that have not yet done so to sign and ratify the Treaty as soon as possible and to take immediate action to complete the steps required for its entry into force. The Group was also committed to supporting the establishment of an effective monitoring and verification regime in the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization and expressed its appreciation for the work accomplished by the United Kingdom from June 2010 to May 2011 in providing further voluntary contributions to a project to facilitate the participation of experts from developing countries in formal technical meetings of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, to promote universalization of the Treaty and to assist developing countries in raising awareness of the benefits of the Treaty, as well as in the announcement made by the United Kingdom in August 2010 in support of Kazakhstan ' s initiative for the International Day for the Ban of Nuclear Tests, and urged all States that had not yet ratified the Treaty to do so as soon as possible, and in September 2010 the United Kingdom supported the Joint Ministerial Statement on the Comprehensive Nuclear-Test-Ban Treaty adopted in New York on 23 September 2010 at the Fifth Ministerial Conference in support of the Comprehensive Nuclear-Test-Ban Treaty. The Secretary of State of the Foreign and Commonwealth Office of the United Kingdom attended the meeting and spoke in support of the early entry into force of the Treaty. In December 2010, the United Kingdom co-sponsored General Assembly resolution 65/91 in support of the Treaty. From June 2010 to May 2011, Brazil actively participated in the activities of the Agency for the Prohibition of Nuclear Weapons in Latin America and the Caribbean to promote the universalization of the Treaty. At the twentieth special session of the General Conference of OPANAL, held on 18 November 2010, Brazil stressed the importance of urging those States that had not yet ratified the Comprehensive Nuclear-Test-Ban Treaty to do so as soon as possible. Bulgaria, from June 2010 to May 2011, supported decision 2010/461/CFSP on support for the monitoring and verification mechanism of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization, adopted by the Council of the European Union on 26 July 2010, with a view to strengthening the capacity of the Preparatory Commission to detect possible nuclear tests. As a member State of the Union of South American Nations, Ecuador, in its capacity as Chairman of the Group, supported and proposed the establishment of a guarantee mechanism under the new regional mechanism to maintain the status of a nuclear-weapon-free zone in South America, as well as all mechanisms, including the Treaty. Estonia, as a member State of the European Union, supported all relevant statements, positions, initiatives and financial contributions of the European Union in support of the Treaty. Hungary has a long-standing commitment to nuclear non-proliferation, supports the entry into force of the Treaty and fulfils its responsibilities in that spirit. During its presidency, Hungary organized an informal working lunch, with the participation of the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization and the Head of Mission to the European Union. In addition, a series of outreach meetings were held with Arab States, Israel, the United States of America, the Group of Latin American and Caribbean States, the Non-Aligned Movement and the Group of 77 countries, with the aim, inter alia, of facilitating the entry into force of the Treaty. At the April meeting of the heads of mission of the European Union, Hungary presented a note by the European Union on strengthening outreach activities and transmitted a European Union statement in support of the entry into force of the Treaty to Brussels for further consideration. Lithuania participated in every European Union event at the bilateral or multilateral level from June 2010 to May 2011, stressing the importance of the early entry into force of the Treaty and urging all States that had not yet signed and/or ratified the Treaty, in particular annex 2 States, to do so without further delay, Morocco, from 24 September 2010 to 24 September 2011, Morocco and France as co-chairs of the Article XIV process and, in its capacity as co-chair, Morocco, France, France, in its capacity as co-chair of the Treaty aimed at facilitating its entry into force Within the framework of the Moroccan action plan, a regional workshop was organized jointly with the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization in Rabat on 28 and 29 October 2010 to promote the entry into force of the Treaty by African States that had not yet signed or ratified the Treaty. The Philippines has continued its efforts to promote universalization of the Treaty within the framework of the Association of Southeast Asian Nations (ASEAN) through bilateral consultations, participation in meetings and conferences to promote the entry into force of the Comprehensive Nuclear-Test-Ban Treaty, and active participation in the discussions of the General Assembly on the overall agenda for the Treaty and nuclear disarmament. The ASEAN Regional Forum (ARF) is the main mechanism for dialogue and cooperation on security issues in the Asia-Pacific region. The second inter-sessional meeting on non-proliferation and disarmament, held in Singapore from 5 to 7 July 2010, and the third inter-sessional meeting on non-proliferation and disarmament, held in Las Vegas, United States, from 23 to 25 February 2011, were important steps towards expanding dialogue and promoting cooperation and mutual understanding on nuclear non-proliferation and disarmament issues. At that meeting, the Philippines highlighted its commitment to international efforts to achieve universal adherence to the Treaty on the Non-Proliferation of Nuclear Weapons and the Comprehensive Nuclear-Test-Ban Treaty. Poland, in its national capacity and as a member of the European Union, continued to address the issue of signature and ratification of the Treaty and its early entry into force in the appropriate multilateral forums from June 2010 to May 2011. The Republic of Korea organized the ninth United Nations-Republic of Korea Joint Conference on Disarmament and Non-Proliferation on Jeju Island, Republic of Korea, on 2 and 3 December 2010. The Conference, on the theme “Nuclear renaissance and international peace and security”, reaffirmed the importance of the early entry into force of the Treaty: Singapore, in February 2011, focused on non-proliferation and disarmament at the third meeting of the intersessional meeting of the ASEAN Regional Forum on non-proliferation and disarmament, at which Singapore urged all Annex 2 States that had not yet ratified the Treaty to ratify it as soon as possible, Spain, as a member of the European Union, from June 2010 to May 2011, and Spain, as a member of the European Union, supported all outreach activities at the technical and political levels, including those directed at the nine remaining Annex 2 States.", "[1] ^ (*) A/66/150.", "[2] ^(*) The present report includes activities that have been completed (i.e., are not currently under way or planned) and activities to promote the entry into force of the Treaty." ]

[ "联合国儿童基金会", "执行局", "2011年第二届常会", "2011年9月12日至15日", "^(*) E/ICEF/2011/13。", "临时议程^(*) 项目10", "联合国儿童基金会《儿基会财务条例和细则》修正案", "行政和预算问题咨询委员会的报告", "导言", "1. 行政和预算问题咨询委员会审议了儿基会执行主任有关《儿基会财务条例和细则》拟议修正案的报告草稿。行预咨委会在审议拟议修正案期间，会晤了执行主任的代表，后者提供了补充资料和说明。", "背景介绍", "2. 行预咨委会获悉，儿基会将向执行局2011年第二届常会提交修正的财务条例供其核准，并提交财务细则供其参考。本报告附件一载列现行《儿基会财务条例和细则》与拟议修正案的对比资料。下文各段说明拟议修正案的主要原因。", "3. 《国际公共部门会计准则》(《公共部门会计准则》)。大会2006年7月7日第60/283号决议决定，核准联合国采用《国际公共部门会计准则》，以取代《联合国系统会计准则》。现行的《儿基会财务条例和细则》于1988年1月19日作为E/ICEF/1988/AB/L.3号文件印发，其基础是《联合国系统会计准则》。因此，大会提议做出修正，以使《儿基会财务条例和细则》与《公共部门会计准则》保持一致。按照《公共部门会计准则》，儿基会将从经过修改的权责发生制会计方法，转变为完全的权责发生制会计方法，预期透明度、问责和可比性将因此得到改善。", "4. 费用分类和成果预算编制。儿基会、联合国开发计划署(开发署)和联合国人口基金(人口基金)的执行局分别在第2009/20号、第 2009/22号和第2009/26号决定中，请三个组织一道努力，改进2012-2013两年期支助预算的列报方式，使列报方式更加统一，并着力于从2014年开始每个组织采用单一综合的预算列报方式。行预咨委会指出，三个组织为确定最佳做法，审查了活动及相关费用的现行费用定义和分类方法，以及一些选定的联合国组织和双边捐助方的成果预算编制模式和方法。这项活动最终拟定出联合建议，在题为“综合预算路线图：费用分类和成果预算编制”的报告中提交各执行局审议，各组织执行局在第2010/20号决定(儿基会)和第2010/32号决定(开发署和人口基金)中核准了报告。其中表示由此产生的改动因此需要更新财务条例和细则相应条款中的术语。", "5. 纳入有关贺卡和礼品的补编。儿基会有一项《儿基会财务条例和细则》补编，涉及儿基会的贺卡和其他产品业务，先前称为贺卡业务。补编中的财务细则已得到更新，以反映目前的私营部门筹资和伙伴关系的业务做法，并已纳入《儿基会财务条例和细则》。", "6. 其他改动。《儿基会财务条例和细则》拟定于1988年，1999年最后一次修正。财务条例和细则载列的术语需要更新，以反映儿基会执行局各项决定以及该组织目前的业务做法。此外，在必要的地方已做出文字改动，以确保清晰和前后一致。", "7. 行预咨委会获悉，为加强与联合国其他基金和方案的协调统一，与联合国秘书处、开发署和人口基金讨论了这些修正案，并商定了原则。另外，还与联合国审计委员会、儿基会审计咨询委员会、联合国法律事务厅(法律厅)和儿基会内部审计办公室进行了协商。本报告第8至10段进一步阐述了法律厅的评论意见。 行预咨委会赞扬儿基会在整个过程中与相关实体广泛进行协商。", "8. 行预咨委会经询问，得到法律厅有关《儿基会财务条例和细则》拟议修正案的一般和具体评论意见的资料。法律厅在一般性评论中指出，财务细则101.2 界定的术语也在财务条例中使用，法律厅接着指出，财务条例由执行局颁布，所以在规范等级中，财务条例的地位高于执行主任颁布的财务细则。因此，法律厅建议，将财务细则101.2中的术语放在财务条例中界定。", "9. 执行主任指出，法律厅提出的许多评论意见为编辑性意见，所建议的改动不改变财务条例和细则的实质性含意。因此，儿基会不反对做出改动。执行主任还指出，对法律厅以下建议做例外处理：即建议恢复使用“捐助方”一词，而不是按照儿基会的提议，在涉及特别账户的财务细则105.1和105.9中使用“要求设立特别账户的当事方”。执行主任补充说，特别账户是儿基会向订约方提供服务的合同安排，而“捐助方”指为实施方案向儿基会提供资金的实体。因此，儿基会不同意上述建议。此外，尽管法律厅质疑关于保留雇用官员(财务细则112.11(a))和聘用咨询人(财务细则112.11(b))条件的财务细则的妥当性，因为《工作人员细则》已涵盖这一关要求，但执行主任仍然认为有必要保留这些细则。", "10. 行预咨委会强调应与法律厅协商，以确保对修正案中包括的术语和定义的解释保持总体一致。行预咨委会相信，所有拟议修正案都反映了法律厅的评论意见和建议。", "《国际公共部门会计准则》", "11. 如执行主任的报告所述，《公共部门会计准则》是完全的权责发生制会计准则，计量一个实体财务业绩和状况，方法是不论在交易时，是否出现现金转移，均予确认。现行的《儿基会财务条例和细则》以《联合国系统会计准则》为基础，是一种经过修改的权责发生制会计方法，既有权责发生制会计要素，也有收付实现制会计要素。委员会得到的信息显示了拟议修正案的主要类别和原因。现在，修正后的条例13.1和13.2要求，所有财务报告应以《公共部门会计准则》为指导；因此，需要用符合《公共部门会计准则》的术语取代所有《联合国系统会计准则》的术语和参照。在这方面，“资金”一词已被“财政资源”取代，但在指现金或其等价物时除外。“期间”的概念已被修改，所有使用这一用语的地方已经过审查，并被“预算期间”或“财政期间”或“方案期间”取代。“两年的”和“两年期”几个字已被删除；此外，按照《公共部门会计准则》的规定，财务条例和细则中的“财政期间”一词均指12个月的期间。《联合国系统会计准则》下的“收入”一词指现金收付制下的已收现金或应计捐款，这一用语已被《公共部门会计准则》的“收入”一词取代，后者指可执行的接收资产的权利。《联合国系统会计准则》的“支出”概念指付款和未清债务的总和，已被《公共部门会计准则》的“费用”一词取代，后者指付款、已收货物和服务的应计项目或资产的使用或减损。现在，《联合国系统会计准则》中使用的“债务”概念已被《公共部门会计准则》的术语“承付款”涵盖。", "12. 执行主任还指出，根据《联合国系统会计准则》，非消耗性设备指实物资产，在购置时被计作费用。根据《公共部门会计准则》，实物资产指不动产、厂房和设备，在其使用寿命期间，通过适当的折旧方法，对其进行资本化和费用化处理。", "13. 行预咨委会注意到，公共部门会计准则委员会继续修改现行准则，并发布新准则，以满足新的需要。因此，可以预计，补充和修正将是《公共部门会计准则》范畴内的一个长期特点。行预咨委会相信，儿基会将建立必要机制，确保其财务条例和细则继续符合《公共部门会计准则》的规定，并与联合国其他基金和方案的财务条例和细则保持一致。考虑到《公共部门会计准则》为原则性文件，没有为其解释和适用准则提供详细导则，行预咨委会期望，将扩大协调统一工作的范围，拟定折旧方法和内部审计规则等领域的详细操作导则。行预咨委会还期望，儿基会的经验教训将得到记录，并与其他组织分享。", "费用分类类别和定义", "14. 行预咨委会得到的资料显示出儿基会、开发署和人口基金各执行局核准了费用分类。分类类别为：", "(a) 发展活动：有助于有效交付发展成果的“方案”和“发展实效”活动的相关费用：", "㈠ 方案：与有助于交付国家/区域/全球方案文件或其他方案安排所载的发展成果的具体方案组成部分或项目的相联活动及相关费用；", "㈡ 发展实效：为实现各组织在重点领域的方案和项目的目标而需要开展的政策咨询、技术和执行性质的活动的费用；", "(b) 联合国发展协调：支持联合国系统发展活动的协调的活动及相关费用；", "(c) 管理：主要职能为促进某一组织的特性、方向和健全性的活动及相关费用。这一方面包括行政领导、代表权、对外关系和伙伴关系、机构交流、法律、监督、审计、机构评价、信息技术、财务、行政管理、安保和人力资源；", "(d) 特殊目的：由大会授权的跨领域性质的活动及相关费用(即在各组织的直接管理控制之外)；涉及重大资本投资；或其费用与各组织的管理活动无关。", "15. 行预咨委会注意到，尽管各组织的费用分类类别已大致统一，一些差异仍然存在，主要是因为各组织的业务模式和授权不同。行预咨委会期望，在这方面将继续进行进一步的审查和协商。", "16. 除上文各段表述的评论意见外，行预咨委会不反对执行局核准《儿基会财务条例和细则》的拟议修正案。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "* E/ICEF/2011/13.", "Item 10 of the provisional agenda*", "United Nations Children’s Fund Amendments to UNICEF Financial Regulations and Rules", "Report of the Advisory Committee on Administrative and Budgetary Questions", "Introduction", "1. The Advisory Committee on Administrative and Budgetary Questions has considered the draft report of the Executive Director of UNICEF on the proposed amendments to the UNICEF Financial Regulations and Rules (FRR). During its consideration of these proposals, the Advisory Committee met with representatives of the Executive Director who provided additional information and clarification.", "Background", "2. The Advisory Committee was informed that UNICEF would be presenting amended Financial Regulations, for approval, and Financial Rules, for information, to its Executive Board at its 2011 second regular session. A comparison between the current UNICEF FRR and the proposed amendments is contained in annex I to the present report. The primary reasons for the proposed amendments are explained in the paragraphs below.", "3. International Public Sector Accounting Standards (IPSAS). The General Assembly, through its resolution 60/283 of 7 July 2006, decided to approve the adoption by the United Nations of the International Public Sector Accounting Standards to replace the United Nations System Accounting Standards (UNSAS). The existing UNICEF Financial Regulations and Rules, published as document E/ICEF/1988/AB/L.3 on 19 January, 1988, were based on UNSAS. The amendments are therefore proposed to align UNICEF Financial Regulations and Rules with IPSAS under which UNICEF will change from a modified accrual method of accounting to a full accrual method of accounting, with the expected benefit of improved transparency, accountability, and comparability.", "4. Cost classification and results-based budgeting. The Executive Boards of UNICEF and of the United Nations Development Programme (UNDP) and of the United Nations Population Fund (UNFPA) in decisions 2009/20, 2009/22 and 2009/26, respectively, requested the three organizations to work together for greater harmonization and improvement in the presentation of the biennial support budget, 2012-2013, as well as work towards the presentation of a single, integrated budget for each organization beginning in 2014. The Advisory Committee notes that, in order to identify best practices, the three organizations undertook a review of existing cost definitions and classification of activities and associated costs; as well as results-based budgeting models and methodologies of selected United Nations organizations and bilateral donors. The exercise culminated in joint proposals that were presented to the Executive Boards in a report entitled, “Road map to an integrated budget: cost classification and results-based budgeting”, which was approved by the Executive Boards of the respective organizations in decisions 2010/20 (UNICEF) and 2010/32 (UNDP and UNFPA). It is indicated that the resulting changes will therefore require an update of the terminology in the corresponding articles of the Financial Regulations and Rules.", "5. Integration of cards and gifts supplement. UNICEF has a supplement to its Financial Regulations and Rules for its cards and products operations, formerly known as the Greeting Card Operations. The Financial Rules in the supplement have been updated to reflect current business practices in private fund raising and partnerships, and has been incorporated in the UNICEF Financial Regulations and Rules.", "6. Other changes. The UNICEF Financial Regulations and Rules were written in 1988 and were last amended in 1999. They contain terminology that requires updating to reflect UNICEF Executive Board decisions and current business practices of the organization. In addition, editorial changes have been made, where necessary, for clarity and consistency.", "7. The Advisory Committee was informed that, in the interest of achieving greater harmonization with the other United Nations funds and programmes, the amendments were discussed and the principles agreed to with the United Nations Secretariat, UNDP, and UNFPA. Consultations were also held with the United Nations Board of Auditors, the UNICEF Audit Advisory Committee, the United Nations Office of Legal Affairs (OLA), and the UNICEF Office of Internal Audit. The comments of OLA are discussed further in paragraphs 8 to 10 of the present report. The Advisory Committee commends UNICEF for pursuing wide consultations with the relevant entities throughout this process.", "8. Upon enquiry, the Advisory Committee was provided with information showing both general and specific comments from OLA on the proposed amendments to UNICEF Financial Regulations and Rules. In its general comments, the OLA notes that the terms defined in Financial Rule 101.2 are also used in the Financial Regulations, and goes on to explain that since Financial Regulations are promulgated by the Executive Board, their position in the hierarchy of norms is higher than that of the Financial Rules which are promulgated by the Executive Director. The OLA therefore suggests that the terms defined in Financial Rule 101.2 be defined in a Financial Regulation instead.", "9. According to the Executive Director, many of the comments provided by OLA are editorial in nature and the changes suggested do not alter the substantive meaning of the Financial Regulations and Rules. UNICEF, therefore, has no objection to making the changes. As further explained by the Executive Director, exception was made with regard to the suggestion of OLA to revert to using the word “donor” instead of “the party or parties requesting the establishment of such special account” as proposed by UNICEF in Financial Rules 105.1 and 105.9, which relate to special accounts. The Executive Director adds that special accounts are contractual arrangements whereby UNICEF provides a service to a contracting party, while the term “donor” implies an entity which provides funds to UNICEF for the implementation of programmes. Consequently, UNICEF does not concur with the suggestion. Furthermore, although OLA questions the appropriateness of having Financial Rules regarding the terms of employment of officials (Financial Rule 112.11 (a)) and engagement of consultants (Rule 112.11 (b)), as the requirement is already covered in the Staff Rules, the Executive Director remains of the opinion that there is a benefit in keeping the Rules.", "10. The Advisory Committee emphasizes the importance of consulting OLA to ensure an overall consistency in the interpretation of terms and definitions included in the amendments. The Committee trusts that the comments and suggestions of OLA are reflected in any proposed amendments.", "International Public Sector Accounting Standards", "11. As explained in the report of the Executive Director, IPSAS are full accrual-based accounting standards which measure the financial performance and position of an entity by recognizing transactions when they occur, regardless of cash transfers. Current UNICEF Financial Regulations and Rules are based on UNSAS, which is a modified accrual accounting method, with elements of both accrual and cash basis accounting. The Committee was provided with information showing the main categories, and reasons, for the proposed amendments. The amended Regulations 13.1 and 13.2 now require that all financial reporting be guided by IPSAS; hence the replacement of all UNSAS terms and references with IPSAS-compliant terms. In that regard, the term “funds” has been replaced with “financial resources” except when it refers to cash or its equivalent. The concept of “period” has been modified, and all uses of the word have been reviewed and replaced with “budget period” or “financial period” or “programme period”. The words “biennial” and “biennium” have been deleted; and, in keeping with IPSAS, the term “financial period” in the Financial Regulations and Rules will always refer to a 12-month period. The term “income”, which, under UNSAS, represented cash received on a cash basis or contributions accrued, has been replaced with the IPSAS term “revenue”, which represents an enforceable right to receive an asset. The UNSAS concept of “expenditure”, which represents the sum of disbursements and unliquidated obligations, has been replaced with the IPSAS term “expense”, which represents disbursements, accruals for goods and services received, or the use or impairment of assets. The concept of “obligations” used under UNSAS is now included in the IPSAS term “commitments”.", "12. The Executive Director further explains that under UNSAS, non-expendable equipment refers to physical assets, which are expensed at the time of acquisition. Under IPSAS, physical assets are referred to as property, plant and equipment (PPE), and are capitalized and expensed over the period of their useful life using an appropriate depreciation method.", "13. The Advisory Committee notes that the IPSAS Board continues to revise existing standards and to issue new standards to meet emerging needs. It can therefore be expected that additions and amendments will be a permanent feature of the IPSAS environment. The Advisory Committee trusts that UNICEF will establish the necessary mechanisms to ensure that its Financial Regulations and Rules remain in compliance with IPSAS and remain harmonized with those of other United Nations funds and programmes. Considering that IPSAS are principle-based, and do not provide detailed guidelines for their interpretation and application, the Committee expects that the harmonization efforts will be extended to the formulation of detailed operating guidelines in areas such as depreciation methods and internal audit rules. The Committee further expects that the lessons learned by UNICEF will be documented and shared with other organizations.", "Cost classification categories and definitions", "14. The Advisory Committee was provided with information showing the cost classification approved by the Executive Boards of UNICEF, UNDP and UNFPA. The categories are:", "(a) Development Activities: costs associated with “programmes” and “development effectiveness” activities which contribute to the effective delivery of development results:", "(i) Programmes: activities and associated costs traced to specific programme components or projects, which contribute to delivery of development results contained in country/regional/global programme documents or other programming arrangements;", "(ii) Development Effectiveness: the costs of activities of a policy-advisory, technical and implementation nature that are needed for achievement of the objectives of programmes and projects in the focus areas of the organizations;", "(b) United Nations Development Coordination: activities and associated costs supporting the coordination of development activities of the United Nations system;", "(c) Management: activities and associated costs whose primary function is the promotion of the identity, direction and well-being of an organization. These include executive direction, representation, external relations and partnerships, corporate communications, legal, oversight, audit, corporate evaluation, information technology, finance, administration, security and human resources;", "(d) Special purpose: activities and associated costs of a cross-cutting nature that are mandated by the General Assembly (i.e., not within the direct management control of the organizations); involve material capital investments; or do not represent a cost related to the management activities of the organization.", "15. The Advisory Committee notes that while cost classification categorizations among the organizations have largely been harmonized, some differences remain, primarily due to the different business models and mandates of the organizations. The Advisory Committee expects that further review and consultations will continue in this regard.", "16. Subject to its comments expressed in the preceding paragraphs, the Advisory Committee has no objection to approval by the Executive Board of the proposed amendments to the UNICEF Financial Regulations and Rules." ]

[ "United Nations Children ' s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "^(*) E/ICEF/2011/13.", "Item 10 of the provisional agenda*", "Amendments to the Financial Regulations and Rules of the United Nations Children ' s Fund", "Report of the Advisory Committee on Administrative", "Introduction", "1. The Advisory Committee on Administrative and Budgetary Questions has considered the draft report of the Executive Director of UNICEF on the proposed amendments to the Financial Regulations and Rules of UNICEF. During its consideration of the proposed amendments, the Advisory Committee met with representatives of the Executive Director, who provided additional information and clarification.", "Background", "2. The Advisory Committee was informed that UNICEF would submit the amended financial regulations to the Executive Board for approval at its second regular session 2011 and the financial rules for its information. Annex I to the present report contains information on the comparison of the current UNICEF Financial Regulations and Rules with the proposed amendments. The main reasons for the proposed amendment are set out in the paragraphs below.", "3. International Public Sector Accounting Standards (IPSAS). In its resolution 60/283 of 7 July 2006, the General Assembly decided to approve the adoption by the United Nations of the International Public Sector Accounting Standards to replace the United Nations system accounting standards. The current UNICEF Financial Regulations and Rules were issued as document E/ICEF/1988/AB/L.3 on 19 January 1988 and are based on the United Nations system accounting standards. Accordingly, the General Assembly proposed amendments to align the UNICEF Financial Regulations and Rules with IPSAS. Under IPSAS, UNICEF will move from a modified accrual basis of accounting to a fully accrual basis of accounting, which is expected to improve transparency, accountability and comparability.", "4. Cost classification and results-based budgeting. The Executive Boards of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA), in their decisions 2009/20, 2009/22 and 2009/26, respectively, requested the three organizations to work together to improve the presentation of the biennial support budget for 2012-2013, to make it more harmonized and to focus on a single, integrated budget presentation for each organization starting in 2014. The Advisory Committee notes that, in order to identify best practices, the three organizations have reviewed the current cost definitions and classifications of activities and associated costs, as well as the results-based budgeting model and methodology of selected United Nations organizations and bilateral donors. The exercise resulted in joint recommendations for consideration by the executive boards in their reports entitled “Road map to an integrated budget: cost classification and results-based budgeting”, which were endorsed by the executive boards of the organizations in decisions 2010/20 (UNICEF) and 2010/32 (UNDP and UNFPA). It indicated that the resulting changes would require updating the terminology in the corresponding articles of the financial regulations and rules.", "5. Inclusion of cards and gifts supplements. UNICEF has a supplement to the UNICEF Financial Regulations and Rules, which covers UNICEF card and other product operations, previously known as greeting card operations. The financial rules in the Supplement have been updated to reflect current private sector fund-raising and partnership business practices and have been incorporated into the Financial Regulations and Rules of UNICEF.", "6. Other changes. The UNICEF Financial Regulations and Rules were prepared in 1988 and last amended in 1999. The terminology contained in the financial regulations and rules needs to be updated to reflect the decisions of the UNICEF Executive Board and current business practices of the organization. In addition, textual changes have been made where necessary to ensure clarity and consistency.", "7. The Advisory Committee was informed that the amendments had been discussed with the United Nations Secretariat, UNDP and UNFPA and that the principles had been agreed upon to enhance harmonization with other United Nations funds and programmes. Consultations were also held with the United Nations Board of Auditors, the UNICEF Audit Advisory Committee, the United Nations Office of Legal Affairs (OLA) and the UNICEF Office of Internal Audit. The comments of OLA are further elaborated in paragraphs 8 to 10 of the present report. The Advisory Committee commends UNICEF for its extensive consultations with relevant entities throughout the process.", "8. Upon enquiry, the Advisory Committee was provided with information on the Office ' s general and specific comments on the proposed amendments to the UNICEF Financial Regulations and Rules. In its general comment, OLA noted that the terminology defined in financial rule 101.2 was also used in the financial regulations, and OLA went on to state that the financial regulations were promulgated by the Executive Board, so that, in the normative hierarchy, the financial regulations had a higher status than the financial rules promulgated by the Executive Director. OLA therefore recommends that the terminology in financial rule 101.2 be defined in the financial regulations.", "9. The Executive Director noted that many of the comments made by OLA were editorial and that the proposed changes did not change the substantive meaning of the financial regulations and rules. UNICEF therefore had no objection to the change. The Executive Director also noted that an exception had been made to the recommendation of OLA that the term “donor” should be reinstated instead of “party requesting the establishment of a special account” in financial rules 105.1 and 105.9, as proposed by UNICEF. The Executive Director added that the special account was a contractual arrangement whereby UNICEF provided services to contractors, while the “donor” was the entity that provided funds to UNICEF for programme implementation. UNICEF therefore does not agree with this recommendation. In addition, although OLA questioned the appropriateness of the financial rules for the retention of the terms of employment of officials (financial rule 112.11 (a)) and of consultants (financial rule 112.11 (b)), which were already covered by the Staff Rules, the Executive Director considered it necessary to retain them.", "10. The Advisory Committee stresses the importance of consulting with OLA to ensure that the terminology and definitions included in the amendments are interpreted in an overall manner. The Committee trusts that all proposed amendments reflect the comments and recommendations of OLA.", "International Public Sector Accounting Standards", "11. As indicated in the report of the Executive Director, IPSAS is a fully accrual-based accounting standard that measures the financial performance and position of an entity by recognizing whether or not cash transfers occur at the time of the transaction. The current UNICEF Financial Regulations and Rules, which are based on the United Nations system accounting standards, represent a modified accrual-based accounting method, with both accrual-based and cash-based accounting elements. The information before the Committee indicated the main categories and reasons for the proposed amendment. Now, amended regulations 13.1 and 13.2 require that all financial reports be guided by IPSAS; therefore, all United Nations system accounting standards terminology and references need to be replaced by IPSAS-compliant terminology. In this regard, the term “funds” has been replaced by “financial resources”, except when referring to cash or its equivalent. The concept of “period” has been revised and all uses of this term have been reviewed and replaced by “budget period” or “financial period” or “programme period”. The words “two years” and “biennial” have been deleted; moreover, the term “financial period” in the financial regulations and rules refers to a 12-month period, as required by IPSAS. The term “income” under the United Nations system accounting standards, which refers to cash received or contributions accrued on a cash basis, has been replaced by the term “income” under IPSAS, which refers to an enforceable right to receive assets. The concept of “expenditure” in the United Nations system accounting standards, which refers to the sum of disbursements and unliquidated obligations, has been replaced by the term “costs” in IPSAS, which refers to the use or impairment of payments, accruals for goods and services received, or assets. The concept of “obligation” used in the United Nations system accounting standards is now covered by the IPSAS term “commitment”.", "12. The Executive Director also noted that, in accordance with the United Nations system accounting standards, non-expendable equipment was defined as physical assets, which were expensed when acquired. Under IPSAS, physical assets are property, plant and equipment that are capitalized and costed through appropriate depreciation during their useful life.", "13. The Advisory Committee notes that the IPSAS Board continues to revise its current standards and issue new ones to meet new needs. It is therefore expected that replenishment and amendments will be a long-term feature in the context of IPSAS. The Committee trusts that UNICEF will put in place the necessary mechanisms to ensure that its financial regulations and rules remain IPSAS-compliant and consistent with those of other United Nations funds and programmes. Taking into account that IPSAS is a document of principle and does not provide detailed guidelines for its interpretation and application, the Committee expects that the scope of the harmonization exercise will be expanded to develop detailed operational guidelines in areas such as depreciation methods and internal audit rules. The Committee also expects that lessons learned by UNICEF will be documented and shared with other organizations.", "Cost classification categories and definitions", "14. The information provided to the Advisory Committee indicates that the Executive Boards of UNICEF, UNDP and UNFPA approved cost classifications. The categories are:", "(a) Development activities: costs associated with “programme” and “development effectiveness” activities that contribute to the effective delivery of development results:", "(i) Programmes: activities and associated costs associated with specific programme components or projects that contribute to the delivery of development results as contained in country/regional/global programme documents or other programme arrangements;", "(ii) Development effectiveness: the cost of activities of a policy advisory, technical and implementation nature required to achieve the objectives of the organizations ' programmes and projects in the focus areas;", "(b) United Nations development coordination: activities in support of the coordination of development activities of the United Nations system and related costs;", "(c) Management: activities and associated costs for which the primary function is to promote the identity, direction and integrity of an organization. This includes executive direction, representation, external relations and partnerships, institutional exchange, law, oversight, audit, corporate evaluation, information technology, finance, administration, security and human resources;", "(d) Special purposes: activities of a cross-cutting nature and associated costs (i.e. outside the direct management control of the organizations) mandated by the General Assembly; involving significant capital investments; or not related to the management activities of the organizations.", "15. The Advisory Committee notes that, although the cost classification categories of the organizations have been broadly harmonized, some differences remain, mainly due to the different business models and mandates of the organizations. The Committee expects that further review and consultations will continue in this regard.", "16. Subject to the comments made in the paragraphs above, the Advisory Committee has no objection to the Executive Board ' s approval of the proposed amendments to the Financial Regulations and Rules of UNICEF." ]

[ "2011年7月14日埃塞俄比亚常驻联合国代表给安全理事会主席的信", "谨提及政府间发展管理局(伊加特)秘书处2011年7月13日的普通照会，其中要求埃塞俄比亚联邦民主共和国常驻代表团向联合国安全理事会主席办公室提交2011年7月4日在埃塞俄比亚亚的斯亚贝巴举行的“伊加特国家元首和政府首脑第十八次特别首脑会议关于苏丹、索马里和厄立特里亚活动的公报”。鉴此，我谨随函转递上述公报，请将其作为安全理事会文件分发(见附件)。", "常驻代表", "大使", "泰凯达·阿莱穆(签名)", "2011年7月14日埃塞俄比亚常驻联合国代表给安全理事会主席的信的附件", "伊加特秘书处向埃塞俄比亚联邦民主共和国常驻纽约联合国代表团致意，并恳请其向联合国安全理事会主席办公室提交后附送文照会和2011年7月4日在埃塞俄比亚亚的斯亚贝巴举行的“伊加特国家元首和政府首脑第十八次特别首脑会议关于苏丹、索马里和厄立特里亚活动的公报”。", "附文", "伊加特国家元首和政府首脑第十八次特别首脑会议关于苏丹、索马里和厄立特里亚活动的公报", "2011年7月4日，亚的斯亚贝巴", "政府间发展管理局(伊加特)国家元首和政府首脑于2011年7月4日在亚的斯亚贝巴举行第十八次特别首脑会议，由埃塞俄比亚联邦民主共和国总理、伊加特主席梅莱斯·泽纳维阁下担任会议主席。", "参加会议的有乌干达总统约韦里·卡古塔·穆塞韦尼阁下，苏丹共和国总统奥马尔·哈桑·艾哈迈德·巴希尔阁下，肯尼亚共和国总统、伊加特苏丹小组委员会主席姆瓦伊·齐贝吉阁下，索马里过渡联邦政府总统谢赫谢里夫·谢赫·艾哈迈德阁下，吉布提外交部长马哈穆德·阿里·优素福阁下，伊加特执行秘书马赫布·马阿利姆工程师以及非洲联盟高级别执行小组的塔博·姆贝基阁下、阿布巴卡尔·阿卜萨拉姆阁下和皮埃尔·布约亚阁下。", "会议审议了《全面和平协议》的执行进展情况、索马里的当前事态发展、以及厄立特里亚国的当前活动。", "会议听取了伊加特苏丹小组委员会主席姆瓦伊·齐贝吉总统阁下、负责苏丹问题的联合国秘书长特别代表海尔·门克里欧斯大使、《全面和平协议》评估和评价委员会主席德里克·普拉姆布利爵士、负责索马里问题的联合国秘书长特别代表奥古斯丁·马希加大使的发言。", "会议随后听取了苏丹共和国总统奥马尔·哈桑·艾哈迈德·巴希尔阁下、苏丹第一副总统萨尔瓦·基尔·马亚尔迪特阁下和非洲联盟高级别执行小组塔博·姆贝基阁下关于《全面和平协议》执行情况的介绍。", "会议还听取了非洲联盟委员会副主席埃拉斯特斯·姆温查阁下的发言，以及索马里过渡联邦政府总统谢赫谢里夫·谢赫·艾哈迈德阁下和伊加特索马里和平与民族和解协调员基普鲁托·阿拉普·基鲁瓦阁下关于索马里的最新情况介绍。", "会议听取了关于部长理事会2011年6月28日马拉博会议期间的审议情况介绍，并认可了该会议的报告和公报。", "关于《全面和平协议》的执行进展情况", "会议，", "1. 赞赏和欢迎最近签订关于政治和安全原则的协议，这将为最终解决南科尔多凡州和青尼罗河州问题铺平道路，又祝贺双方于2011年6月28日签订关于总体框架的协议，并促请他们坚持这些协议，毫不拖延地进一步予以细化；", "2. 祝贺奥马尔·哈桑·艾哈迈德·巴希尔总统和萨尔瓦·基尔·马亚尔迪特第一副总统以身作则展现领导能力、胆识和对和平的承诺，祝贺苏丹人民就他们的集体命运作出决定，并吁请两个继承国继续发展合作关系，确保两国的生命力；", "3. 极力赞扬奥马尔·哈桑·艾哈迈德·巴希尔总统和萨尔瓦·基尔·马亚尔迪特第一副总统同意在2011年7月9日之后继续商谈框架协议，以便依照《全面和平协议》的精神解决所有未决问题；", "4. 欢迎双方同意派遣部队确保阿卜耶伊及其他边界地区的稳定，又赞扬埃塞俄比亚提供部队，并认可予以部署，同时欢迎联合国安全理事会第1990(2011)号决议授权进行这一部署，并敦促联合国安全理事会提供一切必要后勤以便能够快速部署；", "5. 表示赞赏非洲联盟高级别执行小组、塔博·姆贝基总统、阿卜杜萨拉米·阿布巴卡尔总统和皮埃尔·布约亚总统在谋求谈判解决所有未决问题方面所作的不懈努力；", "6. 关切阿卜耶伊地区的最终地位、过渡财政安排的要求、继续生产和转运石油的规定等问题仍未得到解决，促请非洲联盟高级别执行小组继续与双方接触，以解决所有这些问题；", "7. 授权伊加特主席为任何协议产生的继续谈判和执行机制提供支持；", "8. 赞扬《全面和平协议》评估和评价委员会提供不间断支持并承诺在2011年7月9日之后继续在伊加特框架内提供这一支持；", "9. 回顾2011年1月30日公报，促请国际社会通过提供债务减免、将苏丹从支恐国家名单中删除、取消制裁和推迟国际刑事法院依照《罗马规约》第16条提起的诉讼，兑现支持苏丹人民的承诺。", "关于索马里的当前事态发展", "会议，", "1. 欢迎签订《坎帕拉协议》，敦促所有各方将其作为广泛和解和外联方案的内容之一努力予以全面执行，并促请协议各方将一项旨在有效执行在过渡联邦政府与支持且渴望实现真正和平与民族和解的其他实体之间达成的各种协议的战略，作为一个不可分割的组成部分；", "2. 赞扬约韦里·穆塞韦尼总统阁下、乌干达人民和政府、以及联合国秘书长特别代表为落实《坎帕拉协议》提供便利；", "3. 促请过渡联邦政府按照《坎帕拉协议》规定的时间表完成所有过渡任务，并促请所有各方为此目的以合作方式开展工作；", "4. 欢迎议会提名和确认索马里过渡联邦政府的新总理，并呼吁按照《坎帕拉协议》的规定尽快组建内阁；", "5. 表示感谢非洲联盟驻索马里特派团(非索特派团)部队派遣国乌干达和布隆迪继续为推动索马里的和平与稳定事业作出牺牲，促请他们继续支持过渡联邦政府部队以使整个摩加迪沙归由政府部队控制，并敦促那些已经承诺派遣部队的非洲国家立即兑现承诺；", "6. 再次呼吁联合国安全理事会向非索特派团提供支持，包括提供特派团强化手段，并通过一项决议对基斯马尤、布拉瓦、马尔卡和埃尔曼实行封锁，在巴利多戈、50号地和希塞莱等地设立禁飞区，以切断对极端主义团体的供应线；", "7. 促请非洲联盟、联合国和致力解决索马里问题的国际社会成员立即搬迁到摩加迪沙，提高他们的能见度，并向过渡联邦机构提供切实支持，以便巩固新解放地区的和平与稳定；", "8. 重申其早些时候关于伊加特发挥核心作用的决定，再次申明索马里进程必须立足于伊加特，并吁请所有致力于索马里和平的行为体在如此行事时与伊加特协商和合作；", "9. 承诺在物质和财政两方面充分支持过渡联邦机构，使他们能够完成剩余任务，建设相关能力和强化地方行政机构，并在这方面促请所有国际伙伴为完成这些任务提供必要的人力和财政支持；", "10. 指示国防参谋长紧急召开会议，审查迄今为止取得的进展并巩固现有成果，避免在保持和平方面出现任何倒退；", "11. 指示建立一个伊加特部长级特别工作组，负责针对任何极端主义成员、个体和资源的移动，以及帮助恐怖分子在区域内部和跨区域开展活动的行为体，提出进一步提高警惕的联合措施；", "12. 严重关切地注意到由于严重干旱和饥荒，索马里人民特别是妇女和儿童仍然处于痛苦之中，吁请所有国际组织向贫困居民紧急提供人道主义援助，以阻止他们作为难民流向邻近国家；", "13. 承诺为前国家元首建立一个与布隆迪类似的框架，以支持索马里的和平与民族和解。", "关于厄立特里亚国的活动", "会议，", "1. 强烈谴责厄立特里亚国支持极端分子和其他颠覆分子，积极参与破坏区域稳定；", "2. 吁请联合国安全理事会采取一切适当措施，确保阿斯马拉政权停止在非洲之角开展破坏稳定的活动；", "3. 吁请非洲联盟和联合国安全理事会充分执行现有制裁，并有选择地对厄立特里亚政权特别是该政权有所依赖的那些经济和采矿部门，包括厄立特里亚侨居区实施追加制裁，同时确保联合国以往相关决定得到遵守；", "4. 还吁请联合国安全理事会延长对厄立特里亚和索马里监察组的任务授权；", "最后，首脑会议，", "1. 指示伊加特执行秘书向非洲联盟和平与安全理事会以及联合国安全理事会正式转递这份公报；", "2. 决定继续处理所有事项。", "2011年7月4日，于埃塞俄比亚亚的斯亚贝巴" ]

[ "Letter dated 14 July 2011 from the Permanent Representative of Ethiopia to the United Nations addressed to the President of the Security Council", "I have the honour to refer to a note verbale from the Secretariat of the Intergovernmental Authority for Development (IGAD) dated 13 July 2011, requesting the Permanent Mission of the Federal Democratic Republic of Ethiopia to submit the “Communiqué of the eighteenth Extraordinary Summit Meeting of the IGAD Assembly of Heads of State and Government on the activities in Sudan, Somalia and Eritrea”, held in Addis Ababa, Ethiopia, on 4 July 2011, to the Office of the President of the Security Council of the United Nations. In this regard, I am pleased to transmit herewith the aforementioned communiqué to be circulated as a document of the Security Council (see annex).", "(Signed) Tekeda Alemu Ambassador Permanent Representative", "Annex to the letter dated 14 July 2011 from the Permanent Representative of Ethiopia to the United Nations addressed to the President of the Security Council", "The Secretariat of IGAD presents its compliments to the Permanent Mission of the Federal Democratic Republic of Ethiopia to the United Nations in New York, and has the honour to kindly request the latter to submit the attached covering note verbale and “Communiqué of the eighteenth Extraordinary Summit Meeting of the IGAD Heads of State and Government on the activities in Sudan, Somalia and Eritrea”, held in Addis Ababa, Ethiopia, on 4 July 2011, to the Office of the President of the United Nations Security Council.", "Communiqué of the eighteenth Extraordinary Summit Meeting of the IGAD Assembly of the Heads of State and Government on the activities in the Sudan, Somalia and Eritrea", "Addis Ababa, 4 July 2011", "The Intergovernmental Authority for Development (IGAD) Assembly Heads of State and Government held its eighteenth Extraordinary Summit Meeting in Addis Ababa, on 4 July 2011, under the chairmanship of H.E. Meles Zenawi, Prime Minister of the Federal Democratic Republic of Ethiopia and Chairperson of IGAD.", "The Assembly was attended by H.E. Yoweri Kaguta Museveni, President of the Republic of Uganda; H.E. Omar Hassan Ahmed Al-Bashir, President of the Republic of the Sudan; H.E. Mwai Kibaki, President of the Republic of Kenya and Chairperson of the IGAD Sub-Committee on the Sudan; H.E. Sheikh Sharif Sheikh Ahmed, President of the Transitional Federal Government (TFG) of Somalia; H.E. Mohamoud Ali Youssouf, Minister for Foreign Affairs of Djibouti; Eng. Mahboub M. Maalim, Executive Secretary of IGAD, and H.E. Thabo Mbeki, H.E. Abubakar Absalam and H.E. Pierre Buyoya of the African Union High-Level Implementation Panel (AUHIP).", "The Assembly considered the progress on the implementation on the Comprehensive Peace Agreement (CPA), current developments in Somalia, and current activities of the State of Eritrea.", "The Assembly was addressed by H.E. President Mwai Kibaki, Chair of the IGAD Sub-Committee on the Sudan, Ambassador Haile Menkerios, the United Nations Special Representative of the Secretary-General for the Sudan, Sir Derek Plumbly, Chair of the CPA Assessment and Evaluation Commission, and Ambassador Augustine Mahiga, United Nations Special Representative of the Secretary-General for Somalia.", "The Assembly was then briefed on the implementation of the CPA by H.E. Omar Hassan Ahmed Al-Bashir, President of the Republic of the Sudan, H.E. Salva Kiir Mayardit, the First Vice-President of the Sudan and H.E. Thabo Mbeki, Chairperson of the African Union High-Level Implementation Panel.", "The Assembly was also addressed by H.E. Erastus Mwencha, Deputy Chairperson of the African Union Commission, and received an update on Somalia from H.E. Sheikh Sharif Sheikh Ahmed, President of the TFG of Somalia, and Hon. Kipruto Arap Kirwa, IGAD Facilitator for Somalia Peace and National Reconciliation.", "The Summit was briefed on the deliberations of the Council of Ministers during their session held in Malabo on 28 June 2011, and endorsed both the report and the Communiqué of the meeting.", "On the progress on the implementation of the Comprehensive Peace Agreement", "The Assembly,", "1. Conveys its appreciation and welcomes the recent signing of the agreement on political and security principles that would pave the way for a final settlement in the South Kordofan and Blue Nile States, further congratulates both parties for signing the agreement on the general framework on 28 June 2011, and calls upon them to hold up to these agreements and to further elaborate on them without delay;", "2. Congratulates President Omar Hassan Al-Bashir and First Vice-President Salva Kiir Mayardit for their exemplary leadership, courage and commitment to peace, as well as the people of the Sudan on deciding their collective destiny, and calls on the successor States to continue cooperative relations and ensure two viable States;", "3. Strongly commends President Omar Hassan Al-Bashir and First Vice-President Salva Kiir Mayardit for agreeing to continue the negotiations framework agreement after 9 July 2011 for the resolution of all outstanding issues in the spirit of the CPA;", "4. Welcomes the agreement between both parties for a deployment of forces to guarantee stability in the Abyei and other border areas; further commends Ethiopia for offering troops and endorses their deployment, also welcomes United Nations Security Council resolution 1990 (2011), which authorized the deployment, and urges the United Nations Security Council to provide all the necessary logistics to enable expeditious deployment;", "5. Expresses appreciation for the work of the African Union High-Level Implementation Panel (AUHIP), of President Thabo Mbeki, President Abdulsalami Abubakar and President Pierre Buyoya, for their unstinting efforts in the pursuit of a negotiated resolution of all outstanding issues;", "6. Concerned by the unresolved issues of the final status of Abyei area, the five disputed areas along the border, the requirement for transitional financial arrangements and provisions for the continuing production and trans-shipment of oil, calls upon the African Union High-Level Implementation Panel to continue its engagement with both parties in order to resolve all these issues;", "7. Mandates the Chairperson of IGAD to support continued negotiations and the implementation mechanism arising from any agreements reached;", "8. Commends the CPA Evaluation and Assessment Commission (AEC) for its continuous support and for its commitments to continue this support in the post 9 July 2011 era within the framework of IGAD;", "9. Recalls its 30 January 2011 Communiqué, and calls upon the international community to keep its commitment to support the people of the Sudan by granting debt relief, the removal of the Sudan from the list of States sponsors of terrorism, the lifting of sanctions and deferral of the International Criminal Court indictment in accordance with article 16 of the Rome Statute.", "On the current developments in Somalia,", "The Assembly,", "1. Welcomes the signing of the Kampala Accord and urges all parties to work towards its full implementation as part of the wider programme of reconciliation and outreach, and calls upon the parties to the Accord to include as an integral component a strategy for effective implementation of the various agreements entered between the TFG and other entities that are supportive and desirous of genuine peace and national reconciliation;", "2. Commends His Excellency President Yoweri Museveni and the people and the Government of Uganda, as well as the United Nations Special Representative of the Secretary-General, for facilitating the realization of the Kampala Accord;", "3. Calls upon the TFG to finalize all transitional tasks within the time frame provided for in the Kampala Accord, and calls upon all parties to work in a cooperative manner towards this end;", "4. Welcomes the nomination and confirmation by Parliament of a new Prime Minister for the TFG of Somalia, and calls for the expeditious establishment of the Cabinet as stipulated in the Kampala Accord;", "5. Expresses gratitude to the troop-contributing countries to the African Union Mission in Somalia (AMISOM), namely Uganda and Burundi for the sacrifices they continue to make to advance the cause of peace and stability in Somalia; calls upon them to continue supporting TFG forces so as to bring the entire Mogadishu under the control of the Government forces, and urges those African countries that have pledged troops to avail the same immediately;", "6. Reiterates its call for the United Nations Security Council to provide support to AMISOM, including mission enablers, and to adopt a resolution that enforces a blockade of Kismayu, Barava, Merka and Elmaan and imposes an air exclusion zone such as on Balidogle, N.50 and Cisaley to cut the supply lines to the extremist groups;", "7. Calls upon the African Union, the United Nations and members of the international community working on Somalia to immediately relocate to Mogadishu, upscale their visibility and support the Transitional Federal Institutions (TFIs) concretely in order to consolidate peace and stability in the newly liberated areas and districts;", "8. Reiterates its earlier decision on the centrality of the role of IGAD and reaffirms that the Somalia process must be anchored in IGAD, and calls on all actors working towards peace in Somalia to do so in consultation and concurrence with IGAD;", "9. Commits to fully support the TFIs both materially and financially to enable them to complete the remaining tasks and to build capacity and strengthen the local administration, and, in that regard, calls upon all international partners to provide the necessary human and financial support to deliver on these tasks;", "10. Directs the Chiefs of Defence Staff to urgently convene a meeting to review the progress made so far and consolidate the gains achieved to avoid any setback in sustaining peace;", "11. Directs the formation of an IGAD ministerial task force that would come up with joint measures to be taken to improve more vigilance on movements of any extremist elements, individuals and resources, as well as those who aid the work of terrorists within and across the region;", "12. Notes with grave concern the continues sufferings to the people of Somalia, especially the women and children, occasioned by the severe drought and famine, and calls on all international organizations to urgently provide humanitarian assistance to the needy populations in order to stem the outflow of people into the neighbouring countries as refugees;", "13. Undertakes to create a framework for former Heads of State to support the Somalia peace and national reconciliation akin to what happened in Burundi.", "On the activities of the State of Eritrea", "The Assembly,", "1. Strongly condemns the activities of the State of Eritrea, which has taken an active part in destabilizing the region by supporting extremist and other subversive elements;", "2. Calls on the United Nations Security Council to take all appropriate measures to ensure that the regime in Asmara desists from its destabilization activities in the Horn of Africa;", "3. Calls on the African Union and the United Nations Security Council to fully implement the existing sanctions and impose additional sanctions selectively on the Eritrean regime, specially on those economic and mining sectors that the regimes draws on, including the Eritrean diaspora, as well as ensure compliance with previous decisions of the United Nations;", "4. Further calls on the United Nations Security Council to extend the mandate of the monitoring team on Eritrea and Somalia.", "Finally, the Summit,", "1. Directs the Executive Secretary of IGAD to formally transmit this Communiqué to the African Union Peace and Security Council, as well as to the United Nations Security Council;", "2. Decides to remain seized of all the matters.", "Done in Addis Ababa, Ethiopia, 4 July 2011" ]

[ "Letter dated 14 July 2011 from the Permanent Representative of Ethiopia to the United Nations addressed to the Secretary-General", "I have the honour to refer to the note verbale dated 13 July 2011 from the secretariat of the Intergovernmental Authority on Development (IGAD) requesting the Permanent Mission of the Federal Democratic Republic of Ethiopia to submit to the Office of the President of the United Nations Security Council the communiqué of the Eighteenth Extraordinary Summit of IGAD Heads of State and Government on the activities of the Sudan, Somalia and Eritrea, held in Addis Ababa, Ethiopia, on 4 July 2011. Accordingly, I have the honour to transmit herewith the above-mentioned communiqué, which I request you to have circulated as a document of the Security Council (see annex).", "Permanent Representative", "Ambassador", "(Signed) Tekeda Alemu", "Permanent Representative", "The IGAD secretariat presents its compliments to the Permanent Mission of the Federal Democratic Republic of Ethiopia to the United Nations in New York and kindly requests it to submit the attached transmittal note to the Office of the President of the United Nations Security Council and the communiqué of the Eighteenth Extraordinary Summit of IGAD Heads of State and Government on the activities of the Sudan, Somalia and Eritrea, held in Addis Ababa, Ethiopia, on 4 July 2011.", "Enclosure", "Communiqué of the Eighteenth Extraordinary Summit of IGAD Heads of State and Government on the activities of the Sudan, Somalia and Eritrea", "Addis Ababa, 4 July 2011", "The 18th Extraordinary Summit of the Heads of State and Government of the Intergovernmental Authority on Development (IGAD), held in Addis Ababa on 4 July 2011, was chaired by H.E. Meles Zenawi, Prime Minister of the Federal Democratic Republic of Ethiopia and Chair of IGAD.", "The meeting was attended by H.E. Yoweri Kaguta Museveni, President of Uganda; H.E. Omar Hassan Ahmad Al-Bashir, President of the Republic of the Sudan; H.E. Mwai Kibaki, President of the Republic of Kenya and Chairman of the IGAD Sub-Committee on the Sudan; H.E. Sheikh Sharif Sheikh Ahmed, President of the Transitional Federal Government of Somalia; H.E. Mahmoud Ali Yusuf, Minister for Foreign Affairs of Djibouti; H.E. Mahbou Maalim Engineer, Executive Secretary of IGAD; H.E. Thabo Mbeki, President of the African Union High-level Implementation Panel; H.E. Abubakar Abusalamam; and H.E. Pierre Buyoya.", "The meeting considered progress in the implementation of the Comprehensive Peace Agreement, current developments in Somalia and current activities of the State of Eritrea.", "The meeting heard statements by H.E. President Mwai Kibaki, Chairman of the IGAD Sub-Committee on the Sudan; Ambassador Haile Menkerios, Special Representative of the Secretary-General for the Sudan; Sir Derek Plumbly, Chairman of the Comprehensive Peace Agreement Assessment and Evaluation Commission; and Ambassador Augustine Mahiga, Special Representative of the Secretary-General for Somalia.", "The meeting then heard presentations by H.E. Omar Hassan Ahmad Al-Bashir, President of the Republic of the Sudan; H.E. Salva Kiir Mayardit, First Vice-President of the Sudan; and H.E. Thabo Mbeki, African Union High-level Implementation Panel, on the implementation of the Comprehensive Peace Agreement.", "It also heard statements by H.E. Elastez Mwencha, Vice-Chairman of the African Union Commission, as well as updates on Somalia by H.E. Sheikh Sharif Sheikh Ahmed, President of the Transitional Federal Government of Somalia, and H.E. Kipruto Arap Kirwa, IGAD Coordinator for Peace and National Reconciliation for Somalia.", "The meeting heard a presentation on the deliberations of the Council of Ministers during its meeting in Malabo on 28 June 2011 and endorsed the report and communiqué of that meeting.", "Progress on the implementation of the Comprehensive Peace Agreement", "The Conference,", "1. Expresses its appreciation and welcomes the recent signing of agreements on political and security principles, which will pave the way for a final resolution of the problems of Southern Kordofan and Blue Nile States, also congratulates the parties for signing the agreement on the overall framework on 28 June 2011, and urges them to adhere to these agreements and further refine them without delay;", "2. Congratulates President Omar Hassan Ahmed Al-Bashir and First Vice-President Salva Kiir Mayardit for their leadership, courage and commitment to peace, for the Sudanese people to take a decision on their collective destiny, and calls upon the two successor States to continue to develop cooperative relations to ensure the viability of both countries;", "3. Strongly commends President Omar Hassan Ahmed Al-Bashir and First Vice-President Salva Kiir Mayardit for agreeing to continue negotiations on the framework agreement beyond 9 July 2011 in order to resolve all outstanding issues in accordance with the spirit of the Comprehensive Peace Agreement;", "4. Welcomes the agreement of the parties to contribute troops to ensure stability in Abyei and other border areas, also commends Ethiopia for providing troops and endorses their deployment, while welcoming the United Nations Security Council resolution 1990 (2011) authorizing such deployment, and urges the United Nations Security Council to provide all necessary logistics to enable rapid deployment;", "5. Expresses its appreciation to the African Union High-level Implementation Panel, President Thabo Mbeki, President Abdussalami Abubakar and President Pierre Buyoya for their tireless efforts in seeking a negotiated solution to all outstanding issues;", "6. Expresses its concern that the final status of the Abyei Area, the requirements of the transitional financial arrangements and the provisions for the continued production and transit of oil remain unresolved, and calls upon the African Union High Level Implementation Panel to continue to engage with the parties to resolve all these issues;", "7. Authorizes the IGAD Chair to provide support to the mechanism for continued negotiations and implementation resulting from any agreement;", "8. Commends the Comprehensive Peace Agreement Assessment and Evaluation Commission for its ongoing support and pledges to continue this support in the IGAD framework beyond 9 July 2011;", "9. Recalls the communiqué of 30 January 2011, and calls upon the international community to honour its commitment to support the people of the Sudan by providing debt relief, removing the Sudan from the list of terror States, lifting sanctions and postponing proceedings initiated by the International Criminal Court pursuant to article 16 of the Rome Statute.", "Current developments concerning Somalia", "The Conference,", "1. Welcomes the signing of the Kampala Accord, urges all parties to work towards its full implementation as part of a broad reconciliation and outreach programme, and urges all parties to the Accord to make a strategy aimed at the effective implementation of the agreements reached between the Transitional Federal Government and other entities that support and aspire to genuine peace and national reconciliation an integral part;", "Commends His Excellency President Yoweri Museveni, the people and Government of Uganda and the Special Representative of the Secretary-General of the United Nations for facilitating the implementation of the Kampala Accord;", "3. Urges the Transitional Federal Government to complete all transitional tasks in accordance with the timetable set out in the Kampala Accord, and urges all parties to work cooperatively to this end;", "4. Welcomes the nomination and confirmation by Parliament of the new Prime Minister of the Transitional Federal Government of Somalia, and calls for the formation of a Cabinet as soon as possible, as stipulated in the Kampala Accord;", "5. Expresses its appreciation to the troop-contributing countries to the African Union Mission in Somalia (AMISOM), Uganda and Burundi, for their continued sacrifices to advance the cause of peace and stability in Somalia, calls upon them to continue to support the Transitional Federal Government forces in bringing the whole of Mogadishu under the control of the Government forces, and urges those African countries that have pledged to contribute troops to honour their commitments without delay;", "6. Reiterates its call on the United Nations Security Council to provide support to AMISOM, including through the provision of enhanced mission means and the adoption of a resolution imposing a blockade on Kismaayo, Brava, Marka and Elman, and to establish no-fly zones in Baridogo, site 50 and Hyselle, in order to cut off supply lines to extremist groups;", "7. Urges the African Union, the United Nations and members of the international community working towards a solution to the Somali problem to relocate to Mogadishu without delay, to increase their visibility and to provide practical support to the transitional federal institutions in order to consolidate peace and stability in the newly liberated areas;", "8. Reaffirms its earlier decision on the central role of IGAD, reiterates that the Somali process must be based on IGAD, and calls upon all actors committed to peace in Somalia to consult and cooperate with IGAD in doing so;", "9. Commit to provide adequate material and financial support to the Transitional Federal Institutions to enable them to carry out their remaining tasks, build relevant capacities and strengthen local administration, and in this regard urge all international partners to provide the necessary human and financial support for the fulfilment of these tasks;", "10. Directs the Chiefs of Defence Staff to convene an urgent meeting to review the progress made so far and consolidate the gains made so far and to avoid any setbacks in maintaining peace;", "11. Directs the establishment of an IGAD ministerial task force to propose joint measures to increase vigilance against any movement of extremist members, individuals and resources, as well as actors who help terrorists operate within and across regions;", "12. Notes with grave concern that the people of Somalia, in particular women and children, continue to suffer as a result of the severe drought and famine, and calls upon all international organizations to provide urgent humanitarian assistance to the needy population in order to stem their flow as refugees to neighbouring countries;", "13. Commit to establish a framework similar to that of Burundi for the former Head of State to support peace and national reconciliation in Somalia.", "Activities concerning the State of Eritrea", "The Conference,", "1. Strongly condemns the support of the State of Eritrea for extremists and other subversive elements and its active participation in destabilizing the region;", "2. Calls upon the United Nations Security Council to take all appropriate measures to ensure that the Asmara regime ceases its destabilizing activities in the Horn of Africa;", "3. Calls upon the African Union and the United Nations Security Council to implement fully existing sanctions and to impose additional sanctions selectively against the Eritrean regime, particularly those economic and mining sectors on which the regime depends, including Eritrean diaspora areas, while ensuring compliance with the relevant United Nations decisions;", "4. Further calls upon the United Nations Security Council to renew the mandate of the Monitoring Group on Eritrea and Somalia;", "Finally, the Summit,", "1. Directs the Executive Secretary of IGAD to formally transmit the communiqué to the African Union Peace and Security Council and the United Nations Security Council;", "2. Decides to remain seized of all matters.", "Addis Ababa, Ethiopia, 4 July 2011" ]

[ "安全理事会第1737(2006)号 决议所设委员会", "2011年7月1日拉脱维亚常驻联合国代表团给委员会主席的普通照会", "拉脱维亚共和国常驻纽约联合国代表团向安全理事会第1737(2006)号决议所设委员会致意。", "拉脱维亚谨此根据安全理事会第1803(2008)号决议第13段和第1929(2010)号决议第31段提交本国执行情况报告(见附件)。", "2011年7月1日拉脱维亚常驻联合国代表团给委员会主席的普通照会的附件", "国家执行情况报告", "一. 在欧洲联盟的执行情况", "作为欧洲联盟的成员国，拉脱维亚共和国按照欧洲联盟的法律框架，并根据欧洲联盟理事会通过的相关决定和条例，分别在国家一级执行了安全理事会第1803(2008)和1929(2010)号决议。", "为了落实针对伊朗的限制性制度，欧洲联盟理事会通过了2010年7月26日关于对伊朗采取限制性措施并撤销第2007/140/CFSP号共同立场的第2010/413/　CFSP号决定(后经关于修改对伊朗采取限制性措施并撤销第2007/140/ CFSP号共同立场的第2010/413/CFSP号决定的理事会2010年10月25日第2010/644/CFSP号决定修订，并根据修改关于对伊朗采取限制性措施的第2010/ 413/CFSP号决定的理事会2011年5月23日第2011/299/CFSP号执行决定付诸实施)，以及与之有关的2010年10月25日关于对伊朗采取限制性措施并撤销(EC)No.423/2007号条例的(EU)No.961/2010号条例(根据执行关于对伊朗采取限制性措施的(EU)No.961/2010号条例的2011年5月23日(EU)No.503/2011号执行条例付诸实施)。", "关于欧洲联盟法律的适用性，《欧洲联盟运作条约》(《欧盟运作条约》)第288条阐明，决定应具有全面约束力。《欧盟运作条约》第288条还阐明，条例应具有普遍适用性，具有全面约束力并直接适用于所有成员国。因此，欧洲联盟通过的条例在欧洲联盟成员国的国家法律制度中，包括除其他外在拉脱维亚共和国的国家法律制度中立即生效。", "二. 国内执行措施和程序", "战略物品管制", "依照拉脱维亚共和国《战略物品流通法》第12条第9款，战略物品管制委员会(拉脱维亚共和国负责控制战略物品流通的国家机构)有权根据拉脱维亚共和国内阁规定的程序拒绝发放战略物品许可证。2010年7月20日内阁第657号条例、发放或拒绝发放战略物品许可证程序及有关战略物品流通文件(即第8款)分别规定，该委员会有权根据拉脱维亚共和国的国际义务标准以及联合国、欧洲联盟和欧洲安全与合作组织通过的武器禁运措施所规定的义务，并根据拉脱维亚共和国按照1968年7月1日《不扩散核武器条约》、1972年4月10日《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》和1992年9月3日《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》所承担的国际义务的标准，拒绝为欧洲联盟共同军事清单所列物品发放许可证。", "另外，内阁2010年7月20日第657号条例(即第7款)规定，对于未列入理事会2009年5月5日关于建立共同体管制两用物项出口、转让、中介活动和过境制度的(EC)No.428/2009号条例附件一清单的物品，委员会有权根据该条例第4条和第13条赋予的权利(要求出示和拒绝发放非两用物品许可证的权利)，要求出示和拒绝发放许可证。", "冻结资金和警惕交易", "拉脱维亚共和国《执行国际组织制裁法》第3条规定，禁止在拉脱维亚共和国登记的所有金融和资本市场参与方从事任何一种涉及受欧洲联盟条例所定金融限制约束的国家或个人部分或全部、直接或间接拥有的金融票据和资产的业务活动。", "金融和资本市场委员会是负责实施国际组织(尤其是欧洲联盟理事会)所定金融限制的制裁机构。依照《执行国际组织制裁法》第11条，金融和资本市场委员会作为负责机构，可采取必要措施颁布国际组织制定的制裁办法。另外，依照《执行国际组织制裁法》第13条，金融和资本市场委员会必要时可通过一项决定，强制实施国际组织规定的制裁办法，包括除其他外冻结列入名单的个人或实体的资产，阻止与之有关的金融交易。", "旅行限制", "依照《执行国际组织制裁法》第6条的规定，凡欧洲联盟条例规定限制旅行者不得进入拉脱维亚共和国。拉脱维亚共和国内务部是负责实施国际组织(尤其是欧洲联盟理事会)旅行限制的制裁机构。", "2001年3月15日理事会(EU)No.539/2001号条例列出了规定国民在跨越外部边界时必须持有签证或国民豁免此项规定的第三国名单，根据该条例，理事会明定适用旅行禁令和需要签证进入欧洲联盟的第三国国民在其申请签证时不予批准。他们如已在外部边界绝对禁止其入境。", "另外，拉脱维亚共和国《移民法》尤其是第七节列有禁止进入拉脱维亚共和国的外国人名单。该节规定，如按照欧洲联盟理事会条例的规定应对某一外国人实施旅行限制，则应将此人列入禁止进入拉脱维亚共和国的外国人名单。", "海关管制和货物检查", "海关负责机构和港务局都适当了解目前实施的限制规定，并根据国家海关程序进行适当的相关检查。拉脱维亚共和国《行政违规法》规定，如果有必要没收列入清单的物品，海关当局有权采取适当行动。依照《行政违规法》第201条，如果违反有关战略物品进口、出口、流动和过境的条例，应处罚没收相关物品。", "财政援助和支助", "拉脱维亚共和国出具出口信贷担保适用内阁2009年5月12日第436号条例，即“短期出口信贷担保条例”，并由拉脱维亚担保局管理。拉脱维亚担保局适当了解目前实施的限制性措施，并在决定对贸易予以财政支助时，适当考虑到相关规定，包括除其他外有关伊朗伊斯兰共和国的规定。", "没有信息表明目前有人承诺向伊朗伊斯兰共和国提供赠款、财政援助或优惠贷款。如有人提出此类申请，拉脱维亚共和国主管当局将充分履行应尽义务。" ]

[ "Security Council Committee established pursuant to resolution 1737 (2006)", "Note verbale dated 1 July 2011 from the Permanent Mission of Latvia to the United Nations addressed to the Chair of the Committee", "The Permanent Mission of the Republic of Latvia to the United Nations in New York presents its compliments to the Security Council Committee established pursuant to resolution 1737 (2006).", "In accordance with paragraph 13 of Security Council resolution 1803 (2008) and paragraph 31 of Council resolution 1929 (2010), Latvia would like to submit herewith its national implementation report (see annex).", "Annex to the note verbale dated 1 July 2011 from the Permanent Mission of Latvia to the United Nations addressed to the Chair of the Committee", "National implementation report", "I. Implementation at the level of the European Union", "As a member State of the European Union, the Republic of Latvia at the national level implements Security Council resolutions 1803 (2008) and 1929 (2010) in accordance with the legal framework of the European Union, respectively, in accordance with respective decisions and regulations adopted by the Council of the European Union.", "Decision 2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and repealing Common Position 2007/140/CFSP (amended by Council Decision 2010/644/CFSP of 25 October 2010 amending Decision 2010/413/CFSP concerning restrictive measures against Iran and repealing Common Position 2007/140/CFSP and implemented by Council Implementing Decision 2011/299/CFSP of 23 May 2011 amending Decision 2010/413/CFSP concerning restrictive measures against Iran) has been adopted by the Council of the European Union, together with Regulation (EU) No. 961/2010 of 25 October 2010 on restrictive measures against Iran and repealing Regulation (EC) No. 423/2007 (implemented by Council Implementing Regulation (EU) No. 503/2011 of 23 May 2011 implementing Regulation (EU) No. 961/2010 on restrictive measures against Iran) thereto, in order to implement the restrictive regime against Iran.", "As regards the applicability of the legal acts of the European Union, article 288 of the Treaty on the Functioning of the European Union (TFEU) states that a decision shall be binding in its entirety. Article 288 of TFEU also states that a regulation shall have general application, it shall be binding in its entirety and it is directly applicable in all member States. Therefore, the regulations adopted by the European Union are immediately effective in the national legal systems of European Union member States, including, inter alia, in the national legal system of the Republic of Latvia.", "II. National implementing measures and procedures", "Control of goods of strategic significance", "Pursuant to article 12, paragraph 9, of the “Law on the Circulation of Goods of Strategic Significance” of the Republic of Latvia, the Strategic Goods Control Committee (the national institution of the Republic of Latvia for the control of the circulation of goods of strategic significance) is entitled to refuse the issuance of licences for goods of strategic significance in accordance with the procedures prescribed by the Cabinet of Ministers of the Republic of Latvia. Respectively, Regulation of the Cabinet of Ministers No. 657 of 20 July 2010, “Procedure of Issuance or Refusal of Issuance of Licences for Goods of Strategic Significance and the Related Documents to Circulation of Goods of Strategic Significance”, namely section 8, provides that the Committee has the right to refuse the issuance of licences for goods in the Common Military List of the European Union based on criteria of international obligations of the Republic of Latvia and obligations according to arms embargoes adopted by the United Nations, the European Union and the Organization for Security and Cooperation in Europe, as well as criteria of international obligations of the Republic of Latvia according to the Treaty on the Non-Proliferation of Nuclear Weapons of 1 July 1968, the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction of 10 April 1972 and the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction of 3 September 1992.", "In addition, Regulation of the Cabinet of Ministers No. 657 of 20 July 2010, namely section 7, provides that the Committee has the right to ask for the licence and to refuse the issuance of licences for goods that are not listed in annex I to Council Regulation (EC) No. 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, in accordance with the rights conferred by article 4 and article 13 of the Regulation — the rights to request and deny a licence for non-dual-use goods.", "Freezing of funds and vigilance over transactions", "In accordance with article 3 of the “Law on the Implementation of Sanctions Established by International Organizations” of the Republic of Latvia, it is prohibited for all participants of the financial and capital market registered in the Republic of Latvia to perform any kind of operation with financial instruments and financial assets that are partly or completely, directly or indirectly owned by a State or a person regarding whom financial restrictions have been established pursuant to European Union Regulations.", "The institution responsible for the implementation of sanctions established by international organizations (inter alia, the Council of the European Union), as regards financial restrictions, is the Financial and Capital Market Commission. According to article 11 of the “Law on the Implementation of Sanctions established by International Organizations”, the Financial and Capital Market Commission, as the responsible institution, takes the necessary measures in order to enact the sanctions established by international organizations. Moreover, pursuant to article 13 of the “Law on the Implementation of Sanctions established by International Organizations”, the Financial and Capital Market Commission, if necessary, adopts a decision on the compulsory application of sanctions imposed by international organizations, including, inter alia, freezing assets of and blocking financial transactions related to the designated persons or entities.", "Travel restrictions", "Pursuant to article 6 of the “Law on the Implementation of Sanctions established by International Organizations”, for the persons regarding whom travel restrictions have been imposed in accordance with European Union Regulations, it is prohibited to enter the Republic of Latvia. The institution responsible for the implementation of sanctions established by international organizations (inter alia, the Council of the European Union), as regards travel restrictions, is the Ministry of the Interior of the Republic of Latvia.", "In accordance with Council Regulation (EC) No. 539/2001 of 15 March 2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement, third-country nationals specified in the Council Decision as subject to a travel ban and who need a visa to enter the European Union will not be granted a visa if they apply for one. They must in any event be denied entry if they present themselves at an external border.", "Moreover, the “Immigration Law” of the Republic of Latvia, in particular section VII, provides for the list of those foreigners for whom entry into the Republic of Latvia is prohibited. The respective section provides that if, in accordance with the provisions of the Regulation of the Council of the European Union, the travel restrictions shall be applied to a foreigner, such person shall be included in the list of those foreigners for whom entry into the Republic of Latvia is prohibited.", "Customs control and cargo inspection", "The responsible customs institutions and port authorities are duly informed about the restrictions in force, and the respective inspections, if applicable, are conducted in accordance with national customs procedures. Should it be necessary to confiscate designated goods, the Administrative Violations Code of the Republic of Latvia provides the customs authorities with the right to take appropriate actions. Pursuant to article 201 of the Administrative Violations Code, in the case of violation of the regulations regarding the import, export, movement and transit of goods of strategic significance, confiscation of the relevant goods is the penalty to be imposed.", "Financial assistance and support", "The issuance of export credit guarantees in the Republic of Latvia is regulated by Regulation No. 436 of the Cabinet of Ministers of 12 May 2009, “Short-term Export Credit Guarantees Regulation”, and is administered by the Latvian Guarantee Agency. The Latvian Guarantee Agency is duly informed about the restrictive measures in force and takes the respective provisions, including, inter alia, those concerning the Islamic Republic of Iran, duly into account when decisions regarding financial support for trade are to be taken.", "There is no information on existing commitments as regards grants, financial assistance or concessional loans to the Islamic Republic of Iran. In the event of such a request, the obligations in force are to be fully observed by the competent authorities of the Republic of Latvia." ]

[ "Security Council Committee established pursuant to resolution 1737 (2006)", "Note verbale dated 1 July 2011 from the Permanent Mission of Latvia to the United Nations addressed to the Chair of the Committee", "The Permanent Mission of the Republic of Latvia to the United Nations in New York presents its compliments to the Security Council Committee established pursuant to resolution 1737 (2006).", "Latvia has the honour to submit its national implementation report pursuant to paragraph 13 of Security Council resolution 1803 (2008) and paragraph 31 of resolution 1929 (2010) (see annex).", "Annex to the note verbale dated 1 July 2011 from the Permanent Mission of Latvia to the United Nations addressed to the Chair of the Committee", "National implementation reports", "Implementation in the European Union", "As a member State of the European Union, the Republic of Latvia has implemented Security Council resolutions 1803 (2008) and 1929 (2010) at the national level in accordance with the legal framework of the European Union and in accordance with the relevant decisions and regulations adopted by the Council of the European Union, respectively.", "In order to implement the restrictive regime against Iran, the Council of the European Union adopted Council Decision 2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and the withdrawal of Common Position 2007/140/CFSP (as amended by Council Decision 2010/644/CFSP of 25 October 2010 amending Council Decision 2010/413/CFSP of 25 October 2010 amending Common Position 2007/140/CFSP concerning restrictive measures against Iran and repealing Council Decision 2011/299/CFSP of 23 May 2011 amending Decision 2010/413/CFSP concerning restrictive measures against Iran), and its associated Regulation (EU) No. 961/2010 of 25 October 2010 concerning restrictive measures against Iran and the withdrawal of Regulation (EC) No. In accordance with Executive Regulation (EU) No. 503/2011 of 23 May 2011 implementing Regulation (EU) No. 961/2010 concerning restrictive measures against Iran).", "With regard to the applicability of European Union law, article 288 of the Treaty on the Functioning of the European Union (Treaty on the Functioning of the European Union) states that the decision shall be binding in its entirety. Article 288 of the Treaty on the Functioning of the European Union also states that the regulations shall be of general application, binding in their entirety and directly applicable to all member States. Thus, the regulations adopted by the European Union are immediately in force in the national legal systems of the member States of the European Union, including, inter alia, in the national legal system of the Republic of Latvia.", "II. Domestic implementation measures and procedures", "Control of strategic goods", "Pursuant to article 12, paragraph 9, of the Law on the Circulation of Strategic Goods of the Republic of Latvia, the Commission for the Control of Strategic Goods (the State agency responsible for the control of the circulation of strategic goods of the Republic of Latvia) has the right to refuse to issue a permit for strategic goods in accordance with the procedure established by the Cabinet of Ministers of the Republic of Latvia. Regulation No. 657 of the Cabinet of Ministers of 20 July 2010, the procedure for issuing or refusing to grant licences for strategic goods and the related circulation documents for strategic goods (i.e. paragraph 8), respectively, provides that the Commission has the power to refuse to issue licences for items on the European Union common military list in accordance with the standards of the international obligations of the Republic of Latvia and the obligations of the arms embargo adopted by the United Nations, the European Union and the Organization for Security and Cooperation in Europe, and in accordance with the standards of the international obligations of the Republic of Latvia under the Treaty on the Non-Proliferation of Nuclear Weapons of 1 July 1968, the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction of 10 April 1972 and the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction of 3 September 1992.", "Furthermore, Cabinet of Ministers Regulation No. 657 of 20 July 2010 (i.e., paragraph 7) empowers the Commission to require the presentation and refusal of licences for items not listed in annex I of Council Regulation (EC) No. 428/2009 of 5 May 2009 establishing a Community regime for the control of exports, transfers, brokering and transit of dual-use items, in accordance with the rights conferred by articles 4 and 13 of the Regulation (the right to demand and refuse licences for non-use items).", "Freezing of funds and vigilance of transactions", "Article 3 of the Law of the Republic of Latvia on the Implementation of Sanctions of International Organizations stipulates that all financial and capital market participants registered in the Republic of Latvia are prohibited from carrying out any activity involving the partial or full, direct or indirect possession of financial instruments and assets by States or individuals subject to financial restrictions imposed by European Union regulations.", "The Financial and Capital Markets Commission is the sanctions body responsible for implementing financial restrictions imposed by international organizations, in particular the Council of the European Union. Pursuant to article 11 of the Law on the Implementation of Sanctions of International Organizations, the Financial and Capital Markets Commission, as the responsible body, may take the necessary measures to enact sanctions established by international organizations. In addition, pursuant to article 13 of the Law on the Implementation of Sanctions of International Organizations, the Financial and Capital Markets Commission may, if necessary, by a decision impose sanctions imposed by international organizations, including, inter alia, freezing the assets of listed individuals or entities and preventing financial transactions related to them.", "Travel restrictions", "According to Article 6 of the Law on the Implementation of Sanctions of International Organizations, any person whose travel is restricted by European Union regulations may not enter the Republic of Latvia. The Ministry of Internal Affairs of the Republic of Latvia is the body responsible for implementing sanctions for travel restrictions imposed by international organizations, in particular the Council of the European Union.", "Council Regulation (EU) No. 539/2001 of 15 March 2001 sets out a list of third countries that require nationals to have a visa or a national to exempt them from this requirement when crossing an external border, according to which the Council expressly determines that the travel ban shall apply and that third-country nationals who require a visa to enter the European Union shall not be granted visas upon their application. They are absolutely prohibited from entering the country at external borders.", "In addition, the Immigration Act of the Republic of Latvia, particularly section VII, contains a list of foreigners who are prohibited from entering the Republic of Latvia. This section provides for the inclusion of an alien in the list of foreigners prohibited from entering the Republic of Latvia if travel restrictions are imposed on the alien in accordance with the European Union Council Regulation.", "Customs control and cargo inspection", "The competent customs agencies and port authorities are duly aware of the restrictions currently in force and are subject to appropriate inspections in accordance with national customs procedures. The Law on Administrative Offences of the Republic of Latvia stipulates that the customs authorities have the right to take appropriate action if it is necessary to confiscate the items listed. In accordance with article 201 of the Code of Administrative Offences, the confiscation of strategic goods shall be punishable in case of violation of the regulations governing their import, export, movement and transit.", "Financial assistance and support", "Export credit guarantees issued by the Republic of Latvia are governed by Regulation of the Cabinet of Ministers No. 436 of 12 May 2009, namely, the Regulation on Short-Term Export Credit Guarantees, which is administered by the Latvian Guarantee Agency. The Latvian Guarantee Agency is duly aware of the restrictive measures currently in place and takes due account of the relevant provisions, including, inter alia, those concerning the Islamic Republic of Iran, when deciding to provide financial support for trade.", "There is no information on current commitments for grants, financial assistance or concessional loans to the Islamic Republic of Iran. If such an application is made, the competent authorities of the Republic of Latvia will fully comply with their due diligence obligations." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目14(e)", "社会和人权问题：联合国难民事务高级专员", "阿塞拜疆^(*) 和卢旺达：决定草案", "扩大联合国难民事务高级专员方案执行委员会", "经济及社会理事会，回顾大会1957年11月26日关于请理事会设立联合国难民事务高级专员方案执行委员会的第1166(XII)号决议，以及其后关于增加执行委员会成员的各项大会决议：", "(a) 注意到2011年3月1日阿塞拜疆常驻联合国代表给秘书长的信[1] 和2011年7月11日卢旺达共和国常驻日内瓦联合国办事处及其他国际机构代表团临时代办给经济及社会理事会主席的信[2] 中所载关于扩大联合国难民事务高级专员方案执行委员会成员数目的请求；", "(b) 建议大会在其第六十六届会议上就将执行委员会成员数目从八十五个增加到八十七个国家的问题作出决定。", "[1] ^(*) 依照经济及社会理事会议事规则第72条的规定。", "E/2011/75。", "[2] E/2011/130。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 14 (e)", "Social and human rights questions: United Nations High Commissioner for Refugees", "Azerbaijan* and Rwanda: draft decision", "Enlargement of the Executive Committee of the Programme of the United Nations High Commissioner for Refugees", "The Economic and Social Council, recalling General Assembly resolution 1166 (XII) of 26 November 1957, in which the Assembly requested the Council to establish the Executive Committee of the Programme of the United Nations High Commissioner for Refugees, as well as subsequent Assembly resolutions by which the membership of the Executive Committee was increased:", "(a) Takes note of the requests to enlarge the membership of the Executive Committee of the Programme of the United Nations High Commissioner for Refugees contained in the letter dated 1 March 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary-General[1] and the letter dated 11 July 2011 from the Chargé d’affaires a.i. of the Permanent Mission of the Republic of Rwanda to the United Nations Office and other international organs in Geneva addressed to the President of the Economic and Social Council;[2]", "(b) Recommends that the General Assembly, at its sixty-sixth session, decide on the question of enlarging the membership of the Executive Committee from eighty-five to eighty-seven States.", "[1] * In accordance with rule 72 of the rules of procedure of the Economic and Social Council.", "E/2011/75.", "[2] E/2011/130." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 14 (e)", "Social and human rights questions: United Nations High Commissioner for Refugees", "Azerbaijan^ and Rwanda: draft decision", "Enlargement of the Executive Committee of the Programme of the United Nations High Commissioner for Refugees", "The Economic and Social Council, recalling General Assembly resolution 1166 (XII) of 26 November 1957, in which the Assembly requested the Council to establish the Executive Committee of the Programme of the United Nations High Commissioner for Refugees, and subsequent Assembly resolutions on increasing the membership of the Executive Committee:", "(a) Took note of the requests to enlarge the membership of the Executive Committee of the Programme of the United Nations High Commissioner for Refugees contained in the letter dated 1 March 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary-General and the letter dated 11 July 2011 from the Chargé d ' affaires a.i. of the Permanent Mission of the Republic of Rwanda to the United Nations Office at Geneva and other international bodies addressed to the President of the Economic and Social Council;", "(b) Recommended that the General Assembly, at its sixty-sixth session, decide on the question of enlarging the membership of the Executive Committee from eighty-five to eighty-seven States.", "[1](*) In accordance with rule 72 of the rules of procedure of the Economic and Social Council.", "E/2011/75.", "[2] E/2011/130." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目12", "非政府组织", "法国：决定草案", "非政府组织叙利亚媒体和言论自由中心关于取得经济及社会理事会咨商地位的申请", "经济及社会理事会决定给予非政府组织叙利亚媒体和言论自由中心特别咨商地位。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "France: draft decision", "Application of the non-governmental organization Syrian Center for Media and Freedom of Expression for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization Syrian Center for Media and Freedom of Expression." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "France: draft decision", "Application of the non-governmental organization Syrian Centre for Media and Freedom of Expression for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization Syrian Centre for Media and Freedom of Expression." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目12", "非政府组织", "比利时：决定草案", "非政府组织国际男女同性恋协会关于取得经济及社会理事会咨商地位的申请", "经济及社会理事会决定给予非政府组织国际男女同性恋协会特别咨商地位。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "Belgium: draft decision", "Application of the non-governmental organization International Lesbian and Gay Association for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization International Lesbian and Gay Association." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "Belgium: draft decision", "Application of the non-governmental organization International Lesbian and Gay Association for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization International Lesbian and Gay Association." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目12", "非政府组织", "美利坚合众国：决定草案", "非政府组织国际选举制度基金会申请经济及社会理事会咨商地位", "经济及社会理事会决定给予非政府组织国际选举制度基金会特别咨商 地位。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "United States of America: draft decision", "Application of the non-governmental organization International Foundation for Electoral Systems for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization International Foundation for Electoral Systems." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 12", "Non-governmental organizations", "United States of America: draft decision", "Application of the non-governmental organization International Foundation for Electoral Systems for consultative status with the Economic and Social Council", "The Economic and Social Council decides to grant special consultative status to the non-governmental organization International Foundation for Electoral Systems." ]

[ "主席： 维蒂希先生 (德国) \n 成员： 波斯尼亚和黑塞哥维那 乔拉科维奇女士 \n 巴西 维奥蒂夫人 \n 中国 王民先生 \n 哥伦比亚 奥索里奥先生 \n 法国 阿罗德先生 \n 加蓬 蒙加拉·穆索奇先生 \n\t印度\t哈迪普·辛格·普里先生\n 黎巴嫩 齐亚德女士 \n 尼日利亚 奥格武夫人 \n 葡萄牙 莫赖斯·卡布拉尔先生\n 俄罗斯联邦 茹科夫先生 \n 南非 拉海尔先生 \n 大不列颠及北爱尔兰联合王国 泰瑟姆先生 \n 美利坚合众国 赖斯女士", "议程项目", "科特迪瓦局势", "秘书长关于联合国科特迪瓦行动的第二十八次报告(S/2011/387)", "上午10时10分开会。", "通过议程", "议程通过。", "科特迪瓦局势", "秘书长关于联合国科特迪瓦行动的第二十八次报告(S/2011/387)", "主席(以英语发言)：按照安理会暂行议事规则第37条，我邀请科特迪瓦代表参加本次会议。", "就这样决定。", "按照安理会暂行议事规则第39条，我邀请秘书长特别代表兼联合国科特迪瓦行动负责人崔英镇先生参加本次会议。", "就这样决定。", "安全理事会现在开始审议其议程上的项目。", "我谨提请安理会成员注意文件S/2011/387，其中载有秘书长关于联合国科特迪瓦行动的第二十八次报告。", "我现在请崔英镇先生发言。", "崔先生(以英语发言)：科特迪瓦人民在选举后危机期间表现出了顽强不屈的意志。在国际社会的帮助下，科特迪瓦历史上的一个痛苦篇章现已结束。同时，一个充满多重挑战的新篇章已经开启。", "对于瓦塔拉总统领导的科特迪瓦政府和国际社会来说，目前存在一个非常有利的机会之窗。现在正努力执行下列四大危机后任务：恢复法律和秩序、实现民族和解、举行议会选举和确保经济恢复。", "第一，该国南部恢复法律和秩序至关重要。目前，科特迪瓦共和军正在一些宪兵和警察的协助下，负责维持安全环境。尽管在阿比让的约普贡区，以及在该国西部，各种挑战仍然存在，但总的来说，前亲巴博武装分子和支持者不可能对法律和秩序发起实质性挑战。", "第二，关于民族和解，此项工作得益于以容忍、非暴力和妥协为特征的根深蒂固的科特迪瓦政治文化。对话、真相与和解委员会主席的任命和巴博先生支持者的瓦解对于该国实现和解来说是个好兆头。", "第三，议会选举计划于年底前举行。随着独立选举委员会主席 优素福·巴卡约科先生于上月底开始工作，选举筹备工作已经开始。然而，在科特迪瓦各行为体考虑制定一项包括增加国民议会席位以及将现已达到成人年龄的人列入选民名单等有些雄心勃勃的议会选举计划时，选举管理机构必须作出强有力的承诺，以应对在今年年底前举行选举的挑战。不言而喻，联合国科特迪瓦行动(联科行动)与国际社会一道随时准备协助选举委员会。", "第四，关于该国的经济恢复，尽管存在某些关切，但多数专家对科特迪瓦经济出现良好的恢复态势持乐观看法，因为科特迪瓦人民富于智慧，科特迪瓦农业部门基础稳固，包括布雷顿森林机构在内的国际社会愿意与瓦塔拉总统领导的政府合作。", "与这四项任务有关的所有这种努力似乎都正朝着正确方向推进。然而，该国各地必须迅速恢复法律和秩序，因为这是成功开展其他任务的先决条件。为此，必须提出建立国家安全结构(包括指挥和控制)的明确愿景。这将便于在全国各地有效部署警察和宪兵部队。而这反过来将便于军事人员重返军营。", "科特迪瓦当局正在竭尽全力，以加快在全国各地恢复法律和秩序的工作。7月7日任命包括军队、宪兵和警察在内的科特迪瓦安全结构所有最高指挥官是一个相当令人鼓舞的迹象。", "为配合科特迪瓦政府，联科行动在该国西部采取了两项保卫措施，因为我们在那里看到某种程度的安全缺陷。", "第一项措施涉及在西部设立联科行动8个新军营，包括在与利比里亚接壤的边境地区设立4个军营。鉴于加纳境内存在前亲巴博支持者，联科行动也已开始在阿比让-阿克拉公路干道沿线的阿博伊索开工修建一个军营。联科行动打算在月底以前完成该项目。一旦修建完成，九个军事营地将会得到加强。联科行动文职人员将与其来自联合国国家工作队的同事一道开展人权、法治、民政、儿童保护、两性平等和艾滋病毒/艾滋病等方面的工作。", "第二项保卫措施涉及修复西部若干省长和副省长办公室并为之配备设备。联科行动一直在同联合国建设和平支助办公室协商，争取由建设和平基金为该项目提供约500万美元资助。", "我们与瓦塔拉总统及其团队一样充满信心。他们在危机期间表现出令人瞩目的耐心和冷静，目前正从科特迪瓦人民的利益出发，夜以继日作出努力，以成功应对危机后挑战。", "主席(以英语发言)：我感谢崔先生的通报。", "我现在请科特迪瓦代表发言。", "邦巴先生(科特迪瓦)(以法语发言)：主席先生，首先我要转达我国代表团对你担任七月份安全理事会主席的祝贺。科特迪瓦代表团高兴地参加本次关于科特迪瓦局势的辩论会。本次会议表明，国际社会对我国极为关心。我国代表团借此机会祝贺秘书长提交文件S/2011/387所载的出色报告；该报告是我们讨论的基本文件。", "阿拉萨内·瓦塔拉先生阁下于5月21日在科特迪瓦政治首都亚穆苏克罗正式宣誓就职，从而正式被赋予作为科特迪瓦共和国总统的权力，表明科特迪瓦在经历10年军事和社会政治危机和5个月选举后危机之后正式恢复宪政秩序。据估计，选举后危机造成3 000人死亡。这些危机以前总统的被捕而告结束，因为他执意拒绝和平交出他在投票中失去的权力。", "今天,科特迪瓦正在逐步恢复正常生活。已组成了一个新政府，其中包括除前执政党科特迪瓦人民阵线(科人阵)以外的所有政治实体，科人阵拒绝参加。政府立刻开始了工作，并强调追求效力。在7月5日和6日举行的一次由国家元首亲自主持的政府研讨会上，政府提出了一个基于14个战略要点的行动框架(叫做“总统紧急方案”)，这些战略要点体现了我们面临的挑战。“总统紧急方案”将各部门为期六个月的短期行动计划整合成为一个总框架，政府各部部长都将提出自己的措施和最佳解决方案，解决遭受常年危机痛苦影响的人民群众的迫切需要。", "政府和联合国各特派团以及我国合作伙伴对我国总体局势所作的评估均指出，必须了解并迅速处理解决我们所面临的众多挑战，以免失去现有正常化进程形成的势头。必须在以下方面取得进展：稳定安全局势；解除武装，复员和重返社会(复员方案)；安全部门改革；民族和解；人道主义局势；人权状况；组织选举以及经济复苏。", "就稳定安全局势而言，我们基本上对某些领域确实取得进展感到高兴，特别是拆除所有非法检查站；完成重建警察和宪兵工作，尽管存在严重装备和物资问题；以及增加有联合国科特迪瓦行动(联科行动)部队参加的混合巡逻队，帮助让人民放心。", "然而，尽管取得了这种进展，但该国西部，主要是与利比亚接壤地区的局势继续令人严重关切。在那里发现有与亲巴博的前科特迪瓦国防与安全部队有关的民兵和雇佣军活动。在这方面，我国代表团欢迎安理会根据第1992(2011)号决议，决定提前于2011年9月30日从联合国利比里亚特派团向联科行动调拨三架武装直升机及相关人员。同样，我们对昨天在蒙罗维亚举行的马诺河联盟国家元首会议感到高兴，科特迪瓦总统阿拉萨内·瓦塔拉、利比里亚总统埃伦·约翰逊·瑟里夫和几内亚总统阿尔法·孔德均出席了会议。这三国领导人重申，他们希望更密切地合作，以加强次区域和平与安全。因此，我国代表团寻求联科行动和法国独角兽行动部队增加对科特迪瓦共和军(共和军)的努力的支持，以稳定安全局势，因为毫无疑问，掌控安全局势是成功实现整个局势正常化所需的其他目标的必要条件。", "关于复员方案，在共和军新军的旗帜下统一军队的目标现已成为现实。已经组织了一次讲习班，向新军官兵传授团结、凝聚力及共和品德价值观，以及尊重人权和国际人道主义法的原则。我们期望看到采取其他类似举措，灌输真正尊重国际人道主义法和人权的文化。现在已有11 000部队人员根据《瓦加杜古协议》整编为新军，其中包括8 700名前新生力量武装部队成员和2 300名与共和军有联系的人员。", "关于收缴武器，由于进程复杂，进展显得缓慢。但联科行动继续鼓励未经授权持有武器者自愿交出武器。我们高兴地看到，7月15日在约普贡有近100人通过特派团解除武装、复员和重返社会处组织的一项活动向联科行动交出轻武器、手榴弹和弹药。因此，我国代表团希望联科行动和我国合作伙伴继续支持解除武装、复员和重返社会方案，并且如秘书长的报告(S/2011/387)所示，支持制定一个适应新形势的新的解除武装、复员和重返社会方案。", "关于安全部门改革和维护法律与秩序，缺乏装备，尤其是手枪，严重影响警察和宪兵的工作效力，正如我所说，科特迪瓦警察和宪兵现已恢复充分运作。科特迪瓦维持法律与秩序部队仅有15支手枪，少得可怜。因此，我国代表团寻求第1572(2004)号决议所设委员会根据决议第8(e)段批准授权进口手枪，用以装备我国警察和宪兵人员。根据同样的道理，我们要求维持和平行动部尽快将联科行动收缴的科特迪瓦武器交还给我国内政部。我们理解，这种交还工作必须根据一项一致计划执行，其中包括登记和标识武器。", "有形司法基础设施状况令人严重关切。37家法院中，17家已经被洗劫一空；在33座监狱中，有23座遭到严重破坏。因此，我国代表团完全赞同报告所载建议的精神，即为司法部门制定和实施一项数年共享援助方案，以加强警察机构，司法机构和监狱系统，改进科特迪瓦国内诉诸法律的途径，以及初步紧急重建相关基础设施和设备供应，同时考虑到这些领域其他合作伙伴提供的援助。", "在民族和解方面，情况也在逐渐到位。按照部长理事会法令，建立了对话、真相与和解委员会基本框架。委员会主席、前总理夏尔·科南·班尼已开始同社会各阶层、各行业、甚至各族裔展开密集磋商。在这方面，我曾经目睹班尼先生上星期六在阿比让与前总统巴博家乡地区的传统领导人举行会晤。在那次会议上，本人曾同他们简单交谈。他们表示，他们相信班尼先生并对和解进程表示乐观。他们还说，和解进程已开始缓解他们所在地区的紧张局势。", "对班尼先生来说，重要的是科特迪瓦人民必须自己拥有这一进程，用他们的理性和我们共同的传统价值观完成这一进程。所以，他希望在举行了所有必要磋商之后，我们将展开一段时间的重大哀悼活动，以悼念所有亡者。按照我们的传统举行这种哀悼活动，将在一定程度上为通过对话查明真相铺平道路。不过，这项工作规模巨大，委员会主席没有最低估计成功所需资源、特别是财政资源方面存在的困难。委员会将派团前往南非、摩洛哥和卢旺达了解情况，以借鉴它们的经验。我国代表团寻求联科行动和委员会合作伙伴帮助解决专业知识、资金、能力建设方面问题，制定并资助一项通讯计划，并提供其他各种相关形式的支持。", "关于人道主义局势，在20万流离失所者和难民中，有6万已返回家园。现在还剩大约14万,主要集中在与利比里亚边境地区的难民营里。回返速度缓慢，因为缺乏充分手段，不能解决他们的需求。我们偶尔在个人的私人举措帮助下使整个群体遣返。在这方面，出生于利比里亚边境地区的科特迪瓦商务部部长达戈贝尔·班齐奥曾自己出钱，组织5 000名难民遣返。我国代表团寻求大幅度增加对科特迪瓦难民的国际援助，并赞同报告中提出的建议，即有必要支持建立一个国家人道主义协调机构，特别是用以确保需求评估统一和统一部分人道主义实体，以及实地后续工作。", "关于保健和卫生状况，我国代表团提醒安理会，在危机最严重的时刻，瓦塔拉总统针对人口中最受忽视的群体特别是妇女和儿童启动了一项免费的医疗保健方案。该方案自3月份以来一直在运作，每月要花费政府1 000万美元，相当于每月41亿非洲法郎。该方案以后将由一个可自我维持的医疗保险体系替代。此时此刻，我紧急请求所有合作伙伴支持这个有助于消除贫困的方案，并邀请慈善组织和主要慈善机构支持该举措。", "科特迪瓦的人权局势植根于前总统巴博政权掌权10年中推行的有罪不罚文化。同样重要的是要指出，正是在该政权统治下，2000年10月在警察学校附近被逮捕和拘押的女性抗议者遭到了执法人员的强奸。当时，该政权的一名高层人士完全无动于衷地说了一句印入所有科特迪瓦人民悲哀记忆的一句话。他说，“这些人就不应上街示威。”", "也是在该政权统治下，一名警察在公开场合残忍杀害了一位著名的外国记者。该警察被为支持他而成立的俱尔部拥戴为英雄，还印制了带有他形象的T恤衫。我还要回顾，在该政权下，一名研究咖啡和可可产业的调查记者失踪，仍然没有下落。人们最后一次见到他时，他与亲近前第一夫人的一个人在一起。", "在前政权下，过去10年中人们遭受的所有暴行和严重的侵犯人权行为都是稀松平常的事情。我们不难理解为什么科特迪瓦选举后5个月的危机中会有3 000名受害者。", "我指出并重申，瓦塔拉总统及其政府继承了一个百废待兴、有罪不罚的无政府国家。这就是为什么我们在现政府中成立了人权和民权部，其主要目标是：第一，根据国际规范来改革安全部门；第二，确保人权和民权被视为一项民事义务，并培育宽恕的文化，以便境内流离失所者和难民可以重返家园；第三，根据《科特迪瓦民事诉讼法》，拓宽诉诸法院的渠道；以及第四，使国家立法与国际规范接轨。", "关于被软禁的前政权政客的拘押条件，我可以向安理会保证，他们绝没有受到不人道或有辱尊严的待遇。在科特迪瓦停留2周后我于周六返回。在此期间，我会见了司法部长、人权部长和内务部长。提出的指控完全是基于无效或站不住脚的证据。在我离开科特迪瓦时，人权部长访问了其中一个拘留中心。", "我借此机会再次重申，共和国总统阿拉萨内·瓦塔拉先生阁下决心果断努力，确保科特迪瓦尊重人权，建立并加强一个基于尊重法治和透明度并将打击直至杜绝有罪不罚现象的国家。因此，我国代表团愿请求联科行动能大力支持政府促进尊重人权文化的努力。", "关于立法选举，我们现在必须按照《瓦加杜古政治协议》的规定，进入选举进程特别是立法选举的第二阶段。在这方面，我国政府寻求联科行动的支助和后勤及技术援助。选举进程是整个进程中的一部分，我国代表团请求联合国继续发挥认证的作用，当然要考虑到立法选举的特点。没有理由不维持一个显然十分有价值、使我们得以确保尊重人民的进程。因此，我们重申并坚持联科行动继续发挥认证作用。", "此外，独立选举委员会的组成当然也将做出调整，以考虑到最近的变化。在这方面，政府也希望它继续保持代表性并包容各方，以保证选举进程具有公信力。我们愿请求联科行动像在总统选举中那样，继续支持整个进程的各个阶段。", "关于经济局势，科特迪瓦经济在选举后阶段脱离了正轨，但是，保留住了坚实的基础，并显示出恢复的潜力，只要开始重建就可以起飞。但是从短期来说，特别是为青年和妇女创造创收的工作机会对于确保和谐过渡到能够带来显著增长的农业和基础设施项目将是不可或缺的。我国代表团希望通过联科行动的速效项目来增加资金，以稳定这种过渡。", "最后，从建设和平的角度出发，我国政府欣然接受了摆在我们面前的秘书长报告中所载的大多数相关建议。报告强调国际社会急需继续帮助科特迪瓦。我们必须避免可能削弱这些努力以及付出如此高昂代价才取得的成就的各种障碍。", "在我返回前在阿比让与阿拉萨内·瓦塔拉总统的会晤中，总统请我向安理会成员转达在未来12个月中科特迪瓦对联科行动和独角兽行动寄予的希望。科特迪瓦需要一个实质性和强有力的维和行动，以巩固它虽已恢复但仍脆弱不堪的和平。", "科特迪瓦将尽一切可能努力建设自身的能力，以便尽快充分保障自身的安全，但是当前我们必须承认，没有联合国的帮助，我们是无法取得成功的。这就是为什么必须延长联科行动和独角兽行动的任务期限。这种支持与援助在政府落实其使我国在今后12个月中迈入前进轨道的目标时是不可或缺的。`", "主席(以英语发言)：我的名单上没有其他发言者了。我现在请安理会成员进行非正式磋商，以继续讨论该问题。", "上午10时40分散会。" ]

[ "President:\tMr. Wittig\t(Germany) \nMembers:\tBosnia and Herzegovina\tMs. Čolaković\n Brazil Mrs. Viotti \n China Mr. Wang Min \n Colombia Mr. Osorio \n France Mr. Araud \n\tGabon\tMr. MoungaraMoussotsi\n\tIndia\tMr. Hardeep SinghPuri\n Lebanon Ms. Ziade \n Nigeria Mrs. Ogwu \n Portugal Mr. Moraes Cabral \n Russian Federation Mr. Zhukov \n South Africa Mr. Laher \n\tUnited Kingdom of Great Britain andNorthern Ireland\tMr. Tatham\n United States of America Ms. Rice", "Agenda", "The situation in Côte d’Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d’Ivoire (S/2011/387)", "The meeting was called to order at 10.10 a.m.", "Adoption of the agenda", "The agenda was adopted.", "The situation in Côte d’Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d’Ivoire (S/2011/387)", "The President: Under rule 37 of the Council’s provisional rules of procedure, I invite the representative of Côte d’Ivoire to participate in this meeting.", "In accordance with rule 39 of the Council’s provisional rules of procedure, I invite Mr. Choi Young-jin, Special Representative of the Secretary‑General and head of the United Nations Operation in Côte d’Ivoire, to participate in this meeting.", "The Security Council will now begin its consideration of the item on its agenda.", "I wish to draw the attention of Council members to document S/2011/387, which contains the twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d’Ivoire.", "I now give the floor to Mr. Choi Young-jin.", "Mr. Choi: The Ivorian people demonstrated unfailing determination during the post-electoral crisis. With the contribution of the international community, a painful chapter in the history of Côte d’Ivoire has now been closed. At the same time, a new chapter, with multiple challenges, has been opened.", "There exists a very fortunate window of opportunity for the Ouattara Administration and the international community. Efforts are now under way to address the following four major post-crisis tasks: the restoration of law and order; national reconciliation; the holding of legislative elections; and economic recovery.", "First, the restoration of law and order in the south of the country is of primordial importance. Currently, the Forces républicaines de Côte d’Ivoire provide the security environment, with some gendarmerie and police assistance. Although challenges remain in the Yopougon district of Abidjan, as well as in the western part of the country, by and large, the former pro-Gbagbo armed elements and supporters are not likely to mount a substantial challenge to law and order.", "Secondly, with regard to national reconciliation, it benefits from the deep-rooted Ivorian political culture, characterized by tolerance, non-violence and compromise. The appointment of the Chair of the Dialogue, Truth and Reconciliation Commission and the meltdown of Mr. Gbagbo’s supporters augur well for the achievement of reconciliation in the country.", "Thirdly, the legislative elections are planned to take place before the end of the year. Preparations began as the Independent Electoral Commission Chair, Mr. Youssouf Bakayoko, started work towards the end of last month. However, as Ivorian protagonists envisage a somewhat ambitious plan for the legislative elections, including an increase in National Assembly seats and the inclusion of people who have now attained the age of majority on the voters list, a strong commitment by the electoral management body is necessary to meet the challenge of holding the elections before the year is out. It goes without saying that the United Nations Operation in Côte d’Ivoire (UNOCI), with the international community, is ever ready to assist the Electoral Commission.", "Fourthly, with regard to the country’s economic recovery, despite some concerns, most experts bank their optimistic views for a positive economic recovery in Côte d’Ivoire on the resourcefulness of the Ivorian people, the fundamental robustness of the Ivorian agricultural sector and the willingness of the international community, including the Bretton Woods institutions, to cooperate with the Ouattara Administration.", "All such efforts related to those four tasks appear to be moving in the right direction. However, there is a need for a rapid restoration of law and order throughout the country, as that is the precondition for the other tasks to be carried out successfully. For that, a clear vision for the establishment of a national security structure, including command and control, has to be developed. That would allow for the effective deployment of police and gendarmerie elements throughout the country, which, in turn, would allow the military elements to be rolled back to their barracks.", "The Ivorian authorities are doing their best to expedite the restoration of law and order throughout the country. The appointment, on 7 July, of all top commanders of the Ivoirian security structure, including the military, the gendarmerie and the police, was quite an encouraging sign.", "To accompany the Ivorian Government, UNOCI has taken two safeguard measures in the western part of the country, where we see a certain degree of security deficit.", "The first measure relates to the establishment of eight new UNOCI military camps in the west, including four in the border area with Liberia. UNOCI has also begun work to set up a military camp in Aboisso, along the Abidjan-Accra axis road, given the presence of former pro-Gbagbo supporters in Ghana. UNOCI intends to complete that project before the end of the month. Once completed, the nine military camps will be reinforced, with UNOCI civilian staff working on human rights, the rule of law, civil affairs, child protection, gender equality and HIV/AIDS with their colleagues from the United Nations country team.", "The second safeguard measure relates to the rehabilitation and equipment of a number of prefect and sub-prefect offices in the west. UNOCI has been consulting with the United Nations Peacebuilding Office for the Peacebuilding Fund to finance the project with around $5 million dollars.", "We feel confident, as President Ouattara and his team, who showed remarkable patience and sangfroid during the crisis, are working day and night to successfully meet the post-crisis challenges for the benefit of the Ivorian people.", "The President: I thank Mr. Choi for his briefing.", "I now give the floor to the representative of Côte d’Ivoire.", "Mr. Bamba (Côte d’Ivoire) (spoke in French): At the outset, I would like to convey my delegation’s congratulations to you, Mr. President, on your assumption of the presidency of the Security Council for the month of July. The Ivorian delegation is pleased to participate in this debate on the situation in Côte d’Ivoire, which demonstrates the international community’s great interest in my country. My delegation takes this opportunity to congratulate the Secretary-General on the excellent report contained in document S/2011/387, which serves as the basic document for our discussions.", "The official investiture on 21 May in Yamoussoukro, the political capital of Côte d’Ivoire, of His Excellency Mr. Alassane Ouattara, which formally gave him full powers as President of the Republic of Côte d’Ivoire, represents the official return to constitutional order in Côte d’Ivoire after 10 years of military and socio-political crisis and five months of post-electoral crisis, whose human cost was estimated at 3,000 deaths. Those crises ended with the arrest of the former President, who had obstinately refused to peacefully give up the power that he had lost in the vote.", "Today Côte d’Ivoire is gradually returning to normal life. A new Government has been formed that includes all political entities with the exception of the Front populaire ivoirien, the party formerly in power, which has refused to participate. The Government set to work immediately, emphasizing the search for effectiveness. During a governmental seminar held on 5 and 6 July and chaired by the head of State himself, the Government laid out a framework for action based on 14 strategic points, which also represent our challenges. The President’s programme d’urgence, as it is called, unites six-month short-term plans of action for each sector in one overall framework, to which all Government ministers will contribute their responses and optimal solutions to the immediate needs of the people, who have been so painfully affected by these years of crisis.", "The Government’s assessment of the country’s general situation and those conducted by the various United Nations missions and our partners all point to the necessity for understanding the numerous challenges that confront us and that must be tackled speedily in order not to lose the momentum gained from the current normalization. Progress must be made on the following fronts: stabilizing the security situation; disarmament, demobilization and reintegration (DDR); security sector reform; national reconciliation; the humanitarian situation; the human rights situation; organizing elections; and economic recovery.", "As far as stabilizing the security situation is concerned, generally speaking, we can be pleased with some areas of genuine progress, particularly removing all lawless checkpoints; the complete re-establishment of the police and gendarmerie, despite enormous equipment and material problems; and an increase in mixed patrols that include forces from the United Nations Operation in Côte d’Ivoire (UNOCI), helping to reassure the people.", "However, despite that progress, serious concerns persist over the situation in the country’s western region, mainly in the area bordering Liberia, where activity has been observed by militias and mercenaries associated with the pro-Gbagbo former Forces de defense et de sécurité. In that regard, my delegation welcomes the Council’s decision, based on resolution 1992 (2011), which brings forward to 30 September 2011 the redeployment to UNOCI of three armed helicopters and their teams from the United Nations Mission in Liberia. Similarly, we are pleased with the summit of Mano River Union heads of State held yesterday in Monrovia, which was attended by Presidents Alassane Ouattara of Côte d’Ivoire, Ellen Johnson-Sirleaf of Liberia and Alpha Condé of Guinea. The leaders reiterated their desire for closer cooperation in order to strengthen peace and security in the subregion. My delegation therefore seeks increased support from UNOCI and the French Operation Licorne force for the efforts by the Forces républicaines de Côte d’Ivoire (FRCI) to stabilize the security situation, since there is no doubt that command of the security situation is essential to successfully achieving the other goals necessary to normalizing the situation as a whole.", "With regard to DDR, the reunification of the army under the single umbrella of the New Army of the FRCI is now a reality. A workshop has been organized to instruct the New Army’s personnel and soldiers in the values of unity, cohesion, republican morality and the principles of respect for human rights and international humanitarian law. We expect to see other initiatives of this type, aimed at inculcating a genuine culture of respect for international humanitarian law and human rights. We have seen the integration of 11,000 troops into the New Army, of whom 8,700 are former members of the Forces armées des Forces nouvelles, in accordance with the Ouagadougou Agreements, and 2,300 associated with the FRCI.", "With regard to disarmament, progress appears slow, due to the complexity of the process. However, UNOCI continues to encourage the voluntary surrender of weapons held by unauthorized persons. We were very pleased to see that, in Yopougon on 15 July, about 100 people surrendered light weapons, grenades and ammunition to UNOCI under an operation conducted by the Mission’s division for disarmament, demobilization and reintegration. My delegation therefore hopes for continued support from UNOCI and our partners for the DDR programme, and certainly, as indicated in the Secretary-General’s report (S/2011/387), for the establishment of a new DDR programme adapted to the new situation.", "With regard to security sector reform and the maintenance of law and order, the lack of equipment, particularly handguns, is seriously affecting the effectiveness of the police and gendarmerie, which, as I mentioned, are now fully functioning again. The entire handgun arsenal for the forces of law and order in Côte d’Ivoire stands at the ridiculous total of 15 pistols. That is why my delegation is seeking approval from the Committee established pursuant to resolution 1572 (2004), in accordance with paragraph 8 (e) that resolution, for the authorization to import handguns to quip our national police and gendarmerie personnel. By the same reasoning, we ask that the Department of Peacekeeping Operations speed up the return to the Ministry of the Interior of arms collected by UNOCI from Ivorian weapons stocks. It is understood that such returns must be based on a coherent plan that includes the registering and marking of the weapons.", "The situation regarding the physical infrastructure of the judiciary is a serious concern. Seventeen of 37 courts were looted and 23 out of 33 prisons vandalized. That is why my delegation fully subscribes to the spirit of the report’s recommendation for setting up and implementing a multi-year shared aid programme for the justice sector with the aim of strengthening police services, the judicial apparatus and the penal system, and improving access to justice in Côte d’Ivoire, as well as for initial emergency reconstruction of the relevant infrastructure and equipment supplies, taking into account the assistance given by other partners in those areas.", "In the area of national reconciliation things are also gradually falling into place. The basic framework of the Dialogue, Truth and Reconciliation Commission has been established by ministerial council decree. The Chair of the Commission, former Prime Minister Charles Konan Banny, has begun intensive consultations at all social, professional and even ethnic levels. In that context, I was able to be witness to a meeting held last Saturday in Abidjan between Mr. Banny and the traditional heads of former President Gbagbo’s native region. I myself was able to talk briefly with them at that meeting, where they expressed their confidence in Mr. Banny and their optimism about the reconciliation process, which, they said, was already beginning to ease tensions in their region.", "For Mr. Banny, it is important that the Ivorian people themselves take ownership of the process, bringing to it their sensibilities and our shared traditional values. That is why he hopes that, after all necessary consultations have been held, we will observe a major period of mourning in order to honour the memory of all those who perished. Such mourning, grounded in our traditions, will to some degree prepare the way for fostering truth in dialogue. However, the Chair of the Commission is not minimizing the difficulties that are arising concerning the availability of the means, particularly the financial means, needed to achieve the success of an effort of such scope. The Commission will be undertaking information missions in South Africa, Morocco and Rwanda to take advantage of their experiences. My delegation seeks the help of UNOCI and the Commission’s partners in the areas of expertise, financing, capacity-building, devising and financing of a communication plan and every other relevant form of support.", "With regard to the humanitarian situation, of the 200,000 displaced persons and refugees, 60,000 have returned to their homes. Some 140,000 remain, mainly in refugee camps on the Liberian border. The pace of return is slow, due to the lack of sufficient means to address their needs. We have occasionally been helped by individual private initiatives in repatriating whole groups. In that connection, Côte d’Ivoire’s Minister of Commerce, Mr. Dagobert Banzio, who is a native of the Liberian border region, organized the repatriation of 5,000 refugees at his own expense. My delegation is seeking a substantial increase in international assistance for aid to Ivorian refugees, and agrees with the recommendation in the report indicating the necessity for support for the establishment of a national humanitarian coordination structure, which would, in particular, ensure a unified assessment of needs and of the deployment of humanitarian entities, as well as of follow-up to efforts on the ground.", "With regard to the health and sanitation situation, my delegation reminds the Council that during the most turbulent time of the crisis, President Ouattara launched a free health care programme for the most neglected sector of the population, in particular women and children. This programme has been operating since March and has cost the Government $10 million per month, equivalent to 4.1 billion CFA francs per month. This programme will later be taken over by a self-sustaining medical coverage system. I here and now make an urgent request to all partners to support this programme, which helps in the fight against poverty, and I invite charitable organizations and the major philanthropic organizations to support this initiative.", "The human rights situation in Côte d’Ivoire is rooted in the culture of impunity that marked the 10 years of power of the regime of former President Gbagbo. It is also important to note that it was under that regime that female protestors who were arrested and detained in October 2000 in areas surrounding the police academy were raped by law enforcement personnel. At that time, a high-ranking member of the regime made a comment completely lacking in compassion that remains a sad part of the collective Ivoirian memory. He said, “They should have not gone out to demonstrate”.", "It was also under that regime that a famous foreign journalist was killed in cold blood in public by a policeman, who was hailed as a hero by a club formed in his support and on T-shirts bearing his image. I also recall that it was under that regime that an investigative journalist researching the coffee and cocoa industry disappeared and has still not been found. He was last seen with a person who was close to the former First Lady.", "With regard to the former regime, all of the atrocities and massive human rights violations suffered by the population over the past 10 years were in the normal order of things. We can easily understand why there were 3,000 victims during the five months of post-electoral crisis in Côte d’Ivoire.", "I note and reaffirm that President Ouattara and his Government have inherited a lawless State of impunity where everything must be reconstructed. That is why we created the Ministry for Human Rights and Civil Rights within the current Government, whose goals are, among others, first, to reform the security sector in line with international norms; secondly, ensure that human and civil rights are perceived as a civic duty and instil a culture of forgiveness so that the internally displaced and refugees may return to their homes; thirdly, make the courts more accessible pursuant to the Ivoirian Code of Civil Procedure; and fourthly, align national legislation with international norms.", "With respect to the detention conditions for politicians of the former regime who are under house arrest, I can assure the Council that they are in no way being treated in an inhuman or degrading fashion. I returned from Côte d’Ivoire on Saturday after having spent two weeks there. During that time, I met with the Minister of Justice, the Minister of Human Rights and the Minister of the Interior. The allegations that have been made are based on no valid or irrefutable evidence. The Minister of Human Rights visited one of the detention centres as I was leaving Côte d’Ivoire.", "I take this opportunity to reaffirm once again the determination of the President of the Republic, His Excellency Mr. Alassane Ouattara, to work resolutely to ensure respect for human rights in Côte d’Ivoire and the emergence and strengthening of a State based on respect for the rule of law and transparency and that will fight to end impunity. My delegation would therefore ask that the Government’s efforts to promote a culture that respects human rights be substantially supported by UNOCI.", "With regard to legislative elections, we must now move to the second phase of the electoral process, in particular for the legislative elections, as provided for in the Ouagadougou Political Agreement. In that respect, my Government seeks the support and logistical and technical aid of UNOCI. The electoral process is part of a whole, and my delegation requests that the certification role of the United Nations be maintained, taking into account, of course, the specificities of the legislative elections. There is no reason why a demonstrably valuable process that has enabled us to affirm the respect of the people should not be maintained. Therefore, we reiterate and insist on the ongoing certification role of UNOCI.", "Furthermore, the composition of the Independent Electoral Commission will of course be adapted to take recent changes into account. There too, the Government wishes it to remain representative and inclusive in order to guarantee the credibility of the electoral process. We would ask UNOCI to continue to support the entire process, as it did during the presidential elections, at all stages.", "With regard to the economic situation, the economy of Côte d’Ivoire was derailed in the post-electoral phase, but it retains a firm foundation and shows potential for recovery that only requires reconstruction to begin in order to take off. In the short-term, however, the creation of revenue-generating jobs, particularly for young people and women, will be indispensable to ensuring harmonious transition towards major agro-industry and infrastructure projects that can bring major growth. My delegation hopes for increased funding through UNOCI’s quick-impact project in order to stabilize that transition.", "In conclusion, from its perspective of building peace, my Government has welcomed the majority of the relevant recommendations contained in the report of the Secretary-General before us. The report stresses the compelling need for the international community to continue to help Côte d’Ivoire. We must avoid obstacles that could undermine the efforts and everything that has been achieved at such a high cost.", "During my audience with President Alassane Ouattara in Abidjan before I returned, the President asked me to convey to the members of the Council the hopes that Côte d’Ivoire entertains with respect to UNOCI and Operation Licorne over the next 12 months. Côte d’Ivoire requires a substantial and robust peacekeeping operation to consolidate its restored yet fragile peace.", "Côte d’Ivoire will do everything possible to build its own capacities to fully guarantee its own security as soon as possible, but for the moment we must recognize that we will not succeed without the help of the United Nations. That is why the mandates of UNOCI and of Operation Licorne must be extended. That support and assistance are indispensable as the Government implements its goal of putting the country back onto the path of progress for the next 12 months.", "The President: There are no further speakers inscribed on my list. I now invite Council members to informal consultations to continue our discussion on the subject.", "The meeting rose at 10.40 a.m." ]

[ "Chairman: Mr. Wittig (Germany) Members: Bosnia and Herzegovina, Ms. Jolakovic, Brazil, Mrs. Viotti, China, Mr. Wang Min, Colombia, Mr. Osorio, France, Mr. Araud, Gabon, Mr. Mongara Musochi, India, Mr. Hardeep Singh Puri, Lebanon, Ms. Ziad, Nigeria, Mrs. Moraes Cabral, Russian Federation, Mr. Zhukov, South Africa, Mr. Lahel, United Kingdom of Great Britain and Northern Ireland, Ms. Rice, United States of America", "Agenda", "The situation in Côte d'Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d ' Ivoire (S/2011/387)", "The meeting was called to order at 10.10 a.m.", "Adoption of the agenda", "The agenda was adopted.", "The situation in Côte d'Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d ' Ivoire (S/2011/387)", "The President: In accordance with rule 37 of the Council's provisional rules of procedure, I invite the representative of Côte d'Ivoire to participate in this meeting.", "It was so decided.", "In accordance with rule 39 of the Council's provisional rules of procedure, I invite Mr. Choi Young-jin, Special Representative of the Secretary-General and Head of the United Nations Operation in Côte d'Ivoire, to participate in this meeting.", "It was so decided.", "The Security Council will now begin its consideration of the item on its agenda.", "I should like to draw the attention of the members of the Council to document S/2011/387, which contains the twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d ' Ivoire.", "I now give the floor to Mr. Choi Young-jin.", "Mr. Choi: The people of Côte d'Ivoire demonstrated their steadfast will during the post-electoral crisis. With the help of the international community, a painful chapter in the history of Côte d'Ivoire has now come to an end. At the same time, a new chapter of multiple challenges has begun.", "There is a very favourable window of opportunity for the Government of Côte d ' Ivoire, led by President Ouattara, and for the international community. Efforts are under way to implement four major post-crisis tasks: restoring law and order, achieving national reconciliation, holding parliamentary elections and ensuring economic recovery.", "First, the restoration of law and order in the south of the country is crucial. The Forces républicaines de Côte d ' Ivoire (FRCI), assisted by a number of gendarmes and police, is currently responsible for maintaining a secure environment. While challenges remain in the Yopougon district of Abidjan and in the western part of the country, it is generally unlikely that former pro-Gbagbo armed elements and supporters will be able to pose substantive challenges to law and order.", "Secondly, with regard to national reconciliation, this work has benefited from a deep-rooted Ivorian political culture characterized by tolerance, non-violence and compromise. The appointment of the Chairman of the Dialogue, Truth and Reconciliation Commission and the collapse of Mr. Gbagbo ' s supporters augur well for reconciliation in the country.", "Thirdly, parliamentary elections are scheduled to take place before the end of the year. Preparations for the elections have begun with the commencement of work at the end of last month by the Chairman of the Independent Electoral Commission, Mr. Youssouf Bakayoko. However, when Côte d ' Ivoire ' s actors consider developing an ambitious plan for parliamentary elections, including an increase in the number of seats in the National Assembly and the inclusion of those now of adult age on the voters ' list, the electoral management body must make a strong commitment to meeting the challenges of holding elections by the end of this year. It goes without saying that the United Nations Operation in Côte d ' Ivoire (UNOCI) stands ready, together with the international community, to assist the Electoral Commission.", "Fourthly, with regard to the economic recovery of the country, despite some concerns, most experts are optimistic about the positive economic recovery in Côte d'Ivoire, given the wisdom of the Ivorian people, the solid foundations of the Ivorian agricultural sector and the willingness of the international community, including the Bretton Woods institutions, to cooperate with the Government of President Ouattara.", "All such efforts related to the four mandates appear to be moving in the right direction. However, the rapid restoration of law and order throughout the country is a prerequisite for the successful implementation of other tasks. To that end, a clear vision for the establishment of national security structures, including command and control, must be put forward. This will facilitate the effective deployment of police and gendarmerie units throughout the country. This, in turn, will facilitate the return of military personnel to military barracks.", "The Ivorian authorities are doing their utmost to accelerate the restoration of law and order throughout the country. The appointment on 7 July of all top commanders of the Ivorian security structure, including the army, gendarmerie and police, is a very encouraging sign.", "In cooperation with the Government of Côte d ' Ivoire, UNOCI undertook two security measures in the western part of the country, where we saw some degree of security deficiency.", "The first involved the establishment of eight new UNOCI military barracks in the west, including four in the border area with Liberia. In view of the presence of former pro-Gbagbo supporters in Ghana, UNOCI has also begun construction of a military camp in Aboisso, along the Abidjan-Accra main road. UNOCI intends to complete the project by the end of the month. Nine military camps will be strengthened once construction is completed. UNOCI civilian staff will work with their colleagues from the United Nations country team on human rights, rule of law, civil affairs, child protection, gender and HIV/AIDS.", "The second security measure involved the rehabilitation and equipping of the offices of several western governors and deputy governors. UNOCI has been consulting with the United Nations Peacebuilding Support Office to secure approximately $5 million from the Peacebuilding Fund for the project.", "We share the confidence of President Ouattara and his team. They have shown remarkable patience and calm during the crisis and are now working day and night, in the interest of the Ivorian people, to successfully address post-crisis challenges.", "The President: I thank Mr. Choi for his briefing.", "I now give the floor to the representative of Côte d ' Ivoire.", "Mr. Bamba (Côte d'Ivoire) (spoke in French): At the outset, I would like to convey my delegation's congratulations to you, Sir, on your assumption of the presidency of the Security Council for the month of July. The delegation of Côte d'Ivoire is pleased to participate in this debate on the situation in Côte d'Ivoire. This meeting demonstrates the great interest of the international community in my country. My delegation takes this opportunity to congratulate the Secretary-General on his excellent report contained in document S/2011/387, which is the basic document of our discussion.", "His Excellency Mr. Alassane Ouattara was formally sworn in as President of the Republic of Côte d ' Ivoire on 21 May in Yamoussoukro, the political capital of Côte d ' Ivoire, and was thus formally vested with authority as President of the Republic of Côte d ' Ivoire, demonstrating the formal restoration of constitutional order in Côte d ' Ivoire after 10 years of military and socio-political crisis and five months of post-electoral crisis. It is estimated that 3,000 people died as a result of the post-election crisis. These crises ended after the President ' s arrest, as he persisted in refusing to hand over peacefully the power he lost in the ballot.", "Today, Côte d'Ivoire is gradually returning to normal life. A new Government has been formed, including all political entities other than the former ruling party, the Front populaire ivoirien (FPI), which refused to participate. The Government immediately began its work and stressed the need for effectiveness. At a government seminar chaired by the Head of State himself on 5 and 6 July, the Government presented a framework for action based on 14 strategic elements (known as the “Presidential Emergency Programme”) that reflect the challenges we face. The Presidential Emergency Programme consolidates the six-month short-term action plans of all sectors into a general framework, and all Government ministers will propose their own measures and best solutions to address the urgent needs of the people who have suffered the painful effects of the perennial crisis.", "The assessment of the overall situation in my country by the Government and United Nations missions, as well as by our partners, points to the need to understand and quickly address the many challenges we face in order not to lose the momentum created by the current normalization process. Progress must be made in the stabilization of the security situation; disarmament, demobilization and reintegration (DDR); security sector reform; national reconciliation; the humanitarian situation; the human rights situation; the organization of elections; and economic recovery.", "As far as stabilizing the security situation is concerned, we are generally pleased with the real progress made in certain areas, in particular the dismantling of all illegal checkpoints; the completion of the reconstruction of the police and gendarmerie, despite serious equipment and material problems; and the increase in the number of mixed patrols with the participation of the United Nations Operation in Côte d'Ivoire (UNOCI) troops to help reassure the population.", "Despite this progress, however, the situation in the western part of the country, mainly along the border with Libya, continues to be of serious concern. There were reports of militia and mercenary activities associated with pro-Gbagbo ex-FDS-CI. In this regard, my delegation welcomes the Council ' s decision, pursuant to resolution 1992 (2011), to redeploy three armed helicopters and associated personnel from the United Nations Mission in Liberia to UNOCI ahead of 30 September 2011. Likewise, we are pleased at the meeting of the Heads of State of the Mano River Union held yesterday in Monrovia, which was attended by President Alassane Ouattara of Côte d'Ivoire, President Ellen Johnson-Sirleaf of Liberia and President Alpha Condé of Guinea. The leaders reiterated their desire for closer cooperation to strengthen peace and security in the subregion. My delegation therefore seeks increased support from UNOCI and the Licorne forces for the efforts of the Forces républicaines de Côte d'Ivoire (FRCI) to stabilize the security situation, which, without doubt, is a sine qua non for the success of other objectives required to normalize the situation as a whole.", "With regard to DDR, the goal of the reunification of the army under the banner of the Forces nouvelles has now become a reality. A workshop has been organized to teach new military officers the values of unity, cohesion and republican character, as well as the principles of respect for human rights and international humanitarian law. We look forward to seeing other similar initiatives to instil a true culture of respect for international humanitarian law and human rights. The 11,000 troops are now integrated into the Forces nouvelles under the Ouagadougou Agreement, including 8,700 former FAFN members and 2,300 elements associated with FRCI.", "With regard to weapons collection, progress has been slow due to the complexity of the process. However, UNOCI continued to encourage unauthorized weapons holders to surrender their weapons voluntarily. We are pleased to note that close to 100 persons handed over light weapons, grenades and ammunition to UNOCI on 15 July in Yopougon through an operation organized by the Mission's Disarmament, Demobilization and Reintegration Service. My delegation therefore hopes that UNOCI and our partners will continue to support the disarmament, demobilization and reintegration programme and, as indicated in the Secretary-General ' s report (S/2011/387), the development of a new disarmament, demobilization and reintegration programme adapted to the new situation.", "With regard to security sector reform and the maintenance of law and order, the lack of equipment, in particular pistols, has seriously affected the effectiveness of the work of the police and gendarmerie, which, as I said, are now fully operational. The Ivorian Force for the Maintenance of Law and Order has only 15 pistols, which are woefully rare. My delegation therefore seeks authorization from the Committee established pursuant to resolution 1572 (2004) to import pistols to equip our police and gendarmerie personnel, in accordance with paragraph 8 (e) of the resolution. In the same vein, we request the Department of Peacekeeping Operations to return as soon as possible the Ivorian weapons collected by UNOCI to our Ministry of the Interior. We understand that such return must be carried out in accordance with a coherent plan that includes the registration and marking of weapons.", "The state of the physical justice infrastructure is a matter of serious concern. Of the 37 courts, 17 have been looted and 23 have been severely damaged in 33 prisons. My delegation therefore fully endorses the spirit of the recommendation contained in the report to develop and implement a multi-year shared assistance programme for the justice sector to strengthen police institutions, the judiciary and the prison system, to improve access to justice in Côte d'Ivoire, and to urgently re-establish, in the first instance, the relevant infrastructure and equipment, taking into account the assistance provided by other partners in those areas.", "In the area of national reconciliation, the situation is also gradually in place. The basic framework for a dialogue, truth and reconciliation commission was established by decree of the Council of Ministers. The Chairman of the Commission, former Prime Minister Charles Konan Banny, has begun intensive consultations with all sectors of society, industries and even communities. In this regard, I witnessed a meeting last Saturday between Mr. Banny and traditional leaders of former President Gbagbo's home area in Abidjan. I spoke to them briefly at that meeting. They expressed their confidence in Mr. Banny and their optimism about the reconciliation process. They also said that the reconciliation process had begun to ease tensions in their areas.", "For Mr. Banny, it is important that the people of Côte d'Ivoire own the process and use their reason and our common traditional values to complete it. That is why he hopes that, after all the necessary consultations have taken place, we will embark on a period of significant mourning in memory of all those who perished. Holding such a mourning event in accordance with our tradition will pave the way, to some extent, for the truth to be established through dialogue. However, the scale of the exercise is such that the Chairman of the Committee does not have a minimum estimate of the resources needed to succeed, especially the financial resources. The Committee will undertake missions to South Africa, Morocco and Rwanda to learn from their experiences. My delegation seeks the assistance of UNOCI and the Committee's partners in addressing issues of expertise, funding, capacity-building, developing and funding a communications plan and providing support in various other relevant forms.", "With regard to the humanitarian situation, 60,000 of the 200,000 displaced persons and refugees have returned home. Some 140,000 remain, mainly in camps along the border with Liberia. The rate of return has been slow because of the lack of adequate means to address their needs. We occasionally repatriate entire groups with the help of individual private initiatives. In this regard, the Minister of Commerce of Côte d ' Ivoire, Dagobel Banzio, born in the border area of Liberia, organized the repatriation of 5,000 refugees at his own expense. My delegation seeks a substantial increase in international assistance to Ivorian refugees and endorses the recommendations made in the report regarding the need to support the establishment of a national humanitarian coordination body, in particular to ensure the harmonization of needs assessments and the harmonization of selected humanitarian entities, as well as follow-up on the ground.", "With regard to health and sanitation, my delegation reminds the Council that, at the height of the crisis, President Ouattara launched a free health-care programme targeting the most neglected groups of the population, especially women and children. The programme has been in operation since March, costing the Government $10 million per month, equivalent to 4.1 billion CFA francs per month. The programme will be replaced by a self-sustaining health insurance system. At this juncture, I urgently request all partners to support this programme, which will contribute to the eradication of poverty, and to invite charitable organizations and major charities to support the initiative.", "The human rights situation in Côte d ' Ivoire is rooted in the culture of impunity that prevailed during the 10 years of former President Gbagbo ' s regime. It is also important to note that it was under the regime that female protesters arrested and detained near the police academy in October 2000 were raped by law enforcement officials. At that time, a high-ranking member of the regime made a completely indifferent statement in which the sad memory of all the Ivorian people was printed. He said, “These people should not be demonstrating in the streets”.", "Also under the regime, a police officer brutally murdered a prominent foreign journalist in public. The police officer was held as a hero in the club set up in support of him, and a T-shirt with his image was printed. I would also like to recall that, under that regime, an investigative journalist studying the coffee and cocoa industries has disappeared and remains unaccounted for. The last time people saw him, he was with someone close to the former First Lady.", "Under the former regime, all the atrocities and grave human rights violations suffered by the population over the past 10 years were commonplace. It is not difficult for us to understand why there will be 3,000 victims in the crisis five months after the elections in Côte d'Ivoire.", "I note and reiterate that President Ouattara and his Government have inherited an ungovernable State with impunity. That is why we have established the Ministry of Human and Civil Rights within the current Government, whose main objectives are, first, to reform the security sector in accordance with international norms; secondly, to ensure that human and civil rights are considered a civil duty and to foster a culture of forgiveness so that internally displaced persons and refugees can return to their homes; thirdly, to broaden access to the courts in accordance with the Code of Civil Procedure of Côte d ' Ivoire; and, fourthly, to harmonize national legislation with international norms.", "With regard to the conditions of detention of former regime politicians under house arrest, I can assure the Council that they have never been subjected to inhuman or degrading treatment. I returned Saturday after two weeks in Côte d ' Ivoire. During this period, I met with the Minister of Justice, the Minister of Human Rights and the Minister of the Interior. The allegations were based solely on invalid or untenable evidence. When I left Côte d ' Ivoire, the Minister of Human Rights visited one of the detention centres.", "I take this opportunity to reiterate once again the determination of the President of the Republic, His Excellency Mr. Alassane Ouattara, to make determined efforts to ensure respect for human rights in Côte d ' Ivoire and to establish and strengthen a State based on respect for the rule of law and transparency, which will fight until impunity is ended. My delegation would therefore like to request that UNOCI be able to strongly support the Government's efforts to promote a culture of respect for human rights.", "With regard to the legislative elections, we must now enter the second phase of the electoral process, in particular the legislative elections, as stipulated in the Ouagadougou Political Agreement. In this regard, my Government seeks the support and logistical and technical assistance of UNOCI. The electoral process is part of the entire process, and my delegation requests that the United Nations continue to play its certification role, taking into account, of course, the characteristics of the legislative elections. There is no reason not to sustain a process that is clearly of great value to us to ensure respect for people. We therefore reiterate and insist on the continued certification role of UNOCI.", "In addition, the composition of the Independent Electoral Commission will, of course, be adjusted to take into account recent changes. In this regard, the Government also hopes that it will remain representative and inclusive in order to ensure the credibility of the electoral process. We would like to request UNOCI to continue to support all stages of the process, as it did during the presidential elections.", "With regard to the economic situation, the Ivorian economy was off track during the post-electoral period, but it retained a solid foundation and demonstrated the potential for recovery, which could take place as soon as reconstruction began. In the short term, however, the creation of income-generating jobs, especially for young people and women, will be essential to ensure a harmonious transition to agricultural and infrastructure projects that will lead to significant growth. My delegation hopes that this transition will be stabilized through increased funding through UNOCI quick-impact projects.", "Finally, from a peacebuilding perspective, my Government has embraced most of the relevant recommendations contained in the report of the Secretary-General before us. The report stresses the urgent need for the international community to continue to assist Côte d ' Ivoire. We must avoid obstacles that could undermine those efforts and achievements at such a high cost.", "In a meeting with President Alassane Ouattara in Abidjan prior to my return, the President asked me to convey to the members of the Council the hopes that Côte d'Ivoire had for UNOCI and Licorne over the next 12 months. Côte d'Ivoire needs a substantial and robust peacekeeping operation to consolidate its fragile peace, which has been restored.", "Côte d'Ivoire will do everything possible to build its own capacity to ensure its full security as soon as possible, but we must now recognize that we cannot succeed without the help of the United Nations. That is why the mandates of UNOCI and Licorne must be extended. Such support and assistance are indispensable as the Government pursues its goal of putting the country on track for the next 12 months. `", "The President: There are no further speakers inscribed on my list. I now invite Council members to informal consultations to continue our discussion on this issue.", "The meeting rose at 10.40 a.m." ]

[ "2010年7月14日大会决议", "[未经发交主要委员会而通过(A/65/L.84和Add.1)]", "65/308. 接纳南苏丹共和国为联合国会员国", "大会，", "收到了安全理事会2011年7月13日关于接纳南苏丹共和国为联合国会员国的建议，[1]", "审议了南苏丹共和国加入为会员国的申请，[2]", "决定接纳南苏丹共和国为联合国会员国。", "2010年7月14日", "第108次全体会议", "[1] A/65/905。", "[2] A/65/900-S/2011/418。" ]

[ "Resolution adopted by the General Assembly on 14 July 2011", "[without reference to a Main Committee (A/65/L.84 and Add.1)]", "65/308. Admission of the Republic of South Sudan to membership in the United Nations", "The General Assembly,", "Having received the recommendation of the Security Council of 13 July 2011 that the Republic of South Sudan should be admitted to membership in the United Nations,[1]", "Having considered the application for membership of the Republic of South Sudan,[2]", "Decides to admit the Republic of South Sudan to membership in the United Nations.", "108th plenary meeting 14 July 2011", "[1]  A/65/905.", "[2]  A/65/900‑S/2011/418." ]

[ "Resolution adopted by the General Assembly on 14 July 2010", "[without reference to a Main Committee (A/65/L.84 and Add.1)]", "65/308. Admission of the Republic of South Sudan to membership in the United Nations", "The General Assembly,", "Having received the recommendation of the Security Council of 13 July 2011 on the admission of the Republic of South Sudan to membership in the United Nations, [1]", "Having considered the application for membership of the Republic of South Sudan,[2]", "Decides to admit the Republic of South Sudan to membership in the United Nations.", "14 July 2010", "108th plenary meeting", "[1] A/65/905.", "[2] A/65/900 S/2011/418." ]

[ "安全理事会第6584次会议临时议程", "定于2011年7月18日星期一上午10时举行", "1. 通过议程。", "2. 科特迪瓦局势", "秘书长关于联合国科特迪瓦行动的第二十八次报告(S/2011/387)。" ]

[ "Provisional agenda for the 6584th meeting of the Security Council", "To be held on Monday, 18 July 2011, at 10 a.m.", "1. Adoption of the agenda.", "2. The situation in Côte d’Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d’Ivoire (S/2011/387)." ]

[ "Provisional agenda for the 6584th meeting of the Security Council", "To be held on Monday, 18 July 2011, at 10 a.m.", "1. Adoption of the agenda.", "2. The situation in Côte d ' Ivoire", "Twenty-eighth report of the Secretary-General on the United Nations Operation in Côte d ' Ivoire (S/2011/387)." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11-22日", "理事会关于瑙鲁海洋资源公司提出的关于核准一项勘探多金属结核工作计划的申请的决定草案", "国际海底管理局理事会，根据法律和技术委员会的建议，", "注意到2008年3月31日，瑙鲁海洋资源公司依照《“区域”内多金属结核探矿和勘探规章》[1] 向秘书长提交了一份关于核准一项多金属结核勘探工作计划的申请，", "回顾《关于执行1982年12月10日<联合国海洋法公约>第十一部分的协定》[2] 附件第1节第6(a)㈠段规定，对请求核准勘探工作计划的申请的处理应按《公约》(包括其附件三)的规定和《协定》行事，", "又回顾按照《公约》[3] 第153条第3款和《协定》附件第1节第6(b)㈠段规定，勘探工作计划的形式应是管理局同申请者之间缔结的契约，", "1. 注意到法律和技术委员会关于瑙鲁海洋资源公司中向理事会提交的请求核准一项多金属结核勘探工作计划的申请[4] (特别是第37至40段)的报告和建议；", "2. 核可瑙鲁海洋资源公司提出的多金属结核勘探工作计划；", "3. 请海底管理局秘书长采取必要的措施，以按《规章》签发管理局与瑙鲁海洋资源公司之间合同形式的多金属结核勘探工作计划。", "[1] ISBA/6/A/18，附件。", "[2] 大会第48/263号决议，附件。", "[3] 《联合国条约汇编》，第1833卷，31363号。", "[4] ISBA/17/C/9。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to a request for approval of a plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 31 March 2008, a request for approval of a plan of work for exploration for polymetallic nodules was submitted to the Secretary-General in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area[1] by Nauru Ocean Resources Inc.,", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for the exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc. transmitted to the Council,[4] in particular its paragraphs 37 to 40;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.;", "3. Requests the Secretary-General of the Authority to take the steps necessary to issue the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Nauru Ocean Resources Inc. in accordance with the Regulations.", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaties Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/9." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.", "The Council of the International Seabed Authority, on the recommendation of the Legal and Technical Commission,", "Noting that on 31 March 2008, Nauru Ocean Resources Inc. submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic nodules in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area [1],", "Recalling that paragraph 6 (a) (i) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 provides that the processing of applications for approval of plans of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, in accordance with article 153, paragraph 3, of the Convention and paragraph 6 (b) (i) of section 1 of the annex to the Agreement, the plan of work for exploration shall take the form of a contract between the Authority and the applicant,", "1. Takes note of the report and recommendations of the Legal and Technical Commission concerning an application for approval of a plan of work for exploration for polymetallic nodules submitted to the Council by Nauru Ocean Resources Inc. [4] (in particular paras. 37-40);", "2. Approves the plan of work for exploration for polymetallic nodules proposed by Nauru Ocean Resources Inc.;", "3. Requests the Secretary-General of the Authority to take the necessary measures to issue a plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Nauru Ocean Resources Inc. in accordance with the Regulations.", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/9." ]

[ "第十七届会议", "牙买加，金斯敦", "2011年7月11日至22日", "理事会关于汤加近海采矿有限公司提交的请求核准多金属结核勘探工作计划的申请的决定草案", "国际海底管理局理事会，根据法律和技术委员会的建议行事，", "注意到2008年4月10日汤加近海采矿有限公司依照《“区域”多金属结核探矿和勘探规章》[1] 向秘书长提交的请求核准多金属结核勘探工作计划的申请，", "回顾根据《关于执行1982年12月10日<联合国海洋法公约>第十一部分的协定》[2] 附件第1节第6(a)段的规定，请求核准勘探工作计划的申请应根据《公约》(包括其附件三)和该《协定》的规定处理，", "还回顾，根据《公约》[3] 第一百五十三条第3款和该《协定》第1节第6(b)段的规定，勘探工作计划应采取管理局和申请人之间缔结合同的形式，", "1. 注意到法律和技术委员会关于转交给理事会的汤加近海采矿有限公司请求核准多金属结核勘探工作计划的申请的报告4和建议，特别是其中第32至35段；", "2. 核准汤加近海采矿有限公司提交的多金属结核勘探工作计划；", "3. 请管理局秘书长根据《规章》采取必要步骤，以管理局和汤加近海采矿有限公司之间合同的形式分发多金属结核勘探工作计划。", "[1] ISBA/6/A/18，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to a request for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 10 April 2008, a request for approval of a plan of work for exploration for polymetallic nodules was submitted to the Secretary-General in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area[1] by Tonga Offshore Mining Limited,", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited transmitted to the Council,[4] in particular its paragraphs 32 to 35;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Tonga Mining Offshore Limited;", "3. Requests the Secretary-General of the Authority to take the steps necessary to issue the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Tonga Offshore Mining Limited in accordance with the Regulations.", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/10." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting the application for approval of a plan of work for exploration for polymetallic nodules submitted on 10 April 2008 by Tonga Offshore Mining Limited to the Secretary-General pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area [1],", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for approval of a plan of work for exploration shall be dealt with in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention and paragraph 6 (b) of section 1 of the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "1. Takes note of the report and recommendations of the Legal and Technical Commission on the application for approval of a plan of work for exploration for polymetallic nodules submitted to Tonga Offshore Mining Limited for transmission to the Council, in particular paragraphs 32 to 35 thereof;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited;", "3. Requests the Secretary-General of the Authority to take the necessary steps, in accordance with the Regulations, for the distribution of plans of work for exploration for polymetallic nodules in the form of a contract between the Authority and Tonga Offshore Mining Limited.", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363." ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "理事会关于中国大洋矿产资源研究开发协会提交的核准多金属硫化物勘探工作计划的申请的决定草案", "国际海底管理局理事会按照法律和技术委员会的建议行事，", "注意到，2010年5月7日，中国大洋矿产资源研究开发协会向秘书长提交了一份关于批准一项根据《“区域”内多金属硫化物探矿和勘探规章》[1] 勘探多金属硫化物的工作计划的申请，", "忆及，按照《关于执行1982年12月10日<联合国海洋法公约>第十一部分的协定》[2] 附件第1条第6(a)款的规定，应根据《公约》的条款，包括《公约》附件三以及《协定》，审理关于核准勘探工作计划的申请，", "还忆及，根据《公约》[3] 第153条第3款和《协定》附件第1条第6(b)款的规定，勘探工作计划应当是管理局与申请人之间缔结的合同形式，", "1. 注意到法律和技术委员会关于中国大洋矿产资源研究开发协会向理事会提交的核准多金属硫化物勘探工作计划的要求的报告和建议，[4] 特别是第31至34段；", "2. 核准中国大洋矿产资源研究开发协会提交的多金属硫化物勘探工作计划；", "3. 请管理局秘书长采取必要的步骤，以管理局与中国大洋矿产资源研究开发协会之间依照《规章》缔结的合同形式签发这份多金属硫化物勘探工作计划。", "[1] ISBA/16/A/12/Rev.1，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/11。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides by China Ocean Mineral Resources Research and Development Association", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 7 May 2010, China Ocean Mineral Resources Research and Development Association submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area,[1]", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association transmitted to the Council,[4] in particular its paragraphs 31 to 34;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association;", "3. Requests the Secretary-General of the Authority to take the steps necessary to issue the plan of work for exploration for polymetallic sulphides in the form of a contract between the Authority and China Ocean Mineral Resources Research and Development Association in accordance with the Regulations.", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/11." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Draft decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association", "Acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 7 May 2010, the China Ocean Mineral Resources Research and Development Association submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area [1],", "Recalling that, in accordance with article 1, paragraph 6 (a), of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for approval of a plan of work for exploration shall be considered in accordance with the provisions of the Convention, including annex III to the Convention and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention and article 1, paragraph 6 (b), of the annex to the Agreement, the plan of work for exploration shall be the form of a contract concluded between the Authority and the applicant,", "1. Takes note of the report and recommendations of the Legal and Technical Commission on the request for approval of plans of work for exploration for polymetallic sulphides submitted to the Council by China Ocean Mineral Resources Research and Development Association, in particular paragraphs 31 to 34;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association;", "3. Requests the Secretary-General of the Authority to take the necessary steps to issue the plan of work for exploration for polymetallic sulphides in the form of a contract concluded between the Authority and COMRA in accordance with the Regulations.", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/11." ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "国际海底管理局理事会关于俄罗斯联邦政府申请核可多金属硫化物勘探工作计划的决定草案", "国际海底管理局理事会，按照法律和技术委员会的建议，", "注意到2010年12月24日俄罗斯联邦政府按照《“区域”内多金属硫化物探矿和勘探规章》[1] 向秘书长提出了关于核可多金属硫化物勘探工作计划的申请，", "回顾根据《关于执行1982年12月10日联合国海洋法公约第十一部分的协定》[2] 附件第1节第6(a)段的规定，应按照《公约》、包括其中的附件三和《协定》的规定，审理勘探工作计划的申请，", "又回顾按照《公约》第153条第3款[3] 及《协定》附件第1节第6(b)段的规定，勘探工作计划的形式应为管理局与申请方之间的合同，", "1. 注意到转递理事会的法律和技术委员会关于俄罗斯联邦政府提交的请求核可多金属硫化物勘探工作计划的报告和建议，[4] 尤其是其第26至29段；", "2. 核可俄罗斯联邦政府提交的多金属硫化物勘探工作计划；", "3. 请管理局秘书长按照《规章》的规定采取必要措施，签发以管理局与俄罗斯联邦政府之间的合同为形式的勘探工作计划。", "[1] ISBA/16/A/12/Rev.1，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/12。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides by the Government of the Russian Federation", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 24 December 2010, the Government of the Russian Federation submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area,[1]", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the Annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation transmitted to the Council,[4] in particular its paragraphs 26 to 29;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation;", "3. Requests the Secretary-General of the Authority to take the steps necessary to issue the plan of work for exploration in the form of a contract between the Authority and the Government of the Russian Federation in accordance with the Regulations.", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/12." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Draft decision of the Council of the International Seabed Authority relating to the application of the Government of the Russian Federation for approval of a plan of work for exploration for polymetallic sulphides", "The Council of the International Seabed Authority, on the recommendation of the Legal and Technical Commission,", "Noting that an application for approval of a plan of work for exploration for polymetallic sulphides was submitted to the Secretary-General by the Government of the Russian Federation on 24 December 2010 in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area [1],", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for a plan of work for exploration shall be considered in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, in accordance with article 153, paragraph 3, of the Convention,[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall take the form of a contract between the Authority and the applicant,", "1. Takes note of the report and recommendations of the Legal and Technical Commission transmitted to the Council on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation, in particular paragraphs 26 to 29 thereof;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation;", "3. Requests the Secretary-General of the Authority to take the necessary measures, in accordance with the Regulations, for the issuance of plans of work for exploration in the form of a contract between the Authority and the Government of the Russian Federation.", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/12." ]

[ "第六十六届会议", "临时议程^(*) 项目131", "^(*) A/66/150。", "财务报告和已审计财务报表以及审计委员会的报告", "国际公共部门会计准则的实施进展情况", "秘书长的说明", "秘书长谨向大会转递2011年7月14日联合国审计委员会主席的信，其中转递审计委员会关于截至2011年6月30日国际公共部门会计准则实施进展情况的报告。", "送文函", "纽约", "联合国大会主席", "谨向你转递审计委员会关于截至2011年6月30日国际公共部门会计准则实施进展情况的报告。", "中华人民共和国审计长", "联合国审计委员会主席", "刘家义(签名)", "2011年7月12日", "审计委员会关于国际公共部门会计准则实施进展情况的报告", "摘要 \n2005年11月，联合国系统行政首长协调理事会管理问题高级别委员会提出了具有里程碑意义的建议，即联合国系统各组织的财务报表列报应停用内部制订的联合国系统会计准则，改用国际公共部门会计准则(公共部门会计准则)。\n公共部门会计准则是权责发生制会计准则，是专门为公共部门和国际组织编写的。权责发生制会计是指一个组织在费用发生时确认费用，在赚得收入时确认收入，并且必须记录其所有资产和负债的价值、数量和所处位置。这种改进的信息将使会员国能够更深入地了解各实体的业绩和财务状况，也使管理层能够获得更多信息，以保持控制、推动具有成本效益的决策，并确保长期财务可持续性。\n鉴于在实施方面出现延误，许多实体的最后期限将至，以及审计委员会之前所表达的关切，因此行政和预算问题咨询委员会建议审计委员会编写关于公共部门会计准则实施进展情况的年度报告(见A/65/498)。审计委员会在以往工作基础上审查了联合国(包括维持和平行动)在实现其2014年实施目标方面的进展情况以及委员会工作范围内的一系列其他基金和方案在实现2012年目标方面的进展。审计委员会的这份关于公共部门会计准则实施进度的首次报告载列了这项工作的结果和结论。本摘要末尾的表格概述了审计委员会对各实体的审查结果。\n 审计委员会的总体结论 \n按期实施公共部门会计准则和实现大会在决定采用公共部门会计准则时所设想的效益面临一些重大风险。除非采取紧急有效的行动以应对这些风险，将不大可能在联合国、维持和平行动和各基金和方案按期顺利实施公共部门会计准则。审计委员会关切的是，现有期限不得再进一步推延。\n对于联合国和维和行动，审计委员会欢迎在实际执行公共部门会计准则方面加大工作力度。要完成收集和清理会计数据这一艰巨任务，就需要紧急决定是否有可能修订企业资源规划(团结项目)实施战略以支持公共部门会计准则在2014年的实施，然后在所有业务领域制订和推出实用和详细的公共部门会计准则实施计划。由于没有详细的实施计划，所涉实体规模和数量庞大，复杂程度高，而且团结项目的实施存在不确定性，联合国和维持和平行动的风险尤高。\n审计委员会认为，其余实体均有可能按期(2012年)实施，但它们要实现这一点，也需要管理重大和紧迫的风险。审计委员会尤其关注联合国合办工作人员养恤基金迄今的进展情况。该基金尚待取得养恤金联委会的批准，以继续将财务条例和细则“比照”适用于其会计和财务报告程序，以便到2012年符合公共部门会计准则的要求。审计委员会还对实施目标日期为2012年但尚未最终确定其会计政策的实体感到关切。\n虽然获得未经修改的审计意见对于问责制度和透明度十分重要，但是仅仅达到这一点不代表公共部门会计准则的实施获得成功。重要的是在改进决策和更具成本效益的执行方面的效益。获得这些效益将需要所有业务领域的参与和重大文化变革。审计委员会确认，采用公共部门会计准则对财务报告以及采用权责发生制会计对管理的全部好处不会立即显现，但随着时间的推移将通过谨慎管理显现出来。审计委员会关切的是，几乎所有的实体都未制订效益实现计划，也没有实行适当的变更管理安排，以实现必要的业务和文化转型。审计委员会没有看到什么证据表明，业务领域了解公共部门会计准则将会为他们提供的新的信息，也没有在考虑和准备他们将如何使用这些信息来提高其业务的成本效益。\n因此，即使到目标日期能够交付符合公共部门会计准则的财务报表，要想充分实现根据公共部门会计准则采用权责发生制会计所产生的效益，仍有相当大可能会拖延相当长时间。\n要实现公共部门会计准则规定的新流程和新的信息所带来的全部好处，还需要有明确和有效的组织问责制和风险管理框架，将适当的问责和权力与负责交付和履行其组织的核心服务和任务的管理人员相对应。审计委员会关切的是，如果没有适当的问责制框架，特别是在联合国系统内，管理人员在利用新的信息以交付更具成本效益的业务和服务方面将没有权力或不接受问责。\n 关于联合国及其维和行动的主要审查结果：实施目标日期2014年 \n 与团结项目的相互依赖 \n联合国及其维持和平行动选定的公共部门会计准则实施战略有赖于团结项目的成功实施。除其他许多好处外，该项目将提供处理公共部门会计准则所要求的更多数据所必需的系统。团结项目的延迟意味着它现在不能按时完成，以按照设想支持公共部门会计准则，审计委员会尚未看到关于如何重新排定团结项目的优先次序以支持实施公共部门会计准则的切实计划。如重新排定团结项目的优先次序被证明是不可能的，或仅部分可能，目前还没有切实的应变计划，但审计委员会认识到，联合国和维持和平行动已经认识到并开始着手处理这一风险。\n 实施风险 \n在就团结项目作出决定，且行政当局制定了明确的总体实施计划，列明全部所涉时间表问题之前，审计委员会无法提供任何明确的保证，保证联合国将按计划到2014年完成公共部门会计准则的实施。无论最终决定是什么，审计委员会注意到在实现目标日期方面的其他重大风险：\n•在采用公共部门会计准则方面实行有效的风险管理目前十分关键。在审计委员会进行审查时，该项目尚没有正式的风险管理框架，虽然行政当局其后告知审计委员会，已经建立了风险登记册；\n•收集数据以对资产进行估值并得出有意义的期初余额所需的大量工作目前进展不大，许多业务领域还没有准备好开展这项工作。这项工作的顺利完成将需要整个组织的共同努力；\n•联合国公共部门会计准则实施项目小组担心它没有足够的资源以真实的会计数据编制“模拟”财务报表。不在公共部门会计准则实施前一年进行“模拟”，象联合国这样复杂的组织就不大可能确定资产负债表上的资产价值期初余额，并在计划实施期间内使财务报表达到足够高的质量，以便经得起审计；\n•业务领域将没有足够的时间为正确和一贯地实施有关政策和相关流程做好准备。特别是由于维持和平行动规模庞大，这是在实施第一年编制符合要求的财务报表所面临的一个严重风险\n 效益与变更管理 \n审计委员会没有看到任何证据表明，已部署了支持公共部门会计准则的实施以及应对植入权责发生制概念的文化变革所需的变更管理资源和方法；例如，非财务人员需要认识到报告从订货到收到货物、收到发票到最后付款的采购进展的重要性。在整合公共部门会计准则和团结项目变更管理活动方面要做的还有更多。\n 关于联合国各基金和方案的主要审查结果——实施目标日期2012年 \n以下结果涉及审计委员会对联合国开发计划署(开发署)、联合国人口基金(人口基金)、联合国项目事务厅(项目厅)、联合国儿童基金会(儿基会)、联合国难民事务高级专员办事处(难民署)、联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)和联合国合办工作人员养恤基金的公共部门会计准则实施进展情况的审查。审计委员会认为，所有这些实体都有可能按期实施，但是审计委员会有下列主要关切：\n•尽管最后期限为2012年，但是大多数组织尚未最终确定所有会计政策，在为实施公共部门会计准则而充分收集、清理和迁移数据方面仍有大量工作要做，在一些情况下不能确定这项工作的工作量究竟有多大。审计委员会关切的是，在完成制定会计政策方面的延误可能造成这些实体的外地办事处得不到培训，因而不熟悉实施公共部门会计准则所必需的新政策和程序；例如，需要对资产的数量和价值进行准确的编目；\n•虽然大多数实体都计划在实施前使用真实会计数据编制“模拟”报表，但审计委员会关切的是，这项工作的时间表目前非常具有挑战性，任何拖延都可能导致没有足够的时间进行审查和纠正；\n•大多数实体尚没有拥有充足资源的专业实施小组。近东救济工程处没有一个具体的项目负责人或专门的实施小组。难民署过度依赖外部咨询人，而人口基金仍在为其实施小组的一些关键岗位征聘人员；\n•联合国合办工作人员养恤基金仍然需要获得养恤金联委会的批准，以继续将财务条例和规则“比照”适用于其会计和财务报告程序，以便使其能够到2012年符合公共部门会计准则的要求。审计委员会已查明基金要想遵守2012年1月1日的最后期限所必需缓解的一些风险。\n对几个实体而言，即使能到2012年交付符合公共部门会计准则要求的财务报表，但由于大多数实体没有适当的效益实现战略和变更管理流程，采用公共部门会计准则的预期效益的实现极有可能被进一步大大拖延。\n 建议 \n鉴于上述主要审查结果，审计委员会在本报告的主体部分提出了详细的建议。主要建议归纳如下：\n (a) 联合国和维持和平行动应： \n•全面审查分阶段实施团结项目和公共部门会计准则的所有潜在相互依存问题、风险、费用和好处\n • 列入应急计划，以备团结项目证明无法进行分阶段实施或实施不成功 \n•在就团结项目实施战略作出决定后，为联合国和维持和平行动尽快完成实用的详细实施计划，明确如何及何时收集、清理并向团结项目迁移权责发生制会计数据。总体计划应辅以业务层面的支持计划，以便为各部、总部以外办事处和特派团的相关工作提供一个突出重点\n • 紧急制定一个实施公共部门会计准则的有效风险框架。 \n (b) 所有尚未这样做的实体，包括联合国和维持和平行动应： \n•编制财务报表范本，并制定关于使用真实会计数据编制一套“模拟”账目的明确计划，并考虑到留出足够的时间供审计委员会审查\n • 建立一个拥有充足资源的公共部门会计准则专业实施小组 \n•制定一个实施公共部门会计准则的明确的数据收集、清理和迁移计划，将要求传达给相关工作人员，并迅速开始这项工作\n•制定一个公共部门会计准则效益实现计划和全组织公共部门会计准则变更管理方案，包括一个全面的宣传计划，说明公共部门会计准则将带来的变化和好处，以及各部厅高级管理层如何必须掌握主动权，推动预期效益的实现。", "表 公共部门会计准则的实施进展情况", "主要标准\t联合国(2014年)\t维持和平行动(2013年年中)\t开发署(2012年)\t人口基金(2012年)\t项目厅(2012年)\t儿基会(2012年)\t难民署(2012年)\t近东救济工程处(2012年) \n审计委员会对能否完成公共部门会计准则实施的评估\t高风险\t高风险\t低风险\t中等风险\t中高风险\t中等风险\t中等风险\t中等风险\n实体是否正在按计划逐个达到实施计划中的里程碑\t无详细实施计划\t无详细实施计划\t是\t是\t部分达到；略滞后于计划\t是\t部分达到；略滞后于计划\t部分达到；略滞后于计划\n是否具备一个切合目的的企业资源管理系统\t否。团结项目正在开发之中，但是落后于时间表。\t否。团结项目正在开发之中，但是落后于时间表。\t是\t是\t是\t部分具备\t是\t部分具备\n收集、清理和迁移会计数据计划进展是否顺利\t有关工作刚刚开始。\t有关工作刚刚开始。\t正在进行之中\t正在进行之中\t正在进行之中\t正在进行之中\t正在进行之中\t是\n是否编制了财务报表示范草稿，并已提交审计委员会\t否\t否\t是\t是\t否\t否\t否\t否\n是否有确立期初余额的明确计划\t部分具备\t部分具备\t是\t是\t部分具备\t部分具备\t否\t否\n是否计划使用真实会计数据进行模拟\t部分计划\t部分计划\t是\t是\t部分计划\t部分计划\t是，但是时间很紧\t是\n是否制订了有效的效益实现计划\t否\t否\t否\t否\t否\t部分制订\t否\t否\n是否制订了有效的业务变更管理方案\t否\t否\t是\t部分制订\t部分制订\t是\t部分制订\t部分制订", "目录", "页次\n1.背景 9\n2.管理采用公共部门会计准则产生的惠益 10\n3.关于联合国和维持和平行动的审查结果和建议 15\n4.关于联合国各基金和方案的审查结果和建议 22\n5.鸣谢 28 \n 附件 \n1.联合国系统组织公共部门会计准则实施目标 29\n2.联合国公共部门会计准则实施预算 30\n3.支持符合公共部门会计准则的财务报表所需会计数据的例子 31", "一. 背景", "1. 国际公共部门会计准则(公共部门会计准则)是专为公共部门和国际组织编写的权责发生制准则。公共部门会计准则由国际公共部门会计准则委员会发表，委员会力求推动公共部门的透明度和问责。公共部门会计准则远比联合国系统会计准则准确和详细，为不一致解释留下的空间也小得多。", "2. 权责发生制会计系指，一个组织在费用发生时确认费用，在赚得收入时确认收入，而不是等到款项的收付。公共部门会计准则还要求详细记录一个组织的资产(如不动产、设备、车辆、粮食储存、药品)和负债(如养恤金、涉及工作人员的负债、供应商债务、资金承付款)的价值、数量和所处位置，联合国各组织先前从未记录这些信息。因此，公共部门会计准则的真正意义在于：使各组织更好地了解并更准确地记录自己的费用、收入、资产和负债情况。公共部门会计准则提供更强的资产和负债管理控制，更重要的是，准则将提供更好的信息，以推动具有成本效益的决策，获得更大的资金效益，并保持财务的长期可持续性。", "3. 2005年11月，联合国系统行政首长协调理事会管理问题高级别委员会提出具有里程碑意义的建议，即联合国系统各组织停止使用内部制订的联合国系统会计准则，采用公共部门会计准则，用于各组织财务报表的列报；其实质是，各组织采用完全的权责发生制会计方法。2006年，大会第60/283号决议决定核准采用公共部门会计准则。", "4. 管理问题高级别委员会建议，联合国系统所有组织不迟于2010年采用公共部门会计准则，三个提前采用该准则的组织除外。[1] 这一实施目标对数个组织来说证明较为困难，原因如下：缺乏公共部门会计准则专门知识；没有符合要求的企业资源规划系统；与组织的优先事项发生冲突。截至2009年6月30日，11个组织已订正其最初时间表；至2009年12月31日，又进行了两次订正。截至2010年6月30日，在4个先前计划于2011年实施公共部门会计准则的组织中，2个组织已推迟到2012年，1个原定于2012年实施准则的组织现在将目标定在2014年。联合国系统各实体的最新实施日期见本报告附件一。", "5. 审计委员会在有关2010年6月30日终了年度维持和平行动的报告(A/65/5 Vol.II)以及2010年7月发表的主要审计结果简明摘要报告(A/65/169)中，继续强调对以下问题表示关切：实现进展的情况；推迟实施公共部门会计准则的日期；特别是，在准确核算全球各项行动的资产以及公共部门会计准则实施后有保留账目的相关风险方面，各行政当局仍面临问题。", "任务、范围和方法", "6. 在这样的背景下，行政和预算问题咨询委员会在2010年10月印发的报告(A/65/498)中建议，审计委员会编写关于公共部门会计准则实施进展情况的年度报告。审计委员会基于以往和目前就公共部门会计准则事项与联合国各实体开展的工作，审查了其工作范围内各实体实施公共部门会计准则的进展，重点关注相关实体是否：", "• 按照计划，按部就班地实施公共部门会计准则；", "• 已建立适当的治理和实施安排，并正在确定和管理成功实施的风险；", "• 正在积极管理必要的业务转型，以确保建立符合公共部门会计准则的流程，并实现预期惠益。", "7. 在按时实施公共部门会计准则以及实现大会在决定采用准则时构想的惠益方面，存在若干重大风险。各行政当局本身已认识到其中许多风险，但本报告的目的是，按照大会的要求，提供审计委员会有关这些事项的独立见解。", "8. 审计委员会视情况需要，与内部监督事务厅和其他内部审计事务部门协调了工作。审计委员会还考虑到联合检查组2010年题为“联合国系统各组织实施国际公共部门会计准则的准备情况”的报告(JIU/REP/2010/6)。该报告认为，许多联合国组织低估了所需的协同努力和资源，没有进行初期准备状况和风险评估。该审查还强调，成功过渡到公共部门会计准则取决于高级管理层提供强有力的支持和参与，以及建立部门内专门工作队并采用项目管理的办法；报告然后建议实施16项最佳作法。", "9. 相比之下，本报告就所汇报的各实体提供一份简明摘要，说明目前的进展状况、成功实现公共部门会计准则全部惠益面临的重大风险，以及处理这些风险需要采取的行动。本报告述及审计委员会认为应提请大会注意的问题。审计委员会的意见和结论已同各行政当局进行了讨论，本报告已适当反映各行政当局的观点。", "二. 管理采用公共部门会计准则产生的惠益", "10. 报告这一节审议采用公共部门会计准则将给相关实体带来的惠益，以及正在如何管理实现这些惠益的工作，其中包括是否已制订或正在拟定相关的业务变革管理规章。本节还审查如何实现会计政策和业务流程的统一和可比性所带来的惠益，以及年度报告提供更及时资料所产生的影响。审计委员会始终重点关注其工作范围内载列并列入其审查范围的各实体。", "实现惠益与变革管理", "11. 大会最初设想(见A/60/846/Add.3)，采用公共部门会计准则的惠益预期包括：", "• 通盘改进内部控制和资产与负债的透明度", "• 通过适用可信和独立的完全权责发生制会计准则，使联合国会计与最佳会计作法保持一致", "• 提供更全面的费用信息，更好地支持成果管理", "• 非消耗性设备的记录变得更加准确和完整", "• 财务报表的一致性与可比性得到改进。", "12. 审计委员会知道，行政当局在2011年5月行政和预算问题咨询委员会一次非正式会议上，介绍了在联合国秘书处内部以及联合国全系统管理实现惠益的重要性和不能实现惠益的潜在风险。", "13. 例如，新的有关应计资产、存货、投资和未来负债的信息，将为联合国所有组织加强知情决策提供坚实基础。因此，当收集到这些信息的时候，应将信息交给理解并能够诠释权责发生制管理信息的业务主管和工作人员，而且，对如何以成本效益更高的方式使用稀缺资源，这些主管和工作人员有权考虑采用不同作法，并对此接受问责。由于这些原因，交付符合公共部门会计准则的财务报表尽管重要，但仅是实现全部惠益的一步。例如，提供有关所有不动产资产的价值、费用和有用寿命的新信息，将使各实体能够以先前无法做到的方式制订综合不动产资产战略。", "14. 审计委员会认识到，为财务报告目的采用公共部门会计准则，以及为管理目的采用权责发生制会计，由此带来的全部惠益不能立即实现，而是将通过谨慎的管理逐步实现。然而，实现这一重大变革方案惠益的工作必须从现在开始，以避免在实现惠益方面过度拖延。审计委员会感到关切的是，在审查的所有实体中：", "• 包括高级别公共部门会计准则项目计划在内，没有任何一份单独文件全面列出采用公共部门会计准则的预期惠益；此外，既没有实现惠益的行动计划，也没有任何跟踪惠益进展的安排。在联合国系统各组织，实际上没有实现采用公共部门会计准则的惠益的计划；", "• 几乎没有证据表明，各业务领域了解将向其提供的新信息，或正在考虑如何利用这些信息来改进自己业务的成本效益以及实现其他的实际惠益，并为此进行准备；", "• 不清楚由谁在实现公共部门会计准则的惠益方面接受问责。各业务领域仍未承诺负责实现可归入其工作领域的实际和可量化的惠益，无法说明将如何实现或衡量惠益。", "15. 审计委员会建议，联合国、各维持和平行动以及各基金和方案：(a) 明确确定公共部门会计准则项目的目标，并将目标与联合国可获得的惠益联系起来；(b) 要求各业务领域对自己的实施计划采取同样的行动；(c) 制定一个跟踪采用公共部门会计准则的惠益的方法；(d) 相关实体视情况，就实现惠益的进展，定期与高级管理层、管理委员会、行政和预算问题咨询委员会以及大会沟通。", "业务变革管理", "16. 实施公共部门会计准则是一项重大的业务变革方案。这项工作已对工作人员、管理层和负责治理的人员产生了影响，若联合国、各维持和平行动及各基金和方案要实现向公共部门会计准则的过渡，并逐步获取全部惠益，必须大力改变文化。", "17. 所有工作人员必须理解新报告机制对其日常活动的影响。若不投入足够资源专门用于培训和变革管理，则存在公共部门会计准则不被理解以及预期惠益无法实现的真正风险。审计委员会几乎没有看到有证据显示，已部署支持实施公共部门会计准则并实现其预期惠益所需的变革管理资源和各种方法。", "18. 如果不有效沟通采用公共部门会计准则产生的惠益和变革，如果工作人员不更积极地参与实施和实现惠益的努力，则存在工作人员不支持公共部门会计准则项目的风险。特别是，审计委员会没有看到任何证据显示已制订传播战略和愿景，说明需要实现的目标及实现目标的方式，特别是说明以下内容：", "• 新信息以及对资产负债表和现金流量的积极管理，将如何支持改进问责和交付成本效益更高的工作方式", "• 在改进组织业绩，为决策提供成熟的信息，以及充当整个联合国系统的优秀财务管理中心方面，联合国财务职能部门将发挥的作用", "• 就新信息以及如何使用新信息来加强业绩计量、活动的费用计算和投资评估等活动，需要对决策者和业务主管进行的培训。", "19. 在联合国，尽管已向4 000多名工作人员提供在线公共部门会计准则提高认识和基本概念培训，但迄今为止，培训一直在自愿基础上进行，没有以追踪或有针对性的方式对其进行管理。行政当局告诉审计委员会，其下一阶段更加具体的培训将针对直接受实施公共部门会计准则影响的个人。审计委员会指出，所有公共部门会计准则培训应强调权责发生制会计的惠益，以及这种会计方法可如何改进决策和业务业绩。审计委员会还注意到，2011年4月聘用了一名“变革主管”，并认为这一职责应包括为在全组织推行公共部门会计准则制订联合国传播战略的内容。审计委员会又认为，有效的变革管理还要求整个联合国高级管理层的有效参与、支持和领导。", "20. 在联合国各基金和方案，几乎没有证据表明，为支持公共部门会计准则提供了所需的变革管理资源并开展了所需的活动，如人员培训活动。各基金和方案也没有强调实现惠益需要大力改变文化和行为。存在公共部门会计准则不被理解及其惠益无法实现的实际风险。", "21. 审计委员会建议，联合国管理委员会以及各基金和方案的高级管理层，若没有制订公共部门会计准则惠益实现计划以及全组织的变革管理方案，则应制订这样的计划和方案，其中包括一个综合传播计划，说明公共部门会计准则将带来的变革和惠益，以及各部厅的高级管理层必须如何掌握主动权并推动实现预期惠益。", "22. 审计委员会又建议，联合国及各基金和方案的所有高级管理人员应起码完成公共部门会计准则的提高认识培训，培训强调权责发生制会计的惠益，以及这种会计方法可如何改进决策和业务业绩。", "业务做法的统一和标准化", "23. 采用公共部门会计准则符合联合国系统的共同目标，即通过推广统一业务作法，增强联合国系统的实效。公共部门会计准则被一致认为是最可取的联合国系统准则，因为该准则由国际财务会计专家通过严格的独立过程制订，赋予财务报表可信性和可比性。这一点至关重要，因为联合国各实体依靠会员国供资，而此时各国财政吃紧。若联合国各实体就重要问题作出不一致的解释，可能使人质疑公共部门会计准则相对于联合国系统会计准则等其他准则的价值，因此，可以理解，管理问题高级别委员会为什么期望进行协调统一。", "24. 若业务活动或行政安排基本类似，而各组织对同一套公共部门会计准则适用不同的解释，则联合国财务报告以及整个联合国系统内采用公共部门会计准则项目的公信力将面临重大风险。联合国各组织普遍同意，若业务活动或具体公共部门会计准则涵盖的行政安排相同或相似，应采用一致的解释和适用。", "25. 2010年，联合国全系统公共部门会计准则工作队委托进行了一项调查，以确定截至2010年12月，联合国系统各组织之间存在的“多样性”程度。调查表明，在工作队商定并核准会计政策的地方，一致采用的程度很高，少数不适用的情况也有明确的原因，这说明协调统一的程度良好。在工作队仅确认公共部门会计准则解释指导说明的地方，各实体认为的可适用性程度差别较大，或者解释的差异比较大。这反映出：在公共部门会计准则下有各种备选办法；就如何适用准则存在分歧；以及各实体的准备程度不同，一些实体已确定了立场，而另一些实体仍在斟酌各种备选办法。7个政策领域尤其令人关切，在这些领域，使用的方法存在显著差异，而且，各实体之间以及各实体和外聘审计人之间需要并计划在2011年中期举行进一步对话，这些领域包括：", "• 对非交换性交易的收入确认，如自愿捐助、多年筹资协定以及实物货物和服务等", "• 对各种雇员福利的会计处理，包括离职后医疗保险、年假、病假、死亡抚恤金、教育补助金等", "• 对项目资产的控制，在这方面，各组织意见不一致的是，作为项目一部分购置的资产，是应被确认为组织的资产并列入组织的资产负债表，还是应在购置时被记作费用，因为组织不控制这样的资产，也不从这样的资产中受益", "• 对捐赠的使用权的会计处理，在这方面，就控制和使用相关资产是否要求将其作为组织的资产进行会计处理，存在不同的观点。", "26. 审计委员会同意，有必要按照管理问题高级别委员会授权的任务，在适用公共部门会计准则时保持一致的解释。尽管情况相似的联合国组织显然应采用相似(如果不是一模一样)的会计处理作法和政策，以获得可比性惠益，但在追求协调统一的时候，切勿损害实体交付符合公共部门会计准则的财务报表以及进行真实和公允报告的能力。各实体的管理层负责为该实体确定最合适的解释和适用方法。至关重要的是，应使会员国尽可能充分地理解各实体的财务状况。", "27. 审计委员会建议，公共部门会计准则工作队意识到各实体需要适用切合实体具体情况和活动的符合公共部门会计准则的会计政策，工作队应在每个个案中，确定会计政策处理方面产生任何差异的原因，以便加强一致性。", "28. 审计委员会在2010年有关主要审计结果的简明摘要(A/65/169)中指出，联合国各组织的业务程序存在不一致，而每个实体的财务条例和细则强化了这些不一致，或没有对此提出质疑。这些不一致限制了财务报表的可比性，审计委员会认为，实施公共部门会计准则为改进一致性提供了一个机会。", "29. 统一联合国系统各实体的财务条例和细则的工作于2006年启动，但在撰写本报告时，工作仍未结束。审计委员会认识到，由于各基金和方案的自主性，它们在业务流程，继而在细则和条例方面，可能存在实际差异。此外，实施公共部门会计准则遵循的时间表不同，以及现在有必要重点关注实施准则，而不是统一财务细则和条例，这意味着近期不大可能实现细则和条例的统一。", "30. 即便统一了财务条例和细则，除非条例和细则还得到加强，并变得更加精确，否则，联合国系统无法实现统一业务流程目标的内在风险依然存在。审计委员会将在今后的报告中，继续审议统一财务细则和条例、业务流程以及财务报表列报方式的问题。审计委员会认为，各行政当局必须继续审查协调统一的事项。", "年度账目与报告", "31. 根据公共部门会计准则的要求，联合国各实体将要每年，而不是每两年报告并提供一次财务报表。年度财务报表也应得到审计，以确保报表是可信并可依赖的，这一观点得到联合国外聘审计团以及公共部门会计准则工作队的支持。这将相应为负责治理工作的人员提供更及时的资料，说明联合国各实体的财务状况和业绩。", "32. 年度报告将涉及一些问题，其中包括：习惯于两年报告一次的各行政当局在多大程度上为编制年度账目做好了准备；大会将如何管理会计报告及相关外部审计报告增加的数量和频率，特别是对行政和预算问题咨询委员会以及第五委员会的工作安排的影响。", "33. 联合国行政当局正在与包括审计委员会在内的各利益攸关方进行讨论，内容涉及可提交行政和预算问题咨询委员会审议的各种可能的假设、备选方法和解决方案。鉴于改用年度报告将从2012年开始产生影响，因此，迫切需要联合国行政当局解决这一问题。", "三. 关于联合国和维持和平行动的审查结果和建议", "A. 执行期限方面的进展情况", "联合国和维持和平行动执行《国际公共部门会计准则》的期限", "34. 截至2009年6月30日，联合国(包括维持和平行动)把原定2012年执行《公共部门会计准则》的期限从2012年修改至2014年。重要日期如下：", "• 维持和平行动采用《公共部门会计准则》的第一个整年将是2014年6月30日终了的财政年度，这意味着行政当局需要在2013年7月1日前做好各个具体方面的准备", "• 联合国采用《公共部门会计准则》的第一个整年将是2014年12月31日终了的财政年度，这意味着行政当局需要在2014年1月1日前做好准备。", "35. 行政当局解释说，决定推迟是为了协调《公共部门会计准则》的执行与团结项目的准备工作，因为现有的资源和资产管理系统不经过费用高昂的重大升级或人工干预就无法为编制符合《公共部门会计准则》的财务报表生成所需的会计数据。到2010年下半年团结项目的时间表已明显滞后，2011年3月联合国管理委员会获悉，团结项目至少滞后目标交付日期(2014年12月)10.5个月；因此，该项目在2015年之前将不会得到全面部署，无法按计划支持《公共部门会计准则》的执行工作。", "36. 2011年3月，成立了由外勤事务部代表主持的联合工作组，以便利这两个项目之间改进协调工作，并支持团结项目主任编制和向团结项目指导委员会提出支持《公共部门会计准则》的团结项目战略和时间表。在审计委员会审查时，正在重新评估团结项目的执行情况，以确定能否将其重点重新放在提供支持在2014年执行《公共部门会计准则》所需的各项要素上。预计2011年6月至8月间行政当局将作出这方面决定，届时维持和平行动的准备时间将不足24个月(2013年7月1日)。审计委员会还注意到，团结项目主任于2011年6月辞职，在编写本报告时，审计委员会还不清楚这对团结项目进而对《公共部门会计准则》的执行产生的全面影响。", "37. 虽然把支持《公共部门会计准则》的那部分团结项目列为优先事项显然有道理，但是如果这样做，团结项目其他部分的执行工作必然被推迟。这可能造成其他优先领域业务转型的种种风险；还可能因工作人员疲惫不堪和资金耗尽，造成团结项目在势头和预算方面的风险，有可能推迟实现甚至减少团结项目提供的全部预期效益。要作出知情决策就需要透彻考虑和阐明潜在的相互依存关系、风险和效益。审计委员会还关注的是，倘若分阶段执行团结项目证明不可能或只是部分可能，目前还没有一个商定的应急计划。审计委员会认为，进一步推迟《公共部门会计准则》的执行日期会损害联合国的信誉并危及《公共部门会计准则》的成功采用。因此，联合国必须编制务实和可行的应急计划，以便在没有团结项目的情况下实现2014年执行目标。", "38. 审计委员会建议行政当局全面审查在分阶段执行团结项目和《公共部门会计准则》方面的所有潜在相互依存关系、风险、费用和效益。", "39. 审计委员会还建议，行政当局应编妥并商定应急计划，以备分阶段执行团结项目证明不可能或执行失败。", "40. 行政当局表示，它认识到必须管理这两个项目实现效益的工作，并向审计委员会通报说，6月下旬管理委员会已获悉团结项目不可能为支持《公共部门会计准则》的执行而全面重划阶段。因此，行政当局已开始制定应急计划，以减少团结项目可能推迟部署所带来的风险。应急计划将包括对团结项目部分重划阶段、对目前职能系统进行少量修改和采取一些人工变通方法，打算由行政当局定期审查应急计划，以根据这两个项目的进展情况作出调整。审计委员会迄今还未看到任何计划，它强调，任何人工变通方法只能是在落实全面运作的企业资源管理系统之前，短时间内采取的临时权宜之计。", "执行计划", "41. 行政当局告知审计委员会，《公共部门会计准则》项目是在高级执行计划的基础上运作的，该计划重点针对会计政策空白、培训教材编写和团结项目所需的设计工作。到2010年，其他工作中列入了逐步执行《公共部门会计准则》的要求，例如，确认和详细披露与离职后医疗保险有关的负债；基本建设总计划未完工程会计的合理化；披露实物捐赠及或有负债。这些事态发展已经开始有助于为联合国所有单位接受《公共部门会计准则》的执行将带来的变化铺平道路，但它们仅仅是开始。", "42. 2010年年底，行政当局开始编制比以前的计划更详细的执行计划。这将包括业务领域(特派团、部厅)的详细规划模板，其中更加注重在执行新的业务流程及收集和编制《公共部门会计准则》执行工作所需的原始会计数据方面存在的实际和后勤挑战。联合国最近还进行了一项调查，评估各办公室和特派团执行《公共部门会计准则》的准备情况并确定要开展的工作规模。在编写本报告时，详细的执行计划仍在编写之中，目标是在2011年晚些时候获得批准。", "43. 执行计划必须与特派团和总部以外办事处协商后定稿，审计委员会注意到，2011年6月的财务主任讲习班曾讨论过这个问题，以便过后不久敲定具体工作地点的计划。审计委员会欢迎行政当局更加重视处理实际执行问题。没有明确的总体执行计划，各业务领域将难以有效地参与《公共部门会计准则》的采用；不阐明关于团结项目的决定且不制订详细的执行计划，审计委员会就不能够就联合国是否能够至迟在2014年采用《公共部门会计准则》提供任何肯定的保证。现在编制详细的执行计划是一项关键路径任务，不能拖延。执行计划中必须明确列出的一些关键任务如下：", "(a) 编制会计数据：为了符合《公共部门会计准则》的规定，联合国必须从全球业务中收集大量的新数据。例如，收集关于资产价值、数量和位置的数据，这是持有联合国大多数资产的维持和平行动一项特别紧急的任务。把“遗留的”会计数据从现有的众多系统转移到新的团结系统也是一项重要任务。在审计委员会审查时，系统收集和清理数据的工作大部分才刚刚开始，行政当局不能向审计委员会提供一个明确计划，用于清理“遗留”系统数据、向团结项目转移数据和为审计提供数据。这项关键任务的规模不能低估，附件二列出需编制数据的范围和涉及的挑战。审计委员会注意到并欢迎内部监督事务厅(监督厅)制定工作方案，支持行政当局编制会计数据和加强业务领域的合规行动。审计委员会将与监督厅密切协调，使这项工作能够有助于提供审计委员会所要求的保证；", "(b) 编制财务报表草稿：通过使用真实会计数据编制一套 “模拟”示范账目，联合国可以测试其编制《公共部门会计准则》合规账目的准备情况，同时审计委员会能够在开始执行《公共部门会计准则》之前查明潜在的薄弱环节和提出咨询意见。联合国《公共部门会计准则》执行小组已编制了一个《公共部门会计准则》示范账目，但由于会计政策的一些问题尚未解决，还没有把它提交给审计委员会。执行小组也认识到采用实际数据编制财务报表草稿供审计委员会评估的重要性，但它认为自己没有编制全面“模拟”账目的资源。如果不使用真实数据进行“模拟”，像联合国这样的复杂组织就不可能在计划的执行时限内完成可经受审计的质量足够高的财务报表；", "(c) 对期初余额的审计：在采用准则的第一年建立资产、负债和准备金的期初余额将支持示范财务报表的编制工作。这实际上是全面权责发生制会计的起点，可据此确定期初财务状况。审计委员会注意到，《公共部门会计准则》执行小组预计将按基金逐个编制期初余额，并在此基础上向审计师提供期初余额。审计委员会关切的是，就像主要会计数据的收集工作存在不确定性那样，并未明确说明如何通过这种渐进办法编制期初余额和期初资产负债表以及相关时限。", "44. 审计委员会建议，在决定团结项目的执行战略后，行政当局尽快为联合国和维持和平行动编制一个完整、实用和详细的执行计划。", "45. 审计委员会还建议，行政当局的执行计划：", "(a) 以在业务层面的支持计划为依托，为各部门、总部以外办事处和特派团的努力提供明确重点；", "(b) 确定如何及何时收集和清理关于非消耗性财产、租赁、法律义务、担保、消耗品库存、合同和当地征聘人员的权责发生制会计数据、把它们迁移到团结项目和为审计提供这些数据；", "(c) 包括明确的计划，比照一套符合公共部门会计准则的报表评估联合国财务报表，以确定满足执行时间表所需的必要行动和修正；编制一套使用真实会计数据的“模拟”账目，供审计委员会审查；", "(d) 包括明确的计划，以尽快编制与审计委员会共享的期初余额和资产负债表。该计划应基于风险，重点是先编制最重要办事处的期初余额，并且留出足够时间，以便审计委员会在实际可能情况下尽快、但最迟在采用《公共部门会计准则》的第一个实年结束前3个月审计期初资产负债表。", "46. 行政当局告诉审计委员会，由于时间紧迫，它可能无法编制完整的“模拟”账目，但是它打算对联合国和维持和平行动的最重要和高风险基金进行模拟编制。审计委员会将在2011年期间作为紧急事项跟进模拟审计规划的情况。", "B. 治理和执行安排", "47. 由常务副秘书长主持的联合国管理委员会全面负责和监督《公共部门会计准则》和团结项目的业务转型项目。联合国《公共部门会计准则》项目接受联合国主计长主持的《公共部门会计准则》指导委员会监督。团结项目指导委员会由主管管理事务副秘书长主持。在2010年12月前，两个指导委员会定期向管理委员会汇报工作。最近加强了治理安排，《公共部门会计准则》指导委员会和团结项目指导委员会须每季度向管理委员会汇报工作。", "48. 鉴于每个项目的规模和技术问题不同，为《公共部门会计准则》和团结项目的执行工作分别设立指导委员会是可以理解和适当的。两者之间明显存在非常密切的相互依存关系，两者都是努力在多个领域实现类似目标；例如，更有效的财务管理政策和流程。推迟执行团结项目产生的影响和建立新的《公共部门会计准则》和团结项目联合工作组进一步突出地表明了这种相互依存关系。", "49. 审计委员会认为，这两个项目小组之间加强协作和协调是积极的事态发展。在实现《公共部门会计准则》的惠益方面还存在挑战，这又取决于业务流程的修订和企业资源规划系统的全面运作，为此，审计委员会鼓励行政当局考虑能够开展协作的其他领域，特别是由于业务领域日益参与执行工作且两个项目都对它们提出了要求。同时审计委员会注意到，工作组没有正式的工作范围，目前还不清楚它作出的决定如何获准和执行。", "50. 在联合国，团结项目和《公共部门会计准则》的业务变革活动可进行合并，从而获得费用(通信、培训和工作人员时间)和效用上的好处。变革管理讯息作为联合发出的讯息将会得到更加有力的传播，高级管理人员的时间也将得到更有效利用。它们还将有助于改变人们关于《公共部门会计准则》是一项技术性财务举措的看法，并开始在人们头脑中形成它能够对他们产生真正影响的印象。", "51. 要从《公共部门会计准则》和团结项目的新流程和新信息获得全面惠益，整个组织需要建立一个明确而有效的问责制和风险管理框架；这种说法隐含的意思是需要调整提供联合国服务的管理人员的适当问责和权力。这些都是获得惠益的必要前奏，必须纳入总体变革方案。否则，管理部门就不能在使用新信息提高其活动成本效益方面获得授权或接受问责，全面惠益就不能实现。审计委员会了解到联合国改善问责和风险管理的各项举措，这是审计委员会要在今后报告中进一步审议的问题。", "52. 审计委员会建议，行政当局评估把团结项目和《公共部门会计准则》的业务变革活动相结合的可行性。", "53. 审计委员会建议，行政当局把新设的重要联合工作组列入其正式治理结构并制定说明其决定如何获准和执行的明确工作范围。", "执行小组", "54. 任何重大的业务转型项目都必须有资源充足和具备能力的项目专门执行小组。2007年联合国成立了《公共部门会计准则》执行项目小组。它拥有商定的18人编制，但在审计委员会审查时有3个空缺并且在未满员的情况下运作了12个多月。关键员额一直空缺，包括1个变革管理人员，该员额负责协调《公共部门会计准则》项目与团结项目业务流程的交付并管理培训等业务转型过程的其他方面工作。行政当局告诉审计委员会说，它有意使这些员额保持空缺，以保护其执行阶段的预算。审计委员会认为，这些空缺不可避免地造成了在完成详细执行计划方面的拖延。审计委员会获悉，该项目小组将在2011年12月前实现满员，包括征聘“变革管理人员”。", "55. 审计委员会建议，行政当局在重新评估所需的资源、技能和经验的基础上，按照经修订的执行计划、任务规模和变革管理的挑战建立《公共部门会计准则》执行小组。", "56. 《公共部门会计准则》执行小组编写了一系列广泛的《公共部门会计准则》会计政策文件，审计委员会参与就这些文件提出咨询意见的工作。按目前的预测，经核准的会计政策框架到2012年3月才能完成。《公共部门会计准则》大多数政策将通过团结项目向各业务单位推行，并在大多数情况下与团结项目的执行工作结合在一起。除了目前关注的执行战略和团结项目推迟执行的问题之外，审计委员会认为，这个时间表可能没有为业务单位留下足够的时间，使它们为正确和始终如一地执行政策和相关流程做好准备。特别是鉴于维持和平行动的规模，它们极有可能在执行第一年编制不出合规的财务报表。", "57. 审计委员会建议，在制订《公共部门会计准则》执行计划时，行政当局考虑安排足够的时间和资源，在核准之前与审计委员会进行适当程度的咨询，找出执行中可能产生的任何风险或问题。", "58. 对于任何重大项目，公认的良好做法是建立一个核心小组，负责处理项目顺利交付、进度跟踪和报告所需的大量项目管理工作并为全组织建立一个共同项目管理办法。审计委员会注意到，联合国《公共部门会计准则》执行小组为此正在创建一个项目管理办公室，它设想该办公室将有助于减少各特派团和办事处的行政负担和更好地了解联合国内各级的进展情况。", "《公共部门会计准则》的预算", "59. 2006年大会为采用《公共部门会计准则》核准的指示性预算总额为2 300万美元(见附件二)。这不包括业务领域越来越多地参与执行工作将涉及的大量但无法量化的费用。截至2011年2月底，行政当局在2006年至2011年期间已花费约470万美元，在本两年期结束前还有610万美元。", "60. 尽管行政当局告诉审计委员会，采用《公共部门会计准则》的最终预算总额将保持在大会最初核准的2 300万美元，但是作为秘书长关于整个联合国减少费用的要求的一部分，2012-2013年拟议预算已大幅度减少。审计委员会认为，鉴于《公共部门会计准则》执行工作面临的挑战，这可能不会起到帮助作用；如果从较长期来看这样做拖延执行工作，从而增加整体费用，并推迟获得惠益(“回报”)，这还可能证明会带来问题。审计委员会指出，将需要重新评估《公共部门会计准则》的预算是否充足并使预算与详细执行战略保持一致。", "61. 审计委员会还注意到，在2 300万美元的预算总额(见附件二)中，分配了750万美元用于雇用咨询人；570万美元用于一般临时人员；520万美元用于订约承办事务、差旅和其他费用。与此相比，仅分配460万元用于常设员额。这可能说明，《公共部门会计准则》执行小组的人数比所需的少，因而可能需要大量短期的外部支助人员。审计委员会关切的是，使用咨询人的办法是否与发展可持续内部财务管理能力和技能的需要保持平衡。", "62. 审计委员会建议，在制定新的执行战略时，行政当局重新评估《公共部门会计准则》的预算，确保可用的预算与更新的《公共部门会计准则》执行计划相匹配，确保有足够的资源用于支持新的战略，以实现第一年和往后采用准则编制财务报表的时间表。", "风险评估和管理", "63. 审计委员会关切的是，在它审查时，没有为《公共部门会计准则》执行项目确定正式和系统的风险管理办法，包括风险登记册。对于这个重大的业务转型项目，审计委员会本期望从一开始就看到项目的主要风险得到确定、按严重程度分出轻重缓急并被明确分配给有关单位，这些单位拥有管理风险的授权、采取明确的减缓行动和定期提供风险报告。2011年3月向管理委员会所作的《公共部门会计准则》和团结项目状况介绍的确总结了每个项目的主要风险，其中特别强调要建立可靠的期初资产负债表、编制合规的财务报表和获得外部审计对会计政策的认可。然而，没有评估这些风险发生的概率或可能产生的影响，也没有在一些较高层面的考虑之外制定如何减轻这些风险的详细计划。", "64. 行政当局同意审计委员会的建议，即《公共部门会计准则》和团结项目联合工作组应作为紧急事项，编制执行《公共部门会计准则》的风险框架，其中确定主要执行风险、规定减缓风险的途径(包括酌情建立应急预算)和指定管理这些风险的权限和问责。", "65. 行政当局评论说，联合国《公共部门会计准则》执行小组已编制了风险登记册并于2011年6月把它提交给《公共部门会计准则》指导委员会。现已开始制定减缓风险战略并为每个风险指定明确的权限和问责。", "《联合国财务细则和条例》的修订", "66. 《公共部门会计准则》执行小组目前正在拟订对《联合国财务条例和细则》的拟议修订，以便反映采用权责发生制会计和《公共部门会计准则》的情况。这项工作预计将在2011年秋完成，供大会核准。审计委员会尚未看到拟议修正案，但了解到行政当局打算向审计委员会提供这些修正案，以便在核准之前确认新的细则和条例与权责发生制会计的基本内容相一致。", "四. 关于联合国各基金和方案的审查结果和建议", "概要", "67. 报告此节涉及包括联合国合办工作人员养恤基金在内的联合国七个基金和方案，其计划采用公共部门会计准则的日期都在2012年。审计委员会意识到这些实体处于其计划实施时间表的不同阶段，但认为对于这些实体来说到2012年1月1日实施公共部门会计准则是可能的，不过若要按时实施公共部门会计准则，有些实体仍须完成关键任务，需要减缓重大风险。目标日期之前所剩时间很少，这些实体延误不起。", "68. 即使到2012年能提交符合公共部门会计准则的财务报表，但由于大多数实体没有适当的惠益实现战略和实施计划，可能还要拖延很长时间才能实现采用公共部门会计准则的预期惠益。", "69. 审计委员会在意见备忘录和致管理当局函中向每个实体提供了详尽的反馈，并将继续在实体一级详细报告。在本报告中，审计委员会在表1内汇总了公共部门会计准则实施计划的重要内容，以概述各实体截至审查之日的进展情况。", "表1 对照实施目标的进展情况", "主要标准\t开发署\t人口基金\t项目厅\t儿基会\t难民署\t近东救济工程处 \n2012年实施公共部门会计准则的风险\t低度风险\t中度风险\t中高度风险\t中度风险\t中度风险\t中度风险\n有一项全面实施计划\t是\t是\t是\t是\t是\t是\n计划确定了适当的里程碑\t是\t部分\t是\t是\t是\t是\n实体正在按计划逐个达到计划中的里程碑\t是\t是\t部分；比计划有些延迟\t是\t部分；比计划有些延迟\t部分；比计划有些延迟\n有符合目的的企业资源管理系统\t是\t是\t是\t部分；用户接受测试已经启动，将于2011年8月底完成\t是\t部分；依靠部分合规但可能无法长期持续的遗留系统\n收集、清理和迁移会计数据计划进展顺利\t正在进行中\t正在进行中\t正在进行中\t正在进行中\t正在进行中\t是\n示范财务报表草案已经编制并提交审计委员会\t是\t是\t否\t是\t否\t否\n有确定期初余额的清楚计划\t是\t是\t部分\t部分；审计时未制订完计划\t否\t否；不够详细\n计划利用真实会计数据进行一次“模拟”\t是\t是\t部分\t部分\t是，但时间表很紧\t是", "对照实施目标的进展情况", "70. 审计委员会对照各基金和方案实施计划中列出的里程碑审查了它们取得的进展，并发现有些实体落后于时间表。总体上，审计委员会注意到，各实体制订了附有里程碑的详细计划，而且达到这些里程碑的进展情况得到监测并向高级管理层报告。", "71. 审计委员会建议，所有尚未这样做的实体：(a) 实施适当的项目监测控制；(b) 加强其计划，在其中列入编制“模拟”示范财务报表和期初余额的细节；(c) 优先安排在运行日和之前必须开展的活动，将可在运行日之后开展的活动延后（特别是那些落后于时间表的实体）。", "示范财务报表和“模拟”账目", "72. 示范财务报表和“模拟”账目的编制是实施公共部门会计准则的关键步骤。这为各实体提供及早机会，测试自己是否准备好编制符合公共部门会计准则的财务报表，同时使审计委员会能够找出潜在缺欠并提供咨询意见。开发署和人口基金已经编制示范财务报表并提交审计委员会；但是，这些报表还没有载列真实会计数据，需要在这些实体完成进一步会计政策修订之后加以修订，并再次与审计委员会讨论。其余实体虽已将完成示范财务报表列入各自计划，但仍未编制示范财务报表。", "73. 虽然大多数实体正在计划在实施前利用真实会计数据编制“模拟”报表，但审计委员会感到关切的是，这项工作的时间表将很紧，任何延误将导致无法留下足够时间来审查和改正。完成两年期账目将是编制期初余额的先决条件，它的时限也可能会影响进行“模拟”的时限。", "74. 审计委员会建议，所有尚未这样做的实体(a) 将其财务报表与一套符合公共部门会计准则的报表作比照，以确定实现实施时间表所需的必要行动和修订；(b) 编制示范财务报表并制定使用真实会计数据编制一套\"模拟\"账目的明确计划，同时考虑到给审计委员会留出足够的审查时间。", "企业资源规划系统", "75. 公共部门会计准则对会计交易数据提出更多要求，这意味着各实体需要更先进的企业资源规划系统来实施这些准则。大多数实体在建立符合目的的企业资源规划系统方面取得了很大进展。例如，开发署、项目厅和人口基金共同拥有一个现已建立的企业资源规划系统(阿特拉斯系统)。虽然其中每个实体负责自己系统的规格和配置，但开发署代表所有三个实体负总责。在开发署，系统规格和配置方面的进展落后于时间表。开发署、项目厅和人口基金需要密切监测开发署信息系统和技术办公室的活动如何有助于遵守各自系统定制的时限。", "76. 由于预算限制，近东救济工程处正在计划利用现行企业资源规划系统来实施公共部门会计准则，尽管它在2008年委托进行的一次差距研究得出的结论是，该系统只能达到部分合规，今后可能无法持续。近东救济工程处表示，工程处将向供应商提出必要的系统改动，以确定该系统是否能在政策和程序制定完毕后立即实行这些改动。审计委员会认为这是一个很大风险，将需要严格管理，以避免公共部门会计准则的实施发生任何延误。", "77. 审计委员会建议，开发署、项目厅和人口基金不断审查开发署信息系统和技术办公室的活动如何有助于遵守各自企业资源规划系统定制的时限。", "78. 审计委员会还建议，近东救济工程处不断密切审查其现行企业资源规划系统不能符合公共部门会计准则的风险，并酌情制定应急计划。", "数据收集", "79. 各实体都仍需做大量工作，为实施公共部门会计准则适当收集、清理和迁移数据。公共部门会计准则下的数据收集工作更加复杂，因为各实体需要考虑外地一级和国家办事处保留的数据。附件三举例说明必须收集以支持遵守公共部门会计准则的数据。审计委员会注意到，大多数实体已将数据清理和迁移作为其实施计划的一部分，尽管一般来说都落后于时间表。在人口基金，审计委员会注意到清理任务被指派给不同业务单位，可能需要作为公共部门会计准则项目的一部分加以跟踪，以确保与公共部门会计准则项目总体计划保持一致。审计委员会感到关切的是，如没有适当的计划，外地或国家办事处工作人员就可能得不到培训，可能不熟悉实施公共部门会计准则所需的新政策和程序，例如准确编制资产数量和价值目录的需要。", "80. 审计委员会建议所有尚未这样做的实体为实施公共部门会计准则的数据收集、清理和迁移工作制定明确计划，并立即开始这项工作。", "表2 治理和实施安排", "主要标准\t开发署\t人口基金\t项目厅\t儿基会\t难民署\t近东救济工程处 \n治理安排切合目的，高级管理层参与其中\t是\t是\t是\t是\t是\t是\n有资源充足和干练的实施小组\t是\t部分\t部分\t是\t部分；有些依赖外部专家\t部分；没有项目领导人或专职公共部门会计准则实施小组\n有最新和充足的预算\t是\t是\t是\t是\t是\t部分；但不充足，除了在必要时聘请咨询人方面\n项目有一个结构化风险管理框架\t是\t是\t是\t是\t是\t部分\n完成会计政策框架\t基本完成；一项政策有待最后确定\t基本完成；一项政策有待最后确定\t部分；只有两项政策已经最后确定\t部分；有些政策仍在制定中\t部分；并非所有政策都已经最后确定和获准\t部分；只有两项政策已经最后确定\n外地办事处准备好实施新的政策/程序\t部分；管理复杂的国家办事处交易的全球共享服务中心正在等待东道国政府协定的达成和工作人员征聘的最后确定\t部分\t部分\t否；外地办事处程序尚未准备好或推出\t否；外地办事处程序尚未准备好或推出\t不适用\n财务细则和条例已经修订，并获得批准\t是；订正财务细则和条例已经最后确定，正在等待批准\t是；进展很大\t部分；正在进一步修订\t是；财务细则和条例已经最后确定，正在等待批准\t部分；审计委员会在2011年6月收到草案\t否", "公共部门会计准则项目治理", "81. 审计委员会认为治理安排切合目的，所有实体的高级管理层都参与其中。", "会计政策制定", "82. 制定符合公共部门会计准则的会计政策是重要的早期实施步骤。推迟可能会导致处理必要的系统配置、修订业务程序和使外地办事处和国家办事处准备好实施新政策的计划陷于紧张。审计委员会注意到，有些实体(开发署、人口基金、儿基会和难民署)在最后确定会计政策方面取得了重大进展，而有些实体(项目厅和近东救济工程处)则仍需做很多工作才能最后确定其会计政策。这带来很大风险，因为选定的会计政策对数据收集过程、培训战略、最重要的是对企业资源规划系统的定制具有重大影响。审计委员会强调，各实体都必须最后确定其符合公共部门会计准则的会计政策，并提交审计委员会审查。", "83. 审计委员会建议，所有尚未这样做的实体制定适当战略，减缓2012年1月1日以前阶段计划紧张的风险。", "可用于实施的预算资源", "84. 审计委员会审查了每个实体采用公共部门会计准则的预算是否充足和预算执行管理的情况。一般来说，公共部门会计准则项目小组资源充足，相关利益攸关方提供适当投入，指导委员会为项目小组提供支持。审计委员会注意到，项目厅和近东救济工程处主要依靠内部工作人员，没有聘请公共部门会计准则专家。不过，这两个实体的预算和计划照顾到使用咨询人协助内部小组的情况。对于这些实体来说，利用内部工作人员开展项目有某些减少费用和保留知识的好处，但各实体必须管理其会计政策和程序与公共部门会计准则不够一致以及工作人员时间安排发生冲突的风险，特别是在目标日期临近之际。因此，这些实体规定的公共部门会计准则预算也许不能真实反映实际用于实施准则的资源，因为预算不反映内部财务人员花费的时间。", "85. 近东救济工程处由于预算限制搁置了聘用一名专职项目领导人的计划。难民署将需要依靠外部咨询人完成某些任务，但从长远看将需要适当合格的工作人员来提供并确保采用公共部门会计准则带来的惠益。人口基金仍在为实施小组关键职位征聘人员，而征聘一个员额的过程因预算限制而暂时冻结。项目厅只有一名公共部门会计准则专职人员，尚未征聘其他工作人员来支持公共部门会计准则的实施。", "86. 审计委员会建议，所有尚未这样做的实体(a) 设立资源充足的公共部门会计准则专业实施小组；(b) 根据其最新公共部门会计准则实施计划审查预算是否足够，并相应提供适当资源。", "表3 实现公共部门会计准则全部惠益的管理", "主要标准 开发署 人口基金 项目厅 儿基会 难民署 近东救济工程处", "业务部门充分参与查明潜在惠益 部分 部分 部分 部分 部分 部分", "已制定一项有效的惠益实现计划 否 否 否 部分 否 否", "工作人员培训 部分 部分 部分 是；有具体培训战略和计划；培训将于2011年8月开始进行 制订了计划，准备推出 部分", "通信战略 是 是 是 是 部分 是", "已制定一项有效的业务变革管理方案 是 部分 部分 是 部分 部分", "惠益实现计划", "87. 即使到2012年能提交符合公共部门会计准则的财务报表，由于大多数实体没有适当的惠益实现战略和实施计划，很可能要再拖延很久才能实现采用公共部门会计准则的预期惠益。", "88. 审计委员会建议，所有实体都应制定公共部门会计准则惠益实现计划和关于公共部门会计准则的全组织变革管理方案，包括一项全面的宣传计划，说明公共部门会计准则将带来哪些变化和惠益，以及每个部厅的高级管理层必须如何掌握主动权和推动预期惠益的实现。", "联合国合办工作人员养恤基金", "89. 审计委员会意识到联合国合办工作人员养恤基金处于重新审查实施战略的过程中。基金使用《联合国财务条例和细则》。这些条例和细则最早将于2012年修订，给基金到2012年实施公共部门会计准则增加了不确定因素。基金正在争取养恤金联委会批准基金以使之符合公共部门会计准则的方式对其会计和财务报告继续比照适用《财务条例和细则》；并将请养恤金联委会认可这项过渡性规定，供2011年大会第六十六届会议批准。", "90. 审计委员会注意到，基金若要到2012年实施公共部门会计准则还必须应对一些其他风险。特别是，审计委员会注意到(a) 实施战略不充分：(b) 制定会计政策的进展有限；(c) 没有首席财务干事来领导该项目，没有一个专职的综合实施小组；(d) 有必要充分评估实施公共部门会计准则对其系统的影响。鉴于这些风险，审计委员会感到关切的是，基金到2012年实施公共部门会计准则的战略可能不现实。", "91. 审计委员会建议，整个基金(a) 最后确定其公共部门会计准则实施战略，同时考虑到养恤金联委会的决定；(b) 制定风险减缓计划以处理查明的风险。", "五. 鸣谢", "92. 审计委员会感谢有关实体管理层及其工作人员向审计委员会工作人员提供的合作和协助。", "大不列颠及北爱尔兰联合王国 主计长兼审计长", "审计组长", "埃米亚斯·莫尔斯(签名)", "南非共和国审计长", "特伦斯·农本贝(签名)", "中华人民共和国审计长", "审计委员会主席", "刘家义(签名)", "2011年7月12日", "附件一", "联合国系统组织公共部门会计准则实施目标", "年份\t组织数目\t组织 \n 2014 2 联合国(包括维持和平行动)^(* a) \n 世界贸易组织 2012 10 粮食及农业组织 国际劳工组织 联合国开发计划署^(*) 联合国大学^(*) 联合国人口基金^(*) 联合国难民事务高级专员^(*) 联合国儿童基金会^(*) 联合国项目事务厅^(*) 联合国近东巴勒斯坦难民救济工程处^(*) 联合国合办工作人员养恤基金^(* b) 世界卫生组织 \n 妇女署^(* c) 2011 2 国际原子能机构 \n 万国邮政联盟 2010 8 国际民用航空组织 国际海事组织 国际电信联盟 泛美卫生组织 联合国教育、科学及文化组织 联合国工业发展组织 世界知识产权组织 \n 世界气象组织 \n 2008 1 世界粮食计划署(全面实施公共部门会计准则后的第三年)", "^(*) 由联合国审计委员会审计。", "^(a) 联合国毒品和犯罪问题办公室、联合国环境规划署、联合国人类住区规划署和贸发会议-世贸组织国际贸易中心与联合国采用公共部门会计准则有联系。", "^(b) 联合国合办工作人员养恤基金正在初步计划把其实施公共部门会计准则的时间改到与联合国同时实施。", "^(c) 妇女署应按照联合国开发计划署的时间表采用公共部门会计准则。今年是妇女署开展运作的第一年(2011年)。", "注：联合国气候变化框架、联合国训练研究所和联合国防治荒漠化公约不向大会报告，但将于2014年采用公共部门会计准则。", "附件二", "联合国公共部门会计准则实施预算", "2011年3月", "大会获悉公共部门会计准则预算估计数为2 303.4万美元。这笔预算是每个财政周期在经常预算和维持和平行动支助账户下单独批准。支出状况如下：", "联合国采用公共部门会计准则的支出预测", "(千美元)", "2006-2011年^(*) 2010-2011年 2012-2013年 2014年 公共部门会计\n 支出 余额 估计数^(**) 准则共计", "⑴ 经常预算", "第28 B款，方案规划、预算和账户厅", "员额 2 271.1 541.4 1 179.7 589.9 4 582.0", "一般临时人员 — 656.8 657.4 328.7 1 642.9", "咨询人 — 488.5 193.8 193.8 876.1", "工作人员差旅 118.5 93.8 37.3 50.0 299.6", "订约承办事务 16.7 583.4 583.4 583.4 1 766.9", "其他 43.5 24.6 41.4 20.0 129.5", "小计，第28 2 449.8 2 388.5 2 693.0 1 765.8 9 297.1 B款，方案规划、预算和账户厅", "第31款，共同出资的活动", "赠款和捐款 1 335.9 241.3 500.0 200.0 2 277.2", "经常预算共计 3 785.7 2 629.8 3 193.0 1 965.8 11 574.3", "⑵ 维持和平支助账户^(***)", "一般临时人员 871.8 809 1 580.8 790.4 4 051.7", "咨询人 62.4 2 582 3 351.7 650.0 6 646.1", "差旅 20.2 62 405.4 202.7 690.1", "其他 — — 52.2 18.8 71.0", "维持和平支助账户共计 954.4 3 452.5 5 390.1 1 661.9 11 458.9", "总计⑴和⑵ 4 740.1 6 082.3 8 583.1 3 627.7 23 033.2", "^(*) 截至2011年2月28日的支出总额。", "^(**) 这些数字是高层面的估计数。", "^(***) 维持和平支助账户2010-2011年余额包括2010/11年度分配款和2011/12年度头六个月的估计数。", "附件三", "支持符合公共部门会计准则的财务报表所需会计数据的例子", "固定资产的存在、所有权和估值。对于许多实体特别是联合国维持和平行动来说，这将是一个重大问题。联合国需要明确确定它拥有哪些资产，这些资产价值多少，可以使用多长时间。这对于确定其资产基础和消耗这些资产的未来开支至关重要。这将可能需要对所有编目的资产进行外部专业资产估值，并确定其剩余使用期。", "采购。目前约有220个框架协定和数千个单独合同或一次性协定。每项协定都有一套复杂的采购安排。在评估采用公共部门会计准则取得的进展时，签订的合同类别将影响相关交易、资产和负债的核算。因此必须考虑这些合同的性质，以确定其是资产采购、服务采购、金融租赁、营业租赁还是金融工具。", "法律债务和担保。同样，这对以与租赁基本相同的方式确定这些债务和担保的正确会计处理而言是至关重要的。", "为改用公共部门会计准则编制非消耗性财产和消耗性财产数据。预期这类数据的价值和数量将是巨大的(例如，粮食供应管理系统为在外地的大约100 000名联合国部队人员采购和分发粮食供应)。挑战将是确保视需要全面可靠地收集这类数据，以避免财务报表有重大遗漏或错误。", "特派团当地征聘工作人员的资料。除了集中保留记录的国际工作人员外，在外地地点当地为维持和平特派团、特别政治任务或其他特别任务征聘了约10 000名人员。目前，这些资料在多个当地系统保存，并手工合并到相关财务报表。此外，国际工作人员和当地征聘工作人员都享有各种工作人员福利，如离职回国补助金、教育补助金、生活津贴和离职后医疗保险。为采用公共部门会计准则，将需要提供资料，说明工作人员休假(包括积存未用休假)；工作人员福利付款，特别是教育补助金(现在当地征聘工作人员也可享有教育补助金)等应计福利详情；以及任何离职后应享福利及与此有关的潜在负债。", "[1] 三个提前采用该准则的组织是：世界粮食计划署、国际民用航空组织和世界卫生组织。世界粮食计划署于2008年成功采用公共部门会计准则。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 131 of the provisional agenda*", "Financial reports and audited financial statements, and reports of the Board of Auditors", "Progress in the implementation of the International Public Sector Accounting Standards", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the General Assembly a letter dated 14 July 2011 from the Chair of the United Nations Board of Auditors transmitting the report of the Board of Auditors on the progress in the implementation of the International Public Sector Accounting Standards as at 30 June 2011.", "Letter of transmittal", "12 July 2011", "I have the honour to transmit to you the report of the Board of Auditors on the progress in the implementation of the International Public Sector Accounting Standards as at 30 June 2011.", "(Signed) Liu Jiayi Auditor-General of the People’s Republic of China Chair of the United Nations Board of Auditors", "The President of the General Assembly", "of the United Nations", "New York", "Report of the Board of Auditors on the progress in the implementation of the International Public Sector Accounting Standards", "Summary \nIn November 2005, the High-level Committee on Management of theUnited Nations System Chief Executives Board for Coordination madethe landmark recommendation that United Nations system organizationsmove from the internally developed United Nations System AccountingStandards and adopt the International Public Sector AccountingStandards (IPSAS) for the presentation of the organizations’financial statements.\nIPSAS are accruals-based standards, written specifically for thepublic sector and international organizations. Accruals accountingmeans that an organization recognizes costs when they are incurredand income when it is earned, and must account for the value, thevolume and the location of all of its assets and liabilities. Thisimproved information will provide Member States with greater insightsinto entities’ performance and financial position, and managementwith better information to maintain control, drive cost-effectivedecision-making, and secure long-term financial sustainability.\nIn the light of implementation delays, the imminent deadlines formany entities, and the concerns previously expressed by the Board ofAuditors, the Advisory Committee on Administrative and BudgetaryQuestions recommended that the Board prepare an annual report onprogress in IPSAS implementation (see A/65/498). Building on itsprevious work, the Board examined progress by the United Nations(including peacekeeping operations) towards its 2014 implementationtarget and by a range of other funds and programmes within itsportfolio towards their 2012 target. This first IPSAS progress reportby the Board sets out the findings and conclusions from that work.The table at the end of this summary provides an overview of theBoard’s findings across all entities. Overall conclusion of the Board \nThere are a number of critical risks to achieving IPSASimplementation on time and to realizing the benefits envisaged by theGeneral Assembly when it took the decision to adopt IPSAS. Unlessurgent and effective action is taken to address these risks, it ishighly unlikely that IPSAS will be successfully implemented on targetwithin the United Nations, its peacekeeping operations and its fundsand programmes. The Board is concerned that there must be no furtherdeferment of the existing deadlines.\nFor the United Nations and the peacekeeping operations, the Boardwelcomes the increased focus on practical IPSAS implementation. Thereis a need to urgently decide on the realistic prospect of a revisedenterprise resource planning (Umoja) implementation strategy insupport of IPSAS implementation in 2014; and then to develop and rollout a practical and detailed IPSAS implementation plan across alloperational areas if the huge task of gathering and cleansing theaccounting data is to be achieved. This is a particularly high riskfor the United Nations and peacekeeping operations, given the absenceof a detailed implementation plan, the scale, the number and thecomplexity of the entities involved, and the uncertainties over theimplementation of Umoja.\nIn the Board’s view, implementation on target (by 2012) is possiblefor all of the remaining entities, but there are significant andpressing risks to be managed if they are to achieve this. The Boardis particularly concerned about progress to date by the UnitedNations Joint Staff Pension Fund, which is yet to obtain approval ofits Pension Board to continue applying the Financial Regulations andRules “mutatis mutandis” to its accounting and financial reportingprocess in a manner that allows it to be IPSAS-compliant by 2012. TheBoard is also concerned about the entities with implementationtargets for 2012 that have not yet finalized their accountingpolicies.\nWhile important to accountability and transparency, the achievementof unmodified audit opinions alone will not signal successful IPSASimplementation. It is the benefits to improved decision-making andmore cost-effective delivery that are important. Securing thesebenefits will require engagement across all operational areas andsignificant cultural change. The Board recognizes that delivery ofthe full benefits from IPSAS adoption for financial reportingpurposes and accrual accounting for management purposes will not bedelivered immediately but will come from careful management overtime. The Board is concerned that benefits realization plans areabsent in nearly all entities and that appropriate change managementarrangements are not yet in place to achieve the necessary businessand cultural transformation. The Board has seen little evidence thatoperational areas understand the new information that will beavailable to them through IPSAS, or are considering and preparing forhow they will use it to improve the cost-effectiveness of theiroperations.\nTherefore, even if IPSAS-compliant financial statements are deliveredby the target dates, there remains a significant risk of considerabledelays before the full benefits from adopting accruals accountingunder IPSAS are realized.\nTo realize the full benefits of the new processes and informationunder IPSAS, there also needs to be clear and effectiveorganizational accountability and risk management frameworks thatalign both the appropriate accountability and authority against thosemanagers responsible for delivering the core services and mandates oftheir organizations. The Board is concerned that without anappropriate accountability framework, within the United Nations inparticular, managers will not be empowered or held accountable forusing the new information to deliver more cost-effective operationsand services.Key findings on the United Nations and its peacekeeping operations:implementation target 2014 Inter-dependency with Umoja \nThe IPSAS adoption strategy selected by the United Nations and itspeacekeeping operations is dependent on the successful implementationof Umoja, which, in addition to many other benefits, will provide thesystems necessary to process increased data requirements under IPSAS.Delays with the Umoja project mean that it will now not be completedin time to support IPSAS as envisaged, and the Board is yet to seeany firm plans on how the Umoja project will be reprioritized tosupport IPSAS implementation. Should the reprioritization of Umojaprove impossible, or only partially possible, there is currently nofirm contingency plan in place, but the Board recognizes the UnitedNations and peacekeeping operations are aware of and beginning toaddress this risk. Risks to implementation \nUntil a decision has been made on Umoja, and the Administration hasprepared a clear overarching implementation plan setting out the fulltimetable implications, it is not possible for the Board to provideany firm assurance that the United Nations is on track to deliverIPSAS adoption by 2014. Regardless of the outcome of the decision,the Board notes further significant risks to achieving the targetdate:\n• Effective risk management of IPSAS adoption is now crucial. Atthe time of the Board’s review, there was no formal risk managementframework for the project, though the Administration hassubsequently informed the Board that a risk register has since beenput in place;\n• The significant exercise needed to gather data to value assetsand arrive at meaningful opening balances is not well advanced andmany operational areas are not yet primed to undertake the task.The successful completion of the exercise will require concertedefforts from the whole organization;\n• The United Nations IPSAS Implementation Project Team is notconfident that it has the resources to prepare “dry run” financialstatements with real accounting data. Without a “dry run” in theyear prior to IPSAS implementation it is unlikely that anorganization as complex as the United Nations will be able toestablish opening balances for asset values in the balance sheetand achieve financial statements of sufficiently high quality towithstand audit within the planned implementation time frames;\n• There will be insufficient time for operational areas to be readyto implement the policies and the associated processes correctlyand consistently. Given the scale of peacekeeping operations inparticular, this is a serious risk to achieving compliant financialstatements in the first year of implementation. Benefits and change management \nThe Board has seen little evidence of the deployment of the changemanagement resources and methodologies needed to support IPSASimplementation and tackle the cultural changes needed to embedaccruals-based concepts; for example, the need for non-financialstaff to recognize the importance of reporting the progress ofprocurement from the point of placing an order to receiving thegoods, receiving the invoice and then making final payment. Morecould be done to integrate the change management activities for theIPSAS and Umoja projects.Key findings on the United Nations funds and programmes:implementation target 2012 \nThe findings below relate to the Board’s examination of the progresson IPSAS implementation at the United Nations Development Programme(UNDP), the United Nations Population Fund (UNFPA), the UnitedNations Office for Project Services (UNOPS), the United NationsChildren’s Fund (UNICEF), the Office of the United Nations HighCommissioner for Refugees (UNHCR), the United Nations Relief andWorks Agency for Palestine Refugees in the Near East (UNRWA) and theUnitedNations Joint Staff Pension Fund. In the Board’s view, implementationon target is possible for all of these entities, but the Board hasthe following key concerns:\n• Despite the 2012 deadline, most organizations have not finalizedall accounting policies, and significant work remains to adequatelycollect, cleanse and migrate data for IPSAS implementation, withuncertainty about how big this task might be in some cases. TheBoard is concerned that delays in the completion of accountingpolicies may have the effect that field offices at the entitiesmight not be trained and familiar with the new policies andprocedures necessary for IPSAS implementation; for example, theneed to accurately catalogue the volume and value of assets;\n• While most entities are planning to develop “dry run” statementsprior to implementation using real accounting data, the Board isconcerned that the timetable for this is now very challenging andany delays could leave inadequate time for review and correction;\n• Fully resourced and expert implementation teams are not in placein most entities. UNRWA lacks a specific project leader ordedicated implementation team. UNHCR is overly reliant on externalconsultants, while UNFPA is still in the process of recruiting forsome key positions in its implementation team;\n• The United Nations Joint Staff Pension Fund still needs to obtainapproval of its Pension Board to continue applying the FinancialRegulations and Rules “mutatis mutandis” to its accounting andfinancial reporting process in a manner that allows it to beIPSAS-compliant by 2012. The Board has identified a number of risksthat need to be mitigated if the Fund is to meet its deadline of 1January 2012.\nFor several entities, even if IPSAS-compliant financial statementsare delivered by 2012, it is highly unlikely that the intendedbenefits of IPSAS adoption will be realized without significantfurther delay owing to the absence of appropriate benefitsrealization strategies and change management processes at mostentities.\n Recommendations \nIn the light of the key findings above, the Board has made detailedrecommendations in the main body of this report. In summary the mainrecommendations are:\n (a) That the United Nations and peacekeeping operations: \n• Fully examine all of the potential interdependencies, risks,costs and benefits of a phased implementation of Umoja and IPSAS\n• Include contingency plans, should the phased implementation ofUmoja prove impossible or fail\n• Complete a practical and detailed implementation plan for theUnited Nations and peacekeeping operations as soon as possibleafter a decision has been made on the Umoja implementationstrategy, setting out how and when accruals accounting data will becollected, cleansed and migrated to Umoja. The overarching planshould be underpinned by supporting plans at the operational levelto provide a sharp focus for the efforts of departments, officesaway from Headquarters and missions\n• Develop, as a matter of urgency, an effective risk framework forIPSAS implementation.\n(b) That all entities that have not already done so, including theUnited Nations and peacekeeping operations:\n• Prepare model financial statements and produce clear plans for a“dry run” set of accounts with real accounting data, factoring insufficient time for review by the Board\n • Establish a fully resourced and expert IPSAS implementation team \n• Establish a clear plan for data collection, cleansing andmigration for IPSAS implementation, communicate requirements torelevant staff, and urgently commence with the exercise\n• Establish an IPSAS benefits realization plan andorganization-wide change management programme for IPSAS, includinga comprehensive communications plan to set out the changes andbenefits that IPSAS will bring, and how senior management in everydepartment and office must take ownership and drive the delivery ofthe intended benefits.", "Table Progress towards IPSAS implementation", "Maincriteria\tUnitedNations(2014)\tPeacekeepingoperations(mid-2013)\tUNDP(2012)\tUNFPA(2012)\tUNOPS(2012)\tUNICEF(2012)\tUNHCR(2012)\tUNRWA(2012) \nBoard’sassessmentofachievingIPSASimplementation\tHighrisk\tHighrisk\tLowrisk\tMediumrisk\tMedium-high\tMediumrisk\tMediumrisk\tMediumrisk \n risk Entity ison trackagainst keymilestonesinimplementationplan\tNodetailedimplementationplan\tNodetailedimplementationplan\tYes\tYes\tPartially;some\tYes\tPartially;some\tPartially;some slippage slippage\tslippage against against\tagainst \n plans plans\tplans\nA fit forpurposeenterpriseresourcemanagementsystem isin place\tNo.Umojaisunderdevelopmentbutbehindschedule.\tNo.Umojaisunderdevelopmentbutbehindschedule.\tYes\tYes\tYes\tPartially\tYes\tPartiallyPlans forgathering,cleansingandmigratingaccountingdata ontrack\tWorkhasonlystarted.\tWorkhasonlystarted.\tInprogressand\tInprogressand\tInprogressand\tInprogressand\tInprogressand\tYes \n ongoing\tongoing\tongoing\tongoing\tongoing\t\nModel draftfinancialstatementshave beenpreparedand sharedwith theBoard\tNo\tNo\tYes\tYes\tNo\tNo\tNo\tNo\nThere areclear plansforestablishingopeningbalances\tPartially\tPartially\tYes\tYes\tPartially\tPartially\tNo\tNoPlanned fora dry runusing realaccountingdata\tPartially\tPartially\tYes\tYes\tPartially\tPartially\tYes,but\tYes timetable is \n tight\t\nAneffectivebenefitsrealizationplan hasbeenestablished\tNo\tNo\tNo\tNo\tNo\tPartially\tNo\tNo\nAneffectivebusinesschangemanagementprogrammehas beenestablished\tNo\tNo\tYes\tPartially\tPartially\tYes\tPartially\tPartially", "Page\nI.Background 10II.Managing 11 the benefits from IPSAS \nadoption III.Findings 16 and recommendations on the United Nations and peacekeeping \noperations IV.Findings 23 and recommendations for the United Nations funds and \nprogrammes \nV.Acknowledgement 32\nAnnexes I.United 34 Nations system organizations IPSAS implementation \ntargets II. Budget 36 for IPSAS implementation at the United Nations March \n 2011 III.Examples 37 of the accounting data required to support IPSAS-compliant financial \nstatements", "I. Background", "1. The International Public Sector Accounting Standards (IPSAS) are accruals-based standards, written specifically for the public sector and international organizations. They are issued by the International Public Sector Accounting Standards Board, which seeks to promote transparency and accountability in the public sector. They are far more precise and detailed than the United Nations system accounting standards, and leave far less scope for inconsistent interpretation.", "2. Accruals accounting means that an organization recognizes costs when they are incurred, and income when it is earned, rather than waiting until payment is made or received. IPSAS also requires details of the value, the volume and the location of an organization’s assets (such as property, equipment, vehicles, food stores, medicine) and liabilities (such as pensions, staff-related liabilities, debts to suppliers, and commitments for funding), which the United Nations organizations have never captured before. Thus IPSAS is really about organizations having a much better understanding, and a more accurate picture, of its costs, income, assets and liabilities. IPSAS will provide greater managerial control over assets and liabilities, and, more importantly, will provide better information to drive cost-effective decision-making, secure better value for money and maintain long-term financial sustainability.", "3. In November 2005, the High-level Committee on Management of the United Nations System Chief Executives Board for Coordination (CEB) made the landmark recommendation that United Nations system organizations move from the internally developed United Nations System Accounting Standards (UNSAS) and adopt IPSAS for the presentation of the organizations’ financial statements; in essence, that the organizations adopt full accruals accounting. In 2006, the General Assembly, in its resolution 60/283, decided to approve the adoption of IPSAS.", "4. The High-level Committee on Management recommended that all United Nations system organizations, with the exception of three early adopters,[1] adopt IPSAS effective no later than 2010. This implementation target proved difficult for a number of organizations for one or more reasons: a lack of IPSAS expertise; the absence of compliant enterprise resource planning systems; and conflicting organizational priorities. As at 30 June 2009, 11 organizations had revised their original timeline; two further revisions took place by 31 December 2009. As at 30 June 2010, two of the four organizations that had previously planned to implement IPSAS in 2011 had deferred to 2012, and one organization set to implement IPSAS in 2012 is now aiming for 2014. The latest implementation dates for United Nations system entities are set out in annex I to the present report.", "5. The Board, in its report on peacekeeping operations for the year ended 30 June 2010 (A/65/5, vol. II), and its concise summary of principal findings issued in July 2010 (A/65/169), continued to highlight concerns with the progress being achieved, the deferral of the dates for IPSAS implementation and, in particular, the continuing problems administrations faced in accurately accounting for assets across global operations and the associated risks of qualified accounts post-IPSAS implementation.", "Mandate, scope and methodology", "6. Against this background, the Advisory Committee on Administrative and Budgetary Questions recommended in its report issued in October 2010 (A/65/498) that the Board prepare an annual report on progress towards IPSAS implementation. Building on its previous work and ongoing engagement with United Nations entities on IPSAS matters, the Board examined progress towards IPSAS implementation across its portfolio focusing on whether the entities concerned:", "• Are on track to implement IPSAS as planned;", "• Have established appropriate governance and implementation arrangements and are identifying and managing the risks to successful implementation;", "• Are actively managing the business transformation required to secure IPSAS-compliant processes and deliver the intended benefits.", "7. There are a number of critical risks to achieving IPSAS implementation on time and to realizing the benefits envisaged by the General Assembly when it took the decision to adopt IPSAS. The Administrations have, themselves, recognized many of these risks, but the purpose of this report is to provide the Board’s independent perspective on these matters, as requested by the General Assembly.", "8. The Board coordinated its work where appropriate with the Office of Internal Oversight Services and other internal audit services. The Board also took account of the 2010 report of the Joint Inspection Unit entitled “Preparedness of United Nations system organizations for the International Public Sector Accounting Standards” (JIU/REP/2010/6). That report found that many United Nations organizations had underestimated the concerted efforts and resources that would be required and had failed to undertake initial preparedness and risk assessments. The review also emphasized that successful transition to IPSAS hinges on strong senior management support and engagement, dedicated intra-departmental task forces and the adoption of a project management approach, and went on to recommend the implementation of 16 best practices.", "9. This report by contrast provides, for the entities reported on, a concise summary of the current status of progress, the key risks to the successful delivery of the full benefits of IPSAS, and the actions required to address these risks. It addresses matters that, in the view of the Board, should be brought to the attention of the General Assembly. The Board’s observations and conclusions were discussed with the respective administrations, whose views have been appropriately reflected in this report.", "II. Managing the benefits from IPSAS adoption", "10. This section of the report considers the benefits that the adoption of IPSAS will confer on the entities involved, and how the realization of these benefits is being managed, including whether the associated business change management disciplines are in place or being established. It also looks at the realization of the benefits from the harmonization and comparability of accounting policies and business processes, and the impact of more timely information that will stem from annual reporting. At all times the Board’s focus was on the entities contained within its portfolio and set out in the scope.", "Benefits realization and change management", "11. The General Assembly originally envisaged (see A/60/846/Add.3) that the benefits of IPSAS adoption were expected to include:", "• Improved internal control and transparency of assets and liabilities generally", "• The alignment of United Nations accounting with best accounting practices through the application of credible, independent accounting standards on a full accruals basis", "• More comprehensive information on costs to better support results-based management", "• Improvements in the accuracy and completeness of non-expendable equipment records", "• Improved consistency and comparability of financial statements.", "12. The Board is aware that the Administration made a presentation at an informal session of the Advisory Committee on Administrative and Budgetary Questions in May 2011 on the importance of managing benefits realization and the potential risks for their non-realization, both within the United Nations Secretariat and across the United Nations system.", "13. The new accruals-based information on, for example, assets, inventories, investments and future liabilities will provide the bedrock for more informed decision-making in all United Nations organizations. It is therefore important that, as this information is gathered, it is given to operational managers and staff who understand and can interpret accrual-based management information, and who are empowered to think differently about, and are held accountable for, using scarce resources more cost-effectively. For these reasons, the delivery of IPSAS-compliant financial statements is only one, albeit important, milestone towards realizing the full benefits. For example, new information of the value, the cost and the useful lives of all property assets will enable entities to develop integrated property asset strategies in a way that has previously not been possible.", "14. The Board recognizes that delivery of the full benefits from IPSAS adoption for financial reporting purposes and accrual accounting for management purposes will not be delivered immediately but will come through careful management, over time. Nevertheless, work towards realizing the benefits from this major change programme must start now to avoid excessive delay in their delivery. The Board is concerned that at all of the entities examined:", "• The intended benefits of IPSAS adoption are not comprehensively collated in any single document, including the high-level IPSAS project plan; and there is neither an action plan for benefits delivery, nor any benefits-tracking arrangements. In essence there is no benefits realization plan for IPSAS adoption across the United Nations system organizations;", "• There is little evidence that operational areas understand the new information that will be available to them, or are considering and preparing for how they will use it to improve the cost-effectiveness of their operations and deliver other tangible benefits;", "• It is unclear who has accountability for delivering the benefits from IPSAS. Operational areas have not signed up to delivery of tangible and quantifiable benefits attributable to their area of the business and cannot say how the benefits will be achieved or measured.", "15. The Board recommends that the United Nations, its peacekeeping operations, and its funds and programmes: (a) clearly identify the objectives of the IPSAS project and link them to the benefits for the United Nations; (b) require operational areas to do the same for their own implementation plans; (c) develop a methodology to track the benefits from IPSAS adoption; and (d) communicate regularly on progress towards benefit realization to senior management, the Management Committee, the Advisory Committee on Administrative and Budgetary Questions and the General Assembly, as appropriate for the entity in question.", "Business change management", "16. IPSAS implementation is a major business change programme. It is already impacting on staff, management and those responsible for governance and will require major cultural change if the United Nations, its peacekeeping operations, and its funds and programmes are to achieve the transition to IPSAS and reap the full benefits over time.", "17. It is vital that all staff understand the impact of the new reporting regime on their day-to-day activities. Without sufficient resources being dedicated to training and change management, there is a real risk that IPSAS will not be understood and that the intended benefits will not be realized. The Board has seen little evidence of the deployment of the change management resources and methodologies needed to support IPSAS implementation and realize its intended benefits.", "18. There is a risk that staff will fail to buy-in to the IPSAS project if the benefits and changes that IPSAS adoption will bring are not effectively communicated and if staff are not engaged more actively in both implementation and working towards benefits realization. In particular, the Board has seen no evidence of a communication strategy and vision of what needs to be achieved and how to do it, in particular:", "• How the new information and the active management of balance sheets and cash flows will support improved accountability and the delivery of more cost-effective ways of working", "• The role that United Nations finance functions will play in improving organizational performance, providing sophisticated information for decision-making, and acting as a centre of excellence in financial management for the United Nations system as a whole", "• The training needed for policymakers and operational managers in the new information and how it can be used to enhance, for example, performance measurement, activity costing and investment appraisal.", "19. At the United Nations, while online IPSAS awareness and basic conceptual training has been provided to over 2,000 staff, the training has been conducted on a voluntary basis and has not been managed in a tracked or targeted fashion thus far. The Administration informed the Board that its next phase of more detailed training will be targeted at individuals who will be directly impacted by IPSAS implementation. The Board notes that all IPSAS training should emphasize the benefits of accruals accounting and how it might improve decision-making and business performance. The Board also notes that a “change manager” was engaged in April 2011, and considers that this role should incorporate developing the United Nations communications strategy for the roll out of IPSAS across the Organization. The Board also considers that effective change management will also require effective engagement, support and leadership from senior management across the United Nations.", "20. At the United Nations funds and programmes, there is little evidence of the change management resources and activities needed to support IPSAS, such as staff training activities. There is also a lack of emphasis on the significant cultural and behavioural changes required to realize benefits. There is a real risk that IPSAS will not be understood and that its benefits will be lost.", "21. The Board recommends that the United Nations Management Committee and senior management within funds and programmes, establish, where absent, an IPSAS benefits realization plan and organization-wide change management programme for IPSAS, including a comprehensive communications plan to set out the changes and benefits that IPSAS will bring, and how senior management in every department and office must take ownership and drive the delivery of the intended benefits.", "22. The Board also recommends that all senior managers within the United Nations and its funds and programmes should, as a minimum, complete IPSAS-awareness training that emphasizes the benefits of accruals accounting and how it might improve decision-making and business performance.", "Harmonization and standardization of business practices", "23. IPSAS adoption is consistent with the shared aim of the United Nations system to increase its effectiveness by promoting harmonized business practices. IPSAS was agreed as the desired United Nations system standard because it has been developed through a rigorous independent process by international financial accounting experts, conferring credibility and comparability on the financial statements. This is vitally important given the United Nations entities’ reliance on funding from Member States at a time of fiscal constraint. Inconsistent interpretation on major issues between United Nations entities could lead to questions as to the value of IPSAS over any other standard, including UNSAS, hence the High-level Committee for Management’s understandable desire for harmonization.", "24. There is a significant risk to the credibility of United Nations financial reporting and the IPSAS adoption project within the United Nations system as a whole if organizations with essentially similar business activities or administrative arrangements apply differing interpretations of the same IPSAS. There is general agreement by United Nations organizations that consistency in interpretation and application should apply when the business activities, or the administrative arrangements covered by specific IPSAS, are the same or similar.", "25. In 2010 the United Nations systemwide IPSAS Task Force commissioned a survey to determine the status of the level of “diversity” between United Nations system organizations as at December 2010. The survey indicated that where accounting policies had been agreed and approved by the Task Force there was a high level of consistent adoption, or clear reasons for non-applicability in a minority of cases, indicating a good degree of harmonization. Where the Task Force had only acknowledged guidance on the interpretation of IPSAS standards there was a wider level of variance in the level of deemed applicability or differences in interpretation. This reflects both the options available under IPSAS and disagreements on how they are to be applied and also differing levels of preparedness where some entities have established a firm position and others are still examining options. There are seven policy areas of particular concern where there are significant differences in approach, and where further dialogue between entities, and between entities and external auditors, is required and planned for mid-2011, including:", "• Revenue recognition of non-exchange transactions, such as voluntary contributions, multi-year funding agreements, and goods and services in kind", "• The accounting treatment for a range of employee benefits including, for example, after-service health insurance, annual leave, sick leave, death grants, education grants", "• Control over project assets, where organizations have differing views on whether assets purchased as part of a project should be recognized as assets of the organization and included on their balance sheets, or should be expensed at the point of purchase because the organization has no control, and derives no benefit from, the asset", "• The treatment of donated rights to use, where there are differing views on whether control and use of the asset in question requires it to be treated as an asset of the organization.", "26. The Board supports the need for consistency in interpretation in the application of IPSAS as mandated by the High-level Committee for Management. Though it is clearly important for similarly placed United Nations organizations to embrace similar, if not identical, accounting treatments and policies to obtain the benefits of comparability, the pursuit of a harmonized approach must not compromise an entity’s ability to deliver IPSAS-compliant financial statements and true and fair reporting. It is the responsibility of each entity’s management to determine the most appropriate interpretation and application for that entity. Crucially, Member States should have the fullest possible understanding of the financial position of each individual entity.", "27. The Board recommends that, conscious of the need for each entity to apply IPSAS-compliant accounting policies to fit the entity’s specific circumstance and activities, the IPSAS Task Force establish in each case the reasons for any differences in accounting policy treatments with a view to achieving greater consistency.", "28. The Board, in its 2010 concise summary of principal findings (A/65/169), noted that there were inconsistencies in business procedures across United Nations organizations that were entrenched or unchallenged by the financial regulations and rules in each entity. These inconsistencies limit the comparability of the financial statements, and the Board commented that IPSAS implementation presented an opportunity to improve consistency.", "29. Work to align the Financial Regulations and Rules of United Nations system entities commenced in 2006, but had still not been completed at the date of the writing of this report. The Board recognizes that the autonomous nature of the funds and programmes may result in genuine differences in business processes and therefore the rules and regulations. In addition, the different timelines being followed for IPSAS implementation, and the necessary focus now on implementation, rather than harmonization, of financial rules and regulations means there is unlikely to be harmonization in the near future.", "30. Even if the regulations and rules are aligned, unless they are also strengthened and made more precise, there will remain an inherent risk that the United Nations system will not achieve its objective of harmonized business processes. The Board will continue to consider the issue of harmonization of financial rules and regulations, business processes and the presentation of financial statements in its future reports. The Board considers that the administrations must keep the matter of harmonization under review.", "Annual accounts and reporting", "31. As required under IPSAS, United Nations entities will be reporting and producing financial statements on an annual basis rather than biennially. It is important that the annual financial statements are also audited so that they are credible and can be relied upon, a view which is supported by both the United Nations Panel of External Auditors and the IPSAS Task Force. This will, in turn, provide those charged with governance with more timely information of the financial position and performance of United Nations entities.", "32. There will be implications from annual reporting, including the extent to which administrations used to biennial reporting are ready for annual accounts production; and how the General Assembly will manage the increased number and frequency of accounts and associated external audit reports, in particular the impact on the schedule of work of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee.", "33. The United Nations Administration is in discussion with the various stakeholders, including the Board, on potential scenarios, options and solutions that might be presented to the Advisory Committee on Administrative and Budgetary Questions for their consideration. Given that the shift to annual reporting will have an impact from 2012 onwards, there is a pressing need for the United Nations Administration to resolve this matter.", "III. Findings and recommendations on the United Nations and peacekeeping operations", "A. Progress against implementation deadline", "Deadline for IPSAS implementation in the United Nations and peacekeeping operations", "34. As at 30 June 2009, the United Nations had revised its original 2012 IPSAS implementation deadline (including for peacekeeping operations) from 2012 to 2014. The key dates are as follows:", "• The first full year of IPSAS adoption on peacekeeping will be the financial year ended 30 June 2014, which means that the Administration will need to be ready in all practical aspects by 1 July 2013", "• The first full year of IPSAS adoption for the United Nations will be the financial year ended 31 December 2014, which means that the Administration will need to be ready by 1 January 2014.", "35. The Administration explained that the decision to delay was taken in order to coordinate IPSAS implementation with Umoja readiness because the existing resource and asset management systems are unable to produce the accounting data needed to produce IPSAS-compliant financial statements without significant and costly enhancement or manual interventions. In late 2010 it became clear that the timetable for Umoja had slipped and in March 2011 the United Nations Management Committee was informed that Umoja was at least 10.5 months behind its target delivery date (December 2014); it will therefore not be fully deployed until 2015, and is therefore unable to support IPSAS implementation as planned.", "36. In March 2011, a joint working group, chaired by a representative of the Department of Field Services, was established to facilitate improved coordination between the two projects and support the Umoja Project Director in developing and presenting an IPSAS-supportive Umoja strategy and timeline to the Umoja Steering Committee. At the time of the Board’s examination, the implementation of Umoja was being reassessed to see whether it could be refocused on the delivery of the elements needed to support IPSAS implementation on target for 2014. A decision on this was expected between June and August 2011, at which point there will be less than 24 months to be ready for peacekeeping (1 July 2013). The Board also notes that the Umoja Project Director resigned in June 2011, and at the time of writing of this report it was unclear to the Board what the full implications of this are for Umoja, and therefore IPSAS delivery.", "37. While there is a clear logic in prioritizing the parts of Umoja that support IPSAS, other elements of Umoja will by necessity be delayed if this is done. This could create risks to business transformation in other priority areas; and also presents risks to the momentum and budgets for Umoja, as staff could become exhausted and funding could be depleted, potentially delaying, or even reducing, the full delivery of the intended benefits from Umoja. The potential interdependencies, risks and benefits need to be thoroughly considered, and set out to enable informed decision-making. The Board is also concerned that, should the phased implementation of Umoja prove impossible, or only partially possible, there is currently no agreed contingency plan. The Board considers that any further deferral of the date of IPSAS implementation would be damaging to the reputation of the United Nations and would put the successful adoption of IPSAS at risk. It is therefore vital that the United Nations develop a pragmatic and viable contingency plan to achieve the 2014 implementation target without Umoja.", "38. The Board recommends that the Administration fully examine all of the potential interdependencies, risks, costs and benefits of a phased implementation of Umoja and IPSAS.", "39. The Board also recommends that the Administration finalize and agree contingency plans, should the phased implementation of Umoja prove impossible or fail.", "40. The Administration stated that it was mindful of the need to manage the realization of the benefits of both projects, and informed the Board that the Management Committee was informed in late June that the Umoja project cannot be fully rephased to support IPSAS implementation. The Administration has, therefore, started developing contingency plans to mitigate the risks arising from potential delays in the deployment of Umoja. The intention is that the contingency plans, which will include some rephasing of Umoja, limited modifications to current functional systems and some manual workarounds will be periodically reviewed by the Administration to adapt to the progress of both projects. The Board has yet to see any plans and stresses that any manual workarounds can only be temporary stopgaps for a limited period prior to the implementation of a fully functional enterprise resource management system.", "Implementation plan", "41. The Administration informed the Board that the IPSAS project has operated on the basis of a high-level implementation plan focusing on accounting policy gaps, the development of training materials and the design work needed for Umoja. Up to 2010 other work had included progressive implementation of IPSAS requirements, including, for example, the recognition of and detailed disclosure on liabilities relating to after-service health insurance; rationalization of the construction in progress accounting for the capital master plan; and disclosures on in kind contributions and contingent liabilities. These developments have started to help pave the way for all parts of the United Nations to embrace the changes IPSAS implementation will bring about, but they are only a start.", "42. In late 2010 the Administration initiated production of a more detailed implementation plan than had previously been available. This will include templates for detailed planning in operational areas (missions, departments and offices) with far more focus on the practical and logistical challenges in implementing new business processes and collecting and preparing the raw accounting data needed for IPSAS implementation. The United Nations has also conducted a recent survey to assess office and mission readiness for IPSAS implementation and to identify the scale of work to be performed. At the time of this report the detailed implementation plan remained a work in progress with a target for approval later in 2011.", "43. The implementation plan has to be finalized in consultation with missions and offices away from headquarters, and the Board notes that this was discussed at the Chief Finance Officers’ workshop in June 2011, with a view to finalizing site-specific plans shortly thereafter. The increased emphasis on addressing practical implementation is welcomed by the Board. Without a clear overarching implementation plan, it remains difficult for operational areas to engage effectively with IPSAS adoption; and without clarity on the decisions regarding Umoja and a detailed implementation plan, the Board cannot provide any firm assurance that the United Nations is on track to deliver IPSAS adoption by 2014. Development of a detailed implementation plan is now a critical path task and cannot be delayed. Some of the key tasks that must be clearly set out in the implementation plan are set out below:", "(a) Preparation of accounting data: There is a huge amount of new data that needs to be captured across the United Nations global operations in order to achieve IPSAS compliance. For example, data on the value, the volume and the location of assets, a task that is particularly acute for peacekeeping, where the majority of United Nations assets are held. There is also the significant task of migrating “legacy” accounting data from the numerous existing systems into the new Umoja system. At the time of the Board’s review, the bulk of this systematic data collection and cleansing had only recently been started, and the Administration could not provide the Board with a clear plan for cleansing and migrating data from the “legacy” systems into Umoja and making this available for audit. The scale of this critical task cannot be underestimated, and annex II illustrates the range of data that needs to be prepared and the challenges involved. The Board notes, and welcomes, that the Office of Internal Oversight Services (OIOS) has been developing work programmes to support the Administration in preparing accounting data and reinforcing compliance by operational areas. The Board will be coordinating closely with OIOS so that this work can help provide the assurance required by the Board;", "(b) Development of draft financial statements: Developing a “dry run” model set of accounts using real accounting data allows the United Nations to test its readiness to produce IPSAS-compliant accounts while enabling the Board to identify potential weaknesses and provide advice in advance of IPSAS implementation. The United Nations IPSAS Implementation Team has prepared a model IPSAS account, but because of unresolved issues on accounting policies, it has not yet been provided to the Board. The implementation team is also aware of the importance of having draft financial statements populated with actual data for assessment by the Board, but is not confident that it has the resources to prepare full scope “dry run” accounts. Without a “dry run” with real data it is unlikely that an organization as complex as the United Nations will be able to achieve financial statements of sufficiently high quality to withstand audit within the planned implementation time frames;", "(c) Audit of opening balances: The development of model financial statements will be supported by an exercise to establish opening balances for assets, liabilities and reserves for the first year of adoption. This is in effect the starting point under full accruals accounting from which the opening financial position is established. The Board notes that the IPSAS Implementation Team is anticipating that opening balances will be prepared on a “progressive basis”, fund by fund, and made available to auditors on that basis. As with the uncertainty over the collection of key accounting data, the Board is concerned that there is a lack of clarity on how opening balances and an opening balance sheet will be developed through this progressive approach and the time frames for this.", "44. The Board recommends that the Administration prepare a complete, practical and detailed implementation plan for the United Nations and peacekeeping operations as soon as possible after a decision has been made on the Umoja implementation strategy.", "45. The Board also recommends that the Administration’s implementation plan:", "(a) be underpinned by supporting plans at the operational level to provide a sharp focus for the efforts of departments, offices away from headquarters and missions;", "(b) set out how and when accruals accounting data on non-expendable property, leases, legal obligations, guarantees, consumable inventories, contracts and locally recruited staff will be collected, cleansed and migrated to Umoja and made available for audit;", "(c) include clear plans to benchmark the United Nations financial statements against an IPSAS compliant set to establish the necessary action and revisions required to meet the implementation timetable; and produce a “dry run” set of accounts with real accounting data for review by the Board;", "(d) include clear plans for the creation of opening balances and balance sheets that should be shared with the Board as soon as possible. The plan should be risk based, focusing on the preparation of opening balances by the most material offices first, and factor in sufficient time for the Board to conduct an audit of the opening balance sheet as soon as is practicably possible and certainly no later than three months before the end of the first live year of IPSAS adoption.", "46. The Administration informed the Board that, owing to the tight timetable, it might not be possible to produce complete “dry run” accounts, but that it intended to carry out dry runs on the most material and high risk funds for United Nations and peacekeeping operations. The Board will follow up on the planning for dry run audits as a matter of urgency during 2011.", "B. Governance and implementation arrangements", "47. The United Nations Management Committee, chaired by the Deputy Secretary-General, has overall responsibility and oversight of the IPSAS and Umoja business transformation projects. The United Nations IPSAS project is overseen by the IPSAS Steering Committee, which is chaired by the United Nations Controller. The Umoja Steering Committee is chaired by the Under-Secretary-General for Management. Prior to December 2010, the two steering committees reported periodically to the Management Committee. The governance arrangements have been strengthened more recently with the requirement for both the IPSAS and Umoja steering committees to report quarterly to the Management Committee.", "48. Given the scale and technical aspects involved in each, it is understandable and appropriate that separate steering committees have been established for IPSAS and Umoja implementation. It is clear that the interdependencies between the two are very strong, and both are working towards similar goals in more than one area; for example, more effective policies and processes for financial management. This interdependency has been further highlighted by the impact of delays to Umoja and the establishment of the new joint IPSAS and Umoja working group.", "49. The Board considers the increased joint working and coordination between the project teams a positive development. Given the challenges to delivering the benefits from IPSAS, which are in turn dependent on revised business processes and a fully functional enterprise resource planning system, the Board would encourage the Administration to consider other areas in which joint working can be delivered, especially as operational areas are increasingly drawn into implementation and demands are placed on them by both projects. In the meantime, the Board notes that the working group does not have formal terms of reference and it is unclear how the decisions that it takes will be approved and enforced.", "50. At the United Nations the business change activities for Umoja and IPSAS could potentially be combined to bring benefits in terms of costs (for communications, training, staff time) and effectiveness. The change management messages would be more powerfully delivered as a joint message, and would more effectively use senior management time. They would also help change the perception that IPSAS is a technical financial initiative and start to ground it in people’s minds as something that can have real impact for them.", "51. To realize the full benefits from new processes and information from both IPSAS and Umoja, there needs to be a clear and effective accountability and risk management framework for the organization as a whole; and implicit in this observation is the need to align both the appropriate accountability and authority for those managers delivering the services of the United Nations. These are necessary precursors for benefits realization, which must be integrated within an overall change programme. Otherwise, management will not be empowered or accountable for using the new information to improve the cost effectiveness of their activities and the full benefits will not be realized. The Board is aware of various initiatives to improve accountability and risk management in the United Nations, and this is an issue the Board will be considering further in its future reports.", "52. The Board recommends that the Administration assess the feasibility of combining the business change activities for Umoja and IPSAS.", "53. The Board recommends that the Administration include the new and important joint working group in its formal governance structure and establish clear terms of reference that clarify how its decisions will be approved and enforced.", "Implementation team", "54. It is important that for any major business transformation project there be a dedicated, well resourced and capable project implementation team. The United Nations established the IPSAS Implementation Project Team in 2007. It has an agreed complement of 18 staff, but at the time of our review had three vacancies, and has operated for over 12 months with a reduced team. Key posts have been left vacant, including a change manager to coordinate the IPSAS project with the delivery of Umoja business processes and to manage other aspects of this business transformation, including training. The Administration informed the Board that it had deliberately left these posts vacant so as to protect its budget for the implementation phase. The Board is of the view that the vacancies have inevitably contributed to a delay in completing a detailed implementation plan. The Board was informed that the project team will be up to full strength by December 2011, including the recruitment of a “change manager”.", "55. The Board recommends that the Administration establish an IPSAS implementation team based on a reassessment of the resources, skills and experience required, in the light of the revised implementation plan, the scale of the tasks, and the change management challenges.", "56. The IPSAS Implementation Team has developed an extensive series of IPSAS accounting policy papers, and the Board is engaged in advising on these. On current projections, the approved accounting policy framework will not be completed until March 2012. The roll out of most of the IPSAS policies to the operational units will be done through Umoja and will, for the most part, be blended with the Umoja implementation. Beyond the current concerns over the implementation strategy and delays to Umoja, the Board considers there is a risk that this timetable will leave insufficient time for operational areas to be ready to implement the policies and associated processes correctly and consistently. Given the scale of peacekeeping operations in particular, this is a serious risk to achieving compliant financial statements in the first year of implementation.", "57. The Board recommends that in developing the IPSAS implementation plan, the Administration factor in adequate time and resources for an appropriate level of consultation with the Board prior to approval to identify any potential risks or problems arising from its adoption.", "58. It is recognized good practice on any major project to establish a core group responsible for handling the considerable project management disciplines required for successful delivery, progress tracking and reporting, and for creating a common project management approach across the organization. The Board noted that the United Nations IPSAS Implementation Team is creating a Project Management Office for this purpose, which it envisages will help both reduce the administrative burden in missions and offices, and raise the visibility on progress at all levels within the United Nations.", "IPSAS budget", "59. The overall indicative budget approved by the General Assembly for IPSAS adoption in 2006 is $23 million (see annex II). This excludes the considerable but unquantifiable costs that will be involved as operational areas are increasingly drawn into implementation. As at the end of February 2011, the Administration had spent some $4.7 million between 2006 and 2011, with $6.1 million still available to the end of the current biennium.", "60. The budget proposed for 2012-2013 has been substantially reduced as part of the Secretary-General’s required cost reduction across the United Nations, although the Administration informed the Board that the eventual total budget for IPSAS adoption would remain at the $23 million initially approved by the General Assembly. The Board considers that this may be unhelpful, given the challenges to IPSAS implementation, and may prove problematic if in the longer term this delays the implementation, thereby increasing costs overall, and the delivery of the benefits (the “return”). The Board noted that there will be a need to reassess the adequacy of the IPSAS budget and to align it with the detailed implementation strategy.", "61. The Board also noted that within the overall $23 million budget (see annex II) there is an allocation set aside for $7.5 million for the use of consultants, $5.7 million for general temporary assistants and $5.2 million for contractual services, travel and other expenses. This compares with only $4.6 million for established permanent posts. This may be an indication that the IPSAS Implementation Team has been smaller than desired, and therefore a significant amount of short-term, external support may be required. The Board is concerned that the approach of using consultants is balanced against the need to develop sustainable internal financial management capacity and capability.", "62. The Board recommends that, in developing the new implementation strategy, the Administration reassess the IPSAS budget to ensure that the budget available is commensurate with the updated plans for implementing IPSAS and that adequate resources are available to support the new strategy to meet the timetable for first financial statement adoption and beyond.", "Risk assessment and management", "63. The Board is concerned that no formal and structured approach to risk management, including a risk register, had been established for the IPSAS implementation project at the time of the review. For this major business transformation project, the Board would have expected, from the outset, to see the main risks to the project identified, prioritized in order of severity, clearly assigned to owners with the authority to manage them, and with clear mitigating actions and regular risk reporting. The March 2011 presentations to the Management Committee on the status of the IPSAS and Umoja projects did summarize the key risks to each project, with particular emphasis on establishing reliable opening balances for assets and liabilities, producing compliant financial statements and obtaining external audit acceptance for accounting policies. There was, however, no assessment of the probability of these risks occurring or their likely impact, nor any detailed plans for how these risks will be mitigated beyond some higher level considerations.", "64. The Administration agreed with the Board’s recommendation that the joint IPSAS/Umoja working group, as a matter of urgency, develop a risk framework for IPSAS implementation, identifying the main risks to implementation, setting how the risks will be mitigated (including establishing a contingency budget if appropriate), and assigning ownership and accountability for their management.", "65. The Administration commented that the United Nations IPSAS implementation team had developed and presented a risk register to the IPSAS Steering Committee in June 2011. Work has now started on developing mitigation strategies and assigning clear ownership and accountability for each risk.", "Revision of the United Nations Financial Rules and Regulations", "66. The IPSAS Implementation Team is currently working on proposed revisions to the Financial Regulations and Rules of the United Nations to reflect the adoption of accruals accounting and IPSAS. This work is expected to be completed for approval by the General Assembly in the fall of 2011. The Board has not seen the proposed amendments but is aware of the Administration’s intention to provide them to the Board to confirm the consistency of the new rules and regulations with the fundamentals of accruals accounting prior to approval.", "IV. Findings and recommendations for the United Nations funds and programmes", "Overall summary", "67. This section of the report covers seven United Nations funds and programmes, including the United Nations Joint Staff Pension Fund, all of which have a planned IPSAS adoption date of 2012. While conscious that the entities are at different stages of their planned implementation schedules, the Board’s view is that implementation of IPSAS by 1 January 2012 is possible for these entities, but that there are key tasks yet to be completed in some entities and significant risks that need to be mitigated if IPSAS is to be implemented on time. With minimal time left to the target date, these entities cannot afford slippages.", "68. Even if IPSAS-compliant financial statements are delivered by 2012, it is unlikely that the intended benefits of IPSAS adoption will be realized without a significant further delay owing to the absence of appropriate benefits realization strategies and implementation plans at most entities.", "69. The Board has provided each of the entities with detailed feedback in observation memorandums and management letters and will continue to report in detail at the entity level. In this report, the Board has summarized in table 1 important elements of the IPSAS implementation plans to provide an overview of the entities’ progress as at the date of its review.", "Table 1 Progress against implementation targets", "Maincriteria\tUNDP\tUNFPA\tUNOPS\tUNICEF\tUNHCR\tUNRWA \nRisk to2012 IPSASimplementation\tLowrisk\tMediumrisk\tMedium-highrisk\tMediumrisk\tMediumrisk\tMediumrisk\nAcomprehensiveimplementationplanis inplace\tYes\tYes\tYes\tYes\tYes\tYes\nThe planidentifiestheappropriatemilestones\tYes\tPartially\tYes\tYes\tYes\tYes\nThe entityis ontrackagainstthe keymilestones\tYes\tYes\tPartially;someslippageagainstplans\tYes\tPartially;someslippageagainstplans\tPartially;someslippageagainstplans\nA fit forpurposeenterpriseresourcemanagementsystem isin place\tYes\tYes\tYes\tPartially;useracceptancetestinghasbeenlaunchedandwillbecompleteatendAugust2011\tYes\tPartially;relieson alegacysystemthatispartiallycompliantandmaynotbesustainableinthelongterm\nPlans forgathering,cleansingandmigratingaccountingdata ontrack\tInprogressandongoing\tInprogressandongoing\tInprogressandongoing\tInprogressandongoing\tInprogressandongoing\tYes\nModeldraftfinancialstatementshave beenpreparedand sharedwith theBoard\tYes\tYes\tNo\tYes\tNo\tNo\nThere areclearplans forestablishingopeningbalances\tYes\tYes\tPartially\tPartially;plansnotcompletedattimeofaudit\tNo\tNo;notsufficientlydetailed\nPlannedfor a “dryrun” usingrealaccountingdata\tYes\tYes\tPartially\tPartially\tYes,buttimetableistight\tYes", "Progress against implementation targets", "70. The Board reviewed the progress made by funds and programmes against the milestones set out in their implementation plans and found that some entities were behind schedule. Generally, the Board noted that the entities had detailed plans, supported by milestones, and that the progress against these milestones was monitored and reported to senior management.", "71. The Board recommends that all entities that have not already done so: (a) implement adequate project monitoring controls; (b) enhance their plans to include detail on preparation of “dry run” model financial statements and opening balances; and (c) prioritize activities required on and before the go-live date against activities that could be performed after the go-live date (particularly for those entities that are behind schedule).", "Model financial statements and “dry run” accounts", "72. The preparation of model financial statements and “dry run” accounts are crucial steps in implementing IPSAS. It provides the entities with an early opportunity to test their readiness to prepare IPSAS-compliant financial statements while enabling the Board to identify potential weaknesses and provide advice. Model financial statements have been prepared and presented to the Board by UNDP and UNFPA; but these did not yet contain real accounting data and need to be revised and discussed with the Board again after the completion of further accounting policy revisions at these entities. While completion of the model financial statements is included in their respective plans, the remaining entities have not yet prepared model financial statements.", "73. Although most entities were planning to develop “dry run” statements prior to implementation, using real accounting data, the Board is concerned that the timetable for doing so will be compact, and any delays could leave inadequate time for review and correction. The time frames to complete biennial accounts, which will form the precursor for the preparation of opening balances, may also affect the time frames to perform a “dry run” exercise.", "74. The Board recommends that all entities that have not already done so (a) benchmark their financial statements against an IPSAS-compliant set to establish the necessary action and revisions required to meet the implementation timetable; and (b) prepare model financial statements and produce clear plans for a “dry run” set of accounts with real accounting data, factoring in sufficient time for review by the Board.", "Enterprise resource planning systems", "75. The increased requirements for data on accounting transactions under IPSAS mean that the entities need more advanced enterprise resource planning systems to implement the standards. Work to establish a fit for purpose enterprise resource planning system is well advanced at most of the entities. For example, UNDP, UNOPS and UNFPA co-own a now-established enterprise resource planning system (Atlas). Whereas each of these entities is responsible for its own system’s specification and configuration, UNDP has overall responsibility on behalf of all three entities. At UNDP progress on the system specification and configuration was behind schedule. UNDP, UNOPS and UNFPA need to closely monitor how the activities of the UNDP Office of Information System and Technology are designed to meet the timelines for their respective system customizations.", "76. Owing to budgetary constraints, UNRWA is planning to implement IPSAS using its current enterprise resource planning system, despite a gap study that it commissioned in 2008 that concluded that the system could only reach partial compliance and may not be sustainable in the future. UNRWA indicated that it would submit the required system changes to its supplier to determine whether the system would be able to accommodate them as soon as the policies and procedures are complete. The Board considers this a significant risk, which will need to be closely managed to avoid any delay to IPSAS implementation.", "77. The Board recommends that UNDP, UNOPS and UNFPA keep under review how the activities of the UNDP Office of Information System and Technology are designed to meet the timelines for their respective enterprise resource planning system customizations.", "78. The Board also recommends that UNRWA keep under close review the risk of its current enterprise resource planning system being unable to comply with IPSAS and develop contingency plans, as appropriate.", "Data collection", "79. Across all entities significant work remains to adequately collect, cleanse and migrate data for IPSAS implementation. The complexity of data collection is increased under IPSAS, as the entities need to consider data maintained at the field level and country offices. Annex III sets out examples of data that needs to be collected to support compliance with IPSAS standards. The Board noted that most entities had included data cleansing and migration as part of their implementation plans, although generally there were slippages on the schedules. At UNFPA the Board noted that the cleansing tasks were assigned to different business units and may need to be tracked as part of the IPSAS project to ensure alignment with the overall IPSAS project plan. The Board is concerned that without adequate plans, staff in field or country offices might not be trained and familiar with the new policies and procedures necessary for IPSAS implementation; for example, the need to accurately catalogue the volume and the value of assets.", "80. The Board recommends that all entities that have not already done so establish clear plans for data collection, cleansing and migration for IPSAS implementation and urgently commence with the exercise.", "Table 2 Governance and implementation arrangements", "Maincriteria\tUNDP\tUNFPA\tUNOPS\tUNICEF\tUNHCR\tUNRWA \nTheGovernancearrangementsare fitforpurposeandinvolveseniormanagement\tYes\tYes\tYes\tYes\tYes\tYesA fullyresourcedandcapableimplementationteam isin place\tYes\tPartially\tPartially\tYes\tPartially;somerelianceonexternalexperts\tPartially;noprojectleaderordedicated \n IPSASimplementationteamUp todate andadequatebudget inplace\tYes\tYes\tYes\tYes\tYes\tPartially,butnotadequate exceptforengaging consultants where \n needed\nTheprojecthas astructuredriskmanagementframework\tYes\tYes\tYes\tYes\tYes\tPartially\nAccountingpolicyframeworkiscomplete\tSubstantiallycomplete;onepolicyto befinalized\tSubstantiallycomplete;onepolicytobefinalized\tPartially;onlytwopoliciesfinalized\tPartially;somepoliciesstillunderdevelopment\tPartially;notallpoliciesfinalizedandapproved\tPartially;onlytwopoliciesfinalizedFieldofficesready toimplementthe newpolicies/procedures\tPartially;GlobalSharedServiceCentretomanage\tPartially\tPartially\tNo;proceduresforfieldofficesnotyetreadyor\tNo;proceduresforfieldofficesnotyetreadyor\tNotapplicable complexcountry rolledout\trolledout officetransactions \n\tawaitshostgovernmentagreementandfinalizationofstaffrecruitment \nThefinancialrules andregulationshave beenrevised,andapproved\tYes;revisedfinancialrulesandregulationsfinalizedandawaitingapproval\tYes,welladvanced\tPartially;furtherrevisionisinprogress\tYes;financialrulesandregulationsfinalizedandawaitingapproval\tPartially;draftsreceivedbyBoardJune2011\tNo", "Governance of the IPSAS project", "81. The Board found that the governance arrangements were fit for purpose and involved senior management at all of the entities.", "Development of accounting policies", "82. Development of accounting policies to comply with IPSAS is a crucial early step towards implementation. Delays are likely to result in a congested plan to address the required system configurations, revise business processes and prepare field and country offices to implement the new policies. The Board noted that, while some entities have made significant progress in terms of the finalization of accounting policies (UNDP and UNFPA, UNICEF and UNHCR), some entities (UNOPS and UNRWA) had significant amounts of work left to finalize their accounting policies. This presents major risks as the accounting policies selected have major implications for data gathering processes, training strategies and, most importantly, the customization of enterprise resource planning systems. The Board emphasizes the need for all entities to finalize their accounting policies for compliance with IPSAS and provide them to the Board for review.", "83. The Board recommends that all entities that have not already done so establish adequate strategies to mitigate the risk of a congested plan in the period leading up to 1 January 2012.", "Budget resources available for implementation", "84. The Board reviewed the extent to which each entity has an adequate budget for IPSAS adoption and how performance against budget is being managed. Generally the IPSAS project teams were adequately resourced with appropriate input from relevant stakeholders and steering committees supporting the project teams. The Board noted that UNOPS and UNRWA relied predominantly on internal staff, and did not engage IPSAS specialists. However, their respective budgets and plans catered for the use of consultants to assist the internal teams. The use of internal staff in the project has certain benefits to these entities in terms of reducing costs and retaining knowledge, but entities need to manage the risk of their accounting policies and procedures being insufficiently aligned with IPSAS and of conflicting staff schedules, especially as the target date draws near. The specified IPSAS budgets in these entities may not therefore be a true reflection of the resources actually extended in implementing IPSAS because the budgets do not reflect the time spent by internal finance staff.", "85. UNRWA has put on hold its plans to hire a dedicated project leader because of budgetary constraints. UNHCR will need to rely on external consultants for some tasks, but in the longer term will need appropriately qualified staff for delivering and securing the benefits from IPSAS post adoption. UNFPA is still in the process of recruiting for key positions in its implementation team, while the recruitment process for one post has been temporarily frozen owing to budget constraints. UNOPS has only one IPSAS-dedicated staff member and had not yet recruited other staff to support the implementation of IPSAS.", "86. The Board recommends that all entities which have not already done so (a) establish fully resourced and expert IPSAS implementation teams; and (b) review the adequacy of their budgets against their most up to date plans for IPSAS implementation and put in place appropriate resources accordingly.", "Table 3 Managing the delivery of the full benefits from IPSAS", "Maincriteria\tUNDP\tUNFPA\tUNOPS\tUNICEF\tUNHCR\tUNRWA \nOperationalareashave beenfullyengagedinidentifyingthepotentialbenefits\tPartially\tPartially\tPartially\tPartially\tPartially\tPartially\nAneffectivebenefitsrealizationplan hasbeenestablished\tNo\tNo\tNo\tPartially\tNo\tNoStafftraining\tPartially\tPartially\tPartially\tYes;specifictrainingstrategyandplaninplace;trainingwillbeconductedfrom\tPlansareinplacereadyforrollout\tPartially \n August2011 \nCommunicationstrategy\tYes\tYes\tYes\tYes\tPartially\tYes\nAneffectivebusinesschangemanagementprogrammehas beenestablished\tYes\tPartially\tPartially\tYes\tPartially\tPartially", "Benefits realization plans", "87. Even if IPSAS-compliant financial statements are delivered by 2012, it is highly unlikely that the intended benefits of IPSAS adoption will be realized without a significant further delay, owing to the absence of appropriate benefits realization strategies and implementation plans at most entities.", "88. The Board recommends that all entities establish an IPSAS benefits realization plan and organization-wide change management programme for IPSAS, including a comprehensive communications plan to set out the changes and the benefits that IPSAS will bring, and how senior management in every department and office must take ownership and drive the delivery of the intended benefits.", "United Nations Joint Staff Pension Fund", "89. The Board is aware that the United Nations Joint Staff Pension Fund is in the process of re-examining its implementation strategy. The Fund uses the Financial Regulations and Rules of the United Nations. These will be revised in 2012 at the earliest, adding an element of uncertainty to the Fund’s IPSAS implementation by 2012. The Fund is seeking to obtain the approval of the Pension Board to continue applying the Financial Regulations and Rules “mutatis mutandis” to its accounting and financial reporting process in a manner that allows it to be IPSAS-complaint; and will request the Pension Board to endorse this transitional provision for approval by the General Assembly at its sixty-sixth session in 2011.", "90. The Board has noted a number of other risks that the Fund will have to address, if it is to implement IPSAS by 2012. In particular, the Board has noted (a) an inadequate implementation strategy; (b) limited progress in developing accounting policies; (c) the absence of a Chief Finance Officer to lead the project, as well as a dedicated and integrated implementation team; and (d) the need to fully assess the impact of IPSAS implementation on its systems. In the light of these risks, the Board is concerned that the Fund’s strategy to implement IPSAS by 2012 may be unrealistic.", "91. The Board recommends that the Fund, as a whole, (a) finalize its IPSAS implementation strategy considering the decision of the Pension Board; and (b) develop risk mitigation plans to address the identified risks.", "V. Acknowledgement", "92. The Board wishes to express its appreciation for the cooperation and the assistance extended to its staff by the Management of the entities concerned and members of their staff.", "(Signed) Amyas Morse Comptroller and Auditor-General of the United Kingdom of Great Britain and Northern Ireland Lead auditor", "(Signed) Terence Nombembe Auditor-General of the Republic of South Africa", "(Signed) Liu Jiayi Auditor-General of the People’s Republic of China Chair of the Board of Auditors", "12 July 2011", "Annex I", "United Nations system organizations IPSAS implementation targets", "Year\tNo.of\tOrganizations \n\torganizations \n2014\t2\tUnited Nations (including peacekeepingoperations)*^(a) \n World Trade Organization 2012\t10\tFood and Agriculture OrganizationInternational Labour Organization United Nations Development Programme* United Nations University* United Nations Population Fund* United Nations High Commissioner for Refugees* United Nations Children’s Fund* United Nations Office for Project Services* United Nations Relief and Works Agency forPalestine Refugees in the Near East* United Nations Joint Staff Pension Fund*^(b) World Health Organization \n United Nations Women*^(c) \n2011\t2\tInternational Atomic Energy AgencyUniversal Postal Union2010\t8\tInternational Civil Aviation OrganizationInternational Maritime Organization International Telecommunications Union Pan American Health Organization United Nations Educational, Scientific andCultural Organization United Nations Industrial Development Organization World Intellectual Property Organization \n World Meteorological Organization \n2008\t1\tWorld Food Programme (in the third year post fullIPSAS implementation)", "* Audited by the United Nations Board of Auditors.", "^(a) The United Nations Office on Drugs and Crime, United Nations Environment Programme, United Nations Human Settlements Programme and the International Trade Centre (UNCTAD/WTO) are linked to the United Nations IPSAS adoption.", "^(b) The United Nations Joint Staff Pension Fund is tentatively planning to move its implementation of IPSAS to a period that coincides with that of the United Nations.", "^(c) United Nations Women shall adopt IPSAS in keeping with the schedule of the United Nations Development Programme. It is in its first year of operations (2011).", "Note: The United Nations Framework on Climate Change, the United Nations Institute for Training and Research and the United Nations Convention to Combat Desertification do not report to the General Assembly but will adopt IPSAS in 2014.", "Annex II", "Budget for IPSAS implementation at the United Nations", "March 2011", "The General Assembly was informed that the estimated budget for IPSAS is $23.034 million. The budget is approved separately for each fiscal cycle under the regular budget and the support account for peacekeeping operations. The status of expenditures is reflected below:", "[]Projections of expenditures of IPSAS adoption at the United Nations (Thousands of United States dollars)", "* Total expenditures as of 28 February 2011.", "** These figures are high-level estimates.", "*** Peacekeeping support account 2010-2011 balance includes allotment of 2010/11 and estimates of the first six months of 2011/12.", "Annex III", "Examples of the accounting data required to support IPSAS-compliant financial statements", "Existence, ownership and valuation of fixed assets. This will be a major issue for many entities, in particular for United Nations peacekeeping operations. The United Nations needs to unequivocally establish what assets it owns, how much they are worth and how much use they can get from them. This is critical to establishing its asset base and future charges for the consumption of these assets. This will potentially require professional external asset valuations and determinations of the assets remaining useful lives of all assets catalogued.", "Procurement. There are at present some 220 framework agreements and thousands of individual contracts or one-off agreements, each containing a complex set of procurement arrangements. During the process of assessing progress towards the adoption of IPSAS, the type of contract entered into will impact on the accounting for the related transactions, assets and liabilities. It will therefore be important to consider the nature of these contracts to determine if they are asset purchases, service purchases, financial leases, operating leases, or financial instruments.", "Legal obligations and guarantees. Again, this is fundamental to establishing the correct accounting treatment of these obligations and guarantees much in the same way as for leases.", "Preparation of non-expendable property and expendables data for conversion to IPSAS. The values and volume of this data is expected to be enormous (e.g., the Food Supply Management system provides for the procurement and the distribution of food supply for some 100,000 United Nations forces personnel in the field). The challenge will be in ensuring that capture of this data is as complete and reliable as needed to avoid material omissions or errors in the financial statements.", "Information on locally recruited staff at missions. In addition to international staff for which records are kept centrally, some 10,000 personnel are recruited locally in field locations for peacekeeping, special political or other missions. At present, the information is kept on a multitude of local systems and manually consolidated into the relevant financial statements. In addition both international staff and locally recruited staff are entitled to a range of staff benefits such as repatriation grants, education grants, subsistence allowances and after-service health insurance. For IPSAS adoption information will be needed on staff leave, including accumulated outstanding leave; and staff benefit payments, in particular details of accrued benefits such as education grants, which are now available for locally recruited staff: and entitlement to any after-service benefits and the potential liabilities relating to these.", "[1] The three early adopters were the World Food Programme, the International Civil Aviation Organization and the World Health Organization. The World Food Programme successfully adopted IPSAS in 2008." ]

[ "Sixty-sixth session", "Item 131 of the provisional agenda*", "A/66/150.", "Financial reports and audited financial statements, and reports of the Board of Auditors", "Progress towards the implementation of the International Public Sector Accounting Standards", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the General Assembly a letter dated 14 July 2011 from the Chair of the United Nations Board of Auditors transmitting the report of the Board of Auditors on progress in the implementation of the International Public Sector Accounting Standards as at 30 June 2011.", "Letters of transmittal", "New York", "President of the General Assembly of the United Nations", "I have the honour to transmit to you the report of the Board of Auditors on progress in the implementation of the International Public Sector Accounting Standards as at 30 June 2011.", "Auditor-General of the People ' s Republic of China", "Chairman, United Nations Board of Auditors", "(Signed) Liu Jiayi", "12 July 2011", "Report of the Board of Auditors on progress in the implementation of the International Public Sector Accounting Standards", "In November 2005, the High-level Committee on Management of the United Nations System Chief Executives Board for Coordination made a landmark recommendation that the presentation of the financial statements of the United Nations system organizations should be discontinued from the internally developed United Nations system accounting standards to the International Public Sector Accounting Standards (IPSAS). IPSAS is the accrual accounting standard and is specifically prepared for the public sector and international organizations. Accrual basis accounting means that an organization recognizes costs when incurred, recognizes income when income is earned and must record the value, quantity and location of all its assets and liabilities. This improved information will enable Member States to gain a better understanding of the performance and financial position of the entities, as well as more information for management to maintain control, drive cost-effective decision-making and ensure long-term financial sustainability. In view of the delays in implementation, the deadline for many entities and the concerns previously expressed by the Board of Auditors, the Advisory Committee on Administrative and Budgetary Questions recommended that the Board prepare an annual report on progress in the implementation of IPSAS (see A/65/498). On the basis of its previous work, the Board reviewed the progress made by the United Nations, including peacekeeping operations, in meeting its 2014 implementation targets and the progress made by a number of other funds and programmes within the scope of its work in meeting the 2012 targets. The findings and conclusions of this exercise are set out in the Board ' s first progress report on IPSAS implementation. The table at the end of the summary summarizes the Board ' s findings on the entities. The Board ' s overall conclusion is that there are a number of significant risks to the timely implementation of IPSAS and the realization of the benefits envisaged by the General Assembly when it decides to adopt IPSAS. Unless urgent and effective action was taken to address those risks, it would be unlikely that IPSAS would be successfully implemented on schedule at the United Nations, peacekeeping operations and funds and programmes. The Board is concerned that the current period cannot be further delayed. With regard to the United Nations and peacekeeping operations, the Board welcomes increased efforts in the practical implementation of IPSAS. The challenging task of collecting and cleaning accounting data will require an urgent decision on the possibility of revising the enterprise resource planning (Umoja) implementation strategy to support IPSAS implementation in 2014, followed by the development and roll-out of a practical and detailed IPSAS implementation plan across all business areas. In the absence of a detailed implementation plan, the size and number of entities involved are large and complex, and there is uncertainty about the implementation of Umoja, with particular risks for the United Nations and peacekeeping operations. The Board is of the view that while the remaining entities are likely to be on schedule (2012), to achieve this they also need to manage significant and immediate risks. The Board is particularly concerned about the progress of the United Nations Joint Staff Pension Fund to date. The Fund has yet to obtain the approval of the Pension Board to continue to apply the Financial Regulations and Rules, mutatis mutandis, to its accounting and financial reporting procedures in order to be IPSAS compliant by 2012. The Board is also concerned about entities whose implementation target date is 2012 but which have not yet finalized their accounting policies. While the availability of unmodified audit opinions is important for accountability and transparency, their mere achievement does not represent a successful implementation of IPSAS. It was important to be effective in improving decision-making and more cost-effective implementation. Achieving these benefits will require the involvement of all operational areas and significant cultural changes. The Board recognizes that the full benefits of IPSAS adoption for financial reporting and accrual accounting for management will not be immediately apparent, but will be demonstrated over time through prudent management. The Board is concerned that nearly all entities have not developed a benefit realization plan and have not put in place appropriate change management arrangements to achieve the required operational and cultural transformation. The Board saw little evidence that business areas were aware of the new information that IPSAS would provide them and were not considering and preparing how they would use it to improve the cost-effectiveness of their operations. Therefore, even if IPSAS-compliant financial statements are delivered by the target date, there is a considerable potential for considerable delay in fully realizing the benefits of accrual accounting under IPSAS. Achieving the full benefits of the new processes and information required by IPSAS will also require a clear and effective organizational accountability and risk management framework that aligns appropriate accountability and authority with managers responsible for delivering and fulfilling the organization ' s core services and mandates. The Board is concerned that, without an appropriate accountability framework, managers will not have the authority or accountability to use new information to deliver more cost-effective operations and services, particularly within the United Nations system. Key findings on the United Nations and its peacekeeping operations: the interdependence of the implementation target date 2014 with Umoja The IPSAS implementation strategy selected by the United Nations and its peacekeeping operations depends on the successful implementation of Umoja. Among many other benefits, the project will provide the systems necessary to process the additional data required by IPSAS. The delay in Umoja means that it cannot now be completed on time to support IPSAS as envisaged, and the Board has yet to see a realistic plan on how to reprioritize Umoja to support IPSAS implementation. While there is currently no realistic contingency plan if reprioritization of Umoja has proved impossible or only partially possible, the Board recognizes that the United Nations and peacekeeping operations have recognized and begun to address this risk. The Board was unable to provide any clear assurance that the United Nations would complete IPSAS implementation by 2014 as planned, pending a decision on Umoja and the Administration ' s establishment of a clear overall implementation plan with full time frame implications. Whatever the final decision, the Board noted other significant risks in meeting the target date: • Effective risk management for IPSAS adoption is now critical. At the time of the Board's review, the project did not yet have a formal risk management framework, although the Administration subsequently informed the Board that a risk register had been established; and • data collection to value assets and to generate meaningful opening balances was not currently progressing much, and many business areas were not ready to do so. • The United Nations IPSAS implementation project team is concerned that it does not have sufficient resources to produce “mock-up” financial statements with real accounting data. Without a “simulation” in the year prior to IPSAS implementation, a complex organization like the United Nations would be unlikely to determine the opening balances of asset values on the balance sheet and to have the financial statements of a sufficiently high quality to withstand audit during the plan period; and The Board did not see any evidence of the deployment of change management resources and methods required to support IPSAS implementation and to respond to the cultural changes in the accruals-based concept, especially given the size of peacekeeping operations, which is a serious risk to the preparation of the required financial statements in the first year of implementation; for example, non-finance staff need to be aware of the importance of reporting on the progress of procurement from order to receipt of goods, receipt of invoices to final payment. More needs to be done to integrate IPSAS and Umoja change management activities. The following findings on the main findings of the United Nations funds and programmes — target date for implementation in 2012 — relate to the Board's review of the progress of IPSAS implementation by the United Nations Development Programme (UNDP), the United Nations Population Fund (UNFPA), the United Nations Office for Project Services (UNOPS), the United Nations Children's Fund (UNICEF), the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) and the United Nations Joint Staff Pension Fund. While the Board is of the view that all of these entities are likely to be on schedule, the Board has the following main concerns: • Although the deadline is 2012, most organizations have yet to finalize all their accounting policies, and there is still much work to be done to fully collect, cleanse and migrate data for IPSAS implementation, and in some cases the extent of the work is uncertain. The Board is concerned that delays in the completion of accounting policy may result in those entities' field offices not being trained and therefore familiar with the new policies and procedures necessary for the implementation of IPSAS; for example, there is a need for accurate cataloguing of the quantity and value of assets; • While most entities plan to prepare “simulation” statements using real accounting data prior to implementation, the Board is concerned that the timeline for this work is currently very challenging and that any delays may result in insufficient time for review and correction; and • most entities do not yet have professional implementation teams with sufficient resources. UNRWA does not have a specific project leader or a dedicated implementation team. • The United Nations Joint Staff Pension Fund continues to need the approval of the Pension Board to continue to apply the financial regulations and rules “cf.” to its accounting and financial reporting procedures to enable it to meet IPSAS requirements by 2012. The Board has identified some of the risks that the Fund needs to mitigate in order to meet the 1 January 2012 deadline. For several entities, even if IPSAS-compliant financial statements are delivered by 2012, there is a high risk that the expected benefits of IPSAS adoption will be further significantly delayed as most entities do not have an adequate benefits realization strategy and change management process. The Board has made detailed recommendations in the main body of the present report. The main recommendations are summarized as follows: (a) The United Nations and peacekeeping operations should: • conduct a comprehensive review of all potential interdependencies, risks, costs and benefits of the phased implementation of Umoja and IPSAS; and include them in their contingency plans in the event that Umoja proves that the phased implementation cannot be carried out or that implementation is not successful • Following a decision on the Umoja implementation strategy, a practical and detailed implementation plan for the United Nations and peacekeeping operations is completed as soon as possible, specifying how and when accrual accounting data will be collected, cleared and transferred to Umoja. The master plan should be complemented by an operational-level support plan to provide a focused focus for the related work of departments, offices away from Headquarters and missions • urgently develop an effective risk framework for IPSAS implementation. (b) All entities that have not yet done so, including the United Nations and peacekeeping operations, should: • prepare model financial statements and a clear plan for the preparation of a “mock-up” set of accounts using real accounting data, taking into account that sufficient time is allowed for review by the Board of Auditors; and A professional IPSAS implementation team with adequate resources • develop a clear plan for data collection, clean-up and migration for IPSAS implementation, communicate the requirements to relevant staff and begin the process quickly • develop an IPSAS benefits realization plan and an organization-wide IPSAS change management programme, including a comprehensive communication plan on the changes and benefits that IPSAS will bring and how senior management in all departments and offices must take the initiative to drive the expected benefits.", "Progress towards the implementation of IPSAS", "Key standards United Nations (2014) Peacekeeping operations UNDP (2012) UNFPA (2012) UNOPS (2012) UNICEF (2012) UNRWA (2012) Board of Auditors ' assessment of the ability to complete IPSAS implementation High-risk High-risk Low-risk Medium-Risk Medium-Risk Entity is on track to reach the milestones in the implementation plan No detailed implementation plan Yes Partially met Yes; slightly behind schedule Yes Partially achieved; slightly behind schedule Partially achieved; slightly behind schedule; slightly behind schedule Partially achieved; slightly behind schedule Not behind schedule Umoja is under development but is behind schedule. Yes. Umoja is under development but is behind schedule. Yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes, yes. The work has just begun. Is there a draft model financial statement prepared and submitted to the Board of Auditors No Yes No No No No No No No Some Partially Existed Yes Partially Existed No Partially Existed No Partially Plan Planned to Simulate Partly Plan with Real Accounting Data Partially Planned Yes Partial Partly Plan Yes Yes Yes, but time is tight Is there an effective benefit realization plan No No No No Partially formulated No Effective Business Change Management Program No Partially developed No Partial Part Partially Prepared Partially Partially", "Contents", "2. Examples of accounting data required to support IPSAS-compliant financial statements", "Background", "1. The International Public Sector Accounting Standards (IPSAS) are accrual-based standards specifically for the public sector and international organizations. IPSAS is published by the International Public Sector Accounting Standards Board, which seeks to promote transparency and accountability in the public sector. IPSAS is far more accurate and detailed than the United Nations system accounting standards and leaves much less room for inconsistent interpretations.", "2. Accrual accounting means that an organization recognizes costs when they are incurred and recognizes income when income is earned, rather than waiting for the receipt of funds. IPSAS also requires detailed recording of the value, quantity and location of an organization ' s assets (e.g., real estate, equipment, vehicles, food storage, medicines) and liabilities (e.g., pensions, staff-related liabilities, vendor obligations, financial commitments) that United Nations organizations have never previously recorded. The real significance of IPSAS, therefore, is to enable organizations to better understand and more accurately record their costs, income, assets and liabilities. IPSAS provides stronger asset and liability management controls and, more importantly, better information to facilitate cost-effective decision-making, achieve greater value for money and maintain long-term financial sustainability.", "3. In November 2005, the High-level Committee on Management of the United Nations System Chief Executives Board for Coordination made a landmark recommendation that United Nations system organizations discontinue the use of the internally developed United Nations system accounting standards and adopt IPSAS for the presentation of their financial statements; in essence, the organizations adopt full accrual accounting. In 2006, the General Assembly, by its resolution 60/283, approved the adoption of IPSAS.", "4. The High-level Committee on Management recommended that all organizations of the United Nations system adopt IPSAS no later than 2010, with the exception of three organizations that adopted IPSAS earlier. [1] This implementation objective has proved difficult for several organizations for the following reasons: lack of IPSAS expertise; lack of a compliant ERP system; and conflict with organizational priorities. As at 30 June 2009, 11 organizations had revised their initial schedule; by 31 December 2009, two further revisions had been made. As at 30 June 2010, of the four organizations that had previously planned to implement IPSAS in 2011, two had been deferred to 2012, and one organization, which had been scheduled to implement IPSAS in 2012, had now set its target for 2014. The latest implementation dates for entities of the United Nations system are set out in annex I to the present report.", "5. In its report on peacekeeping operations for the year ended 30 June 2010 (A/65/5 (Vol. II)) and the concise summary of key findings issued in July 2010 (A/65/169), the Board continued to highlight its concerns about progress achieved; the delay in the date of implementation of IPSAS; and, in particular, the continuing problems faced by the Administrations in accurately accounting for the assets of global operations and the risks associated with the retention of accounts after IPSAS implementation.", "Mandate, scope and methodology", "6. Against this background, the Advisory Committee on Administrative and Budgetary Questions, in its report issued in October 2010 (A/65/498), recommended that the Board prepare an annual report on the progress made in the implementation of IPSAS. On the basis of its past and ongoing work with United Nations entities on IPSAS matters, the Board reviewed the progress of entities within its purview in implementing IPSAS, focusing on whether the entities concerned:", "• The systematic implementation of IPSAS as planned;", "• Appropriate governance and implementation arrangements are in place and risks of successful implementation are being identified and managed;", "• Actively managing the business transformation required to ensure that IPSAS-compliant processes are in place and that the expected benefits are realized.", "7. There are a number of significant risks to the timely implementation of IPSAS and the realization of the benefits envisaged by the General Assembly when it decides to adopt IPSAS. While the Administrations themselves have recognized many of these risks, the purpose of the present report is to provide the Board with an independent view on these matters, as requested by the General Assembly.", "8. The Board coordinated its work with the Office of Internal Oversight Services and other internal audit services, as required. The Board also took into account the 2010 report of the Joint Inspection Unit entitled “Preparations of United Nations system organizations for the implementation of the International Public Sector Accounting Standards” (JIU/REP/2010/6). The report found that many United Nations organizations underestimated the concerted efforts and resources required and did not undertake initial preparedness and risk assessments. The review also stressed that a successful transition to IPSAS depended on strong senior management support and engagement, as well as the establishment of dedicated in-departmental task forces and a project management approach; the report then recommended the implementation of 16 best practices.", "9. In contrast, the present report provides a concise summary of the entities reported on the current state of progress, the significant risks to the successful achievement of the full benefits of IPSAS and the actions required to address them. The present report covers matters that, in the opinion of the Board, should be brought to the attention of the General Assembly. The Board ' s observations and conclusions were discussed with the administrations, whose views have been appropriately reflected in the present report.", "II. Managing the benefits of IPSAS adoption", "10. This section of the report considers the benefits that the adoption of IPSAS will bring to the entities concerned and how efforts to realize those benefits are being managed, including whether relevant business change management regulations have been or are being developed. The present section also reviews the benefits of achieving harmonization and comparability of accounting policies and business processes and the impact of more timely information provided in the annual report. The Board has focused its attention on the entities included and included in the scope of its work.", "Realizing benefits and change management", "11. As originally envisaged by the General Assembly (see A/60/846/Add.3), the benefits of IPSAS adoption are expected to include:", "• Overall improvement of internal controls and transparency of assets and liabilities", "• Aligning United Nations accounting with best accounting practices through the application of credible and independent full accrual accounting standards", "• Provide more comprehensive cost information to better support results-based management", "• More accurate and complete recording of non-expendable equipment", "• Improved consistency and comparability of financial statements.", "12. The Board is aware that at an informal meeting of the Advisory Committee on Administrative and Budgetary Questions in May 2011, the Administration described the importance of managing benefits within the United Nations Secretariat and across the United Nations system and the potential risks of not realizing benefits.", "13. For example, new information on accrued assets, inventories, investments and future liabilities will provide a solid basis for enhanced informed decision-making by all United Nations organizations. As such, when such information is collected, it should be entrusted to managers and staff who understand and are able to interpret accrual-based management information, and who have the right to consider and be held accountable for different approaches to the more cost-effective use of scarce resources. For these reasons, the delivery of IPSAS-compliant financial statements, while important, is only a step towards achieving the full benefits. For example, new information on the value, cost and useful life of all real estate assets will enable entities to develop integrated real estate asset strategies in a manner previously impossible.", "14. The Board recognizes that the full benefits of adopting IPSAS for financial reporting purposes and accrual accounting for management purposes cannot be realized immediately, but will be realized progressively through prudent management. However, the realization of the benefits of this major programme of change must begin from now on in order to avoid undue delay in realizing the benefits. The Board is concerned that, of all the entities reviewed:", "• No single document, including the high-level IPSAS project plan, comprehensively lists the expected benefits of IPSAS adoption; moreover, there is neither an action plan to realize benefits nor any arrangements to track progress on benefits. In United Nations system organizations, there are no actual plans to realize the benefits of IPSAS adoption;", "• There is little evidence that operational areas understand and prepare for new information that will be made available to them, or are considering how to use that information to improve the cost-effectiveness of their operations and to realize other practical benefits;", "• It is not clear who is accountable for achieving IPSAS benefits. Operational areas are still not committed to achieving the real and quantifiable benefits that fall within their areas of work and do not explain how the benefits will be achieved or measured.", "15. The Board recommends that the United Nations, peacekeeping operations and funds and programmes: (a) The objectives of the IPSAS project are clearly defined and linked to the benefits available to the United Nations; (b) business areas are required to follow up on their own implementation plans; (c) a methodology is developed to track the benefits of IPSAS adoption; and (d) relevant entities regularly communicate with senior management, the Management Committee, the Advisory Committee on Administrative and Budgetary Questions and the General Assembly, as appropriate, on progress towards the realization of benefits.", "Business change management", "16. The implementation of IPSAS is a major business change programme. This has already had an impact on staff, management and those responsible for governance, and a major change in culture is required if the United Nations, peacekeeping operations and funds and programmes are to make the transition to IPSAS and to progressively reap the full benefits.", "17. All staff must understand the impact of the new reporting mechanism on their daily activities. Without sufficient resources dedicated to training and change management, there is a real risk that IPSAS will not be understood and the expected benefits will not be realized. The Board has seen little evidence of the deployment of change management resources and methodologies required to support the implementation of IPSAS and achieve its expected benefits.", "18. There is a risk that staff will not support the IPSAS project if benefits and changes arising from IPSAS adoption are not effectively communicated and if staff are not more actively involved in implementing and realizing benefits. In particular, the Board did not see any evidence that a communications strategy and vision had been developed to describe the objectives to be achieved and the manner in which they were to be achieved, in particular the following:", "• How new information and active balance sheet and cash flow management will support improved accountability and more cost-effective delivery", "• The role to be played by the United Nations finance function in improving organizational performance, providing mature information for decision-making and serving as a centre of excellence in financial management across the United Nations system", "• Training for policymakers and managers is needed on new information and how it can be used to enhance performance measurement, costing of activities and investment assessment activities.", "19. At the United Nations, although more than 4,000 staff members have been provided with online IPSAS awareness-raising and basic concept training, to date, training has been conducted on a voluntary basis and has not been managed in a tracking or targeted manner. The Administration informed the Board that its next phase of more specific training would target individuals directly affected by the implementation of IPSAS. The Board noted that all IPSAS training should emphasize the benefits of accrual accounting and how it could improve decision-making and operational performance. The Board also noted that a “change manager” was hired in April 2011 and considered that this responsibility should include the development of a United Nations communications strategy for the implementation of IPSAS throughout the Organization. The Board is also of the view that effective change management also requires the effective participation, support and leadership of senior management throughout the United Nations.", "20. In the United Nations funds and programmes, there is little evidence that the required change management resources and activities, such as staff training, have been provided in support of IPSAS. Nor did the funds and programmes emphasize that achieving benefits required significant cultural and behavioural changes. There is a real risk that IPSAS will not be understood and its benefits will not be realized.", "21. The Board recommends that the United Nations Management Committee and the senior management of the funds and programmes, in the absence of an IPSAS benefit realization plan and an organization-wide change management programme, develop such plans and programmes, including a comprehensive communications plan, on the changes and benefits that IPSAS will bring and how senior management in departments and offices must take ownership of and contribute to the realization of the expected benefits.", "22. The Board further recommends that all senior managers of the United Nations and the funds and programmes at least complete IPSAS awareness training that emphasizes the benefits of accrual accounting and how it can improve decision-making and operational performance.", "Harmonization and standardization of business practices", "23. The adoption of IPSAS is in line with the common goal of the United Nations system to enhance the effectiveness of the United Nations system by promoting the harmonization of business practices. IPSAS was agreed to be the most desirable United Nations system standard, as it was developed by international financial accounting experts through a rigorous, independent process that gave financial statements credibility and comparability. This is critical because United Nations entities depend on Member States for funding, at a time of financial constraints. The value of IPSAS vis-à-vis other standards, such as the United Nations system accounting standards, may be questioned by inconsistent interpretations of important issues by United Nations entities, and it is therefore understandable why the High-level Committee on Management expects harmonization.", "24. Where business or administrative arrangements are substantially similar and organizations apply different interpretations to the same set of IPSAS, there is a significant risk to the credibility of the United Nations financial reporting and the IPSAS adoption project across the United Nations system. There is general agreement among United Nations organizations that consistent interpretation and application should be adopted where operational activities or specific IPSAS-related administrative arrangements are the same or similar.", "In 2010, the United Nations system-wide IPSAS Task Force commissioned a survey to determine the extent of “diversity” among United Nations system organizations as of December 2010. The survey showed that where accounting policies were agreed upon and approved by the Task Force, there was a high degree of consistency in their application and that there were clear reasons for the small number of exclusions, indicating a good degree of harmonization. Where the Task Force had only confirmed the guidance note on the interpretation of IPSAS, there were significant differences in the degree of applicability or interpretation considered by the entities. This reflects the range of options available under IPSAS, the divergence of views on how to apply the standards, and the different levels of preparedness of entities, some of which have established positions and others which are still considering options. Seven policy areas of particular concern, where there are significant differences in approaches used and where further dialogue between entities and between entities and external auditors is needed and planned for mid-2011, include:", "• Revenue recognition for non-exchange transactions, such as voluntary contributions, multi-year funding agreements and goods and services in kind", "• Accounting treatment of various employee benefits, including after-service health insurance, annual leave, sick leave, death benefits, education grant, etc.", "• Control over project assets, where there is disagreement among organizations as to whether assets purchased as part of a project should be recognized and included in the organization's balance sheet or should be expensed at the time of acquisition, as the organization does not control or benefit from such assets", "• The accounting treatment of the right to use donations and, in this context, there are different views as to whether the control and use of the assets in question require accounting treatment as an asset of the organization.", "26. The Board agrees that there is a need for a consistent interpretation of the application of IPSAS, as mandated by the High-level Committee on Management. While it is clear that United Nations organizations in similar situations should adopt similar (if not identical) accounting practices and policies in order to reap the benefits of comparability, in pursuing harmonization, it is important not to undermine the ability of entities to deliver IPSAS-compliant financial statements and to report truthfully and fairly. The management of each entity is responsible for determining the most appropriate means of interpretation and application for that entity. It is essential that Member States be given the fullest possible understanding of the financial situation of the entities.", "27. The Board recommends that the IPSAS Task Force, aware of the need for entities to apply IPSAS-compliant accounting policies that are relevant to the specific circumstances and activities of the entities, determine in each case the reasons for any differences in the treatment of accounting policies in order to enhance consistency.", "28. In its 2010 concise summary of key findings (A/65/169), the Board noted inconsistencies in the business processes of United Nations organizations, which were reinforced or not challenged by the financial regulations and rules of each entity. These inconsistencies limit the comparability of the financial statements, and the Board considers that the implementation of IPSAS provides an opportunity to improve consistency.", "The harmonization of the financial regulations and rules of the entities of the United Nations system was initiated in 2006, but at the time of writing the present report it had not been completed. The Board recognizes that, owing to the autonomy of the funds and programmes, there may be actual differences in their business processes, followed by rules and regulations. In addition, the different time frames followed for the implementation of IPSAS and the need to focus now on the implementation of the Standards rather than the harmonization of financial rules and regulations meant that harmonization of rules and regulations was unlikely to be achieved in the near future.", "30. Even with the harmonization of financial regulations and rules, unless they are strengthened and made more precise, the inherent risk remains that the United Nations system will not be able to achieve the goal of harmonizing business processes. In future reports, the Board will continue to consider the harmonization of financial rules and regulations, business processes and the presentation of financial statements. The Board is of the view that the Administrations must continue to review the matter of harmonization.", "Annual accounts and reports", "31. As required by IPSAS, United Nations entities will report and provide financial statements on an annual rather than a biennial basis. Annual financial statements should also be audited to ensure that they are credible and reliable, a view supported by the Panel of External Auditors of the United Nations and the IPSAS Task Force. This will, in turn, provide more timely information to those responsible for governance on the financial situation and performance of United Nations entities.", "32. The annual report will address a number of issues, including: the extent to which the administrations, which are accustomed to biennial reporting, are prepared to prepare their annual accounts; and how the General Assembly will manage the increase in the number and frequency of accounting reports and related external audit reports, in particular the impact on the organization of work of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee.", "33. The United Nations Administration is engaged in discussions with various stakeholders, including the Board of Auditors, on possible assumptions, options and solutions that could be submitted to the Advisory Committee on Administrative and Budgetary Questions for its consideration. Given the impact that the shift to an annual report will have starting in 2012, there is an urgent need for the United Nations Administration to address this issue.", "III. Findings and recommendations on the United Nations and peacekeeping operations", "Progress towards implementation deadlines", "Duration of IPSAS implementation in the United Nations and peacekeeping operations", "34. As at 30 June 2009, the United Nations (including peacekeeping operations) had revised the original 2012 IPSAS implementation deadline from 2012 to 2014. The important dates are as follows:", "• The first full year of IPSAS adoption in peacekeeping operations will be the financial year ending 30 June 2014, which means that the Administration will need to prepare for specific aspects by 1 July 2013", "• The first full year of IPSAS adoption in the United Nations will be the financial year ending 31 December 2014, which means that the Administration will need to be ready by 1 January 2014.", "35. The Administration explained that the decision had been taken to coordinate the preparation of IPSAS implementation and Umoja because the existing resource and asset management systems could not generate the accounting data required for the preparation of IPSAS-compliant financial statements without significant and costly upgrades or manual interventions. The timeline for Umoja was significantly behind schedule by the second half of 2010, and the United Nations Management Committee was informed in March 2011 that Umoja was at least 10.5 months behind the target delivery date (December 2014); therefore, the project will not be fully deployed by 2015 to support IPSAS implementation as planned.", "36. In March 2011, a joint working group chaired by a representative of the Department of Field Support was established to facilitate improved coordination between the two projects and to support the Umoja Director in developing and presenting to the Umoja Steering Committee a Umoja strategy and timeline in support of IPSAS. At the time of the Board ' s review, the implementation of Umoja was being reassessed to determine whether it could refocus on the elements required to support the implementation of IPSAS in 2014. The Administration is expected to take a decision in this regard between June and August 2011, when the lead time for peacekeeping operations will be less than 24 months (1 July 2013). The Board also noted that the Director of Umoja had resigned in June 2011 and that, at the time of writing, the Board was not aware of the overall impact of Umoja on the further implementation of IPSAS.", "37. While the prioritization of the Umoja component in support of IPSAS was clearly justified, implementation of the other Umoja components would inevitably be delayed if this were done. This may result in risks of operational transformation in other priority areas; it may also result in risks to Umoja in terms of momentum and budget, as staff fatigue and funds are exhausted, with the potential to delay or even reduce the full benefits expected from Umoja. Informed decision-making requires thorough consideration and clarification of potential interdependencies, risks and benefits. The Board is also concerned that there is currently no agreed contingency plan if the phased implementation of Umoja proves impossible or only partially possible. The Board is of the view that further delays in the implementation of IPSAS would undermine the credibility of the United Nations and jeopardize the successful adoption of IPSAS. The United Nations must therefore prepare a realistic and viable contingency plan to achieve the 2014 implementation target without Umoja.", "38. The Board recommends that the Administration undertake a comprehensive review of all potential interdependencies, risks, costs and benefits in the phased implementation of Umoja and IPSAS.", "39. The Board also recommends that the Administration finalize and agree on contingency plans for the phased implementation of Umoja to prove impossible or failed.", "40. The Administration stated that it recognized the need to manage the realization of benefits for both projects and informed the Board that the Management Committee had been informed in late June that Umoja could not be fully rephased to support IPSAS implementation. As a result, the Administration has begun to develop contingency plans to mitigate the risk of possible delays in the deployment of Umoja. The contingency plan, which would include a partial re-engineering phase for Umoja, minor modifications to the current functional system and manual variations, is intended to be reviewed periodically by the Administration to adjust to the progress of the two projects. The Board has not seen any plans to date, and it emphasizes that any change in approach can only be a temporary expediency in a short period of time, pending the implementation of a fully operational enterprise resource management system.", "Implementation plan", "41. The Administration informed the Board that the IPSAS project was operating on the basis of a high-level implementation plan that focused on accounting policy gaps, training materials development and the design work required for Umoja. By 2010, requirements for the progressive implementation of IPSAS had been included in other exercises, such as the recognition and detailed disclosure of liabilities for after-service health insurance; the rationalization of accounting for the uncompleted work of the capital master plan; and the disclosure of contributions in kind and contingent liabilities. These developments have begun to help pave the way for all United Nations units to accept the changes that IPSAS implementation will bring, but they are only the beginning.", "42. At the end of 2010, the Administration began to prepare a more detailed implementation plan than the previous plan. This will include detailed planning templates for operational areas (missions, departments and offices), with a greater focus on practical and logistical challenges in implementing new business processes and collecting and producing raw accounting data for IPSAS implementation. The United Nations has also recently conducted a survey to assess the readiness of offices and missions to implement IPSAS and to determine the scale of work to be undertaken. At the time of writing, a detailed implementation plan was still under preparation, with the goal of approval later in 2011.", "43. The implementation plan had to be finalized in consultation with missions and offices away from Headquarters, and the Board noted that the matter had been discussed at the Chief Finance Officer ' s workshop in June 2011 with a view to finalizing the specific duty station plan shortly thereafter. The Board welcomes the increased emphasis placed by the Administration on addressing practical implementation issues. Without a clear overall implementation plan, it would be difficult for business areas to participate effectively in the adoption of IPSAS; without a decision on Umoja and a detailed implementation plan, the Board would not be able to provide any firm assurance as to whether the United Nations would be able to adopt IPSAS by 2014. The preparation of a detailed implementation plan now is a key road task and cannot be delayed. Some of the key tasks that must be clearly identified in the implementation plan are as follows:", "(a) Production of accounting data: In order to comply with IPSAS requirements, the United Nations must collect a significant amount of new data from global operations. For example, the collection of data on the value, quantity and location of assets is a particularly urgent task for peacekeeping operations that hold most of the United Nations assets. The transfer of “legacy” accounting data from existing systems to the new Umoja system is also an important task. At the time of the Board's review, most of the systematic data collection and clean-up had only just begun and the Administration was unable to provide the Board with a clear plan for cleaning up legacy system data, transferring data to Umoja and providing data for audits. The scale of this critical task cannot be underestimated, and annex II lists the scope of the data to be produced and the challenges involved. The Board noted and welcomed the programme of work of the Office of Internal Oversight Services (OIOS) to support the Administration in the production of accounting data and to strengthen compliance in operational areas. The Board will coordinate closely with OIOS so that this can contribute to the assurance requested by the Board;", "(b) Preparation of draft financial statements: by using real accounting data to prepare a “mock-up” model set of accounts, the United Nations could test its readiness to prepare IPSAS-compliant accounts, while the Board could identify potential weaknesses and advise prior to the implementation of IPSAS. The United Nations IPSAS implementation team has prepared a model IPSAS account but has not yet submitted it to the Board of Auditors, as some of the accounting policy issues have not yet been resolved. The Executive Group also recognized the importance of using actual data to prepare draft financial statements for evaluation by the Board of Auditors, but did not believe that it had the resources to prepare comprehensive “mock” accounts. It is not possible for a complex organization such as the United Nations to complete a financial statement of a sufficiently high quality to be audited within the planned time frame without the use of real data for “simulation”;", "(c) Audit of opening balances: The establishment of opening balances of assets, liabilities and reserves in the first year of application of the standards will support the preparation of model financial statements. This is in fact the starting point for full accrual accounting, from which the opening financial position can be determined. The Board noted that the IPSAS implementation team was expected to prepare opening balances on a fund-by-fund basis and provide the auditors with opening balances on that basis. The Board is concerned that, as in the case of uncertainty in the collection of key accounting data, this incremental approach to the preparation of opening balances and opening balance sheets and related time frames is not clear.", "44. The Board recommends that the Administration prepare a complete, practical and detailed implementation plan for the United Nations and peacekeeping operations as soon as possible following the decision on the implementation strategy for Umoja.", "45. The Board also recommends that the Administration ' s implementation plan:", "(a) Clear focus on the efforts of departments, offices away from Headquarters and missions, based on an operational-level support plan;", "(b) Determine how and when the accrual accounting data on non-expendable property, leases, legal obligations, guarantees, expendable inventory, contracts and locally recruited personnel are collected and cleared, relocated to Umoja and provided for the audit;", "(c) Include a clear plan to assess the United Nations financial statements against an IPSAS-compliant set of statements to determine the necessary actions and amendments to meet the implementation schedule; and prepare a “mock” set of accounts using real accounting data for review by the Board of Auditors;", "(d) Include a clear plan for the preparation of opening balances and balance sheets to be shared with the Board of Auditors as soon as possible. The plan should be risk-based, focusing on the preparation of opening balances for the most important offices and allowing sufficient time for the Board to audit the opening balance sheets as soon as practicable, but no later than three months before the end of the first real year of IPSAS adoption.", "The Administration informed the Board that, owing to time constraints, it might not be in a position to prepare a complete “simulation” of accounts, but that it intended to do so for the most important and high-risk funds in the United Nations and peacekeeping operations. The Board will follow up on the mock-up audit planning as a matter of urgency during 2011.", "B. Governance and implementation arrangements", "47. The United Nations Management Committee, chaired by the Deputy Secretary-General, has overall responsibility for and oversight of IPSAS and Umoja business transformation projects. The United Nations IPSAS project is supervised by the IPSAS Steering Committee, chaired by the United Nations Controller. The Umoja Steering Committee is chaired by the Under-Secretary-General for Management. Until December 2010, the two steering committees regularly reported to the Management Committee. Governance arrangements have recently been strengthened and the IPSAS and Umoja Steering Committees are required to report to the Management Committee on a quarterly basis.", "48. Given the different size and technical issues of each project, it is understandable and appropriate to establish separate steering committees for the implementation of IPSAS and Umoja. There is clearly a very close interdependence between the two, both of which seek to achieve similar goals in several areas; for example, more effective financial management policies and processes. The impact of delays in the implementation of Umoja and the establishment of a new joint IPSAS and Umoja working group further highlighted this interdependence.", "49. The Board considers that increased collaboration and coordination between the two project teams is a positive development. The Board encourages the Administration to consider other areas in which collaboration can take place, in particular given the increasing involvement of business areas in implementation and the demands placed on them by both projects, in order to achieve the benefits of IPSAS, which in turn depend on the revision of business processes and the full operation of the enterprise resource planning system. At the same time, the Board noted that the Working Group had no formal terms of reference and it was not clear how its decisions were approved and implemented.", "50. At the United Nations, Umoja and IPSAS business change activities can be combined to provide cost (communication, training and staff time) and utility benefits. Change management messages will be disseminated more forcefully as a joint message and senior management time will be used more effectively. They will also help to change the perception that IPSAS is a technical financial initiative and begin to create an impression in people ' s minds that it can have a real impact on them.", "51. To reap the full benefits of new IPSAS and Umoja processes and information, a clear and effective accountability and risk management framework is required throughout the Organization; this implies a need to adjust the appropriate accountability and authority of managers who provide United Nations services. These are necessary preludes to benefit and must be incorporated into the overall programme of change. Otherwise, management will not be empowered or held accountable for using new information to improve the cost-effectiveness of its activities and the full benefits will not be realized. The Board was informed of initiatives to improve accountability and risk management in the United Nations, an issue to be further considered by the Board in future reports.", "52. The Board recommends that the Administration assess the feasibility of combining Umoja and IPSAS business change activities.", "53. The Board recommends that the Administration include the new and important joint working groups in its formal governance structure and develop clear terms of reference to clarify how its decisions are approved and implemented.", "Executive Group", "54. Any major business transformation project must have a dedicated project implementation team with sufficient resources and capacity. The United Nations established the IPSAS implementation project team in 2007. It had an agreed 18-person strength, but at the time of the Board ' s review there were three vacancies and had been operating under the full complement for more than 12 months. Key posts have been vacant, including a change manager, who coordinates other aspects of the business transformation process, such as IPSAS and Umoja business process delivery and management training. The Administration informed the Board that it intended to keep the posts vacant in order to protect its budget for the implementation phase. In the Board ' s view, these vacancies inevitably resulted in delays in the completion of the detailed implementation plan. The Board was informed that the project team would be fully staffed by December 2011, including the recruitment of “change managers”.", "55. The Board recommends that the Administration establish an IPSAS implementation team in line with the revised implementation plan, scale of tasks and change management challenges, based on a reassessment of the resources, skills and experience required.", "56. The IPSAS implementation team prepared a wide range of IPSAS accounting policy documents on which the Board was involved in advising. As currently projected, the approved accounting policy framework will not be completed until March 2012. Most IPSAS policies will be implemented through Umoja to business units and in most cases integrated with Umoja implementation. In addition to the current concerns about the implementation strategy and delays in the implementation of Umoja, the Board is of the view that this timetable may not have left sufficient time for business units to prepare them for the correct and consistent implementation of policies and related processes. In particular, given the size of peacekeeping operations, there is a high risk that they will not be able to produce the required financial statements for the first year of implementation.", "57. The Board recommends that, in developing its IPSAS implementation plan, the Administration consider allocating sufficient time and resources to consult with the Board of Auditors to the appropriate extent before approval to identify any risks or problems that may arise from implementation.", "58. For any major project, it is recognized that good practice is to establish a core group to handle the large amount of project management required for successful project delivery, progress tracking and reporting and to establish a common project management approach across the organization. The Board notes that the United Nations IPSAS implementation team is in the process of creating a project management office for this purpose, which is envisaged to contribute to reducing the administrative burden on missions and offices and to a better understanding of progress at all levels within the United Nations.", "IPSAS budget", "59. The total indicative budget approved by the General Assembly for the adoption of IPSAS in 2006 was $23 million (see annex II). This does not include the substantial but non-quantifiable costs that will be involved in the increased involvement of operational areas in implementation. By the end of February 2011, the Administration had spent some $4.7 million between 2006 and 2011, leaving a balance of $6.1 million by the end of the biennium.", "60. While the Administration informed the Board that the final total budget for IPSAS adoption would remain at $23 million, as initially approved by the General Assembly, the proposed budget for 2012-2013 had been significantly reduced as part of the Secretary-General ' s request for cost reductions for the Organization as a whole. The Board is of the view that this may not be helpful in view of the challenges to IPSAS implementation; it may also prove problematic if, in the longer term, it delays implementation, thereby increasing overall costs and delaying benefits (“returns”). The Board noted that the adequacy of the IPSAS budget and its alignment with the detailed implementation strategy would need to be reassessed.", "61. The Board also noted that of the total budget of $23 million (see annex II), $7.5 million had been allocated for consultants; $5.7 million for general temporary assistance; and $5.2 million for contractual services, travel and other costs. In comparison, only $4.6 million was allocated for established posts. This may indicate that the number of IPSAS implementation teams is lower than required and may require significant short-term external support staff. The Board is concerned that the use of consultants is balanced against the need to develop sustainable internal financial management capacity and skills.", "62. The Board recommends that, in developing the new implementation strategy, the Administration reassess the IPSAS budget to ensure that the available budget is aligned with the updated IPSAS implementation plan and that sufficient resources are made available to support the new strategy to meet the timeline for IPSAS financial statements for the first year and beyond.", "Risk assessment and management", "63. The Board is concerned that at the time of its review, no formal and systematic risk management approach, including risk registers, had been established for the IPSAS implementation project. For this major business transformation project, the Board would have expected from the outset to see that the main risks of the project were identified, prioritized in terms of severity and clearly assigned to the units concerned, which had the authority to manage risks, clear mitigation actions and regular risk reporting. The IPSAS and Umoja status profile presented to the Management Committee in March 2011 did indeed summarize the main risks for each project, with particular emphasis on establishing a reliable opening balance sheet, preparing compliant financial statements and obtaining external audit endorsement of accounting policies. However, there is no assessment of the probability or potential impact of these risks, nor is there a detailed plan for how to mitigate them, in addition to some higher-level considerations.", "64. The Administration agreed with the Board ' s recommendation that, as a matter of urgency, the joint IPSAS and Umoja working group develop a risk framework for the implementation of IPSAS that identifies key implementation risks, sets out ways to mitigate them, including, where appropriate, establishing a contingency budget, and assigns authority and accountability to manage those risks.", "65. The Administration commented that the United Nations IPSAS implementation team had developed a risk register and submitted it to the IPSAS Steering Committee in June 2011. The development of a risk mitigation strategy and the designation of clear lines of authority and accountability for each risk has begun.", "Revision of United Nations Financial Rules and Regulations", "66. The IPSAS implementation team is currently preparing proposed amendments to the Financial Regulations and Rules of the United Nations to reflect the adoption of accrual accounting and IPSAS. This work is expected to be completed in autumn 2011 for approval by the General Assembly. The Board has not seen the proposed amendments, but understands that the Administration intends to make them available to the Board to confirm that the new rules and regulations are consistent with the basic elements of accrual accounting before approval.", "IV. Findings and recommendations of the United Nations funds and programmes", "Summary", "67. This section of the report covers seven United Nations funds and programmes, including the United Nations Joint Staff Pension Fund, which are scheduled to adopt IPSAS in 2012. While the Board is aware that these entities are at different stages of their planned implementation schedule, it is of the view that IPSAS implementation by 1 January 2012 is possible for these entities, although some entities still have critical tasks to fulfil and need to mitigate significant risks if IPSAS implementation is to be on time. The time remaining before the target date was minimal and those entities could not afford to delay.", "68. Even if IPSAS-compliant financial statements were to be submitted by 2012, the expected benefits of IPSAS adoption may be delayed for a long time, as most entities do not have adequate benefit realization strategies and implementation plans.", "69. The Board provided detailed feedback to each entity in memorandums of observations and management letters and will continue to report in detail at the entity level. In the present report, the Board summarizes key elements of the IPSAS implementation plan in table 1 to provide an overview of the progress of entities as at the date of review.", "Table 1 Progress against targets", "UNDP, UNOPS, UNHCR, UNRWA, 2012 IPSAS risk Low risk Medium risk Medium risk Medium risk Medium risk Medium risk Full implementation plan Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Partial delay Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Some delay in the plan There is some delay in the plan There is a purposeful enterprise resource management system Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes", "Progress against targets", "70. The Board reviewed the progress made by the funds and programmes against the milestones set out in their implementation plans and found that some entities were behind schedule. Overall, the Board noted that entities had developed detailed plans with milestones and that progress towards meeting those milestones was monitored and reported to senior management.", "The Board recommends that all entities that have not yet done so: (a) implement appropriate project monitoring controls; (b) strengthen their plans to include details on the preparation of the “mock-up” model financial statements and opening balances; and (c) prioritize activities that must be carried out on and before the operational date, delaying activities that can be carried out after the operational date (especially those that fall behind schedule).", "Model financial statements and “mock-up” accounts", "The preparation of model financial statements and “mock-up” accounts is a key step in the implementation of IPSAS. This provides an early opportunity for entities to test their readiness to prepare IPSAS-compliant financial statements, while enabling the Board to identify potential shortfalls and provide advice. UNDP and UNFPA have prepared model financial statements and submitted them to the Board of Auditors; however, they do not contain true accounting data and need to be revised and revisited with the Board once these entities have completed further revisions to their accounting policies. While the remaining entities had included completed model financial statements in their plans, they had not prepared model financial statements.", "While most entities are planning to prepare “simulation” statements using real accounting data before implementation, the Board is concerned that the timeline for this work will be tight and that any delays will not allow sufficient time for review and correction. Completion of biennial accounts will be a prerequisite for the preparation of opening balances, and its time frame may also affect the time frame for the “mock” exercise.", "74. The Board recommends that all entities that have not yet done so: (a) compare their financial statements with an IPSAS-compliant set of statements to determine the actions and modifications required to meet the implementation schedule; and (b) prepare model financial statements and a clear plan for the preparation of a \"mock-up\" set of accounts using real accounting data, taking into account sufficient time for review by the Board.", "Enterprise resource planning system", "75. The increased requirement of IPSAS for accounting transaction data means that entities need more advanced ERP systems to implement these standards. Most entities have made considerable progress in establishing a purpose-appropriate enterprise resource planning system. For example, UNDP, UNOPS and UNFPA share an existing enterprise resource planning system (Atlas). While each of these entities is responsible for its own system specifications and configurations, UNDP has overall responsibility on behalf of all three entities. At UNDP, progress on system specifications and configurations is behind schedule. UNDP, UNOPS and UNFPA need to closely monitor how the activities of the UNDP Office of Information Systems and Technology contribute to compliance with the time frames for customization of their respective systems.", "76. Owing to budgetary constraints, UNRWA is planning to use the current enterprise resource planning system to implement IPSAS, although a gap study commissioned by UNRWA in 2008 concluded that the system could only reach partial compliance and may not be sustainable in the future. UNRWA stated that it would submit to the vendor the necessary system changes to determine whether the system would implement them as soon as policies and procedures were developed. The Board considers this to be a significant risk and will need to be strictly managed to avoid any delays in the implementation of IPSAS.", "77. The Board recommends that UNDP, UNOPS and UNFPA keep under review how the activities of the UNDP Office of Information Systems and Technology contribute to compliance with the respective ERP customization timelines.", "78. The Board also recommends that UNRWA keep under close review the risk that its current enterprise resource planning system will not be IPSAS compliant and develop contingency plans, as appropriate.", "Data collection", "79. Significant work remains to be done by all entities to properly collect, clean and migrate data for the implementation of IPSAS. Data collection under IPSAS is more complex, as entities need to consider data maintained at the field level and country offices. Annex III provides examples of data that must be collected to support IPSAS compliance. The Board noted that most entities had included data cleansing and migration as part of their implementation plans, although generally they were behind schedule. At UNFPA, the Board noted that liquidation tasks were assigned to different business units and might need to be tracked as part of the IPSAS project to ensure consistency with the IPSAS project master plan. The Board is concerned that, in the absence of an appropriate plan, staff in the field or in country offices may not be trained and familiar with new policies and procedures required for the implementation of IPSAS, such as the need for an accurate inventory of the number and value of assets.", "80. The Board recommends that all entities that have not yet done so establish a clear plan for data collection, clean-up and migration for the implementation of IPSAS and begin this work immediately.", "Table 2 Governance and implementation arrangements", "Key standards UNDP UNOPS UNHCR UNRWA governance arrangements are relevant, with participation of senior management Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes yes yes UNICEF UNRWA Senior Management Team is involved in the implementation of the main purpose of the governance arrangements of UNDP UNICEF UNRWA Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Part of the policies are still in the process of being developed Some of the policies not all have been finalized and approved Some of the policies have been finalized Some of the new policies No Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes", "IPSAS project governance", "81. The Board considers the governance arrangements to be relevant, with the participation of senior management in all entities.", "Development of accounting policies", "82. The development of IPSAS-compliant accounting policies is an important early implementation step. Delays could strain plans to process the necessary system configurations, revise business processes and prepare field offices and country offices to implement the new policy. The Board noted that some entities (UNDP, UNFPA, UNICEF and UNHCR) had made significant progress in finalizing their accounting policies, while others (UNOPS and UNRWA) still had much to do to finalize their accounting policies. This poses significant risks, as selected accounting policies have a significant impact on the data-collection process, the training strategy and, above all, the customization of the enterprise resource planning system. The Board emphasizes the need for entities to finalize their IPSAS-compliant accounting policies and submit them to the Board for review.", "83. The Board recommends that all entities that have not yet done so put in place appropriate strategies to mitigate the risks of plan stress prior to 1 January 2012.", "Budget resources available for implementation", "84. The Board reviewed the adequacy of the IPSAS budget for each entity and the management of budget implementation. In general, the IPSAS project team is well resourced, with appropriate inputs from relevant stakeholders, and the steering committee supports the project team. The Board noted that UNOPS and UNRWA relied mainly on internal staff and did not engage IPSAS specialists. However, the budgets and plans of the two entities take into account the use of consultants to assist internal teams. For these entities, the use of in-house staff for project implementation has certain benefits in terms of cost reductions and retention of knowledge, but the entities must manage the risk of inadequate alignment of their accounting policies and procedures with IPSAS and conflicting staff schedules, especially as the target date approaches. As a result, the IPSAS budgets established by these entities may not be a true reflection of the resources actually devoted to their implementation, as they do not reflect the time spent by internal finance staff.", "85. UNRWA ' s plan to hire a full-time project leader was put on hold owing to budgetary constraints. UNHCR will need to rely on external consultants to perform certain tasks, but in the long term, appropriately qualified staff will be required to provide and ensure the benefits of IPSAS adoption. UNFPA is still recruiting for key positions in the implementation team, while the recruitment process for a post is temporarily frozen owing to budgetary constraints. UNOPS has only one dedicated IPSAS staff member and has yet to recruit other staff to support IPSAS implementation.", "86. The Board recommends that all entities that have not yet done so: (a) establish a professional IPSAS implementation team with adequate resources; and (b) review the adequacy of their budgets in accordance with their updated IPSAS implementation plan and provide adequate resources accordingly.", "Table 3", "UNICEF United Nations High Commissioner for Refugees", "Full involvement of the operational sector in identifying potential benefits", "An effective benefit realization plan is in place No No No Part No", "Staff training component Yes; specific training strategy and plans are in place; training will begin in August 2011 Plan for roll-out", "Communication strategy Yes Yes Yes Yes Yes Partially", "An effective business change management programme has been developed.", "Benefits realization plan", "87. Even if IPSAS-compliant financial statements were to be submitted by 2012, the expected benefits of IPSAS adoption are likely to be realized with a further delay, as most entities do not have adequate benefit realization strategies and implementation plans.", "88. The Board recommends that all entities develop an IPSAS benefits realization plan and an organization-wide change management programme on IPSAS, including a comprehensive communication plan on the changes and benefits that IPSAS will bring and how senior management in each department and office must take ownership and drive the realization of the expected benefits.", "United Nations Joint Staff Pension Fund", "89. The Board is aware that the United Nations Joint Staff Pension Fund is in the process of re-examining its implementation strategy. The Fund uses the Financial Regulations and Rules of the United Nations. These regulations and rules will be revised as early as 2012, adding uncertainty to the Fund ' s implementation of IPSAS by 2012. The Fund is seeking the approval of the Pension Board for the Fund to continue to apply the Financial Regulations and Rules mutatis mutandis to its accounting and financial reporting in a manner consistent with IPSAS; and will request the Pension Board to endorse this transitional provision for approval by the General Assembly at its sixty-sixth session, in 2011.", "90. The Board noted that the Fund had to address a number of other risks if it was to implement IPSAS by 2012. In particular, the Board noted that (a) the implementation strategy was inadequate: (b) there was limited progress in the development of accounting policies; (c) there was no Chief Finance Officer to lead the project and no dedicated integrated implementation team; and (d) there was a need to fully assess the impact of IPSAS implementation on its systems. Given these risks, the Board is concerned that the Fund ' s strategy for IPSAS implementation by 2012 may not be realistic.", "91. The Board recommends that the Fund as a whole (a) finalize its IPSAS implementation strategy, taking into account the decisions of the Pension Board, and (b) develop a risk mitigation plan to address the risks identified.", "V. Acknowledgement", "92. The Board of Auditors wishes to express its appreciation for the cooperation and assistance extended to its staff by the management of the entities concerned and their staff.", "United Kingdom of Great Britain and Northern Ireland", "Chairman, Audit", "Permanent Representative", "Auditor-General of the Republic of South Africa", "(Signed) Terence Nombembe", "Auditor-General of the People ' s Republic of China", "Chairman of the Board of Auditors", "(Signed) Liu Jiayi", "12 July 2011", "Annex I", "IPSAS implementation targets for United Nations system organizations", "* United Nations High Commissioner for Refugees (*) United Nations Children ' s Fund (*) United Nations Office for Project Services (*) United Nations Relief and Works Agency for Palestine Refugees in the Near East", "(*) By the United Nations Board of Auditors.", "(a) The United Nations Office on Drugs and Crime, the United Nations Environment Programme, the United Nations Human Settlements Programme and the International Trade Centre UNCTAD/WTO are linked to the adoption of IPSAS by the United Nations.", "(b) The United Nations Joint Staff Pension Fund is in the process of making an initial plan to reschedule its IPSAS implementation to coincide with the United Nations.", "(c) UN-Women should adopt IPSAS in accordance with the timetable of the United Nations Development Programme. This is the first year of UN-Women ' s operations (2011).", "Note: The United Nations Framework for Climate Change, the United Nations Institute for Training and Research and the United Nations Convention to Combat Desertification do not report to the General Assembly but will adopt IPSAS in 2014.", "Annex II", "United Nations IPSAS implementation budget", "March 2011", "The General Assembly was informed that the budget estimate for IPSAS was $23.034 million. The budget is approved separately for each financial period under the regular budget and the support account for peacekeeping operations. The status of expenditures is as follows:", "Projected expenditures for IPSAS adoption at the United Nations", "(Thousands of United States dollars)", "Estimated balance of public sector accounting expenditures", "(1) Regular budget", "Section 28B, Office of Programme Planning, Budget and Accounts", "Posts", "General temporary assistance — 656.8 657.4 328.7 1 642.9", "Consultants – 488.5 193.8 193.8 876.1", "Travel of staff", "Contractual services 16.7 583.4 583.4 583.4 1 766.9", "Other 43.5 24.6 41.4 20.0 129.5", "Subtotal, section 28 2 449.8 2 388.5 2 693.0 1 765.8 9 297.1 B, Office of Programme Planning, Budget and Accounts", "Section 31, Jointly financed activities", "Grants and contributions", "Total regular budget", "(2) Peacekeeping support account(***)", "General temporary assistance", "Consultants 62.4 2 582 3 351.7 650.0 6 646.1", "Travel 20.2 62 405.4 202.7 690.1", "Other - 52.2 18.8 71.0", "Total support account for peacekeeping operations", "Total (1) and (2) 4 740.1 6 082.3 8 583.1 3 627.7 23 033.2", "(*) Total expenditure as at 28 February 2011.", "^ (**) These figures are high-level estimates.", "^ (***) The peacekeeping support account balance for 2010-2011 includes the apportionment for 2010/11 and estimates for the first six months of 2011/12.", "Annex III", "Examples of accounting data required to support IPSAS-compliant financial statements", "Existence, ownership and valuation of fixed assets. This will be a major issue for many entities, particularly for United Nations peacekeeping operations. The United Nations needs to clearly determine what assets it owns, what their value is and how long they can be used. This is critical for determining the asset base and future expenditure on the consumption of these assets. This will require external professional asset valuation for all of the intended assets and determination of their remaining useful life.", "Procurement. There are currently some 220 framework agreements and thousands of individual contracts or one-off agreements. Each agreement has a complex procurement arrangement. In assessing progress towards IPSAS adoption, the type of contract entered into will affect the accounting of related transactions, assets and liabilities. The nature of these contracts must therefore be considered to determine whether they are the procurement of assets, the procurement of services, financial leases, business leases or financial instruments.", "Legal obligations and guarantees. Similarly, this is essential for the correct accounting treatment of these obligations and guarantees in the same manner as leases.", "Data on non-expendable and expendable property are prepared for the conversion to IPSAS. The value and volume of such data is expected to be significant (e.g., the food supply management system purchases and distributes food supplies for approximately 100,000 United Nations force personnel in the field). The challenge will be to ensure that such data is collected in a comprehensive and reliable manner, as necessary, to avoid material omissions or errors in the financial statements.", "Information on locally recruited mission staff. In addition to centrally maintained international staff, approximately 10,000 personnel were recruited locally for peacekeeping missions, special political missions or other special missions in field locations. Currently, this information is maintained in several local systems and is manually consolidated into the relevant financial statements. In addition, international and locally recruited staff members are entitled to various staff benefits, such as repatriation grant, education grant, subsistence allowance and after-service health insurance. For the adoption of IPSAS, information will be required on staff leave (including unused vacation days); details of staff benefit payments, in particular accrued benefits such as the education grant, which is now also available to locally recruited staff; and any post-employment entitlements and potential liabilities related thereto.", "[1] The three organizations that adopted the guidelines earlier are the World Food Programme, the International Civil Aviation Organization and the World Health Organization. The World Food Programme successfully adopted IPSAS in 2008." ]

[ "2011年7月14日秘书长给安全理事会主席的信", "谨提及安全理事会第307(1971)号决议。安理会在该决议中决定，联合国驻印度和巴基斯坦军事观察组(印巴观察组)应监测查谟和克什米尔的停火线。目前派遣观察员的国家为智利、克罗地亚、芬兰、意大利、菲律宾、大韩民国、瑞典和乌拉圭。", "意大利政府于2011年3月初通知秘书处，该国打算从2011年下半年起减少派遣的军事观察员。经过必要的协商，我提议将泰国列入印巴观察组派遣国名单。", "望提请安全理事会成员注意此事为荷。", "潘基文(签名)" ]

[ "Letter dated 14 July 2011 from the Secretary-General addressed to the President of the Security Council", "I have the honour to refer to Security Council resolution 307 (1971), by which the Council decided that the United Nations Military Observer Group in India and Pakistan (UNMOGIP) should monitor the ceasefire line in the State of Jammu and Kashmir. The countries which currently provide observers are Chile, Croatia, Finland, Italy, the Philippines, the Republic of Korea, Sweden and Uruguay.", "The Secretariat was notified by the Government of Italy, in early March 2011, that it intended to reduce its contribution of military observers starting in the second semester of 2011. Having completed the necessary consultations, I propose that Thailand be added to the list of contributors to UNMOGIP.", "I should be grateful if you would bring this matter to the attention of the members of the Security Council.", "(Signed) BAN Ki-moon" ]

[ "Letter dated 14 July 2011 from the Secretary-General addressed to the President of the Security Council", "I have the honour to refer to Security Council resolution 307 (1971). In that resolution, the Council decided that the United Nations Military Observer Group in India and Pakistan (UNMOGIP) should monitor the ceasefire line in Jammu and Kashmir. The countries currently contributing observers are Chile, Croatia, Finland, Italy, the Philippines, the Republic of Korea, Sweden and Uruguay.", "The Government of Italy informed the Secretariat in early March 2011 of its intention to reduce the number of military observers from the second half of 2011. After the necessary consultations, I propose that Thailand be added to the list of contributors to UNMOGIP.", "I should be grateful if you would bring this matter to the attention of the members of the Security Council.", "(Signed) BAN Ki-moon" ]

[ "第六十五届会议", "议程项目69(a)", "加强联合国人道主义和救灾援助，包括 特别经济援助的协调：加强联合国 紧急人道主义援助的协调", "2011年7月8日秘书长给大会主席的信", "谨提及大会通过第60/124号决议，其中设立了中央应急基金咨询小组，以便就基金的使用和影响向我提供咨询。按照该决议第21段的规定，谨随函附上2011年4月27日至29日咨询小组在内罗毕召开会议的情况说明。", "正如说明中所概括的，咨询小组确认，基金的业绩和管理得到持续改善。咨询小组指出，大会规定进行的五年评价意义重大，并强调提交最后报告十分重要，这份报告应论据充分，依据国家研究和其他研究收集的数据。此外，咨询小组审查了基金秘书处为查明贷款机制的可能选项所做出的努力，并要求秘书处提供关于如何减少贷款余额的选项。还请秘书处把从国家审查得出的建议和结论纳入业绩和问责制框架，并报告为基金制作印刷和视频公益告示的费用情况。", "秘书长", "潘基文(签名)", "秘书长关于中央应急基金咨询小组会议的说明", "(2011年4月27日至29日)", "建议和结论", "1. 中央应急基金咨询小组是根据大会第60/124号决议设立的，以便通过主管人道主义事务副秘书长兼紧急救济协调员就基金的使用和影响向秘书长提供咨询。2011年4月27日和28日，咨询小组在内罗毕召开了第一次会议。4月29日，咨询小组前往卡库马难民营进行实地考察，亲眼目睹了基金为肯尼亚人道主义紧急情况供资所产生的影响。共有14名成员出席了会议，12人参加了实地考察。咨询小组主席Yoka Brandt女士(荷兰)主持了会议。", "2． 主管人道主义事务副秘书长说明了自咨询小组2010年11月前次会议以来基金的使用和管理的最新情况。她介绍了对基金贷款机制审查的结果，分析了在长期危机中使用基金的情况。此外，小组还讨论了基金五年评价的初步结果，审查了执行应急基金业绩和问责制框架的进展，讨论了若干政策问题，并与索马里和肯尼亚人道主义国家工作队就其使用基金的情况进行了深入的讨论。", "管理", "3. 咨询小组感谢紧急救济协调员和基金秘书处对基金持续进行的专业化管理，并注意到为改进问责制和透明度所做的工作，同时切实有效地实现基金的授权宗旨。", "4. 在咨询小组2010年11月举行的前次会议期间，小组讨论了基金的5 000万贷款机制的问题，由于约有2 500万美元的应计利息，这笔资产现已超过7 500万美元，小组要求基金秘书处为此次会议提供关于使用贷款情况的审查。小组在讨论了审查问题后，建议减少贷款部分，但同意在执行此项建议之前，有必要进行更多的分析和讨论。尤其是，有必要审议五年评价有关的研究结果。基金秘书处将在应急基金咨询小组下一次会议上提供贷款机制的最新情况，包括缩小贷款机制的规模。", "5. 咨询小组指出，尽管监测和报告基金的使用情况有了相当大的改善，但必须收集关于受益方的进一步数据。小组要求应急基金秘书处探讨更好地记录和报告受益人数据的方法，有一项理解是这个方法应简单明了，并建立在联合国执行机构收集的数据基础之上。", "6. 咨询小组还注意到，在粮食部门的拨款减少，要求秘书处就此问题做些分析。", "7． 秘书处初步分析了联合国各机构把基金赠款转给非政府组织执行伙伴的时效问题。咨询小组要求秘书处就此问题做进一步研究，确保该项研究覆盖面广泛，并依据了现行的业绩和问责制框架内的国家审查。", "8. 关于方案支助费用问题，咨询小组要求联合国主计长能让小组更好地理解除了已分配的、用以支付秘书处费用的资金外，联合国使用此类费用的情况。", "五年评价", "9. 咨询小组审查了基金五年评价初步报告草案，听取了评价小组组长对评价进展的说明。小组确认大会规定的五年评价对捐助方和对基金未来的管理至关重要。小组强调，提交最后报告十分重要，这份报告应论据充分，依据国家研究和其他研究收集的数据。在这方面，应根据为基金制定的原定目标衡量基金的业绩。咨询小组成员在评论时，还就报告的结构和调查结果的全面论述提供了意见。小组要求向其随时通报该报告的进展，并打算就本应于2011年5月中旬提交的报告进行审查和评论。", "业绩和问责制", "10. 咨询小组欣见在乍得、毛里塔尼亚和斯里兰卡对基金附加值进行独立审查作出的定论和建议。小组总结指出，这些国家审查就该基金在外地一级的影响提供了有用的报告。小组要求把国家审查提出的有关建议纳入管理方对五年评价的反应矩阵。", "11. 咨询小组注意到迄今进行的审查所得出的主要调查结果，并期待着在未来数月内收到接下来进行的四次国家一级的审查。小组要求在其下次会议上对一些调查结果作进一步讨论。小组一致认为，议程应保留有关拯救生命标准的实施以及联合国各机构及时向非政府组织执行伙伴支付经费的问题。有关备灾供资问题，小组决定在下次会议进行概念讨论。此外，在进行五年评价时，还将再次讨论这个问题。", "与肯尼亚和索马里的人道主义国家工作队的讨论", "12. 咨询小组欢迎肯尼亚和索马里的人道主义的国家工作队作出的全面介绍，其中对面临的特殊挑战以及应急基金协助应对这些挑战的方式提出了深入的看法。介绍指出，基金一直有助于弥补关键资金缺口；促进加强协调；快速、灵活和可预测；并协助调动更多的资金。介绍还查明需改进的领域：加快支付经费；进一步澄清拯救生命标准；资金保护采取更多灵活性；增加资金不足的拨款的可预见性；资金准备以及将人道主义活动自然延伸为发展活动的可能性。小组指出，五年评价应就这些问题提供一些具体建议。", "13. 咨询小组在联合国驻地协调员/人道主义协调员Aeneas Chuma先生以及肯尼亚人道主义伙伴关系小组其他成员的陪同下，于4月29日对肯尼亚北部卡库马难民营进行了实地考察。小组得以亲眼目睹基金供资的项目所产生的影响，并与受益者、执行机构、非政府组织和肯尼亚政府的合作伙伴交谈。大家一致认为，实地考察使小组深入了解基金供资的各项活动，有助于成员更好地了解与基金管理有关的事项。", "14. 鉴于人道主义国家工作队的介绍和实地考察非常有助益，咨询小组要求，在可能的情况下，咨询小组今后的会议应有参与执行应急基金供资项目的外地同事参加。小组认识到，由于费用和后勤因素所限，多数会议需在纽约或日内瓦举行。因此，将由秘书处探讨确保外地同事参加会议的备选办法。", "筹集资源的挑战和机遇", "15. 在2010年11月举行的咨询小组会议上，小组建议应提高基金的形象，以筹集更多的资金。在本次会议作进一步讨论后，小组要求应急基金秘书处审查制作和分发与2010年海地和巴基斯坦发生人道主义灾难后使用的类似新公益告示的有关费用。2010年期间，基金收到的私人捐款增加了10倍，部分原因是由于人们响应公益告示。秘书处将于2011年10月向小组报告有关印刷广告和制作视频公益告示的费用。", "行政事项", "16. 在2011年4月举行的会议上，咨询小组成员选举了新主席和副主席。Mikael Lindvall先生(瑞典)担任主席，Silvano Langa先生(莫桑比克)担任副主席。小组感谢Brandt女士过去两年作为主席所开展的工作，同时也感谢完成任期的其他主席团成员。小组注意到即将从小组离任的成员均为女性，并请秘书长在任命小组新成员时，特别注意保持良好的性别平衡。", "17. 咨询小组要求秘书处继续采用业绩和问责制框架，并坚持不懈地保持基金的及时和有效的管理，同时恪守商定的问责制和透明度原则。此外，要求秘书处提供有关该贷款机制的最新情况，并就如何以减少该贷款机制的余额提出建议；改进对受益人数的报告情况；便利小组审查并就五年评价提出意见；后续关注将国家审查建议和结论，纳入业绩和问责制框架一事；确定外地同事们如何参加咨询小组的今后会议；报告基金制作印刷和视频公益告示的费用。", "18. 咨询小组的下次会议将于2011年11月在纽约举行。其间，小组将讨论五年评价、作为业绩和问责制框架一部分的国家审查、贷款机制、基金拯救生命标准、伙伴关系、粮食危机以及备灾供资等问题，并就行政问题进行后续讨论。" ]

[ "Sixty-fifth session", "Agenda item 69 (a)", "Strengthening of the coordination of humanitarian and disaster relief assistance of the United Nations, including special economic assistance: strengthening of the coordination of emergency humanitarian assistance of the United Nations", "Letter dated 8 July 2011 from the Secretary-General addressed to the President of the General Assembly", "I have the honour to refer to General Assembly resolution 60/124, by which the Assembly established the Advisory Group of the Central Emergency Response Fund to advise me on the use and impact of the Fund. In accordance with the provisions of paragraph 21 of the resolution, I have the honour to transmit herewith a note on the meeting of the Advisory Group held in Nairobi from 27 to 29 April 2011 (see annex).", "As summarized in the note, the Advisory Group recognized continuing improvements in the performance and management of the Fund. The Advisory Group noted the significance of the General Assembly-mandated five-year evaluation and stressed the importance of having a final report that was well grounded in the data collected through country studies and other research. Further, the Advisory Group reviewed the efforts of the secretariat of the Fund to identify possible options for the loan facility and requested the secretariat to provide options on how to reduce the balance of the loan facility. The secretariat was also requested to integrate the recommendations and conclusions resulting from the country reviews conducted into the performance and accountability framework and to report back on the cost of producing print and video public service announcements for the Fund.", "(Signed) BAN Ki-moon", "Annex", "Note to the Secretary-General on the meeting of the Central Emergency Response Fund Advisory Group (27 to 29 April 2011)", "Recommendations and conclusions", "1. The Advisory Group of the Central Emergency Response Fund was established by the General Assembly by its resolution 60/124 to advise the Secretary-General, through the Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator, on the use and impact of the Fund. The Advisory Group’s first meeting for 2011 was held in Nairobi on 27 and 28 April. On 29 April, the Advisory Group conducted a field trip to Kakuma refugee camp to see first-hand the impact of financing from the Fund on humanitarian emergencies in Kenya. A total of 14 members were present at the meeting, and 12 participated in the field visit. The Chair of the Advisory Group, Ms. Yoka Brandt (Netherlands), presided over the meeting.", "2. The Under-Secretary-General for Humanitarian Affairs provided an update on the use and management of the Fund since the Advisory Group’s previous meeting, in November 2010. She presented the results of a review of the loan facility of the Fund and an analysis of the use of the Fund in protracted crises. In addition, the Group discussed the preliminary findings of the five-year evaluation of the Fund, reviewed progress on the implementation of the performance and accountability framework, discussed a number of policy issues and held in-depth discussions with the Somalia and Kenya humanitarian country teams on their use of the Fund.", "Management", "3. The Advisory Group thanked the Emergency Relief Coordinator and the secretariat of the Fund for their continued professional management of the Fund and noted the work to improve accountability and transparency while efficiently and effectively meeting the mandated purpose of the Fund.", "4. At the previous meeting of the Advisory Group, in November 2010, the Group had discussed the Fund’s $50 million loan facility, the assets of which stood at over $75 million, having accrued interest of some $25 million, and had asked the secretariat of the Fund to provide a review of the use of the loan facility for this meeting of the Group. Following a discussion of the review, the Group recommended a decrease in the size of the loan element, but agreed that more analysis and discussion would be needed before this recommendation could be implemented. In particular, the relevant findings of the five-year evaluation would need to be considered. The secretariat will provide an update on the loan facility at the next Advisory Group meeting, including options for decreasing the size of the loan facility.", "5. The Advisory Group noted that, while considerable improvements had been made in monitoring and reporting on the use of the Fund, it would be important to gather further data on beneficiaries. The Group requested that the secretariat explore ways to better record and report on beneficiary data, with the understanding that this should be kept simple and build on the data collected by United Nations implementing agencies.", "6. The Advisory Group also noted the fall in allocations to the food sector, and requested the secretariat to provide some analysis on that issue.", "7. The secretariat presented some initial analysis of the speed at which Fund grants were passed by United Nations agencies to non-governmental organization implementing partners. The Advisory Group asked the secretariat to undertake further research on that issue, and to make sure that it was well covered through the ongoing performance and accountability framework country reviews.", "8. Concerning the question of programme support costs, the Advisory Group has asked the United Nations Controller to enable it to gain a better understanding of the use of such costs by the United Nations, outside the funds allotted to cover the costs of the secretariat.", "Five-year evaluation", "9. The Advisory Group reviewed the initial draft report on the five-year evaluation of the Fund and received a presentation on the progress of the evaluation from the leader of the evaluation team. The Group recognized the importance of the General Assembly-mandated five-year evaluation for donors and for the future management of the Fund. The Group stressed the importance of having a final report that was well grounded in the data collected through the country studies and other research. In this regard, the performance of the Fund should be measured against the original objectives set for it. In their comments, Advisory Group members also provided advice on the structure of the report and overall presentation of findings. The Group asked to be kept abreast of progress on the report, and intended to review and comment on the next draft of the report, which was due in mid-May 2011.", "Performance and accountability", "10. The Advisory Group welcomed the findings and recommendations of the independent reviews of the value added by the Fund in Chad, Mauritania and Sri Lanka. It concluded that these country reviews were providing useful reporting on the impact of the Fund at the field level. The Group requested that the relevant recommendations from the country reviews be reflected in the management response matrix for the five-year evaluation.", "11. The Advisory Group took note of the main findings of the reviews undertaken to date and looked forward to receiving the next four country-level reviews over the next few months. The Group asked that further discussion on some of the findings be conducted at its next meeting. The Group agreed that the issue of the application of the life-saving criteria and the timeliness of the disbursement of funds from United Nations agencies to implementing non-governmental organization partners should remain on the agenda. On the issue of disaster preparedness funding, the Group decided that it would have a conceptual discussion at its next meeting. In addition, the issue would be revisited in the context of the five-year evaluation.", "Discussions with the Kenya and Somalia humanitarian country teams", "12. The Advisory Group welcomed the comprehensive presentations of the humanitarian country teams for Kenya and Somalia, which presented in-depth views of the particular challenges that they were facing and the ways in which the Fund had been helpful in meeting those challenges. The presentations noted that the Fund had been useful in bridging critical funding gaps; had contributed to improved coordination; was fast, flexible and predictable; and had helped to leverage more funding. The presentations also identified areas for improvement: faster disbursement of funds; further clarification on the life-saving criteria; more flexibility in funding protection; increased predictability with regard to underfunded allocations; and possibilities for funding preparedness and development activities that naturally flowed from humanitarian activities. The Group noted that the five-year evaluation should provide some concrete recommendations on those issues.", "13. The Advisory Group carried out a field visit to Kakuma refugee camp in northern Kenya on 29 April, accompanied by the United Nations Resident Coordinator/Humanitarian Coordinator, Mr. Aeneas Chuma, and other members of the Kenya humanitarian partnership team. The Group was able to witness first-hand the impact of projects financed by the Fund and to speak with beneficiaries, implementing agencies, non-governmental organizations and partners from the Government of Kenya. It was agreed that the field visit provided the Group with insight into activities financed by the Fund that would help to better inform members on matters related to Fund management.", "14. Given the usefulness of the humanitarian country team presentations and the field visit, the Advisory Group requested that, wherever possible, future meetings of the Group include the participation of field colleagues involved in implementing projects financed by the Fund. The Group recognized that, given cost and logistical factors, most meetings would need to be held in either New York or Geneva. Therefore, alternatives for ensuring the participation of colleagues from the field would be explored by the secretariat.", "Challenges and opportunities in mobilizing resources", "15. At the November 2010 Advisory Group meeting, the Group had recommended that the Fund’s profile should be raised in order to mobilize more funds. Following further discussion during this meeting, the Group had requested that the secretariat review the cost associated with producing and distributing a new public service announcement similar to the one used following the humanitarian disasters in Haiti and Pakistan in 2010. During 2010, the Fund had received a tenfold increase in private donations, owing in part to the response to the public service announcements. The secretariat will report back to the Group in October 2011 on the cost of print advertising and video public service announcements.", "Administrative matters", "16. During the April 2011 meeting, the members of the Advisory Group selected a new Chair and Vice-Chair. Mr. Mikael Lindvall (Sweden) would serve as Chair, and Mr. Silvano Langa (Mozambique) would serve as Vice-Chair. The Group expressed its thanks to Ms. Brandt for her work as Chair over the past two years, and also to the other board members who were completing their terms. The Group noted that a number of those who were leaving were women, and requested that the Secretary-General pay particular attention to maintaining a good gender balance when appointing new members of the Group.", "17. The Advisory Group requested the secretariat to continue to use the performance and accountability framework and diligently maintain timely and effective management of the Fund while adhering to agreed principles of accountability and transparency. Further, the secretariat was requested to provide an update on the loan facility and recommendations on how to decrease the balance of the loan facility; improve reporting on beneficiary numbers; facilitate the Group’s review and comments on the five-year evaluation; follow up on the recommendations and conclusions of the country reviews as part of the performance and accountability framework; determine how field colleagues would participate in future Advisory Group meetings; and report back on the cost of producing print and video public service announcements for the Fund.", "18. The next meeting of the Advisory Group will be held in New York in November 2011. During the meeting, the Group will discuss the five-year evaluation, the country reviews undertaken as part of the performance and accountability framework, the loan facility, the Fund life-saving criteria, partnerships, the food crisis and funding for preparedness, and will follow up on administrative issues." ]

[ "Sixty-fifth session", "Agenda item 69 (a)", "Strengthening of the coordination of humanitarian and disaster relief assistance of the United Nations, including special economic assistance: strengthening the coordination of emergency humanitarian assistance of the United Nations", "Letter dated 8 July 2011 from the Secretary-General addressed to the President of the General Assembly", "I have the honour to refer to General Assembly resolution 60/124, by which the Central Emergency Response Fund Advisory Group was established to advise me on the use and impact of the Fund. In accordance with paragraph 21 of the resolution, I have the honour to transmit herewith a statement of the meeting of the Advisory Group held in Nairobi from 27 to 29 April 2011.", "As outlined in the note, the Advisory Group recognizes that the performance and management of the Fund have been continuously improved. The Advisory Group noted that the five-year evaluation mandated by the General Assembly was important and emphasized the importance of the submission of the final report, which should be fully based on data collected from national studies and other studies. In addition, the Advisory Group reviewed the efforts of the Fund secretariat to identify possible options for the credit mechanism and requested the secretariat to provide options for reducing the credit balances. The Secretariat was also requested to incorporate the recommendations and conclusions drawn from national reviews into the performance and accountability framework and to report on the cost of producing print and video public messages for the Fund.", "Secretary-General", "(Signed) Ban Ki-moon", "Note by the Secretary-General on the meetings of the Central Emergency Response Fund Advisory Group", "(27-29 April 2011)", "Recommendations and conclusions", "The Central Emergency Response Fund Advisory Group was established pursuant to General Assembly resolution 60/124 to advise the Secretary-General on the use and impact of the Fund through the Under-Secretary-General for Humanitarian Affairs and the Emergency Relief Coordinator. The Advisory Group held its first meeting in Nairobi on 27 and 28 April 2011. On 29 April, the Advisory Group travelled to the Kakuma refugee camp to conduct a field visit, which witnessed the impact of the Fund's funding for humanitarian emergencies in Kenya. A total of 14 members attended and 12 participated in field missions. The Chair of the Advisory Group, Ms. Yuoka Brandt (Netherlands), chaired the meeting.", "The Under-Secretary-General for Humanitarian Affairs provided an update on the use and management of the Fund since its previous meeting in November 2010. She presented the results of the review of the Facility and analysed the use of funds in the long-term crisis. In addition, the Panel discussed the initial results of the five-year evaluation of the Fund, reviewed progress made in the implementation of the Fund's performance and accountability framework, discussed a number of policy issues and held in-depth discussions with the Somali and Kenyan humanitarian country teams on their use.", "Management", "The Advisory Group expresses its appreciation to the Emergency Relief Coordinator and the Fund secretariat for the ongoing professionalization management of the Fund and notes the work done to improve accountability and transparency, while effectively achieving the Fund's mandate.", "During the previous meeting of the Advisory Group held in November 2010, a panel discussion was held on the issue of the Fund's 5,000 loan mechanisms, which had been over $75 million due to interest earned on some $25 million, and requested the Fund secretariat to provide a review of the use of loans at that meeting. Following the discussion on the review, the Panel recommended a reduction in the loan component, but agreed that further analysis and discussion would be necessary before the implementation of the recommendation. In particular, it is necessary to consider the results of the five-year evaluation. The Fund secretariat will provide an update at the next meeting of the Advisory Group on the Fund, including on the scale of the lending mechanism.", "The Advisory Group notes that, despite considerable improvements in the use of the Monitoring and Reporting Fund, further data on beneficiaries must be collected. The Group requested the secretariat of the Fund to explore ways to better record and report on the data of beneficiaries on the understanding that this approach should be simple and based on data collected by the United Nations implementing agencies.", "The Advisory Group also noted that the allocation in the food sector had decreased and requested the Secretariat to undertake a study on the issue.", "The Secretariat provided a preliminary analysis of the issue of the statute of limitations of the transfer of funds to non-governmental organization implementing partners by United Nations agencies. The Advisory Group requested the Secretariat to undertake further studies on this issue in order to ensure the wide coverage of the study and based on national reviews within the existing framework of performance and accountability.", "With regard to programme support costs, the Advisory Group requested the United Nations Controller to better understand the use of such costs by the United Nations, in addition to the funds allocated to cover Secretariat costs.", "Five-year evaluation", "The Advisory Group reviewed the draft initial five-year evaluation report of the Fund and heard a note by the Director of the Evaluation Group on progress in evaluation. The Panel recognizes that the five-year evaluation mandated by the General Assembly is essential for donors and for future management of the Fund. The Panel stresses the importance of the submission of the final report, which should be based on data collected from national studies and other studies. In this regard, the performance of the Fund should be measured in accordance with the original target set for the Fund. In their comments, members of the Advisory Group also provided comments on the overall discussion of the structure and findings of the report. The Panel requests that it keep it informed of the progress of the report and intends to review and comment on the reports that are due in mid-May 2011.", "Performance and accountability", "The Advisory Group welcomes the findings and recommendations made in the independent review of the value added of the Fund in Chad, Mauritania and Sri Lanka. The Panel summarized that these countries reviewed useful reports on the impact of the Fund at the field level. The Panel requests that the relevant recommendations made by the national review be included in the management response matrix for the five-year evaluation.", "The Advisory Group notes the main findings of the review to date and looks forward to receiving the next four country-level reviews in the coming months. The Panel requested further discussion of some of the findings at its next meeting. The Group agreed that the agenda should retain questions relating to the implementation of life-saving standards and the timely payment of funds to non-governmental organization implementing partners by United Nations agencies. With regard to funding for disaster preparedness, the Group decided to hold a conceptual discussion at its next meeting. In addition, the issue will be revisited in the course of the five-year evaluation.", "Discussions with the humanitarian country team in Kenya and Somalia", "The Advisory Group welcomes the comprehensive presentation made by the humanitarian country team in Kenya and Somalia, which presents an in-depth view of the special challenges faced and the ways in which the Fund could assist in addressing those challenges. It was noted that the Fund had been instrumental in filling key funding gaps; promoting enhanced coordination; rapid, flexible and predictable; and helping to mobilize additional funds. It also identified areas to be improved: accelerating the disbursement of funds; further clarifying life-saving standards; greater flexibility in the protection of funds; predictability in the allocation of underfunded funds; and the possibility of extending humanitarian activities to development activities. The Panel notes that five-year evaluations should provide specific recommendations on these issues.", "The Advisory Group, accompanied by the United Nations Resident Coordinator/Humanitarian Coordinator, Mr. Aeneas Chuma, and other members of the Kenya Humanitarian Partnership Group, conducted a field study on the Kakma refugee camp in northern Kenya on 29 April. The Panel was able to witness the impact of projects funded by the Fund and to talk with beneficiaries, implementing agencies, non-governmental organizations and partners of the Government of Kenya. It was agreed that field missions had given the Group an in-depth understanding of the activities financed by the Fund and had helped members to better understand matters related to the management of the Fund.", "In the light of the very helpful presentation of the humanitarian country team and field visits, the Advisory Group requested that, where possible, future meetings of the Advisory Group should be involved in the implementation of the funding project of the Fund. The Group recognizes that most meetings will be held in New York or Geneva, owing to the limitations of costs and logistical factors. Therefore, the Secretariat will explore options to ensure participation by field colleagues.", "Challenges and opportunities for resource mobilization", "At the meeting of the Advisory Group held in November 2010, the Panel recommends that the Fund's image be improved to raise additional funds. Following further discussions at this meeting, the Panel requested the secretariat of the Fund to review the costs associated with the production and distribution of similar new public goods used after the humanitarian disaster in Haiti and Pakistan in 2010. During 2010, private contributions received by the Fund increased by 10 times, partly due to the public interest announcement. The secretariat will report to the Panel in October 2011 on the cost of printing advertisements and the production of video public messages.", "Administrative matters", "At a meeting held in April 2011, members of the Advisory Group elected new Vice-Chairman and Vice-Chairman. Mr. Mikael Lindvall (Sweden) chaired by Mr. Silvano Langa (Mozambique) as Vice-Chairperson. The Group expresses its appreciation to Ms. Brandt for the work carried out by the Chair over the past two years, and also to the other officers who completed the term of office. The Group notes that the upcoming members of the Group are women and requests the Secretary-General to pay special attention to maintaining a good gender balance in the appointment of new members of the Panel.", "The Advisory Group requested the Secretariat to continue to apply the performance and accountability framework and to maintain its timely and effective management while upholding the agreed principles of accountability and transparency. In addition, the Secretariat was requested to provide an update on the lending mechanism and to make recommendations on how to reduce the balances of the loan mechanism; improve reporting on the number of beneficiaries; facilitate the Panel's review and comment on the five-year evaluation; follow-up attention to the incorporation of national review recommendations and conclusions into the performance and accountability framework; identify how field colleagues could participate in future meetings of the Advisory Group; and report on the cost of the Fund's printing and video public service announcements.", "The next meeting of the Advisory Group will be held in New York in November 2011. During that period, the Group will discuss the five-year evaluation, the national review, the lending mechanism, the Fund's life-saving standards, partnerships, the food crisis and the financing of preparedness, and follow up on administrative issues." ]

[ "联合国儿童基金会", "执行局", "2011年第二届常会", "^(*) E/ICEF/2011/13。", "2011年9月12日至15日", "临时议程^(*) 项目3", "2012年执行局会议拟议工作方案", "所附执行局2012年工作方案由秘书处与执行局主席团协商编写，其依据为法定规定、执行局具体决定或讨论所产生的要求或秘书处的提议。", "建议执行局通过执行局2012年会议工作方案，这是一个灵活框架，在一年内可酌情修订。", "儿童基金会执行局", "执行局2012年会议拟议工作方案", "第一届常会2012年2月7日至10日\t年度会议2012年6月11日至15日\t第二届常会2012年9月10日至13日 \n 组织和程序事项 组织和程序事项 组织和程序事项 \n选举执行局主席和副主席(A) 执行局2013年会议拟议工作方案(A)\n 方案和政策事项 方案和政策事项 方案和政策事项 提交经济及社会理事会的年度报告^(*)(A)方案合作：通过订正国家方案文件(A)\t深入审查中期战略计划：执行主任的年度报告：执行中期战略计划的进展和成绩^(**)(2009/7、2010/6和2011/12)(A)\t方案合作：通过订正国家方案文件(A)国家方案文件草稿^(***)(A) 关于儿基会落实艾滋病署方案协调委员会各项建议和决定的口头报告\t儿童基金会两性平等工作进展报告(2009/3、2011/13)(D)\t国家方案中期审查区域摘要(D) \n研究与知识管理综合战略框架(2011/3)(I)2014-2017年中期战略计划的“路线图”(2011/12)(A)关于中期战略计划重点领域3(艾滋病毒/艾滋病和儿童)的成果和经验教训专题讨论\t方案合作：国家方案文件草稿(大约33份)^(***)(A)延长执行中的国家方案(2009/11)(A)道德操守办公室的报告(2010/18)(I)关于中期战略计划重点领域5(政策宣传和儿童关于权利伙伴关系)的成果和经验教训专题讨论\t核准为核定的国家方案增拨经常资源的建议(A)关于执行伙伴关系和协作关系战略框架的报告(2009/9)(D)执行局1997年核准的“经修改的方案经常资源分配制度”执行情况报告(2008/15)(D)\n 评价和审计事项 评价和审计事项 评价和审计事项 关于评价职能和主要评价工作的报告(2008/4)(A) \n\t2011年内部审计办公室提交给执行局的报告^(****)(1997/28)(A)\t\n资源、财务和预算事项\t资源、财务和预算事项\t资源、财务和预算事项私人募款：2012年工作计划和拟议预算(A)关于解决高空缺率问题的挑战和进展情况口头通报(2011/4)认捐活动\t为编制综合预算而采取措施和取得的进展：开发署、人口基金和儿基会的联合报告(A)\t中期战略计划：2011-2015年期间计划财务概算(A)私人募款：2011年12月31日终了的年度财务报告和财务报表(D) \n国际公共部门会计准则执行情况最新资料 \n 其他事项 其他事项 其他事项 儿童基金会全球工作人员协会主席发言 \n\t执行局外地访问报告(I)", "^(*) 联合检查组的相关报告也将在该议程项目下审议。", "^(**) 在该议程项目下有一个单独的数据附录。", "^(***) 与每个国家方案文件草稿对应的上一个方案周期的业绩成果概要，与国家方案文件草稿一起刊登在网站上(第2008/17号决定)；2012年选择提交共同国家方案文件的国家数量目前不详。", "^(****) 管理层对内部审计办公室2011年年度报告的回复也将在该议程项目下审议(第2009/19号决定)。", "执行局审议四类议程项目：", "㈠ 供采取行动(A)：预计执行局会在该议程项目下进行讨论并作出一项决定。秘书处编制正式文件和一项决定草案，供执行局审议；", "㈡ 供讨论(D)：预计执行局会讨论秘书处编写的正式文件。秘书处不拟定决定草案，但执行局可决定是否在该议程项目下作出一项决定；", "㈢ 供参考(I)：秘书处应执行局的要求编写文件供参考；", "㈣ 口头报告：口头报告应执行局的要求提供。口头报告附有简短的非正式背景文件。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "* E/ICEF/2011/13.", "Item 3 of the provisional agenda*", "Proposed programme of work for Executive Board sessions in 2012", "The attached programme of work for the 2012 Executive Board has been prepared by the secretariat in consultation with the Bureau of the Executive Board, based on statutory requirements, requests arising from specific decisions by or discussions within the Executive Board, or proposals by the secretariat.", "It is recommended that the Executive Board adopt the programme of work for Executive Board sessions in 2012 as a flexible framework subject to revisions as appropriate in the course of the year.", "UNICEF Executive Board", "Proposed programme of work for Executive Board sessions in 2012", "First regularsession7-10 February 2012\tAnnual session11-15 June 2012\tSecond regularsession10-13 September 2012 \nOrganizational andprocedural matters\tOrganizational andprocedural matters\tOrganizational andprocedural matters \nElection of thePresident andVice-Presidents ofthe Executive Board(A) Proposed programme ofwork for ExecutiveBoard sessions in2013 (A)Programme andpolicy matters\tProgramme and policymatters\tProgramme and policymatters \nAnnual report tothe Economic andSocial Council* (A)Programmecooperation:Adoption of revisedcountry programmedocuments (A)Oral report onUNICEF follow-up torecommendations anddecisions of theUNAIDS ProgrammeCoordinating BoardmeetingsStrategicintegratedframework forresearch andknowledgemanagement (2011/3)(I)Road map towardsthe medium-termstrategic plan for2014-2017 (2011/12)(A)Thematic discussionon results andlessons learned inthe medium-termstrategic planfocus area 3:HIV/AIDS andchildren\tIn-depth review ofMTSP:Annual report of theExecutive Director:progress andachievements againstthe medium-termstrategic plan**(2009/7, 2010/6,2011/12) (A)Report on theprogress of genderequality work inUNICEF(2009/3, 2011/13) (D)Programmecooperation:Draft countryprogramme documents(approx. 33)*** (A)Extensions of ongoingcountry programmes(2009/11) (A)Report of the Officeof Ethics (2010/18)(I)Thematic discussionon results andlessons learned inthe medium-termstrategic plan focusarea 5: Policyadvocacy andpartnerships forchildren’s rights\tProgrammecooperation:Adoption of revisedcountry programmedocuments (A)Draft countryprogrammedocuments*** (A)Regional summaries ofmidterm reviews ofcountry programmes(D)Recommendation forapproval ofadditional regularresources forapproved countryprogrammes (A)Report on theimplementation of thestrategic frameworkfor partnerships andcollaborativerelationships(2009/9) (D)Report on theimplementation of the“modified system forallocation of regularresources forprogrammes” approvedby the ExecutiveBoard in 1997(2008/15) (D)Evaluation andaudit matters\tEvaluation and auditmatters\tEvaluation and auditmatters Report on theevaluation functionand major evaluations(2008/4) (A) \n\tOffice of InternalAudit 2011 annualreport to theExecutiveBoard****(1997/28)(A)\tResource, financialand budgetarymattersPrivatefund-raising: 2012workplan andproposed budget (A)Oral briefing onchallenges andprogress inaddressing theissue of highvacancy rates(2011/4)\tResource, financialand budgetary mattersSteps taken andprogress achievedtowards an integratedbudget: joint reportof UNDP, UNFPA andUNICEF (A)\tResource, financialand budgetary mattersMedium-term strategicplan: plannedfinancial estimatesfor the period2011-2015 (A)Private fund-raising:financial report andstatements for theyear ended31 December 2011 (D) Pledging event \nUpdate on theimplementation ofthe InternationalPublic SectorAccountingStandards (D) Other matters Other matters Other matters Address by theChairperson of theUNICEF Global StaffAssociation \n\tReports of the fieldvisits of theExecutive Board (I)", "* The relevant reports of the Joint Inspection Unit will also be considered under this agenda item.", "** A separate Data Companion is available under this agenda item.", "*** The consolidated results and performance data for the previous programme cycle of each draft country programme document are posted on the UNICEF Executive Board website with the draft country programme documents (decision 2008/17); the number of countries that will opt to present a common country programme document in 2012 is not known yet.", "**** The management response to the annual report of the Office of Internal Audit for 2011 will also be considered under this agenda item (decision 2009/19).", "The Executive Board considers four types of agenda items:", "(i) For action (A): The Executive Board is expected to discuss and to adopt a decision under the agenda item. The secretariat prepares official documentation and a draft decision for consideration by the Executive Board;", "(ii) For discussion (D): The Executive Board is expected to discuss the official documentation prepared by the secretariat. The secretariat does not prepare a draft decision, but the Executive Board may opt to take a decision under the agenda item;", "(iii) For information (I): The secretariat prepares documentation for information at the request of the Executive Board;", "(iv) Oral reports: Oral reports are presented at the request of the Executive Board. They are accompanied by short, informal background documents." ]

[ "United Nations Children's Fund", "The Executive Board", "Second regular session 2009", "∗ E/ICEF/2009/13.", "12-15 September 2011", "Item 3 of the provisional agenda*", "Proposed programme of work of the Executive Board for 2012", "The accompanying programme of work of the Executive Board for 2012 was prepared by the Secretariat in consultation with the Bureau of the Executive Board, based on statutory provisions, requests arising from the Executive Board's specific decisions or discussions or proposals by the Secretariat.", "It was recommended that the Executive Board adopt the programme of work of the Executive Board for the 2012 session, a flexible framework that could be revised within one year, as appropriate.", "UNICEF Executive Board", "Proposed programme of work of the Executive Board for its 2012 session", "Organizational and procedural matters (*) (A) Programme cooperation: In-depth review of the medium-term strategic plan through the revised country programme document (A): annual report of the Executive Director: progress in the implementation of the medium-term strategic plan and achievements (**) (2009/7, 2010/6 and intergovernmental) (A) programme cooperation: adoption of the revised draft country programme document (A) country programme document treasury (***) Report on the progress made in the implementation of the UNICEF gender equality work (2009/3, 2011/13) (D) regional summary of the midterm review of country programmes (D) on the integrated strategic framework for research and knowledge management (2011/3) (I) 2010-2013 medium-term strategic plan (DPA) (A) report on the results and lessons learned in the implementation of the MTSP focus area 3 (HIV/AIDS and children) and the thematic discussion on programme cooperation: draft country programme document (approximately 33) (A) extension of the country programme function (A/18) (a) Medium-term strategic plan: planned financial estimates for the period 2011-2015 (A) private contributions: annual financial report and financial statements for the period ended 31 December 2011 (D) updated information on the implementation of International Public Sector Accounting Standards", "The relevant report of the Joint Inspection Unit will also be considered under this agenda item.", "AD(**) has a separate data appendix under this agenda item.", "AD(***) A summary of the performance results of the previous programme cycle, corresponding to the draft country programme documents, was posted on the website together with the draft country programme document (decision 2008/17); the number of countries selected to submit common country programme documents in 2012.", "The management response to the annual report of the Office of Internal Audit for 2011 will also be considered under this agenda item (decision 2009/19).", "The Executive Board considered four types of agenda items:", "(i) For action (A): The Executive Board is expected to discuss and make a decision under this agenda item. The secretariat prepares documentation and a draft decision for consideration by the Executive Board;", "(ii) For discussion (D): The Executive Board is expected to discuss the official documents prepared by the Secretariat. The Secretariat does not prepare draft decisions, but the Executive Board may decide whether to make a decision under this agenda item;", "(iii) For information (I): the secretariat shall prepare documentation for reference at the request of the Executive Board;", "(iv) Oral reports: oral reports should be requested by the Executive Board. The oral report is accompanied by a brief informal background paper." ]

[ "联合国儿童基金会", "执行局", "2011年第二届常会", "2011年9月12日至15日", "临时议程项目2", "附加说明的临时议程、时间表和工作安排", "目录", "页次\n1.会议开幕：执行局主席和执行主任致开幕词 3\n组织和程序事项 3\n2.通过附加说明的临时议程、时间表和工作安排 3\n3.2012年执行局各届会议的拟议工作方案 3\n方案和政策事项 3\n4.儿基会方案合作提案 3\n(a)核可国家方案文件和共同国家方案文件的修订本 3\n(b)国家方案文件和共同国家方案文件草案 4\n(c)国家方案的中期审查 5\n(d)宣传、方案发展和国家间方案 5\n(e)关于核拨额外经常资源给核定的国家方案的建议 6\n(f)延长正在执行的国家方案 6\n评价和审计事项 6\n5.关于儿基会评价职能和主要评价工作的年度报告 6\n6.内部审计办公室给执行局的2010年年度报告 6\n资源、财务和预算事项 6 ㈠ 7 2010-2011两年期第一年即2010年12月31日终了年度临时财务报告和 \n财务报表 \n㈡关于审计委员会就2008-2009两年期所提建议执行情况的报告 7\n7.中期战略计划：2011-2014年期间计划的财务概算 7\n8.2012-2013年机构预算 79.朝着综合预算方向所采取的步骤和已取得的进展：开发署、人口基金和 7 \n儿基会联合非正式简报 \n10.儿基会财务条例和细则 7\n11. 私人筹款：2010年12月31日终了年度财务报告和财务报表 8\n其他事项和通过决定草案 8\n12.其他事项 8\n13.通过决定草案 8\n14.执行主任和执行局主席致闭幕词 8", "附加说明的临时议程", "1. 会议开幕", "执行局将听取执行局主席和执行主任的开幕词。", "组织和程序事项", "2. 通过附加说明的临时议程、时间表和工作安排", "供采取行动[E/ICEF/2011/13]", "临时议程是根据执行局在2010年第二届常会上通过的工作方案并与执行局主席团协商后拟订的。工作方案还考虑到了在通过关于2011年执行局各届会议拟议工作方案的第2010/11号决定后与执行局主席团进行的协商。请执行局做出它认为必要的修正后，通过本届会议议程。", "3. 2012年执行局各届会议的拟议工作方案", "供采取行动[E/ICEF/2011/14]", "拟议工作方案是以秘书处的建议和执行局的各项决定为根据的，其中包括第2010/11号决定。该决定要求更好地平衡全年议程项目，同时顾及与联合国开发计划署(开发署)、联合国人口基金(人口基金)和联合国项目事务厅执行局协调相关项目时间安排的可能性。这项方案是与儿基会执行局主席团协商后编订的，提交执行局核准。方案一经通过，即成为拟订2012年执行局各届会议议程的框架，但须顾及执行局所作的决定和与执行局主席团协商后提出的修改。", "方案和政策事项", "4. 儿基会方案合作提案", "(a) 核可国家方案文件和共同国家方案文件的修订本", "供采取行动", "在2011年年会上，执行局讨论了24个国家、共同国家和地区的方案文件草案(阿尔巴尼亚、孟加拉国、中非共和国、乍得、智利、东加勒比多国方案、萨尔瓦多、埃塞俄比亚、加蓬、冈比亚、加纳、洪都拉斯、牙买加、吉尔吉斯斯坦、老挝人民民主共和国、毛里塔尼亚、蒙古、黑山、摩洛哥、菲律宾、圣多美、塞内加尔、乌克兰和津巴布韦)。此外，执行局审议了仅从其他资源筹资的两项建议(克罗地亚和阿曼)。执行局已将其评论分别通知各相关国家办事处，并酌情修订国家方案文件和共同国家方案文件草案，在该届会议后六个星期内张贴在儿基会执行局的网站上。除非有至少五个成员书面通知秘书处，希望将某一国家方案文件提交执行局讨论，否则各项国家方案文件和共同国家方案文件将以无异议方式通过。", "(b) 国家方案文件和共同国家方案文件草案", "供采取行动", "现将下面指出的14份国家方案文件和共同国家方案文件提交执行局供其讨论和提出意见，并核准方案预算中经常和其他资源估计数总计数额。每份国家方案的成果汇总表张贴在儿基会执行局的网站上，在适用情况下，联合国发展援助框架的各项成果汇总表可在儿基会执行局的网站上查阅。共同国家方案文件草案包括一份成果汇总表和儿基会拟议合作方案的指示性预算。按照执行局第2008/17号决定，也可在该网站上查阅这14项国家方案和共同国家方案中每一份在过去各个方案周期中的成果和业绩的合并数据。", "将考虑在第二届常会上所作的评论，对这些国家方案文件草案和共同国家方案文件草案将进行修改，并最迟在第二届常会结束后六个星期内在儿基会执行局的网站上张贴，以供执行局成员进一步审查。除非有至少五个成员书面通知秘书处，希望将某一国家方案或共同国家方案提交执行局讨论，否则国家方案文件和共同国家方案文件的订正本将在2012年第一届常会上以无异议方式通过。", "提交本届会议的14份国家方案文件草案和共同国家方案草案文件将按区域分列：", "美洲和加勒比", "巴西(E/ICEF/2011/P/L.40)", "多米尼加共和国(E/ICEF/2011/P/L.41)", "圭亚那和苏里南(E/ICEF/2011/P/L.42)", "巴拿马(E/ICEF/2011/P/L.43)", "秘鲁(E/ICEF/2011/P/L.44)", "东亚和太平洋", "巴布亚新几内亚(DP/FPA/OPS-ICEF/DCCP/2011/PNG/1)", "泰国(E/ICEF/2011/P/L.45)", "越南(DP/FPA/OPS-ICEF/DCCP/2011/VNM/1)", "东部和南部非洲", "马拉维(E/ICEF/2011/P/L.36)", "莫桑比克(E/ICEF/2011/P/L.37)", "中东和北非", "阿尔及利亚(E/ICEF/2011/P/L.38)", "伊朗伊斯兰共和国(E/ICEF/2011/P/L.39)", "也门(E/ICEF/2011/P/L.13)", "西部和中部非洲", "佛得角(DP/FPA/OPS-ICEF/DCCP/2011/CPV/1)", "(c) 国家方案的中期审查", "供讨论", "除其他外，当前各项国家方案的区域中期审查摘要，明确指出各项国家方案所获成果、所得教训以及是否需要进行任何调整。请执行局审查这些报告，并在必要时向秘书处提供指导。将在本届会议上提出和讨论下列6份报告：", "㈠ 美洲和加勒比区域(E/ICEF/2011/P/L.32)包括多民族玻利维亚国、哥伦比亚、哥斯达黎加、古巴、海地、墨西哥和尼加拉瓜国家和地区方案以及东加勒比多国方案和融入社会次区域方案的中期审查；", "㈡ 东亚和太平洋区域(E/ICEF/2011/P/L.33)包括库克群岛、斐济、基里巴斯、马绍尔群岛、密克罗尼西亚联邦、瑙鲁、纽埃、帕劳、萨摩亚、所罗门群岛、托克劳、汤加、图瓦卢和瓦努阿图国家方案的中期审查；", "㈢ 东部和南部非洲(E/ICEF/2011/P/L.30)包括科摩罗、莱索托和卢旺达国家方案的中期审查；", "㈣ 中东和北非区域(E/ICEF/2011/P/L.35)包括吉布提、约旦和苏丹国家方案的中期审查；", "㈤ 南亚区域(E/ICEF/2011/P/L.34)包括不丹和斯里兰卡国家方案的中期审查；", "㈥ 西部和中部非洲区域(E/ICEF/2011/P/L.31)包括喀麦隆、刚果民主共和国、赤道几内亚、几内亚、几内亚比绍、利比里亚、马里、尼日利亚和多哥国家方案的中期审查。", "(d) 宣传、方案发展和国家间方案", "供采取行动[E/ICEF/2011/P/L.46]", "执行局将审议一项建议，为(a) 总部、(b) 区域办事处和(c) 国家间方案2012-2013两年期宣传和方案发展拨出经常资源和其他资源，但须有指定用途捐款。", "(e) 关于核拨额外经常资源给核定的国家方案的建议", "供采取行动[E/ICEF/2011/P/L.47]", "请执行局为25项已核定的需要经常资源的国家方案，在其原先核准的数额之外，批准增加经常资源。这项需要起因于采用修改的制度来分配2011年和2012年各项方案可用的经常资源和全球经常资源。", "(f) 延长正在执行的国家方案", "供采取行动[E/ICEF/2011/P/L.48]", "根据执行局第2009/11号决定，将通知执行局：埃及和阿拉伯叙利亚共和国正在执行的国家方案延长一年。", "评价和审计事项", "5. 关于儿基会评价职能和主要评价工作的年度报告", "供采取行动[E/ICEF/2011/P/L.15]", "这份年度报告是按照执行局第2008/4号决定编写的；该决定请儿基会每年向执行局报告评价职能和各项主要评价工作的结论和建议。这份报告提供资料说明评价工作的全球发展情况、儿基会国家、区域和全球各级评价职能的现状，并扼要说明在加强下放的评价职能方面的进展。该报告还载有选定的国家、区域和全球各级在重点领域2(基础教育和性别平等)内对中期战略计划进行的主要评价工作的摘要。", "6. 内部审计办公室给执行局的2010年年度报告", "供采取行动[E/ICEF/2011/AB/L.9]；供讨论[E/ICEF/2011/AB/L.10]", "这份年度报告载述内部审计办公室在2010年的活动。报告介绍内部审计办公室的概况，阐述其内部审计和调查工作中突出强调的关键问题，提供有关2010年内部审计报告披露情况的信息。执行局还将收到管理当局的答复，这一答复会考虑到执行局第2006/18号、第2007/17号、第2008/23、第2009/19号和第2010/17号决定的要求。此外，儿基会审计咨询委员会的2010年年度报告可在儿基会执行局的网站上查阅。", "资源、财务和预算事项", "除了资源、财务和预算事项下的议程项目外，执行局收到了供其参考的两份", "文件。如果执行局的一个或更多的成员提出具体要求，将介绍这些文件：", "㈠ 2010-2011两年期第一年即2010年12月31日终了的年度临时财务报告和财务报表[E/ICEF/2011/AB/L.6]。", "㈡ 关于审计委员会就2008-2009两年期所提建议执行情况的报告 [E/ICEF/2011/AB/L.4]。", "关于截至2009年12月31日由经常资源提供资金支付由其他资源供资完成的项目所引起的超支的报告，可在儿基会执行局网站上查阅。", "7. 中期战略计划：2011-2014年期间计划的财务概算", "供采取行动[E/ICEF/2011/AB/L.5]", "根据执行局第2000/3号决定，随同儿基会的中期战略计划提出一个中期财务计划，财务计划所根据的概算每年都经过审查和修订。这份报告载有2011-2014年期间计划的财务概算，这些概算提供一个基础，据以决定提请在2012年核准的经常资源方案的数额。", "8. 2012-2013年机构预算", "供采取行动[E/ICEF/2011/AB/L.2]", "2012-2013年机构预算是采用成果预算编制办法、以儿基会、开发署和人口基金商定的并且经执行局第2011/6号决定核准的格式编制的。", "执行局可查阅行政和预算问题咨询委员会关于2012-2013年拟议机构预算的报告[E/ICEF/2011/AB/L.3]。", "9. 朝着综合预算方向所采取的步骤和已取得的进展：开发署、人口基金和儿基会联合非正式简报", "供参考", "联合非正式简报将介绍有关开发署、人口基金和儿基会执行局2010年第一届常会审议的综合预算路线图的执行情况现状。", "10. 儿基会财务条例和细则", "供采取行动[E/ICEF/2011/AB/L.8]", "根据执行局第2011/4号决定，儿基会现提交其财务条例修正案，请求核准，并提供即将于2012年1月1日生效的财务细则供参考。修改财务条例和细则的主要原因是便于遵守国际公共部门会计准则，以更新预算编制术语的成本类别。执行局可查阅行政和预算问题咨询委员会关于儿基会财务条例和细则拟议变动的报告(E/ICEF/2011/AB/L.12)。", "11. 私人筹款：2010年12月31日终了年度财务报告和财务报表", "供讨论[E/ICEF/2011/AB/L.11]", "这份报告每年提交执行局审查和评论。", "其他事项和通过决定草案", "12. 其他事项", "在这个议程项目下，执行局可以考虑讨论任何其他问题。", "13. 通过决定草案", "14. 执行主任和执行局主席致闭幕词", "执行局将听取执行主任和执行局主席的闭幕词。", "2011年9月12日至15日儿基会执行局2011年第二届常会的暂定时间表和工作安排[1]", "9月12日星期一\t上午10时至下午1时\t项目1项目2\t会议开幕：执行局主席和执行主任致开幕词通过附加说明的临时议程、时间表和工作安排\n 项目7\t中期战略计划：2011-2014年期间计划的财务概算\n 项目8 2012-2013年机构预算 \n\t下午3时至5时\t项目8（续）\t2012-2013年机构预算\n 项目9\t朝着综合预算方向所采取的步骤和已取得的进展：开发署、人口基金和儿基会联合非正式简报\n 项目10 儿基会财务条例和细则 \n 项目6\t内部审计办公室给执行局的2010年年度报告\n 下午5时至6时 非正式协商 9月13日星期二\t上午10时至下午1时\t项目6(续)项目5\t内部审计办公室给执行局的2010年年度报告关于儿基会评价职能和主要评价工作的年度报告 \n 关于欧洲委员会与儿基会之间的合作的特别重点会议 下午3时至5时 项目4 儿基会方案合作提案： (a)核可2011年年度会议讨论的国家方案文件和共同国家方案文件的修订本 (b)国家方案文件和共同国家方案文件草案 (c) 国家方案的中期审查 (d) 宣传、方案发展和国家间方案 (e)关于核拨额外经常资源给核定的国家方案的建议 \n (f) 延长正在执行的国家方案 \n 下午5时至6时 非正式协商 9月14日星期三\t上午10时至下午1时\t项目4(续)\t儿基会方案合作的提案：(a)核可2011年年度会议讨论的国家方案文件和共同国家方案文件的修订本 (b)国家方案文件和共同国家方案文件草案 (c) 国家方案的中期审查 (d) 宣传、方案发展和国家间方案 (e)关于核拨额外经常资源给核定的国家方案的建议 \n (f) 延长正在执行的国家方案 \n\t下午3时至5时 关于中期战略计划重点领域1(幼儿生存与发展)的执行结果和经验教训的专题讨论\n 下午5时至6时 非正式协商 \n9月15日星期四\t上午10时至下午1时\t项目11\t私人筹款：2010年12月31日终了年度财务报告和财务报表\n\t上午3时至5时\t项目3\t2012年执行局各届会议的拟议工作方案\n 项目12 其他事项 \n 执行局2012年第一届常会临时议程项目清单\n 项目13 通过决议草案 \n 项目14 执行主任和执行局主席致闭幕词", "[1] 如有一个议程项目的审议工作在分配的时限之前结束，应着手审议下一个项目并据此调整时间表。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "Item 2 of the provisional agenda", "Provisional annotated agenda, timetable and organization of work", "Contents", "Item Page", "1. Opening of the 3 session: statements by the President of the Executive Board and the Executive Director", "Organizational 3 and procedural matters", "2. Adoption of 3 the provisional annotated agenda, timetable and organization of work", "3. Proposed 3 programme of work for Executive Board sessions in 2012", "Programme and 3 policy matters", "4. Proposals for 3 UNICEF programme cooperation:", "(a) Approval of 3 revised country programme and common country programme documents", "(b) Draft country 4 programme and common country programme documents", "(c) Midterm 5 reviews of country programmes", "(d) Advocacy, 5 programme development and intercountry programmes", "(e) 6 Recommendation for approval of additional regular resources for approved country programmes", "(f) Extensions of 6 ongoing country programmes", "Thematic 6 discussion on results and lessons learned in the medium-term strategic plan focus area 1: Young child survival and development", "Special Focus 6 Session on the collaboration between the Council of Europe and UNICEF", "Evaluation and 6 audit matters", "5. Annual report 6 on the evaluation function and major evaluations in UNICEF", "6. Office of 6 Internal Audit 2010 annual report to the Executive Board", "Resource, 6 financial and budgetary matters", "(i) Interim 7 financial report and statements for the year ended 31 December 2011, the first year of the biennium 2011-2012", "(ii) Report on 7 the implementation of the recommendations of the Board of Auditors for the biennium 2008-2009", "7. Medium-term 7 strategic plan: planned financial estimates for the period 2011-2014", "8. Institutional 7 budget for 2012-2013", "Report of the 7 Advisory Committee on Administrative and Budgetary Questions on the proposed institutional budget for 2012-2013", "9. Steps taken 7 and progress achieved towards an integrated budget: joint informal briefing note of UNDP, UNFPA and UNICEF", "10. UNICEF 7 Financial Regulations and Rules", "Report of the 7 Advisory Committee on Administrative and Budgetary Questions on the Financial Regulations and Rules of UNICEF", "11. Private 8 fund-raising: financial report and statements for the year ended 31 December 2010", "Other matters and 8 adoption of draft decisions", "12. Other matters 8", "13. Adoption of 8 draft decisions", "14. Closing 8 statements by the Executive Director and the President of the Executive Board", "Provisional annotated agenda", "1. Opening of the session", "The Executive Board will hear opening statements by the President of the Executive Board and the Executive Director.", "Organizational and procedural matters", "2. Adoption of the provisional annotated agenda, timetable and organization of work", "For action [E/ICEF/2011/13]", "The provisional agenda has been prepared in consultation with the Bureau of the Executive Board based on the programme of work adopted by the Executive Board at its 2010 second regular session. The programme of work also takes into account consultations with the Bureau of the Executive Board following the adoption of decision 2010/11 on the proposed programme of work for Executive Board sessions in 2011. The Executive Board is requested to adopt the agenda for the session, making any amendments it considers necessary.", "3. Proposed programme of work for Executive Board sessions in 2012", "For action [E/ICEF/2011/14]", "The proposed programme of work is based on suggestions by the secretariat and on Executive Board decisions, including decision 2010/11, which called for a better balance of agenda items throughout the year and for the possibility to harmonize the schedule for relevant items with that of the Executive Board of the United Nations Development Programme (UNDP), of the United Nations Population Fund (UNFPA) and of the United Nations Office for Project Services. It has been prepared in consultation with the Bureau of the Executive Board of UNICEF and is presented to the Executive Board for approval. Once adopted, it serves as a framework for setting the agenda for 2012 Executive Board sessions, subject to decisions by the Executive Board and modifications introduced in consultation with the Bureau of the Executive Board.", "Programme and policy matters", "4. Proposals for UNICEF programme cooperation", "(a) Approval of revised country programme and common country programme documents", "For action", "At its 2011 annual session, the Executive Board discussed 24 draft country, common country and area programme documents (Albania, Bangladesh, Central African Republic, Chad, Chile, Eastern Caribbean multi-country programme, El Salvador, Ethiopia, Gabon, Gambia, Ghana, Honduras, Jamaica, Kyrgyzstan, Lao People’s Democratic Republic, Mauritania, Mongolia, Montenegro, Morocco, Philippines, Sao Tome, Senegal, Ukraine, and Zimbabwe). In addition, the Executive Board considered two recommendations for funding from other resources only (Croatia and Oman). The comments made were shared with the respective country offices, and the draft country programme and common country programme documents were revised as appropriate and posted on the UNICEF Executive Board website within six weeks of the session. The Executive Board will approve the country programme and common country programme documents on a no-objection basis unless at least five members have informed the secretariat in writing of their wish to bring a particular country programme document before the Executive Board for discussion.", "(b) Draft country programme and common country programme documents", "For action", "The 14 country and common country programme documents noted below are presented to the Executive Board for discussion and comment, and for approval of the aggregate totals of estimated regular and other resources in the programme budget. The summary results matrix for each country programme is posted on the UNICEF Executive Board website, and the United Nations Development Assistance Framework results matrices are available through the UNICEF Executive Board website, where applicable. The draft common country programme documents include a both a summary results matrix and the indicative budget for the proposed UNICEF programme of cooperation. Also available on the website, in accordance with Executive Board decision 2008/17, are the consolidated results and performance data for the previous programme cycles of each of the 14 draft country programme and common country programmes.", "Taking into account the comments made at the second regular session, the draft country and common country programme documents will be revised and posted on the UNICEF Executive Board website, at the latest, six weeks after the second regular session for further review by members of the Executive Board. The revised country programme and common country programme documents will be approved by the Executive Board on a no-objection basis at the 2012 first regular session unless at least five members have informed the secretariat in writing of their wish to bring a particular country or common country programme before the Executive Board.", "The 14 draft country programme and common country programme documents for this session will be presented by region:", "Americas and the Caribbean", "Brazil (E/ICEF/2011/P/L.40)", "Dominican Republic (E/ICEF/2011/P/L.41)", "Guyana and Suriname (E/ICEF/2011/P/L.42)", "Panama (E/ICEF/2011/P/L.43)", "Peru (E/ICEF/2011/P/L.44)", "East Asia and the Pacific", "Papua New Guinea (DP/FPA/OPS-ICEF/DCCP/2011/PNG/1)", "Thailand (E/ICEF/2011/P/L.45)", "Viet Nam (DP/FPA/OPS-ICEF/DCCP/2011/VNM/1)", "Eastern and Southern Africa", "Malawi (E/ICEF/2011/P/L.36)", "Mozambique (E/ICEF/2011/P/L.37)", "Middle East and North Africa", "Algeria (E/ICEF/2011/P/L.38)", "Islamic Republic of Iran (E/ICEF/2011/P/L.39)", "Yemen (E/ICEF/2011/P/L.13)", "West and Central Africa", "Cape Verde (DP/FPA/OPS-ICEF/DCCP/2011/CPV/1)", "(c) Midterm reviews of country programmes", "For discussion", "These regional summaries of midterm reviews of ongoing country programmes specify, inter alia, the results achieved, lessons learned and the need for any adjustment in the country programmes. The Executive Board is requested to review the reports and to provide guidance to the secretariat, if necessary. The following six reports will be presented and discussed at this session:", "(i) Americas and the Caribbean region (E/ICEF/2011/P/L.32) covering the midterm reviews of country and area programmes in the Plurinational State of Bolivia, Colombia, Costa Rica, Cuba, Haiti, Mexico and Nicaragua as well as the Eastern Caribbean multi-country programme and the Proinclusion subregional programme;", "(ii) East Asia and the Pacific region (E/ICEF/2011/P/L.33) covering the midterm reviews of country programmes in Cook Islands, Fiji, Kiribati, Marshall Islands, Federated States of Micronesia, Nauru, Niue, Palau, Samoa, Solomon Islands, Tokelau, Tonga, Tuvalu and Vanuatu;", "(iii) Eastern and Southern Africa (E/ICEF/2011/P/L.30) covering the midterm reviews of country programmes in Comoros, Lesotho and Rwanda;", "(iv) Middle East and North Africa region (E/ICEF/2011/P/L.35) covering the midterm reviews of country programmes in Djibouti, Jordan and Sudan;", "(v) South Asia region (E/ICEF/2011/P/L.34) covering the midterm reviews of country programmes in Bhutan and Sri Lanka;", "(vi) West and Central Africa region (E/ICEF/2011/P/L.31) covering the midterm reviews of country programmes in Cameroon, Democratic Republic of the Congo, Equatorial Guinea, Guinea, Guinea Bissau, Liberia, Mali, Nigeria and Togo.", "(d) Advocacy, programme development and intercountry programmes", "For action [E/ICEF/2011/P/L.46]", "The Executive Board will consider a recommendation for allocation from regular resources and other resources, subject to the availability of specific-purpose contributions, for advocacy and programme development for the 2012-2013 biennium for (a) headquarters; (b) regional offices; and (c) intercountry programmes.", "(e) Recommendation for approval of additional regular resources for approved country programmes", "For action [E/ICEF/2011/P/L.47]", "The Executive Board is requested to approve additional regular resources for 25 approved country programmes that require regular resources beyond the levels originally approved by the Executive Board. This requirement results from the application of the modified system for the allocation of regular resources and global regular resources available for programmes in 2011 and 2012.", "(f) Extensions of ongoing country programmes", "For action [E/ICEF/2011/P/L.48]", "Further to Executive Board decision 2009/11, the Executive Board will be informed of the one-year extensions of the ongoing country programmes of Egypt and the Syrian Arab Republic.", "Evaluation and audit matters", "5. Annual report on the evaluation function and major evaluations in UNICEF", "For action [E/ICEF/2011/15]", "This annual report is prepared in response to Executive Board decisions 2008/4, which requested UNICEF to report annually to the Executive Board on the evaluation function and on findings and recommendations of evaluations. The report provides information on global developments in evaluation, the current state of the evaluation function in UNICEF at country, regional and global levels, and outlines progress in strengthening the decentralized evaluation function. The report also contains a summary of selected major evaluations conducted at country, regional and global levels within focus area 2 (basic education and gender equality) of the medium-term strategic plan.", "6. Office of Internal Audit 2010 annual report to the Executive Board", "For action [E/ICEF/2011/AB/L.9]; for discussion [E/ICEF/2011/AB/L.10]", "This annual report covers the activities of the Office of Internal Audit in 2010. It provides an overview of the unit, describes the key issues highlighted by its internal audit and investigations work, and gives information on the disclosure of internal audit reports during 2010. The Executive Board will also have before it the response by management that takes into account requests made by the Executive Board in decisions 2006/18, 2007/17, 2008/23, 2009/19 and 2010/17. In addition, the 2010 annual report of the UNICEF Audit Advisory Committee is available on the UNICEF Executive Board website.", "Resource, financial and budgetary matters", "In addition to the agenda items listed under resource, financial and budgetary matters the Executive Board has before it two documents for information. These documents will be introduced if a specific request is made by one or more members of the Executive Board:", "(i) Interim financial report and statements for the year ended 31 December 2011, the first year of the biennium 2011-2012 [E/ICEF/2011/AB/L.6].", "(ii) Report on the implementation of the recommendations of the Board of Auditors for the biennium 2008-2009 [E/ICEF/2011/AB/L.4].", "A report on funds allocated from regular resources to cover overexpenditures for completed projects funded from other resources up to 31 December 2009 is available on the website.", "7. Medium-term strategic plan: planned financial estimates for the period 2011‑2014", "For action [E/ICEF/2011/AB/L.5]", "In accordance with Executive Board decision 2000/3, a medium-term financial plan is presented with the UNICEF medium-term strategic plan, and the estimates on which the financial plan is based are reviewed and revised annually. This report contains the planned financial estimates for the period 2011-2014, which provide a basis for determining the level of regular resources programme submissions for approval in 2012.", "8. Institutional budget for 2012-2013", "For action [E/ICEF/2011/AB/L.2]", "The institutional budget for 2012-2013 is based on the results-based budgeting approach and presented in the format agreed upon by UNICEF, UNDP and UNFPA, and endorsed by the Executive Board in decision 2011/6.", "The report of the Advisory Committee on Administrative and Budgetary Questions on the proposed institutional budget for 2012-2013 (E/ICEF/2011/AB/L.3) is available to the Executive Board for information.", "9. Steps taken and progress achieved towards an integrated budget: joint informal briefing note of UNDP, UNFPA and UNICEF", "For information", "The joint informal note will provide a status update on the implementation of the road map to an integrated budget considered by the Executive Boards of UNDP, UNFPA and UNICEF at their first regular sessions of 2010.", "10. UNICEF Financial Regulations and Rules", "For action [E/ICEF/2011/AB/L.8]", "In accordance with Executive Board decision 2011/4, UNICEF is presenting amendments to its Financial Regulations for approval and Financial Rules for information, with an effective date of 1 January 2012. The primary reason for amending the Financial Regulations and Rules are to allow for compliance with International Public Sector Accounting Standards to update the cost categories for budgeting terminology. The report of the Advisory Committee on Administrative and Budgetary Questions on the proposed changes to the Financial Regulations and Rules (E/ICEF/2011/AB/L.12) is available to the Executive Board for information.", "11. Private fund-raising: financial report and statements for the year ended 31 December 2010", "For discussion [E/ICEF/2011/AB/L.11]", "This report is presented annually to the Executive Board for review and comments.", "Other matters and adoption of draft decisions", "12. Other matters", "The Executive Board may consider discussing any other issue under this agenda item.", "13. Adoption of draft decisions", "14. Closing statements by the Executive Director and the President of the Executive Board", "The Executive Board will hear statements by the Executive Director and the President of the Executive Board.", "Provisional timetable and organization of work for the 2011 second regular session of UNICEF Executive Board", "12-15 September 2011[1]", "Monday,12September\ta.m.10:00-1:00\tItem 1\tOpening of the session:Statements by the President ofthe Executive Board and theExecutive Director\n Item 2\tAdoption of the provisionalannotated agenda, timetable andorganization of work\n Item 7\tMedium-term strategic plan:planned financial estimates forthe period 2011-2014\n Item 8\tInstitutional budget for2012-2013\n\tp.m.3:00-5:00\tItem 8(continued)\tInstitutional budget for2012-2013\n Item 9\tSteps taken and progressachieved towards an integratedbudget: joint informal briefingnote of UNDP, UNFPA and UNICEF\n Item10\tUNICEF Financial Regulationsand Rules\n Item 6\tOffice of Internal Audit 2010annual report to the ExecutiveBoard\n\t5:00-6:00 Informal consultations\nTuesday,13September\ta.m.10:00-1:00\tItem 6(continued)\tOffice of Internal Audit 2010annual report to the ExecutiveBoard\n Item 5\tAnnual report on the evaluationfunction and major evaluationsin UNICEF\n Special focus session on thecollaboration between theCouncil of Europe and UNICEF\tp.m.3:00-5:00\tItem 4\tProposals for UNICEF programmecooperation:(a) Approval of revised countryprogramme and common countrydocuments discussed at the 2011annual session (b) Draft country programme andcommon country programmedocuments (c) Midterm reviews of countryprogrammes \n (d) Advocacy, programmedevelopment and intercountryprogrammes (e) Recommendation for approvalof additional regular resourcesfor approved country programmes \n (f) Extensions of ongoingcountry programmes\n\t5:00-6:00 Informal consultationsWednesday,14September\ta.m.10:00-1:00\tItem 4(continued)\tProposals for UNICEF programmecooperation(a) Approval of revised countryprogramme documents discussedat the 2011 annual session (b) Draft country programme andcommon country programmedocuments (c) Midterm reviews of countryprogrammes (d) Advocacy, programmedevelopment and intercountryprogrammes (e) Recommendation for approvalof additional regular resourcesfor approved country programmes \n (f) Extensions of ongoingcountry programmes\n\tp.m.3:00-5:00 Thematic discussion on resultsand lessons learned in themedium-term strategic planfocus areas 1: Young childsurvival and development\n\t5:00-6:00 Informal consultationsThursday,15\ta.m.10:00-1:00\tItem11\tPrivate fund-raising: financialreport and statements for theyear ended 31 December 2010 \n September \n\tp.m.3:00-5:00\tItem 3\tProposed programme of work forthe Executive Board sessions in2012\n Item12\tOther matters\n Provisional list of agendaitems for the 2012 firstregular session of theExecutive Board\n Item13\tAdoption of draft decisions\n Item14\tClosing of the session:Statements by the ExecutiveDirector and the President ofthe Executive Board", "[1] When consideration of an agenda item concludes ahead of the allocated time, the next item will be taken up for consideration and the timetable adjusted accordingly." ]

[ "United Nations Children's Fund", "The Executive Board", "Second regular session 2009", "12-15 September 2011", "Provisional agenda", "Annotated provisional agenda, timetable and organization of work", "Contents", "Opening of the session: Opening statements by the Executive Board and Executive Director 3 Organizational and procedural matters 3: Adoption of annotated provisional agenda, timetable and organization of work 3 3. Proposed programme of work for Executive Board sessions in 2012 3: Programme and policy matters 3 (a) approval of country programme documents and revised country programme documents 3 (b) document and draft common country programme documents 4 (c) midterm review of country programmes, 5 (d) advocacy, programme development and intercountry programme 5 (e) recommendations for the allocation of additional regular resources for the biennium 2010-2011 6 (f) implementation of the financial reporting and evaluation of UNICEF activities for the biennium 2010-2011", "Annotated provisional agenda", "Opening of the session", "The Executive Board will hear an opening statement by the President of the Executive Board and the Executive Director.", "Organizational and procedural matters", "Adoption of annotated provisional agenda, timetable and organization of work", "Action for action [E/ICEF/2009/13]", "The provisional agenda was prepared in accordance with the programme of work adopted by the Executive Board at its second regular session 2010, and in consultation with the Bureau of the Executive Board. The programme of work also took into account the consultations with the Bureau of the Executive Board following the adoption of decision 2010/11 on the proposed programme of work for the sessions of the Executive Board in 2011. The Executive Board was invited to adopt the agenda for the session, after it considered necessary amendments.", "Proposed programme of work for Executive Board sessions, 2012", "Action for action [E/ICEF/2009/14]", "The proposed programme of work is based on the recommendations of the secretariat and the decisions of the Executive Board, including decision 2010/11. The decision called for a better balance of the whole-year agenda item, taking into account the possibility of coordinating the project schedule with the Executive Board of the United Nations Development Programme (UNDP), the United Nations Population Fund (UNFPA) and the United Nations Office for Project Services. The programme was prepared in consultation with the UNICEF Executive Board Bureau and presented to the Executive Board for approval. The programme was adopted as a framework for the preparation of the agendas for the sessions of the Executive Board in 2012, taking into account the decisions taken by the Executive Board and the changes proposed in consultation with the Bureau of the Executive Board.", "Programme and policy matters", "UNICEF programme cooperation proposals", "(a) Revised approval of country programme documents and common country programme documents", "Action for action", "At its 2011 session, the Executive Board discussed the draft programme documents for 24 countries, common countries and regions (Albania, Bangladesh, the Central African Republic, Chad, Chile, the Eastern Caribbean multi-country programmes, El Salvador, Ethiopia, Gabon, the Gambia, Ghana, Honduras, Jamaica, Kyrgyzstan, the Lao People's Democratic Republic, Mauritania, Mongolia, Montenegro, Morocco, the Philippines, Santo Domingo, Senegal, Ukraine and Zimbabwe). In addition, the Executive Board considered two recommendations for funding only from other resources (Croatia and Oman). The Executive Board has informed the relevant country offices and, where appropriate, revised the draft country programme documents and common country programme documents, posted on the UNICEF Executive Board website within six weeks of the session. Each country programme document and common country programme documents will be adopted without objection unless at least five members have written notification to the secretariat.", "(b) Draft country programme documents and common country programme documents", "Action for action", "Fourteen country programme documents and common country programme documents, as noted below, will be submitted to the Executive Board for discussion and observations and approval of the total estimated regular and other resources in the programme budget. Each country programme results matrix is posted on the UNICEF Executive Board website and, where applicable, the results matrix of the United Nations Development Assistance Framework is available on the UNICEF Executive Board website. The draft common country programme document includes an indicative budget for the results matrix and the proposed UNICEF cooperation programme. In accordance with Executive Board decision 2008/17, consolidated data on the outcomes and performance of each of the 14 country programmes and common country programmes can also be found on the website.", "The comments made at the second regular session will be taken into account, and the draft common country programme documents will be revised and posted on the UNICEF Executive Board website no later than six weeks after the end of the second regular session for further review by members of the Executive Board. Unless at least five members have written notification to the secretariat, they wish to submit a country programme or a common country programme to the Executive Board for discussion, the revised version of the country programme documents and common country programme documents will be adopted without objection at the first regular session 2012.", "The 14 draft country programme documents submitted for the session and the draft common country programme documents will be broken down by region:", "Americas and the Caribbean", "Brazil (E/ICEF/2009/P/L.40)", "Dominican Republic (E/ICEF/2009/P/L.41)", "Guyana and Suriname (E/ICEF/2009/P/L.42)", "Panama (E/ICEF/2009/P/L.43)", "Peru (E/ICEF/2009/P/L.44)", "East and Pacific", "Papua New Guinea (DP/FPA/OPS-ICEF/DCCPNG/1)", "Thailand (E/ICEF/2009/P/L.45)", "Viet Nam (DP/FPA/OPS-ICEF/DCCPACTVNM/1)", "Eastern and Southern Africa", "Malawi (E/ICEF/2009/P/L.36)", "Mozambique (E/ICEF/2009/P/L.37)", "Middle East and North Africa", "Algeria (E/ICEF/2009/P/L.38)", "Islamic Republic of Iran (E/ICEF/2009/P/L.39)", "Yemen (E/ICEF/2009/P/L.13)", "Western and Central Africa", "Cape Verde (DP/FPA/OPS-ICEF/DCCPTSCPV/1)", "(c) Midterm review of country programmes", "For discussion", "Among other things, the regional midterm review summaries of current country programmes clearly indicate the results, lessons learned, and whether any adjustments are required. The Executive Board is invited to review these reports and to provide guidance to the Secretariat as necessary. The following six reports will be presented and discussed at the current session:", "(i) The Americas and the Caribbean region (E/ICEF/2009/P/L.32) include the midterm review of the programmes of the Plurinational State of Bolivia, Colombia, Costa Rica, Cuba, Haiti, Mexico and Nicaragua, as well as the multi-country programmes and subregional programmes for integration in the Eastern Caribbean;", "(ii) A midterm review of the country programmes in East Asia and the Pacific (E/ICEF/2009/P/L.33), including the Cook Islands, Fiji, Kiribati, Marshall Islands, Micronesia (Federated States of), Nauru, Niue, Palau, Samoa, Solomon Islands, Tokelau, Tonga, Tuvalu and Vanuatu;", "(iii) Eastern and Southern Africa (E/ICEF/2009/P/L.30) includes the midterm review of national programmes in the Comoros, Lesotho and Rwanda;", "(iv) The Middle East and North Africa region (E/ICEF/2009/P/L.35), including the midterm review of national programmes in Djibouti, Jordan and the Sudan;", "(v) The South Asian region (E/ICEF/2009/P/L.34), including the midterm review of the country programmes in Bhutan and Sri Lanka;", "(vi) The Western and Central African region (E/ICEF/2009/P/L.31) includes the midterm review of the country programmes in Cameroon, the Democratic Republic of the Congo, Equatorial Guinea, Guinea-Bissau, Liberia, Mali, Nigeria and Togo.", "(d) Advocacy, programme development and inter-country programmes", "Action taken [E/ICEF/2009/P/L.46]", "The Executive Board will consider a recommendation to allocate regular and other resources for (a) headquarters, (b) regional offices and (c) intercountry programme advocacy and programme development for the biennium 2012-2013, subject to earmarked contributions.", "(e) Recommendations on additional regular resources for approved country programmes", "Action taken [E/ICEF/2009/P/L.47]", "The Executive Board is invited to approve an increase in regular resources for 25 approved country programmes requiring regular resources. This requires the allocation of regular and global regular resources available for programmes in 2011 and 2012.", "(f) Extension of ongoing country programmes", "Action for action [E/ICEF/2009/P/L.48]", "In accordance with Executive Board decision 2009/11, the Executive Board will be informed that a one-year extension of the country programme being carried out by Egypt and the Syrian Arab Republic.", "Evaluation and audit matters", "Annual report on the evaluation function and main evaluation work of UNICEF", "Action for action [E/ICEF/2009/P/L.15]", "The annual report was prepared in accordance with Executive Board decision 2008/4, in which UNICEF was requested to report annually to the Executive Board on evaluation functions and conclusions and recommendations for major evaluations. The report provides information on the global developments in the evaluation process, the status of evaluation functions at the national, regional and global levels, and outlines progress made in strengthening delegated evaluation functions. The report also contains a summary of selected country, regional and global evaluations of the medium-term strategic plan in focus area 2 (basic education and gender equality).", "Annual report of the Office of Internal Audit to the Executive Board for 2010", "Action [E/ICEF/2009/AB/L.9]; for discussion [E/ICEF/2009/AB/L.10]", "The annual report covers the activities of the Office of Internal Audit in 2010. The report presents the overview of the Office of Internal Audit, addresses key issues highlighted in its internal audit and investigation efforts and provides information on the disclosure of internal audit reports for 2010. The Executive Board will also have before it the management response, which will take into account Executive Board decisions 2006/18, 2007/17, 2008/23, 2009/19 and 2010/17. In addition, the annual report of the UNICEF Audit Advisory Committee for 2010 is available on the UNICEF Executive Board website.", "Resource, financial and budgetary matters", "In addition to the items under resources, finance and budgetary matters, the Executive Board had before it two for its information.", "Documentation. These documents will be presented if a specific request is made by one or more members of the Executive Board:", "(i) Annual interim financial report and financial statements for the first year of the biennium 2010-2011, which ended 31 December 2010, [E/ICEF/2009/AB/L.6].", "(ii) Report of the Board on the implementation of the recommendations of the Board for the biennium 2008-2009 [E/ICEF/2009/AB/L.4].", "The report on the overexpenditure incurred by regular resources for projects completed by other resources funding as at 31 December 2009 is available on the UNICEF website.", "Medium-term strategic plan: financial estimates planned for the period 2011-2014", "Action taken [E/ICEF/2009/AB/L.5]", "In accordance with Executive Board decision 2000/3, the proposed medium-term financial plan with the UNICEF medium-term strategic plan has been reviewed and revised annually on the basis of the financial plan. The report contains financial estimates planned for the period 2011-2014, which provide a basis for determining the amount of regular resources programmes approved in 2012.", "Budget of the Agency for the period 2012-2013", "Action for action [E/ICEF/2009/AB/L.2]", "The budget for the institution of Slovakia was prepared in the form approved by the Executive Board in its decision 2011/6, using results-based budgeting approaches, UNICEF, UNDP and UNFPA.", "The Executive Board may have access to the report of the Advisory Committee on Administrative and Budgetary Questions on the proposed institutional budget for 2012-2013 [E/ICEF/2009/AB/L.3].", "Steps taken and progress achieved in the integrated budget direction: joint informal briefings by UNDP, UNFPA and UNICEF", "For information", "The joint informal briefing will provide information on the status of implementation of the comprehensive budget road map considered by UNDP, UNFPA and UNICEF at the first regular session 2010.", "Financial regulations and rules of UNICEF", "Action for action [E/ICEF/2009/AB/L.8]", "In accordance with Executive Board decision 2011/4, UNICEF is currently submitting amendments to its financial regulations, requests for approval and for information on the financial rules to be entered into force on 1 January 2012. The revision of the financial regulations and rules is due mainly to facilitating compliance with the International Public Sector Accounting Standards (IPSAS) in order to update the cost categories of the budget terminology. The Executive Board may have access to the report of the Advisory Committee on Administrative and Budgetary Questions on proposed changes in the financial regulations and rules of UNICEF (E/ICEF/2009/AB/L.12).", "Private fundraising: financial report and financial statements for the year ended 31 December 2010", "For discussion [E/ICEF/2009/AB/L.11]", "The report is submitted annually to the Executive Board for review and comment.", "Other matters", "Other matters", "Under this agenda item, the Executive Board may consider any other issue.", "Adoption of the draft decision", "Closing remarks by the Executive Director and the President of the Executive Board", "The Executive Board will hear a closing statement by the Executive Director and the President of the Executive Board.", "Provisional timetable and organization of work for the second regular session 2011 of the UNICEF Executive Board, 12-15 September 2011", "Item 2 of the provisional agenda, timetable and organization of work of the Executive Board (a) Approves the revised national programme documents discussed at the annual session 2011 and the draft common country programme documents (b) the country programme document and the draft common country programme document (c) the midterm review of country programmes (d) the recommendations on the allocation of additional regular resources to approved country programmes (e) the extension of the country programme delivery process from 5 to 6 p.m. and informal consultations on Wednesday, 14 September, from 10 a.m. to 1 p.m. and (continued) the proposal for UNICEF programme cooperation: (a) Approves the revised national programme documents discussed at the annual session 2011 and the draft common country programme documents (b) the country programme document and the draft common country programme document (c) the midterm review of country programmes (d) the recommendations on the allocation of additional regular resources to approved country programmes (e) the extension of the ongoing country programmes by 3 p.m. to 5 p.m. of the thematic discussion on the implementation and lessons learned of the medium-term strategic plan focus area 1, early childhood survival and development, on Thursday, 15 September, from 10 a.m. to 1 p.m. of the provisional agenda for the first regular session of the Executive Board for the year 2012;", "If a consideration of a agenda item has been concluded by the time frame for distribution, the next item should be considered and adjusted accordingly." ]

[ "第六十六届会议", "临时议程[1] 项目69(b)", "促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的途径", "消除一切形式宗教不容忍", "秘书长的说明", "秘书长谨向大会成员转递宗教或信仰自由问题特别报告员海纳·比埃勒菲尔德按照大会第65/211号决议的规定提出的临时报告。", "宗教或信仰自由问题特别报告员的临时报告", "摘要", "宗教或信仰自由问题特别报告员阿斯玛·贾汉吉尔在本报告中概述了向大会提交上一次报告(A/65/207)以来他受权开展活动的报告。", "特别报告员随后着重阐述国家在促进宗教间沟通方面的作用。在这方面，对“宗教间沟通”的理解是，它包括信奉有神论、无神论和非有神论信仰、或不信奉任何宗教或信仰的个人和团体之间进行信息、经验和思想交流的各种形式。特别报告员强调指出，沟通和公开辩论是现实人权的关键因素。他强调说，宗教或信仰的自由只有在一种开放、公开进行交谈的气氛中才能蓬勃发展。同时，还必须认识到，如果对宗教内部多样性的重要性认识不足，以一种刻板的方式来描绘一些宗教团体，或者充分开展包容性宗教间对话是名不副实，徒有虚名，那么，宗教间对话项目中可能出现一些副作用。在这方面，特别报告员提出了一些准则，以解决任何不良副作用。", "特别报告员在其结论和建议中，鼓励各国尊重每个人的宗教或信仰自由，在促进宗教间的沟通方面发挥建设性作用。特别报告员为各国指出了一些可以采取的行动，包括公开表示赞赏定义明确的对话项目，鼓励宗教间的沟通；向现有或新创建的项目提供财政补贴；促进各种不同的宗教或信仰团体成员之间在国家的框架内开展对话；发展宗教或信仰背景不同的人经常开展交流的论坛。特别报告员指出，各国除了推动“正式的”宗教间对话，还应成为进一步认识到并非明显依照各教派所组织的不同团体之间“非正式”宗教间沟通的潜力，譬如通过多文化社区、学校、社团和其他公共事务部门的非正式环境所开展沟通的潜力。", "目录", "页次\n1.导言 4\n2.特别报告员的活动 4\nA.促进在国家、区域和国际各级采取措施，确保宗教或信仰自由的权利得到促进和保护 4\nB.查清阻碍享有宗教或信仰自由权的现有和新出现的现象，提出消除这些障碍因素的途径和方法 5\nC.审查不符合《消除基于宗教或信仰原因的一切形式的不容忍和歧视宣言》和补救措施建议的事件和政府行为 6\nD.两性平等观点的应用 7\nE.协同大众媒体组织促进尊重和容忍宗教和文化多样性以及多元文化的气氛 8\n3.国家促进宗教间沟通的作用 8\nA.沟通与基本人权 9\nB.正式和非正式的宗教间沟通 11\nC.赞赏宗教间沟通的多样性 12\nD.国家在促进对话方面的责任 13\nE.重要的注意事项 15\nF.解决不良副作用 16\n4.结论和建议 18", "一． 导言", "1. 二十五年前，人权委员会根据其第1986/20号决议设立了对宗教或信仰自由问题特别报告员的任务授权。人权理事会在第6/37号决议中延长了特别报告员的任务期限，并通过第14/11号决议再次延长了三年。在理事会第十四届会议期间，海纳·比埃勒菲尔德获任命为宗教或信仰自由问题特别报告员；他于2010年8月1日就职。", "2. 特别报告员在本报告第二节中，概述了自提交给大会上次报告(A/65/207)以来所开展的活动。在第三节中，特别报告员专题论述了国家在促进宗教间沟通方面的作用。他就宗教间沟通问题提出的结论和建议见第四节。", "二. 特别报告员的活动", "3. 授权开展的活动包括就个别案件向各国发送指控信和紧急呼吁，对各国进行正式访问，出席与各国、宗教或信仰团体、国家人权机构和民间社会组织代表的会议，以及发表公开声明。根据人权理事会第6/37和14/11号决议规定，本报告在五个标题之下，对2010年8月１日以来所开展的活动作一概述。", "A. 促进在国家、区域和国际各级采取措施，确保宗教或信仰自由的权利得到促进和保护", "4. 特别报告员继续促进国家、区域和国际各级的宗教或信仰自由的权利。在国家一级，特别报告员参加了2010年10月27日德国议会人权和人道主义援助委员会举行的专家听证会。在柏林举行的这次公开听证会上，专家和国会议员对“宗教自由与欧洲同一性”问题进行了讨论。[2]", "5. 在区域一级，特别报告员出席了2010年12月9日和10日欧洲安全与合作组织(欧安组织)在维也纳举行的关于宗教或信仰自由的人的方面问题增补会议。在2010年人权日之前，他还与欧安组织民主制度和人权办公室主任发表了联合声明，呼吁各国消除对宗教或信仰自由的不当限制。[3] 此外，特别报告员于2011年3月15日在布鲁塞尔会见了欧洲委员会的成员和欧洲联盟理事会人权工作组成员。2011年5月26日，欧洲议会人权小组委员会邀请特别报告员参加宗教或信仰自由问题的听证会。", "6. 在国际层面，在大会第六十五届会议关于千年发展目标的高级别全体会议召开之前，特别报告员参加了2010年9月17日对新闻界发表的声明。[4] 在对新闻界发表的这项联合声明中，26个特别程序任务负责人指出，执行商定的成果文件(大会第65/1号决议)时，必须更加注重人权，这不仅是要确保这些目标得以实现，而且要使这些目标对最需要实现这些目标的数十亿人具有现实意义。这些特别程序任务负责人强调，有些团体，包括那些遭受宗教歧视的团体，往往被遗忘。他们还强调，除非这些实现千年发展目标的方案能够解决这些团体的独特情况，并解决限制教育和就业机会的歧视现象的原因和后果，否则，贫困差距就会加剧。", "B. 查清阻碍享有宗教或信仰自由权的现有和新出现的现象，提出消除这些障碍因素的途径和方法", "7. 特别报告员与各国和民间社会组织的代表举行了公开会议或双边会议，讨论阻碍享有宗教或信仰自由权的现有和新出现的现象。他在亚松森、西班牙巴塞罗那、布鲁塞尔、日内瓦、纽约、奥斯陆和加拿大多伦多等地，会见了宗教或信仰界的许多成员，并向他们作了公开的情况介绍。", "8. 此外，特别报告员在维也纳(2011年2月9日和10日)和内罗毕(2011年4月6日和7日)参加了关于禁止煽动民族、种族或宗教仇恨的两个专家研讨会。2011年，联合国人权事务高级专员办事处(人权高专办)举行了一系列此类讲习班，以期进一步了解与煽动民族、种族或宗教仇恨概念相关的立法模式、司法做法和政策，同时也确保《公民及政治权利国际公约》第19和20段所列述的言论自由得到充分尊重。特别报告员还连同促进和保护意见和言论自由权问题特别报告员和当代形式的种族主义、种族歧视、仇外心理和相关不容忍行为问题特别报告员，为各种区域讲习班提出了联合撰写的文件。[5]", "9. 特别报告员于2011年3月23日至30日访问了巴拉圭，他非常感谢该国政府给予合作。在结束访问时，他赞扬巴拉圭在政府和社会各级的开放和宽容的气氛。[6] 同时，他强调，在更有效地执行人权方面，特别是在不歧视方面，仍有很大的改进余地。特别报告员特别提请注意巴拉圭土著民族长期遭受歧视、忽视、骚扰和经济剥削的苦难历史。他指出，他会见的土著代表大多认为，近年来公众对他们的传统信仰和习俗更为尊重，不过，他强调，有人将宗教的教义和做法强加给他们，而且可能是在违背他们意愿的情况下这样做，不仅过去曾经有这种做法，在一定程度上到今天依然是如此。特别报告员鼓励巴拉圭政府继续支持两年前创办的宗教间论坛，同时确保所有有兴趣的团体和社会各界都能公开和透明地参与。", "10. 特别报告员继续执行其前任有关国家访问报告的后续程序，于2010年11月5日发送了关于其前任于2008年访问以色列和被占领的巴勒斯坦领土、印度和土库曼斯坦的信函。特别报告员要求向他提供关于对其前任的建议所作考虑的最新信息、落实这些意见所采取的步骤以及可能阻止实施的限制因素。列载各项相关访问报告中的结论和建议的后续表以及政府和联合国的有关文件，包括普遍定期审查、特别程序和条约机构的信息和文件，均可在网上查阅。[7]", "C. 审查不符合《消除基于宗教或信仰原因的一切形式的不容忍和歧视宣言》和补救措施建议的事件和政府行为", "11. 特别报告员继续与各国开展建设性对话，向它们发送指控信，并紧急呼吁要求就不符合《消除基于宗教或信仰原因的一切形式的不容忍和歧视宣言》的规定和补救措施建议的事件和政府行为作出澄清。自从确立这一任务以来，特别报告员向共计130个国家发送了约1 250封指控信和紧急呼吁。特别报告员在其最近的通信报告(A/HRC/16/53/Add.1)中，综述了他于2009年12月1日至2010年11月30日发送的信函以及从各国政府收到的答复，其中还列载了适当的补救措施的建议。", "12. 特别报告员的通信报告列述的证据令人担忧，其中包括属于宗教少数群体或信仰团体的个人失踪、遭受酷刑、逮捕和拘留的指控。他非常关切这些群体之间的暴力事件，这些事件造成数百人、包括许多妇女和儿童被杀害。他的信函还述及对改换信仰者的死亡威胁和歧视、以及煽动对宗教少数团体成员实施暴力的讲话。特别报告员还述及基于宗教或信仰而公然实行的种种宗教不容忍、污蔑个人的现象以及公开宣布种种不敬行为。其他案件涉及攻击礼拜场所以及与宗教活动场所相关的宗教间的紧张关系。特别报告员还分析了有关问题的立法，包括关于亵渎罪的立法。2011年3月10日，他在人权理事会发言时，提到了有关的争议所产生的可怕后果，包括丧失生命，他对伤亡者家属致以深切的慰问。[8]", "13. 访问各国时可以有机会更加细致地研究和分析各种事件和政府行为。自从确立任务以来，特别报告员已执行了32次国家访问任务，包括一次后续任务。特别报告员感谢摩尔多瓦共和国政府邀请他在2011年9月执行一项实况调查任务。关于特别报告员的访问请求以及即将执行的任务的最新信息，可在人权高专办的网站上查阅。[9]", "14. 2011年3月10日，即确立该项任务的二十五周年之际，特别报告员推出了一本电子参考书，其中载有1986年以来担任宗教或信仰自由问题特别报告员的四位任务负责人的意见和建议。“报告员关于宗教或信仰自由问题的文摘”[10] 篇幅为108页，其中汇编了安杰罗·达尔梅达·里贝罗(任期自1986年3月至1993年3月)、阿卜杜勒法塔赫·阿莫尔(任期自1993年4月至2004年7月)、阿斯玛·贾汉吉尔(任期自2004年8月至2010年7月)和海纳·比埃勒菲尔德(任期自2010年8月)编写的专题报告和国家报告的相关节选，可供下载。为了便于参考，这本文摘按照上次提交人权委员会的专题报告所列授权任务信函框架的五个专题编列：(a) 自由或信仰宗教；(b) 歧视；(c) 弱势群体；(d) 宗教或信仰自由与其他人权的相互作用；(e) 跨领域问题。", "D. 两性平等观点的应用", "15. 依照人权理事会的要求，特别报告员继续采用两性平等的做法，具体做法是在报告过程中，包括在收集资料和提出的建议时，查清破坏两性平等的行为。特别报告员在通信报告中综述的若干指控信和紧急呼吁特别涉及歧视妇女和女孩的做法和立法，包括对她们行使思想、良知、宗教或信仰自由的权利的歧视做法和立法。", "16. 2010年10月21日，特别报告员在大会第三委员会的发言(见A/C.3/65/SR.25)中着重指出，基于性别的歧视在宗教方面至少有两个不同的层面。一方面，属于受歧视团体的妇女经常遭受基于性别的歧视，例如，一名妇女出于宗教信仰决定穿戴具有宗教意义的衣物而在劳动力市场上受到歧视。另一方面，宗教传统或者对宗教教义的诠释有时会认为有理由、甚至要求歧视妇女。在这方面，特别报告员重申，现在不应再忌讳要求优先考虑妇女的权利，要摒弃为歧视妇女辩解的不容忍理念。", "17. 此外，特别报告员2011年3月10日在人权理事会的发言中强调，在社会现实中，宗教或信仰随着时间的推移而在改变。[11] 譬如，某些做法可能对妇女和女童的处境产生负面影响，有些妇女便主张对有关说法、理论和规范作新的诠释，特别报告员强调，必须确保公立学校的教科书和其他信息材料足够全面地介绍各种宗教或信仰及其内部的多元化。宗教传统内部现有的不同声音，包括妇女的声音，应该得到公平的重视。关于穿戴具有宗教意义的衣物，特别报告员强调，如果认为在某种情况下有必要限制遵守宗教着装规定的自由，在制定这种做法时必须采取非歧视性的方式。妇女的权利，特别是男女平等原则以及决定是否穿戴具有宗教意义的衣物的个人自由，应该得到适当的考虑。", "E. 协同大众媒体组织促进尊重和容忍宗教和文化多样性以及多元文化的气氛", "18. 人权理事会在其第14/11号决议中呼吁特别报告员协同大众媒体组织促进尊重和容忍宗教和文化多样性以及多元文化的氛围。在这方面，特别报告员在人权高专办的支持下，在日内瓦举行了题为“平等、无歧视性和多样性：对大众媒体的挑战或机会？”的专家咨询会议。宗教或信仰自由问题特别报告员、意见和言论自由权问题特别报告员、种族主义问题特别报告员以及具有全球覆盖面的大众媒体组织中具有工作经验的12名专家出席了2010年11月30日的这一咨询会议，与会者包括一名报纸编辑、一名电视主播、一名外国记者、一名通讯社记者、一名网上博客、一名新闻采集负责人以及一个记者伞式组织、一个国际人权组织、联合国教育、科学及文化组织和不同文明联盟的代表。", "19. 在讨论时，对两个具体案件进行了分析研究，即媒体对计划焚烧“古兰经”事件的报道(见A/HRC/16/53/Add.1,第414至421段)以及对种族分裂的国家选举后的冲突进行报道的挑战。[12] 特别报告员对于不同的大众传播机构的决策过程以及它们恪守专业性和独立性的重要原则、日复一日作出判断的情况有了进一步的了解。专家们强调了大众传媒面临的若干挑战，例如，在全球不断变化的的媒体格局下，行业竞争日益严峻以及需要全天候提供新闻。", "20. 专家们还借鉴自己的工作，讨论了大众传播机构为促进平等、言论自由和多样性而采取的举措和准则。[13] 他们确认，大众媒体的自律是最好的做法，尽管这并不完善，不过，他们也强调，自律不应该导致自我审查或攻守同盟保持沉默的有害后果。大众媒体专家还强调技能培训的重要性，包括调查报告方面的技能培训。", "三. 国家促进宗教间沟通的作用", "21. 大会和人权理事会强调，“必须继续进行并加强不同宗教或信仰之间及其内部的各种形式对话，并促进更广泛的参与，包括妇女的参与，以增进宽容、尊重和相互理解”(大会第65/211号决议和人权理事会第16/13号决议)。在这方面，特别报告员决定在本报告中重点阐述国家在促进宗教间沟通方面的作用。他的理解是，“宗教间沟通”包括信奉有神论、无神论或非有神论信仰或不信奉任何宗教或信仰的个人之间以各种形式交流信息、经验和思想。", "22. 特别报告员与宗教或信仰背景不同并在不同宗教间沟通方面具有长期经验的人士进行了讨论。他对无数个人决心致力于推动这个领域的工作留下了深刻的印象。此外，少数群体成员——甚至迄今在很大程度上被排除在现有的对话项目之外的人——曾一再表示，希望宗教间的沟通会有助于改善他们的处境。因此，特别报告员希望鼓励各国继续开展并进一步增加宗教间沟通领域的宣传活动。开展这些活动应该本着包容、不歧视和尊重每个人的宗教或信仰自由的精神。此外，特别报告员十分感谢为消除偏见、成见和敌意，有时还是在复杂的情况下从事宗教间沟通活动的所有人员。", "A. 沟通与基本人权", "23. 沟通与人权之间的关系比较复杂。一种富有活力的沟通和公开辩论的文化是实现人权的关键要素。这包括对侵犯人权的现象组织抗议，对现有和新出现阻碍充分享受人权的因素进行公开批评。人权包括自由沟通，言论自由就是最突出的实例。其他实例还包括集会自由、参加文化生活的权利、少数人的权利(如语言上属于少数的权利)、被指控者在刑事审判中申诉的权利，最后但同样重要的是宗教或信仰的自由。还需要有开放式的、关键的沟通，以便消除负面的定型观念，而这些观念本身就是构成相互猜疑、歧视、敌视或暴力以及随之而来侵犯人权行为的根源。", "24. 沟通与人权之间的这种多方面的关系也体现在宗教或信仰自由领域，与其他人权一样，宗教或信仰的自由只能在一个开放式、公开交流的气氛中蓬勃发展。同时，宗教或信仰自由权本身就包括可以自由选择以各种方式进行沟通，其中包括在自己的宗教或信仰团体内进行沟通的自由，与他人分享自己信念的自由，通过与不同信仰的人进行沟通拓宽自己视野的自由，珍惜和发展跨越国家边界的接触的自由，接受和传播有关宗教或信仰的信息的自由，以及以和平的沟通方式试图说服他人的自由。毫无疑问，宗教内和宗教间的沟通活动就其广义而言，就属于宗教或信仰自由的范畴。[14] 此外，近年来，发生了许多实际上或看似宗教动机的暴力事件，因此，通过促进不同宗教或信仰团体成员之间的沟通来消除现有的成见的必要性已经得到重视(见A/HRC/13/40、A/HRC/16/53/Add.1、A/HRC/13/ 40/Add.1和A/HRC/10/8/Add.1)。", "25. 偏执多疑加上公众对少数人的蔑视往往是宗教或信仰团体间暴力的导火线。有时候，即使人数极少的少数群体，也会因归咎他们的某些神秘的“传染性”因素，而被指控破坏和平或破坏民族统一。这些指控可能升级为相互竞争的群体、媒体甚至国家当局编造的全面阴谋论。与此同时，宗教或信仰上属于少数群体的成员，因谣传他们缺乏任何道德价值观等原因，而经常遭到公众的蔑视。正是这种妖魔化阴谋论以及公众的蔑视，常常触发对少数群体成员的暴力或不同社区之间的暴力。因此，预防暴力及随之而来的侵犯人权行为的任何政策都必须消除成见和偏见，因为它们是引起恐惧、不满和仇恨的根源。宗教内部和宗教间的沟通必须在这一持续不断的努力中发挥重要作用。", "26. 令人遗憾的是，尽管开展了群体间的沟通，包括宗教间的沟通，但我们有时还目睹暴力事件的发生。最臭名昭著的例子是多年来和睦相处的邻居竟然互相进行暴力攻击。这些暴力行为的起因往往是世袭或事实上的宗教差异。有充分的事实证明，沟通本身并不能保证不同群体之间和平共处。但是，如果用这一令人不安的现象来淡化沟通的重要性，是一种十分危险的看法。恰恰相反，我们需要的是切实有效的政策，以便创造更好的条件来维持一种可持续的沟通文化。", "27. 社会心理学领域的研究证实，沟通通常都有利于和平、非暴力的关系，不过这需要符合下列条件：(a) 人或群体应该平等相待；(b) 沟通是长期性的(即不是肤浅、简短的接触)；(c) 确定和澄清共同利益始终是有益的(有时只能在沟通的过程中发现)；(d) 得到整个社会、包括政治当局的鼓励，人们普遍赞赏群体间的沟通。", "28. 人权，尤其是思想、良心、宗教、见解和言论自由的权利及不歧视原则，有助于产生改善沟通的气氛，反过来，它也能增强人人切实享受人权的普遍前景。特别报告员要重申前秘书长布特罗斯·布特罗斯-加利的讲话：“从普世的角度来看，人权迫使我们面临最严格的辩证法：本体和他体的辩证法，‘自我’和‘他人’的辩证法。人权以最直接的方式告诉我们，我们在同一时刻既是同一的，又是不同的”(见E/CN.4/2003/66，第119段)。", "29. 在宗教间对话领域具有专业知识的许多对话者都凭借自己的经验，向特别报告员表示，他们深信，个人和团体之间如果以平等地位并出于长远的观点，定期进行接触，实际上会跨越宗教鸿沟，建立较好的相互理解。同时，还必须了解对话项目的参与者可能遭受的挫折。由于人们真实地试图了解对方，可能反而觉得相互间的差异比先前所认为的更大。如果因此而认为这种沟通毫无作用，甚至是彻底失败，那就大错特错了。恰恰相反，不论有限的相互了解如何令人沮丧，但“具体的缺乏了解”通常仍然比“抽象的不了解”要好，因为抽象的不了解会认为一个人或一个群体是彻头彻尾的“异类”，通常会使某些群体受到无约制的、危险的负面看法，包括阴谋论以及被作为替罪羊。即便在沟通时参与者觉得相互了解有限，那也显然比拒绝沟通的态度要好。作出这一说明是为了鼓励人们继续参与对话项目，即便有时可能出现令人沮丧的情况。", "B. 正式和非正式的宗教间沟通", "30. 对宗教间沟通的基本理解十分广泛，在概念上，这包括持有不同宗教信念以及无宗教信念的个人。从人权的角度来看，必须采用这样一个广泛的、包容性的做法。实际上，这项要求反映了宗教或信仰自由作为基于确认人类大家庭所有成员的固有尊严的一项人权。[15] 正如人权事务委员会正确地指出，宗教或信仰自由“保护有神论、非有神论和无神论的信仰，以及不信奉任何宗教或信仰” 的权利(见CCPR/C/21/Rev.1/Add.4，第2段)。这还包括新成立的社区、小社区、少数群体以及少数群体中的少数群体的成员。", "31. 宗教间的沟通，可以采取在正式或非正式场合进行。特别报告员的理解是，正式的宗教间沟通是指参加者是明确地以各自宗教或信仰的追随者的身份来参加的。在非正式沟通时，人们可能清楚地了解，如果自己愿意也可能谈论其不同的宗教或非宗教背景，但他们的对话并不明确地围绕这些差异而进行。多元文化街区、学校、俱乐部、网上交流论坛和其他公共事务部门等非正式场合作为日常生活的一部分，可能有利于不断开展交流。在没有按宗教或信仰划分界限的社会中，比较容易不断开展交流，从而增强相互了解的前景(见A/HRC/10/8，第21段)。", "32. 现在已经有一些令人感兴趣的实例表明，有些国家已决定组织关于多样性和非歧视问题的包容性辩论，让所有利益攸关方来讨论如何更好地共同生活。事实上，宗教间的沟通并不局限于在专门讨论宗教问题的场合进行。它也可以是关于多样性和不歧视等问题的一般性讨论和交流的一部分。将宗教问题纳入更广泛的多样性层面还有一个好处，可以说明宗教和信仰与其他方面一样，也是多样性中的一个组成部分。这样可以有助于缩小因宗教而产生或认为的差异。如果扩大讨论问题的范围，那么，这种对话还可以开拓新的视野，寻求可能的解决方案，并作出妥协。", "33. 国际论坛上似乎有一种倾向，要将宗教间沟通的概念缩小到正式的对话项目，而不太重视非正式宗教间沟通的现实、潜力和意义。但是，有充分的理由应认识到，这两种形式都很重要，因为它们可以相互弥补，相辅相成。譬如，正式的宗教间对话可以让参加这种对话的各个宗教或信仰团体阐述对自己的理解，从而处理成见或偏见。有些人不希望公开自己的宗教信念或信仰信念，或者对神学和哲学问题知之甚少，或不感兴趣，他们就比较容易参与非正式宗教间沟通。因此，有充分理由来进一步探讨非正式宗教间沟通的潜力，从而增加促进不同宗教和信仰的个人和团体之间进行接触的机会。一般而言，在设计适当的政治策略时，应该考虑这两种做法。此外，促进正式和非正式宗教间沟通相结合的做法也符合包容性理念，这本身就反映了宗教或信仰自由作为一项人权的普遍性质。", "C. 赞赏宗教间沟通的多样性", "34. 宗教间的沟通包括纷繁多样的场合、论坛、议程、主题、目标和程序，不一而足，无法穷尽，因此，任何试图穷其一切、包罗万象的做法都注定会失败。首先，宗教间沟通的场合可以是具有排外性的组合，也可以是立志尽可能具有包容性的项目。建立或推动排外性组合的做法本身并不违反包容性理念的要求，不过要尊重若干重要的保障措施(见下文E节)。譬如，两个宗教团体具有受到误解的艰难、痛苦的共同历史，它们希望进行深入沟通，以便克服传统的障碍，更好地实现共存，那么，双边论坛可能是比较理想的做法。有些宗教团体的神学教义比较相近，他们可能希望有专门的沟通环境，以便进一步发展现有的关系。相比之下，有些政治导向的对话项目，例如旨在促进国家、区域或国际和平的对话项目，通常需要具有最大的包容性，让宗教或信仰背景差异最大的人有机会参加。此外，传统上被边缘化的人，例如妇女，可能希望跨越宗教分歧，走到一起，以期查清不同的宗教或哲学传统中的歧视形式，提出可能有助于纠正这种状况的战略。女权主义神学家的宗教间会议或研究项目便是这种沟通场合的实例。", "35. 就专题而言，宗教间沟通可以处理多种多样的不同问题。对话项目可以采用一种神学议程，讨论分析宗教圣书的方法，或理解不同传统的礼仪和仪式。讨论者可能会发现相似之处，消除历来的误解，培养尊重其余神学分歧的态度。宗教间沟通的其他论坛，特别是得到国际组织支持的论坛，主要致力于促进就各种政治问题，如保护环境、国际和平、尊重人权、包括宗教或信仰自由达成广泛的共识。在市镇一级，设立了宗教间圆桌会议，以期解决临近地区因建造宗教建筑物而产生的冲突。一些教育和培训项目，旨在让年轻人或特定的目标群体，如记者或其他媒体从业者了解宗教或信仰的多样性，这些项目具有特别的重要性。最后，还有实例表明，人们跨越宗教分歧，走到一起，共同执行艺术项目。这些项目可以包括创意性合作，利用戏剧、欢庆和其他现场活动来体会对艺术的共同激情。现已组建了一些著名的乐团，证明音乐可以打破一度被认为不可逾越的障碍。", "36. 宗教间对话的形式可以是具体的事件，如公共会议或仪式，也可以是长期的论坛或项目。它可以在基层或宗教领袖一级、也可以采用两者结合的方式开展。沟通可以是正式制度化的形式，也可以是自发演变而来。另一个重要区别是国家的作用。虽然对话项目的许多参加者可能会赞赏国家的积极参与，但其他人可能持怀疑态度，或希望在没有国家代表的情况下开展宗教间沟通。", "37. 对于宗教间沟通在场合、主题、目标、运作模式等方面必然要有多样性，必须有清楚的认识。宗教间沟通包容性做法的理念并不排斥个人或团体进行具有排他性的沟通，只要某些保障措施得到尊重。没有一种特定的对话场合或项目可以始终拥有垄断地位，因此，必须始终让宗教间沟通项目的其他形式、主题、场合、目标和项目能够并存。最后，同样重要的是，应该考虑到正式和非正式宗教间沟通的差异，两者具有相辅相成的作用。在具体情况下，很可能是非正式对话导致了正式的对话，反之亦然。", "D. 国家在促进对话方面的责任", "38. 国际人权法规定，各国有责任不仅要尊重宗教或信仰自由，还要积极保护这种自由不受第三方的不必要干扰。此外，各国还应该促进宽容的气氛，并重视宗教多样性。[16] 大会一再鼓励旨在促进宗教间和文化间对话的活动，以期在不同的社区内加强社会稳定，尊重多样性，在全球、区域、国家和地方各级创造一个有利于和平和相互理解的环境(见第64/81和65/138号决议)。", "39. 最近，各国宣传活动在整个联合国系统内，包括在联合国教育、科学及文化组织(教科文组织)、不同文明联盟、联合国人口基金、联合国儿童基金会、联合国艾滋病毒/艾滋病联合规划署、人权高专办、新闻部以及经济和社会事务部，引起了越来越多的关注(见A/64/325和A/65/269)。大会在第62/90号决议中宣布了2010年国际文化和睦年；各国、联合国机构、政府间组织和非政府组织、私营部门和教科文组织各机构和主席为此开展了700多项活动。[17] 大会第六十五届会议宣布每年2月的第一个星期为所有宗教、信仰与信念之间的世界不同信仰间和谐周(见第65/5号决议)，并请秘书长进一步征求会员国的意见，了解是否有可能宣布一个联合国宗教间和文化间对话与合作促进和平十年(见第65/138号决议)。人权理事会呼吁各国鼓励建立合作网络，增进相互了解，促进对话，在国内形成宗教宽容、和平与尊重的环境，促进对话，鼓励采取建设性行动，以期实现政策目标，并实现具体成果(见人权理事会第16/18号决议)。", "40. 最近开展的一项活动是推出一个全球性的运动，为倡导多样性的人士创建基层运动，其重点是在本地和全球层面开展工作的人之间建立强有力的联系。不同文明联盟和教科文组织在联合国世界文化多样性日发起了“做一件事”运动。它要求大家开展一项与自己的生活相关并促进多样性和包容性的行动，其形式可以是文化、展览、电影、甚至一个特定的食物。分享这种经历的方式可以是使用社会媒体、网站张贴和视频。这项运动也得到私营部门和大型企业的支持，因此这一项目获得更大的知名度。", "41. 国家在宗教间沟通方面的活动有多种做法，包括给予象征性的或财政上的支持，开展协助活动或基础设施活动。国家代表象征性地公开确认和鼓励宗教间沟通可能产生的影响力不容低估。社会心理研究强调指出，社会和政治环境鼓励人际接触在产生富有成效的、可持续的成果方面具有重要作用。除政府之外，立法机构成员和国家其他组织的代表也可以在这方面发挥重大作用。各国还可以指定在当年的某一时期开展宗教间沟通活动，比如开展一个不同信仰周，向这一项目提供象征性的、财政和基础设施方面的支持。还可以利用这种做法来突出一些小型举措、务实的项目、艺术展览和研讨会，否则，这些项目不会引人注目。", "42. 国家还可以为现有的或新的宗教间对话项目提供财政支持。在这方面，不仅宗教领袖的公开会议等高级别项目，而且基层的运动也应该得到重视，并得到财政补贴和基础设施方面的支持。各国应积极考虑向教师和学生提供参加与宗教或信仰不同的对应人员的会议和交流的自愿机会，鼓励教师和学生进行交流，为出国留学提供便利(见A/HRC/16/53，第61段；E/CN.4/2002/73，附录，第10段)。其形式可以是举办一年一度的夏令营或讲习班，使来自不同地区的学生汇聚一堂，开设人权教育、宗教间对话和解决冲突的密集型培训课程。为参加者提供场地和机会与同行见面、交流和接触，不仅可以消除负面的陈旧观念，他们还可以将在夏令营中学到的技能和技术带回本国，还可能在不同的国家或社区推广这些举措。", "43. 此外，国家有能力直接邀请宗教或信仰团体的代表出席会议，充分发挥东道主和主持者的作用。可以在政府各级、包括在市一级这样做。事实上，有报告指出，许多成功的对话项目实际上是市长或其他市政领导人启动的。这种邀请可以具有各种有利因素。国家的“中立”框架可以促进各团体之间开展对话，即便这些团体由于历史上的冲突或其他负面因素而不可能自行进行对话(并见下文第50段)。在国家推动下建立宗教间论坛，可以提供新的空间，让不同宗教、哲学取向和社会其他阶层的群体、包括土著和小型信仰社区之间开展对话。国家邀请的另一个有利因素是可以为宗教间对话项目提出建设性的议程。在讨论公众关心的一般性问题的任何时候，由国家担任东道主也可能具有特别的作用。", "44. 最后，国家机构，如公立学校，非正式和正式的宗教间沟通提供了非常重要的场所。各国都有义务利用学校系统固有的多方面机会，提供适当的教材，为教师提供宗教间的培训，促进学生之间的交往。正如特别报告员提交给人权理事会第十六届会议的年度报告所强调，学校教育在这方面具有巨大的沟通潜力(见A/HRC/16/53，第21段)。[18] 这可以包括通过学生会等组织，在学校或校园内分发宗教间的资料，以期加强同宗教群体之间的对话和相互了解。这些项目可以力求共享资源，提供良好的实践和培训，以缓解大、中、小学校园内某些群体之间可能存在的紧张关系，最终加强教育机构中的良好关系。此外，大、中、小学校园也是开展宗教间沟通的关键场所。", "45. 国家或市一级公共博物馆也可以成为促进宗教间对话项目的平台。譬如，可以将鼓励教会学校或非教会学校的学生探讨宗教间问题的项目记录下来，并将资料提供给范围较广的社区。博物馆还可以展示人们讲述的故事和开展的讨论，这可以进一步促进和开展与学生及当地社区的讨论。此外，对公共广播机构的授权任务中，应该要求它们促进不同文化间的了解，并促使人们更好地了解不同的社区及其面临的问题。", "E. 重要的注意事项", "46. 国家发起的宗教间沟通，如果执行方式不当，会产生严重的负面影响。如果国家被认为偏向于某一特定的宗教或一个宗教中的某一支派，那么其他宗教团体出于完全可以理解的原因，会选择不参加国家发起的这种对话倡议。譬如，在某一国家，过去的几年中一个少数群体受到来自国家的压力，要他们加入该宗教的主流派别。该少数群体成员感到沮丧，最终导致他们抵制国家发起的对话项目。在另一个国家，政治领导人就禁止穿着宗教服装进行辩论的方式导致某一群体抵制宗教间对话项目。这些例子说明，宗教间对话项目也可能导致这些项目试图接触的群体离心离德。此外，一些报告表明，宗教间论坛受政治操纵，包括为达到选举目的或其他政治利益。", "47. 因此，特别报告员要重申，设计对话项目的基本出发点必须是深刻地认识到，在确认所有人的固有尊严基础上，宗教或信仰自由具有不可剥夺的人权的地位。因此，国家在支持宗教间的沟通时，仍然有义务要始终尊重宗教或信仰自由。这一重要戒条产生了一些比较具体的要求，例如，必须避免对国家支持的对话项目提出垄断性主张，尊重参加的自愿性质，遵守国家中立的原则，落实包容性理念。", "48. 国家启动或国家支持的宗教间对话项目，尽管可能具有象征意义和现实意义，但决不能在这一领域提出垄断主张。如前所述，开展宗教内部和宗教间沟通的可能性本身就具有宗教或信仰自由范畴内的一项普遍人权的地位。因此，很显然，宗教或信仰团体始终享有自由，可以自己主动建立对话项目，而无需国家批准。毋庸指出，国家促进开展的对话项目也必须开放让公众进行批评。", "49. 国家发起或国家支持的宗教间对话的项目，必须始终在自愿基础上进行。这些项目应被视为向宗教或信仰团体提出的建议，而不是国家强加给他们的义务。如果某些宗教或信仰团体决定不参加某一项目，或普遍希望对国家或对其他宗教团体保持距离，这种保留的态度必须作为其宗教或信仰自由的一部分而得到尊重。然而，来自不同国家的报告表明，情况并非始终如此，有些团体因决定不参与特定的对话项目而被打上负面的印记。", "50. 在启动或促进宗教间沟通时，国家应避免认同某一宗教或信仰，或认同某一类别的宗教，例如一神教。各国应立志在这方面保持中立。如果相反，国家既认同某一宗教或信仰，又要参与宗教间项目，这就几乎不可避免地会导致歧视其他宗教或信仰的追随者。在这种情况下，各团体间几乎不可能在平等地位上进行接触。国家在宗教或信仰问题上的中立原则始终是、而且将继续是一个有争议的问题。有时候国家保持中立被说成是在这一领域缺乏承诺。然而，对于中立概念的这种误解，特别报告员要指出，这一概念的积极意义在于国家有义务在平等的基础上，公平对待不同的宗教或信仰的成员，避免任何歧视性待遇。在这种意义上，可以将国家的中立理解为一项规范性原则，它源自不歧视地实施宗教或信仰自由的义务。因此，这项原则也应该对国家在宗教间沟通领域的任何推动活动产生影响。同样，有证据表明，有些国家不遵守这一原则，在某些情况下，其结果是宗教间对话项目可能转变为国家对宗教或信仰上属于少数群体的成员施加不必要的压力。例如，据报告，有些国家的宗教间对话举措涉及对特定的宗教群体施加压力，在政府相关部委提出建议之前，就迫使他们限制宗教活动。", "51. 国家促进的宗教间对话项目，就总体而言，必须尽可能符合包容性理念标准。对话的形式和场合自然是纷繁多样的，可能都应该得到国家的支持。国家也可能有充分的理由来促进某种具体形式的“排他性”双边沟通，例如，有史以来互不信任的某些宗教或信仰团体之间的沟通。这本身并没有问题。然而，国家对宗教间沟通所给予的支持应大体平衡，反映出包容性理念的需要，因为所有想参与并受益于国家支持的宗教或信仰团体都应该得到他们应得的关注和选择。在这方面，一个重要的试金石是，在社会中历来被忽视、被边缘化或完全被无视的群体是否公平地被融合在内。令人遗憾的是，有报告表明，在许多国家，有些宗教或信仰少数群体希望受益于国家推动的对话，但是，他们依然或多或少受到系统性的排斥。", "52. 从现实的角度来看，要做到完全符合包容性理念几乎是不可能的。不过，如果更加重视非正式宗教间沟通的潜力，至少可以间接帮助国家接近该基准。由于非正式的宗教间沟通并不需要个人明确说明自己是某一宗教群体的成员，因此，它的好处是具有开放性，可以让通常被忽视团体的成员参加，也可以让对宗教或信仰的问题一般不感兴趣或不太了解的人参加。这个例子再次说明不同宗教或信仰的个人或团体采用正式和非正式沟通形式相结合的可取之处。", "F. 解决不良副作用", "53. 关于开展宗教间对话的呼吁最近日益引起各个国际论坛、包括联合国的关注。这类呼吁自然通常受到广泛的、甚至是一致的赞赏。然而，还要意识到可能出现的副作用，并制定相应的应对策略。下文并不仅仅针对国家发起或国家支持的对话项目，也关系到其他形式的宗教间沟通。", "54. 据观察，注重宗教间的多样性，可能会导致低估宗教内部的多样性，可能对宗教内部的多元化以及参加沟通的宗教内部的“不同政见者的声音”产生不利影响。[19] 描述宗教间对话项目的基本目的时经常引用的一个生动的比喻是“修建桥梁”。这个比喻似乎暗示，参加讨论的团体显然是处于一条河流或一个山谷的两侧。此外，在这方面通常的说法是，可持续的桥梁建设工作的先决条件是要有“牢固的支柱”，其意思是，桥梁的双方必须清楚地了解各自的宗教身份。这个比喻很能说明问题，因为它的前提是“我们和他们”两极并列。事实上，即便目的是防止“不同文明间冲突”的项目，有时运作时暗中所依据的是预先确定的宗教文化团体划分，而这种团体划分是一成不变的、僵化的。对于这种误解，特别报告员认为，我们不应该构想一种生活在不同岛屿上的“我们和他们”的对立情景。相反，我们实际上是生活在一个共同的大陆，我们有着多方面、多层次的相互关联、身份和复杂性，这些关联、身份和复杂性并不单单以宗教或文化为依据。", "55. 对宗教内部多样性的重要性和程度绝不能低估。为了避免低估、或者甚至淡化宗教或信仰团体内部多元化的危险，应该恰当地将宗教内部和宗教间的沟通相结合。只有在两者结合的情况下，才可能就宗教或信仰而言，正确地对待人的真正多样性。这种做法还必须包括妇女充分并实质性地参与，令人遗憾的是，她们被边缘化，在高层次的宗教间对话活动中尤为如此。特别报告员要重申，对话项目可以因妇女发表意见而受益匪浅。此外，在团体间发生紧张关系的情况下，不同宗教或信仰的妇女一直是非常有效的人权倡导者(见A/HRC/10/8，第19段；A/HRC/13/40，第61段；A/HRC/16/53，第35和36段)。", "56. 与低估内部多样性相关的另一个问题是对其他宗教团体的看法可能过于刻板。“修建桥梁”等比喻中显然是臆想的两极格局似乎意味着，宗教间对话中的另一方通常是在桥的“另一边”。因此，出于向臆想的鸿沟对面进行外联的意图，少数信仰的略许“超乎寻常”的表现方式可能得到过分关注，因为与不太突出的宗教表现方式相比，这些“超乎寻常”的表现方式用于外联目的更有吸引力。具有极大讽刺意义的是，有些对话项目的明确意图是寻找共同点，但是，却可能无意中因此而强化了现有的刻板成见。这种危险在短期对话项目尤为突出。为了消除这种危险，必须充分顾及各种不同宗教或信仰团体内部的现有或新出现的内在多元因素。长期的对话项目更有可能揭示内部多样性的重要意义，在某些场合中，这种多样性可能比宗教或信仰团体宗教的差异更为重大。", "57. 宗教间对话项目中可能出现的另一个问题涉及虚假的包容性。如上文所述，包容性理念可以发挥重要作用，提醒各国，国家支持的宗教间对话项目——至少就总体而言——应该公平对待有关各方。然而，任何具体的对话项目都无法充分体现包容的理念。因此，应该避免错误，自命已经充分实现包容性。举例来说，如果一国政府声称已邀请“所有有关行动者”参加某一项目，这很可能意味着有些群体被边缘化。为了象征性地表示认识到，在任何具体的沟通环境中都不可能充分反映出宗教或信仰的问题上人的多样性，也许应该保留或公开展示一些空座席，表示还有群体未派代表出席。", "58. 要制定出适当的应对策略来克服或至少减轻上述意外的副作用不是轻而易举的，无人能够提出一份适合所有情况和沟通场合的蓝图。有一个方法至少能够缓解这一问题，就是更多全面地关注式宗教间沟通。如前所述，如果认为正式和非正式的宗教间沟通是相互矛盾的，那就错了。恰恰相反，它们是相辅相成的。为非正式宗教间沟通创造更好的条件，就可以消除正式的宗教间对话项目的风险和意想不到的副作用，如淡化内部多元化、双向极化或虚假的包容性。", "59. 尽管正式的宗教间项目在促进宗教宽容的文化方面的作用日益得到确认，不过，非正式宗教间沟通的潜力仍有待于进一步探讨。特别报告员在提交人权理事会的上一次专题报告中阐述了公立学校中的宗教或信仰自由，他指出，忽视宗教的差异是错误的；主要采用在预先界定的团体之间交流意见的方式来组织沟通，同样是错误的。恰恰相反，如果要在宗教或信仰自由的基础上尊重差异，就需要采取一种态度，让个人能够自行决定是否、在何种程度上、或在什么场合表明自己的宗教或信仰。这样一种宽松开放的氛围可以提供沃土来发展多样性意识，使之成为现代多元社会的一个正常功能(见A/HRC/16/53，第40段)。", "四. 结论和建议", "60. 在消除构成怨恨、恐惧、偏执、仇恨、敌意、暴力以及随之而来的侵犯人权行为的根源的偏见和成见的长期努力中，宗教间的沟通可以发挥重要作用。为了促进这一目的，个人或团体之间的沟通应以平等地位并从长远的观点来开展。执行共同的务实项目，可以有助于实现宗教间沟通的可持续性。", "61. 宗教内部和宗教间的沟通除了其消除成见和偏见的重要作用之外，也属于宗教或信仰自由的范畴。因此，各国都必须尊重、保护和增进个人在自己宗教或信仰团体内沟通的自由，与他人分享自己信念的自由，通过与信念不同的人进行沟通而开拓自己视野的自由，珍惜和传播有关宗教或信仰问题的信息的自由，以及采用和平沟通方式试图说服他人的自由。", "62. 各国应发挥建设性作用，促进宗教间的沟通(例如，持有不同宗教或信仰的个人或团体以各种形式交流信息、经验和思想)。由于宗教或信仰自由的普世性质，对宗教间沟通必须作出广义的诠释，它应该包括有神论、无神论或非有神论的信仰以及不信奉任何宗教和信仰的可能。", "63. 宗教间沟通的主题、场合、目标和程序纷繁多样，不一而足。因此，宗教间对话的方式不可能有一个放之四海而皆准的方式。因此，各国在促进宗教间的沟通时，必须有若干基本方式可供选用，其中包括：", "(a) 公开表示赞赏明确界定的对话项目，鼓励宗教间的沟通；", "(b) 向现有或新创建的项目提供财政补贴；", "(c) 在国家框架内促进各种不同的宗教或信仰团体成员之间的对话；", "(d) 利用和发展各种论坛，便利不同宗教或信仰背景的人经常接触。", "64. 国家促进宗教间的对话，必须始终基于尊重每个人的宗教或信仰自由是一项不可剥夺的人权。因此，各国促进正式或非正式的对话项目时，应该考虑到一些重要的注意事项：", "(a) 国家应避免垄断宗教间的沟通；", "(b) 国家不应该认同某一特定的宗教或信仰；", "(c) 国家应努力落实包容性，即国家促进的宗教间对话项目的总体状况必须是公平和非歧视性的；", "(d) 国家应严格尊重自愿参加的原则，不得给决定不参加宗教间对话项目的团体打上负面的印记。", "65. 执行宗教间对话的项目时，应严格注意短期项目中比较可能产生的不良副作用。不良副作用包括忽视某一宗教社团内部的多样性甚至使其边缘化，虚假地重视少数信仰“非同寻常”的表现形式，以及将边缘化的宗教或信仰团体排斥于对话项目之外。采用长期开展沟通的观点可能是防止或克服这些负面影响的最佳途径。", "66. 妇女实质性和充分参与正式的宗教间对话项目应该成为一个优先事项，以解决目前在高层次宗教间对话的活动中，妇女往往被边缘化的不平衡现象。", "67. 除了推动正式的宗教间对话之外，各国还应进一步认识到非正式宗教间沟通的潜力(即并非明确按照教派组织的不同团体之间的沟通，也可以包括在多元文化和多宗教社区、学校、俱乐部和其他公共团体等非正式环境中进行沟通)。换言之，宗教间的沟通并不一定要在专门讨论宗教问题的框架中进行。正式和非正式宗教间沟通这两种做法各有长处，因此，都应该得到提倡。", "68. 一般而言，宗教间的沟通不应低估参加沟通的团体内部的不同的声音或宗教内部现有的多样性。特别报告员鼓励不要仅仅注重在看似生活在不同岛屿的“我们和他们”之间“修建桥梁”，而是“我们”要力求相互理解，并赞赏生活在一个具有多方面、多层次的相互关联、身份和复杂性的共同大陆。", "69. 特别报告员对许多人积极致力于宗教间沟通领域的工作留下深刻的印象。他还要衷心感谢为消除偏见、成见和敌意而常常在十分复杂的情况下参与沟通项目的所有人。", "[1] ^(*) A/66/150。", "[2] 见www.bundestag.de/bundestag/ausschuesse17/a17/anhoerungen/Religionsfreiheit/。", "[3] 见http://www.osce.org/odihr/74525。", "[4] 见www.ohchr.org/en/NewsEvents/Pages/DisplayNews.aspx?NewsID=10344&LangID=E。", "[5] 见www2.ohchr.org/english/issues/opinion/articles1920_iccpr/index.htm。", "[6] 见www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=10903&LangID=E。", "[7] 见www.ohchr.org/EN/Issues/FreedomReligion/Pages/Visits.aspx。", "[8] 见www.ohchr.org/Documents/Issues/Religion/HRC16statement_March2011.pdf以及向新闻界发表谴责2011年3月2日杀害巴基斯坦少数人事务部长的声明(www.ohchr.org/en/NewsEvents/ Pages/ DisplayNews.aspx?NewsID=10786&LangID=E)。", "[9] 见www.ohchr.org/EN/Issues/FreedomReligion/Pages/Visits.aspx。", "[10] 见www.ohchr.org/english/issues/religion/docs/RapporteursDigestFreedomReligion- Belief.pdf。", "[11] 见www.ohchr.org/Documents/Issues/Religion/HRC16statement_March2011.pdf。", "[12] 见www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=2122&Lang ID=E。", "[13] 见半岛电视台《道德守则》(http://english.aljazeera.net/aboutus/2006/11/ 2008525185733692771.html)；英国广播公司《编辑准则》(www.bbc.co.uk/guidelines/ editorialguidelines)；《坎姆顿言论自由和平等原则》(www.article19.org/resources.php/resource/ 1214/en/the-camden-principles-on-freedom-of-expression-and-equality)；《符合道德的新闻工作倡议》(http://ethicaljournalisminitiative.org)。", "[14] 《消除基于宗教或信仰原因的一切形式的不容忍和歧视宣言》第六条(I)款规定，有关思想、良心、宗教或信仰等方面的自由权利应着重包括“在国内和国际范围内保持宗教或信仰方面的联系”的自由。", "[15] 见《世界人权宣言》序言(第217 A ㈢号决议)。", "[16] 国家作为人权保障者的基本义务分为尊重、保护和实现人权三项职责。促进社会宽容，可以理解为属于“实现”这一职责范畴。", "[17] 见www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures。", "[18] 并见人权理事会第16/13号决议，其中强调教育机构可以为社会各界开展建设性对话提供独特的机会，人权教育尤其可以有助于消除往往给宗教少数群体的成员造成不利影响的负面定型观念。", "[19] 不同文化间或文明间的对话项目亦是如此。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 69 (b) of the provisional agenda*", "Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms", "Elimination of all forms of religious intolerance", "Note by the Secretary-General", "The Secretary-General has the honour to transmit to the members of the General Assembly the interim report of the Special Rapporteur on freedom of religion or belief, Heiner Bielefeldt, submitted in accordance with General Assembly resolution 65/211.", "Interim report of the Special Rapporteur on freedom of religion or belief", "Summary", "In the present report, the Special Rapporteur on freedom of religion or belief, Heiner Bielefeldt, provides an overview of his activities since the submission of the previous report to the General Assembly (A/65/207).", "The Special Rapporteur then focuses on the role of the State in promoting interreligious communication. In this context, “interreligious communication” is understood to include various forms of exchange of information, experiences and ideas of all kinds between individuals and groups belonging to different theistic, atheistic and non-theistic beliefs, or not professing any religion or belief. The Special Rapporteur emphasizes that communication and public debate constitute a crucial element for human rights to become a reality. He stresses that freedom of religion or belief can flourish only in a climate of open public discourse. At the same time, it is also important to be aware of possible adverse side effects that may occur in the context of interreligious dialogue projects; for example, if intrareligious diversity is undervalued, religious communities are portrayed in a stereotypical manner or full inclusiveness of interreligious dialogue projects is falsely claimed. In this context, the Special Rapporteur outlines some guidelines to address any adverse side effects.", "In his conclusions and recommendations, the Special Rapporteur encourages States to take a constructive role in promoting interreligious communication, based on respect for every human being’s freedom of religion or belief. The Special Rapporteur points to a number of possibilities for States, including encouraging interreligious communication by publicly expressing their appreciation for well-defined dialogue projects; providing financial subsidies to existing or newly created projects; facilitating dialogue among members of various religious or belief groups in the framework of the State itself; and developing forums for regular encounters of people of different religious or belief affiliations. Besides promoting “formal” interreligious dialogue, the Special Rapporteur argues that States should also become more aware of the potential of “informal” interreligious communication across different groups that is not organized explicitly along denominational lines, for example through informal settings in multicultural neighbourhoods, schools, clubs and other public services.", "Contents", "Page\nI.Introduction 4II. Activities 4 of the Special \nRapporteur A. Promotion 4 of the adoption of measures at the national, regional and international levels to ensure the promotion and protection of the right to freedom of religion or \nbelief B.Identification 5 of existing and emerging obstacles to the enjoyment of the right to freedom of religion or belief and presentation of recommendations on ways and means to overcome such \nobstacles C.Examination 6 of incidents and governmental actions incompatible with the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief and recommendation of remedial \nmeasures D.Application 7 of a gender \nperspective E.Working 8 with mass media organizations to promote an atmosphere of respect and tolerance for religious and cultural diversity, as well as \nmulticulturalism III.The 9 role of the State in promoting interreligious \ncommunication A. Communication 10 and human rights in \ngeneral B.Formal 12 and informal interreligious \ncommunication C.Appreciating 13 diversity of interreligious \ncommunication D. State 14 responsibility in promoting \ndialogue E. Important 17 \ncaveats F.Addressing 19 adverse side \neffects IV.Conclusions 21 and \nrecommendations", "I. Introduction", "1. Twenty-five years ago, the mandate of the Special Rapporteur on freedom of religion or belief was created by the Commission on Human Rights pursuant to its resolution 1986/20. The Human Rights Council renewed the Special Rapporteur’s mandate in its resolution 6/37 and extended it for a further period of three years through resolution 14/11. During the fourteenth session of the Council, Heiner Bielefeldt was appointed as Special Rapporteur on freedom of religion or belief; he took office on 1 August 2010.", "2. In section II of the present report, the Special Rapporteur provides an overview of his activities since the submission of the previous report to the General Assembly (A/65/207). In section III, the Special Rapporteur puts a thematic focus on the role of the State in promoting interreligious communication. His conclusions and recommendations with regard to interreligious communication are reflected in section IV.", "II. Activities of the Special Rapporteur", "3. Activities include sending allegation letters and urgent appeals to States concerning individual cases; conducting official country visits; participating in meetings with representatives of States, religious or belief communities, national human rights institutions and civil society organizations; and issuing public statements. The present overview of activities since 1 August 2010 is organized under five headings pursuant to Human Rights Council resolutions 6/37 and 14/11.", "A. Promotion of the adoption of measures at the national, regional and international levels to ensure the promotion and protection of the right to freedom of religion or belief", "4. The Special Rapporteur continues to promote the right to freedom of religion or belief at the national, regional and international levels. At the national level, the Special Rapporteur participated in an expert hearing on 27 October 2010, held by the Committee on Human Rights and Humanitarian Aid of the German Parliament. During the public hearing in Berlin, a number of questions relating to the topic “freedom of religion and European identity” were discussed by the experts and members of Parliament.[1]", "5. At the regional level, the Special Rapporteur attended the Supplementary Human Dimension Meeting on Freedom of Religion or Belief held by the Organization for Security and Cooperation in Europe (OSCE) in Vienna on 9 and 10 December 2010. Ahead of Human Rights Day 2010, he also issued a joint statement together with the director of the OSCE Office for Democratic Institutions and Human Rights, calling upon States to remove undue restrictions on freedom of religion or belief.[2] In addition, on 15 March 2011, the Special Rapporteur met with members of the European Commission and the Human Rights Working Group of the Council of the European Union in Brussels. On 26 May 2011, the Special Rapporteur was invited by the European Parliament’s Subcommittee on Human Rights for a hearing on freedom of religion or belief.", "6. At the international level, the Special Rapporteur joined a press statement on 17 September 2010 in anticipation of the High-level Plenary Meeting of the sixty-fifth session of the General Assembly on the Millennium Development Goals.[3] In their joint press statement, the 26 special procedures mandate holders argued that the implementation of the agreed outcome document (General Assembly resolution 65/1) must have a stronger focus on human rights, not only to ensure the achievement of the Millennium Development Goals, but to also make them meaningful for the billions of people who need them most. The mandate holders emphasized that some groups, including those who face religious discrimination, too often find themselves forgotten. The mandate holders added that poverty gaps would increase unless programmes such as those to achieve the Millennium Development Goals addressed the unique circumstances of those groups and the causes and effects of the discrimination that limits access to education and jobs.", "B. Identification of existing and emerging obstacles to the enjoyment of the right to freedom of religion or belief and presentation of recommendations on ways and means to overcome such obstacles", "7. The Special Rapporteur has held public or bilateral meetings with representatives of States and civil society organizations to discuss existing and emerging obstacles to the enjoyment of the right to freedom of religion or belief. He met with numerous members of religious or belief communities and held public briefings with them, for example in Asunción; Barcelona, Spain; Brussels; Geneva; New York; Oslo; and Toronto, Canada.", "8. In Vienna (9 and 10 February 2011) and Nairobi (6 and 7 April 2011) the Special Rapporteur participated in two expert workshops on the prohibition of incitement to national, racial or religious hatred. In 2011, the Office of the United Nations High Commissioner for Human Rights (OHCHR) is holding a series of such workshops to gain a better understanding of legislative patterns, judicial practices and policies with regard to the concept of incitement to national, racial or religious hatred, while also ensuring full respect for freedom of expression as outlined in articles 19 and 20 of the International Covenant on Civil and Political Rights. For the various regional workshops the Special Rapporteur presented joint submissions together with the Special Rapporteur on the promotion and protection of the right to freedom of opinion and expression and the Special Rapporteur on contemporary forms of racism, racial discrimination, xenophobia and related intolerance.[4]", "9. The Special Rapporteur conducted a country visit to Paraguay from 23 to 30 March 2011, and he is very grateful for the cooperation of the Government. At the conclusion of his visit, he commended the open and tolerant atmosphere in Paraguay at both the governmental and societal levels.[5] At the same time, he stressed that there was still much room for improvement with regard to more effective implementation of human rights, particularly in terms of non‑discrimination. The Special Rapporteur drew special attention to the indigenous peoples’ long history of suffering from discrimination, neglect, harassment and economic exploitation. While noting that the indigenous representatives he met mostly agreed that the general attitude towards their traditional beliefs and practices had become more respectful in recent years, he stressed that the imposition of religious doctrines and practices, possibly against the indigenous peoples’ will, was not a matter of the past only but persisted to a certain degree today. The Special Rapporteur encouraged the Government of Paraguay to continue supporting the interreligious forum initiated two years ago, while at the same time ensuring open and transparent participation by all interested groups and sectors of society.", "10. Continuing his predecessors’ follow-up procedure concerning country visit reports, the Special Rapporteur on 5 November 2010 sent follow-up letters with regard to those missions undertaken by the previous mandate holder in 2008; to Israel and the Occupied Palestinian Territory, India and Turkmenistan. The Special Rapporteur requested updated information on the consideration given to his predecessor’s recommendations, the steps taken to implement them and any constraints that may prevent their implementation. The follow-up tables containing the conclusions and recommendations of the related mission report, and information from the Government and relevant United Nations documents, including from the universal periodic review, special procedures and treaty bodies, are available online.[6]", "C. Examination of incidents and governmental actions incompatible with the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief and recommendation of remedial measures", "11. The Special Rapporteur has continued to engage in constructive dialogue with States by sending them allegation letters and urgent appeals for clarification of credible allegations of incidents and governmental actions incompatible with the provisions of the 1981 Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief. Since the creation of the mandate, the Special Rapporteur has sent some 1,250 allegation letters and urgent appeals to a total of 130 States. The communications sent by the Special Rapporteur between 1 December 2009 and 30 November 2010 and the replies received from Governments are summarized in his latest communications report (A/HRC/16/53/Add.1), which also includes recommendations of remedial measures.", "12. The Special Rapporteur’s communications report provides evidence of worrying allegations of the disappearance, torture, arrest and detention of individuals belonging to religious minorities or belief communities. He is very much concerned about intercommunal violence, which has resulted in the killing of hundreds of persons, including many women and children. His communications also relate to death threats and discrimination against converts, as well as statements inciting violence directed against members of religious minorities. The Special Rapporteur has also taken up allegations of public manifestations of religious intolerance, stigmatization of persons based on their religion or belief and public announcements of disrespectful acts. Further cases involve attacks on places of worship and religious tensions related to religious sites. The Special Rapporteur has also analysed problematic legislation, including on blasphemy. In his statement to the Human Rights Council on 10 March 2011, he referred to horrific consequences of related controversies, including loss of life, and extended his deepest condolences to the families affected.[7]", "13. Country visits offer further opportunities to examine and analyse incidents and governmental actions in greater detail. Since the establishment of the mandate, the Special Rapporteur has conducted 32 country visits, including one follow-up mission. The Special Rapporteur is grateful for the invitation by the Government of the Republic of Moldova to undertake a fact-finding mission in September 2011. Updated information about the Special Rapporteur’s visit requests and forthcoming missions is available on the OHCHR website.[8]", "14. On 10 March 2011, the twenty-fifth anniversary of the establishment of the mandate, the Special Rapporteur launched a reference e-book with observations and recommendations by the four mandate holders who have served as Special Rapporteur on freedom of religion or belief since 1986. The “Rapporteur’s digest on freedom of religion or belief”[9] is a 108-page downloadable compilation of relevant excerpts from thematic and country-specific reports produced by Angelo d’Almeida Ribeiro (serving from March 1986 to March 1993), Abdelfattah Amor (serving from April 1993 to July 2004), Asma Jahangir (serving from August 2004 to July 2010) and Heiner Bielefeldt (serving since August 2010). For ease of reference, the digest is arranged according to the five topics of the mandate’s framework for communications, as outlined in the last thematic report submitted to the Commission on Human Rights: (a) freedom of religion or belief, (b) discrimination, (c) vulnerable groups, (d) intersection of freedom of religion or belief with other human rights, and (e) cross-cutting issues (see E/CN.4/2006/5, paras. 28-35 and annex).", "D. Application of a gender perspective", "15. As requested by the Human Rights Council, the Special Rapporteur has continued to apply a gender perspective — inter alia, through the identification of gender-specific abuses — in the reporting process, including in information collection and in recommendations made. A number of allegation letters and urgent appeals summarized in the Special Rapporteur’s communications reports specifically address practices and legislation that discriminate against women and girls, including with regard to the exercise of their right to freedom of thought, conscience and religion or belief.", "16. In his statement to the Third Committee of the General Assembly on 21 October 2010 (see A/C.3/65/SR.25), the Special Rapporteur emphasized that gender-based discrimination had at least two distinct dimensions in the context of religion. On the one hand, women belonging to communities that are discriminated against also often suffer from gender-based discrimination — for example, if a woman is discriminated against in the labour market because she has decided to wear a religious symbol. On the other hand, religious traditions or interpretations of religious doctrine sometimes appear to justify, or even call for, discrimination against women. In this context, the Special Rapporteur would like to reiterate that it can no longer be taboo to demand that women’s rights take priority over intolerant beliefs that are used to justify gender discrimination.", "17. In his statement to the Human Rights Council on 10 March 2011, the Special Rapporteur stressed that religions or beliefs change over time.[10] In the case of practices that may have a negative bearing on the situation of women or girls, for example, some women have called for reform by advocating and pursuing innovative interpretations of the respective sources, doctrines and norms. The Special Rapporteur stressed the importance of ensuring that textbooks and other information materials in public schools draw a sufficiently comprehensive picture of the various religions or beliefs and their internal pluralism. Existing alternative voices within religious traditions, including voices of women, should have their fair share of attention. With regard to wearing religious symbols, the Special Rapporteur emphasized that any restrictions on the freedom to observe religious dress codes deemed necessary in a certain context must be formulated in a non-discriminatory manner. Women’s rights, and in particular the principle of equality between men and women and the individual’s freedom to wear or not wear religious symbols, should be duly taken into account.", "E. Working with mass media organizations to promote an atmosphere of respect and tolerance for religious and cultural diversity, as well as multiculturalism", "18. The Human Rights Council, in its resolution 14/11, called upon the Special Rapporteur to work with mass media organizations to promote an atmosphere of respect and tolerance for religious and cultural diversity, as well as multiculturalism. In this context, supported by the OHCHR, the Special Rapporteur held an expert consultation in Geneva on the theme “Equality, non-discrimination and diversity: challenge or opportunity for the mass media?”. This consultation, on 30 November 2010, brought together the Special Rapporteurs on freedom of religion or belief, on freedom of opinion and expression and on racism and 12 experts with experience in mass media organizations having a global outreach, including a newspaper editor, a television anchor, a foreign correspondent, a wire service reporter, a blogger and a head of news-gathering, and representatives of an umbrella organization of journalists, an international human rights organization, the United Nations Educational, Scientific and Cultural Organization and the Alliance of Civilizations.", "19. As part of the discussion, two case studies were analysed: the media coverage of plans to burn copies of the Koran (see also A/HRC/16/53/Add.1, paras. 414-421) and the challenges of reporting on post-electoral conflicts in an ethnically divided country.[11] The Special Rapporteur learned more about the decision-making processes within the different mass media organizations and the conditions for making their day-to-day judgement calls, adhering to the key principles of professionalism and independence. The experts highlighted several challenges faced by mass media, for example the increasingly competitive nature of the industry and the need to provide news around the clock, coupled with a global and evolving media landscape.", "20. Drawing upon their work, the experts also reflected on existing initiatives and guidelines used by mass media organizations to promote equality, freedom of expression and diversity.[12] They acknowledged that self-regulation for mass media is the best system, albeit imperfect, yet also emphasized that self-regulation should not lead to detrimental self-censorship or a conspiracy of silence. The mass media experts also emphasized the importance of skills training, including with respect to investigative reporting.", "III. The role of the State in promoting interreligious communication", "21. The General Assembly and Human Rights Council have stressed “the importance of a continued and strengthened dialogue in all its forms, including among and within religions or beliefs, and with broader participation, including of women, to promote greater tolerance, respect and mutual understanding” (General Assembly resolution 65/211 and Human Rights Council resolution 16/13). In this context, the Special Rapporteur has decided to put a thematic focus in the present report on the role of the State in promoting interreligious communication. He understands “interreligious communication” to include various forms of exchange of information, experiences and ideas of all kinds between individuals belonging to different theistic, atheistic or non-theistic beliefs or not professing any religion or belief.", "22. The Special Rapporteur has held discussions with people from different religious or belief backgrounds who have long-term experience in interreligious communication. He is generally very impressed by the high degree of commitment that countless individuals have shown in this field. Moreover, members of minority groups — even those who so far have been largely excluded from existing dialogue projects — have repeatedly expressed their hopes that interreligious communication may help to improve their situations. Therefore, the Special Rapporteur wishes to encourage States to continue and further increase promotional activities in the field of interreligious communication. They should be conducted in a spirit of inclusiveness, non-discrimination and respect for every human being’s freedom of religion or belief. Moreover, the Special Rapporteur extends his utmost appreciation to all those who, sometimes under complicated circumstances, have engaged in interreligious communicative projects designed to eliminate prejudices, stereotypes and hostility.", "A. Communication and human rights in general", "23. The relationship between communication and human rights is complex. A vigorous culture of communication and public debate constitutes a crucial element for human rights to become a reality. This includes the possibility of organizing protests against human rights abuses and exercising public criticism of existing or emerging obstacles to the full enjoyment of human rights. Human rights include free communication, with freedom of expression being the most prominent example. Other examples include freedom of assembly, the right to participate in cultural life, minority rights (e.g., rights of linguistic minorities), the right of accused persons to be heard in criminal trials and, last but not least, freedom of religion or belief. Open and critical communication is also needed to eradicate negative stereotypes, which themselves constitute root causes of mutual suspicion, discrimination, hostility or violence and concomitant human rights abuses.", "24. This multifaceted relationship between communication and human rights also manifests itself in the area of freedom of religion or belief, which like other human rights, can flourish only in a climate of open public discourse. At the same time, the right to freedom of religion or belief itself encompasses various forms of freely chosen communication, including the freedom to communicate within one’s own religious or belief group, to share one’s conviction with others, to broaden one’s horizons by communicating with people of different convictions, to cherish and develop contacts across State boundaries, to receive and spread information about religious or belief issues and to try to persuade others by means of peaceful communication. There can be no doubt that activities of intrareligious and interreligious communication in the broadest sense fall within the scope of freedom of religion or belief.[13] In addition, the necessity of dispelling existing stereotypes by promoting communication between members of different religious or belief groups has rightly received particular attention in recent years, given the many incidents of religiously motivated violence (see for example A/HRC/13/40; A/HRC/16/53/Add.1; A/HRC/13/40/Add.1; and A/HRC/10/8/Add.1).", "25. Violence between religious or belief groups is often triggered by a dangerous combination of paranoia and public contempt against minorities. Sometimes even tiny minorities are confronted with allegations of undermining peace or national cohesion due to some mysteriously “infectious” effects attributed to them. Such allegations can escalate into fully fledged conspiracy theories fabricated by competing groups, the media or even State authorities. At the same time, members of religious or belief minorities often see themselves exposed to public manifestations of contempt — for instance, based on rumours that they supposedly lack moral values. It is exactly this combination of demonizing conspiracy projections and public contempt that typically triggers violence either directed against members of minorities or occurring between different communities. Hence the eradication of stereotypes and prejudices that constitute the root causes of fear, resentment and hatred must be part and parcel of any policy of preventing violence and concomitant human rights abuses. Intrareligious and interreligious communication must play a crucial role in this continuous endeavour.", "26. Unfortunately, we sometimes witness the outbreak of violence despite existing inter-group communication, including interreligious communication. The most notorious examples are civil wars in which former neighbours, who used to live peacefully side by side over many years, attack one another violently. Not infrequently, such violence occurs under the auspices of ascribed or actual religious differences. Ample evidence indicates that communication per se does not provide a guarantee for peaceful coexistence between different groups of people. Yet it would be dangerous to use this disturbing observation as an argument for downplaying the significance of communication. Rather, what is needed are effective policies for improving the conditions for a sustainable culture of communication.", "27. Research in social psychology has confirmed that communication is generally conducive to peaceful, non-violent relations, provided the following conditions are met: (a) people, or groups of individuals, encounter each other on an equal footing; (b) communication has a long-term perspective (i.e., it goes beyond mere superficial brief encounters); (c) elements of common interest are identified and clarified; (d) there is encouragement from society at large, including from political authorities, in the sense of a general appreciation of inter-group communication.", "28. Human rights, in particular the rights to freedom of thought, conscience, religion, opinion and expression and the principle of non-discrimination, can help to bring about circumstances of improved communication, which, in turn, enhance the general prospects for the practical enjoyment of human rights by all. The Special Rapporteur would like to reiterate a quote from Boutros Boutros-Ghali, the former Secretary-General: “Human rights, when viewed from a universal perspective, force us to face the most demanding of all dialectics: the dialectics of identity and otherness, of ‘self’ and ‘other’. They teach us, in the most direct way, that we are, at one and the same time, the same and different” (see E/CN.4/2003/66, para. 119).", "29. Many interlocutors with expertise in the field of interreligious dialogue have expressed to the Special Rapporteur their experience-based conviction that regular encounters between individuals and groups, if conducted on an equal footing and with a long-term perspective, foster a better mutual understanding across religious divides. At the same time, it is important to be aware of possible frustrations which participants in dialogue projects might experience. It can happen that, as a result of serious attempts at getting to know one another, people may feel they are further apart than they had previously thought. And yet it would be wrong to contend that communication in such cases has been useless or even an outright failure. On the contrary, however frustrating the experience of limits of mutual understanding may be, a concrete lack of understanding is still generally better than an abstract lack of understanding, as an abstract lack of understanding, in the sense of ascribing complete “otherness” to a person or group typically renders groups of people vulnerable to uninhibited and dangerous negative projections, including conspiracy theories and scapegoating communications in which participants experience the limits of mutual understanding are clearly preferable to an attitude of refusing communication in general. This clarification is intended to encourage people to continue dialogue projects even in the face of frustrating experiences that may at times occur.", "B. Formal and informal interreligious communication", "30. The underlying understanding of interreligious communication is broad so as to conceptually include individuals holding different religious as well as non‑religious convictions. From a human rights perspective, it is crucial to work on the basis of such a broad, inclusive approach. Indeed, this requirement mirrors the universalistic nature of freedom of religion or belief as a human right that is based on the recognition of the inherent dignity of all members of the human family.[14] As the Human Rights Committee rightly pointed out, freedom of religion or belief “protects theistic, non-theistic and atheistic beliefs, as well as the right not to profess any religion or belief” (see CCPR/C/21/Rev.1/Add.4, para. 2). It furthermore includes members of newly established communities, small communities and minority groups as well as minorities within minorities.", "31. Interreligious communication can take place in formal or informal settings. The Special Rapporteur understands formal interreligious communication to mean dialogue projects in which the participants meet explicitly in their capacity as followers of their respective religions or beliefs. In informal communication, people may well be aware of, and may, if they wish, talk about, their different religious or non-religious affiliations without organizing their dialogue explicitly along those differences. Informal settings such as multicultural neighbourhoods, schools, clubs, Internet exchange forums and other public services may be conducive to constant interaction as a part of daily life. In a society where there are no boundaries on the basis of religion or belief, constant interaction is much more likely, thus enhancing the prospects of mutual understanding (see A/HRC/10/8, para. 21).", "32. There have been interesting examples of countries that have decided to organize inclusive debates about diversity and non-discrimination, bringing together all stakeholders to discuss how to better live together. Indeed, interreligious communication does not exclusively take place in a framework specifically dedicated to religious issues. It can also be part of more general discussions and exchanges, for example about diversity and non-discrimination. Integrating religious issues into the broader dimension of diversity also has the advantage of illustrating that religions and beliefs represent one element of diversity among several others. This could contribute to attenuating differences built or perceived exclusively on religious lines. By expanding the scope of issues discussed, this sort of dialogue can also open up new horizons for seeking possible solutions and compromises.", "33. There seems to be a tendency in international forums to narrow the concept of interreligious communication to formal dialogue projects while paying comparatively little attention to the reality, potential and significance of informal communication. However, there are good reasons to understand the two forms as equally relevant because they can complement each other. Formal interreligious dialogue makes it possible, for instance, to tackle stereotypes or prejudices based on an explanation of the self-understanding of the various religious or belief groups involved in such dialogue. Informal interreligious communication can more easily accommodate individuals who do not want to be identified publicly with their religious or belief convictions or people who are less knowledgeable about, or less interested in, theological and philosophical issues. Thus, there are good reasons to further explore the potential of informal interreligious communication, thereby broadening the options of promoting encounters between individuals and groups of different religions and beliefs. In general it seems advisable always to take both approaches into account when designing political strategies. Moreover, promoting a combination of formal and informal interreligious communication is one way to do justice to the requirement of conceptual inclusiveness, which itself mirrors the universalistic nature of freedom of religion or belief as a human right.", "C. Appreciating diversity of interreligious communication", "34. Interreligious communication harbours an inexhaustible diversity of possible settings, forums, agendas, themes, goals and procedures, with the result that any attempts at a comprehensive mapping exercise would necessarily fail. To start with, interreligious settings range from rather exclusive groupings to projects that aspire to be as inclusive as possible. Conducting or promoting exclusive dialogue settings does not, per se, violate the requirement of conceptual inclusiveness, provided some important safeguards are respected (see sect. E below). Bilateral forums may be preferable, for instance, if two religious groups sharing a difficult and painful history of misunderstanding want to communicate intensively for the purpose of overcoming traditional obstacles and improving their coexistence. Religious communities that feel specific theological affinities towards one another may also prefer somewhat exclusive communicative settings that allow them to further develop existing ties. By contrast, politically oriented dialogue projects, for instance those aiming to foster national, regional or international peace, typically require a maximum of inclusiveness in the sense that people from the most widely differing religious or belief backgrounds should have a chance to participate. Moreover, traditionally marginalized persons, such as women, may wish to come together across religious divides in order to identify patterns of discrimination in different religious or philosophical traditions and to envisage strategies that may help rectify that state of affairs. Examples of such settings are interreligious conferences or research projects by feminist theologians.", "35. Thematically, interreligious communication can address a multitude of different issues. Dialogue projects may pursue a theological agenda by dealing with methods of analysing sacred texts or the understanding of rites and ceremonies in different traditions. As a result, discussants may discover similarities, overcome traditional misunderstandings and develop respect for remaining theological differences. Other forums of interreligious communication, in particular those supported by international organizations, are devoted chiefly to promoting a broad consensus on political issues, such as protection of the environment, international peace or respect for human rights. On the municipal level, interreligious round tables have been established, for instance, for the purpose of solving neighbourhood conflicts over the construction of religious buildings. Of special importance are educational and training projects designed to familiarize young people or specific groups, such as journalists or other media practitioners, with religious or belief diversity. Finally, there are examples of people across religious divides coming together to work in common on artistic projects. These projects can include creative collaboration, using theatre, festivals and other live events as ways of experiencing a common passion for the arts. Renowned orchestras have been created to demonstrate that music can break down barriers that were once considered impossible to overcome.", "36. Interreligious dialogue may manifest itself in concrete events, such as public conferences or ceremonies, as well as in long-term forums or projects. It can take place at a grass-roots level or on the level of religious leadership, or in a combination thereof. Communication can be formally institutionalized or evolve spontaneously. Another important difference concerns the role of the State. While many participants of dialogue projects will probably appreciate active State involvement, others might be more sceptical or generally favour interreligious communication without the presence of State representatives.", "37. It is important to appreciate a legitimate diversity of interreligious communication with regard to settings, themes, goals and modes of operation. The conceptually inclusive approach to interreligious communication does not, per se, preclude the possibility of more exclusive communicative personal or group settings, provided some safeguards are respected. As no specific dialogue setting or project may ever claim a monopoly, there must always be room for other forms, themes, settings, goals and projects of interreligious communication. Last but not least, it is advisable to take into account the differences between formal and informal interreligious communication, which can complement each other. It may well be that informal dialogue leads to a more formal process or vice versa depending on the specific context.", "D. State responsibility in promoting dialogue", "38. Under international human rights law, States are obliged not merely to respect freedom of religion or belief but also to actively protect such freedom against undue interference from third parties. In addition, they should promote an atmosphere of tolerance and appreciation of religious diversity.[15] The General Assembly has repeatedly encouraged activities aimed at promoting interreligious and intercultural dialogue in order to enhance social stability, respect for diversity and mutual respect in diverse communities and to create, at the global, regional, national and local levels, an environment conducive to peace and mutual understanding (see resolutions 64/81 and 65/138).", "39. The significance of promotional activities of States has recently attracted increasing attention within the entire United Nations system, including from the United Nations Educational, Scientific and Cultural Organization (UNESCO), the Alliance of Civilizations, the United Nations Population Fund, the United Nations Children’s Fund, the Joint United Nations Programme on HIV/AIDS, OHCHR, the Department of Public Information and the Department of Economic and Social Affairs (see A/64/325 and A/65/269). The General Assembly, in its resolution 62/90, proclaimed 2010 the International Year for the Rapprochement of Cultures; more than 700 activities were undertaken in this context by States, United Nations agencies, intergovernmental and non-governmental organizations, the private sector and UNESCO institutes and chairs.[16] During its sixty-fifth session, the Assembly proclaimed the first week of February every year the World Interfaith Harmony Week between all religions, faiths and beliefs (see resolution 65/5), and requested the Secretary-General to further solicit views of Member States on the possibility of proclaiming a United Nations decade for interreligious and intercultural dialogue and cooperation for peace (see resolution 65/138). The Human Rights Council called upon States to foster a domestic environment of religious tolerance, peace and respect, inter alia by encouraging the creation of collaborative networks to build mutual understanding, promoting dialogue and inspiring constructive action towards shared policy goals and the pursuit of tangible outcomes (see Human Rights Council resolution 16/18).", "40. One recent activity, for example, is the launch of a global campaign to create a grass-roots movement of people who advocate for diversity, with an emphasis on creating a stronger link between those working at the local and global levels. The “Do One Thing” campaign was launched by the Alliance of Civilizations and UNESCO on United Nations World Day for Cultural Diversity. It involves a campaign calling on individuals to take an action that is relevant to their lives and that promotes diversity and inclusion, for example in the form of culture, an exhibition, a film or even a particular food. The sharing of experience is to be promoted through the use of social media, website postings and videos. The campaign also has the support of the private sector and large corporations, which allows the project to receive greater visibility.", "41. The options for State activities in the field of interreligious communication are manifold and include symbolic or financial support and facilitating or infrastructural activities. The possible impact of symbolic public acknowledgement and encouragement of interreligious communication by representatives of the State should not be underestimated. Social psychological research has underscored the significance of an encouraging societal and political environment for human encounters in yielding productive and sustainable results. In addition to the Government, members of legislative bodies and representatives of other State organizations can play an important role in this regard. States can also designate a particular period of the year for interreligious communication activities (e.g., holding an interfaith week and giving symbolic, financial and infrastructural support to such a project. This approach can also be used as an opportunity to highlight the smaller initiatives, practical projects, art exhibitions and seminars that would otherwise go largely unnoticed.", "42. The State can also provide financial support for existing or new interreligious dialogue projects. Not only high-level projects, such as public meetings of religious leaders, but also grass-roots movements warrant attention and appreciation in this regard and should be able to benefit from financial subsidies and infrastructure support. States should favourably consider providing teachers and students with voluntary opportunities for meetings and exchanges with their counterparts of different religions or beliefs, encouraging exchanges of teachers and students and facilitating educational study abroad (see A/HRC/16/53, para. 61 and E/CN.4/2002/73, appendix, para. 10). This can be in the form of annual summer camps or workshop projects that bring together students from different regions for an intensive training course on human rights education, interreligious dialogue and conflict resolution. Providing space and opportunity for participants to meet, interact and engage with their peers can also be a good basis for not only getting rid of negative stereotypes, but also for taking back to their respective countries the skills and techniques acquired in such camps and for perhaps replicating the initiatives in different countries or communities.", "43. In addition, the State has the ability to directly invite representatives of religious or belief groups to meetings, thus taking the role of host and facilitator. This can be done at all levels of government, including at the municipal level. Indeed, reports indicate that many successful dialogue projects have actually been initiated by mayors or other municipal actors. Such invitations can have various advantages. The “neutral” framework of the State may facilitate dialogue even between groups which, owing to a history of conflicts or other negative factors, would not be likely to meet at their own initiative (see also para. 50 below). The establishment of interreligious forums facilitated by the State can provide new space for dialogue among groups of different religions, philosophical orientations and other sections of society, including indigenous and small belief communities. Another advantage of State invitations concerns the proposal of constructive agendas for interreligious dialogue projects. The presence by the State in the role of host of interreligious dialogue may also be particularly useful whenever themes of general public interest are to be discussed.", "44. Finally, State institutions, such as public schools, provide a very important venue for both informal and formal interreligious communication. States have an obligation to make use of the manifold options inherent in the school system by providing appropriate teaching material, offering interreligious training for teachers and facilitating encounters among pupils. As the Special Rapporteur emphasized in his annual report to the Human Rights Council at its sixteenth session, school education has an enormous communicative potential in this regard (see A/HRC/16/53, para. 21).[17] This can include the distribution of interfaith toolkits at school or on campus, for example through students unions, with a view to increasing dialogue and mutual understanding between different religious groups. Such projects can aim to share resources, offer good practice and training to alleviate possible tensions between certain groups in schools or on university campuses and ultimately strengthen good relations in educational institutions. Moreover, schools and university campuses are seen as pivotal places where interreligious communication occurs.", "45. Public museums, at national or municipal levels, can also serve as platforms for facilitating interreligious dialogue projects. For instance, projects that encourage students from both denominational and non-denominational schools to explore interreligious issues can be documented, with the materials being made accessible to the wider community. Museums can also showcase stories told and discussions held, which can further facilitate and initiate discussions with students and the local communities. Furthermore, the mandate of public service broadcasters should require them to promote intercultural understanding and to foster a better understanding of different communities and the issues they face (see principle 9.2 of the Camden Principles¹²).", "E. Important caveats", "46. State-sponsored interreligious communication, if conducted in an inappropriate manner, can unfortunately have serious negative side effects. If the State is perceived to take sides in favour of one particular religion or one specific strand within the predominant religion, then other religious communities may — for perfectly understandable reasons — prefer not to participate in a State-sponsored dialogue initiative. For instance, in one particular country, a minority community has been pressured by the State in recent years to join the mainstream branch of its particular religion. The frustration felt by the community members ultimately led them to boycott the dialogue project initiated by the State. In another country, the manner in which political leaders conducted debates on the prohibition of wearing religious garments caused a boycott of an interreligious dialogue project by a particular community. These examples illustrate that interreligious dialogue projects may also lead to alienation of the very communities those projects should seek to engage. Moreover, some reports indicate that interreligious forums have been manipulated politically, including for electoral purposes or other political gains.", "47. Therefore, the Special Rapporteur would like to reiterate that the general starting point for designing dialogue projects must be the insight that freedom of religion or belief has the status of an inalienable human right based on the recognition of the inherent dignity of all human beings. Hence, when supporting interreligious communication, the State remains under the obligation to always respect the freedom of religion or belief. This general caveat leads to a number of more specific requirements, such as refraining from monopoly claims for State-supported dialogue projects, respecting the voluntary nature of participation, observing the principle of State neutrality and doing justice to the idea of conceptual inclusiveness.", "48. State-initiated or State-supported interreligious dialogue projects, for all the symbolic and practical significance they may have, must never claim a monopoly in this area. As mentioned earlier, the possibility of intra- and interreligious communication itself has the status of a universal human rights claim within the scope of freedom of religion or belief. It is therefore clear that religious or belief communities always remain free to establish dialogue projects on their own initiative, without depending on State approval. State-promoted dialogue projects must also be open to public criticism.", "49. State-initiated or State-supported interreligious dialogue projects must always proceed on a voluntary basis. They should be presented and perceived as an offer addressed to religious or belief communities, rather than as an obligation imposed on them by the State. If some religious or belief groups prefer not to participate in a given project or generally wish to preserve distance from the State or from other religious groups, such an attitude of reserve must be respected as a part of their freedom of religion or belief. However, reports from different countries indicate that this is not always the case and that some communities have been negatively branded as a result of their decisions not to get involved in specific dialogue projects.", "50. When initiating or promoting interreligious communication, the State should refrain from identifying itself with one particular religion or belief — or with one specific type of religion, such as a monotheistic religion. States should aspire to remain neutral in this respect. If, by contrast, the State were to participate in interreligious projects while identifying itself with one particular religion or belief, this would almost inevitably lead to discrimination against followers of other religions or beliefs. In such a situation, encounters between communities on the basis of equality would be nearly impossible. The principle of State neutrality in questions of religion or belief has been and continues to be a matter of controversy. Neutrality has sometimes been portrayed as indicating a lack of State commitment in this field. Against such a misinterpretation of the concept of neutrality, however, the Special Rapporteur would point to the positive significance of that concept, which lies in the State’s obligation to be fair to the members of different religions or beliefs, on the basis of equality, and to refrain from any discriminatory treatment. State neutrality in this sense can be understood as a normative principle deriving from the obligation of a non‑discriminatory implementation of freedom of religion or belief. Consequently, it should have an impact also on any promotional activities of the State in the area of interreligious communication. Again, there is evidence that some States fail to comply with this principle, with the effect that interreligious dialogue projects may in some cases amount to undue pressure placed by the State on members of religious or belief minorities. For instance, some State initiatives in interreligious dialogue were reportedly connected to pressure exercised on particular religious groups to limit their religious activities, pending recommendations from the respective Government ministries.", "51. The sum total of State-promoted interreligious dialogue projects must, as far as possible, meet the criterion of conceptual inclusiveness. There is a legitimate diversity of dialogue settings, all of which may warrant State support. There may be good reasons for the State also to promote some concrete forms of “exclusive” bilateral communication, for example between certain religious or belief communities that have a history of mutual distrust. This does not in itself present a problem. However, the general balance of State support for interreligious communication should reflect the requirement of conceptual inclusiveness in the sense that all religious or belief groups that would like to participate and benefit from State support should get their fair share of attention and options. An important test question in this regard is the fair inclusion of groups that in a given society have traditionally been neglected, marginalized or completely ignored. Unfortunately, reports indicate that in many countries religious or belief minorities who would like to benefit from State-promoted dialogue continue to suffer from more or less systematic exclusion.", "52. From a practical point of view, it may be virtually impossible to fully accomplish the requirement of the concept of inclusiveness. Paying more attention to the often underestimated potential of informal interreligious communication can, however, at least indirectly, help the State come closer to that benchmark. Since informal interreligious communication does not require individuals to identify themselves explicitly as members of a particular religious group, it has the advantage of being open to the participation of people adhering to typically neglected groups, including individuals generally less interested in, or less knowledgeable about, questions of religion or belief. This example reinforces the advisability of combining formal and informal communicative settings between individuals or groups of different religions or beliefs.", "F. Addressing adverse side effects", "53. Calls for interreligious dialogue have recently attracted increasing attention in international forums, including in the United Nations. For good reasons, such calls typically receive broad or even unanimous applause. It is important, however, to be aware of possible adverse side effects that may occur and to develop appropriate coping strategies. The following remarks do not relate only to State-initiated or State-supported dialogue projects, but may also have a bearing on other forms of interreligious communication.", "54. It has been observed that focusing on interreligious diversity may lead to an underestimation of intrareligious diversity, with a possible negative impact on internal pluralism as well as “dissident voices” within the participating communities.[18] A telling metaphor frequently used to describe the general purpose of interreligious dialogue projects is the “building of bridges”. This metaphor seems to imply the possibility of clearly locating the discussant groups on two opposite sides of a river or a valley. Moreover, it is often said in this context that sustainable bridge-building presupposes “solid pillars” in the sense that a clear awareness of the respective religious identities is required on both sides of the bridge. This metaphor is revealing in that it obviously presupposes a bipolar juxtaposition of “us and them”. Indeed, even dialogue projects that are designed to prevent a “clash of civilizations” sometimes operate implicitly on the basis of a global map of predefined religious and cultural groupings that are thought to be rigid and inflexible. Against such misperceptions, the Special Rapporteur would argue that we should not construe an antagonistic scenario of “us and them” living on different islands. On the contrary, we very much live on one common mainland with multifaceted layers of interconnections, identities and complexities not based solely on religion or belief.", "55. The relevance and degree of intrareligious diversity should never be undervalued. To avoid the danger of underestimating or even downplaying pluralism within religious or belief communities, a good combination of intra- and interreligious communication is advisable. Only on the basis of such a combination is it possible to do justice to the real diversity of human beings in questions of religion or belief. This must also include a substantive and substantial participation of women, who unfortunately continue to be marginalized, especially in high-level interreligious dialogue events. The Special Rapporteur would like to reiterate that dialogue projects would greatly benefit from the views of women. Moreover, women from different religions or beliefs have been very effective human rights advocates in situations of communal tensions (see A/HRC/10/8, para. 19; A/HRC/13/40, para. 61; and A/HRC/16/53, paras. 35-36).", "56. Another problem connected with the underestimation of internal diversity is a possibly too-stereotypical picture of other religious communities. The apparently assumed bipolar pattern in metaphors such as “bridge-building” seems indeed to imply that the addressees of interreligious dialogue are generally located “on the other side” of the bridge. Thus, in the intention of reaching out widely across imagined divides, it may happen that somewhat “unusual” manifestations of minority beliefs receive undue attention because they may appear to be more attractive for outreach purposes than less salient religious manifestations. It is a great irony that, in spite of the explicit intention of finding common ground, some dialogue projects may thus inadvertently solidify existing stereotypes. This danger is particularly pronounced in short-term dialogue projects. In order to counter such dangers, due account needs to be taken of the existing or emerging internal pluralism within the various religious or belief communities. Long-term dialogue projects will more likely reveal the relevance of internal diversity, which in some settings may be more significant than the differences between religious or belief groups.", "57. Yet another problem that may occur in interreligious dialogue projects concerns the false pretence of inclusiveness. As elaborated above, conceptual inclusiveness functions as an indispensable reminder that State-promoted interreligious dialogue projects — at least in their sum total — should do justice to all interested parties. However, no concrete dialogue project will ever be able to fully represent that idea of inclusiveness. Bearing this in mind, it is important to refrain from making a problematic pretence of full inclusiveness. For instance, if a Government claims to have invited “all relevant actors” to a given project, this will most likely imply the marginalization of some groups. To symbolically demonstrate the awareness that human diversity in questions of religion or belief will never fully be reflected in any concrete communicative setting, it might be a good idea to reserve and publicly display some empty seats as a reminder of those not represented.", "58. It is not easy to develop appropriate coping strategies for the purpose of overcoming or at least alleviating the unintended side effects mentioned above, and no one can present a blueprint suitable for all contexts and communicative settings. Again, one way to at least alleviate the problem is by paying more systematic attention to informal interreligious communication. As mentioned earlier, it would be wrong to see formal and informal interreligious communication as contradictory; rather, they mutually complement each other. Creating better conditions for informal interreligious communication can be one way of coping with risks and unintended side effects of formal interreligious dialogue projects, such as downplaying internal pluralism, bipolarization or false pretence of inclusiveness.", "59. Whereas formal interreligious projects have been increasingly recognized in their significance for the promotion of a culture of religious tolerance, the potential of informal interreligious communication still needs to be further explored. In his latest thematic report to the Human Rights Council, the Special Rapporteur, addressing freedom of religion or belief in the context of public schools, makes the point that, just as it would be wrong to ignore religious differences that may come up, it would be equally problematic to organize communication primarily under the auspices of interreligious exchange between predefined groupings. Instead, respect for difference based on freedom of religion or belief requires an attitude of giving individuals the possibility to decide for themselves whether, to which degree and on which occasions they wish to manifest, or not manifest, their religion or belief. Such an atmosphere of relaxed openness provides a fertile ground for developing a sense of diversity as being a normal feature of modern pluralistic societies (see A/HRC/16/53, para. 40).", "IV. Conclusions and recommendations", "60. Interreligious communication has an important role to play in the continuous endeavour to eliminate prejudices and stereotypes which constitute the root causes of resentment, fear, paranoia, hatred, hostility, violence and concomitant human rights abuses. In order to contribute to this purpose, communication between individuals or groups should be conducted on an equal footing and with a long-term perspective. Pursuing common practical projects can help to accomplish sustainability in interreligious communication.", "61. Besides its instrumental role in the eradication of stereotypes and prejudices, intra- and interreligious communication falls within the scope of freedom of religion or belief. Therefore, States have to respect, protect and promote the freedom to communicate within one’s own religious or belief group, to share one’s conviction with others, to broaden one’s horizons by communicating with people of different convictions, to cherish and develop contacts across State boundaries, to receive and spread information about religious or belief issues and to try to persuade others by means of peaceful communication.", "62. States should take a constructive role in promoting interreligious communication (i.e., the various forms of exchange of information, experiences and ideas between individuals or groups holding different religions or beliefs). As a consequence of the universalistic nature of freedom of religion or belief, interreligious communication must be broadly construed and include theistic, atheistic or non-theistic beliefs as well as the possibility not to profess any religion and belief.", "63. Interreligious communication harbours an inexhaustible diversity of themes, settings, goals and procedures. Thus, there can be no one-size-fits-all approach with regard to interreligious dialogue. Keeping that crucial insight in mind, States have a number of general options at their disposal to promote interreligious communication, including by:", "(a) Encouraging interreligious communication by publicly expressing their appreciation for well-defined dialogue projects;", "(b) Providing financial subsidies to existing or newly created projects;", "(c) Facilitating dialogue between members of various religious or belief groups in the framework of the State itself;", "(d) Using and developing forums of regular encounters among people of different religious or belief affiliations.", "64. Promotion of interreligious dialogue by the State must always be based on respect for every human being’s freedom of religion or belief as an inalienable human right. Therefore, when promoting formal or informal dialogue projects States should take into account a number of important caveats:", "(a) States should refrain from monopolizing interreligious communication;", "(b) States should not identify themselves with one particular religion or belief;", "(c) States should endeavour to be inclusive, in the sense that the overall balance of State-promoted interreligious dialogue projects must be fair and non-discriminatory;", "(d) States should meticulously respect the principle of voluntary participation and should refrain from negatively branding those communities that decide not to participate in an interreligious dialogue project.", "65. Interreligious dialogue projects should be undertaken with a critical view to avoid adverse side effects, which are more likely to occur in short-term projects. Examples of problematic side effects are neglect or even marginalization of internal diversity within a particular religious community, a false emphasis on “unusual” manifestations of minority beliefs and the exclusion of marginalized religious or belief communities from dialogue projects. Working on a long-term perspective of communication seems the best way of preventing or overcoming such negative side effects.", "66. Substantive and substantial participation by women in formal interreligious dialogue projects should be a priority in order to address the current imbalance in the composition of high-level interreligious dialogue events where women tend to be marginalized.", "67. Besides promoting formal interreligious dialogue, States should also become more aware of the potential of informal interreligious communication (i.e., communication across different groups that is not organized explicitly along denominational lines and may include informal settings in multicultural and multireligious neighbourhoods, schools, clubs and other public services). In other words, interreligious communication does not necessarily need to take place in a framework specifically dedicated to religious issues. Both approaches — formal as well as informal interreligious communication — have their specific advantages and thus should be promoted in conjunction.", "68. In general, interreligious communication should not undervalue the dissident voices or existing intrareligious diversity within the participating communities. Rather than focusing only on “building bridges” between “us and them” seemingly living on different islands, the Special Rapporteur would encourage that “we” should aim for a mutual understanding and appreciation of living on one common mainland with multifaceted layers of interconnections, identities and complexities.", "69. The Special Rapporteur is impressed by the high degree of commitment that countless people show in the field of interreligious communication. He furthermore wishes to extend his high appreciation to all those who, often under complicated circumstances, have engaged in communicative projects designed to eliminate prejudices, stereotypes and hostility.", "[1] See www.bundestag.de/bundestag/ausschuessel7/a17/anhoerungen/Religionsfreiheit/.", "[2] See www.osce.org/odihr/74525.", "[3] See www.ohchr.org/en/NewsEvents/Pages/DisplayNews.aspx?NewsID=10344&LangID=E.", "[4] See www2.ohchr.org/english/issues/opinion/articles1920_iccpr/index.htm.", "[5] www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=10903&LangID=E.", "[6] See www.ohchr.org/EN/Issues/FreedomReligion/Pages/Visits.aspx.", "[7] See www.ohchr.org/Documents/Issues/Religion/HRC16statement_March2011.pdf and the press statement condemning the killing of the Pakistani Minister for Minority Affairs on 2 March 2011 (www.ohchr.org/en/NewsEvents/Pages/DisplayNews.aspx?NewsID=10786&LangID=E).", "[8] See www.ohchr.org/EN/Issues/FreedomReligion/Pages/Visits.aspx.", "[9] See www2.ohchr.org/english/issues/religion/docs/RapporteursDigestFreedomReligionBelief. pdf.", "[10] www.ohchr.org/Documents/Issues/Religion/HRC16statement_March2011.pdf.", "[11] See www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=2122&LangID=E.", "[12] See for example Al-Jazeera’s Code of Ethics (http://english.aljazeera.net/aboutus/2006/ 11/2008525185733692771.html); the British Broadcasting Corporation’s Editorial Guidelines (www.bbc.co.uk/guidelines/editorialguidelines); the Camden Principles on Freedom of Expression and Equality (www.article19.org/resources.php/resource/1214/en/the-camden-principles-on-freedom-of-expression-and-equality); and the Ethical Journalism Initiative (http://ethicaljournalisminitiative.org).", "[13] Article 6 (i) of the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief provides that the right to freedom of thought, conscience, religion or belief includes the freedom “to establish and maintain communications with individuals and communities in matters of religion and belief at the national and international levels”.", "[14] See preamble to the Universal Declaration of Human Rights (resolution 217 A (III)).", "[15] The general obligation of the State as guarantor of human rights has been divided into the three duties to respect, protect and fulfil human rights. The promotion of societal tolerance can be understood as falling within the field of the duty to “fulfil”.", "[16] See www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures.", "[17] See also Human Rights Council resolution 16/13, which underlines that educational institutions may offer unique possibilities for constructive dialogue among all parts of society, and that human rights education in particular can contribute to the elimination of negative stereotypes that often adversely affect members of religious minorities.", "[18] The same is true for intercultural or inter-civilizations dialogue projects." ]

[ "Sixty-sixth session", "Item 69 (b) of the provisional agenda", "Promotion and protection of human rights: human rights questions, including ways to enhance the effective enjoyment of human rights and fundamental freedoms", "Elimination of all forms of religious intolerance", "Note by the Secretariat", "The Secretary-General has the honour to transmit to the members of the General Assembly the interim report of the Special Rapporteur on freedom of religion or belief, H.E. Mr. Heinna Viefeld, pursuant to General Assembly resolution 39/11.", "Provisional report of the Special Rapporteur on freedom of religion or belief", "Summary", "In the present report, the Special Rapporteur on freedom of religion or belief, Asma Jahangir, provided an overview of his reports of activities mandated to the General Assembly since the last report (A/65/207).", "The Special Rapporteur then highlighted the role of States in promoting inter-religious communication. In this regard, the understanding of “inter-religious communication” is that it includes all forms of information, experience and ideological exchanges among individuals and groups that follow the minds, thology and non-thatistic beliefs, or do not follow any religion or belief. The Special Rapporteur stresses that communication and public debate are key elements of the reality of human rights. He stressed that freedom of religion or belief could be flourished only in an atmosphere of openness and open talks. At the same time, it is also important to recognize that, if there is insufficient awareness of the importance of intra-religious diversity, some religious groups are depicted in a stereotyped manner or that the full conduct of inclusive inter-religious dialogue is not a vice-versa and absorption, the inter-religious dialogue project may have some side effects. In that regard, the Special Rapporteur has put in place some guidelines to address any negative side effects.", "In his conclusions and recommendations, the Special Rapporteur encourages States to respect the freedom of religion or belief of everyone and to play a constructive role in promoting inter-religious communication. The Special Rapporteur points out a number of actions that can be taken by States, including open expressions of appreciation for the definition of clear dialogue projects, encouraging inter-religious communication; providing financial subsidies to existing or emerging projects; promoting dialogue among members of different religious or belief groups within the framework of the State; and the development of forums for the regular exchange of views among different persons in the religious or belief contexts. The Special Rapporteur notes that, in addition to promoting “formal” interreligious dialogue, States should also become further aware of the potential of “informal” inter-religious communication between different groups organized by religious groups, for example, through the informal environment of multicultural communities, schools, associations and other public affairs sectors.", "Contents", "Paragraphs Page", "Introduction", "Twenty-five years ago, the Commission on Human Rights established the mandate of the Special Rapporteur on freedom of religion or belief in accordance with its resolution 1986/20. In its resolution 6/37, the Human Rights Council extended the mandate of the Special Rapporteur and renewed its mandate for three years through resolution 14/11. During the fourteenth session of the Governing Council, Heinna Viefeld was appointed as Special Rapporteur on freedom of religion or belief; he took office on 1 August 2010.", "In section II of the present report, the Special Rapporteur outlines the activities undertaken since his previous report to the General Assembly (A/65/207). In section III, the Special Rapporteur addresses the role of States in promoting inter-religious communication. His conclusions and recommendations on inter-religious communication are contained in section IV.", "Activities of the Special Rapporteur", "Activities authorized included the dispatch of allegations and urgent appeals to States on individual cases, official visits to States, meetings with representatives of States, religious or belief groups, national human rights institutions and civil society organizations, and public statements. In accordance with Human Rights Council resolutions 6/37 and 14/11, the present report provides, under five headings, an overview of the activities undertaken since 1 August 2010.", "Promoting measures at the national, regional and international levels to ensure the promotion and protection of the right to freedom of religion or belief", "The Special Rapporteur continues to promote the right to freedom of religion or belief at the national, regional and international levels. At the national level, the Special Rapporteur participated in expert hearings held by the German Parliament Commission on Human Rights and Humanitarian Assistance on 27 October 2010. At this public hearing held in Berlin, experts and parliamentarians discussed the issue of “freedom and the same European character”. [2]", "At the regional level, the Special Rapporteur attended an additional meeting on the question of persons on freedom of religion or belief, held in Vienna on 9 and 10 December 2010 by the Organization for Security and Cooperation in Europe (OSCE). Prior to 2010, he also issued a joint statement with the OSCE Office of Democratic Institutions and Human Rights to call on States to eliminate undue restrictions on freedom of religion or belief. [3] In addition, the Special Rapporteur met with members of the Council of Europe in Brussels on 15 March 2011 and members of the European Union Council Working Group on Human Rights. On 26 May 2011, the Human Rights Subcommittee of the European Parliament invited the Special Rapporteur to participate in the hearings on freedom of religion or belief.", "At the international level, prior to the high-level plenary meeting of the sixty-fifth session of the General Assembly on the Millennium Development Goals, the Special Rapporteur participated in the press statement of 17 September 2010. [4] In this joint statement to the press, 26 special procedures mandate holders noted that the implementation of the agreed outcome document (General Assembly resolution 63/2) must be more human rights-oriented, not only to ensure that those goals are achieved but also to make them relevant to the billions of people who need to achieve those goals. These special procedures mandate holders stressed that groups, including those subject to religious discrimination, are often forgotten. They also stressed that the poverty gap would increase unless those programmes aimed at achieving the Millennium Development Goals address the unique situation of these groups and address the causes and consequences of discrimination that restrict education and employment opportunities.", "Identification of existing and emerging phenomena that impede the enjoyment of the right to freedom of religion or belief and ways and means to remove these barriers", "The Special Rapporteur held public meetings or bilateral meetings with representatives of States and civil society organizations to discuss existing and emerging phenomena that hinder the enjoyment of the right to freedom of religion or belief. He met with many members of the religious or belief community and made public briefings to them in places such as Asson, Spain Barcelona, Brussels, Geneva, New York, Oslo and Toronto, Canada.", "In addition, the Special Rapporteur participated in two expert seminars on the prohibition of incitement to national, racial or religious hatred in Vienna (9 and 10 February 2011) and Nairobi (6 and 7 April 2011. In 2011, the Office of the United Nations High Commissioner for Human Rights (OHCHR) held a number of such workshops aimed at further understanding of legislative patterns, judicial practices and policies related to the concept of incitement to national, racial or religious hatred, while also ensuring that freedom of expression as set out in paragraphs 19 and 20 of the International Covenant on Civil and Political Rights was fully respected. The Special Rapporteur also, together with the Special Rapporteur on the promotion and protection of the right to freedom of opinion and expression and the Special Rapporteur on contemporary forms of racism, racial discrimination, xenophobia and related intolerance, presented a joint paper for regional workshops. [5]", "The Special Rapporteur visited Paraguay from 23 to 30 March 2011, and he was very grateful to the Government for its cooperation. At the end of his visit, he commended the climate of openness and tolerance at all levels of government and society. [6] At the same time, he stressed that there was still considerable room for improvement in the effective implementation of human rights, particularly in the area of non-discrimination. In particular, the Special Rapporteur draws attention to the long history of discrimination, neglect, harassment and economic exploitation of the indigenous people of Paraguay. He noted that most of the indigenous representatives he met were of the view that the public had more respect for their traditional beliefs and practices in recent years, although he stressed that religious teachings and practices had been imposed on them, and that it was possible to do so, not only in the past, to a certain extent until today. The Special Rapporteur encourages the Government of Paraguay to continue to support the inter-religious forums established two years ago, while ensuring that all interested groups and communities are open and transparent.", "The Special Rapporteur continued to implement the follow-up procedure for his predecessor's country visit report and sent a letter dated 5 November 2010 concerning his predecessor's visit to Israel and the occupied Palestinian territories, India and Turkmenistan in 2008. The Special Rapporteur requests to provide him with updated information on the consideration of his predecessor's recommendations, the steps taken to implement them and the constraints that may prevent them. A follow-up table containing the conclusions and recommendations contained in the relevant mission reports and the relevant documents of the Government and the United Nations, including the universal periodic review, information and documentation of special procedures and treaty bodies, are available online. [7]", "C. Review of incidents and governmental acts incompatible with the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief and the recommendations on remedies", "The Special Rapporteur continues to engage in a constructive dialogue with States to send a letter of allegation to them and urgently calls for clarification on incidents and Government actions that are incompatible with the provisions of the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief. Since the establishment of this mandate, the Special Rapporteur has sent approximately 1,250 allegations and urgent appeals to 130 countries. In his latest communications report (A/HRC/16/53/Add.1), the Special Rapporteur summarized his communications sent from 1 December 2009 to 30 November 2010, as well as responses received from Governments, which included recommendations for appropriate remedies.", "The evidence presented in the Special Rapporteur's communications report is of concern, including allegations of disappearances, torture, arrest and detention of individuals belonging to religious minorities or faith groups. He was very concerned about the violence among these groups, which killed hundreds of people, including many women and children. His letter also addressed statements of death threats and discrimination against persons who were converted to belief and incitement to violence against members of religious minorities. The Special Rapporteur also addresses religious intolerance, defamation of individuals, and public declaration of irresponsible acts based on religion or belief. Other cases relate to inter-religious tensions in attacks on places of worship and in connection with religious activities. The Special Rapporteur also analyses legislation on issues, including legislation on blasphemy. On 10 March 2011, in his statement to the Human Rights Council, he referred to the terrible consequences of the dispute, including loss of life, and to his deep condolences to the families of the injured and injured. [8]", "Visits to countries may have the opportunity to study and analyse events and government practices more carefully. Since the establishment of the mandate, the Special Rapporteur has carried out 32 country visits, including a follow-up mission. The Special Rapporteur thanks the Government of the Republic of Moldova for inviting him to carry out a fact-finding mission in September 2011. The requests for the visit of the Special Rapporteur and the latest information on the tasks to be carried out are available on the OHCHR website. [9]", "On 10 March 2011, on the occasion of the twenty-fifth anniversary of the establishment of the mandate, the Special Rapporteur launched a present electronic reference paper containing the observations and recommendations of the four mandate holders of the Special Rapporteur on freedom of religion or belief since 1986. The report of the Rapporteur on freedom of religion or belief [10] is available at 108 pages, which compiles Angelo Darmeed Ribeiro (for a term from March 1986 to March 1993), Abdel Fatah Amor (for a term from April 1993 to July 2004), Asma Jahangir (for a term of office from August 2004 to July 2010) and the relevant national report, which is available for download. In order to facilitate information, the text is based on five topics set out in the framework of the mandate letters presented in the previous thematic report to the Commission on Human Rights: (a) freedom of religion or belief; (b) discrimination; (c) vulnerable groups; (d) interaction of freedom of religion or belief with other human rights; and (e) cross-cutting issues.", "Application of a gender perspective", "In accordance with the request of the Human Rights Council, the Special Rapporteur continues to apply a gender-equity approach, which is to identify violations of gender equality in the reporting process, including in the collection of information and recommendations. A number of allegations and urgent appeals, as summarized in the communication report, relate specifically to practices and legislation that discriminate against women and girls, including discriminatory practices and legislation that they exercise their right to freedom of thought, conscience, religion or belief.", "On 21 October 2010, the Special Rapporteur, in his statement to the Third Committee of the General Assembly (see A/C.3/65/SR.25), highlighted that gender-based discrimination was at least two different religious dimensions. On the one hand, women belonging to groups of discrimination are often subjected to gender-based discrimination, for example, in the labour market where a woman has been discriminated against by religious belief in the choice of wearing clothing with religious significance. On the other hand, religious traditions or interpretations of religious teaching are sometimes considered justified or even required discrimination against women. In this regard, the Special Rapporteur reiterates that there should be no further obscure that women's rights should be given priority and that the notion of intolerance that discriminate against women should be abandoned.", "In addition, the Special Rapporteur, in his statement to the Human Rights Council on 10 March 2011, stressed that, in social realities, religion or belief had changed over time. [11] For example, certain practices may have a negative impact on the situation of women and girls, while some women advocate for new interpretations of the statements, doctrines and norms, the Special Rapporteur emphasizes the importance of ensuring that textbooks and other information materials in public schools are fully presented in all religions or beliefs and their internal diversity. The different voices available within religious traditions, including the voices of women, should be given equal attention. With regard to the wearing of religiously important clothing, the Special Rapporteur emphasizes that, if there is a need to limit the observance of the freedom of religious dress in some circumstances, it is necessary to adopt a non-discriminatory approach in developing such practices. Women's rights, in particular the principle of equality between men and women, and the decision to wear the freedom of individuals with religious significance should be given due consideration.", "E. Coordinated mass media organizations to promote a climate of respect and tolerance for religious and cultural diversity and pluralism", "In its resolution 14/11, the Human Rights Council called upon the Special Rapporteur, in collaboration with the mass media, to promote a culture of respect for and tolerance for religious and cultural diversity and pluralism. In this regard, the Special Rapporteur, with the support of OHCHR, held an expert advisory meeting entitled “Equality, non-discrimination and diversity: challenges or opportunities for the mass media?”. The Special Rapporteur on freedom of religion or belief, the Special Rapporteur on the right to freedom of opinion and expression, the Special Rapporteur on racism and the 12 experts with experience in the mass media organizations with global coverage attended the advisory meeting on 30 November 2010, which included a newspaper editorial, a television home, a foreign journalist, a newsletter, a Internet guest, a journalist, a press collector and a representative of a press umbrella organization, an international human rights organization, the United Nations Educational, Scientific and Cultural Organization and the Alliance of Civilizations.", "During the discussion, two specific cases were analysed, namely, media coverage of planned burning of the “Guran” incident (see A/HRC/16/53/Add.1, paras. [12] The Special Rapporteur has further knowledge of the decision-making process of different mass dissemination bodies and the important principles of their adherence to professional and independentness, as well as the status of the judgement of the day. The experts highlighted a number of challenges faced by the mass media, such as the increasing competition in the industry and the need for information on a full-day basis, under changing global media patterns.", "Experts also discussed initiatives and guidelines undertaken by mass dissemination agencies to promote equality, freedom of expression and diversity, drawing on their work. [13] They confirmed that the self-regulation of the mass media was the best practice, although it was not well developed, but they also stressed that self-regulation should not lead to the harmful consequences of the silence of the self-review or of the coalition. Media experts also emphasized the importance of skills training, including skills training in investigation reports.", "Role of the State in promoting inter-religious communication", "The General Assembly and the Human Rights Council stressed that “[t]here to continue and strengthen the various forms of dialogue between and within different religions and beliefs and to promote wider participation, including the participation of women, in order to promote tolerance, respect and mutual understanding” (General Assembly resolution 63/211 and Human Rights Council resolution 16/13). In this regard, the Special Rapporteur decided to focus in the present report on the role of States in promoting inter-religious communication. He understands that “inter-religious communication” includes the exchange of information, experience and ideas among individuals that follow the minds, sterilies or do not follow any religion or belief in all its forms.", "The Special Rapporteur held discussions with individuals who differ from the context of religion or belief and have long-term experience with inter-religious communication. He was deeply impressed by the commitment of numerous individuals to work in that area. In addition, members of minorities — even those who have so far been largely excluded from existing dialogue projects — have repeatedly expressed the hope that inter-religious communication will help to improve their situation. The Special Rapporteur therefore wishes to encourage States to continue and further increase information activities in the area of inter-religious communication. These activities should be carried out in the spirit of inclusion, non-discrimination and respect for the freedom of religion or belief of all. In addition, the Special Rapporteur is very grateful for all persons engaged in inter-religious communications activities in the face of prejudices, stereotypes and hostility.", "Communication and basic human rights", "The relationship between communication and human rights is complex. A vibrant culture of communication and open debate is key elements for the realization of human rights. This includes protest against human rights violations and public criticism of existing and emerging factors that impede the full enjoyment of human rights. Human rights, including free communication, are the most prominent example of freedom of expression. Other examples include freedom of assembly, the right to participate in cultural life, the rights of minorities (e.g., the right to be heard in criminal trials), and the right of the alleged person to complain before a criminal trial, last but also freedom of religion or belief. There is also a need for open and critical communication to eliminate negative stereotypes, which in themselves constitute the underlying causes of mutual suspicion, discrimination, hostility or violence and subsequent human rights violations.", "This multifaceted relationship between communication and human rights is also reflected in the field of freedom of religion or belief, like other human rights, and freedom of religion or belief can only flourish in an open and open atmosphere. At the same time, the right to freedom of religion or belief itself includes freedom to choose to communicate in a variety of ways, including freedom to communicate within their religious or belief groups, freedom to share their faith with others, values the freedom of communication with those of different faiths to broaden their ambitions, freedom of expression and development of contacts across national borders, freedom to accept and disseminate information on religion or belief, and to attempt to persuade others to freedom by peaceful means of communication. There is no doubt that communication activities within and among religions are in the broader context of freedom of religion or belief. [14] In addition, in recent years there have been many instances of violence, which is actually or appears to be religiously motivated, and the need to eliminate existing stereotypes through communication among members of different religious or belief groups has been given priority (see A/HRC/13/40, A/HRC/16/53/Add.1, A/HRC/13/40/Add.1 and A/HRC/10/8/Add.1).", "There are many doubts that public disrespect for minorities is often the trigger of violence among religious or belief groups. Sometimes, even if a very small number of minorities are, they are also accused of undermining peace or undermining national unity by blameing certain religious “transmission” factors. These allegations may escalate into a comprehensive complicity of competing groups, the media or even national authorities. At the same time, religion or belief is a member of a minority, for reasons such as rumours of their lack of any moral values, which are often subjected to public contempt. It is this demonization and public contempt that often triggers violence against members of minorities or violence between different communities. Therefore, any policy to prevent violence and subsequent human rights violations must eliminate stereotypes and prejudices, as they are the root causes of fear, dissatisfaction and hatred. Inter-religious and interreligious communication must play an important role in this ongoing effort.", "Regrettably, despite inter-group communication, including inter-religious communication, we sometimes witness the occurrence of violence. The most illegitimate example is that, for many years, good-neighbourliness have committed violent attacks. These acts of violence are often caused by attacks or de facto religious differences. There is sufficient evidence that communication itself cannot guarantee peaceful coexistence among different groups. However, if this disturbing phenomenon is used to detract the importance of communication, it is a dangerous perception. On the contrary, we need effective policies to create better conditions to maintain a sustainable culture of communication.", "Research in the area of social psychology confirms that communication usually facilitates the relationship between peace and non-violence, although it is in line with the following conditions: (a) people or groups should be equal; (b) communication is long-term (i.e. not skin, brief contact); and (c) the identification and clarification of common interests always useful (sometimely found in the communication process); and (d) the encouragement of the entire society, including the political authorities, and people generally appreciate communication among groups.", "Human rights, in particular the right to freedom of thought, conscience, religion, opinion and expression and the principle of non-discrimination, contribute to a climate of improvement in communication, which in turn enhances the universal prospects for the effective enjoyment of human rights by all. The Special Rapporteur would like to reiterate the statement made by the former Secretary-General, Boutros Boutros-Ghalg, “in the context of universal perspectives, human rights have compelled us to face the most restrictive evidence law: this body and his body's defence law, self-help and others' defence law. Human rights tell us in the most direct manner that we are both the same and different at the same time (see E/CN.4/2003/66, para.", "Many interlocutors with expertise in the area of inter-religious dialogue have expressed to the Special Rapporteur their conviction that regular contacts between individuals and groups will actually cross the religious divide and establish a better mutual understanding if they are equal and for the long term. At the same time, it is also important to know what the participants in the dialogue projects may suffer. Because there is a real attempt to understand the counterpart, it may be counterproductive to see greater differences than previously considered. It was therefore wrong to believe that such communication was not effective or even completely failed. On the contrary, irrespective of a limited mutual understanding, “specific lack of understanding” is usually better than “exceptions of abstracts”, since it is perceived that a person or a group is a “batter” at the very end of the table, usually deprives certain groups of non-exclusive and dangerous negative perceptions, including complicity and being used as a crime. Even when those involved in communication feel limited mutual knowledge, it is clear that the attitude of refusing to communicate is better. This note was made in order to encourage continued engagement in the dialogue project, even when there was sometimes a frustrating situation.", "Formal and informal inter-religious communication", "The basic understanding of inter-religious communication is broad and conceptually, including individuals with different religious beliefs and religious beliefs. From a human rights perspective, such a broad and inclusive approach must be adopted. In practice, this requirement reflects freedom of religion or belief as a human right based on the inherent dignity of all members of the human family. [15] As the Human Rights Committee right right right to freedom of religion or belief “to protect the freedom of thought, non-thatistic and stereotyped beliefs and to refrain from any religion or belief” (see CCPR/C/21/Rev.1/Add.4, para. This also includes members of newly established communities, small communities, minorities and minorities.", "Inter-religious communication may take place in formal or informal settings. The Special Rapporteur understands that formal inter-religious communication refers to the fact that participants are clearly represented in their respective religions and beliefs. In informal communication, it may be clear that, if they are willing to talk about their different religious or non-religious backgrounds, their dialogue is not clearly around those differences. Non-formal occasions such as multicultural neighbourhoods, schools, clubs, online communication forums and other public affairs may be useful for continuous communication. In societies that do not delineate the boundaries of religion or belief, it is easier to interact continuously, thereby increasing the prospects for mutual understanding (see A/HRC/10/8, para.", "There have been some interesting examples that some States have decided to organize an inclusive debate on diversity and non-discrimination and to engage all stakeholders in discussing how to better live together. Indeed, inter-religious communication is not limited to the occasion devoted to religious issues. It could also be part of the general discussion and communication on issues such as diversity and non-discrimination. The inclusion of religious issues at the broader level of diversity is also an advantage that can describe religious and belief as in other ways and as an integral part of diversity. This could help to narrow the differences arising or perceived by religion. If the scope of the discussion is broadened, such dialogue could also open new visions, seek possible solutions and compromise.", "The international forum appears to have a tendency to narrow the concept of inter-religious communication into formal dialogue projects, with less emphasis on the realities, potential and significance of informal inter-religious communication. However, there is sufficient reason to recognize that both forms are important, as they can be bridged and mutually reinforcing. For example, formal inter-religious dialogue could allow all religious or belief groups participating in such dialogue to elaborate their understandings, thereby addressing stereotypes or prejudices. Some do not wish to be open to their religious beliefs or beliefs, or to know little or no interest in the issue of mythology and philosophicalism, who are more vulnerable to engaging in informal inter-religious communication. Therefore, there is sufficient reason to further explore the potential for inter- informal inter-religious communication, thereby increasing opportunities for contacts between individuals and groups promoting different religions and beliefs. In general, both approaches should be considered when designing appropriate political strategies. Moreover, the promotion of a combination of formal and informal inter-religious communication is in line with the idea of inclusiveness, which itself reflects the universal nature of freedom of religion or belief as a human right.", "C. Appreciation of the diversity of inter-religious communication", "Inter-religious communication includes a wide variety of occasions, forums, agendas, themes, objectives and procedures that are not sufficient and cannot be exhausted, and therefore any attempt to eradicate all of them and to do so will fail. First, inter-religious communication can be an exclusive combination or an inclusive project as possible. The practice of establishing or promoting an exclusive portfolio does not in itself violate the requirements of the inclusive concept, but respects a number of important safeguards (see section E below). For example, two religious groups have misunderstandings of difficult and painful common history, and they wish to conduct in-depth communication in order to overcome traditional obstacles and to better achieve coexistence, which may be preferable for bilateral forums. Some religious groups are diagnosed and may wish to have a dedicated communications environment to further develop existing relations. In contrast, some political-led dialogue projects, such as the promotion of national, regional or international peace, often require the greatest inclusiveness and the opportunity to participate in the religious or belief context. Moreover, traditionally marginalized persons, such as women, may wish to cross religious differences and walk together with a view to identifying different forms of discrimination in religious or philosophical traditions and proposing strategies that could contribute to redressing the situation. The inter-religious meetings or research projects of women creatists are examples of this communication.", "In terms of the topic, inter-religious communication can address a variety of issues. The dialogue project could adopt a religious agenda to discuss ways to analyse religious sacred books or to understand different traditional gifts and ceremonies. The discussants may find similarities, remove historical misunderstandings and foster a attitude to respect the remaining religious differences. Other forums for inter-religious communication, in particular those supported by international organizations, are mainly committed to promoting a broad consensus on various political issues, such as environmental protection, international peace, respect for human rights, including freedom of religion or belief. At the municipal level, inter-religious round tables were established to resolve conflicts arising from the construction of religious buildings in close areas. A number of education and training projects aimed at informing young people or specific target groups, such as journalists or other media, of the diversity of religion or belief, are of particular importance. Finally, there are examples of the joint implementation of artistic projects across religious differences. These projects could include creative cooperation to use theatre, honour and other on-site events to cohort the arts. A number of well-known missions have been established to demonstrate that music can break the obstacles that have been considered to be inexclusive.", "The form of interreligious dialogue can be a specific event, such as public meetings or ceremonies, or a standing forum or project. It can be carried out either at the grass-roots or at the level of religious leaders or in combination. Communication can be a formalized form of institutionalization or a self-paced evolution. Another important difference is the role of the State. While many participants in the dialogue project may appreciate the active participation of the State, others may have suspicions or wish to conduct inter-religious communications without State representatives.", "There must be a clear understanding of the diversity of inter-religious communication on the ground, themes, objectives and modes of operation. The idea of inter-religious communication of inclusive practices does not exclude the exercise of an exclusive communication by individuals or groups, as long as certain safeguards are respected. Without a specific forum of dialogue or a project that can always have a monopoly, it is necessary to keep the other forms, themes, themes, goals and projects of inter-religious communications projects in place. Finally, it is equally important to take into account the differences in communication between formal and informal religions, which play a complementary role. In specific circumstances, it is likely that informal dialogue has led to formal dialogue and vice versa.", "Responsibility of States in promoting dialogue", "International human rights law stipulates that States have a responsibility not only to respect freedom of religion or belief but also to actively protect such freedom from undue interference by third parties. Moreover, States should also promote a climate of tolerance and focus on religious diversity. [16] The General Assembly has repeatedly encouraged activities aimed at promoting inter-religious and intercultural dialogue with a view to strengthening social stability and respect for diversity within different communities and creating an environment conducive to peace and mutual understanding at the global, regional, national and local levels (see resolutions 6481 and 63/238).", "More recently, national advocacy activities throughout the United Nations system, including the United Nations Educational, Scientific and Cultural Organization (UNESCO), the Alliance of Civilizations, the United Nations Population Fund, the United Nations Children's Fund, the Joint United Nations Programme on HIV/AIDS, OHCHR, the Department of Public Information and the Department of Economic and Social Affairs have attracted increased attention (see A/64/325 and A/65/269). In its resolution 62/90, the General Assembly proclaimed the International Year of Culture and Harmonization in 2010; over 700 activities were carried out by States, United Nations agencies, intergovernmental organizations and non-governmental organizations, the private sector and UNESCO agencies and chairpersons. [17] At its sixty-fifth session, the General Assembly proclaimed the week of February each year of harmony among all religions, beliefs and beliefs in the world (see resolution 65/5), and requested the Secretary-General to further seek the views of Member States on the possibility of proclaiming a United Nations Decade for Interreligious and Intercultural Dialogue and Cooperation for Peace (see resolution 1701/338). The Human Rights Council calls upon States to encourage the establishment of a network of cooperation to promote mutual understanding, promote dialogue, foster a culture of tolerance, peace and respect in the country, promote dialogue and encourage constructive action to achieve policy objectives and achieve concrete results (see Human Rights Council resolution 16/18).", "A recent event was the launch of a global campaign to create grass-roots campaigns for people advocating diversity, with a focus on building strong links among those working at the local and global levels. The Alliance of Civilizations and UNESCO launched a “One” campaign at the United Nations World Cultural Diversity Day. It asked for an action related to their lives and promoting diversity and inclusiveness, which could be cultural, exhibition, film, or even a specific food. The way to share such experiences can be the use of social media, website posting and video. The campaign has also been supported by the private sector and large enterprises, which has gained greater visibility.", "The activities of the State in the area of inter-religious communication include the provision of symbolic or financial support, assistance activities or infrastructure activities. The symbolic public recognition and encouragement of inter-religious communication may not be underestimated. Socio-psychological studies highlight the important role that social and political environments encourage interpersonal access to productive and sustainable results. In addition to the Government, representatives of legislative organs and other national organizations may also play a significant role in this regard. States may also designate inter-religious communication activities in a given period of the year, such as the establishment of a different faith week to provide symbolic, financial and infrastructure support to this project. Such practices could also be used to highlight a number of small initiatives, practical projects, artistic exhibitions and seminars, which would not be visible.", "States could also provide financial support for existing or new interreligious dialogue projects. In this regard, not only high-level projects such as public meetings of religious leaders, but also grass-roots movements should also be given priority, with financial subsidies and infrastructure support. States should actively consider providing free opportunities for teachers and students to participate in meetings and exchanges with different religious or belief counterparts and encourage the exchange of teachers and students to facilitate the retention of national schools (see A/HRC/16/53, para. 61; E/CN.4/2002/73, appendix, para. It may be the form of a one-year summer camp or workshop to bring together students from different regions to develop intensive training courses on human rights education, interreligious dialogue and conflict resolution. The availability, communication and contact of participants could not only eliminate negative stereotypes, but they would also return skills and technology to their countries in summer camps, but also in different countries or communities.", "In addition, the State has the capacity to directly invite representatives of religious or belief groups to participate in the meeting and to play their full role as hosts and presiders. This can be done at all levels of government, including at the municipal level. Indeed, it was noted that many successful dialogue projects were actually initiated by Mayor or other municipal leaders. Such an invitation could have a variety of favourable factors. The State's “neutral” framework could facilitate dialogue among groups, even if they were not able to engage in their own dialogue because of historical conflicts or other negative factors (see para. 50 below). The establishment of inter-religious forums, facilitated by the State, could provide new space for dialogue between different religions, philosophical attitudes and other segments of society, including indigenous and small faith communities. Another favourable element of the country's invitation is the constructive agenda for interreligious dialogue projects. When discussing general issues of public interest, the host State may also have a special role.", "Finally, national institutions, such as public schools, informal and formal inter-religious communications offer very important places. States have an obligation to make use of the wide range of opportunities inherent in the school system, to provide adequate teaching materials, to provide inter-religious training for teachers and to promote inter-school interaction. As the Special Rapporteur has stressed in his annual report to the Human Rights Council at its sixteenth session, school education has great potential for communication in this regard (see A/HRC/16/53, para. [18] This could include the distribution of inter-religious information in schools or school parks, including through student councils, with a view to strengthening dialogue and mutual understanding with religious groups. These projects can seek to share resources and provide good practices and training to alleviate the tension that may exist among certain groups in large, medium and small school parks and ultimately strengthen good relations among educational institutions. In addition, large, medium and small school parks are also key venues for inter-religious communication.", "Public museums at the national or municipal level could also serve as a platform for the promotion of interreligious dialogue projects. For example, students from churches schools or non-conclusive schools may be encouraged to record the project on inter-religious issues and to make information available to the wider community. The museum can also show the stories and the discussions that have been carried out, which could further promote and conduct discussions with students and local communities. In addition, in the mandate of public broadcast institutions, they should be required to promote intercultural understanding and to promote a better understanding of different communities and their problems.", "E. Important concerns", "Inter-religious communication initiated by the State has a serious negative impact if the means of implementation are inappropriate. If the State is deemed to favour a particular religious or a religious assignment, other religious groups will choose not to participate in such dialogue initiatives initiated by States for reasons that are fully understandable. For example, in a given country, a minority over the past several years has been pressured by the State to join the mainstream of the religion. The members of the minority were dismayed and eventually led to their resistance to the country-sponsored dialogue projects. In another country, political leaders have led a group to resist interreligious dialogue projects in a manner that prohibits the debate on religious clothing. These examples indicate that inter-religious dialogue projects may also lead to the departure of groups who seek to reach them. In addition, a number of reports indicate that inter-religious forums are politically manipulated, including for election purposes or other political interests.", "Therefore, the Special Rapporteur wishes to reiterate that the basic starting point for the design of a dialogue project must be profoundly aware that freedom of religion or belief has an inalienable human right based on the recognition of the inherent dignity of all. Therefore, the State remains obliged to always respect freedom of religion or belief when supporting inter-religious communication. This important article creates a number of more specific requirements, for example, the need to avoid a monopoly on national-supported dialogue projects, respect the voluntary nature of participation, respect the principle of national neutrality and implement the concept of inclusiveness.", "The State initiated or supported inter-religious dialogue projects, although they may be symbolic and relevant, must not make a monopoly in this area. As noted earlier, the possibility of inter-religious and inter-religious communication is inherently a universal human right in the context of freedom of religion or belief. It is therefore clear that religious or belief groups have always enjoyed freedom and that they can take the initiative to establish dialogue projects without the need for State approval. It goes without saying that the national promotion of dialogue projects must also open public criticism.", "National projects for interreligious dialogue initiated or supported by States must always be carried out on a voluntary basis. These projects should be seen as recommendations to religious or belief groups rather than imposing obligations on them by States. Such a reservation must be respected as part of its freedom of religion or belief if certain religious or belief groups decide not to participate in a particular item or generally wish to maintain a distance between the State or other religious groups. However, reports from different countries indicate that this is not always the case, and some groups suffer negative prints because they decide not to participate in specific dialogue projects.", "In initiating or promoting inter-religious communication, the State shall avoid the identity of a religion or belief or the identity of a particular category of religion, such as a mythical religion. States should be committed to maintaining neutrality in this regard. If the contrary, the State has neither accepted a religion or belief nor involved in inter-religious projects, which almost inevitably leads to discrimination against others of religion or belief. In this context, it is almost impossible for groups to engage in equality. The principle of State neutrality in matters of religion or belief is always and will continue to be a controversial issue. At times, the maintenance of neutrality by the State was described as a lack of commitment in this area. However, with regard to this misunderstanding of the concept of neutrality, the Special Rapporteur wishes to point out that the positive significance of this concept lies in the obligation of States to treat members of different religions or beliefs on an equal basis and to avoid any discriminatory treatment. In that sense, the State's neutrality can be understood as a normative principle that derives from the obligation to implement freedom of religion or belief without discrimination. This principle should therefore also have an impact on any promotional activities in the area of inter-religious communication. Similarly, there is evidence that some States do not comply with this principle and, in some cases, the result is that inter-religious dialogue projects may be translated into unnecessary pressure on members of minorities who are religious or belief. For example, in some countries, inter-religious dialogue initiatives have reportedly involved pressure on specific religious groups, which have forced them to limit their religious activities before they make recommendations.", "In general, the national inter-religious dialogue project promotes the need to meet as much as possible the inclusive concept criteria. The form and on the occasion of the dialogue are naturally diverse and should be supported by the State. The State may also have sufficient grounds to promote bilateral communication in a specific form of “exclusiveness”, for example, between certain religious or belief groups that have been unconfused in history. This is not an issue in itself. However, the State's support for inter-religious communication should be balanced and reflect the need for an inclusive concept, since all religious or belief groups wishing to participate and benefit from national support should receive their attention and choices. In this regard, an important teststone is whether groups traditionally neglected, marginalized or completely ignored in society are equitably integrated. Regrettably, reports indicate that in many countries some religious or belief minorities wish to benefit from national-driven dialogue, but they remain or are rarely systematically excluded.", "From a realistic perspective, it is almost impossible to do so in full compliance with the concept of inclusiveness. However, if more attention is given to the potential for inter- informal inter-religious communication, it can at least indirectly help States to close the benchmark. As informal inter-religious communication does not require individuals to clarify that they are a member of a religious group, its benefits are open, allowing members of the neglected group to participate or to involve those who are generally not interested or less aware of the issue of religion or belief. This example reiterates the desirability of combining formal and informal forms of communication by individuals or groups of different religions or beliefs.", "Addressing negative side effects", "The call for inter-religious dialogue has recently attracted attention from international forums, including the United Nations. Such appeals are usually widely, even consistent. However, it is also important to be aware of the possible side effects and to develop a corresponding response strategy. Dialogue projects that are initiated or supported by States are not only mentioned below but also related to other forms of inter-religious communication.", "It was observed that the focus on inter-religious diversity could lead to underestimateing the diversity within religions, which could negatively affect the diversity of religions and the “Voices of Distinguisheds” within religions that participated in communication. [19] A spike frequently cited in describing the basic purpose of the interreligious dialogue project is understood to be “building bridges”. It seemed to imply that groups participating in the discussion were clearly at both sides of a river or a cereal. In addition, it is commonly stated in this regard that the preconditions for sustainable bridge-building are “sound pillars” and that the parties to the bridge must be well aware of their religious identity. This is a point of view, as it is premised on “We and them”. Indeed, even with the aim of preventing the “conflict among civilizations” project, it is sometimes based on the predetermined classification of religious cultural groups, which are both constant and rigid. For such misunderstandings, the Special Rapporteur believes that we should not envisage a scenario of “We and them” living on different islands. Instead, we are in fact living on a common continent, and we have a multifaceted, multi-tier interlinkages, identity and complexity that are not based solely on religion or culture.", "The importance and degree of diversity within religions must not be underestimated. In order to avoid underestimated or even diluted the risk of pluralism within religious or belief groups, communication within and among religions should be properly combined. The real diversity of the human person is rightly treated in the context of religion or belief only if they are combined. Such practices must also include women's full and substantive participation, and unfortunately their marginalization, particularly in high-level interreligious dialogue activities. The Special Rapporteur wishes to reiterate that the dialogue project can benefit from women's views. Moreover, in situations of tension among groups, women of different religions or beliefs have been very effective human rights advocates (see A/HRC/10/8, para. 19; A/HRC/13/40, para. 61; A/HRC/16/53, paras. 35 and 36).", "Another issue related to underestimateing internal diversity is that the perception of other religious groups may be too rigid. The two scenarios, such as “building bridges”, seem to be considered to imply that the other side of interreligious dialogue is usually “other side” in the bridge. As a result, for the purpose of outreach to the perceived gap, the expressions of a few beliefs with “except unusual” may be of great concern, as they are more attractive for the purpose of outreach than the less prominent religious expression. It is very ironic that some dialogue projects have a clear intent to find common points, but they may not be unintentional and thus reinforce existing stereotypes. This risk is particularly highlighted in the short-term dialogue project. In order to eliminate this risk, it is important to take fully into account existing or emerging elements within different religious or belief groups. Long-term dialogue projects are more likely to reveal the importance of internal diversity and, in some cases, such diversity may be more significant than religious or belief groups' religious differences.", "Another problem that may arise in the inter-religious dialogue project relates to false inclusiveness. As noted above, the concept of inclusiveness could play an important role in reminding States that national-supported inter-religious dialogue projects — at least in general — should be treated equitably. However, any specific dialogue project could not fully reflect the idea of inclusion. Thus, mistakes should be avoided and self-sustainability has been fully inclusive. For example, if a Government claims to have invited “all relevant actors” to participate in a project, this is likely to imply the marginalization of some groups. In order to express a symbolic understanding that human diversity cannot be fully reflected in any specific communication environment, or that some air seats may be retained or displayed publicly, indicating that there are no representatives of groups.", "A suitable response strategy to overcome or at least mitigate the side effects of the above-mentioned accident is not easy and does not provide a blueprint tailored to all circumstances and communication sites. One way to mitigate this problem at least is more comprehensive attention to inter-religious communication. As noted earlier, it was wrong to see formal and informal inter-religious communication as contradictory. On the contrary, they are complementary. The creation of better conditions for informal inter-religious communication could eliminate the risks and perceived side effects of formal inter-religious dialogue projects, such as degrading of internal pluralism, polarization or false inclusiveness.", "Despite the growing recognition of the role of formal inter-religious projects in promoting a culture of religious tolerance, the potential for inter- informal inter-religious communication remains to be further explored. In his previous thematic report to the Human Rights Council, the Special Rapporteur elaborated on freedom of religion or belief in public schools, noting that religious differences were wrong; communication was also wrong, mainly in the form of an exchange of views among predetermined groups. On the contrary, if differences are to be respected on the basis of freedom of religion or belief, an attitude is needed to enable individuals to determine themselves, to what extent, or to indicate their religion or belief on what basis. Such a loose open environment could provide fertiles to develop a sense of diversity and make it a normal function of modern pluralistic societies (see A/HRC/16/53, para.", "Conclusions and recommendations", "Inter-religious communication can play an important role in overcoming prejudices and stereotypes that constitute the root causes of grievances, fear, bias, hatred, hostility, violence and subsequent human rights violations. For this purpose, communication between individuals and groups should be conducted on an equal footing and from a long-term perspective. The implementation of common practical projects can contribute to the sustainability of inter-religious communication.", "Inter-religious and interreligious communication is also within the scope of freedom of religion or belief, in addition to its important role in eliminating stereotypes and prejudices. Therefore, States must respect, protect and promote the freedom of individuals to communicate within their religious or belief groups, freedom to share their faith with others, freedom to pursue their vision through communication with different faiths, values and disseminate information on religious or belief issues, as well as attempts to persuade others by peaceful means of communication.", "States should play a constructive role in promoting inter-religious communication (e.g., the sharing of information, experiences and ideas by individuals or groups holding different religions or beliefs in all their forms). Because of the universal nature of freedom of religion or belief, inter-religious communication must be interpreted in a broad sense, it should include the freedom of thought, sterilism or non-secological beliefs and the possibility of not taking any religion or belief.", "The themes, themes, themes, objectives and procedures for inter-religious communication vary widely. Thus, the way in which inter-religious dialogue is not possible to have a means of suffrage. As a result, States must have a number of basic options available to facilitate communication among religions, including:", "(a) Express public appreciation for clearly defined dialogue projects and encourage inter-religious communication;", "(b) Provision of financial subsidies to existing or emerging projects;", "(c) Promote dialogue among members of different religious or belief groups within the national framework;", "(d) To use and develop forums to facilitate frequent contact among persons of different religious or belief backgrounds.", "The promotion of inter-religious dialogue by the State must always be based on respect for the freedom of religion or belief of everyone as an inalienable human right. Therefore, States should take into account some important concerns when promoting formal or informal dialogue projects:", "(a) The State should avoid monopoly of inter-religious communication;", "(b) States should not accept a particular religion or belief;", "(c) States should strive to implement inclusiveness, namely, that the overall state of national-driven inter-religious dialogue projects must be fair and non-discriminatory;", "(d) States should strictly respect the principle of voluntary participation and should not give negative copies to groups that decide not to participate in interreligious dialogue projects.", "In implementing inter-religious dialogue projects, strict attention should be paid to the adverse side effects that may arise in short-term projects. The adverse side effects include neglecting the diversity within a religious association and even marginalizing it, giving false attention to the expressions of a few faiths, “in unusually unusual”, and the exclusion of marginalized religious or belief groups from the project. The use of long-term communication views may be the best way to prevent or overcome these negative impacts.", "Women's substantive and full participation in formal inter-religious dialogue projects should be a priority to address the current imbalance in interreligious dialogue, which is often marginalized by women.", "In addition to promoting formal inter-religious dialogue, States should further recognize the potential for inter-religious communication (i.e., communication between groups that are not explicitly organized by sectarian organizations may also include communication in informal environments such as multicultural and multi-religious communities, schools, clubs and other public groups). In other words, inter-religious communication does not necessarily take place within the framework dedicated to religious issues. Both practices of formal and informal inter-religious communication should be promoted.", "Generally, inter-religious communication should not underestimate the different voices within groups participating in communication or existing diversity within religion. The Special Rapporteur encourages not to focus solely on “building bridges” between “We and them” that seem to live in different islands, but rather “We” seek mutual understanding and appreciate the living side of a common continent with multiple, multi-tier interlinkages, identity and complexity.", "The Special Rapporteur remains deeply impressed by the active commitment of many people in the area of inter-religious communication. He would also like to express his sincere appreciation to all those who participated in communications projects in a complex and complex manner in order to eliminate prejudice, stereotypes and hostility.", "AD(*) A/63/250.", "[2] See www.bundestag.de/bundestag/ausschuesse17/ahoerungen/Religionsfreiheit/.", "[3] See http://www.osce.org/odihr/74525.", "[4] See www.ohchr.org/en/NewsEvents/Pages/Display News.aspx?NewsID=10344&LangID=E.", "[5] See www2.ohchr.org/english/issues/opinion/articles1920_iccpr/index.htm.", "[6] See www.ohchr.org/EN/NewsEvents/Pages/Display News.aspx?NewsID=10903&LangID=E.", "[7] See www.ohchr.org/EN/Issues/freedom Religion/Pages/Visits.aspx.", "[8] See www.ohchr.org/Documents/Issues/Religion/HRC16statement_March 2011.pdf and the press's statements condemning the killing of Pakistani minority ministers on 2 March 2011 (www.ohchr.org/en/NewsEvents/ Pages/ DispositionNews.aspx?NewsID=10786&LangID=E).", "[9] See www.ohchr.org/EN/Issues/freedom Religion/Pages/Visits.aspx.", "[10] See www.ohchr.org/english/issues/religion/docs/Rapporteurs Digest Freedom Religion- Belief.pdf.", "[11] See www.ohchr.org/Documents/Issues/Religion/HRC16statement_March 2011.pdf.", "[12] See www.ohchr.org/EN/NewsEvents/Pages/Display News.aspx?NewsID=2122&LangID=E.", "[13] See the Code of Ethics of Television in the Peninsula (http://english.aljazeera.net/aboutus/2006/11/20085251857336927.html); editorial guidelines of British Broadcasting Corporation (www.bbc.co.uk/guidelines/authorguidelines); the principle of freedom of expression and equality in Cmton (www.article19.org/resources.php/1214/en/the-amden-principles-of-news/en-en-en-en-en-enthical initiatives).", "[14] Article 6 (I) of the Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion or Belief provides that the right to freedom in the fields of thought, conscience, religion or belief should focus on the freedom of “to maintain communication in the field of religion or belief at the national and international levels”.", "[15] See the preamble to the Universal Declaration of Human Rights (resolution 217 A (iii)).", "[16] The fundamental obligations of the State as a guarantor of human rights are divided into three duties of respect, protection and realization of human rights. The promotion of social tolerance can be understood as falling within the scope of “to achieve”.", "[17] See www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures.", "[18] See also Human Rights Council resolution 16/13, in which it emphasized that educational institutions could offer unique opportunities for constructive dialogue among all communities of society, and human rights education could in particular help to eliminate negative stereotypes that often negatively affect members of religious minorities.", "[19] Dialogue projects between cultures or civilizations are also such." ]

[ "2011年7月15日瑙鲁常驻联合国代表给安全理事会主席的信", "谨代表太平洋小岛屿发展中国家附上一份概念说明，其中就安全理事会对气候变化的安全影响采取行动事宜提出了具体建议（见附件）。", "望安全理事会能在审议将于2011年7月20日星期三举行的关于“维护国际和平与安全：气候变化的影响”的公开辩论的成果时，考虑我们的这些建议。", "请将这一概念说明作为安全理事会的文件分发为荷。", "常驻代表", "大使", "太平洋小岛屿发展中国家主席", "马琳·摩西(签名)", "2011年7月15日瑙鲁常驻联合国代表给安全理事会主席的信的附件", "太平洋小岛屿发展中国家关于气候变化与安全问题的概念说明", "^(a) A/64/350。", "今天，气候变化对太平洋小岛屿发展中国家构成了紧迫的安全挑战。气候变化已在导致领土消失、非自愿流离失所以及粮食及用水安全的下降，所有这些都被秘书长确定为可能对国际和平与安全产生威胁的途径。^(a)这些影响对太平洋小岛屿发展中国家的国内机构造成了巨大压力，并在可预见的将来还会继续恶化。太平洋只是面临气候变化引起的这些和其他安全挑战的多个区域之一。", "大会第63/281号决议的通过标志着国际社会首次集体承认气候变化对安全的影响。大会在决议中专门邀请联合国有关机构进一步努力审议和处理气候变化问题，包括它可能对安全产生的影响。尽管有此决议，但在国际一级处理气候变化安全影响的具体行动或协调行动却寥寥无几。", "《联合国宪章》规定，安全理事会负有维护国际和平与安全的主要责任。虽然安全理事会传统上的工作重点是国家间冲突，但安理会的作用已演进到需要考虑种类更广泛的对国际和平与安全的威胁。安理会在数个场合都确认必须处理冲突的根源问题，从而审理了范围广泛的非常规安全问题，其中包括贫穷与发展、自然资源稀缺、艾滋病毒/艾滋病、难民问题以及武装冲突中的儿童。", "秘书长关于气候变化和它可能对安全产生的影响的报告确定了气候变化可能威胁到国际和平与安全的若干途径。这些途径中有不少都涉及到安全理事会已确定为需要它关注的问题，其中包括粮食安全、自然资源稀缺、贫穷和人口迁徙。该报告中的重要结论之一是，现有机制可能不足以应对气候变化构成的基本上是空前的挑战。", "处理气候变化的安全影响需采用要一种与目前不同的办法，例如根据《联合国气候变化框架公约》减少温室气体排放和调动财政资源，或是在大会领导下应对发展挑战。", "应对气候变化的安全影响需要复杂的风险分析，而孤立地对个别政策进行简单的成本与收益权衡难以把握要点。安全分析必须考虑到诸多环境、经济、社会和政治因素的互动、可能的临界点以及可能破坏现有体制稳定的非线性事件。处理气候变化的安全影响将需要国际机构积极主动并化解安全威胁，包括在冲突发生前防患于未然。", "在此情况下，太平洋小岛屿发展中国家热烈欢迎德国关于2011年7月该国任主席期间在安全理事会就气候变化的安全影响问题举行一次公开辩论的提议。太平洋小岛屿发展中国家正在就安全理事会针对气候变化的安全影响采取行动事宜拟订具体建议。首先，安全理事会应明确承认气候变化对国际和平与安全的威胁。这一关联在大会第63/287号决议中就得到了承认，并在秘书长关于气候变化和它可能对安全产生的影响的报告中以及在许多其他受到高度重视的学术和政府出版物中得到了清楚确认。", "其次，安理会负有道义和法律责任采取适当的相应行动应对当前和预测的威胁。在这方面，安理会应请秘书长任命一名气候与安全对策问题特别代表并配以适当支助，负责每六个月就气候变化当前和预测的不利影响对国际和平与安全造成的威胁向安全理事会提出报告。", "第三，安全理事会应请秘书长就专门机构应对气候变化安全影响的能力作出评价并提出报告，并就如何加强联合国的能力和改善其对策以迎接这些安全挑战提出建议。", "处理气候变化的安全影响需要新的办法和新机构的参与。这些建议为联合国系统致力于建设有效处理所有国家面临的这些空前挑战的能力提供了建设性的第一步。" ]

[ "Letter dated 15 July 2011 from the Permanent Representative of Nauru to the United Nations addressed to the President of the Security Council", "On behalf of the Pacific small island developing States, I have the honour to attach a concept note setting out specific proposals for Security Council action on the security implications of climate change (see annex).", "We hope that the Security Council can consider our proposals in their deliberations on an outcome from the open debate on maintenance of international peace and security: impact of climate change that will take place on Wednesday, 20 July 2011.", "In this regard, we would be grateful if the concept note could be circulated as a document of the Security Council.", "(Signed) Marlene Moses Ambassador Permanent Representative Chair, Pacific small island developing States", "Annex to the letter dated 15 July 2011 from the Permanent Representative of Nauru to the United Nations addressed to the President of the Security Council", "Pacific small island developing States Concept note on climate change and security", "Climate change is posing urgent security challenges for the Pacific small island developing States today. Climate change is already causing loss of territory, involuntary displacement and a decrease in food and water security, all of which have been identified by the Secretary-General as channels through which international peace and security could be threatened.[1] These impacts are putting enormous pressure on domestic institutions in the Pacific small island developing States, and they will continue to grow worse in the foreseeable future. The Pacific is just one of many regions facing these and other security challenges caused by climate change.", "The adoption of General Assembly resolution 63/281 marked the first time that the international community collectively recognized the security implications of climate change. The General Assembly, in its resolution, specifically invited the relevant organs of the United Nations to intensify their efforts in considering and addressing climate change, including its possible security implications. Despite the resolution, there has been very little concrete or coordinated action at the international level to address the security implications of climate change.", "Under the Charter of the United Nations, the Security Council has primary responsibility for the maintenance of international peace and security. While the Security Council has traditionally focused its work on inter-State conflict, the role of the Council had evolved to take into account a broader array of threats to international peace and security. The Council on several occasions has recognized the necessity of addressing the root causes of conflict, which has led it to take up a wide range of unconventional security issues, including poverty and development, natural resource scarcity, HIV/AIDS, refugee issues and children in armed conflict.", "The report of the Secretary-General on climate change and its possible security implications identified several channels through which climate change could threaten international peace and security. Many of these channels relate to issues that the Security Council has already identified as warranting its attention, including food security, natural resource scarcity, poverty and human migration. One of the key conclusions of the report was that existing mechanisms to address the largely unprecedented challenges posed by climate change might prove inadequate.", "Addressing the security implications of climate change requires a different approach than currently adopted, for example, under the United Nations Framework Convention on Climate Change to reduce greenhouse gas emissions and mobilize financial resources or under the General Assembly to respond to the development challenges.", "Responding to the security implications of climate change requires complex risk analysis that is not easily captured by a simple weighing of costs and benefits of individual policies in isolation. Security analysis must take into consideration the interaction of many environmental, economic, social and political factors, possible tipping points and non-linear events that have the potential to destabilize existing institutions. Addressing the security implications of climate change will require international institutions to be proactive and head off security threats, including conflict, before they materialize.", "In this context, the Pacific small island developing States warmly welcome Germany’s proposal to hold an open debate in the Security Council on the security implications of climate change under its presidency in July 2011. The Pacific small island developing States are making specific proposals for Security Council action on the security implications on climate change. First, the Security Council should clearly recognize the threat of climate change to international peace and security. This link was recognized in General Assembly resolution 63/287 and clearly established in the report of the Secretary-General on climate change and its possible security implications, as well as in numerous other highly regarded academic and governmental publications.", "Secondly, the Council has a moral and legal duty to respond to current and projected threats with appropriate corresponding action. In this regard, the Council should request the Secretary-General to appoint a Special Representative for Climate and Security Response, with appropriate support, to report to the Security Council every six months on threats to international peace and security resulting from the current and projected adverse impacts of climate change.", "Thirdly, the Security Council should request the Secretary-General to evaluate and report on the capacity of the specialized agencies to respond to the security impacts of climate change, as well as to offer recommendations on how to enhance the capacity of the United Nations and improve its response to meet the security challenges.", "Addressing the security implications of climate change requires new approaches and the engagement of new institutions. These proposals provide a constructive first step towards building the capacity of the United Nations system to effectively address the unprecedented challenges faced by all nations.", "[1] A/64/350." ]

[ "Letter dated 15 July 2011 from the Permanent Representative of Nauru to the United Nations addressed to the President of the Security Council", "On behalf of the Pacific small island developing States, I have the honour to attach a concept note containing specific recommendations on Security Council action on the security implications of climate change (see annex).", "The Security Council is expected to consider our recommendations in its deliberations on the outcome of the open debate on “Preservation of international peace and security: the impact of climate change”, to be held on Wednesday, 20 July 2011.", "I should be grateful if you would have this note circulated as a document of the Security Council.", "Permanent Representative", "Ambassador", "Chair of the Pacific Small Island Developing States", "Permanent Representative", "Annex to the letter dated 15 July 2011 from the Permanent Representative of Nauru to the United Nations addressed to the President of the Security Council", "A concept note on climate change and security in small island developing States in the Pacific", "AD(a) A/64/350.", "Today, climate change poses an urgent security challenge for small island developing States in the Pacific. Climate change has already resulted in the loss of territory, non-voluntary displacement and a decline in food and water security, all of which have been identified by the Secretary-General as a means to threaten international peace and security. These impacts (a) have placed great pressure on national institutions in small island developing States in the Pacific and will continue to deteriorate in the foreseeable future. The Pacific is only one of the regions facing these and other security challenges arising from climate change.", "The adoption of General Assembly resolution 63/281 marks the first collective recognition by the international community of the impact of climate change on security. In its resolution, the General Assembly invited relevant United Nations bodies to make further efforts to consider and address climate change, including its possible security implications. Despite this resolution, there are few concrete actions or coordinated actions at the international level to address the security implications of climate change.", "Under the Charter of the United Nations, the Security Council has the primary responsibility for the maintenance of international peace and security. While the Security Council traditionally focuses on inter-State conflicts, the role of the Council has evolved to the need to consider a wide range of threats to international peace and security. In a number of occasions, the Council recognized the need to address the root causes of conflict and thus addressed a wide range of non-conventional security issues, including poverty and development, scarcity of natural resources, HIV/AIDS, refugees and children in armed conflict.", "The report of the Secretary-General on climate change and its possible security implications identified a number of ways that climate change could threaten international peace and security. Many of these avenues relate to the Security Council's identified concerns, including food security, scarcity of natural resources, poverty and population migration. One of the important conclusions in the report was that existing mechanisms could not be sufficient to address the underlying challenge.", "Addressing the security implications of climate change requires a different approach, such as reducing greenhouse gas emissions and mobilizing financial resources under the United Nations Framework Convention on Climate Change, or addressing development challenges under the leadership of the General Assembly.", "The security impact of climate change requires complex risk analysis, while the simple cost and value-sharing points for individual policies are isolated. Safety analysis must take into account the interaction of environmental, economic, social and political factors, possible critical points and non-linear events that may undermine the stability of existing institutions. Addressing the security implications of climate change will require the proactive and safe response of international institutions, including pre-conflict prevention.", "In this context, the Pacific small island developing States warmly welcome the proposal made by Germany to hold an open debate on the security implications of climate change during its presidency in July 2011. The Pacific small island developing States are developing specific recommendations on Security Council action on the security implications of climate change. First, the Security Council should clearly recognize the threat of climate change to international peace and security. This correlation was recognized in General Assembly resolution 63/287 and was clearly confirmed in the Secretary-General's report on climate change and its possible security implications, as well as in many other scholarly and governmental publications with high priority.", "Secondly, the Council has the moral and legal responsibility to take appropriate action to meet current and projected threats. In that regard, the Council should request the Secretary-General to appoint a Special Representative on the response to climate and security, with appropriate support, to report to the Security Council every six months on the adverse impacts of climate change on international peace and security.", "Thirdly, the Security Council should request the Secretary-General to evaluate and report on the capacity of specialized agencies to address the security implications of climate change and to make recommendations on ways to strengthen the capacity of the United Nations and to improve its response to meet these security challenges.", "Addressing the security implications of climate change requires new approaches and the involvement of new institutions. These recommendations provide a constructive first step for the United Nations system's commitment to building the capacity to deal effectively with these unprecedented challenges facing all countries." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11日至22日", "财务委员会的报告", "1. 在国际海底管理局第十七届会议期间，财务委员会于2011年7月12和13日举行了3次会议。委员会再次选举哈希姆·贾拉尔为主席。", "一. 议程", "2. 委员会讨论并通过了载于ISBA/17/FC/L.1号文件所载的议程。", "二. 国际海底管理局2010年财务审计报告", "3. 委员会审议了普华永道关于管理局2010年决算的审计报告。委员会注意到该报告及所载审计意见，即管理局的财务报表符合联合国系统会计准则，在所有重大方面公允列报了管理局2010年12月31日的财务状况以及该年的财务执行情况和现金流量。", "三. 国际海底管理局捐赠基金和自愿信托基金状况", "4. 委员会注意到捐赠基金2011年6月30日的余额为3 355 015美元，包括90 477美元的应计利息，打算用来支持发展中国家的科学家参加核准的方案。", "5. 委员会注意到自愿信托基金2011年6月30的余额为20 231美元。", "6. 委员会建议，如有必要，可作为特殊情况，从捐赠基金的应计利息中预付30 000美元来补贴自愿信托基金。", "7. 委员会极为关切地注意到，捐赠基金资本金的应计利息和自愿信托基金的可用额很低。这是由于捐赠基金资本金的利息率较低，而自愿信托基金缺乏捐款。", "四. 周转基金", "8. 委员会注意到周转基金的状况。在要求提供按国家分列的明细账之后收到了此类账目。", "五. 预算执行情况", "9. 委员会对秘书长就预算执行情况给委员会的报告以及在管理局2011-2012财务期间预算内为节省费用而做出的努力表示赞赏。", "六. 任命独立审计员", "10. 委员会在考虑为2011-2012财务期间任命一名独立审计员时，审查了安永会计师事务所、德勤会计师事务所、毕马威会计师事务所和普华永道会计师事务所为2011年和2012年审计所投的标书。经过讨论，委员会决定建议大会再委任普华永道会计师事务所两年，负责审计管理局2011年和2012年的财务报表。", "七. 采用国际公共部门会计准则", "11. 委员会注意到关于国际公共部门会计准则(公共部门会计准则)的进展情况报告，并请秘书长在下一届会议上向委员会提供一份关于采用公共部门会计准则的利弊的详细报告，包括所涉经费问题，以及一份详细的采用计划。", "八. 联合国共同制度", "12. 委员会注意到秘书长提供的信息，即他得到国际公务员制度委员会(公务员制度委员会)的通知，称国际海底管理局虽然从成立之日起就实行联合国共同制度的条款及条件，但不被视为公务员制度委员会的成员。", "13. 委员会请秘书长在下一届会议上向委员会提供联合国法律顾问的法律意见，以及一份报告，详细说明管理局成为公务员制度委员会成员的好处和成本。", "九. 其他事项", "14. 委员会审议了一份题为“管理局新成员”的文件(ISBA/17/FC/3)。委员会建议，2010和2011年成为管理局成员的马拉维和泰国按下表所列数额缴纳对管理局2010年和2011年一般行政预算摊款和向周转基金的预缴款。根据管理局《财务条例》第7.1条，这些款项应作为杂项收入记在贷方项下。", "联合国分摊率 调整后的国际海底管理局分摊率 一般行政预算分摊额 向周转基金预缴款\n 成员资格起始日期 (百分比) (美元)", "新成员国 2010 2011 2010 2011 2010 2011 2010 2011", "马拉维 2010年10月28日 0.001 0.001 0.001 0.001 101.8 632 43.8 1.55", "泰国 2011年6月15日 — 0.209 — 0.259 — 9 040 — 326.75", "共计 101.8 9 672 43.8 328.30", "15. 委员会对成员以往各期(1998至2010年)应收欠款271 458美元表示关注，请秘书长酌情继续努力收缴这些款额。", "16. 委员会对牙买加政府为升级和维护总部大楼的设施所作的努力表示赞赏。", "十. 财务委员会的建议", "17. 鉴于以上所述，委员会建议管理局理事会和大会：", "(a) 敦促管理局成员按时全额缴付预算摊款；", "(b) 呼吁管理局成员尽快支付未缴纳的管理局往年预算摊款，请秘书长酌情继续努力收缴这些款额；", "(c) 大力鼓励各成员向管理局的捐赠基金和自愿信托基金提供自愿捐助，请秘书长就捐赠基金资本金的投资问题寻求专家意见并同联合国总部各有关当局协商；", "(d) 任命普华永道会计师事务所为2011和2012年独立审计员，并请审计人员在今后的报告中就管理局内部控制的效果发表意见；", "(e) 请财务委员会在其下一次会议上就采用公共部门会计准则一事进行审议并提出建议；", "(f) 请财务委员会在其下一次会议上就国际海底管理局是否应当签署公务员制度委员会章程一事进行审议并提出建议；", "(g) 授权秘书长从捐赠基金的应计利息中预付最多30 000美元来补贴自愿信托基金。", "18. 委员会对即将离任的委员会成员，特别是主席，表示感谢。", "19. 委员会还对管理局秘书长和工作人员协助委员会的工作表示诚挚的谢意。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Report of the Finance Committee", "1. During the seventeenth session of the International Seabed Authority, the Finance Committee held three meetings, on 12 and 13 July 2011. The Committee re‑elected Hasjim Djalal as Chair.", "I. Agenda", "2. The Committee discussed and adopted its agenda, contained in document ISBA/17/FC/L.1.", "II. Audit report on the finances of the International Seabed Authority for 2010", "3. The Committee considered the report of PricewaterhouseCoopers on the audit of the accounts of the Authority for 2010. The Committee took note of the report and the opinion of the auditors that the financial statements of the Authority presented fairly, in all material aspects, the financial position of the Authority as at 31 December 2010 and its financial performance and the cash flows for that year in accordance with the United Nations system accounting standards.", "III. Status of the International Seabed Authority Endowment Fund and Voluntary Trust Fund", "4. The Committee took note of the balance of the Endowment Fund in the amount of $3,355,015 as at 30 June 2011, including accrued interest of $90,477, intended to be utilized to support the participation of scientists from developing countries in approved programmes.", "5. The Committee took note of the balance of the Voluntary Trust Fund in the amount of $20,231, as at 30 June 2011.", "6. The Committee recommended that the Voluntary Trust Fund, if necessary, on an exceptional basis, be supplemented by an advance payment of up to $30,000 from the interest accrued from the Endowment Fund.", "7. The Committee noted with great concern the low amount of the accrued interest on the capital of the Endowment Fund and the low amount available in the Voluntary Trust Fund. This is attributable to low interest rates obtained on the capital of the Endowment Fund and lack of contributions to the Voluntary Trust Fund.", "IV. Working Capital Fund", "8. The Committee took note of the status of the Working Capital Fund and requested a breakdown of the amount by country, which was provided.", "V. Budget performance", "9. The Committee expressed its appreciation to the Secretary-General for the report to the Committee on the implementation of the budget and the efforts being made to effect savings in the budget of the Authority during the 2011-2012 financial period.", "VI. Appointment of an Independent Auditor", "10. In considering the appointment of an independent auditor for the financial period 2011-2012, the Committee examined the bids from Ernst & Young, Deloitte & Touche, KPMG and PricewaterhouseCoopers to undertake the audit for 2011 and 2012. After discussion, the Committee decided to recommend to the Assembly that PricewaterhouseCoopers be appointed for another two years to audit the 2011 and 2012 financial statements of the Authority.", "VII. Adoption of the International Public Sector Accounting Standards", "11. The Committee took note of the progress report on the International Public Sector Accounting Standards (IPSAS) and requested the Secretary-General to provide the Committee, at the next session, with a detailed report on the advantages and disadvantages of adopting IPSAS, including the financial implications and a detailed adoption plan.", "VIII. United Nations common system", "12. The Committee took note of the information provided by the Secretary-General that he had been informed by the International Civil Service Commission (ICSC) that the International Seabed Authority was not considered a member of ICSC, even though it had applied the terms and conditions of the United Nations common system since its inception.", "13. The Committee requested the Secretary-General to provide the Committee, at the next session, with a legal opinion from the Legal Counsel of the United Nations and a report detailing the benefits and costs of the Authority becoming a member of ICSC.", "IX. Other matters", "14. The Committee considered a document entitled “New members of the Authority” (ISBA/17/FC/3). The Committee recommended that Malawi and Thailand, which had become members of the Authority during 2010 and 2011, pay the amounts shown below as their contributions to the general administrative budget of the Authority for 2010 and 2011, as well as advances to the Working Capital Fund. Such contributions should be credited as miscellaneous income, in accordance with regulation 7.1 of the Authority’s financial regulations.", "[TABLE]", "15. The Committee expressed its concern at the contributions outstanding from members for prior periods (1998-2010) in the amount of $271,458 and requested the Secretary-General, at his discretion, to continue his efforts to recover those amounts.", "16. The Committee expressed its appreciation to the Government of Jamaica on the efforts being made to upgrade and maintain the facilities of the headquarters building.", "X. Recommendations of the Finance Committee", "17. In the light of the foregoing, the Committee recommends that the Council and the Assembly of the Authority:", "(a) Urge the members of the Authority to pay their assessed contributions to the budget on time and in full;", "(b) Appeal to the members of the Authority to pay outstanding contributions to the budget of the Authority from previous years as soon as possible and request the Secretary-General, at his discretion, to continue his efforts to recover those amounts;", "(c) Strongly encourage members to make voluntary contributions to the Endowment and Voluntary Trust Funds of the Authority and ask the Secretary-General to seek expert advice on the investment of the capital of the Endowment Fund and consult the relevant authorities at United Nations Headquarters;", "(d) Appoint PricewaterhouseCoopers as independent auditor for 2011 and 2012 and request the auditors to express, in future reports, an opinion on the effectiveness of the internal controls of the Authority;", "(e) Request the Finance Committee, at its next meeting, to consider and make recommendations as to the adoption of IPSAS;", "(f) Request the Finance Committee, at its next meeting, to consider and make recommendations on whether the International Seabed Authority should subscribe to the statute of ICSC;", "(g) Authorize the Secretary-General to make an advance payment of up to $30,000 from the interest accrued from the Endowment Fund to supplement the Voluntary Trust Fund.", "18. The Committee expressed its gratitude to the outgoing members of the Committee, in particular its Chair.", "19. The Committee also expressed its sincere thanks to the Secretary-General and the staff of the Authority for helping the Committee in its work." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Report of the Finance Committee", "During the seventeenth session of the International Seabed Authority, the Finance Committee held three meetings on 12 and 13 July 2011. The Committee again elected Hashim Jaalal as Chairman.", "Agenda", "The Committee discussed and adopted the agenda contained in document ISBA/17/FC/L.1.", "Financial audit of the International Seabed Authority for 2010", "The Committee considered the report of the Puevere on the audit of the Authority's accounts for 2010. The Committee took note of the report and the audit observations contained therein that the financial statements of the Authority are in compliance with the United Nations system accounting standards and that the financial situation of the Authority as at 31 December 2010 and the financial performance and cash flows for the year are fairly presented in all significant respects.", "Status of the International Seabed Authority Endowment Fund and the Voluntary Trust Fund", "The Committee notes that the balance of the Endowment Fund as at 30 June 2011 amounted to $3,355,015, including accrued interest in the amount of $90,477, and intends to support scientists from developing countries in the approved programmes.", "The Committee notes that the balance of 30 June 2011 in the voluntary trust fund amounted to $20,231.", "The Committee recommends that, if necessary, the voluntary trust fund be subsidized by an advance of $300,000 from the accrued interest of the Endowment Fund.", "The Committee notes with great concern the low level of interest and the availability of voluntary trust funds for the donation of capital funds. This is due to the low interest rate of the donation fund capital, and the lack of contributions from the voluntary trust fund.", "Working Capital Fund", "The Committee notes the status of the Working Capital Fund. Such accounts were received after a breakdown requested by the State.", "Budget performance", "The Committee expresses its appreciation to the Secretary-General for his efforts to report to the Committee on the implementation of the budget and for the savings made within the budget of the Authority for the financial period 2011-2012.", "Appointment of independent auditors", "In its consideration of the appointment of an independent auditor for the financial period 2011-2012, the Committee reviewed the tenders of the Annétat, the German Principendor, the Polyman and the Puevere Auditor for 2011 and 2012. After discussion, the Committee decided to recommend to the General Assembly that the General Assembly should be appointed for a further two-year term of the Puevere Auditor, responsible for the audit of the financial statements of the Authority for 2011 and 2012.", "Adoption of the International Public Sector Accounting Standards", "The Committee took note of the progress report on the International Public Sector Accounting Standards (IPSAS) and requested the Secretary-General, at its next session, to provide the Committee with a detailed report on the advantages and disadvantages of the adoption of IPSAS, including financial implications and a detailed implementation plan.", "United Nations common system", "The Committee took note of the information provided by the Secretary-General that he was informed by the International Civil Service Commission (ICSC) that, while the International Seabed Authority had applied the terms and conditions of the United Nations common system from its inception, it was not considered a member of ICSC.", "The Committee requests the Secretary-General to provide the Commission with legal advice on the Legal Counsel of the United Nations at its next session and a report on the benefits and costs of the Authority becoming a member of ICSC.", "Other matters", "The Committee considered a document entitled “New members of the Authority” (ISBA/17/FC/3). The Committee recommends that Malawi and Thailand, a member of the Authority in 2010 and 2011, pay their assessed contributions to the Authority's general administrative budget for 2010 and 2011 and advance contributions to the Working Capital Fund. In accordance with Article 7.1 of the Financial Regulations of the Authority, these payments shall be credited under the crediting Party as miscellaneous income.", "(United States dollars)", "2011", "Malawi 28 October 2010 0.001 0.001 0.001", "Thailand 15 June 2011 - 0.209 - 0.259 - 9 040 - 326.75", "Total", "The Committee expressed concern at the amount of $21,458 outstanding for members for previous periods (1998-2010), and requested the Secretary-General to continue his efforts to collect those amounts, as appropriate.", "The Committee expresses its appreciation for the efforts made by the Government of Jamaica to upgrade and maintain facilities at the Headquarters Building.", "Recommendations of the Finance Committee", "In the light of the foregoing, the Committee recommends that the Board and the General Assembly of the Authority:", "(a) Urge members of the Authority to pay their assessed contributions in full and on time;", "(b) Call upon the members of the Authority to pay their outstanding assessed contributions to the previous budget of the Authority as soon as possible, and requests the Secretary-General to continue his efforts to collect those amounts, as appropriate;", "(c) Strongly encourage members to make voluntary contributions to the Endowment Fund and the Voluntary Trust Fund of the Authority, and requests the Secretary-General to seek expert advice on investment in the Endowment Fund capital and to consult with relevant authorities at United Nations Headquarters;", "(d) Appointment of the Puevere Auditor as an independent auditor for 2011 and 2012 and requests the auditor to comment in future reports on the effectiveness of the internal control of the Authority;", "(e) Requests the Finance Committee to consider and make recommendations on the adoption of IPSAS at its next meeting;", "(f) Requests the Finance Committee to consider and make recommendations at its next meeting on whether the International Seabed Authority should sign the ICSC statute;", "(g) Authorizes the Secretary-General to pay up to $300,000 from the accrued interest of the Endowment Fund to subsidize the voluntary trust fund.", "The Committee expresses its appreciation to the outgoing members of the Committee, in particular the Chairperson.", "The Committee also expresses its sincere appreciation to the Secretary-General and staff of the Authority for their assistance in the work of the Committee." ]

[ "15998", "联合国儿童基金会", "执行局", "2011年第二届常会", "2011年9月12日至15日", "临时议程[1] 项目5", "儿童基金会评价职能和主要评价工作的年度报告", "摘要", "本年度报告是按照评价政策(E/ICEF/2008/4)和执行局有关决定(第2008/4号；第2008/22号；第2009/18号；第2010/16号)编写的。报告提供资料，说明评价工作的全球发展情况、儿童基金会在国家、区域和全球各级评价职能的现状，并扼要说明在加强下放的评价职能方面的进展。报告还概述了中期战略计划重点领域2(基础教育和性别平等)范围内，国家，区域和全球各级的一些主要评估工作。报告最后一节是一项决定草案。", "导言", "1. 评价职能有助于确保儿基会得到各项政策、方案和倡议执行情况的及时、有战略重点和客观的资料，为儿童和妇女取得更好的成果。这项职能促进本组织的学习和问责制。儿基会的评估办公室负责领导整个组织的评价职能。此外，它还委托进行独立的评价，并负责联合国系统内的机构间评价，而且与其他伙伴机构进行联合评价。", "2. 本报告分八个部分。第一节介绍联合国全系统评价一致性方面的重大进展。第二节介绍有代表性的全球评价数据和亮点。第三节介绍加强评价职能，特别是权力下放一级的行动和进展。第四节介绍评价职能关键业绩指标的数据。第五节描述儿基会为支持国家评价能力建设目标而开展的行动。第六节概述评价办公室2012-2013年工作计划。第七节分析评价职能在中期战略计划重点领域2：基础教育和性别平等中的作用。第八节载有一项供执行局审议的决定草案。", "一. 全系统评价一致性", "3. 儿基会历来积极参与和领导，加强联合国和国际评价系统的问责和一致性。近年来，联合国评价小组是管理这个重点的主要模式。儿基会一直在联合国评价小组发挥积极作用，既大力宣传在整个联合国系统加强评价职能，也领导评价小组若干领域的实质性工作。在权力下放一级，区域办事处和国家办事处与联合国其他机构一起工作：亚太共享服务中心主持联合国亚洲及太平洋发展评价小组；一些区域与联合国其他机构联合倡议；许多国家办事处支持联合国发展援助框架的监测和评价工作队。", "4. 过去两年，儿基会实质性地参与联合国评价小组的工作领域：", "(a) 最后敲定和试行把性别平等和人权纳入评价的指导性文件：这是建立核心指导以取代各种各样的组织方式；", "(b) 推动影响评价，拟定关于影响评价问题的指导意见：这有助于各机构选择注重统计的混合方法；", "(c) 联合国发展援助框架(联发援框架)评价指导意见：这响应了外地为落实评价问责制而对于技术指导的需求；", "(d) 编写联合国系统的国家评价能力发展合作的概念文件：这为联合国的合作工作设定范围，详情在第五节讨论；", "(e) 完善联合国系统评价职能的规范和标准：更新评价小组第一份产品，帮助确保不同机构的政策保持一致。", "5. 评价小组已经证明，它是建立最低标准和基本指导的一个有能力论坛。它越来越显示出领导或支持复杂系统评价的实力。小组现在准备进行联合活动，发展国家能力，解决更广泛的评价问题，包括联合国规范作用及其人道主义救援工作的评价。不过，评价小组受制于联合国许多机构较弱的评价能力以及不均衡的国家工作队监测和评价能力。", "二. 儿童基金会机构评价议程", "A. 中期战略计划的综合监测和评价框架", "6. 综合监测和评价估框架(监评框架)包含了儿基会在2010-2011年进行15个机构一级评价的承诺。执行局网站[2] 上可见监评框架的评价结果和管理层回应摘要。", "7. 截至2011年5月底监评框架评价执行进展现况摘要如下：15个评价中，完成 7个；实施中，5个；动员，1个；待行动(无行动)，2个。在两年期这一阶段，这一结果可认为是令人满意的执行率，因为一些承诺通常要进行到第3年。一些评价的重点或侧重点经过了调整。尚待行动的通常是等待必要的资源，如合作伙伴或关键员工。只有一项评价被认为不大可能在本两年期内开始。详情见附件1。", "8. 个别的监评框架评价未列在此。有2个在第7节讨论，所有已完成的可在网上查询。总之，这组评价与机构学习重点相连，方式如下：", "(a) 它包括每个中期战略计划重点领域及跨领域问题的全球评价；", "(b) 它建立在儿基会统计部门的国家和全球影响计量工作基础上，探讨驱动影响的因果关系；", "(c) 每个评价都审查主要的机构成效问题，帮助儿基会增进效率和成效；", "(d) 促进有效的伙伴关系，这是一个常见关键主题，包括与国家委员会、联合国其他机构、捐助方和国家利益攸关方的伙伴关系；", "(e) 15个评价中有4个是与其他机构共同进行；", "(f) 至少5个评价审查了儿基会在社区层面的工作，其他评价则审查上游政策或全球协调层面的工作；", "(g) 有5个评价侧重人道主义问题，其他评价包括一些人道主义方面；", "(h) 议程虽然是在公平再次成为重点前拟定的，但几乎所有评价都审查了帮助尚未获得帮助者的行动或是引导机构方向、基于基本权利的战略和政策。", "B. 机构间和多方合作伙伴的评价：“一体行动”", "9. 7个“一体行动”试点国家[3] 主导的评价于2010年年底完成，提供了宝贵的进展、挑战和经验教训方面的信息。每个国家都建立和管理五大“一体行动”支柱(一个计划、一个领导、一个机构、一个预算框架和一个声音)的自主评价。儿基会共同主持评价小组工作队，提供质量保证。作为对国家主导的评价的补充，目前正在对“一体行动”经验进行正式的独立评价。通过评价小组，儿基会也提供技术专长，协助独立评价。", "10. “一体行动”试点结果见执行局网站。概括而言，评价结果表明，“联合国一致性”给联合国工作带来一定的改善。增进了合作，与各国政府的沟通更加统一，加强了调动核心资源的机制，并有证据表明取得了一些节省。不过，“一体行动”也带来了挑战。要求各机构参加“一个联合国”进程，但并不相应减少具体机构的规划、审查和报告要求。这个进程可能导致对人员编制的恐惧和不确定性。一些联合国工作人员觉得，“一体行动”又增加了一层官僚主义和业务成本。", "C. 机构间和多方合作伙伴的评价：人道主义反应", "11. 儿基会和其他机构支持由人道主义事务协调厅(人道协调厅)领导的共同人道主义基金评价。该基金是一项价值13亿美元的工作，支助在3个国家应对长期紧急情况。评价在2011年初完成，审查了共同人道主义基金的流程、结果、业务效果和影响。人道协调厅和合作伙伴正在制定一个管理层反应。", "12. 儿基会与人道协调厅和国际救援委员会(代表所有非政府组织参与者)一道，共同管理关于2010年1月海地地震对策的一个机构间实时评价。目前正在进行侧重于过渡和发展国家能力问题的后续评价。儿基会对这第二个机构间实时评价的主要贡献是，根据具有全国代表性的抽样，对海地受地震影响人口进行跨机构调查，儿基会正代表机构间调查管理组管理此项调查。本次调查将得出重要的影响数据，而且也是在履行承诺，更多接受受影响人口的问责。", "13. 第七节论述了对儿基会与“拯救儿童”组织之间的全球教育专题组共同领导安排的审查。", "三. 加强儿童基金会内部评价", "背景和总体战略", "14. 儿基会支持的评价有95%以上都得到外地办事处的授权和管理，反映了本组", "织权力下放的性质。这确保了评价能得出符合实际情况的有效证据，很可能影响国家的儿童政策。不过，它也带来了管理上的挑战，需要确保技术评价能力有限的外地办事处拿出高质量的评价结果。", "15. 已商定的方法侧重于评价办公室和区域办事处对外地办事处的支持。这两个级别开展合作，在若干领域加强评价职能：加强治理；加强评价的战略规划；促进和支持评价质量；更好地利用评价及管理层反应；加强内部评价能力。下一节中报告的一个相关倡议是发展国家评价能力，以期一方面支持儿基会所支助的方案的监测和评价需求，另一方面确保有足够的评价技能来满足广泛的公共和私营部门的需求。", "16. 本节着重介绍新信息。执行局先前报告中列举的许多举措仍在执行，此处不再重述。", "战略支助近况", "A. 领导和治理", "17. 根据执行局第2010/16号决定，局长员额定在D-2一级。选定的候选人拥有丰富的评价管理经验，最近曾任非洲开发银行评价主任。局长通过副执行主任(管理)向执行主任办公室报告工作，并得到全球评价委员会辅助；委员会由执行主任、其他高级领导人、区域主任和外部专家组成。全球评价委员会于2010年6月和2011年2月开会，预定于2011年9月再次举行会议。", "18. 在区域一级，亚洲高层领导得到改善，每个区域办事处都将有一专职评价人员(P-5职等)，而目前则是其他职位分管。7个区域中有4个区域成立了由代表和区域办事处领导组成的区域评价委员会。这些委员会就区域评价重点和提高评价政策一致性等事项提供咨询。特别值得注意的是，美洲和加勒比区域办事处已授权全面审查区域内的监测和评价职能，包括员额设计及员额水平、独立性、工作人员技能、与对口单位的联系等。到2012年底，将出台各种建议，可能给人员编制、外部英才中心的责任和使用等带来重大转变。评价办公室将根据需要支持这一审查，其他区域也将在规划2014至2015年工作时汲取相关经验教训。", "19. 在国家办事处一级，越来越多地把评价职能与高层管理联系起来。例如，在美洲和加勒比区域，24个国家办事处中，有21个设有监测和评价专家，向代表或副代表汇报工作。在西非和中部非洲区域，24个国家办事处中，有9个设有由代表领导的国家管理团队来负责评价的战略选择，而不是由单独的方案人员负责此项工作。不过，也有一些监测和评价专家职能方面的趋势值得关注。首先，各办事处越来越多地把监测和评价职能与其他方案职能(如社会政策、知识管理)结合起来，使监测和评价员额承负太多职责。第二，在某些情况下，资金来源从支助预算转到其他资源，没有落实资金，无法确保员额到位。虽然根据现行政策，允许出现这项变化，但这显然削弱了职能。近期一项优先工作将是确定这些变化是否广为出现，并就此问题拟定指南。", "B. 加强评价的战略规划", "20. 如2010年评价报告所指出，儿基会发布指示，列出排定评价的轻重缓急的具体标准。还制定了更明确的评价定义指南，使儿基会办事处能更好地辨别调查、分析和研究与评价。其后，各区域办事处大力推广了该指南。", "21. 目前，儿基会强调两个相辅相成的指示：(a) 国家方案中每一个方案组成部分，需在每一方案周期内，依照评价政策，至少进行一次评估；(b) 根据轻重缓急标准确定重要性，据以选定每个评价主题，并配备足够的资源。", "C. 促进和增进评价质量", "22. 对已完成的评价工作质量进行独立评估，可以帮助指导各办事处和高级管理层不断改进工作。2010年评价报告介绍了全球评价报告监督系统的建立，聘请了一个外部独立公司，按照评价小组的评价标准，评比儿基会管理的评价。全球评价报告监督系统的四个目标和现状如下：", "(a) 向高级管理人员提供对各项评价报告质量的独立评估：正在成功进行，所有各项评价均有具体评估；", "(b) 关于儿基会办事处委托的评价报告质量的报告：儿基会整个组织的总结报告是2011年3月交付的。已委托第二份报告，评估2010年所做的评价；", "(c) 加强内部评价能力，为此向委托单位提供反馈，包括如何改善今后评价的切合实际的建议：如今，对送到总部的每项已完成的评价都这么做；", "(d) 促进机构知识管理和组织学习，为此确定高质量评价报告用于元分析：2010-2011年，在艾滋病毒和艾滋病、教育和儿童保护等领域支助了具体部门的元分析和总结经验教训工作。", "23. 全球评价报告监督系统如今已被认为是质量保证过程的一个核心元素，将继续实施。主要指标将纳入新的监测和报告信息系统。", "24. 此外，区域办事处在各个阶段为提高质量投入相当大的努力。所有区域都落实了质量保证系统，审查综合监测和评价计划草案，起草职权范围和评价报告。区域部门顾问更多的参与会给这些系统添加重要的支持。", "D. 加强内部评价能力", "25. 如此前报告所述，正在总部和区域一级开展多种努力以提高内部能力。这些努力可以简要概括为知识管理(如网上实践社区、网上研讨会、服务台功能)与较传统的网络会议、考察访问和培训班相结合。", "26. 此外，还计划采取3项举措。在网络功能成功的基础上，儿基会正在制订评价能力发展举措，其中包括新员工在线上岗自学方案，以及一个注重核心技能(拟定职权范围、管理评价、撰写评价报告、拟定管理层反应)的培训方案。第二，外地办公室将更注重人员征聘、职务定义和结构以及评价职能的管理。第三，评价办公室领导各方努力界定评价如何支持公平方针。正在编制指导资料，辅之以虚拟资源中心和系列网络研讨会。", "E. 改进评价结果的取用", "27. 评价办公室和区域办事处协调努力，提高了评价报告发给全球报告数据库的及时提交率，从2009年的约20%，提高至2010年的76%。", "四. 关键绩效指标", "28. 系统性加强工作的累积影响应当明确体现在评价系统的运作之中。本节第一次提出了以最近计量系统业绩的试验为基础的一套综合的关键业绩指标。", "指标1：所进行的评价类型", "29. 本指标对评价的相关性和遵守良好设计原则的情况加以计量。执行局第2010/16号决定要求儿基会报告所进行的评价类型；本指标就是据此制定的。已编制了一套定义；还要求外部咨询人对审查中的96份报告加以分类，作为全球评价报告监督系统质量审查的一部分¬。由于是初次尝试，所得出的结论是指示性的，需要审慎地加以解释。", "A. 相关性", "30. 每次评价之目的都被定义为评价报告所述的总括性目标。绝大多数评价(88%)核查了儿基会支助的方案的成果，而仅有11%审查了同基于实地的方案脱钩的政策成果。随着儿基会向”上游”走，政策数目就应当增加。在上述88%之内，30%审查了试验性方案规划，以确定是否适合扩大，而55%则审查了方案最大预期规模的成果。这是一个健康的比率，因为它显示了持续的方案创新以及对为数更多的“大规模”方案的高度重视。", "31. 方案时机数据显示，44%是初步评价，旨在中期更正，而56%则在方案规划期结束时调查成果。管理意向与问责意向之间保持着良好的平衡。", "B. 范围", "32. 在与中期战略计划保持一致方面，调查结论显示出较多问题。足足有85%的评价只对中期战略计划一个重点领域内的问题进行审查，而15%审查了两个或两个以上的重点领域。这可能体现了儿基会支助的方案中普遍的强有力部门办法。在部门重点领域内，25%审查了跨领域的问题(性别、立足人权的方针、知识管理、信息流通促进发展)，作为一大重点加以审查。较小一部分(5%)具体审查了方案规划中的机构效力——供应、财政、人力资源和规划等问题。效率方面的关切问题意味着应当进一步突出机构效力分析。", "33. 就地域层面而言，整整95%的评价具有全国性或国以下级别的参照基准，而5%则为多国、区域或全球性的。跨界关切事项很常见，而对国家经验加以比较的实用性说明需要在较大规模上进行更多的评价。就具有国家以下级别和全国性参照基准的评价而言，每一类别所占百分比基本上都是一样的。这与公平议程比较吻合，该议程审查滞后群体(国以下级别)的具体问题，同时也争取在全体人口(国家一级)中出成果。", "C. 独立和管理", "34. 独立的程度与质量的高低被认为是相互关联的。独立外部评价把控制权交给评价专业人员，而这些人员同评价对象没有任何隶属关系。在46%的情况下，采用了此种良好做法。相比之下，独立内部评价(43%)是由被评价的司利用外部咨询人加以管理的。虽然这更容易出现偏见，但质量结果同独立外部评价一样。只有5%属于由个人或单位审查自己工作的自我评价，其质量最差。", "35. 管理安排也会影响到质量。儿基会同其他方面协商，但在58%的情况下，对评价工作的所有方面负责。只是在1%的情形下，这项工作是同联合国其他机构共同管理的，在17%的情形下，是同非联合国机构共同管理的。与以前的元评价调查结论相反，平均而言，共同管理的质量较差。下一份报告将核实这是否是一个应调查的趋势。约7%是由国家主导的，可以认为，这是国家自主的积极迹象。然而，国家主导的评价和共同评价质量较次。", "36. 对于所进行的评价类型的此项初步审查并没有显示重大的问题。不过，儿基会也应思考一下理想的比率应当是什么，以期评估何处存在着着力不足或着力过度的情形。", "指标2：儿基会评价的质量", "37. 前面讨论过的全球评价报告监督系统质量审查[4] 对各办事处在所有各级所进行的96项评价的组合作了审查。几乎所有都是2009年完成的，因此，其结果说明大约在2004至2009年期间改进质量战略的影响。", "38. 主要的调查结论如下，并同2002年元评价相比较：", "(a) 评价报告被认为是“优质”的百分比由2002年的20%上升到2010年的36%；", "(b) 被评为质量“中等”或“尚可”的报告比例保持稳定，2002年为47%，2010年为49%：", "(c) 劣质报告的百分比由33%(2002年)降为15%(2010年)。", "39. 这些调查结论大体上符合所发现并在2006、2008和2009年报告中报告给执行局的质量趋势。儿基会相信，这些是真实的改进趋势。", "40. 全球评价报告监督系统审查得出的最重要的实质性结论如下：“中心问题似乎在于[儿基会]评价人员对于评价理论(目的、宗旨、方法、数据收集)的了解，比对所生成的数据的处理和分析工作的了解要清楚得多”。正面的结论是管理方正在利用评价提出重要问题，并确定需要如何解决这些问题。一般而言，弱点更多地出现在执行评价、从收集的数据中得出有意义的结果以及吸取经验教训和采纳建议方面。", "41. 质量审查报告建议，儿基会优先建设用于制定高质量职权范围的技能；制定并传播一项用于评价职能的公平和人权战略；着力于为具有挑战性的专题领域开发成果框架；向国家主导的评价提供额外支助。总部和区域办事处已拟订了共同的管理方反应。", "指标3：管理方反应", "42. 执行局第2008/4号决定规定，儿基会所有评价都要有管理方反应。正如2010年评价报告所述，已经制定并公布了关于管理方反应的新指导方针，并开发了接受反应的数据库。提交的单位还有义务定期更新通报针对所作承诺而采取的行动。", "43. 由于大力开展倡导和监督工作，对2010年所完成并提交质量审查的评价作出的完整反应大幅增至47%，而在指导方针生效前，只有10%。区域遵守情况差异较大，甚至低至20%。", "44. 遵守比例迅速增加令人鼓舞。另外两项努力预期会带来进一步的改进：(a) 全球评价报告监督系统小组向来源办公室作出迅速反馈，能有助于管理方反应突出重点；(b) 高级管理层向区域办事处发出提醒信息。", "五. 国家评价能力建设", "45. 儿基会已要求其外地办事处遵照执行局最近的决定，加强对国家评价能力发展工作的支助。以前的报告中已讨论了许多不同的努力，此处不再复述。下文说明2010年做出的主要新努力和取得的成果。", "A. 指导方针和政策", "46. 2011年，联合国评价小组年度大会认可了关于“联合国评价小组成员在国家评价能力发展方面可能发挥的作用”的概念文件，该文件是由儿基会和联合国开发计划署(开发署)共同领导的一个联合国评价小组工作队编写的。指导方针的重点为(a) 作为“知识经纪人”促进“南南合作”生成及分享国家评价系统方面的良好做法；(b) 推进国家主导的评价和国家评价系统；(c) 促进评价专业化及利用国家能力。", "47. 一份新编写的内部框架，即“关怀儿童的证据：为国家主导的评价系统发展国家能力”，说明了参与国家评价能力发展的理由。它概述了各项行动，以便加强有利环境，发展机构能力和个人能力，并促进利益攸关方之间的合作。如下所述，指导方针支持此领域的广泛活动。", "B. 全球学习", "48. 为了便利国家主导的监测和评价系统方面的学习和知识分享，儿基会和伙伴们于2010年启动了互动性的2.0网络平台，MyM&E，以共享关于国家主导的监测和评价工作的知识。MyM&E系统对所有人开放。其容载量包括一个参考中心，内容由成员(包括儿基会等机构)提供，并包括关于发展评价问题的实时网络研讨会。例如，2 100名参与者参加了由主要参与机构(开发署、世界粮食计划署、妇女署、国际劳工组织、洛克菲勒基金会和全球评价协会)所提供的14场网络讨论会。", "49. 儿基会越来越多地支持南南学习。有三个例子具有全局代表性。亚太共享服务中心便利斯里兰卡政府官员向马尔代夫提供支助，以便把国家监测和评价框架概念化。中、东欧和独立国家联合体区域办事处与联合王国国际发展部和世界银行合作，促进塔吉克斯坦政府与塞尔维亚政府交流经验，以便让前者搜集关于部门间协调、数据流动机制及开发一个扶贫战略监测和评价系统方面的证据和经验。这有助于塔吉克斯坦统计委员会决定提供社会经济数据的免费查阅，政府下令在所有各部设立监测和评价司。在约旦，中东和北非区域办事处促进共享了埃及在开发大学一级评价文凭方面的经验；目前正在同约旦的几所大学谈判，争取在那里设立类似的培训方案。", "C. 加强国家主导的监测和评价系统", "50. 对儿基会所实施的国家监测和评价能力发展举措进行调查的结果显示，儿基会有120个办事处正在加强各国政府的机构能力；有39个办事处正在加强有利于评价的国家环境；有56个正在开发政府和伙伴工作人员的能力。以下例子说明了这些活动。", "51. 在肯尼亚，儿基会协助规划、国家发展和2030年愿景部监测和评价司设立了国家综合评价系统，作为关键性的问责制框架。该系统现已完全投入运作，提出定期业绩报告，开展支出追踪调查和部门审查。在乌干达，儿基会支持政府努力进一步开发一个新生的国家监测和评价系统。最近的努力包括对公共部门监测和评价系统进行诊断，侧重于在公共部门注重成果的管理方面的一套国际基准。在此项研究后，总理办公厅发布了一份国家监测和评价政策。", "52. 国家主导的系统超出公共部门的范围。多年来，儿基会还支持设立国家、区域和国际三级的评价协会并使之专业化。此项工作仍在继续，努力超出仍占主导地位的会议、培训活动和建立联系等工作之外。摩洛哥评价协会取得一项重大突破，因此而信誉卓著，如今应邀就公共领域的评价事项发表演讲。最新一项具有里程碑意义的事件是政府邀请该协会对宪法的修订作出贡献、从而帮助加强公共问责制和循证决策。", "六. 儿基会评价办公室2012-2013年工作计划", "53. 执行局第2008/4和2008/22号决定要求儿基会评价办公室两年期工作计划提交给执行局。儿基会评价办公室2012-2013年工作计划界定了对儿基会战略目标的三大贡献。", "54. 通过在儿基会和全球发展界内的评价工作方面发挥全球领导作用，评价办公室将求取在管理方参与、投入和伙伴关系方面的改进。这一主要的内部目标正在指导该办公室在儿基会再次确定的公平这一重点领域内发挥其作用。在机构间论坛内，强调的重点将包括更新评价职能的规范和标准、就重大的共同关注事项如“一体行动”进行联合评价，并就国家评价能力发展和联发援框架的评价启动共同的办法。", "55. 该办公室通过开展独立的机构评价，将就儿基会各方案、政策和战略的执行情况提供可信的证据。将在与中期战略计划重点领域相连的方案专题、人道主义方案规划以及在贯穿各领域的机构效力问题等方面，进行分组评价。机构效力组合将把在评价办公室和内部审计办公室联合方案执行情况评估试验项目内所开发的工具和方法并为一个部分。已提交执行局的2010-2011年评价议程[5] 依然有效，但将在2011年晚些时候加以更新。必须就此与新的调研办公室加以协调，以确保互补性。", "56. 主要利益攸关方在权力下放层次和全球一级作出系统性加强努力，以履行其评价问责责任；在这方面，评价办公室发挥领导作用。在整个组织内目前所见到的改进预期会继续下去。第4节所讨论的总部及区域办事处的战略将持续并得到扩大(基于网络的连通性、支持加强国家评价能力)。一大目标是通过强化的工作人员征聘、技能评价战略和扩大的学习备选办法来加强工作人员能力。将针对多次评价和审查中所揭示的弱点，特别注重于人道主义监测和评价能力。就各项系统性加强努力而言，计划同区域办事处行动建立特别强有力的联系。", "57. 2012-2013年，评价办公室所有来源的的支出预期达1 370万美元。与当期相比，这是零增长。人员编制不变(两年期支助预算中7名专业人员)。", "七. 基础教育和性别平等评价", "58. 此前提交执行局的报告载有儿基会各单位在上一年所做各项评价的摘要。这些摘要既没有专题一致性，也缺乏跨领域分析，未吸引执行局成员的注意力。今年的报告突出了对中期战略计划的一个重点领域即基础教育和性别平等的评价。本节首先简要介绍了基础教育和性别平等评价和研究数量及评价支出方面的数据，然后用主要篇幅审查了每一主要成果领域具有范例意义的评价工作，以确定它们是否正在生成相关的有用知识。[6]", "基础教育和性别平等重点领域的评价和支出", "59. 基础教育和性别平等的战略意图是“确保政府、社区和父母获得必要的能力和支助，以履行义务，保证所有儿童在包括人道主义、恢复和脆弱局势等所有情况下有权获得免费、优质的义务教育”。组织了基础教育和性别平等方案活动，以期在四个主要成果领域实现成果：(a) 准备上学；(b) 获得优质基础教育的机会；(c) 提高教育质量；(d) 紧急情况后恢复教育。", "60. 下文表1显示，2006年至2010年，儿基会各级在基础教育和性别平等方案领域开展了估计达195项评价和433项研究和调查工作。这低于总数，因为未计入其他部门(例如学校的水、环境卫生和个人卫生服务)一些相关的评价工作。", "表1", "按主要成果领域和年份分列的基础教育和性别平等评价数目", "基础教育和性别平等主要 评价 研究 成果领域\n 2006年 2007年 2008年 2009年 2010年 共计 共计", "主要成果领域1——准备 1 5 4 5 1 16 27 上学", "主要成果领域2——获得 10 16 15 19 5 65 194 优质基础教育的机会", "主要成果领域3——提高 21 26 21 23 16 107 205 教育质量", "主要成果领域4——紧急 1 1 1 1 3 7 17 情况后的教育", "评价/研究总数 33 48 41 48 25 195 443", "61. 这些数字与方案支出基本一致。例如，主要成果领域3花费了约48%的教育资金，该领域的评价占评价总数的55%。紧急情况下的教育这一领域的评价所占比例较小并不令人担忧，因为无数的多部门人道主义评价通常都包括教育。", "62. 2009-2010年，儿基会把方案预算的21%即13亿美元用于基础教育性别平等领域。表2显示了其中用于评价及研究和调查的各占多少，并列出了占方案支出的百分比。", "表2", "按区域分列的基础教育和性别平等方案和评价支出", "2009-2010年合并的基础教育和性别平等领域支出\n 区域 方案 评价 研究和调查 (百万美元) (百万美元) (百万美元) (占方案支出的百分比) (占方案支出的百分比)", "东部和南部非洲 333.0 1.7(0.5) 9.0(2.8)", "南亚 264.1 0.6(0.2) 4.9(1.9)", "西非和中部非洲 243.8 1.2(0.5) 11.5(4.7)", "中东和北非 205.7 0.2(0.2) 4.6(3.6)", "东亚和太平洋 185.7 0.2(0.1) 2.3(1.4)", "美洲和加勒比 109.7 0.3(0.2) 2.7(2.3)", "中欧和东欧及独立国家联合体 42.0 0.1(0.3) 1.8(4.3)", "儿基会总部 18.7 2.3(12.0) 不详", "63. 儿基会此前曾报告指出，方案资金平均有0.33%用于评价。7个区域中只有2个区域在基础教育和性别平等领域达到了这一非常低的百分比。与此相反，研究和调查及相关调研的支出比评价支出多10倍以上。", "64. 仅凭这些数据还不足以得出有力的结论，但以下命题值得进一步研究。首先，研究和调查支出相对较高，据此可以认为，儿基会正在进行必要的投资，以检测解决办法，然后才整合纳入方案。将与新设立的研究室共同审视这一点。第二，基础教育和性别平等领域或许正在进行足够的评价(在此方面没有严格的衡量标准)，但考虑到基础教育和性别平等领域评价支出低于儿基会平均水平，可能每方面的支出都不足。第三，在总部一级开展的全球评价支出较高，反映了为准备强有力的评价设计而需做出的努力、多国个案研究的规模以及有经验的国际和国内评价员的费用。", "生成有用的知识：来自若干评价结果的经验教训", "65. 本节列入了全球和国家一级基础教育和性别平等评价结果。全球评价很好地反映了2008-2010年期间所做的一系列评价。90%以上的评价都由儿基会国家办事处管理，因此，本报告中所列举的仅是一小部分，可能不具代表性。但它们显示了所生成的证据和经验教训。所有评价都被外部质量审查评为“良好”，并表明了评价职能如何能够在学习、管理决策和问责方面发挥应有的作用。", "66. 主要成果领域1：改善儿童的身心成长，做好准备，按时开始上学。这一主要成果领域包括中期战略计划综合监测和评价框架中所列的两项全球评价。2009/2010年，教育部门实施了“准备上学”这一多国试点项目，这一准备上学办法利用有序的学习为儿童进入小学做好准备，并使小学准备好接收幼童。在这一“儿童对儿童办法”的试点中，6个国家(孟加拉国、中国、刚果民主共和国、埃塞俄比亚、塔吉克斯坦和也门)的约9 000名学龄前儿童参加了由2 000名“小主持人”主持的学习/娱乐课，这些小主持人大多是小组内学习者的哥哥或姐姐。对试点项目第一年的评价结果显示，它对在普及初等教育方面面临重大挑战的国家内的一年级按时入学率有很大的积极影响。唯在中国未显示有重大影响，该国已有相当高的一年级按时入学率。其他积极的方案影响包括家长更多支持和参与子女的学习，小主持人对自身学习持积极态度。但就学前识字和算术技能而言，方案未带来预期成果。目前的评价正在对参加方案的一年级学生与对照组进行后续比较，以期了解在完成学业、课堂参与和学习方面是否有差异。", "67. 第二项全球评价是荷兰政府支助的幼儿发展方案多国评价，结果显示，在所有抽样国家(柬埔寨、加纳、尼泊尔和坦桑尼亚)，幼儿发展或学前服务的获取机会和覆盖率都大幅提高。在所有个案中，由儿基会支助的幼儿发展方案规划都与国家政策或政府发展计划中所述的学前教育优先事项保持一致。通过评价还发现，在所有方案国家，幼儿学习和发展标准被认可为界定和监测幼儿发展服务质量的重要工具，或是得以制订和实施。", "68. 评价结果也显示出一些不足之处。虽说为幼儿发展预算编制制订了一些指南，但发现在幼儿发展服务的费用计算和筹资方面存在严重的知识差距。数据和监测方面的问题包括：缺乏关于参加幼儿发展方案所带来的儿童发展进展的数据(加纳)；规划和管理幼儿发展活动和服务的数据系统薄弱(尼泊尔和坦桑尼亚)。幼儿发展方案可持续性方面的证据表明，政府已采取决策，把幼儿发展纳入正规教育系统主流，但未为扩大工作拟订适足的计划或预算。", "69. 主要成果领域2：减少差异，增加获得和完成优质基础教育的机会。虽说有更多国家已承诺致力于公民教育，但受教育机会方面的差异在多数国家仍是一个普遍问题。主要成果领域2侧重于提供更公平的受教育机会，尤其是对女孩以及对族裔、语言或文化上的少数群体或对失学青年而言。这一成果领域还侧重于设法减少导致儿童辍学的因素，以期对质量产生影响。", "70. 一项得到好评的国家一级评价审视了罗马尼亚境内为科索沃人开设的奥斯特罗德难民营内的教育项目。评价结果表明，对儿童就学和就学意愿的看法有所改善，采取家庭作业辅导办法使学习成绩有所提高，为人父母的技能和实践得以提高，而且环境卫生方面的知识相对较好，着力解决严重的铅中毒威胁。在以下国家开展了涉及弱势人口的其他一些评价：乌干达(卡拉莫贾游牧少数族裔儿童的另类小学教育)、罗马尼亚(罗姆少数族裔儿童的受教育机会)和中国(境内移徙工人子女的受教育机会)。", "71. 亚美尼亚学校系统正面向残疾儿童引入“包容性的教育”。评价结果显示，包容性的学校正在成功改变对残疾学生的态度并增加为他们提供的服务。但发现学校的“包容性”做法非常有限，未触及所有各类残疾或残疾儿童的所有需要。全球公约通过后，儿基会扩大了对残疾问题的参与，因此，筹备性质的研究和评价预期将在今后几年里大幅增加。", "72. 多边工具和伙伴关系对主要成果领域2的成功与否至关重要，包括全民教育快车道倡议、取消学杂费倡议、联合国女孩教育倡议、失学儿童倡议和全部门筹资机制。儿基会领导或参与了对这些倡议和实体的联合评价。现正进行的一项评价是对联合国女孩教育倡议伙伴关系的初步评价，审视伙伴关系这一模式是否提高了效率和成效，了解那些利用了联合国女孩教育倡议所生成的知识的国家是否找到了改善女孩教育的更好办法。", "73. 主要成果领域3：支持提高教育质量并增加留在学校、完成学业和学有所成的比率。儿基会改善教育质量的工作围绕爱生学校模式展开。爱生学校模式具有跨部门特点，在水、环境卫生和个人卫生设施、学校设计、艾滋病毒预防和生活技能教育、学校供餐、减少灾害风险、性别平等和非惩罚性纪律形式等方面促进质量并兼顾质量和公平性。爱生学校举措旨在应对有碍获取优质教育的结构因素(安全教室空间的供应问题及合格教师的缺乏)和教学方法(调整不符合学生个人学习风格的传统方法)。", "74. 爱生学校在许多国家已成为教育计划的一大构成部分，由此产生了许多评价工作。还通过执行局2010年报告中突出介绍的一项独立的全球评价对爱生学校办法做出评价，评价结果不时重现于国家一级的评价中。教育部委在不同程度上接受了爱生学校原则，这部分归功于儿基会及合作伙伴的宣传。爱生学校办法将教育改革工作集中在一起，为政府提供改善教育质量的相关框架，有效促进各级利益攸关方的参与，促进以儿童为重点的教学模式，并鼓励教育工作者回应儿童的需要。除了在斯里兰卡看到的对学习成绩的积极影响，没有一致证据表明对学习成绩、复读或辍学率的影响。优先需要在今后几年内进行更多的影响评价。", "75. 评价结果发现，爱生学校方案规划在提供健康的学习环境(环境卫生和安全的厕所；饮用水)及为文化少数群体提供教育方面不那么成功。对残疾学生而言，尤其存在着公平问题，因为校长和教师普遍报告说，他们缺乏必要条件来满足有学习障碍或发展障碍的儿童的需要。作为全球评价的后续行动，澳大利亚援助国际组织支助儿基会教育单位开发了教师教育单元和资料袋，并开展了三项个案研究，以期提高残疾儿童的教育质量。管理层对国家一级评价的反应要求儿基会和合作伙伴在同样问题上采取纠正或新的规划战略(亚美尼亚和泰国)。", "76. 主要成果领域4：在紧急情况下和危机局势后恢复教育。儿基会于2009年在79个国家、2010年在98个国家参与了人道主义行动和危机后复原工作，教育方案规划在其中大多数行动和工作中占有突出位置。对当前中期战略计划的最大单项投资(荷兰，欧洲共同体予以补充)是紧急情况下和危机后过渡时期的教育方案，以期在39个国家和7个区域办事处扶助教育部门，抵御冲突和自然灾害对儿童获取优质教育可能带来的冲击。", "77. 2010年对紧急情况下和危机后过渡时期的教育方案的全球评价发现，紧急情况下和危机后局势中的教育质量有所改善，尽管对该方案的宗旨还缺乏一致认识。在原先寥寥无几或没有的地方建立了关爱儿童的保护型学校环境，而另一个方案为在危机期间失学的大孩子带来了弥补性的受教育机会。同时，评价发现，预防和准备的试点项目未得到妥善的跟踪了解(且无法为今后的努力提供参考)，监测和评价工作从整体上讲是薄弱的，有碍生成可信的评估和借鉴。此项评价还促使儿基会认真思考一个问题，即儿基会事关西非边境地区流离失所儿童的建设复原力主要举措之一的可持续性。", "78. 鉴于紧急情况下和危机后过渡时期的教育方案供资是对儿基会单项方案的最大捐助，此项评价还审视了管理大规模捐助的难题。评价结果表明了儿基会需要在哪些领域改善其管理、付款、监测和报告大量方案资金的系统。儿基会教育单位和其他主要单位正在落实一项管理方反应，采纳这些受托管理建议及有关方案规划的建议。", "79. 全球教育专题组是支持紧急情况下部门协调工作的一个机制，它是一项评价性的重要审查工作的焦点，目的是评估儿基会和拯救儿童联盟对专题组的共同管理。评价结果突出表明，代表不同部门的各组织(联合国系统和一个非政府组织)增加了现有协调难题的复杂性，即便订有互为强化的方案目标。这些难题的基本原因是对儿基会与拯救儿童联盟间的关系有着不同的期望，即这一关系应该是一个基于明确任务和职责分工的纯业务关系，还是一个不仅分担职责、而且分享资源及分担风险和问责的伙伴关系。在这一方面，审查结果显示，在过去缺乏平等，儿基会控制着资源，而拯救儿童联盟落实专题组日常工作的大部分，而且儿基会在信息分享方面也缺乏透明度和包容性。", "80. 不过，审查注意到了儿基会为积极解决若干此类关切问题而采取的行动，并提出了巩固这一进程的建议，例如，略为调整专题组的架构以增强问责制，确定评估共同领导职能的措施。儿基会教育单位和其他单位拟订了一项管理方反应。", "结论：基础教育和性别平等评价工作的充分之处和差距", "81. 总体而言，基础教育和性别平等方案领域的评价工作积极有力。由评价办公室管理，对每个主要成果领域都做了独立评价，覆盖了基础教育和性别平等大多数投资所在的最大方案。有强有力证据表明，正在努力从评价中吸取经验教训，把评价所得的知识融入方案。这方面最近的一个例子便是对“准备上学”的评价。", "82. 有充分的评价证据，足以据此得出一些系统的结论。例如，2009-2010年期间爱生学校全球评价和超过36项国家一级评价为爱生学校办法的有效性和有用性提供了结论性的证据。已查明的经验教训有一个连贯一致的主题：包容性和公平领域获得的成绩来自于为学校设施、人员、方案和学生做好准备而付出的有心努力。关于应对紧急情况和重建教育系统也有必要数量的证据。", "83. 虽说取得了这些成绩，但基础教育和性别平等方案规划的若干重要主题尚未反映于全球评价议程，这些主题包括儿基会参与国家教育部门规划和发展援助全部门办法所产生的增值；儿基会在加强教育系统方面的贡献和成效；儿基会在多大程度上成功发挥了四大全球伙伴关系在教育方案规划方面的作用。与其他方案部门的情况一样，基础教育和性别平等评价未提供关于方案效率方面的任何系统知识，部分原因是此类调查需要额外的资源和专门知识。", "84. 为改善教育评价的质量并增加利用评价结果的可能性，需要增加分配给每项评价的资源。儿基会国家办事处还应考虑与正在实施类似方案的其他发展伙伴(例如为全部门办法做贡献的其他成员)汇集资源并进行联合评价，以期向政府提供关于竞合方案解决办法的效率的证据。这种深入的全部门评价也将提供更好的基础，借以评估儿基会在教育部门的贡献，并借以在教育部门分享儿基会的经验教训。", "八. 决定草案", "85. 儿基会建议执行局核可以下决定草案：", "执行局，", "1. 表示注意到关于儿基会评价职能和主要评价工作的年度报告；", "2. 重申儿基会评价职能发挥的中心作用及儿基会评价政策(E/ICEF/2008/ 4)中所列原则的重要性；", "3. 欣见报告中所述的表明尤其是在权力下放层次正继续加强评价职能的证据，这有助于确保儿基会工作的问责制、透明度、成效和进一步改善；", "4. 表示注意到引入了跟踪了解评价制度成效的关键业绩指标；", "5. 欣见年度报告按专题介绍了近期评价成果；", "6. 注意到并鼓励儿基会：", "(a) 继续参与联合国系统内及更广泛的国际发展领域内的评价，包括对人道主义危机对策的评价，以期加强问责制、透明度、一致性、成效、学习和改进；", "(b) 继续努力，进一步增强国家伙伴的技能、能力和制度，更多注重南南学习；", "7. 请儿基会：", "(a) 确保拟定管理方反应以落实所有评价建议，并确保实施管理方反应中所列的商定行动；", "(b) 确保在拟订主要政策、战略和方案时系统地考虑和利用相关评价结果。", "附件1", "2010-2011年计划的和开展的中期战略计划评价和调研现状", "现状以下列方式表示：", "待行动：仍被认为有现实意义，但尚未采取行动", "动员：　工作范围已最后确定或正在拟定；正在调集资源", "实施中：实地工作正在进行或已经完成；正在进行分析", "完成：　最后报告已经提交；正在分发", "取代：　原有重点已转向经过调整的更优先事项", "标题 2011年6月现状 评注", "方案评价。确定对中期战略计划取得成功极为重要的方案规划战略是否(a) 有产生影响的证据基础，或(b) 正在切实高效地实施。", "1. 儿基会——荷兰政府幼儿发展方案评价(重点领域1) 完成", "2. 以社区为基础管理严重营养不良(重点领域1和3) 实施中", "3. 社区病例管理(肺炎、疟疾、腹泻)(重点领域1) 实施中", "4. 生活技能教育方案全球评价(重点领域2) 实施中", "5. 通过儿童对儿童方案更好地准备上学(重点领域2) 实施中", "6. 紧急情况下和危机后过渡时期的教育方案(重点领域2) 完成", "7. 机构间常设委员会紧急教育专题组的成效(重点领域2) 完成 由评价转换为审查该专题组的共同领导安排。已完成审查并提出了共同领导加强共同管理的建议。", "8. 促成有助于青少年预防艾滋病毒的社会和行为变化教育的评价(重点领域3) 待行动", "9. 团结为儿童、联合抗艾滋运动的评价(重点领域3) 完成", "10. 动员 多机构工作。转换为力度较轻的关于良好做法/所得经验教训的研究 武装冲突局势中严重侵犯儿童权利情况的监测和报告机制的全球评价(重点领域4)", "机构一级专题或业务成效评价。确定(a) 跨领域方案规划主题是否成功；或(b) 组织内部是否有效率。这些评价需要机构长期参与后精心制订的一套例子。", "1. 社区托儿中心的评价(重点领域2) 待行动", "2. 青少年发展和参与方面的方案规划领域组织业绩(重点领域5) 完成", "3. 基于人权办法的方案规划领域组织业绩(重点领域5) 实施中", "4. 海地地震人道主义危机第一年的反应 完成 独立审查儿基会对2010年海地地震的行动对策", "5. 机构间实时评价2010年海地人道主义反应(第一年) 完成", "[1] ^(*) E/ICEF/2011/13。", "[2] http://www.unicef.org/about/execboard/index.html。", "[3] 阿尔巴尼亚、佛得角、莫桑比克、卢旺达、坦桑尼亚联合共和国、乌拉圭和越南。", "[4] 儿基会全球评价报告监督系统：评价报告质量审查，国际组织发展公司(IOD PARC)，2011年3月。", "[5] E/ICEF/2010/10，附件二。", "[6] 儿基会执行主任的年度报告(E/ICEF/2011/9)中提供了儿基会在教育领域工作的最新总体情况。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "Item 5 of the provisional agenda*", "* E/ICEF/2011/13.", "Annual report on the evaluation function and major evaluations in UNICEF", "Summary", "This annual report has been prepared in accordance with the Evaluation Policy (E/ICEF/2008/4) and relevant Executive Board decisions (2008/4; 2008/22; 2009/18; 2010/16). The report provides information on global developments in evaluation, the current state of the evaluation function in UNICEF at country, regional and global levels and outlines progress in strengthening the decentralized evaluation function. It also contains a summary of selected major evaluations conducted at country, regional and global levels within focus area 2 (basic education and gender equality) of the medium-term strategic plan. A draft decision is included in final section of this report.", "Introduction", "1. The evaluation function helps to ensure that UNICEF has timely, strategically focused and objective information on the performance of policies, programmes and initiatives to produce better results for children and women. It contributes to both organizational learning and accountability. The UNICEF Evaluation Office provides leadership for the evaluation function throughout the organization. In addition, it commissions independent evaluations and undertakes inter-agency evaluations within the United Nations system and joint evaluations with other partners.", "2. This report is structured in eight parts. Section I describes major developments in United Nations system-wide evaluation coherence. Section II presents data and highlights from representative global evaluations. Section III presents actions and progress in strengthening the evaluation function, especially at a decentralized level. Section IV presents data from key performance indicators of the evaluation function. Section V describes UNICEF action in support of national evaluation capacity-building objectives. Section VI outlines the Evaluation Office workplan for 2012-2013. Section VII analyses the role of the evaluation function within the medium-term strategic plan (MTSP) focus area 2: basic education and gender equality. Section VIII contains a draft decision for consideration by the Executive Board.", "I. System-wide evaluation coherence", "3. UNICEF has an established history of engagement and leadership to strengthen accountability and coherence of the United Nations and international evaluation system. In recent years, the United Nations Evaluation Group (UNEG) has been the chief mode of managing this focus. UNICEF has maintained an instrumental role at UNEG, both in terms of advocacy for a strong evaluation function across the United Nations system and in leading UNEG’s substantive work in several areas. At the decentralized level, regional offices and country offices have been working together with other United Nations agencies: the Asia-Pacific Shared Services Centre chairs the United Nations Development Evaluation Group for Asia and the Pacific; a number of regions have joint initiatives with other United Nations agencies; and many country offices are supporting United Nations Development Assistance Framework monitoring and evaluation task forces.", "4. Over the past two years, UNICEF has had substantive involvement with areas of UNEG’s work:", "(a) The finalization and pilot testing of a guidance document on integrating gender equality and human rights in evaluation: this is developing core guidance to replace widely varied organizational approaches;", "(b) Promotion of impact evaluation and development of guidance on impact evaluation issues: this helps agencies choose among statistically driven and mixed method approaches;", "(c) Guidance on United Nations Development Assistance Framework (UNDAF) evaluations: this answers field demand for technical guidance to meet the evaluation accountability;", "(d) Formulation of a concept paper for United Nations system collaboration on national capacity development in evaluation: this sets the stage for collaborative United Nations work, as discussed in Section V;", "(e) Refining of norms and standards for evaluation function in the United Nations system: this updates the first UNEG product that helped ensure a consistent policy basis across disparate agencies.", "5. UNEG has proven a capable forum for establishing minimum standards and basic guidance. It has increasingly shown strength in leading or supporting complex systemic evaluations. It is now ready to undertake joint activities on national capacity development, and to address a wider range of evaluation issues, including evaluation of the United Nations normative role as well as its humanitarian work. However, UNEG is constrained by the weak evaluation capacity of many United Nations agencies and by the uneven monitoring and evaluation capacity of country teams.", "II. The UNICEF corporate evaluation agenda", "A. The integrated monitoring and evaluation framework of the medium-term strategic plan", "6. The integrated monitoring and evaluation framework (IMEF) contains commitments by UNICEF to conduct 15 corporate-level evaluations in 2010-2011. A resume of the IMEF evaluation results and management responses is available on the Executive Board website.[1]", "7. The summary status of progress in implementing IMEF evaluations at end May 2011 was: completed: 7 of 15; under-implementation: 5; mobilization: 1; pending (no action): 2. This result is considered a satisfactory implementation rate at this point in the biennium since some commitments normally carry over into year 3. Some have had the focus or rigor level adjusted. Those still pending are typically waiting for necessary resources such as partner presence or key staff. Only one is considered unlikely to begin this biennium. The details are given in annex 1.", "8. The individual IMEF evaluations are not summarized here. Two are discussed in section 7, and all completed ones are available online. More generally, this set of evaluations links with corporate learning priorities in the following ways:", "(a) It includes global evaluations in each MTSP focus area and also in cross-cutting issues;", "(b) It builds on the national and global impact measurement work of the UNICEF statistics section by exploring the causal relationships driving the impacts seen;", "(c) Each evaluation examines major institutional effectiveness issues, to help UNICEF become more efficient and effective;", "(d) Fostering effective partnership is a frequent key theme, including partnerships with national committees, other United Nations agencies, donor partners, and national stakeholders;", "(e) Four of the 15 evaluations were conducted jointly with other agencies;", "(f) At least 5 of the evaluations examined UNICEF work at the community level while others examined the work at upstream policy or global coordination levels;", "(g) Five of the evaluations are centred on humanitarian issues and others include some humanitarian aspects;", "(h) Although the agenda was developed before the equity re-focus emerged, virtually all the evaluations examine actions to reach the unreached or the underlying rights-based strategies and policies that guide corporate directions.", "B. Inter-agency and multi-partner evaluations: “Delivering as One”", "9. The country-led evaluation of seven of the “Delivering as One” pilot countries[2] was completed in late 2010 and provided valuable information on progress, challenges and lessons learned. Each country established and managed an autonomous evaluation of the five “Delivering as One” pillars (one plan, one leader, one house, one budgetary framework and one voice). UNICEF co-chaired the UNEG task force offering quality assurance. The country-led evaluations are being supplemented by a formal independent evaluation of the “Delivering as One” experience that is currently under way. Through UNEG, UNICEF is also contributing technical expertise to the independent evaluation.", "10. The “Delivering as One” pilot findings are available through the Executive Board website. In summary, the findings suggest that United Nations Coherence brought some improvements to the work of the United Nations. There is a greater degree of collaboration, a more unified interface with the Governments, a stronger mechanism to mobilize core resources, and some evidence of costs saved. However, “Delivering as One” also poses challenges. Agencies are required to engage in One United Nations processes without a commensurate reduction in agency-specific planning, review and reporting requirements. The process may lead to fear and uncertainty about the implication for staffing. Some United Nations staff feel that “Delivering as One” has added an additional layer of bureaucracy and transaction costs.", "C. Inter-agency and multi-partner evaluations: humanitarian response", "11. UNICEF and other agencies supported an Evaluation of the Common Humanitarian Funds, led by the Office of the Coordinator for Humanitarian Affairs (OCHA). This was a $1.3 billion effort to support responses to long-term emergencies in 3 countries. The evaluation, completed in early 2011, reviewed the processes, outcomes, operational effects and operational impact of the Common Humanitarian Funds. OCHA and the partners are formulating a management response.", "12. UNICEF, together with OCHA and the International Rescue Committee (representing all non-governmental organization [NGO] participants), co-managed an Inter-Agency Real-Time Evaluation of the response to the January 2010 earthquake in Haiti. A follow-up evaluation, focusing on issues of transition and national capacity development, is currently under way. The main UNICEF contribution to this second Inter-Agency Real-Time Evaluation is an inter-agency survey of the earthquake-affected population in Haiti based on a nationally representative sample, which UNICEF is managing on behalf of an inter-agency survey management group. This survey will yield vital impact data and also meet commitments to strengthening accountability to the affected population.", "13. A review of the global education cluster co-leadership arrangement between UNICEF and Save the Children is discussed in section VII.", "III. Strengthening evaluation within UNICEF", "Context and overall strategy", "14. Over 95 per cent of UNICEF-supported evaluations are authorized and managed in field offices, reflecting the decentralized nature of the organization. This ensures that evaluations generate contextually valid evidence, which is most likely to inform national policies for children. However, it also poses a managerial challenge to ensure that the field offices with their limited technical evaluation capacities actually produce good quality evaluations.", "15. The approach that has been agreed upon focuses on support to field offices from the Evaluation Office and from regional offices. These two levels are working jointly to strengthen the evaluation function in a number of areas: strengthening governance; enhancing strategic planning of evaluations; promoting and supporting the quality of evaluations; improving the use of evaluations and management responses; and strengthening internal evaluation capacity. A related initiative reported in the next section is the development of national evaluation capacity both to support the monitoring and evaluation needs of the UNICEF supported programme and to ensure adequate evaluation skills for a broad range of public and private-sector needs.", "16. This section highlights new information. Many initiatives reported in prior Executive Board reports remain operational but are not revisited here.", "Recent developments in support of the strategy", "A. Leadership and governance", "17. In compliance with Executive Board decision 2010/16, the Director post was recruited at the D-2 level. The selected candidate has an extensive management history in evaluation, and was most recently the Director of Evaluation at the African Development Bank. The Director reports to the Office of the Executive Director through the Deputy Executive Director (Management), and is supported by the Global Evaluation Committee, composed of the Executive Director, other senior leaders, regional directors, and an external expert. The Committee met in June 2010 and February 2011, and is scheduled to meet again in September 2011.", "18. At the regional level, senior leadership improvements were seen in Asia, where each regional office will have a dedicated evaluation officer (at the P-5 level), compared to the shared post at present. Regional evaluation committees composed of representatives and regional office leaders have been created in 4 of the 7 regions. These committees advise on regional evaluation priorities and on improving adherence to the evaluation policy. Of special note, the Regional Office for the Americas and the Caribbean has authorized a full review of the monitoring and evaluation function in the region, including post design and post levels, independence, staff skills, links with counterparts. By the end of 2012, a variety of recommendations will be presented that may bring major shifts in staffing patterns and responsibilities and the use of external centres of excellence. The Evaluation Office will support this review, as needed, and other regions will look for relevant lessons when planning their 2014-2015 efforts.", "19. At the country office level, there has been a steady increase in linking the evaluation function directly with senior management. In the Americas and the Caribbean, for example, 21 out of 24 country offices have the monitoring and evaluation specialist reporting to the Representative or Deputy Representative. In the West and Central Africa region, 9 out of 24 country offices have made the country management team led by the Representative responsible for the strategic selection of evaluations, rather than individual programme officers. However, there are also trends related to the monitoring and evaluation specialist function that bear watching. First, offices are increasingly combining the monitoring and evaluation function with other programme functions (e.g. social policy, knowledge management), which overloads monitoring and evaluation posts with too many responsibilities. Second, in some cases, the funding source is shifting from the support budget to other resources, without the funds in place to ensure that the post is filled. While these changes are allowed under the present policy, they clearly weaken the function. Ascertaining how widespread these changes are and preparing guidance on the issue will be a near-term priority.", "B. Enhancing strategic planning of evaluations", "20. As noted in the 2010 evaluation report, UNICEF issued a guidance note that described specific criteria for identifying priority topics for evaluation. Clearer guidance on the definition of evaluation was also developed, enabling UNICEF offices to better distinguish evaluations from surveys, studies and research. Substantial efforts to promote this guidance have since been made by all regional offices.", "21. UNICEF presently emphasizes two mutually reinforcing directives: (a) that every programme component in a country programme be the subject of at least one evaluation per country programme cycle, in compliance with the evaluation policy; and (b) that each evaluation topic be selected for its importance according to the prioritization criteria and be adequately resourced.", "C. Promoting and supporting the quality of evaluations", "22. Independent assessments of the quality of the evaluation work done can help guide offices and senior management toward improvements. The 2010 evaluation report described the establishment of a Global Evaluation Reports Oversight System (GEROS), in which an external independent company had been hired to rate UNICEF-managed evaluations against UNEG evaluation standards. The four objectives of GEROS and the present status are as follows:", "(a) Provide senior managers with an independent assessment of the quality of individual evaluation reports: successfully under way, all individual evaluations have a specific assessment;", "(b) Report on the quality of evaluations reports commissioned by UNICEF offices: a UNICEF-wide summary report was delivered in March 2011. A second report has already been commissioned to cover evaluations undertaken in 2010;", "(c) Strengthen internal evaluation capacity by providing commissioning offices with feedback, including practical recommendations on how to improve future evaluations: now being done for every completed evaluation sent to headquarters;", "(d) Contribute to corporate knowledge management and organizational learning by identifying evaluation reports of good quality to be used in meta-analyses: sector-specific meta-analyses and lessons learned exercises were supported in 2010-2011 in HIV-AIDS, education, and child protection.", "23. GEROS is now considered a core element of the quality assurance process and will be continued. Key indicators will be integrated into the new information system (VISION) for monitoring and reporting purposes.", "24. In addition, regional offices invest considerable efforts at all phases to improve quality. All regions have in place quality assurance systems which review the draft integrated monitoring and evaluation plans, draft terms of reference and draft evaluation reports. More engagement by regional sectoral advisors would add important support to these systems.", "D. Strengthening internal evaluation capacity", "25. As explained in earlier reports, multiple efforts to improve internal capacity are being undertaken at headquarters and the regional level. These can be briefly summarized as a combination of knowledge management efforts (e.g. web-enabled communities of practice, web seminars, a help desk function) and more conventional network meetings, study visits and training seminars.", "26. In addition, three further initiatives are planned. Building on the success of the web-based functions, UNICEF is developing an evaluation capacity development initiative which includes an online self-learning induction programme for new staff, as well as a training programme focusing on core skills (developing terms of reference, managing evaluations, writing evaluation reports, and developing management responses). Second, more attention will be paid in field offices to staff recruitment, job definition and structure, as well as to governance of the evaluation function. Third, the Evaluation Office is leading efforts to define how evaluation can support the equity approach. A guidance package is under development, which will be complemented by a virtual resource centre and a series of web seminars.", "E. Enhancing access to evaluations", "27. Coordinated efforts by the Evaluation Office and Regional Offices have increased the timely submission rate of evaluation reports to the global reports database, from about 20 per cent in 2009 to 76 per cent in 2010.", "IV. Key performance indicators", "28. The cumulative impact of the systemic strengthening work should be clear in the performance of the evaluation system. This section presents for the first time a consolidated set of key performance indicators based on recent experiments in measuring system performance.", "Indicator 1: Types of evaluations conducted", "29. This measures the relevance of the evaluations and the adherence to good design principles. It responds to Executive Board decision 2010/16 requesting UNICEF to report on the types of evaluations it conducts. A set of definitions were developed and, as part of the GEROS quality review, external consultants were asked to categorize the 96 reports under review. As this is a first effort, the findings are indicative and require cautious interpretation.", "A. Relevance", "30. The purpose of each evaluation was defined as the overarching goal stated in the evaluation report. The great majority of evaluations (88 per cent) verified the results of UNICEF-supported programmes versus just 11 per cent that examined policy results delinked from field-based programmes. As UNICEF moves “upstream” the policy numbers should increase. Within the 88 per cent, 30 per cent examined pilot programming to determine suitability for scaling-up versus 55 per cent examining the results of a programme at its maximum intended scale. This is a healthy ratio, as it shows continued programme innovation as well as priority attention to the more numerous “at-scale” programmes.", "31. The programme timing data showed that 44 per cent were formative evaluations designed for mid-course corrections versus 56 per cent investigating the results at the end of the programming period. This is a good balance of managerial and accountability intents.", "B. Scope", "32. More problematic findings emerge regarding correspondence with the MTSP. Fully 85 per cent of evaluations examined issues within just one MTSP focus area versus 15 per cent that examined two or more focus areas. This probably reflects the prevailing strong sectoral approach in UNICEF-supported programmes. Within the sectoral emphasis, 25 per cent examined cross-cutting issues (gender, human rights-based approach, knowledge management, communication for development) as a major focus. A much smaller set (5 per cent) specifically examined institutional effectiveness in programming — issues of supply, finance, human resources and planning. Efficiency concerns mean that institutional effectiveness analyses should be more prominent.", "33. Regarding the geographical dimension, fully 95 per cent of the evaluations had a national or subnational frame of reference, while 5 per cent were multi-country, regional or global. The prevalence of cross-border concerns and the utility of comparing national experiences would argue for more evaluations at larger scales. Of those with subnational and national frames of reference, the percentages for each category were almost exactly the same. This fits well with the equity agenda that examines the specific problems of lagging groups (subnational) while also pursuing results across the entire population (national).", "C. Independence and management", "34. It is assumed that the level of independence correlates with quality. Independent external evaluations assign control to evaluation professionals that are not at all affiliated with those being evaluated. This good practice occurred 46 per cent of the time. In contrast, independent internal evaluations (43 per cent) are managed by the division being evaluated using external consultants. Though more open to bias, the quality results were the same as the independent external evaluations. Only 5 per cent were self-evaluations by persons or units examining their own work and these were the poorest quality by far.", "35. Management arrangements can also influence quality. UNICEF consulted with others but was responsible for all aspects of the evaluation in 58 per cent of the cases. In just 1 per cent of cases, the work was co-managed with other United Nations agencies and in 17 per cent with other non-United Nations agencies. In contrast with the findings of prior meta-evaluations, joint efforts were of poorer quality on average. The next report will verify whether this is a trend to investigate. Some 7 per cent were country-led, which could be seen as a positive sign of national ownership. Quality was poorer, however, for the country-led and joint evaluations.", "36. This initial review of the types of evaluations conducted does not reveal major problems. However, UNICEF should also reflect on what the desired ratios should be, with a view to assessing where there is underinvestment or overinvestment.", "Indicator 2: Quality of UNICEF evaluations", "37. The GEROS quality review[3] discussed earlier examined a portfolio of 96 evaluations conducted by offices at all levels. Almost all were completed in 2009, so the results show the impact of quality improvement strategies of approximately 2004-2009.", "38. The essential findings are the following, with comparisons noted with the earlier 2002 meta-evaluation:", "(a) The percentage of evaluation reports rated as “good” quality rose from 20 per cent in 2002 to 36 per cent in 2010;", "(b) Reports rated as “average” or “adequate” quality were stable, at 47 per cent in 2002 and 49 per cent in 2010;", "(c) The percentage of poor quality reports fell from 33 per cent (2002) to 15 per cent (2010).", "39. These findings are largely consistent with the quality trends detected and reported to the Executive Board in the reports of 2006, 2008, and 2009. UNICEF is confident that these are real improvement trends.", "40. The most important substantive finding of the GEROS review was the following: “The central issue appears to be that [UNICEF] evaluators are far clearer about the theory of evaluation (purpose, objectives, methodology, data collection) than the processing and analysis of data that is generated”. The positive conclusion is that management is using evaluations to ask important questions and defining what is needed to answer them. Weaknesses are more generally found in evaluation implementation, in deriving meaningful results from the collected data, and in the uptake of lessons and recommendations.", "41. The quality review recommended that UNICEF prioritize building skills in developing high-quality terms of reference; develop and communicate an equity and human rights strategy for the evaluation function; invest in developing results frameworks for challenging thematic areas; and deliver extra support to country-led evaluations. A joint management response by headquarters and regional offices has been prepared.", "Indicator 3: Management response", "42. Executive Board decision 2008/4 mandated that all UNICEF evaluations have a management response. As described in the 2010 evaluation report, new guidance on management responses was developed and publicized, and a data base to receive the responses was developed. Submitting offices are also obligated to periodically update the actions taken versus the commitments made.", "43. Intense advocacy and oversight has caused a significant jump, to 47 per cent, in completed responses for evaluations completed in 2010 and submitted for quality review versus just 10 per cent before the guidance went into effect. Regional adherence varies widely, falling as low as 20 per cent.", "44. The rapid growth in compliance is encouraging. Further improvements are expected from two additional efforts: (a) quick feedback from the GEROS team to originating offices that can help to focus the management response; and (b) reminder messages to regional offices from senior management.", "V. National evaluation capacity development", "45. UNICEF has asked its field offices to intensify support to national evaluation capacity development, following recent Executive Board decisions. Many different efforts were discussed in prior reports and are not reiterated here. The major new efforts and results achieved in 2010 are described below.", "A. Guidance and policy", "46. In 2011, the UNEG Annual General Assembly endorsed the concept paper on “Possible roles for UNEG’s members in national evaluation capacity development”, developed by a UNEG task force co-led by UNICEF and the United Nations Development Programme (UNDP). The guidance focuses on (a) acting as a “knowledge broker” facilitating “South-South” generation and sharing of good practices on national evaluation systems; (b) promoting country-led evaluations and national evaluation systems, and (c) promoting the professionalization of evaluation and use of national capacity.", "47. A newly written internal framework, Evidence for Children: Developing National Capacities for Country-led Evaluation Systems, gives the rationale for engaging in national evaluation capacity development. It outlines actions to strengthen the enabling environment, develop institutional and individual capacities and foster cooperation among stakeholders. The guidance supports widespread activity in this area, as described below.", "B. Global learning", "48. To facilitate learning and knowledge sharing on country-led monitoring and evaluation systems, UNICEF and partners launched in 2010 an interactive Web 2.0 platform, MyM&E, to share knowledge on country-led monitoring and evaluation. The MyM&E system is open to everyone. Capacities include a reference centre with items contributed by members, including agencies like UNICEF, and live web seminars on development evaluation issues. For example, 2,100 participants attended 14 web seminars offered by the major participating agencies (UNDP, the World Food Programme, UN-Women, the International Labour Organization, the Rockefeller Foundation and global evaluation associations).", "49. UNICEF is increasingly supporting South-South learning. Three examples shall stand for the whole. The Asia-Pacific Shared Services Centre facilitated support to Maldives by Sri Lankan government officials in the conceptualization of a National Framework for monitoring and evaluation. The Central and Eastern Europe and the Commonwealth of Independent States Regional Office — in cooperation with the United Kingdom Department for International Development and the World Bank — facilitated an exchange of experience between the Governments of Tajikistan and Serbia, in order for the former to gather evidence and experience about inter-ministerial coordination, data flow mechanisms and the development of a poverty-reduction strategy monitoring and evaluation system. This contributed to the decision by the Tajikistan Committee on Statistics to make socio‑economic data freely accessible, and the Government decreed the establishment of monitoring and evaluation departments in all ministries. In Jordan, the Middle East and North Africa Regional Office facilitated sharing an Egyptian experience of developing a university-level evaluation diploma, and negotiations with Jordanian universities are ongoing to deliver a similar training programme there.", "C. Strengthening country-led monitoring and evaluation systems", "50. Mapping of national monitoring and evaluation capacity development initiatives implemented by UNICEF has shown that 120 UNICEF offices are strengthening the institutional capacity of Governments; 39 are strengthening an enabling national environment for evaluation; and 56 are developing capacities of government and partners’ staff. The following examples serve to illustrate these activities.", "51. In Kenya, UNICEF assisted the monitoring and evaluation Directorate of the Ministry of Planning, National Development and Vision 2030 in establishing the National Integrated Evaluation System as a key accountability framework. The system is now fully functional, producing periodic performance reporting, expenditure tracking surveys and sector reviews. In Uganda, UNICEF supported government efforts to further develop a nascent national monitoring and evaluation system. Recent efforts included conducting a diagnostic of the public sector monitoring and evaluation systems, focusing on a set of international benchmarks for public-sector results-based management. Following the study, a national monitoring and evaluation policy was issued by the Office of the Prime Minister.", "52. Country-led systems extend beyond the public sector. UNICEF has supported the establishment and professionalization of national, regional and international evaluation associations for many years. This continues, with efforts to move beyond the meetings, training events, and networking that still predominate. A major breakthrough was made by the Morocco Evaluation Association, which has attained credibility such that it is now invited to speak on evaluation matters in the public sphere. The latest milestone was the invitation by the Government to help enhance public accountability and evidence-based policy-making by contributing to the revision of the Constitution.", "VI. The UNICEF Evaluation Office workplan 2012-2013", "53. Executive Board decisions 2008/4 and 2008/22 requested that the biennial workplan of the UNICEF Evaluation Office be presented to the Executive Board. The UNICEF Evaluation Office workplan 2012-2013 defines 3 major contributions to UNICEF strategic goals.", "54. By providing global leadership in evaluation within UNICEF and the global developmental community, the Evaluation Office will elicit improvements in management engagement, investment and partnerships. This main internal objective is guiding the Office to fulfil its role within the renewed UNICEF focus on equity. Within inter-agency fora, emphases will include updating the norms and standards for the evaluation function, undertaking joint evaluations on critical common concerns like “Delivering as One”, and activating common approaches to national evaluation capacity development and UNDAF evaluations.", "55. By conducting independent corporate evaluations, the Office will provide credible evidence on the performance of UNICEF programmes, policies and strategies. Clusters of evaluations will be conducted in programmatic themes linked to the MTSP focus areas, in humanitarian programming, and in cross-cutting institutional effectiveness issues. The institutional effectiveness portfolio will incorporate as one part the tools and methods developed within the joint programme performance assessment pilot of the Evaluation Office and the Office of Internal Audit. The 2010-2011 evaluation agenda that had been presented to the Board[4] remains in effect, but will be updated later in 2011. It will be important to coordinate this with the new Office of Research to ensure complementarity.", "56. The Office provides leadership for systemic strengthening efforts by key stakeholders at the decentralized and global levels to meet their evaluation accountabilities. The improvement now being observed throughout the organization is expected to continue. The strategies of headquarters and regional offices discussed in section 4 will continue and expand (web-based connectivity, support to national evaluation capacity strengthening). A major objective is strengthening staff competence through enhanced staff recruitment, skills assessment strategies, and expanded learning options. A special emphasis will be placed on humanitarian monitoring and evaluation competencies following from weaknesses seen in multiple evaluations and reviews. Particularly strong links with regional office actions are planned for all systemic strengthening efforts.", "57. For 2012-2013, spending by the Evaluation Office is expected to be $13.7 million from all sources. This is zero growth from the present. The staff complement remains the same (seven professionals on the Biennial Support Budget).", "VII. Evaluation in basic education and gender equality (BEGE)", "58. Prior reports to the Executive Board have included a summary of various evaluations conducted by UNICEF offices in the preceding year. These summaries had neither thematic coherence nor cross-cutting analysis and did not attract the interest of Board members. This year’s report highlights evaluations from a single MTSP focus area: basic education and gender equality (BEGE). Following a brief introduction presenting data on the numbers of BEGE evaluations and studies and on BEGE evaluation expenditures, the major portion of this section reviews exemplary evaluations in each key result area (KRA) to determine whether they are generating relevant and useful knowledge.[5]", "Evaluations and expenditures in the BEGE focus area", "59. The strategic intent of BEGE is “to ensure that governments, communities and parents acquire the capacities and support necessary to fulfil their obligation to ensure the right of all children to free, compulsory quality education in all contexts, including humanitarian, recovery and fragile situations”. BEGE programme activities are organized to achieve results in four KRAs: (a) school readiness; (b) access to quality basic education; (c) improving education quality; (d) restoring education after emergencies.", "60. Table 1 below indicates that an estimated 195 evaluations and 433 studies and surveys were carried out in the BEGE programme area from 2006 to 2010 across all levels of UNICEF. This underrepresents the total, as some correlated evaluation efforts in other sectors are not counted (e.g. school water, sanitation and hygiene [WASH] services).", "Table 1: Number of BEGE evaluations by key result area and year", "Evaluations Studies\n BEGE Key result areas 2006 2007 2008 2009 2010 Total Total", "KRA 1 — School readiness 1 5 4 5 1 16 27", "KRA 2 — Access to quality 10 16 15 19 5 65 194 basic education", "KRA 3 — Improving 21 26 21 23 16 107 205 education quality", "KRA 4 — Education after 1 1 1 1 3 7 17 emergencies", "Total number of 33 48 41 48 25 195 443 evaluations/studies", "61. The numbers basically align with programme spending. For example, KRA 3 consumes about 48 per cent of education funds and conducted 55 per cent of the evaluations. The small percentage of education in emergencies evaluations is not worrisome as the uncounted multisectoral humanitarian evaluations normally include education.", "62. UNICEF spent about 21 per cent of its programme budget on BEGE in 2009-2010, or $1.3 billion. Table 2 indicates how much of this was spent on evaluations and on studies and surveys, and also presents these as a percentage of funds spent on programmes.", "Table 2: BEGE programme and evaluation expenditures by region", "Combined 2009-2010 BEGE expenditures\n Region Programmes in Evaluations in Studies and US$ millions US$ millions surveys in US$ (percentage of millions programme (percentage of expenditures) programme expenditures)", "Eastern and Southern 333.0 1.7 (0.5) 9.0 (2.8) Africa", "South Asia 264.1 0.6 (0.2) 4.9 (1.9)", "West and Central Africa 243.8 1.2 (0.5) 11.5 (4.7)", "Middle East and North 205.7 0.2 (0.2) 4.6 (3.6) Africa", "East Asia and Pacific 185.7 0.2 (0.1) 2.3 (1.4)", "The Americas and 109.7 0.3 (0.2) 2.7 (2.3) Caribbean", "Central and Eastern 42.0 0.1 (0.3) 1.8 (4.3) Europe and the Commonwealth of Independent States", "UNICEF headquarters 18.7 2.3 (12.0) Not available", "63. UNICEF has previously reported that an average of 0.33 per cent of programme funds is used for evaluations. Just 2 of the 7 regions reach this very low percentage in BEGE. By contrast, studies and surveys and related research were more than 10 times larger than the evaluation spending.", "64. These data are not contextualized enough to permit firm conclusions, but the following propositions warrant further study. Firstly, based on the relatively high expenditures on studies and surveys, UNICEF is making the necessary investments to testing solutions before they are packaged into programmes. This will be co‑examined with the new Office of Research. Secondly, BEGE may be conducting enough evaluations (there is no firm metric) but, given the fact that BEGE evaluation spending is lower than the UNICEF average, it is probably not spending enough on each one. Thirdly, the high expenditure on global evaluations conducted at the headquarters level reflects the level of effort required to prepare rigorous evaluation designs, the scale of multi-country case studies, and the costs of experienced international and national evaluators.", "Generating useful knowledge: lessons from select findings", "65. This section includes findings from both global and national level BEGE evaluations. The global evaluations fairly represent the full set conducted in 2008-2010. As more than 90 per cent of evaluations are managed by UNICEF country offices, those cited in this report are a small and perhaps unrepresentative sample. However, they illustrate the kind of evidence and lessons generated. All of them were rated as “good” by the external quality review, and illustrate how the evaluation function can fulfil the role asked of it for learning, management decision-taking, and accountability.", "66. Key results area 1: Improving children’s developmental readiness and starting school on time. This KRA includes two global evaluations listed in the MTSP IMEF. In 2009/2010 the education section implemented a multi-country pilot of Getting Ready for School, a school readiness approach using structured learning to prepare children to enter primary school, and to prepare schools to receive younger children. In the pilot of the child-to-child approach, some 9000 preschool-aged children in six countries (Bangladesh, China, Democratic Republic of the Congo, Ethiopia, Tajikistan and Yemen) attended learning/play sessions facilitated by 2,000 “young facilitators”, mostly older siblings of one or more learners in the group. An evaluation of the first year of the pilot found that there was a significant positive impact on on-time enrolment in Grade 1 in countries facing significant challenges to achieving universal primary education. Only China, which already had very high rates, did not show a significant impact. Other positive programme effects included increased parental support and participation in children’s learning, and positive attitudes by young facilitators towards their own learning. However, the programme did not register the expected gains in terms of pre-primary literacy and numeracy skills. The evaluation is currently following-up with a comparison of the Grade 1 learners who participated in programme and the control group to see if there are differences in completion, class participation and learning.", "67. In the second global evaluation, a multi-country evaluation of the early childhood development (ECD) programme supported by the Government of Netherlands found that in all sampled countries (Cambodia, Ghana, Nepal and Tanzania), access to and coverage of ECD or pre-primary services has increased significantly. In all cases, ECD programming supported by UNICEF was found to be aligned with priorities for pre-primary education as expressed in national policies or government development plans. The evaluation also found that early learning and development standards have either been endorsed as a vital tool to define and monitor quality of ECD services or developed and implemented in all countries.", "68. The evaluation also revealed some shortfalls. While some guidance for budgeting costs for ECD was developed, serious knowledge gaps were identified on costing and financing of ECD services. Data and monitoring problems include an absence of data on children’s developmental progress due to ECD participation (Ghana) and weak data systems for planning and managing ECD activities and services (Nepal and Tanzania). Evidence on the sustainability of ECD programmes showed that governments had taken policy decisions to mainstream ECD into formal education systems but were not preparing adequate plans or budgets for scaling up.", "69. Key results area 2: Reduce disparities and increase access and completion of quality basic education. While many more countries have made commitments towards educating their citizens, differential access to education remains a pervasive issue in most. KRA 2 focuses on providing more equitable access to education, especially for girls, for ethnic, linguistic or cultural minorities, and for out-of-school youth. It also focuses on influencing quality by attempting to mitigate factors that cause children to drop out of school.", "70. One highly rated country-level evaluation examined education projects in the Osterode refugee camp for Kosovars in Romania. It found improvements in perceptions about schooling and willingness of children to attend school, an improvement in learning performance due to homework tutoring, heightened parenting skills and practices, and relatively good knowledge on environmental health, focused on a serious lead poisoning threat. Other evaluations involving vulnerable populations occurred in Uganda (alternative primary schooling for children of the Karamoja nomadic minority), Romania (access for Roma minority children), and China (access by children of internal migrant workers).", "71. The Armenian school system is introducing “inclusive education” for children with disabilities. An evaluation showed inclusive schools were successfully changing attitudes and increasing services for students with disabilities. However, schools were found to have a very limited selection of “inclusive” practices that did not reach all types of disabilities or all needs of disabled children. As part of the broader UNICEF engagement with disability issues following the approval of the global convention, it is expected that both preparatory studies and evaluations will increase sharply in coming years.", "72. Multilateral instruments and partnerships are critical for KRA 2 success, including the Education for All Fast Track Initiative, the School Fees Abolition Initiative, United Nations Girls’ Education Initiative (UNGEI), Out-of-School Children Initiative, and sector-wide financing mechanisms. UNICEF has led or participated in joint evaluations for these initiatives and entities. An evaluation presently under way is the formative evaluation of the UNGEI partnership. It is asking if the partnership model increases efficiency and effectiveness, and if countries taking advantage of UNGEI-generated knowledge arrive at better solutions for improving girls’ education.", "73. Key results area 3: Support to improve education quality, school retention, completion, and achievement rates. UNICEF education quality improvement work is organized around the child-friendly schools (CFS) model. CFS approaches are cross-sectional, promoting and integrating quality with equity in WASH facilities, school design, HIV prevention and life-skills education, school feeding, disaster-risk reduction, gender equity and alternative forms of discipline. CFS initiatives address both structural factors (availability of safe classroom spaces and absence of qualified teachers) and teaching methods (adjusting traditional methodologies that do not cater to students’ individual learning styles) that impede access to quality education.", "74. CFS forms a major education programme component in many countries, which results in many evaluations. CFS approaches have also been evaluated through an independent global evaluation featured in the 2010 Executive Board report, and its findings recur regularly in country-level evaluations. Ministries of education embrace CFS principles to varying degrees, in part due to the advocacy of UNICEF and partners. CFS approaches bring education reform efforts under one umbrella, provide governments with a relevant framework for improving education quality, effectively engage stakeholders at all levels, foster child-focused teaching and learning, and encourage educators to respond to the needs of the child. There is no consistent evidence of an impact on learning achievement, repetition or drop-out rates other than positive effects on learning achievement seen in Sri Lanka. Undertaking more impact evaluations is a priority need in coming years.", "75. The evaluations identified that CFS programming has been less successful in providing healthy school environments (sanitary and safe latrines; potable water) and providing education to cultural minorities. Equity concerns are registered especially for students with disabilities, as school heads and teachers reported overwhelmingly that they are not equipped to meet the needs of children with learning or developmental disabilities. As follow-up to the global evaluation, Australian Aid International has supported the UNICEF Education Section in developing a teacher education module and resource kit and in undertaking three case studies to improve educational quality for children with disabilities. Management responses to country-level evaluations commit UNICEF and partners to corrective or new programming strategies on the same issues (Armenia and Thailand).", "76. Key result area 4: Restoring education in emergencies and post-crisis situations. UNICEF was involved in humanitarian action and post-crisis recovery in 79 countries in 2009 and in 98 countries in 2010. Education programming featured in most of these. The largest single investment in the current MTSP (the Netherlands, complemented by the European Community) has been the Education in Emergencies and Post-Crisis Transition (EEPCT) programme to bolster the education sector in 39 counties and 7 regional offices against the shocks that conflict and natural disasters can inflict on children’s access to high-quality education.", "77. A global evaluation of the EEPCT programme in 2010 found that education quality in emergencies and post-crisis settings had improved, although there was a lack of consistent understanding of the program’s objectives. Child-friendly and protective school settings were found where there had been few or none, and another programme brought remedial educational opportunities to older children who had missed out on their education during the crisis. At the same time, the evaluation found that prevention and preparedness pilots had not been tracked adequately (and cannot inform future efforts) and that monitoring and evaluation as a whole were weak, impeding the generation of credible assessment and learning. The evaluation also prompted UNICEF to think critically about the sustainability of one of its key resilience-building initiatives for displaced children in the border areas of West Africa.", "78. As EEPCT funding was the largest-ever contribution to a single UNICEF programme, the evaluation also shed light on the challenges of managing large-scale contributions. The evaluation shows where UNICEF needs to improve its systems for managing, disbursing, monitoring and reporting on large programmatic funds. The UNICEF education section and other key divisions are implementing a management response to take these fiduciary management recommendations on board, alongside those related to programming.", "79. The Global Education Cluster, a mechanism for supporting sectoral coordination in emergencies, formed the focus of a major evaluative review to assess the cluster’s co-management by UNICEF and Save the Children. The evaluation highlighted that organizations representing different sectors (the United Nations system and an NGO) heighten the complexity of existing coordination challenges even when there are mutually reinforcing programme objectives. Underpinning these challenges have been divergent expectations as to whether the relationship between UNICEF and Save the Children should be a purely transactional one, based on identifying tasks and dividing up responsibilities between them, or a partnership in which both not only share responsibilities, but also resources, risks and accountabilities. In this vein, the review points to a lack of parity in the past, in which UNICEF controlled resources while Save the Children carried out much of the day-to-day work of the cluster, coupled with a lack of transparency and inclusion in information-sharing on the part of UNICEF.", "80. The review notes UNICEF action to actively redress a number of these concerns, however, and offers suggestions for consolidating this progress — for example, by slightly modifying the cluster’s architecture for enhanced accountability and by identifying measures to assess co-leadership functionality. A management response has been prepared by the UNICEF Education Section and other divisions.", "Conclusion: sufficiencies and gaps in the BEGE evaluations", "81. Overall, the BEGE programme area has had a robust evaluation agenda. Independent evaluations managed by the Evaluation Office have been conducted for every KRA, covering the largest programmes, where the majority of the BEGE investment goes. There is strong evidence of efforts to learn from evaluations and to integrate learning generated through evaluations into programmes. The most recent example of this is the Getting Ready for School evaluation.", "82. Sufficient evaluation evidence is available to permit some systemic conclusions. For instance, the CFS global evaluation and more than 36 country-level CFS evaluations in 2009-2010 provide conclusive evidence about the efficacy and utility of CFS approaches. Lessons identified have a coherent theme: successful gains in inclusiveness and equity come from a deliberate effort to prepare school facilities, personnel, programmes and learners. A critical mass of evidence is also available on responding to emergencies and reconstructing educations systems.", "83. These successes notwithstanding, a number of important BEGE programming themes are yet to be reflected in the global evaluation agenda. These include the added-value of UNICEF involvement in national education-sector planning and in sector-wide approaches to development assistance; the organization’s contribution and effectiveness in education systems strengthening; and the extent to which UNICEF has been successful in leveraging the four major global partnerships in education programming. As is the case with other programme sectors, BEGE evaluations have not offered any systematic learning on programme efficiency, partly because of the additional resources and expertise that these types of investigations entail.", "84. To improve the quality of education evaluations and increase the likelihood of utilization of evaluation results, it will be necessary to increase the level of resources allocated to each evaluation. UNICEF country offices should also consider pooling resources and conducting joint evaluations with other development partners (for example other members that contribute to sector-wide approaches) who are working on similar programmes to provide governments with evidence on the efficacy of competing programme solutions. Such in-depth sector-wide evaluations would also provide a better basis for assessing the contribution of UNICEF within the education sector, and for sharing across the sector lessons from the organization’s experience.", "VIII. Draft decision", "85. UNICEF recommends that the Executive Board approve the following draft decision:", "The Executive Board", "1. Takes note of the annual report on the evaluation function and major evaluations in UNICEF;", "2. Reaffirms the central role played by the evaluation function in UNICEF and the importance of the principles set out in its Evaluation Policy (E/ICEF/2008/4);", "3. Welcomes the evidence presented in the report of continued strengthening of the evaluation function, especially at the decentralized level, which contributes towards ensuring accountability, transparency, effectiveness and further improvement in the work of UNICEF;", "4. Takes note of the introduction of key performance indicators tracking the effectiveness of the evaluation system;", "5. Welcomes the thematic presentation of recent evaluation results in the annual report;", "6. Notes and encourages UNICEF to:", "(a) Sustain its engagement on evaluation within the United Nations system and more widely within the field of international development, including evaluation of the response to humanitarian crises, with a view to strengthening accountability, transparency, coherence, effectiveness, learning and improvement;", "(b) Sustain efforts to further strengthen the skills, capacities and systems of national partners, giving increased attention to South-South learning;", "7. Requests UNICEF to:", "(a) Ensure that management responses are prepared to address all evaluation recommendations, and to ensure implementation of agreed actions set out in such management responses;", "(b) Ensure that relevant evaluation results are systematically considered and used in preparing key policies, strategies and programmes.", "Annex 1", "Status of medium-term strategic plan (MTSP) evaluations and research planned and conducted, 2010-2011", "Status definitions:", "Pending: Still considered relevant but no action has been taken", "Mobilization: Terms of reference finalized or under design; resources being gathered", "Implementation: Field work under way or complete; analysis in process", "Completed: Final report delivered; dissemination under way", "Superseded: Original emphasis has shifted to a modified, higher priority", "Title\tStatusatJune2011 Comment\nProgrammaticevaluations. Determineif a programmingstrategy central toMTSP success has (a) anevidence basis ofimpact; or (b) is beingimplemented with highlevels ofeffectiveness. \n1. Evaluation of theUNICEF-Governmentof Netherlandsearly childhooddevelopmentprogramme(Focus area 1)\tCompleted \n2. Community-basedmanagement ofsevere acutemalnutrition(Focus areas 1and 3)\tImplementation \n3. Community casemanagement(pneumonia,malaria, diarrhoea)(Focus area 1)\tImplementation \n4. Global evaluationof the life-skillseducation programme(Focus area 2)\tImplementation \n5. Enhancing schoolreadiness throughchild-to-childprogrammes(Focus area 2)\tImplementation \n6. Education inEmergencies andPost-crisisTransitionprogramme(Focus area 2)\tCompleted \n7. Effectiveness ofthe Inter-agencyStanding CommitteeCluster forEmergency Education(Focus area 2)\tCompleted Evaluation was convertedto a review of thecluster’s co-leadershiparrangement. The reviewwas completed andrecommendations made toenhance co-management bythe co-leads.\n8. Evaluation offostering socialand behaviouralchange related toHIV prevention inadolescents(Focus area 3)\tPending \n9. Evaluation of theUnite For Children,Unite Against AIDSCampaign (Focusarea 3)\tCompleted \n10. Global evaluationof the monitoring andreporting mechanismon grave child rightsviolations insituations of armedconflict (Focus area4)\tMobilization Multi-agency effort.Converted to a lessrigorous good practices/lessons learned study\nCorporate-level topicalor operationaleffectivenessevaluations. Determineif (a) thecross-cuttingprogramming theme issuccessful; or (b) theorganization isinternally efficient.These require awell-developed set ofexamples from lengthycorporate engagement. \n1. Evaluation ofcommunity-basedchild care centres(Focus area 2) Pending\t\n2. Organizationalperformance inadolescentdevelopment andparticipationprogramming(Focus area 5) Completed\t\n3. Organizationalperformance inhuman rights-basedapproach toprogramming. (Focusarea 5) Implementation\t\n4. Year 1 Response tothe HaitiEarthquakeHumanitarian Crisis Completed\tIndependent Review ofUNICEF’s OperationalResponse to the 2010Earthquake in Haiti.\n5. Inter-agencyReal-TimeEvaluation ofHumanitarianResponse 2010.(1) Haiti Completed", "[1] http://www.unicef.org/about/execboard/index.html.", "[2] Albania, Cape Verde, Mozambique, Rwanda, United Republic of Tanzania, Uruguay and Viet Nam.", "[3] UNICEF Global Evaluation Reports Oversight System: Quality Review of Evaluation Reports, IOD PARC, March 2011.", "[4] E/ICEF/2010/10/Annex II.", "[5] A general update on UNICEF work in education was provided in the Annual Report of the Executive Director (E/ICEF/2011/9)." ]

[ "15998", "United Nations Children's Fund", "The Executive Board", "Second regular session 2009", "12-15 September 2011", "Item 5 of the provisional agenda", "Annual report on evaluation functions and major evaluations of UNICEF", "Summary", "The present annual report is prepared in accordance with the evaluation policy (E/ICEF/2008/4) and the relevant decisions of the Executive Board (No. 2008/4; No. 2008/22; No. 2009/18; No. 2010/16). The report provides information on the global developments in the evaluation process, the status of UNICEF evaluation functions at the national, regional and global levels, and outlines progress in strengthening decentralized evaluation functions. The report also outlines a number of key assessments at the national, regional and global levels, within the focus area of the MTSP,2 basic education and gender equality. The final section of the report is a draft decision.", "Introduction", "Evaluation functions contribute to ensuring that UNICEF receives timely, strategic focus and objective information on the implementation of policies, programmes and initiatives and achieve better results for children and women. This function promotes the Organization's learning and accountability. The UNICEF Evaluation Office is responsible for leading evaluation functions across the organization. In addition, it commissioned independent evaluations and was responsible for inter-agency evaluations within the United Nations system and joint evaluations with other partner agencies.", "The present report is divided into eight parts. Section I presents significant progress in United Nations system-wide evaluation coherence. Section II presents representative global evaluation data and highlights. Section III presents enhanced evaluation functions, particularly at the decentralized level. Section IV presents data on key performance indicators for evaluation functions. Section V describes actions undertaken by UNICEF to support national evaluation of capacity-building objectives. Section VI outlines the workplan for the Evaluation Office for the period 2012-2013. Section VII analyses the role of evaluation functions in the MTSP focus area 2: basic education and gender equality. Section VIII contains a draft decision for consideration by the Executive Board.", "System-wide evaluation coherence", "UNICEF has been active and leading to strengthening accountability and coherence in the United Nations and the international evaluation system. In recent years, the United Nations Evaluation Group is the main model for managing this focus. UNICEF has been playing an active role in the United Nations Evaluation Group, advocating for enhanced evaluation functions across the United Nations system and leading substantive work in several areas of the Evaluation Group. At the decentralization level, regional offices and country offices work with other United Nations agencies: the Asia-Pacific Information Centre chaired the United Nations Development Evaluation Group in Asia and the Pacific; a number of regional joint initiatives with other United Nations agencies; and a number of country offices support the monitoring and evaluation task forces of the United Nations Development Assistance Framework.", "In the past two years, UNICEF has been substantively involved in the work of the United Nations Evaluation Group:", "(a) Finalize and pilot the incorporation of gender equality and human rights in evaluation guidance documents: this is the establishment of core guidance to replace a wide range of organizational approaches;", "(b) Promote impact evaluation and develop guidance on impact evaluation: This would help agencies to choose a statistical mix of approaches;", "(c) Evaluation guidance from the United Nations Development Assistance Framework (UNDAF) that responds to the need for technical guidance in the field for the implementation of evaluation accountability;", "(d) Preparation of the concept paper on national evaluation capacity development cooperation of the United Nations system: this set scope for United Nations cooperation, as detailed in section V;", "(e) Improving the norms and standards of the evaluation function of the United Nations system: updating the first product of the Evaluation Group to help ensure policy coherence among different agencies.", "The evaluation team has proved to be a forum in which minimum standards and basic guidance are established. It increasingly shows the strength of leading or supporting the evaluation of complex systems. The Panel is ready to undertake joint activities to develop national capacities to address broader evaluation issues, including the normative role of the United Nations and its evaluation of humanitarian assistance. However, the evaluation team is constrained by the weaker evaluation capacity of many United Nations agencies and the uneven monitoring and evaluation capacity of the country team.", "UNICEF institutional evaluation agenda", "Comprehensive monitoring and evaluation framework of the medium-term strategic plan", "The integrated monitoring and evaluation framework (the evaluation framework) includes the commitment of UNICEF to undertake 15 institutional-level evaluations in 2010-2011. Evaluation findings and management responses to the evaluation framework at the Executive Board website [2].", "As at the end of May 2011, a summary of the status of progress in the implementation of the evaluation was as follows: 15 evaluations were completed, 7 were completed; 5 were implemented; 5 were mobilized, 1; pending action (non-actions), two. At this stage of the biennium, this result could be seen as a satisfactory rate of implementation, as some commitments are usually undertaken to the third year. Some evaluations focus or focus have been adjusted. Actions are usually pending the necessary resources, such as partners or key employees. Only one evaluation was considered unlikely to start in the biennium. For further information, see annex 1.", "Individual evaluation frameworks are not shown here. Two were discussed in section 7, all completed online access. In summary, the evaluation is linked to institutional learning priorities, as follows:", "(a) It includes a global evaluation of each MTSP focus area and cross-cutting issues;", "(b) Based on its national and global impact measurement efforts in the UNICEF statistical sector, it explores the causes and consequences of the impact;", "(c) Each evaluation reviews key institutional effectiveness and helps UNICEF enhance efficiency and effectiveness;", "(d) Promote effective partnerships, a common key theme, including partnerships with national commissions, other United Nations agencies, donors and national stakeholders;", "(e) Four of the 15 evaluations are conducted jointly with other agencies;", "(f) At least five evaluations reviewed the work of UNICEF at the community level, while others reviewed the work of the downstream policy or the global coordination dimension;", "(g) Five evaluations focus on humanitarian issues, including some humanitarian aspects;", "(h) While the agenda has been formulated before the focus of equity, almost all evaluations have reviewed actions to help those who have not yet been able to receive help or lead institutions, strategies and policies based on fundamental rights.", "Evaluation of inter-agency and multi-partners: “Delivering as One”", "The seven Delivering as One pilot countries [3] have been completed by the end of 2010, providing valuable information on progress, challenges and lessons learned. Each country has established and managed five DaO pillars (a plan, a leadership, an institution, a budget framework and a voice). UNICEF co-chairs the Evaluation Group Task Force to provide quality assurance. As a supplement to the country-led evaluation, an official independent evaluation of “Delivering as One” experience is under way. Through the Evaluation Group, UNICEF also provided technical expertise to facilitate independent evaluation.", "The Delivering as One pilot results are presented on the Executive Board website. Overall, the evaluation results suggest that “United Nations coherence” brings some improvement to the work of the Organization. Enhanced cooperation, improved communication with Governments, strengthened mechanisms for mobilizing core resources and evidence of some savings. However, “Delivering as One” poses challenges. Agencies are required to participate in the “One United Nations” process, but there is no corresponding reduction in the planning, review and reporting requirements of specific institutions. This process could lead to fear and uncertainty about staffing. Some United Nations staff felt that “Delivering as One” adds to bureaucratic and operational costs.", "C. Evaluation of inter-agency and multi-partners: humanitarian response", "UNICEF and other agencies support the evaluation of the Joint Humanitarian Fund led by the Office for the Coordination of Humanitarian Affairs (OCHA). The Fund is a work worth $1.3 billion to support responses to long-term emergencies in three countries. The evaluation was completed in early 2011 and reviewed the process, results, operational effectiveness and impact of the Common Humanitarian Fund. OCHA and partners are developing a management response.", "UNICEF, together with OCHA and the International Rescue Committee (on behalf of all non-governmental organizations), jointly manages an inter-agency real-time evaluation of Haiti's earthquake response in January 2010. Follow-up evaluations focusing on transition and development of national capacities are under way. The main contribution of UNICEF to this second inter-agency real-time evaluation is to conduct cross-agency surveys of the population affected by the earthquake in Haiti, based on a sample of national representation, and UNICEF is managing the survey on behalf of the Inter-Agency Survey Management Group. This survey will result in significant impact data and will also be committed to greater accountability for the affected population.", "Section VII addresses the review of the global leadership arrangement between UNICEF and the “Save the Children”.", "Enhanced internal evaluation of UNICEF", "Background and overall strategy", "More than 95 per cent of UNICEF-supported evaluations are mandated and managed by field offices, reflecting this team.", "The nature of decentralization. This ensures that evaluation can result in effective evidence that is in line with reality and is likely to affect national child policies. However, it also puts management challenges and needs to ensure that field offices with limited technical evaluation capacity deliver high-quality evaluation findings.", "The agreed methodology focuses on the support of the Evaluation Office and regional offices for field offices. The two levels cooperate in strengthening evaluation functions in a number of areas: strengthening governance; strengthening strategic planning for evaluation; promoting and supporting quality of evaluation; better use of evaluation and management responses; and strengthening internal evaluation capacity. One of the relevant initiatives reported in the next section is the development of national evaluation capacities to support both the monitoring and evaluation needs of programmes supported by UNICEF and, on the other hand, to ensure adequate evaluation skills to meet the needs of a wide range of public and private sectors.", "The present section highlights new information. Many of the initiatives outlined in the previous report of the Executive Board are still being implemented and are no longer repeated.", "Strategic support", "Leadership and governance", "Pursuant to Executive Board decision 2010/16, the post of Director is at the D-2 level. The selected candidates had a wealth of evaluation management experience and had recently been the director of the African Development Bank evaluation. The Director reported to the Office of the Executive Director through the Deputy Executive Director (Management) and was supported by the Global Evaluation Committee, composed of the Executive Director, other senior leaders, regional directors and external experts. The Global Evaluation Committee met in June 2010 and February 2011 and is scheduled to meet again in September 2011.", "At the regional level, the high-level leadership in Asia has improved, and each regional office will have a dedicated evaluation officer (at the P-5 level), while there are currently other positions. Four of the seven regions have established regional evaluation committees composed of representatives and regional offices. These committees provide advice on matters such as regional evaluation priorities and improved policy coherence. In particular, the Americas and the Caribbean Regional Office has mandated a comprehensive review of the monitoring and evaluation functions in the region, including post design and post levels, independence, staff skills, linkages with counterparts. By the end of 2012, various proposals would be put in place, which could lead to significant changes in staffing, responsibilities and use of external centres. The Evaluation Office will support this review, and other regions will also draw on relevant lessons learned in planning work between 2014 and 2015.", "At the country office level, evaluation functions are increasingly linked to senior management. For example, in the Americas and the Caribbean region, 21 of the 24 country offices have monitoring and evaluation experts to report to delegates or deputy representatives. In West Africa and Central Africa, 9 of the 24 country offices have strategic options for evaluation, which are led by national management teams, rather than by individual programme personnel. However, there are also some trends in monitoring and evaluating the functions of experts. First, offices increasingly combine monitoring and evaluation functions with other programme functions (e.g. social policy, knowledge management) so that monitoring and evaluation posts are disproportionate. Secondly, in some cases, the source of funds has been transferred from the support budget to other resources without funding to ensure that posts are in place. Although this change is permitted under existing policies, it clearly weakens the function. A recent priority will be to determine whether these changes are widespread and to develop guidance on this issue.", "Enhanced strategic planning for evaluation", "As noted in the 2010 evaluation report, UNICEF issued instructions setting specific criteria for the prioritization of evaluations. More clear guidance on definitions of evaluation has also been developed to enable UNICEF offices to better identify surveys, analyses and research and evaluation. Subsequently, the guidelines were widely promoted by regional offices.", "At present, UNICEF stresses two complementary instructions: (a) each programme component of the country programme is required to conduct at least one assessment in accordance with the evaluation policy within each programme cycle; and (b) to select each evaluation theme and to allocate sufficient resources in accordance with the criteria for prioritization.", "C. Promoting and enhancing the quality of evaluation", "An independent assessment of the quality of completed evaluations could help guide the continuous improvement of offices and senior management. The 2010 evaluation report provided information on the establishment of the global evaluation reporting monitoring system and engaged an external independent company to assess the evaluation of UNICEF management in accordance with evaluation criteria. The four objectives and status of the global evaluation reporting oversight system are as follows:", "(a) Provision of an independent assessment of the quality of evaluation reports to senior management: a successful exercise and all evaluations have specific assessments;", "(b) Report on the quality of evaluation reports commissioned by UNICEF offices: summary report by UNICEF as a whole was delivered in March 2011. The second report was commissioned to assess the evaluation carried out in 2010;", "(c) Enhance internal evaluation capacity by providing feedback to the mandated units, including practical recommendations on how to improve future evaluations: now, each completed evaluation to be sent to Headquarters;", "(d) Promote institutional knowledge management and organizational learning by identifying quality evaluation reports for metadata: In 2010-2011, there was support in the area of HIV and AIDS, education and child protection for the analysis and lessons learned in specific sectors.", "The global evaluation reporting oversight system is now considered a core element of the quality assurance process and will continue to be implemented. The main indicators will be included in the new monitoring and reporting information system.", "In addition, regional offices have made considerable efforts to improve quality at all stages. All regions have implemented the quality assurance system to review the draft integrated monitoring and evaluation plans, drafting terms of reference and evaluation reports. More involvement of regional sector advisers will add important support to these systems.", "Enhancing internal evaluation capacity", "As previously reported, efforts are being made at Headquarters and at the regional level to increase internal capacity. Those efforts could briefly outline the integration of knowledge management (e.g. online practice communities, online seminars, help desk functions) with more traditional networking meetings, visits and training courses.", "In addition, three initiatives are planned. Based on the success of the network function, UNICEF is developing evaluation capacity development initiatives, including the online induction programme for new employees and a training programme focusing on core skills (former terms of reference, management evaluation, preparation of evaluation reports, management response). Secondly, the field office will focus more on recruitment, job definition and structure and the management of evaluation functions. Thirdly, the Evaluation Office has led the parties to work to define how evaluation supports a fair approach. Guidance materials are being developed, supplemented by virtual resource centres and a series of networking workshops.", "E. Improving access to evaluation findings", "The coordination efforts of the Evaluation Office and the regional offices have increased the timeliness of submission of evaluation reports to the global reporting database, from about 20 per cent in 2009 to 76 per cent in 2010.", "Key indicators of achievement", "The cumulative impact of systematic strengthening should be clearly reflected in the functioning of the evaluation system. The present section presents, for the first time, a comprehensive set of key performance indicators based on the test of performance of the most recent measurement system.", "Indicator 1: Type of evaluations conducted", "The indicators measure the relevance of evaluation and compliance with good design principles. The Executive Board, in its decision 2010/16, requested the type of evaluation carried out by UNICEF; this indicator was developed accordingly. A set of definitions had been developed; external consultants were also requested to disaggregate 96 reports under review as part of the quality review of the global evaluation reporting system. As a result of the initial attempt, the conclusions were indicative and required careful interpretation.", "Relevant", "The purpose of each evaluation is defined as the overarching objective of the evaluation report. The vast majority of evaluations (88%) verified the results of UNICEF-supported programmes, while only 11 per cent reviewed policy results that were linked to field-based programmes. The number of policies should increase as UNICEF moves. Within 88 per cent above, 30 per cent reviewed the experimental programme to determine whether it was appropriate to expand, while 55 per cent reviewed the results of the largest programme size. This is a healthy rate, as it demonstrates continued programme innovation and the high priority given to a number of more “scale” programmes.", "The timing of the programme shows that 44 per cent is a preliminary evaluation aimed at medium-term corrections, while 56 per cent surveyed results at the end of the programme planning period. There is a good balance between the intention of management and the interest of accountability.", "Scope", "In terms of alignment with the medium-term strategic plan, the findings of the survey show greater problems. A significant of 85 per cent of evaluation reviews only one of the MTSP focus areas, while 15 per cent reviewed two or more focus areas. This may reflect the general approach of a strong sector that UNICEF supports. In sectoral focus areas, 25 per cent reviewed cross-cutting issues (gender, human rights-based approaches, knowledge management, information flows for development) as a focus. A smaller section (5 per cent) specifically reviews institutional effectiveness in programme planning — supply, finance, human resources and planning. Efficiency concerns imply that institutional effectiveness analysis should be further highlighted.", "With regard to the geographical level, the overall 95 per cent evaluation has a reference benchmark at the national or subnational levels, while 5 per cent are multinational, regional or global. Cross-border concerns are common, and practical statements that compare national experiences require more extensive evaluations. The percentage of each category is largely the same in terms of evaluation that has subnational and national reference benchmarks. This corresponds to the fair agenda, which examines the specific problems of the late group (at the subnational level) and seeks to achieve results in the entire population (at the country level).", "C. Independence and management", "The level of independence and the high quality are considered interrelated. The independent external evaluation referred control to evaluation professionals, who had no affiliation with the evaluation. Such good practices were adopted in 46 per cent cases. In contrast, the independent internal evaluation (43 per cent) is managed by the Evaluation Division using external consultants. While this is more biased, the quality results are the same as independent external evaluations. Only 5 per cent belong to the self-evaluation of the work of the individual or unit, the quality of which is most poor.", "Management arrangements also affect quality. UNICEF consults with others, but in 58 per cent, it is responsible for all aspects of evaluation. In the case of only 1 per cent, this work is co-managed with other United Nations agencies and, in 17 per cent, is managed in conjunction with non-United Nations agencies. Contrary to the previous GPA findings, the quality of common management is generally poor. The next report will verify whether this is a trend to be investigated. About 7 per cent are State-led and can be seen as a positive sign of national ownership. However, the quality of country-led evaluations and joint evaluations is relatively high.", "The preliminary review of the type of evaluation carried out did not reveal significant issues. However, UNICEF should also reflect on what should be desired, with a view to assessing where there is insufficient or excessive focus.", "Indicator 2: Quality of UNICEF evaluation", "The quality review of the global evaluation reporting monitoring system [4] discussed earlier reviews the portfolio of 96 evaluations conducted by offices at all levels. Almost all of them were completed in 2009 and their results show the impact of the improvement of quality strategies between 2004 and 2009.", "The main findings of the survey were as follows and compared to the 2002 metadata:", "(a) The percentage of evaluation reports considered to be “quality” increased from 20 per cent in 2002 to 36 per cent in 2010;", "(b) Sustainability of the proportion of reports reviewed as quality “high” or “shall”, 47 per cent in 2002 and 49 per cent in 2010:", "(c) The percentage of poor quality reports dropped by 33 per cent (2002) to 15 per cent (2010).", "These findings are generally consistent with the quality trends identified and reported to the Executive Board in its reports for 2006, 2008 and 2009. UNICEF believes that these are real improvements.", "The most important substantive conclusions drawn from the global evaluation reporting monitoring system review are as follows: “The central issue appears to be the knowledge of [UNICEF] evaluation agents on the evaluation of doctrines (for purposes, purposes, methods, data collection) and is much more clear than the understanding of the processing and analysis of data generated”. The positive conclusion was that the management was using the evaluation to raise important issues and to determine how to address them. In general, the weakness has increased in the implementation of evaluation, in the data collected, to yield meaningful results and to draw lessons learned and to adopt recommendations.", "The quality review report recommended that UNICEF prioritize the development of skills for the development of high-quality terms of reference; develop and disseminate a fair and human rights strategy for evaluation functions; focus on the development of results frameworks for challenging thematic areas; and provide additional support to country-led evaluations. Common management responses have been developed by Headquarters and regional offices.", "Indicator 3: Management response", "The Executive Board, in its decision 2008/4, provided that all UNICEF evaluations were managed. As indicated in the 2010 evaluation report, new guidance on management response has been developed and published and a database of responses has been developed. The submitting units are also obliged to regularly update the action taken against the commitments made.", "As a result of vigorous advocacy and monitoring efforts, the full response to the evaluation completed in 2010 and submitted to the quality review increased significantly to 47 per cent, while only 10 per cent before the entry into force of the guidelines. Regional compliance varies considerably, even by 20 per cent.", "The rapid increase in compliance is encouraging. Two other efforts are expected to result in further improvements: (a) rapid feedback from the Global Evaluation Reporting Monitoring System Team to the source offices, which can help to focus management responses; and (b) reminders to regional offices by senior management.", "National evaluation capacity-building", "UNICEF has requested its field offices to strengthen support for national evaluation capacity development, consistent with the Executive Board's recent decisions. Many different efforts have been discussed in previous reports, which are no longer repeated. The main new efforts and results achieved in 2010.", "Guidelines and policies", "In 2011, the annual General Assembly of the United Nations Evaluation Group endorsed the concept paper on the possible role of United Nations Evaluation Group members in the development of national evaluation capacity”, prepared by a United Nations Evaluation Group Task Force, co-lead by UNICEF and the United Nations Development Programme (UNDP). The guidelines focus on (a) promoting “South cooperation” generation and sharing good practices in national evaluation systems as “knowledge brokers”; (b) advancing national-led evaluation and national evaluation systems; and (c) promoting evaluation of specialization and national capacity use.", "A new internal framework, “Children's evidence: development of national capacities for national-led evaluation systems”, illustrates the reasons for participating in national evaluation capacity development. It outlines actions aimed at strengthening the enabling environment, developing institutional capacities and individual capacities and promoting cooperation among stakeholders. As noted below, the guidelines support a wide range of activities in this area.", "Global learning", "In order to facilitate learning and knowledge-sharing in national ownership monitoring and evaluation systems, UNICEF and partners launched an interactive 2.0 network platform in 2010 to share knowledge on national ownership of monitoring and evaluation. My M&E system is open to all. Their performance includes a reference centre, which is provided by members, including UNICEF, and a real-time network workshop on development evaluation. For example, 2,100 participants participated in 14 web seminars provided by major participating agencies (UNDP, World Food Programme, Montenegro, the International Labour Organization, the Rockefeller Foundation and the Global Evaluation Association).", "UNICEF increasingly supports South-South learning. Three examples are representative. The Asia-Pacific Shared Services Centre facilitates support from Government officials in Sri Lanka to Maldives in order to conceptualize the national monitoring and evaluation framework. The Regional Office for Central, Eastern and Commonwealth of Independent States, in cooperation with the United Kingdom Department for International Development and the World Bank, promotes the exchange of experiences between the Government of Tajikistan and the Government of Serbia in order to collect evidence and experience on intersectoral coordination, data mobility mechanisms and the development of a poverty reduction strategic monitoring and evaluation system. This helps the Statistical Commission in Tajikistan to decide to provide free access to socio-economic data and the Government has ordered the establishment of the Monitoring and Evaluation Division in all ministries. In Jordan, the Regional Office for the Middle East and North Africa facilitated the sharing of Egypt's experience in the development of an evaluation diploma at the university level; similar training programmes were currently being negotiated with several universities in Jordan.", "C. Strengthening national ownership of monitoring and evaluation systems", "The results of the survey of national monitoring and evaluation capacity development initiatives implemented by UNICEF show that 120 UNICEF offices are strengthening the institutional capacity of Governments; 39 offices are strengthening national environments conducive to evaluation; 56 are developing the capacity of government and partner staff. The following examples illustrate these activities.", "In Kenya, the Monitoring and Evaluation Division of the UNICEF Support Planning, National Development and Vision 2030 established the National Integrated Evaluation System as a key accountability framework. The system is now fully operational and provides regular performance reports, carrying out expenditure tracking surveys and sectoral reviews. In Uganda, UNICEF supports the Government's efforts to further develop a new national monitoring and evaluation system. Recent efforts include diagnosis of public sector monitoring and evaluation systems, focusing on a set of international benchmarks for results-based management in the public sector. Following this study, the Office of the Prime Minister issued a national monitoring and evaluation policy.", "The State-led system goes beyond the public sector. Over the years, UNICEF has also supported the establishment and professionalization of evaluation associations at the national, regional and international levels. This work continues to be done in addition to those that remain dominated, training activities and networking. A major breakthrough was achieved by the Morocco Evaluation Association, which is now invited to make presentations on evaluation matters in the public sphere. The latest milestone was the Government's invitation to the Association to contribute to the revision of the Constitution, thereby helping to strengthen public accountability and evidence-based decision-making.", "Work plan of the UNICEF Evaluation Office for 2012-2013", "The Executive Board, in its decisions 2008/4 and 2008/22, requested that the biennial workplan of the UNICEF Evaluation Office be presented to the Executive Board. The UNICEF Evaluation Office's workplan for the period 2012-2013 defines three main contributions to the strategic objectives of UNICEF.", "By playing a global leadership in the evaluation process within UNICEF and the global development community, the Evaluation Office will seek improvements in the involvement, inputs and partnerships of management stakeholders. This major internal objective is guiding the Office in its role in the area of equity established by UNICEF. In the Inter-Agency Forum, the emphasis will include updating of the norms and standards of evaluation functions, joint evaluation of major common concerns, such as “Delivering as One”, and a common approach to national evaluation capacity development and evaluation of UNDAFs.", "The Office will provide credible evidence on the implementation of UNICEF programmes, policies and strategies through an independent institutional evaluation. Sub-group evaluations will be carried out in the context of programmatic themes linked to the MTSP focus areas, humanitarian programming and cross-cutting institutional effectiveness issues. The institutional effectiveness portfolio will incorporate the tools and methodologies developed in the evaluation of the implementation of the Joint Evaluation Office and the Office of Internal Audit pilot project. The evaluation agenda for 2010-2011 [5], which was submitted to the Executive Board, remains valid, but will be updated later in 2011. It must be coordinated with the new research office to ensure complementarity.", "Major stakeholders have made systematic efforts at the level of decentralization and at the global level to fulfil their accountability for evaluation; in this regard, the Evaluation Office plays a leading role. Improvements currently seen throughout the organization will continue. The strategy for Headquarters and regional offices discussed in section 4 will be sustained and expanded (based on networking and support for strengthening national evaluation capacity). One major objective is to strengthen staff capacity through enhanced staff recruitment, skills evaluation strategies and expanded learning options. The weaknesses identified in several evaluations and reviews will be addressed with a particular focus on humanitarian monitoring and evaluation capacities. In terms of systematic efforts, it is planned to establish a strong link with regional office actions.", "In 2012-2013, expenditure on all sources of the Evaluation Office was expected to amount to $137 million. This is a zero growth compared to the current period. Staffing is unchanged (7 Professionals in the biennial support budget).", "Basic education and gender evaluation", "Previous reports to the Executive Board contain summaries of evaluations undertaken by UNICEF units during the previous year. These summaries have neither thematic coherence nor a cross-cutting analysis and do not attract the attention of Executive Board members. This year's report highlights the evaluation of a focus area of the MTSP, namely basic education and gender equality. The present section presents, first and foremost, data on the number of basic education and gender-based evaluation and evaluation of expenditure, followed by a major review of the exemplary evaluation of each major area of achievement in order to determine whether they are generating relevant useful knowledge. [6]", "Evaluation and expenditure in the primary and gender focal areas", "The strategy on basic education and gender equality is intended to “ensure that Governments, communities and parents have the necessary capacity and support to fulfil their obligations to ensure that all children are entitled to free and quality education in all cases, including humanitarian, recovery and vulnerability”. Programme activities on basic education and gender equality were organized with a view to achieving results in four main results areas: (a) ready to attend school; (b) access to quality basic education; (c) improving the quality of education; and (d) restoring education after emergencies.", "Table 1 below shows that between 2006 and 2010, UNICEF conducted an estimated 195 evaluations and 433 research and surveys in the area of basic education and gender equality programmes. This is less than the total, as there are some relevant evaluation exercises in other sectors, such as water, sanitation and hygiene services in schools.", "Table 1", "Number of evaluations of basic education and gender equality, by major results areas and years", "Total 2009", "Main result area 1 - Preparation of 1 5 4 5", "Key result area 2 - Access to 10 16 15 19 5", "Main result area 3 - improvement of the quality of education 21 26 23 16 107 205", "Key result area 4 - Emergency 1 1 1 1 3 7", "Total evaluation/reviews 33 48 41 48 25 195 443", "These figures are fundamentally consistent with programme expenditure. For example, about 48 per cent of education funds were spent in key results areas, accounting for 55 per cent of the total evaluation. The proportion of evaluations in this area of education in emergencies is less worrying, as numerous multisectoral humanitarian evaluations typically include education.", "In 2009-2010, UNICEF spent 21 per cent of the programme budget and $1.3 billion in the area of gender equality in basic education. Table 2 shows the extent to which they are used for evaluation and research and surveys and sets the percentage of programme expenditure.", "Table 2", "Education and gender equality programmes and evaluation expenditure by region", "Evaluation of research and surveys (in millions of dollars) (in millions of United States dollars)", "Eastern and Southern Africa 333.0 1.7 (0.5) 9.0 (2.8)", "South Asia 264.1 0.6 (0.2) 4.9 (9)", "West and Central Africa 243.81.21 (0.5) 11.5 (4.7)", "Middle East and North Africa 205.7,0.2 (0.2) 4.6 (3.6)", "East Asia and the Pacific 185.7,0.2 (0.1)", "Americas and the Caribbean", "Central and Eastern Europe and the Commonwealth of Independent States", "UNICEF headquarters 18.7 2.3 (12.0)", "UNICEF had previously reported that the average of 0.3 per cent of programme funding was used for evaluation. Only two of the seven regions have reached this very low percentage in the area of basic education and gender equality. In contrast, the expenditure on research and investigation and related research was more than 10 times higher than evaluation expenditure.", "Only those data were not sufficient to arrive at strong conclusions, but the following topics of life merit further study. First, research and survey expenditures are relatively high, and therefore it can be considered that UNICEF is undertaking the necessary investments to test solutions and integrate them into programmes. This will be examined jointly with the newly established research cell. Secondly, there may be sufficient evaluations in the area of basic education and gender equality (art. In this regard, there is no strict measurement criteria, but it is likely that expenditure in the area of basic education and gender equality is less expensive than the UNICEF average. Thirdly, the high global evaluation expenditure at the headquarters level reflects the efforts needed to prepare robust evaluation designs, the scale of multinational case studies and the cost of experienced international and domestic evaluationers.", "Creating useful knowledge: lessons learned from several evaluation findings", "This section incorporates the findings of the global and country-level basic education and gender evaluation. The global evaluation is well reflected in a series of evaluations conducted during the period 2008-2010. More than 90 per cent of evaluations are managed by UNICEF country offices, and therefore only a small part of the report may not be representative. They demonstrate the evidence generated and lessons learned. All evaluations are viewed as “good” by external quality review and indicate how evaluation functions can play the right role in learning, management decision-making and accountability.", "Key results area 1: improvement of the physical and mental growth of children and readiness to start school on time. This key area of achievement includes two global evaluations as set out in the integrated monitoring and evaluation framework of the MTSP. In 2009/2010, the education sector implemented a multi-country pilot project entitled “Preparation to attend schools”, which is ready to take advantage of structured learning for children in primary schools and to prepare primary schools for receiving children. In this “child approach” pilot, about 9,000 preschool children (Bangladesh, China, the Democratic Republic of the Congo, Ethiopia, Tajikistan and Yemen) participated in learning/recreation courses pre-schools chaired by 2,000 “minimise facilitators”, most of which were the gotiators or sisters of studyers within the Panel. The evaluation of the first year of the pilot project showed that it had a significant positive impact on the timely enrolment rate in countries with major challenges in achieving universal primary education. In China, there is no significant impact, and the country has a relatively high level of secondary school enrolment. Other positive programme impacts include increased parent support and participation in the learning of children, and the positive attitude of the facilitators to their own learning. However, in terms of preschool literacy and numeracy skills, the programme did not yield expected results. The evaluation is currently taking a follow-up comparison of one-year-level students participating in the programme with the group, with a view to ascertaining whether there are differences in the completion of education, school attendance and learning.", "The second global evaluation is a multi-country evaluation of the early childhood development programme supported by the Government of the Netherlands, which shows that access and coverage for early childhood development or preschool services has increased significantly in all sample countries (Cambodia, Ghana, Nepal and Tanzania). In all cases, UNICEF-supported programmes for early childhood development are consistent with preschool education priorities as described in national policies or government development plans. The evaluation also found that, in all programme countries, early childhood learning and development standards were recognized as important tools for defining and monitoring the quality of services for early childhood development, or whether they were developed and implemented.", "Evaluation findings also show some shortcomings. Despite the fact that a number of guidelines have been developed for child development budgeting, serious knowledge gaps have been found in the costing and financing of early childhood development services. Data and monitoring issues include the lack of data on progress made in the development of children resulting from the participation in the early childhood development programme (Ghana); weak data systems for planning and managing activities and services for young children (Nepal and Tanzania). Evidence regarding the sustainability of the Early Childhood Development Programme suggests that the Government has taken decisions to mainstream early childhood development into the formal education system, but does not develop adequate plans or budgets for scaling up work.", "Key result area 2: Reduce disparities and increase access to quality basic education. Although more countries have committed themselves to civic education, disparities in access to education remain a general problem in most countries. Key result area 2 focuses on providing more equitable access to education, particularly for girls and ethnic, linguistic or cultural minorities or for non-school youth. This area of achievement also focuses on efforts to reduce the factors leading to the drop-out of children, with a view to impacting quality.", "A well-reviewed country-level evaluation examined educational projects in the Osterod refugee camp for Kosovo in Romania. The evaluation results show that the perception of children's school attendance and the will to learn has improved, that the adoption of family practice counselling practices has resulted in increased learning performance, improved skills and practices for their parents, and that knowledge in the area of sanitation is relatively good and focused on addressing severe lead poisoning threats. Other evaluations were carried out in the following countries involving vulnerable populations: Uganda (a separate element of primary education for minority children in Karamoja), Romania (Education opportunities for Roma minority children) and China (Education opportunities for migrant children in the country).", "The Armenian school system actively introduces “inclusive education” to children with disabilities. Evaluation results show that inclusive schools are successfully changing attitudes towards students with disabilities and increasing their services. However, it was found that the “inclusive” approach of schools was very limited and did not trigger all the needs of all types of disability or children with disabilities. Following the adoption of the Global Convention, UNICEF increased its involvement in disability issues, and the preparation of research and evaluation is expected to increase significantly over the next few years.", "Multilateral instruments and partnerships are crucial for the success of two key results areas, including the Education Faster Initiative for All, the Curriculum Initiative, the United Nations Girls' Education Initiative, the Intradary Children Initiative and sector-wide funding mechanisms. UNICEF leads or participates in joint evaluations of these initiatives and entities. An evaluation currently under way is a preliminary evaluation of the partnership with the United Nations Girls Education Initiative, which examines whether the partnership model has improved efficiency and effectiveness, and whether countries that use the knowledge generated by the United Nations Girls' Education Initiative find better ways to improve girls' education.", "Key result area 3: support for the improvement of the quality of education and increase the retention rate in schools, completion and learning. The improvement of the quality of education by UNICEF is based on a child-friendly school model. The life-friendly school model has a cross-sectoral feature that promotes quality and equity in the areas of water, sanitation and hygiene, school design, HIV prevention and life skills education, school feeding, disaster risk reduction, gender equality and non-reclusive forms of discipline. The fraternal school initiative is aimed at addressing structural factors that impede access to quality education (the supply of safe classroom space and the lack of qualified teachers) and teaching methods (adjustment of traditional methods that are not in line with students' personal learning style).", "School-friendly schools have become a major component of education programmes in many countries, resulting in many evaluations. An independent global evaluation highlighted in the Executive Board's report for 2010 has also been an evaluation of the life-friendly school approach, which has not been replicated at the national level. The Ministry of Education has, to a different extent, accepted the principle of school-friendly, partly due to advocacy by UNICEF and partners. The child-friendly school approach focuses on educational reform, providing the Government with the relevant framework for improving the quality of education, effectively promoting the participation of all stakeholders at all levels, promoting a child-focused teaching model and encouraging educators to respond to the needs of children. In addition to the positive impact of learning achievements seen in Sri Lanka, there is no consistent evidence of the impact of learning achievements, re-entry or dropout rates. Priority needs to be given to additional impact evaluations in the coming years.", "The evaluation found that fraternal school programming was less successful in providing healthy learning environments (sanitary and safe toilets; drinking water) and education for cultural minorities. In the case of students with disabilities, there is a particular problem of equity, as the principals and teachers generally report that they lack the necessary conditions to meet the needs of children with learning barriers or development barriers. As a follow-up to the global evaluation, the Australian Agency for International Organizations in Support of UNICEF has developed teacher education modules and information kits and conducted three case studies to improve the quality of education for children with disabilities. Management responses to country-level evaluations require UNICEF and partners to adopt corrective or new planning strategies (Armenia and Thailand).", "Key result area 4: rehabilitation of education in emergencies and post-crisis situations. UNICEF participated in humanitarian operations and post-crisis recovery in 79 countries in 2009, 98 countries in 2010 and was placing a prominent place in most of these operations and work. The largest single investment in the current medium-term strategic plan (the Netherlands, supplemented by the European Community) is an education programme for post-disaster and post-crisis transitions, with a view to helping the education sector in 39 countries and 7 regional offices to counter the potential impact of conflicts and natural disasters on the access of children to quality education.", "The global evaluation of education programmes in emergencies and post-crisis transitions in 2010 found that the quality of education in emergencies and post-crisis situations had improved, although there was a lack of consensus on the purpose of the programme. A child-friendly school environment has been established in a few or no place, while another programme has brought up a compensatory educational opportunity for large-scale children who have lost school during the crisis. At the same time, the evaluation found that the pilot project on prevention and preparedness had not been properly followed up (and could not provide reference for future efforts), and that monitoring and evaluation were generally weak and hindered the generation of credible assessments and lessons learned. The evaluation also resulted in a serious reflection by UNICEF on the sustainability of one of the main initiatives of UNICEF to build resilience for displaced children in West Africa's border areas.", "Given that funding for education programmes in emergencies and post-crisis transitions is the largest contribution to UNICEF single programmes, the evaluation also examines the difficulties in managing large-scale contributions. The evaluation results indicate areas where UNICEF needs to improve its management, payment, monitoring and reporting on a large number of programme funds. UNICEF education units and other major units are implementing a management response that incorporates these trustee management recommendations and recommendations related to programme planning.", "The Global Education Cluster is a mechanism to support the coordination of sectors in emergency situations, which is the focus of an important review of evaluation aimed at assessing the joint management of the thematic cluster by UNICEF and Save the Children Alliance. The evaluation highlights the complexity of existing coordination challenges, even if there are mutually reinforcing programme objectives, representing organizations in different sectors (United Nations system and one non-governmental organization). The underlying causes of these challenges are different expectations regarding the relationship between UNICEF and Save the Children Alliance, which should be a purely operational relationship based on clear mandates and division of responsibilities, and a partnership not only sharing responsibilities, but also sharing resources and sharing risk and accountability. In this regard, the results of the review show that in the past there has been a lack of equality, the control of resources by UNICEF, the bulk of the day-to-day work of the Child Alliance, and the lack of transparency and inclusiveness in the sharing of information by UNICEF.", "However, the review took note of the actions taken by UNICEF to actively address a number of such concerns and made recommendations for the consolidation of this process, such as, for example, the reform of the thematic cluster structure to enhance accountability and identify measures to assess common leadership functions. UNICEF education units and other units have developed a management response.", "Conclusion: adequacy and gaps in basic education and gender evaluation", "Overall, evaluation in the area of basic education and gender equality programmes is positive. Under the management of the Evaluation Office, an independent evaluation of each major outcome area covered the largest programme of basic education and gender investments. There is strong evidence that efforts are being made to draw lessons from evaluations and to integrate the knowledge of evaluation into programmes. A recent example in this regard is the evaluation of “to prepare schools”.", "An adequate evaluation of evidence is sufficient to draw conclusions from a number of systems. For example, the global evaluation of fraternal schools and over 36 country-level evaluations during 2009-2010 provided concluding evidence of the effectiveness and usefulness of the school-friendly approach. There was a consistent theme for the lessons identified: achievements in the area of inclusiveness and equity came from a concerted effort to prepare school facilities, personnel, programmes and students. There is also a number of evidence necessary to respond to emergencies and to rebuild the education system.", "Despite these achievements, a number of key themes of basic education and gender equality programming have not yet been reflected in the global evaluation agenda, including the value added generated by the participation of UNICEF in national education sector planning and development assistance sector-wide approaches; the contribution and effectiveness of UNICEF in strengthening the education system; and the extent to which UNICEF has successfully played a role in education programming. Like other programme sectors, basic education and gender evaluation do not provide any systematic knowledge on programme efficiency, partly because such surveys require additional resources and expertise.", "In order to improve the quality of education evaluation and increase the possibility of using evaluation findings, additional resources allocated to each evaluation are required. UNICEF country offices should also consider pooling resources and joint evaluation with other development partners that are implementing similar programmes (e.g., other members contributing to sector-wide approaches) with a view to providing Governments with information on the efficiency of competing programme solutions. This in-depth evaluation will also provide a better basis to assess the contribution of UNICEF in the education sector and to share lessons learned in the education sector.", "Draft decision", "UNICEF recommended that the Executive Board approve the following draft decision:", "The Executive Board,", "Takes note of the annual report on the evaluation function and the main evaluation work of UNICEF;", "Reaffirms the central role of the UNICEF evaluation function and the importance of the principles set out in the UNICEF evaluation policy (E/ICEF/2008/4);", "Welcomes the indication in the report that evidence of the continuing strengthening of evaluation functions, particularly at the level of decentralization, contributes to ensuring accountability, transparency, effectiveness and further improvement in the work of UNICEF;", "Takes note of the introduction of key performance indicators to track the effectiveness of the evaluation system;", "Welcomes the fact that the annual report presents the results of the recent evaluation on a thematic basis;", "Notes and encourages UNICEF:", "(a) Continue to engage in evaluation within the United Nations system and in the wider area of international development, including evaluation of humanitarian crisis responses, with a view to strengthening accountability, transparency, coherence, effectiveness, learning and improvement;", "(b) Continue its efforts to further strengthen the skills, capacities and systems of national partners and focus more on South-South learning;", "Requests UNICEF:", "(a) Ensure that management responses are developed to implement all evaluation recommendations and that the agreed actions outlined in the management response are implemented;", "(b) Ensure that evaluation findings are systematically considered and used in the formulation of key policies, strategies and programmes.", "Annex 1", "Status of evaluation and research on the medium-term strategic plan for 2010-2011", "The status quo is as follows:", "Action to be taken: still considered relevant, but no action has been taken", "Mobilization: The scope of work has been finalized or is being developed; resources are being mobilized", "Implementation: Work on the ground is ongoing or completed; analysis is under way.", "Completion: Final Report is submitted; and is being circulated", "Alternatives: The original focus has shifted to a more coherent priority", "Status of June 2011", "Programme evaluations. Determining whether the programme planning strategy, which is extremely important for the success of the medium-term strategic plan, has (a) an impacted evidence base or (b) is being implemented effectively and efficiently.", "UNICEF - Evaluation of the Early Childhood Development Programme of the Government of the Netherlands (focus 1) completed", "Management of severe malnutrition on the basis of the community (focuss 1 and 3)", "Community case management (neumonia, malaria, diarrhoea) (focus 1)", "Global evaluation of life skills education programmes (focus 2)", "Better preparation of school attendance through the Child Programme (focus 2)", "Education programmes in emergencies and post-crisis transitions (focus 2) completed", "The effectiveness of the Inter-Agency Standing Committee thematic cluster on emergency education (focus 2) has been completed by the evaluation as a joint leadership arrangement to review the thematic cluster. A review has been completed and a proposal for joint leadership to strengthen joint management was made.", "Evaluation of social and behavioural changes that contribute to the prevention of HIV among adolescents (focus 3) pending action", "Evaluation of Solidarity for Children, Joint Anti-Aligned Movement (focus 3)", "Mobilization of multi-agency work. Global evaluation of the mechanism for monitoring and reporting on child rights violations in situations of armed conflict (focus 4)", "Thematic or operational effectiveness evaluation at the institutional level. (a) The success of cross-cutting programming themes; or (b) the efficiency of the organization. These evaluations require a set of examples developed after the long-term involvement of institutions.", "Evaluation of community childcare centres (focus 2)", "Organizational performance in the area of adolescent development and participation (focus 5)", "Organizational performance in the area of programme planning based on a human rights approach (focus 5)", "Haiti's response to the first year of the earthquake humanitarian crisis to complete the independent review of the UNICEF response to the Haitian earthquake in 2010", "Inter-agency real-time evaluation of Haiti's humanitarian response in 2010 (first year)", "E/ICEF/2009/13.", "[2] http://www.unicef.org/about/execboard/index.html.", "[3] Albania, Cape Verde, Mozambique, Rwanda, United Republic of Tanzania, Uruguay and Viet Nam.", "[4] UNICEF Global Evaluation Reporting Monitoring System: Quality Review of Evaluation Reports, International Development Corporation (IOD PARC), March 2011.", "[5] E/ICEF/1998/10, annex II.", "[6] The annual report of the Executive Director of UNICEF (E/ICEF/2009/9) provides an update on the overall work of UNICEF in the field of education." ]

[ "安全理事会第6585次(闭门)会议临时议程", "定于2011年7月18日星期一下午3时非公开举行", "1. 通过议程。", "2. 安全理事会依照第1353(2001)号决议附件二A和B节的规定与部队和警察派遣国举行会议", "非洲联盟-联合国达尔富尔混合行动。" ]

[ "Provisional agenda for the 6585th (closed) meeting of the Security Council", "To be held in private on Monday, 18 July 2011, at 3 p.m.", "1. Adoption of the agenda.", "2. Meeting of the Security Council with the troop- and police-contributing countries pursuant to resolution 1353 (2001), annex II, sections A and B", "African Union-United Nations Hybrid Operation in Darfur." ]

[ "Provisional agenda for the 6585th (closed) meeting of the Security Council", "To be held in private on Monday, 18 July 2011, at 3 p.m.", "Adoption of the agenda.", "Meeting of the Security Council with troop- and police-contributing countries pursuant to resolution 1353 (2001), annex II, sections A and B", "African Union-United Nations Hybrid Operation in Darfur." ]

[ "联合国儿童基金会", "执行局", "2011年第二届常会", "2011年9月12日至15日", "临时议程^(*) 项目6", "儿基会管理层对内部审计办公室2010年度报告的回应", "摘要 本报告是根据执行局第2006/18、2007/17和2008/23号决定提交的，介绍了儿基会管理层对提交执行局的2010年内部审计活动年度报告(E/ICEF/2011/AB/L.9)的回应。 \n附件1载有一次内部审计提出、18个月或更长时间仍未落实的建议的最新执行情况。", "目录", "段次\t页次\n1.管理层为处理国家办事处审议意见而采取的行动和计划 2\n2.管理层为回应总部、专题和系统审计而采取的行动和计划 8\n3.管理层为处理调查结果而采取的行动 11\n4.管理层为处理儿基会审计咨询委员会年度报告中的意见而采取的行动 11 \n 附件 \n截至2010年12月31日超过18月仍未解决意见的最新进展情况 13", "^(*) E/ICEF/2011/13。", "一． 管理层为处理国家办事处审议意见而采取的行动和计划", "1. 管理层赞赏在对国家办事处的审计中继续注意治理、方案管理和业务支助。儿基会确认内部审计办公室(内审办)报告的结果，并承诺改进这些领域的业绩。", "2. 儿基会已采取若干行动，处理内审办在2010年和最近的国家办事处审计中报告的问题。管理层特别要消除导致部分满意或不满意评分的弱点，[1] 并关切地注意到，总体来讲，被评为完全满意的办事处的百分比有所下降，从2009年的41%降至2010年的30%。", "3. 管理层继续及时处理国家办事处审计中查明的风险。[2] 到2011年6月底，2009年向国家办事处提出的建议的约96%已落实完毕。在2010年完成的审计中，国家办事处已采取行动，导致63%的审计建议落实完毕。", "4. 内审办报告说，2010年国家办事处审计意见的80%有两个直接起因：(a) 对既定管制的实际运作监测不力，或(b) 规划或分析薄弱。自2010年以来，儿基会采取了全系统行动来改进监测能力、规划和分析，并将于2012年1月1日实行全球范围变革。", "(a) 加强管制监测。最近确定的企业风险管理技能和方法——及其在所有办事处的应用——正在加强管理层查明和管理问责制风险以及监测国家办事处内部管制运作的能力。儿基会新的企业资源规划系统——名为虚拟集成信息系统(VISION)——以及《国际公共部门会计准则》(《公共部门会计准则》)的适用，将进一步支持这些努力。VISION系统将完全符合公共部门会计准则，也将加强区域办事处和总部监测国家办事处实施业绩问责制的能力。", "(b) 加强规划和分析。企业风险管理的全组织应用和订正方案框架——2011年初在所有国家办事处建立——正在加强规划和分析能力。方案规划进程培训课程已于2010年修订。[3] 为在2011年1月1日启动VISION并采纳《公共部门会计准则》而开展的筹备工作，继续加强所有国家办事处财务和供应管理方面的准则、系统和工作人员技能。", "治理", "5. 2010年，内审办审计了20个外地办事处，查明了100项中度治理风险，[4] 查明了4个办事处的6项高度风险。[5] 除了不现实的规划成果和不适当的指标外，最常见的共同风险包括以下方面的弱点：(a) 管理结构；(b) 监管委员会运作；(c) 工作人员征聘；以及(d) 能力。内审办指出，这些弱点的直接起因是管理人员规划欠佳和监测不力。", "6. 作为发展VISION和向《公共部门会计准则》过渡的一部分，儿基会目前正在修订其管制政策和准则框架。订正准则将运用考虑风险因素程序的企业资源管理分析和应用原则，说明合同审查委员会的问责制，并提供有关其运作的新指示。定于2011年第三季度发布的《方案政策和程序手册(修订本)》将说明国家管理小组适当和有效运作的准则。", "7. 儿童基金会承诺加强各级工作人员的能力。因此，全球学习方案涉及规划、领导和管理方面的能力以及个人业绩：", "(a) 2010年9月修改了方案规划进程，以推动儿基会在所有情况下，包括在中等收入国家的平等重点和方案拟订能力。迄今，150名工作人员参加了培训，还有300人将在年底接受培训；", "(b) 2011年3月，一个关于两性平等方案拟订的联合国机构间电子学习一揽子方案启动。迄今，儿基会的200名工作人员利用了这项培训；", "(c) 自2010年以来，来自所有区域的155名工作人员完成了监管技能方案，102名工作人员从领导发展倡议方案毕业，34名高级工作人员参加了高级领导发展方案；", "(d) 自2011年3月以来，1 200名工作人员接受了业绩管理技能培训，1 811名工作人员获得基于能力面试证书，强化了挑选合适人员上岗的工作。", "8. 为了提高成果规划和业绩报告的质量，儿基会2011年初在所有国家办事处引进了订正方案结构。这个新结构显著简化了方案规划和报告，重点是通过儿基会合作方案实现最重要的成果。简化成果结构完全符合联合国一致性工作的最新事态发展。VISION业绩仪表板将便于透明地获取所有国家方案的计划方案和管理成果、指标和业绩报告。[6] 这一特点将大大加强区域办事处监测国家办事处履行国家方案计划成果和指标的问责制能力。", "9. 自2010年以来，儿基会在所有儿基会办事处掌握企业风险管理技能方面取得了相当大的进展：", "(a) 约有5 000名工作人员通过讲习班和webinar课程接受了培训；", "(b) 约124个国家办事处、所有7个区域办事处和16个总部司/厅中的13个完成了一次风险与控制自我评估活动，以清楚了解方案和业务业绩的主要风险，并制定应对重点风险的行动计划；", "(c) 一些办事处，包括菲律宾、东帝汶和越南办事处在采取行动控制已查明的风险时更新了其风险简介。[7]", "10. 儿基会继续加强工作人员征聘。2010年12月出台的紧急情况人员征聘和编制订正程序的改进，人力资源司能力的增强，显然是成功的。[8] 为了加强本组织对最严重紧急情况的反应，执行主任于2011年3月建立了儿基会整体应急启动程序，说明紧急情况中的各级问责制。这个程序包括部署一个立即反应小组来以支持国家级反应。迄今为止，三个小组已经成立并接受了培训；其中包括应急行动管理和后勤专家的这些多学科小组随时准备从其目前的工作地点部署。", "11. 2010年，政策和实践司发布了制定和审查中等收入国家方案成果和战略的指导说明。该司目前正在修订这项指导说明，并准备为发展和使用国家办事处年度管理计划开设一个内联网网页。这些努力旨在加强儿基会在中等收入国家的工作。", "12. 业绩仪表板(国家、区域和全球各级)将在VISION启动时出台，内载每一个空缺员额(无论是经常员额还是应急员额)征聘状况的详尽资料。这些资料将提高管理人员对工作人员征聘行动的认识，改进其快速查明和处理任何妨碍及时征聘的瓶颈的能力。", "方案管理", "13. 2010年，内审办查明了122项中度方案管理风险，[9] 并在12个办事处发现了16项高度风险。[10] 最常见的风险(68%)是在方案规划、供资、执行和监测方面。方案成果评价、国家儿童状况了解和宣传职能管理方面也有风险。内审办指出，大多数风险的直接起因是以下领域的弱点：(a)规划和分析；(b)管理层是否知晓其办事处管制的实际运作情况。", "14. 2011年初，所有办事处都实行了订正方案结构。[11] 新结构的主要组成部分包括应实现的成果的明确定义以及计划成果实现情况的经常性业绩报告。[12] 在VISION启动后，新结构将是儿基会业绩管理系统的一个持续特征。", "15. VISION将通过提供以下实时资料，加强管理人员履行有效方案执行问责制的能力：", "(a) 主要业绩指标，包括每一项成果工作计划内的方案资金执行利用情况；", "(b) 交付伙伴前儿基会持有的所有方案用品的价值和使用期；", "(c) 捐助者提供的所有赠款的余额。[13]", "16. 儿基会全年收到资金，因此不能完全预测。一些国家的方案活动总是可能有资金空白。为了在这种不确定的供资环境中加强方案规划，VISION将提出新的办法来界定实现核定方案成果所需的年度规划数额。加上监测VISION业绩管理系统中的意见，这一新功能将帮助管理人员制定更准确的年度规划水平，并查明计划成果与利用现有资金可实现成果之间的差距。", "17. 详细了解儿童和妇女状况是儿基会方案办法的一个标志。执行主任强调这对成功推进平等议程至关重要。订正情况分析准则将于2011年第三季度发布，以便改进不同方案拟订情况，包括中等收入国家和紧急情况的数据收集和分析。订正方案规划进程学习方案将更多强调发展和利用情况分析，包括潜在伙伴方案管理评估课程。[14]", "18. 2010年对伙伴合作协议订正准则的效力进行了评估；评估结果导致儿基会于2011年5月与国家办事处举行网上会议来加强某些程序，包括伙伴评估的应用。2011年下半年将对现金转移采取机构间统一办法进行一次评估。[15]", "19. 2010年为向国家办事处和国家委员会提供实际指导和工具制作了一个宣传工具包。2011年，与国家委员会和国家办事处举办了宣传管理培训班。宣传管理的主要要素已经纳入方案规划进程学习方案和社会政策培训课程，还将纳入《方案政策和程序手册(修订本)》。", "业务支助", "20. 2010年，内审办报告了82项中度业务支助风险，[16] 并在10个办事处发现了17项高度风险。[17] 最常见的风险(74%)是在财务管理(财务事项处理和财务管制应用)、采购、库存和资产管理、儿基会计算机系统准入方面。内审办报告说，大多数风险的直接起因是(a) 资源和工作人员能力有限；(b) 人为过失；(c) 管理人员对控制在其办事处的实际运作情况认识不足。", "21. 2010年以来的管理工作，特别是发展管制框架，确定企业风险管理做法，设计VISION，筹备实行《公共部门会计准则》，将促进国家办事处财务管制的改善。[18]", "22. 《公共部门会计准则》筹备工作包括在儿基会维持仓库以及为政府控制或管理库存的国家加强方案用品库存管理。[19] 2010年底，外地办事处必须进行一次库存盘点，更新其记录，并向财务和行政管理司报告库存持有情况。后来为所有国家办事处举办了网上会议，并提供了其他指导和支持，以加强库存管理。各国家办事处必须报告截至2011年5月31日持有的所有方案用品，目前正在进行练习库存盘点。[20] 所有办事处都将进行一次正式库存盘点，作为2012年1月1日向《公共部门会计准则》过渡的一部分。", "23. 供应司指出，2010年关于一国家办事处UniTrack系统运作能力的审计意见是因为软件过时。所有使用UniTrack系统的国家办事处目前都在运行最新版本。为了确保供应管理纳入VISION，那些维持仓库和控制方案用品库存的国家办事处将于2011年底从UniTrack转移到VISION。VISION的供应管理运作能力将有助于改善管理人员对库存价值和储存时间的监测，并将促进适当的周转和库存水平。", "24. 儿基会一直在通过若干行动加强办事处的库存和资产管理：", "(a) 所有办事处都必须在2010年举办基于计算机的《公共部门会计准则》培训，其中一个单元强调资产管理的重要性；", "(b) 财务和行政司为外地工作人员举办了基于因特网，有关年终结算过程、包括办事处库存的培训；", "(c) 加强作用、问责制和职责分离的订正资产管理政策将在VISION启动前发布。[21] 所有国家办事处的工作人员将接受资产管理培训，这种培训是将于2011年下半年举办的VISION培训的组成部分。", "25. 儿基会继续加强工作人员的采购技能。2011年，供应司修订了《儿基会供应手册》关于市场调查、供应商资格预审和当地采购授权的各节，并就每个领域提出了网上准则。供应司为国家办事处提供了相当大的咨询支持。过去两年来，2010年该司处理了来自20个受审计办事处的300多个问题。[22]", "26. 各区域办事处在业务监管和支持，包括财务行政和采购方面发挥重要作用。每个区域办事处的管理计划都界定了这项职能。企业风险管理为审查和处理区域和国家办事处的风险制定了共同框架。每个国家办事处制定的风险和控制自我评估和行动计划加强了国家办事处方案和预算审查，并提高了各区域办事处所提供支持的质量。自2010年以来，各区域办事处通过国家访问、业务管理电视会议和内联网会议以及业务干事和其他工作人员培训，加强了业务支持。[23]", "27. 内审办关于国家办事处信息技术安全的调查结果涉及儿基会目前的企业资源规划系统——方案管理系统软件(ProMS)。该软件将很快被VISION取代。儿基会正在制定新的安全程序来控制VISION准入。[24] 这些管制将消除ProMS的安全挑战，即依靠当地控制的密码管理，用户特权分配层次有限。", "加强2010年被评为不满意的国家办事处控制措施的行动", "28. 2010年两个受审计办事处——几内亚国家办事处和巴基斯坦白沙瓦地区办事处——被评为总体不满意。这两个办事处占已查明高度风险的三分之一(39个中的14个)。自那时起，内审办告知管理层，几内亚办事处审计报告中23项审计建议中的12项已落实完毕；第二次执行报告目前在审查中。2011年1月发布白沙瓦办事处审计报告后，内审办告知管理层，白沙瓦审计提出的14项建议中的4项已落实完毕；已收到第二次执行报告，正在审查。", "29. 西部和中部非洲区域办事处支持几内亚办事处制定了回应审计建议的行动计划。2010-2011年期间的几个特派团帮助改进了国家方案的重点和清晰度，并加强了国家办事处和地区办事处的运作——通过人事变动以及设置新的供应管理、工作人员征聘和建造管理职位增强了能力。", "30. 在内审办的咨询指导下，南亚区域办事支持在伊斯兰堡的巴基斯坦国家办事处处理白沙瓦地区办事处审计报告的各项建议。行动包括实施人事变动，以支持方案活动的显著扩大；通过培训和经常来自伊斯兰堡的监测特派团加强方案规划、监测和评价；说明工作人员的作用和问责制；收紧对ProMS准入的管制；发展工作人员的企业风险管理技能；界定风险反应假设，以加强高风险情况中的业绩。在白沙瓦修订了与伙伴的工作模式；聘用了一个国际会计公司的当地分支来核查学校建造活动状况。加强白沙瓦地区办事处管制的行动导致其他地区办事处和驻伊斯兰堡国家办事处的管理有所改善。儿基会巴基斯坦办事处设立了五个本国保证专家职位，负责加强程序并保证适当控制的应用。一名保证专家被派往白沙瓦办事处工作六周。", "31. 儿基会管理层欢迎2010年底出台的内审办新办法，对在最近审计中被评为不满意的某些办事处进行后续访问。内审办在2011年首先对津巴布韦国家办事处(在2009年被评为不满意)进行了后续访问，但尚未向管理层提交报告。预期后续访问将加强对有效管制已经建立的信心。", "二． 管理层为回应总部、专题和系统审计而采取的行动和计划", "A． 2007-2009年期间进行的审计", "32. 全球一级建议的执行加强了管理层相关的做法和控制，以改进整个组织问责制的实施。内审办年度报告指出，2009年总部和系统审计报告中所有建议的93%在2010年底落实完毕。", "33. 内审办年度报告指出，截至2010年12月31日，六个总部和专题审计有一个以上有待落实的建议在18个月之后仍有待执行。2011年前半年，儿基会管理层处理了五项审计中的建议行动。内审办向执行主任报告说，以下审计的所有建议都已经落实完毕：", "(a) 对非专题其他资源捐助的管理(2007年)；", "(b) 特别援助方案基线安全控制(2008年)；", "(c) 国家办事处监管和业务支持以及美洲和加勒比区域办事处内部业务管理(2008年)；", "(d) 国家办事处评价管理(2009年)；", "(e) 在国家办事处促进道德操守和儿童基金会价值观的各项进程(2009年)。", "34. 2009年6月以前发布的一项总部审计报告仍有两项建议有待执行。建议和最新进展情况载于附件1。", "B. 2010年进行的审计", "35. 内审办在2010年进行了四次总部职能审计，并提出了与这些审计有关的建议。内审办还发布了一份风险评估报告，内载《公共部门会计准则》实施情况，但没有提出建议。儿基会、联合国开发计划署(开发署)和联合国人口基金(人口基金)的审计办公室联合进行了两次现金转移统一办法审计。开发署向联合国协调员和联合国发展行动办公室发布了这些审计的建议。", "传播司合同管理", "36. 传播司合同管理审计报告是在2011年2月发布的。该司为处理这些审计建议制定了一项有22项主要任务的行动计划。[25] 该司向内审办提出了行动方案，视需要审查和落实建议。已完成行动包括为合同管理制定和利用标准作业程序和质量保证机制——就职权范围拟订、甄选程序和咨询人业绩评价提供指导。传播司还在财务和人力资源管理方面完成了一次风险控制和自我评估活动，并拟定了一份司级风险简介，覆盖财务和人力资源管理方面。为了加强内部管制，该司修订了授权表，界定承付和发放资金方面的具体问责和责任。为了加强合同管理做法，传播司正在审查和简化咨询人名单，并建立一个合同监测数据库。主要工作人员将在2011年参与采购培训。", "儿基会外地办事处工作人员、房地和资产的安全和安保", "37. 2011年2月发布的审计报告为儿基会加强安保管理的行动提供了投入。2011年6月更新了儿基会内联网安保部分，以反映联合国最近的工作人员安全和安保政策。更新内容包括(a) 确定可接受风险的准则；(b) 订正最低运作安保标准；(c) 对2011年1月1日生效的订正联合国安保管理系统的适应。儿基会将在2011年底分发一本最新安保手册。手册将说明总部和各区域办事处的作用，并加强各级监测和报告安保管理和安保事故的问责制。[26] 订正手册将说明儿基会安保支持问责，同时认识到安保风险评估和计划由联合国国家工作队在联合国安全和安保部的指导下完成。", "信息和通信技术治理、战略规划和项目管理", "38. 自2011年3月审计报告发布以来，信息技术解决方案和服务司针对建议完成了若干行动。内审办目前正在审查这些行动。行动包括在2011年成立一个全球信息和通信技术(信通技术)委员会，由在哥本哈根和日内瓦的各信通技术监督机构以及七个区域办事处和若干最大的国家办事处提供辅助。儿基会为监测信通技术项目支出制定了准则和方法，目前正在用于管理总部信通技术项目。根据建议，儿基会将为信通技术支出建立一个财务框架，并根据《公共部门会计准则》使用寿命和折旧准则来确定信通技术资本支出。在今后两年，儿基会将对所有有重大信通技术组成部分的项目采用项目管理和监督准则和方法。儿基会还将完成一次VISION项目执行后实施情况审查。", "在日内瓦的儿基会信通技术职能管理", "39. 儿基会已经采取若干重大行动来落实审计建议。内审办指出，到2011年6月底，18项建议中的11项已落实完毕。行动包括为日内瓦办事处建立一个信通技术委员会；[27] 改进信通技术采购程序；并更新日内瓦工作人员信通技术问题培训计划。[28] 在以下方面取得了相当大的进展：为日内瓦数据中心记录信息安全程序，以及测试作为日内瓦办事处业务连续性制度一部分的信通技术灾难恢复计划。儿基会全球信通技术能力协调与承包调整倡议将修订信通技术人员的编制水平、简介和地域分布，包括在中东欧/独联体区域的分布。", "公共部门会计准则实施情况风险评估", "40. 儿基会进行的公共部门会计准则实施情况风险评估涉及在公共部门会计准则实行日推迟到2012年1月之前的计划和行动。风险评估报告中查明的问题——该报告不是一次审计，其中没有建议——在订正项目表和2012年符合公共部门会计准则计划中得到处理。所有计划的公共部门会计准则政策立场已按订正计划拟定，在2010年2月获得批准；这些政策立场已变成详细的业务进程程序文件，使VISION的设置能够符合公共部门会计准则。公共部门会计准则项目由负责管理的副执行主任主持、主计长兼公共部门会计准则项目主管参加的公共部门会计准则/VISION联合指导委员会监测。", "在马拉维和越南的现金转移统一办法联合协调审计", "41. 开发署、人口基金和儿基会联合进行了两次现金转移统一办法审计，对在马拉维和越南的驻地协调员及联合国发展业务协调办公室提出了建议。作为联合国国家工作队成员，儿基会正在处理国家级建议。在马拉维审计后，联合国国家工作队加强了现金转移统一办法工作组的组成、增加了专门机构，并征聘了一名全职协调员。现金转移统一办法工作组制定了一项年度工作计划，以实施伙伴评估、保证审计和抽查，并根据评估意见与伙伴支持财务管理能力发展。在越南成立了一个机构间方案支助工作组——负责现金转移统一办法管理，包括评估和保证活动、项目管理准则的制订以及联合国各机构给伙伴的费率的调整。在这两个国家的儿基会办事处通过适用联合拟订的程序和工具，加强了现金转移统一办法管理做法。在全球一级，这两份审计报告已由机构间现金转移统一办法咨询委员会审查，产生了将在2011年完成的一系列建议草案，这些草案将在现金转移统一办法全球评估中得到更充分的分析。", "三． 管理层为处理调查结果而采取的行动", "42. 儿基会继续加强本组织对道德操守做法的承诺，促进不当行为举报，并保护工作人员免受骚扰，包括性骚扰和举报人遭报复。儿基会发布了一份指南，帮助工作人员了解他们的权利和现有资源，并进一步推动预防工作。[29] 儿基会在利用既定渠道提醒内审办注意对不当行为的关切和指控。2010年，内审办调查小组筛查了约450项申诉，导致69起值得调查的案件。", "(a) 内审办在其年度报告中指出，向人力资源司政策和行政法处提交了21份调查报告。截至2011年6月底，行动情况如下：(a) 解雇7人；(b) 辞职2人；(c) 申斥、处罚，降低职档、停职或罚款各种组合4人；(d) 4个案件根据调查结果审查，没有采取进一步行动；(e) 2个案件有待工作人员答复指控信；(f) 1个案件由于发现了新证据，有待内审办提出新报告；(g) 在1个案件中一名工作人员被停职，在最后决定前度无薪年假。", "43. 2005年以来，执行主任向所有工作人员发出年度备忘录，报告为处理工作人员已证实不当行为而采取的纪律行动。最新备忘录是在2010年9月13日发出的。", "44. 儿基会追查所有查明的财政损失并争取挽回损失。2010年向人力资源司报告的五项已完成调查案件给儿基会造成了财政损失。损失总值为16 432美元。儿基会挽回损失13 946美元(85%)。", "四． 管理层为处理儿基会审计咨询委员会年度报告中的意见而采取的行动", "45. 儿基会管理层确认审计咨询委员会对本组织进行有效和独立监管的重要贡献。正如审计咨询委员会提交执行主任和儿基会执行局的2010年度报告所指出，该委员会成员定期与负责管理的副执行主任及其他高级主管开展互动，并在这一年会晤了执行主任。", "46. 虽然2010年度报告没有提出具体建议，但记载了这一年向内部审计办公室和儿基会管理层提供的宝贵指导。", "47. 审计咨询委员会在年度报告中指出有效的企业风险管理的重要性。2011年6月，儿基会全球管理小组审查了本组织的第一份企业风险管理报告。报告总结了总部和外地所有办事处中95%的办事处完成的风险和控制自我评估的结果。企业风险管理秘书处设在改革管理办公室内。该办公室向负责管理的副执行主任报告工作。", "48. 应审计咨询委员会的要求，儿基会现在向委员会提交审计委员会本两年期向儿基会发出的所有管理当局函以及一份关于上个两年期向儿基会提出的所有审计建议的状况报告。2011年6月下旬，内部审计办公室开始评估VISION系统是否为2012年1月1日启动日做好准备。", "49. 内审办告知儿基会管理层，2010年下半年编写了调查手册草稿，该手册将于2011年年底以前完成。", "附件1", "截至2010年12月31日超过18月仍未解决意见的最新进展情况", "审计：采购服务管理(2009年发出的报告)", "建议 最新进展情况 \n鉴于采购服务量最近猛增，儿基会应重新审查并说明采购服务的长短期计划、指标和目标。这次审查应包括考虑如何使这些目标与核心及方案目标清楚地联系起来——通过清楚的指导文件传达到儿基会各级，特别是那些直接参与采购服务活动的人员。\t迄今为止，内审办解决了采购服务管理审计18项审计建议中的16项。为了处理剩下未处理的两项建议，儿基会将在2012年第一季度以前更新采购服务政策和程序行政指示(CF/EXD/2007-004)。订正指示将涉及两项审计建议中提议的改进。此前将完成儿基会管制框架修订——包括采购服务业务方面的改进——和《公共部门会计准则》筹备工作。\n儿基会应确保加快按计划修订采购服务行政指示，以便(a)说明战略政策和退出战略，包括与中期战略计划和千年发展目标及供应职能评价、组织审查和业务程序审查中提出的问题之间的联系；(b)清楚解释供应司、方案司、区域办事处、国家办事处和采购服务审查委员会的作用和职责；(c)消除冗余，不断更新规定；(d)适当解释与当地货币支付和免交预付款相关的具体规定；(e)解释儿基会方案拟定和宣传活动如何利用采购服务；(f)审议供应司在2007年9月采购服务审查委员会会议上提出的问题。", "[1] 2010年，内审办给20个受审计外地办事处评了分，把两个办事处评为不满意：几内亚国家办事处和巴基斯坦白沙瓦地区办事处。这虽然比2009年有所改进（那年26个受审计国家办事处中有5个被评为不满意），但仍是无法接受的。见第28段。", "[2] 截至2010年12月31日，所有向国家办事处提出的超过18个月的建议都已落实完毕。", "[3] 到2011年底，约450名工作人员将会参加为期8天的培训。", "[4] 在20个受审计办事处中，一个有1至2项风险，11个有3至5项风险，四个有5项以上风险。", "[5] 两个办事处被评为整体不满意，占六项已发现高度风险中的四项。见注脚1。", "[6] 这些业绩仪表板将自2012年1月1日起在所有儿基会办事处运作。", "[7] 企业风险管理方法使用一年后，仍是新办法。不过，内审办在一份2010年国家办事处报告中指出了企业风险管理办法对查明和管理风险的积极作用。", "[8] 2010年1月1日至12月31日，儿基会及时征聘应急工作人员业绩超过主要业绩指标基线10%。", "[9] 20个受审计办事处中，一个有1至2项风险、六个有3至5项风险，13个有5项以上风险。", "[10] 在两个被评为不满意的办事处发现了16项高度风险中的四项。见注脚1。", "[11] 2010年下半年，所有国家办事处的副代表都接受了订正方案结构培训。", "[12] 首批业绩报告将在2011年底提交。", "[13] 一个警报功能将凸显须立即注意的主要业绩问题，包括很快就要过期的赠款余额。", "[14] 这是遵循2009年12月发布的儿基会伙伴合作协议订正准则。", "[15] 这些准则包括评估非政府组织方案能力的清单，对现金转移采用机构间统一办法的准则包括评估伙伴财务管理能力的指示。", "[16] 20个受审计办事处中，两个有1至2项风险，12个有3至5项风险，五个有5项以上风险。", "[17] 在被评为总体不满意的两个办事处发现了17项高度风险中的六项。见注脚1。", "[18] VISION的工作流程和自动功能将减少发生误差的可能性，并加强所有国家办事处处理和记录付款的财务管制制度。采用《公共部门会计准则》后，将无需使用预算未清债务。风险管理技能的发展正在加强工作人员的能力，以查明危险做法，并把程序和做法调整到适当控制水平。这些工作将遵循定于2011年底发布的订正管制框架。", "[19] 供应司继续在一个后勤和运输研究所的支持下向外地工作人员提供仓储和后勤培训。", "[20] 11个库存最多和环境最具挑战性的国家办事处将在来自儿基会合格工作人员或承包公司的外部支持下完成练习盘点；其他国家将根据其库存价值和运作环境决定是否进行练习盘点。", "[21] VISION包括一个资产收发时记录自动化的资产管理单元。", "[22] 2010年，供应司为西非和中非地区六个国家办事处举办了四个公共采购讲习班，有112名工作人员参加了讲习班，其中包括在达喀尔以法语举行的一个讲习班。", "[23] 在一些区域，区域管理小组包括支持同行监测和交流最佳做法的业务委员会；在其他区域，区域管理小组会议包括关于共同审计结果和业务管理的会议。", "[24] 用户身份和密码管理将集中控制，VISION特定部分准入将根据用户角色分开控制。", "[25] 截至2011年6月底，17项行动已经完成。", "[26] 2011年初，儿基会紧急方案办公室与区域和国家办事处一道加强了安全事故报告，并注意到报告的及时性有所改进。", "[27] 这是2011年引入的全儿基会信通技术结构的一部分。", "[28] 儿基会还在对信通技术服务采取全面的服务级管理做法。", "[29] “处理骚扰：申诉人指南”。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "* E/ICEF/2011/13.", "Item 6 of the provisional agenda*", "UNICEF management response to the annual report of the Office of Internal Audit for 2010", "Summary", "This report is submitted in response to Executive Board decisions 2006/18, 2007/17 and 2008/23, and presents the management response of UNICEF to the annual report to the Executive Board on internal audit activities in 2010 (E/ICEF/2011/AB/L.9).", "A status update on implementation of recommendations from the one internal audit that has remained unresolved for 18 months or more is provided in Annex 1.", "Contents", "PageI.Management 2 actions and plans to address country office audit \nobservations II. Management 9 actions and plans to address headquarters, thematic and systems \naudits III. Management 12 actions taken to address the findings of \ninvestigations IV. Management 12 actions to address observations in the annual report of the UNICEF Audit Advisory \nCommittee \nAnnex Progressupdateon 14 observations thatremainunresolved for more than18monthsasof \n31 December2010", "I. Management actions and plans to address country office audit observations", "1. Management appreciates the continued attention to governance, programme management, and operations support in the audits of country offices. UNICEF acknowledges the findings reported by the Office of Internal Audit (OIA) and is committed to improving performance in these areas.", "2. UNICEF has undertaken a number of actions to address the problems reported by OIA in 2010 and in recent audits of country offices. Management particularly seeks to eliminate weaknesses that result in partially satisfactory or unsatisfactory ratings,[1] and notes with concern that, overall, the percentage of offices rated as fully satisfactory has declined, from 41 per cent in 2009 to 30 per cent 2010.", "3. Management continues to address the risks identified in the audits of country offices in a timely manner.[2] By end-June 2011, some 96 per cent of the recommendations issued to country offices in 2009 had been closed. Among the audits completed in 2010, country offices have already taken actions leading to the closure of 63 per cent of the audit recommendations.", "4. OIA reports two immediate causes for 80 per cent of the observations in country offices audited in 2010: (a) inadequate monitoring of the actual functioning of established controls or (b) weaknesses in planning or analysis. Since 2010, UNICEF has taken system-wide actions to improve monitoring capacity, planning, and analysis, and is introducing further global-scale changes on 1 January 2012:", "(a) Strengthen monitoring of controls. The recently established skills and methodologies for Enterprise Risk Management (ERM) — and their application in all offices — are strengthening management capacity to identify and manage accountability risks and to monitor the functioning of internal controls in country offices. The new UNICEF Enterprise Resource Planning (ERP) system — known as the Virtual Integrated System of Information (VISION) — and the application of the International Public Sector Accounting Standards (IPSAS) will further support these efforts. VISION, which will be fully IPSAS compliant, will also strengthen regional office and headquarters capacity to monitor country office fulfilment of their accountability for performance.", "(b) Strengthen planning and analysis. The organization-wide application of ERM and the revised programme structure — established in all country offices at the start of 2011 — is strengthening planning and analysis capacity. The training course on the Programme Planning Process (PPP) was revised in 2010.[3] Preparations for the launch of VISION and the adoption of IPSAS on 1 January 2012 continue to strengthen guidance, systems and staff skills for financial and supply management in all country offices.", "Governance", "5. In 2010, OIA audited 20 field offices and identified 100 medium risks to governance,[4] and identified six high risks in four offices.[5] The most common risks included, besides unrealistic planned results and inadequate indicators, weaknesses in the following areas: (a) management structures; (b) functioning of oversight committees; (c) staff recruitment; and (d) competencies. OIA noted that the immediate causes for these weaknesses were poor planning and inadequate monitoring by managers.", "6. UNICEF is currently revising its regulatory framework of policies and guidance as part the development of VISION and the transition to IPSAS. In applying the ERM principles of analysis and application of risk-informed procedures, the revised guidance will clarify accountabilities and provide new instructions on the functioning of the contract review committees. The revised Programme Policy and Procedure Manual, scheduled for the third quarter of 2011, will clarify guidance on the proper and efficient functioning of the country management teams.", "7. UNICEF is committed to strengthening staff competencies at all levels. Accordingly, the global learning programme addresses competencies in planning, leadership and management, as well as individual performance:", "(a) In September 2010, the programme planning process was revised to advance the UNICEF equity focus and programming capacity in all contexts, including middle-income countries. To date, 150 staff members participated in the training, and another 300 will be trained by the end of the year;", "(b) In March 2011, a United Nations inter-agency e-learning package on gender programming was launched; to date, 200 UNICEF staff members have accessed the training;", "(c) Since 2010, 155 staff members from all regions have completed the Supervisory Skills Programme and 102 staff members graduated from the Leadership Development Initiative Programme, while 34 senior staff members have been participating in the Senior Leaders Development Programme;", "(d) Since March 2011, 1,200 staff members have trained in performance management skills and 1,811 staff members have been certified in competency-based interviewing, to strengthen the selection of appropriate personnel to staff positions.", "8. To improve the quality of planning for results and reporting of performance, UNICEF introduced a revised programme structure in all country offices at the start of 2011. This new structure significantly streamlines programme planning and reporting, with focus on the most significant results to be achieved through the UNICEF programmes of cooperation. The simplified results structure is in full accord with the most recent developments in United Nations coherence. Performance dashboards in VISION will provide easy and transparent access to planned programme and management results, indicators and performance reports from all country programmes.[6] This feature will significantly strengthen regional office capacity to monitor the fulfilment of country office accountability for planned results and indicators in country programmes.", "9. Since 2010, UNICEF has made considerable advances in establishing ERM techniques in all UNICEF offices:", "(a) Approximately 5,000 staff members have been trained through workshops and webinar sessions;", "(b) Some 124 country offices, all seven regional offices and 13 of 16 headquarters divisions/offices have completed a risk and control self-assessment exercise to establish a clear understanding of the principal risks to programme and operational performance and to develop action plans to address priority risks;", "(c) A number of offices, including those in the Philippines, Timor-Leste and Viet Nam, have updated their risk profiles as they take actions to control the risks they had identified.[7]", "10. UNICEF continues to strengthen staff recruitment. Improved procedures for recruitment and staffing in emergencies, introduced in December 2010, and increased capacity in the Division of Human Resources have been notably successful.[8] To strengthen the organization’s response to the most severe emergencies, the Executive Director in March 2011 established the UNICEF Corporate Emergency Activation Procedure, which clarifies accountabilities in emergencies at all levels. This procedure includes the deployment of an Immediate Response Team to support the country-level response. So far, three teams have been formed and trained; these multidisciplinary teams, which include experts in emergency operations management and logistics, are ready for deployment from their current duty stations.", "11. In 2010, the Division of Policy and Practice issued a guidance note for the development and review of programme results and strategies in middle-income countries. The Division is currently revising the guidance note and preparing to create an intranet page for the development and use of country-office annual management plans. These efforts aim to strengthen UNICEF work in middle-income countries.", "12. The performance dashboards (for country, regional and global levels) that will be released with the launch of VISION include detailed information on the recruitment status of each vacant post, whether regular or emergency. This information will strengthen managers’ awareness of staff recruitment actions and improve their capacity to quickly identify and address any bottlenecks to timely recruitment.", "Programme management", "13. In 2010, OIA identified 122 medium risks to programme management[9] and found 16 high risks in 12 offices.[10] The most common risks (68 per cent) were in programme planning, funding, implementation and monitoring. There were also risks in the evaluation of programme results, knowledge of the situation of children in the country and management of the advocacy function. OIA noted that the immediate causes for most of these risks were weaknesses in the following areas: (a) planning and analysis; and (b) management’s awareness of how well controls were actually functioning in their offices.", "14. The revised programme structure was introduced in all offices at the beginning of 2011.[11] Key components of the new structure include a clear definition of results to be achieved and regular performance reporting on the status of achievements toward planned results.[12] Following the launch of VISION, it will be a sustained feature of the UNICEF performance management system.", "15. VISION will strengthen the capacity of managers to fulfil their accountability for efficient programme implementation by providing real-time information on:", "(a) Key performance indicators, including the status of programme funds utilization within each result work plan;", "(b) Value and aging of all programme supplies held by UNICEF before delivery to partners;", "(c) Balances on all grants provided by donors.[13]", "16. UNICEF receives funding throughout the year, and is therefore not fully predictable; there is always the potential for funding gaps for programme activities in some countries. To strengthen programme planning in this uncertain funding environment, VISION will introduce a new approach to defining the annual planning amounts required to achieve approved programme results. Combined with the monitoring views in the VISION performance management system, this new feature will help managers to set more accurately annual planning levels and to identify gaps between planned results and the results achievable with available funding.", "17. Detailed knowledge of the situation of children and women is a hallmark of the UNICEF programme approach; the Executive Director has underlined the critical importance of this to the successful advancement of the equity agenda. Revised guidelines for situation analyses will be issued in the third quarter of 2011, in order to improve data collection and analysis in different programming contexts, including middle-income countries and emergencies. The revised PPP learning programme will give greater emphasis on the development and use of situation analyses and include sessions on the assessment of potential partners’ programme management.[14]", "18. The effectiveness of the revised guidance on Partner Cooperation Agreements was assessed in 2010; the findings led UNICEF to conduct in May 2011 online conference sessions with country offices, in order to strengthen the application of certain processes, including the assessment of partners. An assessment of applying the inter-agency harmonized approach to cash transfers (HACT) will be undertaken in the latter half of 2011.[15]", "19. An advocacy toolkit to provide practical guidance and tools to country offices and national committees was developed in 2010. Training courses in advocacy management have been conducted with National Committees and country offices in 2011. The key elements of advocacy management have been introduced into the PPP learning programme and the social policy training course; they will also be included in the revised Programme Policy and Process Manual.", "Operations support", "20. In 2010, OIA reported 82 medium risks to operations support,[16] and identified 17 high risks, found in 10 offices.[17] The most common risks (74 per cent) were in financial management (processing financial transactions and application of financial controls); procurement, inventory and asset management; and in access to UNICEF computer systems. OIA reported that the immediate causes for most of these risks were (a) limitations in resources and staff capacities; (b) human error; and (c) weaknesses in management’s awareness of how well controls were actually functioning in their offices.", "21. Management efforts since 2010, particularly the development of the regulatory framework, the establishment of ERM practices, the design of VISION and preparations for the adoption of IPSAS, will contribute to improvements in financial controls in country offices.[18]", "22. The preparations for IPSAS include strengthening the management of programme supply inventories in the countries where UNICEF maintains warehouses and controls stocks or manages them on behalf of government authorities.[19] At the end of 2010, field offices were required to do a stock count, update their records and report their inventory holdings to the Division of Financial and Administrative Management. Online conferences and other guidance and support have since been provided to all country offices to strengthen inventory management. Country offices were required to report all programme supplies held at 31 May 2011, and are currently performing practice inventory counts.[20] All offices will perform a formal inventory count as part of the transition to IPSAS on 1 January 2012.", "23. The Supply Division notes that the 2010 audit observation on UniTrack functionality in one country office was due to out-of-date software. All country offices using UniTrack are now running the latest version. To ensure that supply management is integrated within VISION, country offices that maintain warehouses and control programme supply stocks will migrate from UniTrack to VISION at the end of 2011. The supply-management functionality of VISION will help to improve managers’ monitoring of stock values and storage times, and will promote appropriate turnover and stock levels.", "24. UNICEF has been strengthening the management of office inventory and assets through a number of actions:", "(a) All offices were required in 2010 to take computer-based IPSAS training, which included a module that highlighted the importance of asset management;", "(b) The Division of Finance and Administration conducted internet-based training for field staff in the year-end closing process, including office inventory;", "(c) A revised asset management policy that strengthens roles, accountabilities and the segregation of duties will be issued before the launch of VISION.[21] Staff in all country offices will be trained in asset management as a component of the VISION training, to be conducted in the latter half of 2011.", "25. UNICEF continues to strengthen staff skills in procurement. In 2011, the Supply Division revised the sections of the UNICEF Supply Manual on market surveys, supplier pre-qualification, and local procurement authorization, and has introduced online guidance in each of these areas. The Supply Division provides considerable advisory support to country offices; over the past two years, it has addressed more than 300 queries from the 20 offices audited in 2010.[22]", "26. Regional offices have an important role in oversight and support for operations, including financial administration and procurement; this function is defined in the management plan of each regional office. The ERM has established a common framework for reviewing and addressing risks among regional and country offices. Risk and control self-assessments and action plans developed in each country office have strengthened the review of country office programmes and budgets and improved the quality of support provided by regional offices. Since 2010, regional offices have strengthened operations support through country visits, teleconferences and intranet conference sessions on operations management, as well as training for operations officers and other staff.[23]", "27. OIA findings on information technology security in country offices addressed the organization’s current ERP system — the Programme Management System application (ProMS), which will soon be replaced by VISION. UNICEF is establishing new security procedures to control access to VISION;[24] these controls will eliminate the security challenges in ProMS, which has relied on locally controlled administration of passwords and had a more limited granularity for assignment of user privileges.", "Actions to strengthen controls in country offices rated as unsatisfactory in 2010", "28. Two offices audited in 2010 — the Guinea Country Office and the Peshawar Zone Office in Pakistan –were rated unsatisfactory overall. These two offices accounted for more than one third (14 of 39) of the high risks identified. Since then, OIA has informed management that 12 of the 23 audit recommendations in the audit report on the Guinea office have been closed; a second implementation report is currently being reviewed. Since the audit report for the Peshawar office was issued in January 2011, OIA has informed management that four of the 14 recommendations from the Peshawar audit have been closed; a second implementation report has been received and is being reviewed.", "29. The West and Central Africa Regional Office supported the Guinea office in developing an action plan in response to the audit recommendations. Several missions during 2010-2011 helped to improve focus and clarity of the country programme and to strengthen operations in the country and zone offices — enhancing capacity through changes in personnel and creating new positions for supply management, staff recruitment and construction management.", "30. The South Asia Regional Office, with advisory guidance from OIA, has supported the Pakistan country office in Islamabad, to address the recommendations of the audit report on the Peshawar zone office. Actions include implementing personnel changes to support the significant expansion of programme activities; strengthening programme planning, monitoring and evaluation through training and frequent monitoring missions from Islamabad; clarifying staff roles and accountabilities; tightening control over access to ProMS; building staff skills in enterprise risk management; and defining risk-response scenarios to strengthen performance in high-risk situations. In Peshawar, work modalities with partners have been revised; a local branch of an international accounting firm has been engaged to verify the status of school construction activities. The actions to strengthen controls in the Peshawar zone office have led to management improvements in other zone offices as well as the country office in Islamabad. UNICEF Pakistan has established national positions for five assurance specialists responsible for strengthening processes and assuring the application of proper controls. One assurance specialist was assigned to the Peshawar office for six weeks.", "31. UNICEF management welcomes the new OIA practice, introduced by at the end of 2010, to implement follow-up missions to selected offices that were rated as unsatisfactory in recent audits. OIA conducted the first of its 2011 follow-up missions to the Zimbabwe country office (rated unsatisfactory in 2009), but it has not yet issued the report to management. The follow-up missions are expected to strengthen confidence that effective controls have been established.", "II. Management actions and plans to address headquarters, thematic and systems audits", "A. Audits undertaken during 2007-2009", "32. Implementation of global-level recommendations has strengthened management practices and controls to improve the fulfilment of accountabilities throughout the organization. The OIA annual report notes that 93 per cent of all recommendations made in the 2009 reports of headquarters and systems audits were closed at the end of 2010.", "33. The OIA annual report notes that, at 31 December 2010, there were one or more outstanding recommendations from six headquarters and thematic audits that had remained open for more than 18 months. In the first six months of 2011, UNICEF management addressed the recommended actions for five audits; OIA has reported to the Executive Director that all recommendations for the following audits are now closed:", "(a) Management of non-thematic other resources contributions (2007);", "(b) SAP baseline security controls (2008);", "(c) Oversight and operations support to country offices and the management of internal operations in the Americas and the Caribbean Regional Office (2008);", "(d) Management of evaluations in country offices (2009);", "(e) Processes for promoting ethics and UNICEF values in country offices (2009).", "34. Two recommendations remain open for one headquarters audit issued before June 2009. The recommendations and progress updates are presented in Annex 1.", "B. Audits undertaken in 2010", "35. OIA conducted four audits of headquarters functions in 2010 and issued recommendations in relation to these audits. OIA also issued a risk assessment report on the IPSAS implementation that does not include recommendations. Two joint audits of HACT were conducted by the audit offices of UNICEF, the United Nations Development Programme (UNDP), and the United Nations Population Fund (UNFPA). The recommendations in these audits were issued by UNDP to the United Nations coordinators and to the United Nations Development Operations Coordination Office.", "Management of contracts in the Division of Communication", "36. The audit report on the management of contracts in the Division of Communication was issued in February 2011. The Division developed an action plan of 22 key tasks to address the audit recommendations.[25] The Division has submitted its actions to OIA for review and closure of recommendations, as warranted. The completed actions include the development and use of standard operating procedures and quality assurance mechanisms for contract management — with guidance on the development of terms of reference, selection processes and evaluation of consultants’ performance. The Division also completed a risk-control and self-assessment exercise and established a divisional risk profile that covers financial and human resources management. To strengthen internal controls, the Division revised its table of authorities, which defines specific accountabilities and responsibilities for the commitment and release of funds. To strengthen contract management practices, the Division of Communication is reviewing and streamlining its consultant rosters and establishing a monitoring database for contracts. Key staff will participate in procurement training in 2011.", "Safety and security of UNICEF staff, premises and assets in field offices", "37. The audit report, issued in February 2011, has informed UNICEF actions to strengthen security management. In June 2011, the security section of the UNICEF intranet was updated to reflect the latest United Nations policies on staff safety and security. The updated elements include (a) guidelines for determining acceptable risk; (b) revised Minimum Operating Security Standards; and (c) adaptions to the revised United Nations security management system, which came into effect on 1 January 2011. UNICEF will issue an updated security manual towards the end of 2011. It will clarify the roles of headquarters and the regional offices, and strengthen accountability at all levels for monitoring and reporting on security management and security incidents.[26] The revised manual will clarify UNICEF accountabilities for security support, with recognition that security-risk assessments and plans are completed by United Nations country teams under the direction of the United Nations Department of Safety and Security.", "Information and communication technology governance, strategic planning and project management", "38. Since the audit report was issued in March 2011, the Information Technology Solutions and Services Division has completed a number of actions in response to the recommendations; these are currently being reviewed by OIA. Actions include the establishment of a global information and communication technology (ICT) board in 2011, complemented by ICT oversight bodies in Copenhagen and Geneva as well as the seven regional offices and a number of the largest country offices. UNICEF has established guidelines and a methodology for monitoring the expenses in ICT projects, which are being used for the management of ICT projects in headquarters. As recommended, UNICEF will establish a financial framework for ICT expenditures and identify ICT capital expenditure in line with IPSAS guidelines for useful life and depreciation. During the next two years, UNICEF will apply the guidelines and methodology for project management and oversight to all projects with significant ICT components. UNICEF will also complete a post-project implementation review of VISION.", "Management of the UNICEF ICT function in Geneva", "39. UNICEF has taken a number of important actions to address the audit recommendations; OIA notes that 11 of the 18 recommendations were closed by end-June 2011. Actions include the establishment of an ICT committee for the Geneva office;[27] improved ICT procurement processes; and updated training plans on ICT issues for Geneva staff.[28] Considerable progress has been made in documenting the information security procedures for the Geneva Data Centre and testing the ICT disaster recovery plans as part of the business continuity regime for the Geneva Office. The UNICEF global ICT competency alignment and sourcing adjustment initiative will revise ICT staffing levels, profiles and geographic distribution, including in the CEE/CIS region.", "Risk assessment of the implementation of IPSAS", "40. The risk assessment on the implementation of IPSAS by UNICEF addressed plans and activities that were conducted prior to the deferral the IPSAS adoption date to January 2012. The issues identified in the risk assessment report — which is not an audit and does not include recommendations — have been addressed in the revised project charter and plan for achieving IPSAS compliance in 2012. All of the planned IPSAS policy positions were completed according to the revised plan and approved by February 2010; these policy positions have been translated into detailed procedure documentation for business processes to enable VISION to be configured for IPSAS compliance. The IPSAS project is monitored by the IPSAS/VISION joint Steering Committee, chaired by the Deputy Executive Director for management and attended by the Comptroller, who is the IPSAS project lead.", "Joint and coordinated audits of the harmonized approach to cash transfers in Malawi and Viet Nam", "41. The two audits on HACT were undertaken jointly by UNDP, UNFPA and UNICEF; the recommendations are directed to the Resident Coordinators in Malawi and Viet Nam and to the United Nations Development Operations Coordination Office. UNICEF is addressing the in-country recommendations as a member of each United Nations country team. Following the audit in Malawi, the United Nations country team strengthened the composition of the HACT working group, added specialized agencies and recruited a full-time coordinator. The HACT working group has established an annual work plan to implement partner assessments, assurance audits and spot checks and, where indicated by the assessments, to support capacity development in financial management with partners. In Viet Nam, an inter-agency working group for programme support was established — with responsibilities for HACT management, including assessment and assurance activities, development of project management guidelines and alignment of rates provided to partners by the United Nations agencies. The UNICEF offices in both countries have strengthened their HACT management practices through the application of the jointly developed procedures and tools. At the global level, the two audit reports were reviewed by the inter-agency HACT Advisory Committee; these have led to a series of draft recommendations, which will be more fully analysed in the context of a global assessment of HACT, to be completed in 2011.", "III. Management actions taken to address the findings of investigations", "42. UNICEF continues to strengthen the organization’s commitment to ethical practices, promote reporting of misconduct and to protect staff from harassment, including sexual harassment, and reprisals for whistleblowing. UNICEF has issued a guide to help staff understand their rights and availability of recourse, and to further promote prevention.[29] The established channels are being used to bring concerns and allegations of wrongdoing to OIA’s attention. Approximately 450 complaints were screened by OIA’s investigation team in 2010, leading to 69 cases that warranted an investigation.", "(a) OIA indicates in its annual report that 21 investigation reports were submitted to the Policy and Administrative Law Section of the Division of Human Resources. The status of actions at the end of June 2011 is as follows: (a) seven dismissals; (b) two resignations; (c) four various combinations of censure, sanction, loss of step, suspension or fine; (d) four cases where no further action taken, based on review of the investigation findings; (e) two cases pending staff members’ replies to charge letters; (f) one case pending a new OIA report because additional evidence was found; and (g) one case where a staff member was suspended on annual leave without pay pending finalization.", "43. Since 2005, the Executive Director has issued an annual memo to all staff reporting the disciplinary actions taken by UNICEF to address proven wrongdoing by staff. The latest memo was issued on 13 September 2010.", "44. UNICEF pursues all identified financial losses and seeks recoveries. Five of the completed investigation cases reported to the Division of Human Resources in 2010 included financial losses to UNICEF. The total value of the losses was $16,432, of which UNICEF has recovered $13,946 (85 per cent).", "IV. Management actions to address observations in the annual report of the UNICEF Audit Advisory Committee", "45. UNICEF management acknowledges the important contribution of the Audit Advisory Committee (AAC) to the effective and independent oversight of the organization. As noted in the 2010 annual report of the AAC to the Executive Director and the UNICEF Executive Board, the Committee members regularly interacted with the Deputy Executive Director for management and other senior managers, and met with the Executive Director during the year.", "46. While the 2010 annual report does not include specific recommendations, the report documents the valuable guidance provided to the Office of Internal Audit and UNICEF management during the year.", "47. The AAC notes in its annual report the importance of an effective ERM. In June 2011, the UNICEF global management team reviewed the organization’s first ERM report, which synthesized the findings of the risk and control self-assessments completed by over 95 per cent of all offices, at headquarters and in the field. The ERM secretariat is located within the Change Management Office, which reports to the Deputy Executive Director for management.", "48. As requested by the AAC, UNICEF now provides the Committee with all management letters issued to UNICEF by the Board of Auditors during the current biennium and a status report on all audit recommendations issued to UNICEF during the previous biennium. In late June 2011, the Office of Internal Audit started an assessment of the readiness of the VISION system for a 1 January 2012 launch date.", "49. OIA has informed UNICEF management that a draft of the investigation manual was developed in late 2010 and that the manual would be completed before the end of 2011.", "Annex 1", "Progress update on observations that remain unresolved for more than 18 months as of 31 December 2010", "Audit: Management ofprocurement services (reportissued in 2009)\t\n Recommendations Progress update \nGiven the relatively recentand dramatic rise inprocurement servicesthroughput, UNICEF shouldrevisit and clarify the shortand long-term plans, targetsand objectives for procurementservices. This review shouldinclude considering how theseobjectives can be clearlylinked to core and programmeobjectives – and communicatedthrough clear guidancedocuments to all levels ofUNICEF, especially to thosedirectly involved inprocurement servicesactivities.\tSo far, 16 of the 18 auditrecommendations in the Managementof Procurement Services audithave been closed by OIA. Toaddress the two remaining openrecommendations, UNICEF willupdate the Executive Directive onProcurement Services Policies andProcedures (CF/EXD/2007-004) bythe first quarter of 2012. Therevised directive will addressthe improvements suggested in thetwo audit recommendations. Itwill follow completion of therevisions to the UNICEFregulatory framework – theseinclude refinements to theoperational aspects ofProcurement Services – and thepreparations for IPSAS.\nUNICEF should ensure that theplanned revision to theExecutive Directive onProcurement Services isexpedited, such that: (a) itreflects clarification onstrategic policy and exitstrategies, including links tothe MTSP and the MDGs andissues raised in theevaluation of the supplyfunction, organization reviewand business process review;(b) roles and responsibilitiesof Supply Division, ProgrammeDivision, regional offices,country offices, and theProcurement Services ReviewCommittee (PROSERVE) areclearly explained; (c)redundancies are removed andprovisions are keptup-to-date; (d) specificprovisions related to localcurrency payments and waiverof advance payments areadequately explained; (e) itexplains ways in whichprocurement services can beused in UNICEF programming andadvocacy activities; and (f)issues raised by SupplyDivision in the September 2007meeting of PROSERVE areconsidered.", "[1] In 2010, OIA rated audited 20 field offices and rated two offices as unsatisfactory: the Guinea Country Office and the Peshawar Zone Office in Pakistan. While this marks an improvement over 2009 — when five of 26 country offices audited were rated unsatisfactory — it is still unacceptable. Please see paragraph 28.", "[2] All recommendations to country offices older than 18 months at 31 December 2010 have been closed.", "[3] Some 450 staff members will have participated in the eight-day training by the end of 2011.", "[4] Among the 20 offices audited, one had 1-2 risks, 11 had 3-5 risks, and four had more than 5 risks.", "[5] Two offices rated as unsatisfactory overall accounted for four of the six high risks found. Please see footnote 1.", "[6] These performance dashboards will be operational in all UNICEF offices starting 1 January 2012.", "[7] After one year of application, the ERM methodology is still new. However, in a 2010 country office report, OIA noted the positive effect of the ERM approach for the identification and management of risks.", "[8] UNICEF performance for timely recruitment of emergency staff exceeded the key performance indicator benchmark by 10 per cent over the period 1 January to 31 December 2010.", "[9] Among the 20 offices audited, one had 1-2 risks, six had 3-5 risks, and 13 had more than 5 risks.", "[10] Four of the 16 high risks were found in the two offices rated as unsatisfactory overall. See footnote 1.", "[11] The deputy representatives in all country offices were trained in the revised programme structure during the latter half of 2010.", "[12] The first performance reports will be generated towards the end of 2011.", "[13] An alerts feature will highlight key performance issues that require immediate attention, including balances on grants that are soon to expire.", "[14] This follows the revisions to the UNICEF guidance on Partner Cooperation Agreements issued in December 2009.", "[15] The guidance includes checklists for assessing the programmatic capacity of non-governmental organizations, while the guidance for applying the inter-agency harmonized approach to cash transfers (HACT) includes instructions for assessing partners’ financial management capacity.", "[16] Among the 20 offices audited, two had 1-2 risks, 12 had 3-5 risks and five had more than 5 risks.", "[17] Six of the 17 high risks were found in the two offices rated as unsatisfactory overall. See footnote 1.", "[18] VISION workflow and automation features will reduce the potential for error and strengthen the financial control regime in all country offices for processing and recording payments. The adoption of IPSAS will eliminate the use of outstanding budgetary obligations. The development of risk management skills is strengthening staff capacity to identify risky practices and calibrate procedures and practices to the appropriate level of control. These efforts will be guided by the revised regulatory framework, scheduled for release by the end of 2011.", "[19] The Supply Division continues to train field staff in warehousing and logistics with support from a logistics and transport institute.", "[20] The 11 country offices with the largest inventories and most challenging environments will complete their practice counts with external support from qualified UNICEF staff or contracted firms; other countries will perform practice counts depending on the value of their inventories and operating environment.", "[21] VISION includes an asset management module that will automate the recording of assets at the time of purchase and receipt.", "[22] In 2010, the Supply Division conducted four workshops on public procurement, attended by 112 staff members, including a workshop in Dakar held in French for six country offices in the West and Central Africa region.", "[23] In some regions, the Regional Management Team includes committees on operations that support peer monitoring and the exchange of good practices; in other regions, the meetings of the Regional Management Team include sessions on common audit findings and operations management.", "[24] User identification and password management will be centrally controlled and access to specific components of VISION will be compartmentalized, based on defined user roles.", "[25] As of end-June 2011, 17 actions had been completed.", "[26] In early 2011, the UNICEF Office of Emergency Programmes engaged with regional and country offices to strengthen security-incidence reporting, and noted improvements in the timeliness of reporting.", "[27] This is part of the UNICEF-wide ICT oversight structure introduced in 2011.", "[28] UNICEF is also introducing a comprehensive service-level management practice for ICT services.", "[29] Dealing with Harassment: A Complainant’s Guide." ]

[ "United Nations Children's Fund", "The Executive Board", "Second regular session 2009", "12-15 September 2011", "Item 6 of the provisional agenda*", "UNICEF management response to the annual report of the Office of Internal Audit for 2010", "The present report is submitted pursuant to Executive Board decisions 2006/18, 2007/17 and 2008/23 and describes the response of UNICEF management to the Executive Board's annual report on internal audit activities for 2010 (E/ICEF/2009/AB/L.9). Annex 1 contains an update on the status of implementation of the recommendations made by internal audit, 18 months or longer.", "Contents", "Action taken by management in response to country offices' deliberations and plan 2: Action taken by management in response to headquarters, thematic and system audits and planned action taken by management to address the results of the survey 11.4 Action taken by management to address the views expressed in the annual report of the UNICEF Audit Advisory Committee 11", "∗ E/ICEF/2009/13.", "Actions and plans undertaken by management to address country offices' deliberations", "Management appreciated the continued attention paid to governance, programme management and operational support in the audit of country offices. UNICEF acknowledged the results of the report of the Office of Internal Audit (OIA) and pledged to improve performance in these areas.", "UNICEF has taken a number of actions to address the issues reported by OIA in its country office audits in 2010 and recently. In particular, management would like to eliminate the weaknesses resulting in partial satisfaction or unsatisfactory ratings, noting with concern that the overall decrease in the percentage of offices that were rated as fully satisfactory, from 41 per cent in 2009 to 30 per cent in 2010.", "Management continues to address the risks identified in country office audits in a timely manner. [2] By the end of June 2011, about 96 per cent of the recommendations made to country offices in 2009 have been implemented. In the audit completed in 2010, the country office had acted to implement 63 per cent of audit recommendations.", "ADB reported that 80 per cent of the country office audit opinion for 2010 had two direct causes: (a) weak monitoring of the actual operation of established controls or (b) weak planning or analysis. Since 2010, UNICEF has taken system-wide action to improve monitoring capacity, planning and analysis and will implement global changes on 1 January 2012.", "(a) Enhance control monitoring. The recently established enterprise risk management skills and methods — and their application in all offices — are strengthening the management capacity to identify and manage risk of accountability and to monitor the internal control operation of country offices. The application of the new enterprise resource planning system, known as the virtual pool of information systems (VISION) and the International Public Sector Accounting Standards (IPSAS), will further support these efforts. The VISION system will be fully in line with IPSAS and will also strengthen the capacity of regional offices and headquarters to monitor performance accountability in country offices.", "(b) Strengthening planning and analysis. The overall organizational application and revised programme framework for enterprise risk management — established at all country offices in early 2011 — is strengthening planning and analytical capacities. The programme planning process training course was revised in 2010. [3] In preparation for the launch of the VISION on 1 January 2011 and the adoption of the IPSAS, the guidelines, systems and staff skills for financial and supply management in all country offices continue to be strengthened.", "Governance", "In 2010, 20 field offices were audited to identify 100 medium-sized governance risks, and 6 high-risk risks were identified in four offices. [5] In addition to unrealistic planning results and inappropriate indicators, the most common risks include weaknesses in (a) management structures; (b) the functioning of the Regulatory Committee; (c) staff recruitment; and (d) capacity. OIOS noted that the direct causes of these weaknesses are inadequate planning and monitoring by managers.", "As part of the development of VISION and the transition to IPSAS, UNICEF is currently revising its regulatory policy and regulatory framework. The revised guidelines will apply the principle of enterprise resource management analysis and application that takes into account the risk factor process to clarify the accountability of the Committee and provide new instructions on its functioning. The Programme Policy and Procedure Manual (Revised) to be issued in the third quarter of 2011 will clarify the guidelines for the proper and effective functioning of the National Management Group.", "UNICEF is committed to strengthening the capacity of staff at all levels. Thus, the global learning programme involves the ability to plan, lead and manage and individual performance:", "(a) In September 2010, the programme planning process was revised to promote the equal focus and programming capacity of UNICEF in all circumstances, including middle-income countries. To date, 150 staff members have participated in training and 300 will be trained at the end of the year;", "(b) In March 2011, an inter-agency e-learning package for gender programming was launched. To date, 200 UNICEF staff members have used this training;", "(c) Since 2010, 155 staff from all regions have completed the management skills programme, 102 staff members have graduated from leadership development initiatives and 34 senior staff have participated in the senior leadership development programme;", "(d) Since March 2011, 1,200 staff have been trained in performance management skills and 1,811 staff have been given a competency-based test certificate to strengthen the selection of suitable personnel induction.", "In order to improve the quality of results planning and performance reports, UNICEF introduced a revised programme structure in all country offices in early 2011. The new structure has significantly simplified programme planning and reporting, with a focus on achieving the most important results through UNICEF cooperation programmes. The simplification of results structure is in full compliance with the latest developments in United Nations coherence. The VISION performance sheets will facilitate transparent access to all country programmes and management results, indicators and performance reports. [6] This feature will significantly enhance the accountability capacity of regional offices to monitor country offices in the implementation of country programme plan outcomes and indicators.", "Since 2010, UNICEF has made considerable progress in the ownership of enterprise risk management skills in all UNICEF offices:", "(a) About 5,000 staff members have been trained through workshops and the Webinar course;", "(b) About 124 country offices, all seven regional offices and 13 of 16 headquarters divisions/offices completed a risk-control and self-assessment exercise to clarify the main risks of programme and operational performance and to develop action plans to address the priority risks;", "(c) Some offices, including the Philippines, Timor-Leste and Viet Nam, have updated their risk profile when taking action to control identified risks. [7]", "UNICEF continues to strengthen staff recruitment. Improvements in the recruitment and preparation of revised procedures for emergency personnel in December 2010 are clearly successful. [8] In order to strengthen the Organization's response to the most serious emergencies, the Executive Director established the UNICEF overall emergency response start-up process in March 2011 to clarify accountability at all levels in emergencies. This process includes the deployment of an immediate response team to support country-level responses. To date, three teams have been established and trained; these multidisciplinary teams, including emergency management and logistics experts, are ready to deploy from their current duty stations.", "In 2010, the Policy and Practice Division issued guidance notes on the development and review of programme outcomes and strategies in middle-income countries. The Division is currently revising this guidance note and is ready to open an Intranet page for the development and use of the country office annual management plan. These efforts are aimed at strengthening the work of UNICEF in middle-income countries.", "The performance matrix (national, regional and global) will be launched at the start of the VISION, with detailed information on the recruitment status of each vacant post (whether regular or emergency posts). This information will raise the awareness of managers about staff recruitment actions and improve their ability to identify and address any bottlenecks that prevent timely recruitment.", "Programme management", "In 2010, OIA identified 122 medium-term programme management risks, [9] and identified 16 high risks in 12 offices. [10] The most common risk (68 per cent) is in programme planning, funding, implementation and monitoring. Evaluations of programme results, national awareness of the situation of children and the management of advocacy functions are also at risk. ADB noted that most of the direct causes of risk are weaknesses in the following areas: (a) Planning and analysis; (b) whether management is aware of the actual operation of its office control.", "At the beginning of 2011, all offices had introduced a revised programme structure. [11] The main components of the new structure include clear definitions of results to be achieved and regular performance reports on the achievement of planned results. [12] After the start of the VISION, the new structure will be a continuing feature of the UNICEF performance management system.", "VISION will enhance the capacity of managers to perform effective programme delivery accountability through the provision of the following real-time information:", "(a) Major performance indicators, including the use of programme funds in each outcome workplan;", "(b) The value and duration of all programme supplies held by UNICEF prior to delivery partners;", "(c) The balance of all grants provided by donors. [13]", "UNICEF received funds throughout the year and therefore cannot be fully projected. Some country programme activities may always have funding gaps. In order to strengthen programme planning in such uncertain funding environments, VISION will propose new approaches to defining the annual planning level required to achieve the approved programme results. In addition to the observation in the monitoring of the performance management system of VISION, this new function will help managers to develop more accurate annual planning levels and to identify gaps between planned results and the results achieved through the use of existing funds.", "The situation of children and women is a sign of the UNICEF programme approach. The Executive Director stressed that it was crucial to successfully advance the equality agenda. The revised situation analysis guidelines will be issued in the third quarter of 2011 to improve data collection and analysis in different programming situations, including middle-income countries and emergencies. The revised programming process learning programme will focus more on development and utilization analysis, including the programme management assessment course for potential partners. [14]", "In 2010, the effectiveness of the revised guidelines for partnership agreements was assessed; the results of the assessment resulted in an online meeting with country offices in May 2011 to strengthen certain procedures, including the application of the partner assessment. In the second half of 2011, an inter-agency harmonization of cash transfers will be conducted. [15]", "In 2010, a toolkit was developed for providing practical guidance and tools to country offices and national commissions. In 2011, sensitization training sessions were held with national commissions and country offices. The main elements of advocacy management have been included in the programme planning process's learning programme and social policy training courses and will also be included in the Programme Policy and Procedure Manual (Revised).", "Operational support", "In 2010, OIA reported 82 medium-sized operational support risks, [16] and found 17 high risks in 10 offices. [17] The most common risk (74 per cent) is in financial management (financial matters processing and financial control applications), procurement, inventory and asset management, and access to UNICEF computer systems. OIA reported that most of the direct causes of the risk were (a) limited resources and staff capacity; (b) man-made failure; and (c) inadequate awareness of the management of the actual functioning of its offices.", "Management since 2010, in particular the development of regulatory frameworks, identifies enterprise risk management practices, design VISION, prepare for the implementation of IPSAS and will facilitate improvements in country office financial controls. [18]", "The preparation of IPSAS includes strengthening programme inventory management in UNICEF warehouses and in countries controlled or managed by the Government. [19] At the end of 2010, field offices must conduct a stocktaking point to update their records and report on inventory holdings to the Finance and Administration Division. A web-based conference was held for all country offices and other guidance and support was provided to strengthen stockpile management. Country offices must report on all programme supplies held as at 31 May 2011 and are currently conducting a trajectory. [20] All offices will conduct a formal inventory point as part of the transition to IPSAS on 1 January 2012.", "The Supply Division noted that the 2010 audit of the operational capacity of a country office UniTrack system was due to the outdated software. All country offices using the UniTrack system are currently operating the latest version. In order to ensure the integration of supply management in VISION, country offices that maintain warehouses and control programme supplies will be transferred from UniTrack to VISION by the end of 2011. The supply management capacity of VISION will help to improve the monitoring of inventory value and storage time by managers and will promote appropriate swing and inventory levels.", "UNICEF has been strengthening the Office's inventory and asset management through a number of actions:", "(a) All offices must organize computer-based IPSAS training in 2010, one of which emphasizes the importance of asset management;", "(b) The Finance and Administration Division organized the Internet-based training for field staff on the annual closure process, including office inventory;", "(c) The revised asset management policy to strengthen the role, accountability and separation of duties will be issued before the start of the VISION. [21] Staff from all country offices will receive asset management training, which is part of the VISION training to be held in late 2011.", "UNICEF continues to strengthen the procurement skills of staff. In 2011, the Supply Division revised the UNICEF Supply Manual sections on market surveys, vendor prequalification and local procurement authorizations and introduced online guidelines for each area. The Supply Division provided considerable advisory support to country offices. Over the past two years, the Division addressed more than 300 issues from 20 audit offices in 2010. [22]", "Regional offices play an important role in operational regulation and support, including financial administration and procurement. The management plan for each regional office defines this function. Enterprise risk management has developed a common framework for reviewing and dealing with the risks of regional and country offices. The risk and control self-assessment and action plans developed by each country office strengthen the country office programme and budget review and improve the quality of support provided by regional offices. Since 2010, the regional offices have strengthened operational support through country visits, business management videoconferences and intranet meetings, as well as business officers and other staff training. [23]", "The findings of OIA on information technology security in country offices relate to the current UNICEF enterprise resource planning system - programme management software (ProMS). The software will soon be replaced by VISION. UNICEF is developing new security procedures to control access to VISION. [24] These controls will address the security challenges of the ProMS, depending on local control password management, with limited user privileges.", "Enhanced action on evaluation of country office controls in 2010", "Two audit offices in 2010 — the country office in Guinea and the White Shawa Regional Office in Pakistan — were rated to be generally unsatisfactory. These offices account for one third of the identified high risks (14 out of 39). Since then, OIA informed management that 12 of the 23 audit recommendations of the Office had been completed; the second implementation report was currently under review. Following the publication of the report of the White Swa office in January 2011, OIA informed management that four of the 14 recommendations made by the White Shawa audit had been completed; the second implementation report had been received and was being reviewed.", "The Regional Office for West and Central Africa supported the Guinean Office in developing action plans to respond to audit recommendations. Several missions during 2010-2011 have helped to improve the focus and clarity of country programmes and have strengthened the operation of country offices and regional offices — through personnel changes and the creation of new supply management, staff recruitment and construction management positions.", "Under the advisory guidance of UNOPS, the South Asian Regional Office supported the recommendations of the Pakistan country office in Islamabad to address the audit report of the White Swa Regional Office. Actions include the implementation of personnel changes to support the significant expansion of programme activities; strengthening programme planning, monitoring and evaluation through training and monitoring missions often from Islamabad; clarifying the roles and accountability of staff; tight controls on access to the ProMS; developing enterprise risk management skills of staff; defining risk response assumptions to enhance performance in high-risk situations. Work patterns with partners were revised in White Shawa; a local branch of international accounting companies was recruited to verify the state of school construction activities. Actions to strengthen the control of the White Swa Regional Office have led to improvements in the management of other offices and country offices in Islamabad. The UNICEF Pakistani office established five national positions of experts to strengthen procedures and ensure appropriate controls. One assured expert was sent to the White Swa office for six weeks.", "UNICEF management welcomed the new approach to the conduct of a follow-up visit to certain offices that were rated unsatisfactory in recent audits by the end of 2010. In 2011, the Office began a follow-up visit to the country office in Zimbabwe (reviewed in 2009) but has not yet reported to management. It is expected that follow-up visits will enhance confidence already established in effective control.", "Actions and plans by management to respond to headquarters, thematic and systematic audits", "Audit conducted during the period 2007-2009", "The implementation of the recommendations at the global level has strengthened management-related practices and controls to improve the implementation of organizational accountability throughout the organization. The annual report of the Office of Internal Oversight Services noted that 93 per cent of all recommendations in the 2009 headquarters and system audit reports were completed by the end of 2010.", "The annual report of the Office of Internal Oversight Services noted that, as at 31 December 2010, six Headquarters and thematic audits had more than one outstanding recommendations after 18 months. In the first half of 2011, UNICEF management addressed the five audit recommendations. OIA reported to the Executive Director that all the recommendations of the following audits have been implemented:", "(a) Management of contributions to non- thematic other resources (2007);", "(b) Baseline safety control of special assistance programmes (2008);", "(c) Regulatory and operational support from country offices and operational management within the Americas and the Caribbean Regional Office (2008);", "(d) Country office evaluation management (2009);", "(e) Processes to promote ethics and UNICEF values in country offices (2009).", "Two recommendations remain to be implemented in a Headquarters audit report issued by June 2009. Recommendations and updates are contained in annex 1.", "Audit conducted in 2010", "In 2010, the Office conducted four headquarters functional audits and made recommendations related to those audits. OIA also issued a risk assessment report containing IPSAS implementation, without making recommendations. The audit offices of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) jointly conducted two audits of the harmonization of cash transfers. UNDP issued these audit recommendations to the United Nations Coordinator and the United Nations Development Operations Office.", "Division contract management", "The audit of the Division's contract management audit was issued in February 2011. The Division developed an action plan with 22 key tasks to address these audit recommendations. [25] The Division presented a programme of action to the Office of Internal Oversight Services to review and implement recommendations as required. The completed actions included the development and use of standard operating procedures and quality assurance mechanisms for contract management, providing guidance on terms of reference, selection process and evaluation of the performance of consultants. The Communications Division also completed a risk control and self-assessment exercise in terms of financial and human resources management, and developed a risk profile at the division level covering financial and human resources management. In order to strengthen internal controls, the Division has revised the mandate sheets to define specific accountability and responsibilities for the commitment and disbursement of funds. In order to strengthen contract management practices, the Communications Division is reviewing and simplifying the list of consultants and establishing a database of contract monitoring. Major staff will be involved in procurement training in 2011.", "Safety and security of UNICEF field office staff, premises and assets", "The audit report issued in February 2011 provided input to UNICEF actions to strengthen security management. In June 2011, the UNICEF Intranet security component was updated to reflect recent United Nations staff safety and security policies. The update includes (a) guidelines for determining risk acceptable; (b) revised minimum operating security standards; and (c) adaptation to the revised United Nations security management system effective 1 January 2011. UNICEF will distribute an updated security manual at the end of 2011. The manual will describe the roles of Headquarters and regional offices and enhance accountability for monitoring and reporting on security management and security accidents at all levels. [26] The revised manual will provide information on UNICEF support for accountability, while recognizing that security risk assessments and plans are completed by the United Nations country team under the guidance of the United Nations Department of Safety and Security.", "Information and communications technology governance, strategic planning and project management", "Since the issuance of the March 2011 audit report, the Information Technology Settlement and Services Division has completed a number of actions in response to recommendations. The Office is currently reviewing these actions. Actions included the establishment of a global information and communications technology (ICT) committee in 2011, supported by ICT monitoring bodies in Copenhagen and Geneva, as well as seven regional offices and several of the largest country offices. UNICEF has developed guidelines and methodologies for monitoring ICT project expenditures and is currently being used to manage the Headquarters ICT project. Based on the recommendations, UNICEF will establish a financial framework for ICT expenditures and define ICT capital expenditure in accordance with IPSAS standards of life and depreciation. In the next two years, UNICEF will adopt project management and oversight guidelines and methodologies for all major ICT components. UNICEF will also complete a review of the implementation of the VISION project.", "UNICEF ICT functions management in Geneva", "UNICEF has taken a number of important actions to implement audit recommendations. OIA indicated that, by the end of June 2011, 11 of the 18 recommendations had been implemented. Actions include the establishment of an ICT commission at Geneva; [27] improvement of the ICT procurement process; and updating of the Geneva Staff ICT training plan. [28] Significant progress has been made in recording information security procedures for the Geneva Data Centre and in testing the ICT disaster recovery plan as part of the business continuity system at the Geneva office. The UNICEF Global ICT Capacity Coordination and Contract Adjustment Initiative will revise the level, profile and geographical distribution of ICT personnel, including in Central and Eastern Europe/CIS regions.", "Risk assessment of IPSAS implementation", "The risk assessment of IPSAS implementation conducted by UNICEF relates to plans and actions that were deferred to January 2012. The issues identified in the risk assessment report — the report is not an audit, with no recommendations — addressed in the revised project form and in IPSAS-compliant plans in 2012. The IPSAS policy position of all plans has been developed in accordance with the revised plan and approved in February 2010; these policy positions have been translated into detailed operational process documents enabling the installation of VISION to be in line with IPSAS. IPSAS projects are monitored by the Deputy Executive Director responsible for the management of IPSAS/VISION Joint Steering Committee.", "Jointly coordinated auditing in Malawi and Viet Nam", "UNDP, UNFPA and UNICEF jointly conducted two ICP audits, making recommendations to resident coordinators in Malawi and Viet Nam and the United Nations Development Operations Coordination Office. As a member of the United Nations country team, UNICEF is addressing national-level recommendations. Following the Malawi audit, the United Nations country team strengthened the composition of the Working Group on a Harmonized Approach to Cash Transfer, increased specialized agencies and recruited a full-time coordinator. The Working Group on a Harmonized Approach to Cash Transfer developed an annual workplan for the implementation of partner assessments, assurance of audits and inspections, and supporting financial management capacity development in accordance with assessment observations and partners. An inter-agency programme support working group was established in Viet Nam, responsible for the management of the harmonized approach to cash transfers, including assessment and assurance activities, the development of project management guidelines and adjustments to the rates of United Nations agencies to partners. UNICEF offices in both countries have strengthened the management of the integrated approach to cash transfers by applying procedures and tools developed jointly. At the global level, these two audit reports have been reviewed by the Inter-Agency Advisory Committee on the Harmonized Approach to Cash Transfer, resulting in a series of draft recommendations to be completed in 2011, which will be more fully analysed in the global assessment of the integrated approach to cash transfers.", "Action taken by management to address the findings", "UNICEF continues to strengthen the Organization's commitment to ethics practices, to promote reports of misconduct and to protect staff from harassment, including sexual harassment and reprisals against the reported person. UNICEF issued a guide to help staff to understand their rights and resources and to further promote prevention. [29] UNICEF, using established channels, reminds the Office of Internal Oversight Services of concerns and allegations of misconduct. In 2010, the ICB survey team screened about 450 complaints, resulting in 69 cases of investigation.", "(a) In its annual report, OIA noted that 21 investigation reports were submitted to the Human Resources Division Policy and Administrative Law Service. As at the end of June 2011, the actions were as follows: (a) the dismissal of seven persons; (b) the resignation of two; (c) the rejection, punishment, the reduction of four portfolios, suspension or fine; (d) the absence of further action in four cases, in accordance with the results of the investigation; (e) the letter of allegation to be sent to staff members; (f) the appointment of one case pending the submission of a new report due to the discovery of new evidence; and (g) the suspension of one staff member in one case and the final leave.", "Since 2005, the Executive Director issued an annual memorandum to all staff reporting on disciplinary action taken to deal with the confirmed misconduct of staff. The latest memorandum was issued on 13 September 2010.", "UNICEF traces all identified financial losses and seeks to recover losses. The five completed investigations reported to the Human Resources Division in 2010 resulted in financial losses to UNICEF. Total losses amounted to $16,432. UNICEF recovered losses of $13,946 (85 per cent).", "Action taken by management to address the observations of the UNICEF Audit Advisory Committee in its annual report", "UNICEF management confirmed the important contribution of the Audit Advisory Committee to the effective and independent regulation of the Organization. As indicated in the annual report of the Audit Advisory Committee to the Executive Director and the UNICEF Executive Board for 2010, the Committee members interacted regularly with the Deputy Executive Director and other senior managers responsible for management and met with the Executive Director in that year.", "Although the annual report for 2010 did not make specific recommendations, valuable guidance was provided to the Office of Internal Audit and UNICEF management for the year.", "In its annual report, the Audit Advisory Committee noted the importance of effective enterprise risk management. In June 2011, the UNICEF Global Management Group reviewed the first enterprise risk management report of the Organization. The report summarizes the risks and the results of the self-assessment of 95 per cent of all offices at Headquarters and in the field. The enterprise risk management secretariat is located in the Change Management Office. The Office reported to the Deputy Executive Director responsible for management.", "At the request of the Audit Advisory Committee, UNICEF is now submitting to the Commission all management letters to UNICEF in the current biennium and a report on the status of all audit recommendations made to UNICEF in the previous biennium. In late June 2011, the Office of Internal Audit started to assess whether the VISION system was ready for the start of 1 January 2012.", "OIA informed UNICEF management that a draft survey manual was prepared in the second half of 2010, which will be completed by the end of 2011.", "Annex 1", "Updated progress towards outstanding views as at 31 December 2010", "Audit: procurement services management (Report issued in 2009)", "It was suggested that, in view of the recent surge in procurement services, UNICEF should review and clarify the long-term plan, indicators and objectives of procurement services. The review should include consideration of how these goals are clearly linked to core and programme objectives — to meet UNICEF levels, particularly those directly involved in procurement services activities, through clear guidance documents. To date, OIA has addressed 16 of the 18 audit recommendations of the procurement services management audit. In order to address the two remaining outstanding recommendations, UNICEF will update administrative instructions on procurement services policies and procedures by the first quarter of 2012 (CF/EXD/2007-004). The revised instructions will involve improvements proposed in the two audit recommendations. Previous revisions to the UNICEF regulatory framework, including improvements in procurement services operations, and IPSAS preparation will be completed. UNICEF should ensure that administrative instructions on procurement services are expedited, as planned, in order to (a) clarify strategic policies and exit strategies, including linkages with the medium-term strategic plan and the Millennium Development Goals and the evaluation of supply functions, organizational review and operational procedures; (b) clarify the roles and responsibilities of the Supply Division, the Programme Division, the regional offices, country offices and the Procurement Service Review Committee; (c) remove redundancy, update provisions; (d) explain appropriate provisions related to local currency payments and the release of advances; (e) explain how the procurement services are used; and (f) consider issues raised by the Procurement Services Review Committee at its meeting in September 2007.", "In 2010, OIA assessed 20 audited field offices and assessed two offices as unsatisfactory: the country office in Guinea and the White Shawa Regional Office in Pakistan. Although this was improved compared to 2009 (5 of the 26 audited country offices were rated unsatisfactory in that year), it was not acceptable. See para.", "[2] As at 31 December 2010, all recommendations to country offices for more than 18 months have been implemented.", "[3] By the end of 2011, approximately 450 staff members will participate in eight-day training.", "[4] Of the 20 audit offices, there were 1 to 2 risks, 11 were 3 to 5 risks and four were above.", "[5] Both offices were rated as unsatisfactory overall, accounting for four of the six identified high risk. See footnote 1.", "[6] These performance sheets will operate in all UNICEF offices effective 1 January 2012.", "[7] The use of enterprise risk management methods for one year will continue to be new. However, OIA noted in a country office report for 2010, the positive role of enterprise risk management approaches in identifying and managing risks.", "[8] Between 1 January and 31 December 2010, UNICEF was in a timely manner recruited to perform more than 10 per cent of the primary performance indicators.", "[9] Of the 20 audit offices, there are 1 to 2 risks, 3 to 5 risks, and 13 risk.", "[10] Four of the 16 high-risk identified in two rated unsatisfactory offices. See footnote 1.", "[11] In the second half of 2010, the Deputy Representative of all country offices received revised programme structure training.", "[12] The first performance report will be submitted by the end of 2011.", "[13] A warning function will highlight the main performance issues that need immediate attention, including the balance of grants that are soon overdue.", "[14] This is consistent with the revised guidelines for UNICEF partnership agreements issued in December 2009.", "[15] These guidelines include a list of assessment of the capacity of the non-governmental organization programme, guidelines for the use of an inter-agency harmonized approach to cash transfers, including instructions for assessing the financial management capacity of partners.", "[16] Of the 20 audit offices, there are two to two risks, 12 of which have three to five risks, and five risk.", "[17] Six of the 17 high-risk identified in two offices reviewed as generally unsatisfactory. See footnote 1.", "[18] Work processes and automated functions of VISION will reduce the likelihood of error and strengthen the financial control system for all country offices to handle and document payments. After the adoption of IPSAS, no budgetary unliquidated obligations will be required. The development of risk management skills is strengthening the capacity of staff to identify hazardous practices and adapt procedures and practices to the appropriate level of control. These work will follow the revised regulatory framework to be issued by the end of 2011.", "[19] The Supply Division continued to provide warehousing and logistics training to field staff, with the support of a logistics and transport institutes.", "[20] Eleven top- and most challenging country offices will complete a trajectory with external support from qualified staff or contractors; other countries will decide to conduct a trajectory based on their inventory value and operating environments.", "[21] VISION includes an automated asset management module that is recorded at the time of receipt.", "[22] In 2010, the Supply Division organized four public procurement workshops for six country offices in West and Central Africa, with 112 staff participating in the workshop, including a workshop held in Dakar in French.", "[23] In some regions, the regional management teams include operational commissions supporting peer monitoring and sharing of best practices; in other regions, the meetings of the regional management teams include meetings on common audit findings and operational management.", "[24] user identity and password management will be centrally controlled and access to specific parts of VISION will be controlled separately from the user's role.", "[25] As at the end of June 2011, 17 actions have been completed.", "[26] In early 2011, the UNICEF Emergency Programme Office, together with regional and country offices, strengthened the report on security accidents and noted that the timeliness of the report improved.", "[27] This is part of the UNICEF ICT structure introduced in 2011.", "[28] UNICEF is also implementing a comprehensive service management approach to ICT services.", "[29] “Process of harassment: Guide to the complainant”." ]

[ "联合国儿童基金会", "执行局", "2011年第二届常会", "2011年9月12日至15日", "临时议程^(*) 项目6", "内部审计办公室提交执行局的2010年年度报告", "摘要", "本报告提供内部审计办公室在2010年12月31日终了年度的活动的信息。报告概述了单位的情况，介绍了其内部审计和调查工作所着重的关键问题，并提供了有关在2010年披露内部审计报告的信息。根据第2006/18号决定的要求，管理当局对本报告的回应另行提出。按照执行局在其第2009/8号决定核可的儿童基金会问责制规定，审计咨询委员会的年度报告也作为报告附录提供。第七节有一项决定草案。", "^(*) E/ICEF/2011/13。", "目录", "页次\n1.导言 3\n2.内部审计办公室简介 3\nA.任务 3\nB.基于风险的审计规划 4\nC.人员编制 4\nD.审计咨询委员会 5\n3.内部审计工作 5\nA.对国家办事处的审计的结果 5\nB.对总部、区域办事处和专题领域的审计结果 9\nC.审计评级 11\nD.监测审计建议的执行情况 11\nE.咨询服务 12\n4.内部审计报告的披露 12\n5.调查 13\n6.方案绩效评估 16\n7.决定草案 16 \n 附件 \n1.在2010年完成的审计 18\n2.超过18个月尚未解决的建议 20 \n 附录 \n审计咨询委员会2010年年度报告(可到执行局网站查阅)", "一. 导言", "1． 本年度报告由内部审计办公室(内审办)编写，介绍2010年儿童基金会的内部审计和调查活动。报告概述了内部审计办公室的情况，介绍了其内部审计和调查工作所着重的关键问题，并提供了有关在2010年披露内部审计报告的信息。按照执行局在其第2009/8号决定核可的儿童基金会问责制规定，审计咨询委员会的年度报告也作为报告附录提供(可到执行局网页查阅)。", "二. 内部审计办公室简介", "A. 任务", "2． 内审办提供独立和客观的保证和咨询服务，旨在增加价值和改进儿童基金会的业务。办公室帮助儿童基金会完成其目标，以一个系统化、规范化的方法来评估和改善治理、风险管理和控制程序的效能。内审办评估这些程序是否提供合理保证，确保：", "(a) 经济地获得和有效地使用资源；", "(b) 资产有所保障；", "(c) 行动遵守各项规章、细则、政策、程序、行政指示和合同；", "(d) 财务、管理和业务信息准确、可靠和及时；", "(e) 方案、计划和经营目标得以实现。", "3． 内审办的咨询服务的性质和范围，是与儿童基金会管理当局商定的。这些服务可能包括咨询意见和分析，以促进改善治理、风险管理和控制程序。内审办重视采取措施，确保其独立性和客观性不受损害。", "4． 内审办还进行调查，以查核涉及儿童基金会工作人员、顾问、编外人员和机构承包人的贪污或欺诈行为指控或不当行为指控，确定其真实性。内审办调查各种形式的不当行为，包括欺诈、贪污、职场骚扰、性骚扰、滥用权力和违反既定规章、细则、行政指示和行为标准的行为。", "5． 内审办奉行内部审计师协会颁布的《国际内部审计专业实务标准》和国际调查员会议定期认可的《调查工作统一原则和导则》。", "6． 按照《标准》的规定，内审办特此向执行局确认，内审办在2010年享有组织上的独立性。内审办在确定其审计范围、执行其工作及通报其结果方面没有受到任何干涉。", "B. 基于风险的审计规划", "7． 内审办根据风险评估制定工作计划。办公室的2010年风险评估和工作计划编制活动，利用了来自下列各方面的资料：各级管理层、内审办工作人员、与审计咨询委员会的交流、对2009年审计工作的情况的审查。此项活动还包括评估可能进行的审计是否符合儿童基金会中期战略计划的指导原则。内审办2010年工作计划包括有关国家办事处以及总部、区域办事处和专题领域的审计工作。", "8． 国家办事处审计工作的选择标准，是对每个办公室的风险评估以及内部审计办公室2010年制定的战略，即确保10个最大的国家办事处(所有办事处均以总预算额衡量)每三年审计一次，中等规模的国家办事处每五年一次，小规模国家办事处每七年一次。总部、区域办事处和专题审计通过风险评估工作选定。风险评估考虑的因素为：有关主题或审计领域与推进儿童基金会的优先事项并为儿童提供更好的结果的相关性；涉及的数额；放任风险可能造成的影响；已知存在控制薄弱环节；上次审计的时间间隔；审计人员和高级管理人员的建议。", "9． 内审办还考虑到外聘审计人计划在2010年进行的审计，以尽量减少工作的重复和优化儿童基金会的审计覆盖面。编定的2010年工作计划由审计咨询委员会审查和通过。", "C. 人员编制", "10. 内审办在2010年有29个工作人员职位：一名主任、一名副主任、19名审计员、3名调查员、1名编辑、3名行政助理和1名初级专业人员。尽管在2010年尽了最大努力填补所有出缺，但五个职位(P-4内部审计员四个和初级专业人员)在年底仍然悬空。截至2010年12月31日，四个P-4内部审计员职位的征聘程序已到了短名单阶段，内审办预期在2011年初作出人选决定；人力资源司正在协助内审办为捐助方资助的悬空初级专业人员职位物色人选。内审办期望在2011年初确定可能的候选人。", "11. 内审办正在与人力资源司协商，探讨以灵活人事战略，暂时填补目前和将来的出缺的办法，包括雇用短期顾问和工作人员，以确保及时实现工作计划。内审办也在建立工作人员人才库，用于及时填补未来的空缺。", "12. 截至2011年5月23日，内审办已对四个P-4内部审计员出缺职位的人选作出决定，目前正在与人力资源司协作办理聘用手续。内审办也建立了一个P-4工作人员人才队伍名册，其中包括通过竞争性挑选和评估过程甄选，经过一个中央审查机构审查的内部和外部候选人。候选人在册期间以两年为限，供挑选填补新出缺。内审办还继续与人力资源司协作，以确定合适的捐助方和初级专业人员空缺的候选人。", "D. 审计咨询委员会", "13. 审计咨询委员会由五名独立外部专家组成，评审内审办的年度工作计划、季度进度报告、资源、选定的报告和修正内审办章程的建议。委员会也提供咨询意见，以提高儿童基金会的内部审计和调查活动的成效。根据儿童基金会的问责制，委员会在其提交执行主任的2010年年度报告中总结了委员会的活动(该报告为本报告的附录，可到执行局网页查阅)。", "三. 内部审计工作", "A. 对国家办事处的审计的结果", "14. 在2010年对国家办事处进行的审计集中于三大职能领域：(a) 治理，包括权力和职责的下放、管理制度和操守意识；(b) 方案的管理，强调规划、伙伴关系管理，结果的监测与评价；及(c) 业务的管理，着重于财务和资产管理及信息和通信技术的管理。", "15. 内审办在2010年完成了20个国家办事处的审计(附件1)，并在年底前完成了另外3个审计的实地工作。完成的20项审核载有345条意见，其中39条评为高风险，306条为中等风险。被评为高风险的意见占比为11%，与前五年的比例(约13%)相若。", "16. 在2010年提出的意见中，106条涉及治理，140条涉及方案管理，99条涉及业务支持。下面为这三个领域较突出的问题。", "治理", "17. 在2010年完成的审计检查了治理领域的工作，评估了权力和职责的下放、管理制度、质量保证和操守意识。审计工作提出了10条意见，其中6条评为高风险，100条为中风险(表1)。", "表1 2010年关于治理的意见，按问题领域和风险评级分列", "问题领域 高风险 中风险 共计", "有关职责和权力的下放和报告 3 59 62", "管理制度、质量保证 3 41 44", "共计 6 100 106", "18. 多数意见(52%，即106条意见中的55条)涉及以下领域：", "(a) 工作人员的征聘和必要工作人员能力的缺乏：涉及13个办事处的18条意见。注意到9个办事处存在高空缺率和征聘工作缓慢的问题，一些关键工作人员的征聘需要超过一年的时间。审计还观察到，关键职位悬空削弱了监督，特别是在支持应急方案的国家，同时，7个办事处没有进行人力资源能力需要评估。", "(b) 监督委员会的运作：涉及14个办事处的14条意见。例如，在9个办事处，国家管理工作队没有充分发挥其战略作用，其中包括就方案的方向提供咨询意见，确定优先事项，利用战略评价提出的建议和监督风险管理。在4个办事处，合同审查委员会未能有效执行工作。提交的合同缺乏充分审查，其中一些没有经过竞争性招标的证据。有关九个办事处的审计还注意到存在众多委员会、工作队和工作组(一个国家办事处有24个之多)，重复彼此的作用。", "(c) 管理结构：涉及12个办事处的12条意见。在3个支持大规模的应急方案的国家办事处，方案管理结构不足以支持应急方案的规模和复杂程度，有关方案的预算在很短的时间内增加了三倍。还注意到在5个中等收入国家的方案和管理安排不合适，无法确保有效支持各种增加资源作用的活动，以及向有关儿童的“上游”(在政策和方案来源一级)工作提供其他形式的支持。", "(d) 不切实际的结果和优先事项，以及指标没有与确定的结果和(或)优先事项挂钩：11条意见。指标缺乏实质性，在大多数情况下，指标仅涉及资金的使用情况，对儿童的实际结果并没有任何质化指标。国家管理工作队对这些指标的监测力度也很薄弱。一些国家没有紧急支助的指标。没有证据显示这些办事处利用年度管理计划作为战略工具。", "19. 在这106条意见中，大多数的直接原因是：管理人员对控制工作的监测力度不够；规划不周；指导不足；资源欠缺。", "方案管理", "20. 已完成的审计审查了方案的管理方法，并评估了国家办事处如何适当分析和了解儿童和妇女的状况；如何实施倡导活动；如何计划和支持方案的执行；以及如何监测取得的成果。审计还研究了国家办事处通过方案评价验证关键结果的办法。审计工作在方案管理领域提出了138条意见，其中16条评为高风险，122条为中风险(表2)。", "表2 2010年关于方案管理的意见，按问题领域和风险评级分列", "问题领域 高风险 中风险 共计", "执行和监测 9 40 49", "办事处规划和资金 4 41 45", "评价 1 17 18", "评估有关儿童和妇女状况的分析的质量 1 14 15", "倡导 1 10 11", "共计 16 122 138", "21． 多数意见(87%，即138条意见中的120条)集中于以下领域：", "(a) 对方案实施的支助、监测和成果汇报：49条意见。8个受影响的办事处没有充分评估它们与非政府组织合作的基础，包括这些组织是否有能力进行分析或管理由儿童基金会提供的投入。7个办事处的筹资和规划方法缺乏效力，拖延了提供资金和物品投入的时间。这个缺点也导致3个办事处失去到期闲置经费。", "(b) 方案规划，特别是在规划年度业绩，以及规划和管理资金方面：43条意见。注意到17个办事处不切实际的规划，包括不现实的活动实施时限。在这些办事处中，有4个办事处计划开展的活动超出了可动用的资金，表明设定的结果将无法实现。不切实际的实施时间表也制约了规划的活动的连续性。在9个办事处，资金管理方面的主要问题是缺乏一个系统程序，在获支持的方案之间分配资金。", "(c) 缺乏有关儿童和妇女状况的数据和信息：关于9个办事处的16条意见。这些办事处大多似有作出一定努力，支持收集和分析全国数据的政府机制，但由于没有系统或战略地提供这种支持，结果是所需信息残缺不全。审计注意到有几个办事处缺乏用于衡量进展的足够基线资料和指标。", "(d) 缺乏有系统的安排：12条意见。这方面的证据包括缺乏一项倡导战略、明确的倡导主题和优先事项，以及没有分配相关责任给工作人员。", "22． 在138条意见中，大多数的直接原因是缺乏细致的规划和分析，对管理人员控制方案的职能监测不足。", "业务支助", "23． 已完成的审计审查了业务支助的做法，并评估了办事处如何确保准确和完整地处理财务交易；适当执行财务控制措施；适当记录和管理资产，包括方案用品盘存；充分的信息技术安全。审计提出99条意见，其中17条评为高风险，82条为中风险(表3)。", "表3 2010年关于业务支助的意见，按问题领域和风险评级分列", "问题领域 高风险 中风险 共计", "财务管理 9 46 55", "库存和资产管理 3 24 55", "信息技术安全 5 2 17", "共计 17 82 99", "24． 多数意见(74%，即99条意见中的73条)集中于以下领域：", "(a) 库存和资产管理：关于14个办事处的15条意见。例如，审计指出库存记录的准确性存在问题，没有对库存进行清点和调节，不适当划分实物清点和库存管理的职责。在一个办事处，无法确定外借库存物品的问题被评为高风险。", "(b) 财务控制问题：关于15个办事处的26条意见。问题涉及没有充足的交易佐证文件；缺乏关键的财务控制手段，导致未交货已付款的情况，以及将无关交易记录为预算待付款；交易的编码不正确，分类不恰当；现金管理存在薄弱环节；过高的财务审批权限；在方案预算拨款到期前已准备好支票。", "(c) 采购：关于8个办事处的13条意见。意见涉及招标和选择供应商的问题；招标过程的记录不适当或不齐全；缺乏通过竞争选定的供应商的选择理由；未能成功地为经常采购的用品签订长期服务协议；缺乏进行市场调查的努力。", "(d) 儿童基金会信息和通信技术系统的准入问题：关于9个办事处的11条意见。这些问题包括：准许不适当或未经训练的工作人员进入系统；儿童基金会系统的准入程序不健全；用户名重复；用户名失效日期的记录不正确；没有严格分隔管理儿童基金会系统准入的工作人员的职务。", "(e) 仓库和供应管理：关于 7个办事处的8条意见。指出的问题包括：长期未予动用，以致陈旧、损坏或丢失的用品；用品流动缓慢；库存用品的监测系统不健全；贮存条件不合适；库存用品的流动记录不全。另外还提出关于一个管理13个仓库的国家办事处的跟踪系统(Unitrack)的功能问题。", "25. 在99条意见中，大部分直接源于对管理人员的管制职能监测不足，实施管制程序中的人为错误，以及资源或能力的缺乏。", "导致国家办事处审计意见的原因分析", "26. 为了便于了解与审计结果有关的基本问题，内审办将所有审计意见分类，归入下列五个原因类别之一：(a) 管理当局对内部控制的运作缺乏监督；(b) 缺乏周详规划，导致无视可能产生的风险；(c) 缺乏关于如何识别和管理风险的指导；(d) 缺乏确定和管理风险的资源；及(e) 工作人员或管理当局的错误，包括对政策和指导的误解。", "27. 同往年一样，在2007至2010年期间，导致中风险和高风险意见的常见原因是对内部控制的运作监督不足的问题，以及规划或分析不足的问题(表4)。这两个原因占所有国家办事处的审计意见的80%。", "表4 2007至2010年导致中风险和高风险国家办事处审计意见的原因(百分比)", "原因 2007年 2008年 2009年 2010年", "管理当局对内部控制的运作监督不足 36 53 47 45", "规划或分析不足 22 24 30 35", "关于确定和管理风险的指导不足 8 7 10 6", "确定和管理风险的资源或能力不足 20 10 8 9", "人为错误 14 6 5 5", "共计 100 100 100 100", "B. 对总部、区域办事处和专题领域的审计结果", "28． 内审办在年底前完成了七项审计总部、区域办事处和专题领域的工作和另外四项审计的外地工作。内审办还发布了关于上一年度进行的所有国家办事处审计的三个总结分析报告。七项已完成的审计的结果总结如下。", "传播司的合同管理", "29． 审计发现，传播司的服务合同没有得到妥善管理。不足之处涉及规划使用顾问和承包商以实施该司的工作计划的问题；工作范围的设定；选择顾问和承包商的竞争性程序；合同的签发；对顾问和承包商业绩的监测。该司工作人员也没有服务合同订约程序方面的足够培训，识别、评估和应对有关合同管理的风险的程序也不健全。", "关于马拉维的现金转移统一办法实施情况的联合审计", "30． 联合国开发计划署(开发署)、联合国人口基金(人口基金)和儿童基金会联合进行的一项审计断定，马拉维还没有全面遵行现金转移统一办法。审计注意到一些需要改进的地方，并向联合国国家工作队提出了建议。", "关于越南的现金转移统一办法实施情况的联合审计", "31． 在越南的审计由儿童基金会、开发署和人口基金的审计员，在人口基金监督事务司的领导下联合进行。联合小组的结论是，三个参与机构取得了长足进展，但该国尚未充分遵行现金转移统一办法。审计向联合国国家工作队提出了有关实施现金转移统一办法的建议，向联合国发展业务协调办公室提出了有关现金转移统一办法框架的建议。", "儿童基金会实施《国际公共部门会计准则》的风险评估", "32． 关于《国际公共部门会计准则》(公共部门会计准则)的风险评估确定了几个需要改进的领域，以便在儿童基金会成功实施《准则》：已规划的《公共部门会计准则》活动推迟和只得到部分实施；有关重大问题的政策立场的制定工作迟缓；对《准则》实施工作的监测不足。风险评估也介绍了良好做法，即预期检查，以作为自我评估的标准，用于协助儿童基金会管理确定的风险和判断实施《公共部门会计标准》的业绩。", "外地办事处工作人员、房地和资产的安保", "33． 关于安保的审计发现，儿童基金会的指示已经过时，而且缺乏有关安保工作业绩报告的指导。总部各部门和各区域办事处的职责不清。安保计划也已经过时，没有包括所有规定的关键要素。经审查的安保风险评估不全面，缺乏一些重要信息。一些安保风险管理措施没有得到充分实施或监控，有些办事处没有遵守强制性的安保规定或安保事故报告规定。", "日内瓦信息和通信技术职能的管理", "34. 审计发现，日内瓦区域办事处已制定一个信息和通信技术战略。得到的意见和反馈表明，私营部门筹资和伙伴关系司及中东欧和独立国家联合体区域办事处内的信息和通信技术用户对在这方面获得的支持表示满意。日内瓦办事处的信息和通信技术单位，拥有总部以外最大一批的信息和通信技术工作人员，却从来没有进行任何研究，以确定其适当的编制；处级的服务协议也付诸阙如。可以为私营部门筹资和伙伴关系司和区域办事处建立一个共同的信息和通信技术治理机构改善管理。另外还建议加强一些领域如：培训、库存管理、灾后恢复规划、测试中东欧和独立国家联合体区域的业务连续性计划。", "信息和通信技术的治理、战略规划和项目管理", "35． 审计查明，信息技术解决方案和服务司已制定全球信息和通信技术战略，并加强了其项目管理功能。但是，目前尚无一个以高级业务管理层代表组成的全球信息和通信技术治理机构，也缺少导则指引重大信息和通信技术举措的筹划、提交和成本效益审查。这些举措不一定经过全面的评估，以确保一致性和寻求发挥协同作用的机会；信息和通信技术方面的支出也缺乏一个全球性财政框架。有些企划案没有提供预算和资金来源的详细信息，对切实评估选项和投资回报的工作造成困难。儿童基金会所有信息和通信技术项目缺乏一致的项目管理方法，也没有进行实施后的审查，评估从所作投资获得的惠益。", "2009年审计的国家办事处的总结报告", "36． 2010年，内审办将2009年进行的26个国家办事处审计工作的主要审计结果综合成为三个总结报告，覆盖治理、项目管理和业务支助管理三个领域。这些报告的主要目的是提高高级管理人员的意识，以认识到控制薄弱环节的严重性，重复性和根本原因。总结报告的依据是2008年1月至2009年现场工作结束期间进行(因此反映于2009年年度报告)的审计。", "C. 审计评级", "37． 2010年的审计工作是根据每项审计的具体目标和范围进行的，分类为保证性审计或咨询性审计。国家办事处的保证性审计的总体结果分别被评定为满意、部分满意或不满意。有关总部、区域办事处和专题领域的保证性审计以及咨询性审计不予评级。[1]", "38. 在2010年完成的20个国家办事处审计中，2个(几内亚和巴基斯坦白沙瓦的区办事处)，即10%，被评为不满意。虽然不满意的百分比低于2009年，但获得满意评级的审计的百分比也下降，从41%跌到30%(见表5)。", "表5 2009年完成的国家办事处审计的总体评级百分比", "年份 满意 部分满意 不满意", "2009 41 41 18", "2010 30 60 10", "D. 监测审计建议的执行情况", "39. 内审办密切监测被评为不满意的国家办事处。内审办继续进行季度案头审查，监测审计建议的落实进度。在2010年第四季度期间，内审办采取现场审查的做法，以评估上一年总体评级被定为不满意的审计报告所提建议的执行情况。", "40. 截至2010年12月31日，国家办事处的尚待执行建议均在18个月以下。然而，18项有关总部、区域办事处和专题领域审计的待执行建议已超过18个月(附件2)。", "对国家办事处提出的审计意见的执行情况", "41. 截至2010年12月31日，历次有关国家办事处审计的审计意见执行情况如下：", "(a) 在2010年提出的意见(347条)，27%(95条)完结；", "(b) 在2009年提出的意见(403条)，88%(353条)完结；", "(c) 在2008年或更早提出的意见，100%完结。", "对总部单位和区域办事处提出的审计建议的执行情况", "42. 截至2010年12月31日，历次有关总部、区域办事处和专题领域的审计所提建议的执行情况如下：", "(a) 在2010年提出的建议(86项)，23%(20项)完结；", "(b) 在2009年提出的建议(246项)，93%(229项)完结；", "(c) 在2008年提出的建议(208项)，99%(207项)完结；", "(d) 在2007年或更早提出的建议，100%完结。", "E. 咨询服务", "43. 2010年，内审办向管理当局提供了多项咨询服务和其他形式的支持。这包括(a) 向海地部署三名工作人员(两次)，以支持国家办事处在2010年1月地震后不久制定风险管理策略；(b) 给改革管理办公室借调一名高级审计员，担任全球风险管理协调人；(c) 在几个国家办事处举办风险和监控自我评估讲习班；(d) 提供有关现金转移统一办法的指导意见和咨询意见；及(e) 对新代表培训工作提供支持并为新兴人才倡议参与人举办讲习班。", "四. 内部审计报告的披露", "44. 目前内部审计报告的披露程序，由执行局2009年6月10日第2009/08号决定加以规定。在执行局全体成员和有关的被审计会员国获得通知后，会员国可以获准在儿童基金会房地阅读内部审计报告。到目前为止，12个会员国查阅了一些内部审计报告。", "45. 在2010年，六个会员国按照执行局第2009/8号决定的规定查阅了12个内部审计报告(表6)。", "表6 2010年向会员国披露的审计报告", "披露的审计报告 会员国", "中非共和国国家办事处 法国", "科特迪瓦国家办事处 科特迪瓦、法国、美国", "几内亚国家办事处 法国", "埃塞俄比亚国家办事处 法国", "印度国家办事处 法国、印度", "莫桑比克国家办事处 丹麦、莫桑比克、美国", "缅甸国家办事处 美国", "尼日利亚国家办事处 法国", "津巴布韦国家办事处 丹麦、法国", "指导和支持国家办事处高效开展业务活动 美国", "管理国家办事处的试点举措 丹麦、美国", "在国家办事处提倡道德操守和儿童基金会价值的程序 丹麦、美国", "五. 调查", "46. 内审办负责调查所有形式的不当行为指控，包括诈骗、盗窃、贪污、性和所有其他形式的骚扰和剥削、滥用权力、对举报人打击报复。在与人力资源司和有关区域办事处的协调下，内审办继续向国家和区域办事处提供关于如何在本地管理初步调查的指导。", "47. 2010年，内审办通过电话、传真、信函或电子邮件，以及儿童基金会在内联网和互联网上提供的匿名举报专用电邮地址(又称“廉洁1号热线”)，收到许多举报。经过初步筛选，约450项举报被确定为构成儿童基金会工作人员或顾问可能有不当行为的指控。这些举报多数需要发回举报人，请其提供进一步信息或作出澄清。经过这个程序，确定69项举报构成不当行为指控，并进行了调查。2010年承接了2009年三个未结案件，也就是说2010年处理了72个案件(表7)。", "表7 2010年调查案件的处理情况", "案件数量", "2010年1月1日续办未结旧案 3", "2010年接办案件 69", "2010年总案件量 72", "完结(续办未结旧案) 3", "完结(接办案件) 45", "2010年结案总数 48", "2010年12月31日未结案件数 24", "2010年结案总数 48", "结案备忘录(指控不成立) 17", "结案备忘录(指控属实，并由国家办事处采取补救行动) 3", "结案备忘录(撤回投诉) 3", "结案备忘录(杂项) 4", "调查报告提交给人力资源司 21", "48. 到2010年底，向人力资源司政策和行政法科提交的21份调查报告导致以下行动：", "(a) 六人被解雇；", "(b) 一人被处分；", "(c) 一人被降四个等内职档和课以一个月薪金净额的罚款；", "(d) 一人被谴责和降一个职档；", "(e) 一个被无薪停职三个月和降一个等内职档；", "(f) 四个案件没有采取进一步行动。", "49. 截至2011年3月31日，移送人力资源司的其余七个案件尚待作出纪律处分或其他行动的决定。", "50. 在2010年完结的案件中，84%在收到指控6个月内完结。超过6个月才完结的7个案件涉及外部实体，因有待警方完成调查而被压后，或因涉案人没有回应内审办的请求或签署面谈记录而被拖延。", "51. 虽然在2009年启用一个新数据库后修订了立案标准，但案件总量从2008年至2009年基本上持平。2010年的案件量增加，多数案件涉及盗窃儿童基金会的资金(26%)，其次是诈骗法定福利(19%)。下列几类案件在2010年明显增加：入室盗窃、抢劫和偷窃(比2009年增加44%)和诈骗法定福利(比2009年增加77%)(图1)。", "图一 2010年内审办调查的指控类别", "[]", "52. 大部分指控来自西部和中部非洲区域(29%)及东部和南部非洲区域(28%)，其次是美洲和加勒比区域(16%)(见图二)。", "图二 2010年从各区域收到的指控", "[]", "简称：WCARO=西部和中部非洲区域办事处；ROSA=南亚区域办事处；TACRO=美洲和加勒比区域办事处； MENARO=中东和北非区域办事处；CEE/CIS=中欧和东欧和独立国家联合体区域办事处； EAPRO=东亚和太平洋区域办事处；ESARO=东部和南部非洲区域办事处。", "53. 除了结案备忘录和调查报告，内部审计办公室还向五个在调查过程中确定存在系统薄弱环节的办事处发出管理备忘录。内审办提出的建议旨在加强内部控制。", "54. 确定存在系统薄弱环节的七个案件涉及雇用当地保安公司的问题。这些公司对有效防止偷窃、盗窃不起任何作用，有些还涉及偷窃、盗窃行为。涉及儿童基金会仓库财产失窃的案件，除了偷窃、盗窃，就是不按照正常程序办事的结果。由于盘点库存工作被推迟或存货控制数据库失效，这些情况没有及时被察觉。另外两个案件涉及不安全做法。一个是紧急付款给没有准入银行账户的伙伴，另一个是根据供应商系统记录向供应商支付每月消耗货品货款。在其他六个案件，调查发现骚扰或滥用权力的指控实际上是个人之间的冲突，有关代表缺乏解决争端的工具来管理这些冲突。", "55. 在内审办的时间管理方面，虽然骚扰和滥用权力的指控只占指控总数的16%，但这些指控占用了调查组很大部分的时间。这是因为这些调查一般需要与许多证人面谈，以公平、全面、平衡地了解事件。", "56. 内审办的调查组已成立一段时间，并于2010年2月增加第三名专职调查员。由于设立了调查组，现在可以更系统和一贯地处理指控和调查。内审办还建立了一个保密数据库，在输入所有2010年的案件后现已全面运作。调查组可以利用该数据库分析不当行为的模式和趋势，最终还可以制定预测性标识。这将有助于进行主动调查和采用控制措施。", "57. 目前，调查组指导选定的外地工作人员收集材料，并在有些情况下与被确定为持有实质性证据的人员面谈。由于新成立的联合国争议法庭对联合国秘书处、基金和方案作出的裁判，预计内审办的调查人员将在2011年进行更多的外地调查工作。", "六. 方案绩效评估", "58. 2008年，内审办和评价办公室启动了一个试点项目以评估方案绩效。在2010年第一季度，两个办公室对试点项目进行了联合审查。审查结论是，评估工作发挥了一定作用，向国家和区域办事处提供有关国家方案的分析，但需要调整产品以适应不断变化的情况。审查建议内审办和评价办公室继续进行试点阶段发展形成的分析性监督，但两者应分开进行工作，每个办公室以自己的核心职能为重点。商定的分工是，内审办在一般国家办事处审计中注重方案业绩审计，评估办公室则着重于评估儿童基金会对国家一级结果所作的贡献。", "七. 决定草案", "59. 儿童基金会建议执行局通过以下决定草案：", "执行局", "1. 注意到内部审计办公室提交执行局的2010年年度报告(E/ICEF/2011/ AB/L.9)，儿童基金会审计咨询委员会提交执行主任的2010年年度报告，以及儿童基金会管理当局对内部审计办公室2010年年度报告的回应(E/ICEF/2011/ AB/L.10)；", "2. 欢迎以基于风险的审计规划为重点；", "3. 表示支持加强内部审计办公室的能力，并请管理当局确保充分和及时提供人员；", "4. 赞赏地注意到在儿童基金会各部门建立和推行企业风险管理，并请儿童基金会管理部门在高风险国家办事处继续加强控制和缓减风险战略。", "附件1", "在2010年完成的审计", "儿童基金会国家和地区办事处", "1. 波斯尼亚和黑塞哥维那", "2. 保加利亚", "3. 布隆迪", "4. 克罗地亚", "5. 刚果民主共和国", "6. 几内亚", "7. 几内亚比绍", "8. 海湾地区方案", "9. 伊朗伊斯兰共和国", "10. 利比里亚", "11. 马达加斯加", "12. 马拉维", "13. 巴勒斯坦被占领土", "14. 白沙瓦(巴基斯坦)区办事处", "15. 菲律宾", "16. 塞拉利昂", "17. 南非", "18. 塔吉克斯坦", "19. 多哥", "20. 越南", "总部、区域办事处和专题领域的审计", "1. 传播司的合同管理", "2. 关于马拉维的现金转移统一办法实施情况的联合审计", "3. 关于越南的现金转移统一办法实施情况的联合审计", "4. 联合国儿童基金会实施《国际公共部门会计准则》的风险评估", "5. 外地办事处工作人员、房地和资产的安保", "6. 日内瓦信息和通信技术职能的管理", "7. 信息和通信技术的治理、战略规划和项目管理", "附件2", "超过18个月尚未解决的建议", "非专题其他资源捐助的管理(2007年提出的审计报告)", "1. 执行主任办公室应联同方案筹资办公室(现称公共联盟和资源调动办公室)、日内瓦区域办事处和方案司，在征询区域办事处意见后，澄清区域办事处对下列事项具有的权力、职责和应负责任：监督国家办事处使用其他资源的情况和相关的绩效管理；对重大组织政策和程序的遵守情况。还应该建立机制，以便有系统地监督负责管理其他资源捐助的区域办事处及监督其业绩。", "系统、应用和产品(SAP)的基线安全控制(2008年提出的审计报告)", "2. 信息技术解决方案和服务司(信息服务司)应与人力资源司合作，为SAP安全协调人制定和实施一个关于信息技术和SAP安全的培训方案，内容包括数据的保密和完整性所面对的主要风险。", "3. 信息服务司应制定和实施明确政策，规定安全报告的在线调阅标准和安全报告的生成频率。安全报告的产生和审查，应交由各个部门和国家办事处适当指定的协调人负责。", "4. 信息服务司应寻求办法，准许安全监测协调人利用查询工具，检查本单位用户的SAP安全能力，调查违反安全守则情事。", "5. 信息服务司服务应与有关部门协商，审查工作人员获得SAP关键交易代码的标准，以确保标准合理和受到监测。 信息服务司也应确保，获得关键交易代码(使用户能够读取、修改或删除SAP的任何数据)的审批标准，均记录在安全政策中和得到数据所有人的核可。", "6. 信息服务司应该与人力资源司协调，就修改或终止SAP访问权的问题，制定标准，分配责任并建立程序。", "7. 信息服务司应评估是否可以在SAP的安全功能和SAP的人事数据之间建立自动链接，以便授予、修改或终止SAP访问权所需的用户信息可以系统地由用户的人事档案提供。", "关于美洲和加勒比区域办事处向国家办事处提供的监督和业务支助以及内部业务管理问题的审计报告(2008年提出的审计报告)", "8. 美洲和加勒比区域办事处(美加办)应建立一个监测数据库，显示已完成的实地监督所提重要建议的落实情况和业务支持服务活动的现状，以及美加办向国家办事处提供的业务支助服务的年中和年底审查报告。", "国家办事处评估工作的管理(2009年提出的审计报告)", "9. 方案司应联同政策和实践司制定实施一项战略，将国家范围的方案评价结果与更广泛的组织知识的产生和管理链接起来。这种战略应确保评价结果和经验教训的传播。在信息和知识管理的新内联网网站内增加即将或计划进行的评估活动，可以进一步推动综合学习倡议。", "10. 方案司应与评价办公室合作，确保总部和区域办事处的合格评价专家和相关部门专家与整个组织的评价员有充分联系，并在如何评价具体方案方面获得足够的技术支持。", "在国家办事处提倡道德操守和儿童基金会价值的程序(2009年提出的审计报告)", "11. 道德操守办公室应向国家办事处提供指导，说明如何可以建立主要合作伙伴和供应商的能力，以提倡儿童基金会的道德标准和价值观念的重要性。", "12. 道德操守办公室应编制和分发培训和宣传材料，以提高工作人员对举报不当行为和保护免遭报复的机制的信心。", "13. 道德操守办公室应制定和公布导则、标准和工具，指导国家办事处如何就道德操守问题进行监测和向工作人员提供反馈。这应包括符合儿童基金会的道德操守标准和价值观念的行为，并实施多种机制，以衡量和监测儿童基金会在国家办事处提倡道德操守和价值观念的努力，以及通告所得结果和影响。这将有助于办事处确定需加监督和改进的道德操守和价值观念问题。", "采购业务管理(2009年提出的审计报告)", "14. 鉴于各采购处的业务量最近急剧上升，儿童基金会应重新审视和阐明其短期和长期计划、目标和目的。这项审查应包括考虑如何可以将这些目标与核心目标和方案目标明确地联系起来，并通过明确的指引文件传达儿童基金会各级单位，特别是直接参与采购处活动的单位。", "15. 儿童基金会应确保加快修订关于采购处的行政指令的计划。修订应反映下列方面：(a) 澄清战略政策和撤出战略，包括与《中期战略计划》和《千年发展目标》的联系，以及在供应职能评价、组织审查和业务程序审查中提出的问题；(b) 明确解释供应司、方案司、区域办事处、国家办事处和PROSERVE的角色和责任；(c) 消除重复和确保各项规定反映最新情况；(d) 解释关于以当地货币付款和免除预付款的具体规定；(e) 解释如何可以在方案规划和倡导活动方面利用采购处；(f) 确保考虑供应司在2007年9月PROSERVE会议上提出的问题。", "16. 鉴于交易的数额越来越大，供应司应与主计长办公室和PROSERVE一起，经常审查在无预付款的情况下接受采购处请求是否恰当的问题。这项审查应包括评估承担的财务风险，并确保未来修订的行政指示更明确地规定可以行使酌处权免去预付款的条件。", "17. 供应司应加强有关取得客户反馈意见的程序和问责制，以确保系统地分析回复意见，注意到并充分和及时地处理需要改进的方面。", "18. 供应司应与方案司及政策和规划司协调，向国家办事处提供指导，说明需要对采购处活动进行的监测和评价，包括有关本地采购能力的监测和报告。", "[1] 2011年1月1日，内审办开始将用于国家办事处审计的评级办法适用于总部、区域办事处和专题领域的审计。" ]

[ "United Nations Children’s Fund", "Executive Board", "Second regular session 2011", "12-15 September 2011", "* E/ICEF/2011/13.", "Item 6 of the provisional agenda*", "Office of Internal Audit 2010 annual report to the Executive Board", "Summary", "This report provides information on the activities of the Office of Internal Audit during the year ended 31 December 2010. It provides an overview of the unit, describes the key issues highlighted by its internal audit and investigations work, and gives information on the disclosure of internal audit reports during 2010. The management response to this report is presented separately as requested in decision 2006/18. The annual report of the Audit Advisory Committee is also appended to the report in line with the accountability system of UNICEF, which was approved by the Executive Board in its decision 2009/8. A draft decision is included in section VII.", "Contents", "Page\nI.Introduction 3II.Overview 3 of the Office of Internal \nAudit \nA.Mandate 3B.Risk-based 4 audit \nplanning \nC.Staffing 4D. Audit 5 Advisory \nCommittee III.Internal 5 Audit \n work A.Results 5 from audits of country \noffices B.Results 10 from audits of headquarters, regional offices and thematic \nareas C. Audit 12 \nratings D.Monitoring 12 implementation of audit \nrecommendations E.Advisory 13 \nservices IV. Disclosure 13 of internal audit \nreports \nV.Investigations 14VI. Programme 18 performance \nassessments VII. Draft 18 \ndecision \nAnnexes 1.Auditscompletedin 20 \n 2010 2.Recommendationsunresolved 21 for more \nthan18months \nAppendix 2010Annualreportof theAudit AdvisoryCommittee(availableon theExecutiveBoard \nwebsite)", "I. Introduction", "1. This annual report was prepared by the Office of Internal Audit (OIA) and describes UNICEF internal audit and investigations activities during 2010. It gives an overview of OIA, describes the key issues highlighted by the unit’s internal audit and investigations work, and provides information on the disclosure of internal audit reports during 2010. The annual report of the Audit Advisory Committee is also appended to this report (made available on the Executive Board web page) in accordance with the requirements of the accountability system of UNICEF, which was approved by the Executive Board through decision 2009/8.", "II. Overview of the Office of Internal Audit", "A. Mandate", "2. OIA provides independent and objective assurance and advisory services designed to add value and improve UNICEF operations. It helps UNICEF to accomplish its objectives by bringing a systematic, disciplined approach to evaluating and improving the effectiveness of governance, risk management and control processes. OIA assesses whether these processes provide reasonable assurance that:", "(a) Resources are acquired economically and are used efficiently;", "(b) Assets are safeguarded;", "(c) Activities comply with regulations, rules, policies, procedures, administrative instructions and contracts;", "(d) Financial, managerial and operating information is accurate, reliable and timely;", "(e) Programmes, plans and business objectives are achieved.", "3. The nature and scope of OIA advisory services are agreed with UNICEF management. Such services may include advice and analyses to promote improvements in governance, risk management and control processes. OIA takes care to ensure that its independence and objectivity are not compromised.", "4. OIA also conducts investigations to examine and determine the veracity of allegations of corrupt or fraudulent practices and allegations of misconduct involving UNICEF staff, consultants, non-staff personnel and institutional contractors. OIA’s investigations cover various forms of misconduct including fraud, corruption, workplace harassment, sexual harassment, abuse of authority and failure to observe prescribed regulations, rules, administrative issuances and standards of conduct.", "5. OIA adheres to the International Standards for the Professional Practice of Internal Auditing promulgated by the Institute of Internal Auditors and to the Uniform Principles and Guidelines for Investigations, which are periodically endorsed by the Conference of International Investigators.", "6. As required by the Standards, OIA hereby confirms to the Board that it enjoyed organizational independence during 2010. The unit was free from interference in determining its audit scope, performing its work and communicating its results.", "B. Risk-based audit planning", "7. OIA formulates its workplans based on risk assessments. Its 2010 risk assessment and work plan preparation exercise used input obtained from various levels of management, OIA staff, interactions with the Audit Advisory Committee and a review of the status of 2009 audit engagements. The exercise also included an assessment of the consistency of potential engagements with the guiding principles of the UNICEF Medium-term strategic plan. The OIA 2010 workplan contained audit engagements relating to country offices as well as headquarters, regional offices and thematic areas.", "8. Selection of country office audits was based on the risk profile of each office and OIA’s 2010 strategy of ensuring that the 10 largest country offices (all offices are measured in terms of total budget) are audited every three years, medium-size country offices every five years, and small country offices every seven years. Headquarters, regional offices and thematic audits were selected through a risk assessment exercise that considered the relevance of the themes or audit areas to advancing UNICEF priorities and delivering better results for children; dollars at risk; potential impacts of uncontrolled risks; existence of known control weaknesses; time since the last audit; and suggestions from audit staff and senior management.", "9. OIA also took account of the planned 2010 audits of the external auditor as a means of minimizing duplication of work and optimizing audit coverage for UNICEF. The final 2010 work plan was reviewed and endorsed by the Audit Advisory Committee.", "C. Staffing", "10. OIA had 29 staff positions in 2010: a director, a deputy director, 19 auditors, 3 investigators, 1 editor, 3 administrative assistants and a Junior Professional Officer (JPO). Despite best efforts to fill all vacancies during 2010, five of these positions (four P4 internal auditors and the JPO) were vacant at the end of the year. As of 31 December 2010 the recruitment process for the four P4 internal auditor positions was at the short-listing stage and OIA expected to make selection decisions early in 2011; and the Division of Human Resources (DHR) was assisting OIA to identify candidates for its vacant JPO position, which is donor funded. OIA was expecting to identify potential candidates early in 2011.", "11. In consultation with DHR, OIA was exploring ways of temporarily offsetting current and future vacancies through flexible staffing strategies, including hiring short-term consultants and staff to ensure timely achievement of the work plan. OIA was also in the process of creating staff talent pools for use in filling future vacancies on a timely basis.", "12. As of 23 May 2011, OIA had made selection decisions for the four vacant P4 internal auditor positions and was working with DHR to bring the selected individuals on staff. OIA had also created a P4 staff talent group, which is a roster of internal and external candidates who undergo a competitive selection and assessment process that is reviewed by a competent Central Review Body, and who are available for selection to new positions for a maximum of two years. OIA was also continuing to work with DHR to identify suitable donors and candidates for the vacant JPO position.", "D. Audit Advisory Committee", "13. The Audit Advisory Committee, consisting of five independent external experts, reviewed OIA’s annual workplan, quarterly progress reports, resources, selected reports and proposed amendments to the OIA charter. It also gave advice to improve the effectiveness of internal audit and investigation activities in UNICEF. The Committee’s activities were summarized in its 2010 annual report to the Executive Director (an appendix to this report, it is available on the Executive Board web page) in line with the accountability system of UNICEF.", "III. Internal Audit work", "A. Results from audits of country offices", "14. Country office audits conducted in 2010 focused on three main functional areas: (a) governance, including delegation of authority and responsibilities, management systems and ethical awareness; (b) management of programmes, with emphasis on planning, partnership management, results monitoring and evaluation; and (c) operations management, focusing on financial and asset management and management of information and communication technology.", "15. OIA completed 20 country office audits (annex 1) during 2010 and the field work for another 3 audits before the end of the year. The 20 completed audits contained 345 observations, of which 39 were rated as high risk and 306 as medium risk. The proportion of observations that were rated as high risk was 11 per cent, similar to the proportion (about 13 per cent) over the previous five years.", "16. Of the observations made in 2010, 106 were related to governance, 140 to programme management, and 99 to operations support. The issues highlighted for each of these areas are provided below.", "Governance", "17. The audits completed in 2010 examined the governance area and assessed the delegation of authority and responsibilities, management systems, quality assurance and ethical awareness. The audits made 106 observations, of which 6 were rated as high risk and 100 as medium risk (table 1).", "Table 1 Number of 2010 governance observations by area and risk rating", "Area High risk Medium Total risk", "Delegation and reporting on 3 59 62 responsibilities and authorities", "Management systems and quality assurance 3 41 44", "Total 6 100 106", "18. The most frequent observations (52 per cent, or 55 of the 106 observations) addressed the areas described below:", "(a) Staff recruitment and the lack of required staff competencies: 18 observations in 13 offices. High vacancy rates combined with slow recruitment were noted in 9 offices, where it took more than a year to recruit some key staff. Audits also observed that vacancies in key positions had weakened oversight, especially in countries supporting emergency programmes, and that required human-resource capacity assessments had not been undertaken in 7 offices.", "(b) Functioning of oversight committees: 14 observations in 14 offices. For example, in 9 offices, the country management team did not fully exercise its strategic role, which includes advising on programme direction, identifying priorities, using recommendations from strategic evaluations and overseeing risk management. In 4 offices, the contract review committee did not perform efficiently. There was insufficient review of contract submissions, some of which lacked evidence of competitive bidding. Nine office audits also observed the existence of numerous committees, task forces and working groups (up to 24 in one country office) with overlapping roles.", "(c) Management structures: 12 observations in 12 offices. In 3 country offices supporting large-scale emergency responses, the programme management structure was not adequate to support the scale and complexity of the emergency programme, whose budgets had increased threefold over a short period. Programme and management arrangements in 5 middle-income countries were also noted to be unsuitable to ensuring effective support for various resource-leveraging and other forms of support for ‘upstream’ (at the level of the source of policies and programmes) work for children.", "(d) Unrealistic results and priorities and indicators that were not linked with identified results and/or priorities: 11 observations. The indicators were not substantive; in most cases they were limited to financial utilization, with no qualitative indicators of actual results for children. Monitoring of these indicators by the country management teams was also weak. Some countries had no indicator for emergency support. These offices lacked evidence that annual management plans were being used as strategic tools.", "19. The immediate causes of most of the 106 observations were inadequate monitoring of the functioning of controls by managers; weak planning; insufficient guidance; and inadequate resources.", "Programme management", "20. The completed audits reviewed programme management practices and assessed how offices gain sound analysis and understanding of the situation of children and women; how they implement advocacy initiatives; how they plan and support programme implementation; and how they monitor achievement of results. The audits also examined how offices validate key results through programme evaluations. The audits made 138 observations in the programme management area, of which 16 were rated as high risk and 122 as medium risk (table 2).", "Table 2 Number of 2010 programme management observations by area and risk rating", "Area High risk Medium Total risk", "Implementation and monitoring 9 40 49", "Office planning and funding 4 41 45", "Evaluation 1 17 18", "Assessing quality of analysis on the 1 14 15 situation of children and women", "Advocacy 1 10 11", "Total 16 122 138", "21. The most frequent observations (87 per cent, or 120 of the 138 observations) were on the areas described below:", "(a) Support to programme implementation, monitoring and reporting on results: 49 observations. Eight affected offices did not adequately assess the basis for their cooperation with non-governmental organizations, including the capacity of these organizations to undertake analysis or manage inputs provided by UNICEF. Seven offices had weak fundraising and planning practices, delaying provision of cash and supply inputs. This shortcoming also resulted in expiry of unused funds in three offices.", "(b) Programme planning, particularly in planning annual results and planning and managing funding: 43 observations. Unrealistic planning was noted in 17 offices, including unrealistic time frames for implementation of activities. In 4 of these offices planned activities exceeded available funding, indicating that defined results would not be met. Unrealistic implementation timeframes also constrained continuity of planned activities. In 9 offices, the major issue in funds management was the absence of a systematic process for allocating funds among supported programmes.", "(c) Insufficient data and information on the situation of children and women: 16 observations in 9 offices. Most of these offices demonstrated some effort to support government mechanisms for national data collection and analysis, but such support was not provided systematically or strategically, resulting in fragmentation and gaps in required information. In several offices the audit noted absence of sufficient baseline information and indicators for determining progress.", "(d) Absence of a structured approach: 12 observations. This was evidenced by the lack of an advocacy strategy, clear advocacy themes and priorities, and assignment of relevant responsibilities to staff.", "22. The immediate causes of most of the 138 observations were weak planning and analysis and inadequate monitoring of the functioning of programme controls by managers.", "Operations support", "23. The completed audits examined operations support practices and assessed how offices ensure accurate and complete processing of financial transactions; proper implementation of financial controls; proper recording and management of assets, including inventory of programme supplies; and adequate information technology security. The audits made 99 observations, of which 17 were rated as high risk and 82 as medium risk (table 3).", "Table 3 Number of 2010 operations support observations by area and risk rating", "Area High risk Medium Total risk", "Financial management 9 46 55", "Inventory and asset management 3 24 27", "Information technology security 5 12 17", "Total 17 82 99", "24. The most frequent observations (74 per cent, or 73 of the 99 observations) were on the areas described below:", "(a) Management of inventory and assets: 15 observations in 14 offices. For instance, audits noted problems with the accuracy of inventory records, absence of inventory counts and inventory reconciliation, and inappropriate segregation of duties over physical counts and inventory management. In one office, the inability to identify loaned inventory was rated as a high risk.", "(b) Financial control issues: 26 observations in 15 offices, relating to insufficient documentation to support transactions; absence of key financial controls, resulting in processing of payments before delivery of goods and recording unrelated transactions as outstanding budgetary obligations; incorrect coding and inappropriate classification of transactions; weaknesses in cash management; excessive financial approval limits; and preparing cheques in advance of expiring Programme Budget Allotments (PBAs).", "(c) Procurement: 13 observations in 8 offices. The observations concerned problems in bidding and selection of suppliers; inappropriate or poor documentation of bidding processes; lack of justification for competitively selected suppliers; failed attempts to establish long-term service agreements for frequently procured supplies; and lack of efforts to conduct market surveys.", "(d) Granting of access to the UNICEF information and communication technology system: 11 observations in 9 offices. The issues included granting access to inappropriate or untrained staff; inadequate processes for granting access to UNICEF systems; duplicate user IDs; inaccurately recorded user ID expiry dates; and weak segregation of duties among the staff administering access to UNICEF systems.", "(e) Warehouse and supply management: 8 observations in 7 offices. The issues noted included supplies that had become obsolete, damaged or lost because of their prolonged stay; slow movement of supplies; inadequate systems in place to monitor supplies kept in warehouses; unsuitable storage conditions; and poor recording of inventory movements. One observation was also raised relating to the functionality of the tracking system (Unitrack) in a country office that maintained 13 warehouses.", "25. The immediate causes of most of the 99 observations were inadequate monitoring of the functioning of controls by managers, human errors in application of controls and lack of resources or capacities.", "Analysis of causes for country office audit observations", "26. As a means of understanding the underlying issues associated with audit findings, all audit observations were classified by OIA under one of five cause categories: (a) lack of monitoring by management of the functioning of internal controls; (b) lack of adequate planning, leading to failure to foresee likely risks; (c) lack of guidance on how to identify and manage risks; (d) lack of resources to identify and manage risks; and (e) errors on the part of staff or management, including misinterpretation of policies and guidance.", "27. For the period 2007-2010, as in previous years, the most common causes of medium- and high-risk observations were inadequate monitoring of the functioning of internal controls and inadequate planning or analysis (table 4). These two causes accounted for 80 per cent of all country office audit observations.", "Table 4 Percentage of causes of medium- and high-risk country office audit observations, 2007-2010", "Cause 2007 2008 2009 2010", "Inadequate monitoring by management 36 53 47 45 of the functioning of internal controls", "Inadequate planning or analysis 22 24 30 35", "Inadequate guidance to identify and 8 7 10 6 manage risks", "Lack of resources or capacity to 20 10 8 9 identify and manage risks", "Human error 14 6 5 5", "Total 100 100 100 100", "B. Results from audits of headquarters, regional offices and thematic areas", "28. OIA completed seven audits of headquarters, regional offices and thematic areas and the field work for another four audits before the end of the year. OIA also issued three summary analysis reports of all country office audits conducted the previous year. The results of the seven completed audits are summarized below.", "Contract management in the Division of Communication", "29. The audit found that contracts for services in the Division of Communication were not being managed properly. Shortcomings concerned planning the use of consultants and contractors for implementing the Division’s work plan; setting terms of reference; selecting consultants and contractors through competitive processes; issuing contracts; and monitoring the performance of consultants and contractors. Division staff members were also not sufficiently trained on the process of contracting for services, and there were inadequate processes for identifying, assessing and responding to risks pertaining to contract management.", "Joint audit of the harmonized approach to cash transfers in Malawi", "30. A joint audit by the United Nations Development Programme (UNDP), United Nations Population Fund (UNFPA) and UNICEF concluded that Malawi was not yet fully compliant with the harmonized approach to cash transfers (HACT). A number of areas for improvement were noted, and recommendations were provided to the United Nations country team.", "Joint audit of the harmonized approach to cash transfers in Viet Nam", "31. The audit in Viet Nam was carried out jointly by auditors from UNICEF, UNDP and UNFPA under the leadership of the UNFPA Division of Oversight Services. The joint team concluded that the three participating agencies had made considerable progress, but the country was not yet fully compliant with HACT. Recommendations concerning implementation of HACT were addressed to the United Nations country team, and those concerning the HACT framework were made to the United Nations Development Operations Coordination Office.", "Risk assessment of IPSAS implementation in UNICEF", "32. The International Public Sector Accounting Standards (IPSAS) risk assessment identified several areas needing improvement to successfully implement IPSAS in UNICEF: late and partial implementation of planned IPSAS activities; delayed development of policy positions on significant issues; and insufficient monitoring of IPSAS implementation. The risk assessment also presented good practices or control expectations that could be used as self-assessment criteria to assist UNICEF in managing the identified risks and judging the performance of IPSAS implementation.", "Safety and security of staff, premises and assets in field offices", "33. The audit of safety and security found that UNICEF directives were outdated and guidance was lacking on reporting performance on security and safety. Ambiguity was found in the responsibilities of headquarters divisions and regional offices. Security plans were also outdated and did not include all required key elements. The security risk assessments reviewed were not well developed and were missing significant information. A number of security risk management measures were not adequately implemented or monitored, and some offices were not adhering to mandatory security requirements or reporting of security and safety incidents.", "Management of the information and communication technology function in Geneva", "34. The audit found that an information and communication technology (ICT) strategy had been developed in the Geneva Regional Office. Observations and feedback showed that ICT users in the Division of Private Fundraising and Partnerships and in the regional office for Central and Eastern Europe and the Commonwealth of Independent States were satisfied with the support provided by the ICT function. The ICT section in the Geneva office is the single largest complement of ICT staff outside headquarters, but no studies had been conducted to determine appropriate staffing levels, and there were no service-level agreements. Improvements could be achieved through a common ICT governance body for Private Fundraising and Partnerships and the regional office. Recommendations were also made to strengthen areas such as training, inventory management, disaster recovery planning and testing of business continuity plans in the Central and Eastern Europe and the Commonwealth of Independent States region.", "Information and communications technology governance, strategic planning and project management", "35. The audit found that the Division of Information Technology Solutions and Services (ITSS) had developed a global ICT strategy and strengthened its project management function. However, there was no global ICT governance body with representation from senior business management and no guidelines covering preparation, submission and review of business cases for major ICT initiatives. These initiatives were not always assessed holistically to ensure consistency and to identify opportunities for synergy, nor was a global financial framework for ICT expenditure in place. Details on the budget and source of funding were not always identified in the business case, making it difficult to meaningfully assess options and return on investment. A consistent project management methodology for all UNICEF ICT projects was lacking, and no post-implementation reviews were carried out to evaluate the benefits obtained against the investment made.", "Summary reports of country offices audited in 2009", "36. In 2010, OIA consolidated key findings from 26 country office audits undertaken during 2009 into three summary reports covering governance, programme management and operations support management. The main objective of these reports was to increase awareness among senior managers about the significance, recurrence and underlying causes of control weaknesses. The summary reports were based on audits covering the period from January 2008 to the end of the on-site work in 2009 and were therefore reported on in the 2009 annual report.", "C. Audit ratings", "37. In 2010, individual engagements were carried out based on objectives and scopes unique to each engagement, and were categorized as either assurance or advisory engagements. The overall results of country office assurance engagements were rated as satisfactory, partially satisfactory or unsatisfactory. Assurance engagements relating to headquarters, regional offices and thematic areas as well as advisory engagements were not rated.", "38. Of the country office audits completed during 2010, 10 per cent, or 2 (Guinea and Peshawar, Pakistan, zone offices) out of 20, were rated as unsatisfactory. While the percentage of unsatisfactory ratings was lower than in 2009, the percentage of audits with satisfactory ratings also decreased, from 41 per cent to 30 per cent (table 5).", "Table 5 Percentage of overall ratings for completed 2009 country office audits", "Year Satisfactory Partially Unsatisfactory satisfactory", "2009 41 41 18", "2010 30 60 10", "D. Monitoring implementation of audit recommendations", "39. OIA closely monitors country offices that are rated unsatisfactory. OIA continued to undertake quarterly desk reviews to follow up on the progress of implementation of audit recommendations. During the fourth quarter of 2010 OIA introduced a practice of conducting on-site reviews to assess implementation of recommendations in audit reports that have an overall unsatisfactory rating in the preceding year.", "40. As of 31 December 2010, there were no outstanding recommendations to country offices older than 18 months. However, there were 18 outstanding recommendations older than 18 months related to audits of headquarters, regional offices and thematic areas (annex 2).", "Implementation of audit observations issued to country offices", "41. As of 31 December 2010, the implementation status of audit observations for previous audits of country offices was as follows:", "(a) Of the observations made in 2010, 27 per cent (95 out of 347) were closed;", "(b) Of the observations made in 2009, 88 per cent (353 out of 403) were closed;", "(c) Of the observations made in 2008 or earlier, 100 per cent were closed.", "Implementation of audit recommendations issued to headquarters units and regional offices", "42. As of 31 December 2010, the implementation status of recommendations for previous audits of headquarters, regional offices and thematic areas was as follows:", "(a) Of the recommendations made in 2010, 23 per cent (20 out of 86) were closed;", "(b) Of the recommendations made in 2009, 93 per cent (229 out of 246) were closed;", "(c) Of the recommendations made in 2008, 99 per cent (207 out of 208) were closed;", "(d) Of the recommendations made in 2007 or earlier, 100 per cent were closed.", "E. Advisory services", "43. OIA provided numerous advisory services and other forms of support to management in 2010. These included (a) deployment of three staff to Haiti (twice) to support the country office in developing its risk management strategy shortly after the earthquake in January 2010; (b) secondment of one senior auditor to the Change Management Office to act as the global risk management focal point; (c) holding of risk and control self-assessment workshops in a number of country offices; (d) provision of guidance and advice on HACT; and (e) provision of support during the training of new representatives and workshops for those in the New and Emerging Talent initiative.", "IV. Disclosure of internal audit reports", "44. The current process for disclosure of internal audit reports is governed by Executive Board decision 2009/08 of 10 June 2009. It permits Member States to have read-only access to internal audit reports on UNICEF premises following notification to all Executive Board members and concerned host Member States. To date, 12 Member States have viewed various internal audit reports.", "45. In 2010, six Member States viewed 12 internal audit reports, pursuant to Executive Board decision 2009/8 (table 6).", "Table 6 Audit reports disclosed to Member States during 2010", "Disclosed audit reports Member State \n Central African Republic country office France \nCôte d’Ivoire country office\tCôte d’Ivoire,France, UnitedStates\n Guinea country office France \n Ethiopia country office France \n India country office France, India \nMozambique country office\tDenmark, Mozambique,United States\n Myanmar country office United States \n Nigeria country office France \n Zimbabwe country office Denmark, France \nGuidance and support for efficientoperation functions in country offices\tUnited States\nManagement of pilot initiatives in countryoffices\tDenmark, UnitedStates\nProcess for promoting ethics and UNICEFvalues in country offices\tDenmark, UnitedStates", "V. Investigations", "46. OIA is responsible for investigating allegations of all forms of misconduct, including fraud, theft, corruption, sexual and all other forms of harassment and exploitation, abuse of authority and retaliation against whistleblowers. In coordination with DHR and the concerned regional offices, OIA continued to provide guidance to country and regional offices on how to manage preliminary investigations locally.", "47. In 2010, numerous issues were brought to the attention of OIA, by phone, fax, mail or email or by a dedicated email address accessible from the UNICEF Intranet and the Internet, known as the Integrity 1 hotline, which allows anonymous reporting. Following initial screening, approximately 450 issues were determined to constitute possible allegations of wrongdoing by a UNICEF staff member or consultant. Most of these matters needed to be referred back to the originator for further information or clarification. Following this process, 69 issues were found to constitute allegations of wrongdoing and were investigated. Three cases were carried over from 2009, meaning that 72 cases were managed in 2010 (table 7).", "Table 7 Processing of investigation cases in 2010", "Case load", "Carry-over as of 1 January 2010 3", "Intake during the year 69", "Total cases during 2010 72", "Closed (from cases carried over) 3", "Closed (from intake) 45", "Total cases closed during 2010 48", "Cases carried forward as of 31 December 2010 24", "Total cases closed during 2010 48", "Closure memorandum (allegation not substantiated) 17", "Closure memorandum (allegation substantiated and 3 remedial action taken by country office)", "Closure memorandum (withdrawal of complaint) 3", "Closure memorandum (miscellaneous) 4", "Investigation report submitted to DHR 21", "48. By the end of 2010, the 21 investigation reports submitted to the Policy and Administrative Law (PALS) section of DHR resulted in the following:", "(a) Six dismissals;", "(b) One sanction;", "(c) One loss of 4 steps in grade and fine of one month’s net salary;", "(d) One censure and loss of step;", "(e) One suspension of three months without pay and loss of steps in grade;", "(f) Four cases of no further action.", "49. The remaining seven cases referred to DHR were pending decision on disciplinary or other action as of 31 March 2011.", "50. Of the cases closed in 2010, 84 per cent were closed within six months of receipt of the allegation. The 7 cases that were closed beyond the six-month timeline involved external entities, were held up due to a pending police investigation or were delayed by the subjects’ failure to respond to OIA’s requests or to sign the statement of interview.", "51. Although the criteria for recording cases were modified in 2009 with the introduction of a new database, the overall caseload was generally consistent from 2008 to 2009. The caseload increased in 2010, with the majority of cases involving theft of UNICEF funds (26 per cent) followed by entitlement fraud (19 per cent). Significantly more of the 2010 cases fell into the categories of burglary, robbery and theft (44 per cent more than in 2009) and entitlement fraud (77 per cent more than in 2009) (chart 1).", "[]", "52. The majority of allegations originated equally from the West and Central Africa region (29 per cent) and Eastern and Southern Africa region (28 per cent), followed by the Americas and the Caribbean region (16 per cent) (see figure II).", "[]", "Key: WCARO = West and Central Africa regional office; ROSA = Regional office for South Asia; TACRO = The Americas and Caribbean regional office; MENARO = Middle East and North Africa regional office; CEE/CIS\n States regional office; EAPRO = East Asia and the Pacific regional office; ESARO = Eastern and Southern Africa regional office.", "53. In addition to closure memoranda and investigation reports, OIA also issued five management memoranda to offices where system weaknesses were identified in the course of the investigation. OIA made recommendations to strengthen the internal controls.", "54. Seven of the cases in which system weaknesses were identified involved engagement of local security companies that had been ineffective in preventing thefts/burglary and/or were associated with the commission of thefts/burglary. Cases that involved loss of property from UNICEF warehouses were due either to theft/burglary or to deviations from regular procedures that were not detected on time due to delays with inventory-taking or non-functioning stock control databases. There were also two instances of risky practices. One involved urgent payment to partners without an accessible bank account, and the other involved payment to a vendor for goods consumed on a monthly basis as recorded in the vendor’s system. In six more cases it was found that allegations of harassment or abuse of authority were actually interpersonal conflicts and that concerned representatives lacked the dispute resolution tools to manage those conflicts.", "55. In terms of OIA’s time management, although allegations of harassment and abuse of authority accounted for only 16 per cent of total allegations, they took up a significantly higher proportion of the investigation team’s time. This is because these investigations generally involved interviewing many witnesses in order to develop a fair, balanced and complete picture of events.", "56. The investigation team of OIA is now well established, and the third full-time investigator joined in February 2010. Since this team has been in place, allegations and investigations have been dealt with much more systematically and consistently. OIA has also put in place a secure database, which has been populated with all 2010 cases and is now fully functioning. The database will enable the team to analyse patterns and trends in wrongdoing and ultimately to develop predictive indicators. This will allow for proactive investigations and application of control measures.", "57. The investigation team currently conducts a number of its investigations by guiding selected field staff to gather material and sometimes interview personnel who have been identified as having material evidence. In light of decisions made by the new United Nations Dispute Tribunal against the United Nations Secretariat and funds and programmes, it is anticipated that OIA investigation personnel will conduct more field missions in 2011.", "VI. Programme performance assessments", "58. In 2008, OIA and the Evaluation Office initiated a pilot project to conduct programme performance assessments. In the first quarter of 2010, the two conducted a joint review of the pilot programme. It concluded that while the assessments had served a useful purpose in providing country and regional offices with analysis of country programmes, the product needed to be adapted to changing circumstances. It was recommended that OIA and the Evaluation Office continue to conduct the type of analytical oversight developed in the pilot phase but to do so separately, with each office focusing on its core competencies. It was agreed that OIA would focus on programme performance auditing in ongoing country office audits and Evaluation Office on assessing the UNICEF contribution to results at the country level.", "VII. Draft decision", "59. UNICEF recommends that the Executive Board approve the following draft decision:", "The Executive Board", "1. Takes note of the Office of Internal Audit 2010 annual report to the Executive Board (E/ICEF/2011/AB/L.9), the UNICEF Audit Advisory Committee 2010 annual report to the Executive Director, and the UNICEF management response to the annual report of the Office of Internal Audit for 2010 (E/ICEF/2011/AB/L.10);", "2. Welcomes the focus on risk-based audit planning;", "3. Expresses its support for strengthening the capacity of the Office of Internal Audit and requests management to ensure adequate and timely staffing;", "4. Notes with appreciation the establishment and roll-out of enterprise risk management (ERM) across UNICEF and requests that UNICEF management continue strengthening controls and mitigation strategies in country offices with high risk.", "Annex 1", "Audits completed in 2010", "UNICEF country and area offices", "1. Bosnia and Herzegovina", "2. Bulgaria", "3. Burundi", "4. Croatia", "5. Democratic Republic of the Congo", "6. Guinea", "7. Guinea Bissau", "8. Gulf Area programme", "9. Iran (Islamic Republic of)", "10. Liberia", "11. Madagascar", "12. Malawi", "13. Occupied Palestinian Territory", "14. Peshawar (Pakistan) zone office", "15. Philippines", "16. Sierra Leone", "17. South Africa", "18. Tajikistan", "19. Togo", "20. Viet Nam", "Audits of headquarters, regional offices and thematic areas", "1. Contact management in the Division of Communication", "2. Joint audit of harmonized approach to cash transfers (HACT) in Malawi", "3. Joint audit of harmonized approach to cash transfers (HACT) in Viet Nam", "4. Risk assessment of IPSAS implementation in UNICEF", "5. Safety and security of staff, premises and assets in field offices", "6. Management of the information and communication technology function in Geneva", "7. Information and communications technology governance, strategic planning and project management", "Annex 2", "Recommendations unresolved for more than 18 months", "Management of non-thematic other resources contributions (audit report issued in 2007)", "1. The Office of the Executive Director, together with the Programme Funding Office [currently known as the Public Alliances and Resource Mobilization office], Geneva Regional Office and Programme Division and in consultation with regional offices, should clarify the authorities, responsibilities and accountabilities of regional offices for oversight of country offices’ use of other resources and related performance management and adherence to significant organizational policies and procedures. It should also establish mechanisms to exercise systematic oversight of regional offices that have responsibilities for other resources contribution management and of their performance.", "SAP (Systems Applications and Products) baseline security controls (audit report issued in 2008)", "2. The Division of Information Technology Solutions and Services (ITSS), in collaboration with the Division of Human Resources (DHR), should draw up and implement a training programme for SAP security focal points on information technology and SAP security, including major risks to the confidentiality and integrity of data.", "3. ITSS should develop and implement a clear policy with regard to online access to security reports and the frequency of security report generation. The generation and review of security reports should be delegated to appropriate focal points within each division and country office.", "4. ITSS should explore ways of granting security monitoring focal points access to query tools for checking the SAP security capabilities of users in their units and to investigate security violations.", "5. ITSS, in consultation with concerned divisions, should review staff member access to critical transactions codes in SAP to ensure that it is appropriately justified and monitored. ITSS should also ensure that the criteria for granting access to critical transaction codes (which give users the ability to read, modify or delete any data in SAP) are documented in the security policy and authorized by data owners.", "6. ITSS, in coordination with DHR, should set standards, assign accountabilities and establish procedures for modifying or disabling SAP access rights.", "7. ITSS should assess the feasibility of developing an automated link between the SAP security function and the SAP personnel data so that user information required to grant, modify or disable SAP access rights is provided systematically from users’ personnel files.", "Audit report of the oversight and operations support to country offices and the management of internal operations in TACRO (audit report issued in 2008)", "8. The Americas and Caribbean regional office (TACRO) should develop a monitoring database to indicate the status of significant recommendations from completed on-site oversight and operations-support services activities, and mid-year and year-end reviews of operation support services provided by TACRO to country offices.", "Management of evaluations in country offices (audit report issued in 2009)", "9. Programme Division, in conjunction with the Division of Policy and Practice, should develop and implement a strategy to link the findings of country-based programme evaluations with the wider organizational generation and management of knowledge. Such a strategy should ensure that evaluation findings and lessons learned are disseminated. Adding upcoming or planned evaluations to the new Intranet site for information and knowledge management would further encourage integrated learning initiatives.", "10. Programme Division, in collaboration with the Evaluation Office, should ensure that qualified evaluation experts and relevant sectoral experts at headquarters and regional offices are sufficiently linked to evaluators throughout the organization and that they receive adequate technical support on how to evaluate specific programmes.", "Processes for promoting ethics and UNICEF values in country offices (audit report issued in 2009)", "11. The Ethics Office should provide guidance to country offices on how to build the capacity of key partners and suppliers in promoting the importance of UNICEF ethical standards and values.", "12. The Ethics Office should develop and distribute training and communication materials to raise trust of staff members in the mechanisms for reporting misconduct and for protection from retaliation.", "13. The Ethics Office should develop and communicate guidance, standards and tools to country offices on how to monitor and provide feedback to staff members on ethics. This should include conduct in accordance with UNICEF ethical standards and values and implementation of mechanisms to measure, monitor and communicate the results and impacts of UNICEF efforts to promote ethics and values at country offices. This will help offices to identify ethical and value issues needing oversight and improvement.", "Management of procurement services (audit report issued in 2009)", "14. Given the relatively recent and dramatic rise in Procurement Services throughput, UNICEF should revisit and clarify its short-term and long-term plans, targets and objectives. This review should include consideration of how these objectives can be clearly linked to core and programme objectives and communicated to all levels of UNICEF through clear guidance documents, especially to those directly involved in Procurement Services activities.", "15. UNICEF should ensure that the planned revision to the executive directive on Procurement Services is expedited. It should reflect (a) clarification on strategic policy and exit strategies, including links to the Medium Term Strategic Plan and Millennium Development Goals and issues raised in the evaluation of the supply function, organization review and business process review; (b) a clear explanation of the roles and responsibilities of Supply Division, Programme Division, regional offices, country offices and PROSERVE; (c) remove redundancies and ensure provisions are kept current; (d) explain specific provisions related to local currency payments and waiver of advance payments; (e) explain how Procurement Services can be used in programming and advocacy activities; and (f) ensure consideration of issues raised by Supply Division in the September 2007 meeting of PROSERVE.", "16. In light of the increasing value of such transactions, Supply Division, with the Comptroller’s office and PROSERVE, should keep under constant review the appropriateness of accepting Procurement Services requests without advance payment. This review should include an assessment of the financial risks being accepted and ensure that future revisions of the executive directive contain a more precise definition of the conditions under which discretionary authority may be used to waive payment in advance.", "17. Supply Division should strengthen its procedures and accountabilities in getting feedback from its customers to ensure that responses are systematically analysed and areas for improvement are noted and addressed adequately and promptly.", "18. Supply Division, in coordination with Programme Division and Division of Policy and Planning, should provide guidance on what is expected from country offices with respect to monitoring and evaluation of Procurement Services activities, including monitoring and reporting on local procurement capacity." ]

[ "United Nations Children's Fund", "The Executive Board", "Second regular session 2009", "12-15 September 2011", "Item 6 of the provisional agenda*", "Annual report of the Office of Internal Audit for 2010 to the Executive Board", "Summary", "The present report provides information on the activities of the Office of Internal Audit for the year ended 31 December 2010. The report outlines the status of the unit and presents key issues highlighted in its internal audit and investigation efforts and provides information on disclosure of internal audit reports in 2010. In accordance with decision 2006/18, the management response to the present report is presented separately. In accordance with the UNICEF accountability provisions approved by the Executive Board in its decision 2009/8, the annual report of the Audit Advisory Committee is also provided as an appendix to the report. Section VII contains a draft decision.", "∗ E/ICEF/2009/13.", "Contents", "Introduction 3", "Introduction", "The present annual report is prepared by the Office of Internal Audit (OIA) to present UNICEF internal audit and survey activities in 2010. The report outlines the status of the Office of Internal Audit and presents key issues highlighted in its internal audit and investigation efforts and provides information on the disclosure of internal audit reports in 2010. In accordance with the UNICEF accountability provisions approved by the Executive Board in its decision 2009/8, the annual report of the Audit Advisory Committee is also provided as an appendix to the report (available on the Executive Board web page).", "Briefing by the Office of Internal Audit", "Mandate", "OIA provides independent and objective assurance and advisory services aimed at increasing value and improving UNICEF operations. The Office has helped UNICEF to achieve its objectives in order to assess and improve the effectiveness of governance, risk management and control processes through a systematic and normative approach. OIA assessed whether these procedures provide reasonable assurance to ensure:", "(a) Economic access and effective use of resources;", "(b) The security of assets;", "(c) Action in compliance with regulations, rules, policies, procedures, administrative instructions and contracts;", "(d) The accuracy, reliability and timeliness of financial, management and operational information;", "(e) Programmes, plans and operational objectives are achievable.", "The nature and scope of the Office's advisory services are agreed with UNICEF management. These services may include advice and analysis to promote improved governance, risk management and control procedures. OIA attached great importance to measures to ensure that their independence and objectivity are not undermined.", "OIA also investigates allegations of corruption or fraud involving UNICEF staff, consultants, distributors and contractors to determine their authenticity. OIA investigates all forms of misconduct, including fraud, corruption, harassment, abuse of authority and violations of established regulations, rules, administrative instructions and standards of conduct.", "OIA adheres to the Principles and Guidelines for the Harmonized Approach to Investigation, promulgated by the Institute of Internal Audit Professional Practice of International Internal Audit and regularly endorsed by the International Ombudsman Conference.", "In accordance with the provisions of the Standards, OIA confirmed to the Executive Board that OIA enjoyed organizational independence in 2010. The Office of Internal Oversight Services has not been subject to any interference in determining the scope of its audit, implementing its work and informing its results.", "Risk-based audit planning", "The IGO prepares a workplan based on risk assessment. The Office's 2010 risk assessment and programme of work resulted in the use of information from all levels of management, in-house staff, in exchange with the Audit Advisory Committee and a review of the 2009 audit. The event also included an assessment of possible audit compliance with the guiding principles of the UNICEF MTSP. The work plan of the Office for Internal Oversight Services for 2010 includes audit work in the relevant country offices and at Headquarters, regional offices and thematic areas.", "The selection criteria for the country office audit work are the risk assessment of each office and the strategy developed by the Office of Internal Audit in 2010 to ensure that 10 largest country offices (all offices are measured by the total budget) are audited every three years, and the country offices of the middle size are every five years, with small-scale country offices every seven years. Headquarters, regional offices and thematic audits are selected through risk assessment. The factors considered for risk assessment are the relevance of the thematic or audit area to the advancement of UNICEF priorities and the provision of better results for children; the amount involved; the possible impact on the risk of releasing; the perceived weaknesses in controls; the time spacing of the previous audit; and the recommendations of the auditor and senior management.", "OIOS also takes into account the planned audit by the external auditors in 2010 to minimize duplication of work and to optimize UNICEF audit coverage. The planned 2010 workplan was reviewed and adopted by the Audit Advisory Committee.", "C. Staffing", "In 2010, there were 29 staff positions: a Director, a Deputy Director, 19 auditors, three investigators, one editorial, three administrative assistants and one junior professional. Despite the best efforts made in 2010 to fill all gaps, five positions (four and junior Professional staff members at the P-4 level) remained unwarranted at the end of the year. As at 31 December 2010, the recruitment process for four P-4 internal auditor positions had reached a short list stage, with the expectation that a candidate decision would be taken early in 2011, and the Human Resources Division was assisting in the conduct of the recruitment of vacant junior Professional posts funded by donors. OIA expects to identify possible candidates in early 2011.", "In consultation with the Human Resources Division, the Office is exploring a flexible personnel strategy to temporarily fill current and future gaps, including the hiring of short-term consultants and staff to ensure timely implementation of the workplan. The Office also established a pool of staff talents to fill future vacancies in a timely manner.", "As at 23 May 2011, OIA had taken a decision on the selection of four vacant posts for internal auditors at the P-4 level and was currently working with the Human Resources Division. The Office also established a roster of staff at the P-4 level, including internal and external candidates reviewed by a central review body through competitive selection and assessment processes. Candidates are limited to two years during the fascicle period for selection of new vacancies. OIA also continued to work with the Human Resources Division to identify suitable donors and candidates for vacancies in primary professionals.", "Audit Advisory Committee", "The Audit Advisory Committee consists of five independent external experts to assess the annual workplan of the Office of Internal Oversight Services, the quarterly progress report, resources, the selection of reports and the recommendations of the amendments to the statute of the Office. The Committee also advises to enhance the effectiveness of UNICEF internal audit and investigation activities. In accordance with UNICEF accountability, the Committee summarized the activities of the Committee in its annual report to the Executive Director for 2010 (A/CN.9/WG.VI/WP.12/Add.1). The report is an appendix to the present report and is available on the Executive Board website.", "Internal audit", "Results of the audit of country offices", "The audit of country offices in 2010 focuses on three functional areas: (a) governance, including delegation of authority and responsibilities, management systems and integrity awareness; (b) programme management, emphasis on planning, partnership management, results monitoring and evaluation; and (c) operational management, with a focus on financial and asset management and the management of information and communications technology.", "OIA completed the audit of 20 country offices in 2010 (annex 1) and completed another three audits on the ground by the end of the year. The 20 audits completed contain 345 observations, of which 39 are high-risk and 306 are medium-risk. The perception of a high risk represents 11 per cent compared to the previous five years (approximately 13 per cent).", "Of the views expressed in 2010, article 106 pertains to governance, article 140 concerns programme management and article 99 concerns operational support. The following three areas are more prominent.", "Governance", "The audits completed in 2010 examined the area of governance and assessed the delegation of authority and responsibilities, the management system, quality assurance and integrity. The audit made 10 observations, 6 of which were high-risk and 100 were medium-risk (see table 1).", "Table 1", "Total risk", "Decentralization and reporting on responsibilities and powers 3 59 62", "Management system, quality assurance 3 44", "Total 6100", "Most observations (52 per cent, or 55 of article 106) relate to the following areas:", "(a) Lack of staff recruitment and necessary staff capacity: 18 observations involving 13 offices. Noting the high vacancy rate and the slow recruitment of nine offices, the recruitment needs of some key staff exceed one year. The audit also observed that there was a weakening of oversight in key positions, particularly in countries supporting emergency programmes, while seven offices did not conduct human resources capacity needs assessments.", "(b) Functioning of the Oversight Committee: 14 observations involving 14 offices. For example, in nine offices, the National Management Task Force did not play its strategic role, including providing advice on the direction of the programme, setting priorities, using the recommendations of the strategic evaluation and monitoring risk management. In four offices, the Committee on Contracts was unable to effectively implement its work. The contract submitted was not sufficiently reviewed, some of which were not evidence of competitive bidding. The audit of the nine offices also noted the existence of numerous commissions, task forces and working groups (with over 24 country offices) to duplicate each other's role.", "(c) Management structure: 12 observations involving 12 offices. In three country offices that support large-scale emergency programmes, the programme management structure is not sufficient to support the scale and complexity of the emergency response programme, which has increased by threefold over a short period of time. It was also noted that programme and management arrangements in five middle-income countries would not be appropriate to ensure effective support for activities that would increase the role of resources and other forms of support for the work of the children concerned (in the source of policies and programmes).", "(d) There is no practical outcome and priority, and indicators are not linked to identified results and/or priorities: 11 observations. The indicators lack substantiveity and, in most cases, indicators relate only to the use of funds and the actual results of children do not have qualitative indicators. Monitoring of these indicators by the National Management Task Force is also weak. Some countries have no indicators of emergency support. There is no evidence that these offices use the annual management plan as a strategic tool.", "Most of the 106 observations were directly due to inadequate monitoring by managers of control efforts; inadequate planning; inadequate guidance; and lack of resources.", "Programme management", "The completed audit reviewed the management methodology of the programme and assessed how the country offices properly analyse and understand the situation of children and women; how to implement advocacy activities; how to plan and support programme implementation; and how to monitor results. The audit also examined the methodology for country offices to validate key results through programme evaluation. The audit conducted 138 observations in the area of programme management, 16 of which were high-risk and 122 were medium-risk (see table 2).", "Table 2", "Total risk", "Implementation and monitoring 9 40", "Office planning and funding 41", "Evaluation 1 17", "Analysis of the situation of children and women 1 14", "Advocacy 1 10 11", "Total 16122 138", "Most observations (87 per cent, or 120 of article 138) focus on the following areas:", "(a) Reporting on support, monitoring and results for programme implementation: 49 observations. Eight affected offices do not fully assess the basis for their cooperation with non-governmental organizations, including their ability to analyse or manage inputs from UNICEF. The funding and planning methods of 7 offices were not effective and time was delayed for funding and inputs. This disadvantage also resulted in the loss of the funds due to the replacement of three offices.", "(b) Programme planning, particularly in the planning of annual performance and in the planning and management of funds: 43 observations. It was noted that 17 offices were not realistically planned, including time frames for activities that were not realistic. Out of these offices, four offices plan activities that go beyond the funds available, indicating that the results set will not be achieved. It also limits the continuity of planned activities without realistic implementation schedules. In nine offices, the main problem in the management of funds is the lack of a systematic process to allocate funds among the supported programmes.", "(c) Lack of data and information on the situation of children and women: 16 observations on 9 offices. Most of these offices may wish to make some effort to support the Government machinery for the collection and analysis of national data, which is due to the lack of systematic or strategic provision of such support, resulting in inadequate information requirements. The audit noted that several offices lacked sufficient baseline information and indicators to measure progress.", "(d) Lack of systematic arrangements: article 12. Evidence in this regard includes the lack of an advocacy strategy, clear advocacy themes and priorities, and the lack of accountability to staff.", "In article 138, most of the direct reasons were the lack of detailed planning and analysis and inadequate monitoring of the functions of the management control programme.", "Operational support", "The completed audit reviewed the practice of operational support and assessed how the Office ensures that financial transactions are handled in an accurate and complete manner; appropriate enforcement of financial controls; proper recording and management of assets, including programme supplies; and adequate information technology security. The audit presents 99 observations, 17 of which are high-risk and 82 are medium-risk (see table 3).", "Table 3", "Total risk", "Financial management 9 46", "Inventory and asset management 3 24", "Information technology security 5 2", "Total 1782 99", "Most observations (74 per cent, or 73 of 99 observations) focus on the following areas:", "(a) Inventory and asset management: 15 observations on 14 offices. For example, the audit noted that the accuracy of the inventory records was problematic and that there was no clear point and regulation of the inventory and that the functions of the physical inventory and inventory management were not properly divided. In one office, the issue of non-finishing items was considered high.", "(b) Financial control: 26 observations on 15 offices. The issue concerned the lack of sufficient transaction support documents; the lack of key financial controls, resulting in unpaid delivery of payments, as well as the non-recording of transactions to be paid; inappropriate classification; weakness in cash management; excessive financial approval authority; and the preparation of cheques prior to the expiration of the programme budget.", "(c) Procurement: 13 observations on eight offices. The comments relate to the issue of solicitation and selection of suppliers; the record of the solicitation process is inappropriate or incomplete; the lack of the choice of the selected suppliers through competition; the failure to successfully conclude long-term service agreements for supplies that are often procured; and the lack of efforts to conduct market surveys.", "(d) Access to UNICEF information and communications technology systems: 11 observations on 9 offices. These issues include: granting access systems for staff who are not properly or trained; inadequate access procedures for UNICEF systems; duplication of users; inadequate record of user failures; and the absence of strict separation of functions for staff who manage UNICEF system access.", "(e) Warehousing and supply management: 8 observations on 7 offices. It was noted that there were long-term unused supplies resulting from obsolete, damaged or lost supplies; slow flow of supplies; poor monitoring systems for inventory supplies; inadequate storage conditions; and inadequate recording of movement of inventory supplies. The functionality of a tracking system (Unitrack) for the management of 13 warehouses was also raised.", "In article 99, most of the direct result is from inadequate monitoring of the management's regulatory functions, man-made errors in the implementation of regulatory procedures and lack of resources or capacities.", "Analysis of the causes of country office audit observations", "In order to facilitate understanding of the underlying issues related to the audit findings, the Office classified all audit opinions into one of the following five reasons categories: (a) Management lacks oversight of the operation of internal controls; (b) lack of detailed planning leading to ignoring the risks that may arise; (c) lack guidance on how to identify and manage risks; (d) lack of resources to identify and manage risks; and (e) errors of staff or management, including misunderstandings of policy and guidance.", "As in previous years, between 2007 and 2010, the common cause of medium- and high-risk observations was due to inadequate oversight of the operation of internal controls and inadequate planning or analysis (see table 4). These two causes represent 80 per cent of the audit opinion of all country offices.", "Table 4", "For 2007", "Management oversight of the functioning of internal controls 36 47", "Planning or analysis", "Inadequate guidance on identifying and managing risks 8 7 10", "Resource or capacity to identify and manage risk 20 10 8", "Human error 14 6 5", "Total 1,100", "Audit findings for headquarters, regional offices and thematic areas", "The Office completed seven audit headquarters, regional offices and thematic areas and four other audits in the field by the end of the year. The Office also issued three summary analyses of all country office audits conducted in the previous year. The results of the seven completed audits are summarized below.", "Contract management of the Communications Division", "The audit found that the services contracts of the Communications Division had not been properly managed. Inadequacies relate to the planning of the use of consultants and contractors for the implementation of the workplans of the Division; the establishment of the scope of work; the selection of competitive procedures for consultants and contractors; the issuance of contracts; and monitoring of the performance of consultants and contractors. The staff of the Division do not have sufficient training in contractual procedures for the provision of services to identify, assess and respond to risks related to contract management.", "Joint audit on the implementation of the harmonized approach to cash transfers in Malawi", "An audit conducted jointly by the United Nations Development Programme (UNDP), the United Nations Population Fund (UNFPA) and UNICEF concluded that Malawi had not fully followed the harmonization of cash transfers. The audit noted a number of areas requiring improvement and made recommendations to the United Nations country team.", "Joint audit of the implementation of the harmonized approach to cash transfers in Viet Nam", "The audit in Viet Nam was conducted jointly by UNICEF, UNDP and UNFPA auditors under the leadership of the UNFPA Monitoring Division. The Joint Panel concluded that three participating agencies had made considerable progress, but the country had not fully followed the harmonization of cash transfers. The audit presented recommendations to the United Nations country team on the implementation of the harmonized approach to cash transfers, and proposed to the United Nations Development Operations Coordination Office for the harmonization of cash transfers.", "Risk assessment of UNICEF implementation of the International Public Sector Accounting Standards", "The risk assessment of the International Public Sector Accounting Standards (IPSAS) identified several areas for improvement in order to enable UNICEF to successfully implement the Guidelines: delays and partial implementation of planned IPSAS activities; delays in the development of policy positions on key issues; and inadequate monitoring of the implementation of the Guidelines. Risk assessment also presents good practices, i.e., expected inspections, as a self-assessment standard, to assist UNICEF in managing identified risks and judging performance in implementing IPSAS.", "Security of field office staff, premises and assets", "The audit of security found that UNICEF directives had been outdated and lacked guidance on security performance reports. The responsibilities of all departments and regional offices at Headquarters are unclear. Security plans have also been outdated and do not include key elements of all provisions. The reviewed security risk assessment is incomplete and there is a lack of important information. Some security risk management measures have not been fully implemented or monitored, and some offices do not comply with mandatory security provisions or security accident reporting requirements.", "Management of information and communications technology functions in Geneva", "The audit found that the Geneva Regional Office had developed an information and communications technology strategy. Comments and feedback indicate that information and communications technology users within the Private Fundraising and Partnerships Division and the Regional Office for Eastern and Eastern Europe and the Commonwealth of Independent States expressed their satisfaction with the support they received in this regard. Information and communications technology units at the Geneva office, with the largest number of information and communications technology staff away from Headquarters, have never been conducting any study to determine their proper preparation; service agreements at the level are also devastated. A common information and communications technology governance body can be established for the Private Fundraising and Partnerships Division and regional offices. It was also proposed to strengthen areas such as training, inventory management, disaster recovery planning, testing of business continuity plans in Eastern Europe and the Commonwealth of Independent States region.", "Governance, strategic planning and project management of information and communications technology", "The audit identified that the Information Technology Settlement and Services Division had developed a global information and communications technology strategy and strengthened its project management function. However, there is no global information and communications technology governance body composed of senior operational management representatives, as well as a lack of guidelines to guide the preparation, submission and cost-benefit review of major information and communications technology initiatives. These initiatives do not necessarily result in a comprehensive assessment to ensure coherence and to seek opportunities for synergies; and information and communications technology expenditures also lack a global financial framework. Some business cases do not provide detailed information on budgetary and source of funds and make it difficult to assess options and to invest returns. All UNICEF information and communications technology projects lack a coherent project management approach and no implementation review to assess the benefits of investment.", "Summary of country offices audited for 2009", "In 2010, the main findings of the 26 country office audits conducted in 2009 were consolidated into three summary reports covering three areas of governance, project management and operational support management. The main purpose of these reports is to raise the awareness of senior managers in order to recognize the gravity of the weaknesses, the repetitiveness and underlying causes. The summary report is based on the audit conducted during the end of the field work between January 2008 and 2009 (and therefore reflected in the annual report 2009).", "C. Audit ratings", "The 2010 audit was carried out on the basis of the specific objectives and scope of each audit and classified as a safeguarded audit or an advisory audit. The overall results of the country office's assurance audit were rated as satisfactory, partially satisfactory or unsatisfactory. Pledges for Headquarters, regional offices and thematic areas are not rated. Annexes", "Of the 20 country office audits completed in 2010, two (Department Office in Guinea and Pakistan), 10 per cent were assessed as unsatisfactory. Although the percentage of unsatisfactory was lower than in 2009, the percentage of the audit receiving a satisfactory rating fell from 41 per cent to 30 per cent (see table 5).", "Table 5 Total rating of country office audits completed in 2009", "Partial satisfaction", "Paragraphs Page", "30", "Monitoring the implementation of audit recommendations", "The Office closely monitors the assessed country offices. OIA continued its quarterly desk review to monitor progress in the implementation of audit recommendations. During the fourth quarter of 2010, OIA took an on-site review to assess the implementation of the recommendations made in the audit reports that had been deemed unsatisfactory in the previous year.", "As at 31 December 2010, the outstanding implementation recommendations of country offices were below 18 months. However, 18 pending implementation recommendations for audits at Headquarters, regional offices and thematic areas have exceeded 18 months (annex 2).", "Implementation of audit observations by country offices", "As at 31 December 2010, audit observations on country offices were carried out as follows:", "(a) Comments made in 2010 (347), 27 per cent (article 95) were closed;", "(b) Comments made in 2009 (Article 403), 88 per cent (353) were closed;", "(c) 100 per cent of the observations made in 2008 or earlier.", "Implementation of audit recommendations made by Headquarters units and regional offices", "As at 31 December 2010, the implementation of previous audit recommendations on headquarters, regional offices and thematic areas is as follows:", "(a) The recommendations made in 2010 (86), 23 per cent (20) were completed;", "(b) The recommendations made in 2009 (246), 93 per cent (229);", "(c) Recommendations made in 2008 (208), 99 per cent (207) were completed;", "(d) 100 per cent of the recommendations made in 2007 or earlier.", "E. Advisory services", "In 2010, OIA provided management with a number of advisory services and other forms of support. This includes (a) deploying three staff (two) to Haiti to support the development of risk management strategies by country offices shortly after the earthquake in January 2010; (b) seconding a senior auditor to the Office for Change to serve as a global risk management focal point; (c) organizing risk and monitoring self-assessment workshops in several country offices; (d) providing guidance and advice on the harmonization of cash transfers; and (e) supporting training for new delegates and organizing workshops for participants in emerging talent initiatives.", "Disclosure of internal audit reports", "The disclosure process for current internal audit reports is provided by the Executive Board in its decision 2009/08 of 10 June 2009. Member States may be permitted to read internal audit reports in UNICEF premises after all members of the Executive Board and the relevant auditing Member States have been notified. To date, 12 Member States have access to a number of internal audit reports.", "In 2010, six Member States received 12 internal audit reports in accordance with Executive Board decision 2009/8 (see table 6).", "Table 6 Audit reports disclosed to Member States in 2010", "Audit reports disclosed by Member States", "Central African Republic Country Office France", "Côte d'Ivoire, France, United States", "Guinea Country Office France", "Ethiopia Country Office France", "India Country Office", "Country offices in Mozambique Denmark, Mozambique, United States", "Myanmar Country Office United States", "Nigeria", "Country offices in Zimbabwe Denmark, France", "Guidance and support to country offices for efficient operational activities in the United States", "Pilot initiatives for the management of country offices Denmark, United States", "Denmark, United States of America", "Investigation", "The Office of Internal Oversight Services is responsible for investigating all forms of allegations of misconduct, including fraud, theft, corruption, and all other forms of harassment and exploitation, abuse of authority, and reprisals against reportingers. In coordination with the Human Resources Division and relevant regional offices, OIA continued to provide guidance to national and regional offices on how to manage preliminary investigations locally.", "In 2010, OIA received numerous reports through telephone, fax, correspondence or e-mail, as well as anonymous e-mail address (also known as the Integrity 1 hotline) on the Internet and on the Internet. After a preliminary screening, about 450 reports were identified as allegations that constituted a risk of misconduct by UNICEF staff or consultants. Most of these reports need to be sent back to the reportingers, requesting further information or clarification. After this process, 69 reports were identified as allegations of misconduct and investigated. Three outstanding cases were taken in 2010: 72 cases were processed in 2010 (see table 7).", "Table 7", "Number of cases", "Nothing occurred on 1 January 2010 3", "Caseloading in 2010 69", "Total cases for 2010 72", "Conclusion (continued) 3", "Conclusion (Option of cases) 45", "Total completion of 2010 48", "Number of cases outstanding as at 31 December 2010 24", "Total completion of 2010 48", "Closing memorandum (indication of allegations) 17", "Closing memorandums (releaded and remedial action by country offices) 3", "Closing memorandum(s) 3", "Concluding memorandum ( m) 4", "Report to the Human Resources Division 21", "By the end of 2010, 21 survey reports submitted to the Human Resources Division Policy and Administrative Law Section resulted in the following actions:", "(a) Six persons were dismissed;", "(b) One person is disposed of;", "(c) A person has been reduced to a fine of four separate posts and classes for a month's net salary;", "(d) One person was condemned and dropped to one post;", "(e) A three-monthly and one in-house post, without pay;", "(f) Four cases do not take further action.", "As at 31 March 2011, the remaining seven cases transferred to the Human Resources Division had yet to be decided on disciplinary or other action.", "In cases completed in 2010, 84 per cent were closed within six months of receipt of allegations. More than six months have been completed in seven cases involving external entities, either after being pressured by the police to complete the investigation, or as a result of the failure of the respondent to the request or the signing of the interview records.", "Although a new database was launched in 2009, the total number of cases was largely equal from 2008 to 2009. The number of cases in 2010 increased, most of which involved theft of UNICEF funds (26 per cent), followed by fraud in statutory benefits (19%). The following cases were markedly increased in 2010: theft, robbery and theft (44 per cent increase compared to 2009) and the fraud of statutory benefits (77% higher than in 2009) (figure 1).", "Figure I", "[]", "Most of the allegations come from the western and Central Africa region (29 per cent) and the Eastern and Southern Africa region (28 per cent), followed by the Americas and the Caribbean region (16 per cent) (see figure II).", "Figure II Allegations received from regions in 2010", "[]", "Abbreviations: WCARO=West and Central Africa Regional Office; ROSA = Regional Office for South Asia; TACRO = Inter-American and Caribbean Regional Office; MENARO = Regional Office for the Middle East and North Africa; CEE/CIS= Regional Office for Central and Eastern Europe and the Commonwealth of Independent States; EAPRO= East Asia and Pacific; ESARO = Regional Office for Eastern and Southern Africa.", "In addition to the completion memorandum and the investigation report, the Office of Internal Audit issued a management memorandum to five offices that identified weaknesses in systems during the investigation process. The recommendations made by OIA are aimed at strengthening internal controls.", "Seven cases identified with weak systems relate to the employment of local security companies. These companies do not play any role in effectively preventing theft, theft and, in some cases, theft and theft. In cases involving theft of property in UNICEF warehouses, in addition to theft, theft is not the result of regular proceedings. Those cases were not detected in a timely manner owing to delays in the inventory or the failure of the inventory control database. Two other cases relate to unsafe practices. One is an emergency payment to partners that do not have access to the bank accounts, and the payment of monthly expendable goods to suppliers is recorded in the vendor system. In other six cases, the investigation of allegations of harassment or abuse of power is in fact a conflict between individuals and the lack of tools for the resolution of disputes by representatives to manage these conflicts.", "While allegations of harassment and abuse of authority accounted for only 16 per cent of the total number of allegations, such allegations have taken a large part of the investigation team. This is because they generally require interviews with many witnesses in order to be fair and comprehensive and balanced.", "The ICB survey team has been established for a period of time and has increased its third full-time investigators in February 2010. As a result of the establishment of the Investigation Group, it is now more systematic and consistent to handle allegations and investigations. OIA has also established a confidential database that is now fully operational after entering all cases in 2010. The survey team can use the database to analyse patterns and trends of misconduct and, ultimately, to develop a predictive mark. This will facilitate proactive investigations and the use of controls.", "At present, the survey team guides selected field staff to collect material and, in some cases, interviews with persons identified as having substantive evidence. As a result of the newly established United Nations Dispute Tribunal's decisions on the United Nations Secretariat, funds and programmes, additional field investigations are expected to be conducted in 2011.", "Programme performance assessment", "In 2008, the Office launched a pilot project to assess programme performance. In the first quarter of 2010, two offices undertook joint reviews of the pilot project. The review concluded that the assessment had played a role in providing country and regional offices with an analysis of country programmes, but needed to adapt products to changing circumstances. The IGO and the Evaluation Office have continued to carry out analytical oversight in the development of the pilot phase, but both should be carried out separately, with each office focusing on its core functions. The agreed division of labour is that OIA focuses on programme performance audits in the country office audits, while the Evaluation Office focuses on assessing UNICEF contributions to country-level outcomes.", "Draft decision", "UNICEF recommended that the Executive Board adopt the following draft decision:", "The Executive Board", "Takes note of the annual report of the Office of Internal Audit for 2010, submitted to the Executive Board (E/ICEFend AB/L.9), the annual report of the UNICEF Audit Advisory Committee to the Executive Director for 2010 and the UNICEF management response to the annual report of the Office for Internal Audit for 2010 (E/ICEF/2009/B/L.10);", "Welcomes the focus on risk-based audit planning;", "Expresses support for strengthening the capacity of the Office of Internal Audit, and requests the management to ensure the full and timely delivery of personnel;", "Notes with appreciation the establishment and implementation of enterprise risk management in all UNICEF sectors, and requests UNICEF management to continue to strengthen controls and risk reduction strategies in high-risk country offices.", "Annex 1", "Audit completed in 2010", "UNICEF country offices", "Bosnia and Herzegovina", "Bulgaria", "Burundi", "Croatia", "Democratic Republic of the Congo", "Guinea", "Guinea-Bissau", "Gulf Programme", "Islamic Republic of Iran", "Liberia", "Madagascar", "Malawi", "Occupied Palestinian Territory", "Office of the White Swa (Pakistan)", "Philippines", "Sierra Leone", "South Africa", "Tajikistan", "Togo", "Viet Nam", "Audits at Headquarters, regional offices and thematic areas", "Contract management of the Communications Division", "Joint audit of the implementation of the harmonized approach to cash transfers in Malawi", "Joint audit on the implementation of the harmonized approach to cash transfers in Viet Nam", "Risk assessment of the implementation of the International Public Sector Accounting Standards by the United Nations Children's Fund", "Security of field office staff, premises and assets", "Management of information and communications technology functions in Geneva", "Governance, strategic planning and project management of information and communications technology", "Annex 2", "Recommendations that have not been resolved for more than 18 months", "Management of non- thematic other resources contributions (statement of audit reports submitted in 2007)", "The Office of the Executive Director, in conjunction with the Programme Fundraising Office (now the Public Alliance and the Resource Mobilization Office), the Geneva Regional Office and the Programme Division, clarified the authority, responsibilities and responsibilities of the regional offices in relation to the oversight of the use of other resources by country offices and related performance management; compliance with the policies and procedures of major organizations. Mechanisms should also be established to systematically monitor regional offices responsible for managing other resources contributions and to monitor their performance.", "Baseline safety control of systems, applications and products (SAP) (statement of audit reports submitted in 2008)", "The Information Technology Solutions and Services Division, in cooperation with the Human Resources Division, should develop and implement a training programme on information technology and SAP safety for SAP security focal points, including the main risks to the confidentiality and integrity of data.", "The Information Services Division should develop and implement clear policies that provide for the frequency of the generation of safety-based access standards and security reports. The generation and review of security reports should be presented to the appropriate designated focal points in all sectors and country offices.", "The Information Services Division should seek ways to permit the safety monitoring focal points to use a search tool to check the security capability of the users of this unit to investigate violations of the safety code.", "The services of the Information Services Division should be reviewed, in consultation with the relevant departments, to ensure that standards are reasonable and monitored. The Information Services Division should also ensure that the criteria for approval of key transaction codes (which enable users to read, modify or delete any data from SAP) are recorded in safety policies and endorsed by all data.", "The Information Services Division, in coordination with the Human Resources Division, should establish standards, assign responsibility and establish procedures on the revision or termination of the SAP visit authority.", "The Information Services Division should assess whether automatic links can be established between SAP security functions and personnel data in SAP, so that user information required to grant, modify or terminate the SAP visit can be systematically provided by user personnel files.", "Audit report on oversight and operational support provided by the Inter-American and Caribbean Regional Office to country offices and internal operational management issues (statements submitted in 2008)", "The Americas and the Regional Office for the Caribbean (UNOCI) should establish a monitoring database showing the status of implementation and operational support services of the important recommendations of the completed field oversight and the mid-year and end-end review of the operational support services provided by UNIPSIL to country offices.", "Management of country office assessments (statements submitted in 2009)", "The Programme Division should work with the Policy and Practice Division to develop a strategy to link the results of the country-wide programme evaluation with the generation and management of wider organizational knowledge. Such strategies should ensure the dissemination of evaluation findings and lessons learned. The upcoming or planned assessment activities within the new Intranet site on information and knowledge management could be further promoted.", "The Programme Division, in cooperation with the Evaluation Office, should ensure that qualified evaluation experts at Headquarters and regional offices are fully associated with evaluation agents throughout the organization and that adequate technical support is provided in the evaluation of specific programmes.", "Procedures for promoting ethics and UNICEF values in country offices (statements submitted in 2009)", "The Ethics Office should provide guidance to country offices on how to build the capacity of key partners and suppliers to promote the importance of UNICEF ethical standards and values.", "The Ethics Office should prepare and distribute training and advocacy materials to increase staff confidence in reporting misconduct and protection against retaliation mechanisms.", "The Ethics Office should develop and publish guidelines, standards and tools to guide country offices in monitoring ethics issues and providing feedback to staff. This should include behaviour consistent with UNICEF ethical standards and values and the implementation of multiple mechanisms to measure and monitor UNICEF efforts to promote ethics and values in country offices, as well as the results and impacts of the announcement. This would help the Office to identify ethics and values that require oversight and improvement.", "Procurement operations management (statements submitted in 2009)", "Given the recent surge in the volume of operations of the various procurement offices, UNICEF should revisit and clarify its short- and long-term plans, objectives and objectives. This review should include considering how these goals can be clearly linked to core objectives and programme objectives and convey to UNICEF units at all levels, in particular those directly involved in the activities of the Procurement Service through clear guidance documents.", "UNICEF should ensure that plans are expedited to revise administrative directives for the Procurement Service. The revisions should reflect the following: (a) clarification of strategic policies and exit strategies, including linkages to the medium-term strategic plan and the Millennium Development Goals, as well as questions raised in the evaluation of supply functions, organizational review and operational procedures review; (b) clear interpretation of the roles and responsibilities of the Supply Division, the Programme Division, regional offices, country offices and the SERVE; (c) elimination of duplication and ensuring that the provisions reflect updates; (d) clarification of specific provisions on payments made in local currencies and the exemption of advances; (e) interpretation of how procurement services can be utilized in programme planning and advocacy activities; and (f) consideration of issues raised by the Division at its meeting in September 2007.", "Given the increasing volume of transactions, the Supply Division, in conjunction with the Office of the Controller and the ProSERVE, should keep under review the appropriateness of receiving requests from the Procurement Service without advances. This review should include assessing the financial risks assumed and ensuring that future revised administrative instructions make it clearer that the conditions in which the discretion may be exercised to remove the advances.", "The Supply Division should strengthen procedures and accountability for obtaining feedback from clients in order to ensure systematic analysis of responses, notes and address the need for improvement in a fully and timely manner.", "The Supply Division, in coordination with the Programme Division and the Policy and Planning Division, should provide guidance to country offices on the need for monitoring and evaluation of the activities of the Procurement Service, including monitoring and reporting on local procurement capacities.", "On 1 January 2011, OIA started to use the rating methodology for country office audits to apply to audits in headquarters, regional offices and thematic areas." ]

[ "安全理事会第6585次(闭门)会议正式公报", "2011年7月18日星期一下午3时在纽约总部非公开举行", "根据安全理事会暂行议事规则第55条的规定，以下公报已通过秘书长发表，以代替逐字记录：", "“2011年7月18日，安全理事会依照第1353(2001)号决议附件二A和B节的规定，与非洲联盟-联合国达尔富尔混合行动部队和警察派遣国非公开举行了第6585次会议。", "“根据安全理事会暂行议事规则第39条，安全理事会及部队和警察派遣国听取了主管维持和平行动助理秘书长埃德蒙德·穆莱特先生、副军事顾问阿比吉特·古哈少将和代理警务顾问安德鲁·卡彭特先生所作的通报。", "“安理会成员、穆莱特先生、古哈少将、卡彭特先生和与会部队派遣国的代表进行了意见交流。”" ]

[ "Official communiqué of the 6585th (closed) meeting of the Security Council", "Held in private at Headquarters, New York, on Monday, 18 July 2011, at 3 p.m.", "In accordance with rule 55 of the provisional rules of procedure of the Security Council, the following communiqué was issued through the Secretary-General in place of a verbatim record:", "“On 18 July 2011, the Security Council, pursuant to annex II, sections A and B of resolution 1353 (2001), held its 6585th meeting in private with the troop- and police-contributing countries to the African Union-United Nations Hybrid Operation in Darfur.", "“The Security Council and the troop- and police-contributing countries heard briefings under rule 39 of its provisional rules of procedure by Mr. Edmond Mulet, Assistant Secretary-General for Peacekeeping Operations, Major General Abhijit Guha, Deputy Military Advisor and Mr. Andrew Carpenter, Acting Police Advisor.", "“Members of the Council, Mr. Mulet, Major General Guha, Mr. Carpenter and representatives of participating contributing countries had an exchange of views.”" ]

[ "Official communiqué of the 6585th (closed) meeting of the Security Council", "Held in private at Headquarters, New York, on Monday, 18 July 2011, at 3 p.m.", "In accordance with rule 55 of the provisional rules of procedure of the Security Council, the following communiqué was issued through the Secretary-General in place of a verbatim record:", "“On 18 July 2011, the Security Council, pursuant to annex II, sections A and B of resolution 1353 (2001), held its 6585th meeting in private with the troop- and police-contributing countries to the African Union-United Nations Hybrid Operation in Darfur.", "“The Security Council and the troop- and police-contributing countries heard briefings under rule 39 of its provisional rules of procedure by Mr. Edmond Mulet, Assistant Secretary-General for Peacekeeping Operations, Major General Abjit Guha, Deputy Military Adviser, and Mr. Andrew Carpenter, Acting Police Adviser.", "“Members of the Council, Mr. Mulet, Major General Guha, Mr. Carpenter and representatives of participating troop-contributing countries had an exchange of views.”" ]

[ "2011年7月18日安全理事会主席给秘书长的信", "谨此通知你，你2011年7月14日提议将泰国列入联合国驻印度和巴基斯坦军事观察组(印巴观察组)派遣国名单的信(S/2011/431)已经提请安全理事会成员注意。他们注意到你信中载列的提议。", "安全理事会主席", "彼得·维蒂希(签名)" ]

[ "Letter dated 18 July 2011 from the President of the Security Council addressed to the Secretary-General", "I have the honour to inform you that your letter dated 14 July 2011 (S/2011/431) concerning your proposal to add Thailand to the list of contributors to the mission of the United Nations Military Observer Group in India and Pakistan (UNMOGIP) has been brought to the attention of the members of the Security Council. They take note of the proposal contained in your letter.", "(Signed) Peter Wittig President of the Security Council" ]

[ "Letter dated 18 July 2011 from the President of the Security Council addressed to the Secretary-General", "I have the honour to inform you that your letter dated 14 July 2011 (S/2011/431) concerning your proposal to add Thailand to the list of countries contributing troops to the United Nations Military Observer Group in India and Pakistan (UNMOGIP) has been brought to the attention of the members of the Security Council. They take note of the proposal contained in your letter.", "President of the Security Council", "(Signed) Peter Wittig" ]

[ "主席： 约瑟夫·戴斯先生 (瑞士)", "因主席缺席，副主席阿斯卡罗夫先生(乌兹别克斯坦)主持会议。", "上午10时15分开会。", "议程项目13(续)", "联合国经济、社会及有关领域各次主要会议和首脑会议成果的统筹协调执行及后续行动", "决议草案(A/65/L.86)", "代理主席(以英语发言)：成员们记得，大会在2010年11月23日第52次全体会议上就分别题为“千年首脑会议成果的后续行动”和“加强联合国系统”的议程项目115和120进行了联合辩论。", "成员们还记得，大会分别在第9次、第41次、第100次和第105次全体会议上，在议程项目13和115下通过了第65/1号、第65/7号、第65/281号及第65/285号决议。此外，大会还分别在第52次和第72次全体会议上，在议程项目13下通过了第65/10号和第 65/234号决议。", "我现在请不丹代表发言介绍决议草案A/65/L.86。", "旺楚克先生(不丹)(以英语发言)：我非常荣幸地代表各提案国介绍文件A/65/L.86所载的题为“幸福：走全面发展之路”的决议草案。", "这项决议草案是经过两次不限成员名额的协商和数轮双边谈判达成的。我谨借此机会感谢所有代表团的积极参加、建设性贡献，以及在整个过程中表现出的卓越的合作精神。", "提出这项决议草案是基于这样一种信念，即时机已经成熟，我们需要开始在联合国内讨论这一议题。近来，世界面临一系列危机。尽管我们尽最大的努力应对，但这些危机正变得更加明显和频繁。若不解决常规经济和发展结构与模式的最根本问题，我们的各种解决办法充其量也只是暂时的、象征性的。", "我们深受鼓舞的是，越来越多的思想家、经济学家和政治领导人正朝着这个方向努力。他们正在寻找办法，使发展更具有可持续性、整体性和人性化。在这一努力中，若干会员国已采取主动制定幸福和福祉指标。决议草案反映了这一重要精神，并请这些国家进一步制定能更好地体现追求幸福和福祉的措施，以指导其公共政策。", "决议草案还请那些已主动制定新的指标的会员国向秘书长通报有关情况。我们认为，这将是对推动包括千年发展目标在内的联合国发展议程的一项及时、重要的贡献。在这一兴趣的鼓励下，并为了在联合国启动有关幸福的讨论进程，我国政府已建议在大会下届会议上举行一次主题为幸福和福祉的小组讨论。", "向往充实、有意义和幸福的生活是每个人的基本目标。实际上，这是我们的人生真谛。追求幸福是一个严肃的问题，而我们感到在联合国讨论这个问题已刻不容缓。该决议草案的提案国数量就证实了这一点。我们相信，这项决议草案将是在联合国对幸福和福祉问题进行充实和有益讨论的开始。", "最后，我国代表团请求以协商一致方式通过该决议草案。最后，请允许我祝愿全体成员生活幸福美满。", "代理主席(以英语发言)：我们现在着手审议题为“幸福：走全面发展之路”的决议草案A/65/L.86。", "我请秘书处代表发言。", "埃利奥特女士(大会和会议管理部)(以英语发言)：关于题为“幸福：走全面发展之路”的第A/65/L.86号决议草案，我谨根据大会议事规则第一五三条，代表秘书长就所涉经费问题正式作以下说明。", "根据决议草案第4段的规定，大会将请秘书长征求会员国及有关区域和国际组织对追求幸福和福祉问题的意见，并将此类意见送交大会第六十六届会议进一步审议。", "将由秘书长送交大会第六十六届会议审议的报告，将增加大会和会议管理部编制文件的工作量。因此，2012年将在第2款(大会和经济理事会和会议管理部)下追加经费52 300美元，以便将估计有8 500字的该报告翻译成所有6种正式语文并印发。", "如果大会通过该决议草案，秘书长将在大会核准的2012-2013两年期资源范围内，尽一切努力尽量提供这些文件服务。", "代理主席(以英语发言)：大会现在将就决议草案A/65/L.86作出决定。", "我再请秘书处代表发言。", "埃利奥特女士(大会和会议管理部)(以英语发言)：我谨宣布，自本决议草案提交以来，除其中所列提案国外，下列国家已加入成为提案国：安道尔、克罗地亚、古巴、冰岛、摩纳哥、黑山、新西兰、巴拿马、秘鲁、圣马力诺、塞尔维亚、所罗门群岛和越南。", "代理主席(以英语发言)：我是否可以认为大会决定通过决议草案A/65/L.86？", "决议草案A/65/L.86获得通过(第65/309号决议)。", "代理主席(以英语发言)：大会就此结束对议程项目13的审议。", "议程项目53(续)", "整个维持和平行动问题所有方面的全盘审查", "特别政治和非殖民化委员会(第四委员会)的报告(A/65/424/Add.1)", "代理主席(以英语发言)：根据议事规则第66条，如果没有人提出任何提案，我将认为大会决定不讨论摆在大会面前的特别政治和非殖民化委员会报告。", "就这样决定。", "代理主席(以英语发言)：因此，发言将仅限于解释投票理由。各代表团关于特别政治和非殖民化委员会的建议的立场已在委员会阐明，并反映在相关正式纪录中。我谨提请各位成员注意，根据第34/401号决定第7段，大会同意：", "“如果一个主要委员会和全体会议审议同一决议草案，各代表团应尽可能只发言一次解释其投票理由，即在委员会，或是在全体会议，但该代表团在全体会议所投的票与其在委员会所投的票有所不同时，不在此限。”", "我还谨提请各代表团注意，同样根据第34/401号决定，解释投票理由的发言以十分钟为限，各代表团应在各自的席位上发言。", "在我们开始就特别政治和非殖民化委员会的报告中所载的建议采取行动之前，我谨通知各位代表，除非预先另行通知，我们将以在特别政治和非殖民化委员会采用的同样方式作出决定。", "大会面前摆着特别政治和非殖民化委员会在其报告第6段中建议的一项决议草案。", "大会现在将就题为“整个维持和平行动问题所有方面的全盘审查”的决议草案作出决定。特别政治和非殖民化委员会未经表决通过了该决议草案。我是否可以认为大会也希望这样做？", "决议草案获得通过(第65/310号决议)。", "代理主席(以英语发言)：我是否可以认为大会希望结束对议程项目53的审议？", "就这样决定。", "议程项目121(续)", "使用多种语文", "秘书长报告(A/65/488)", "决议草案(A/65/L.85)", "代理主席(以英语发言)：我现在请塞内加尔代表发言，介绍决议草案(A/65/L.85)。", "迪阿洛先生(塞内加尔)(以法语发言)：我荣幸地介绍题为“使用多种语文”的决议草案A/65/L.85。这项决议草案是许多高强度谈判的结果，而整个谈判过程真正充满了一种建设性的精神。请允许我衷心感谢对此感兴趣的所有代表团，特别是积极参加相关磋商的许多代表团。我还愿特别提及所有本着对促进使用多种语文的共同愿望，毫不犹豫地同意成为该决议草案提案国的会员国。使用多种语文正是联合国的优势所在。", "我还要借此机会，赞扬主管传播和新闻事务副秘书长兼使用多种语文问题协调员赤阪清隆先生所做的出色工作。他承诺推动这个对于会员国如此重要的问题并随时提供协助，这使我们得以自其任命以来取得显著进展。", "我还愿强调秘书处在提供服务时随叫随到，这一点很重要，而且服务质量良好，在整个进程中，它针对我们提出的问题进行了澄清并提供了有关不同项目的信息。", "平等对待联合国的六种正式语文仍是我们按照《联合国宪章》所述建立堪称典范的合作与有效伙伴关系这一愿望的一个核心要素。它保障每个会员国都有可能以它自己选择的语文来解释、推动和捍卫其立场，从而构成了有成效、高效率使用多种语文的基石，正因为如此，使用多种语文就更有必要。", "秘书长关于使用多种语文问题的报告(A/65/488)强调了这种根本必要性。该报告为决议草案A/65/L.85奠定了广泛基础。该决议草案回顾了严格遵守联合国关于使用多种语文的原则，并重申有必要改进以所有六种正式语文来提供联合国正式文件的情况。同样，案文中还强调有必要通过订立关于促进联合国与语言专家培训机构之间合作的指导原则，在管理联合国人力资源方面充分考虑会员国的语文多样性。", "积极有效地使用多种语文显然有助于秘书处不同部门和事务厅之间更为有效地沟通。重要的是要敦促联合国特别关注外部沟通的问题。在铭记这一点的同时，这项决议草案强调，使用多种语文通过确保了解当地民众并确保参与维和行动人员之间彼此了解，从而在维持和平行动中起着关键作用。", "为成功发挥其作用，联合国就必须使用世界各国人民自已的语言来向其传达信息。要想做到这一点，联合国就必须继续在语言多样性基础上使其沟通工具现代化，以确保所有人都能公平而平等地获取信息。", "最后，我还愿重申，我们希望看到载于文件A/65/L.85题为“使用多种语文”的决议草案能像惯常那样获得一致通过。", "代理主席(以英语发言)：大会现在审议题为“使用多种语文”的决议草案A/65/L.85。", "我请秘书处代表发言。", "埃利奥特女士(大会和会议管理部)(以英语发言)：关于题为“使用多种语文”的决议草案A/65/L.85，我谨代表秘书长，根据大会议程规则第153条，正式就所涉经费问题作以下说明。", "根据该决议草案第28段的规定，大会将敦促秘书处利用现有资源，将所有维和培训文件翻译为联合国所有六种正式语文，以确保所有会员国都能使用这些文件。", "第28段中提及把文件翻译为6种正式语文。需要指出的是，秘书处的工作语文是英文和法文，当前，维和培训文件在自愿捐助资金允许的情况下从英文译为法文。", "此外，第28段还提及利用现有资源进行翻译。在这方面，将尽可能利用秘书处可支配的此方面自愿捐助款项，来完成将维和培训文件译为6种正式语文的工作。为此，秘书长将尽一切努力，尽可能利用2010-2011两年期的现有资源来提供翻译服务，之后，将视大会对未来各两年期授权资源的多少而定。", "因此，如果大会通过决议草案A/65/L.85，将不会产生任何所涉方案预算问题。", "代理主席(以英语发言)：大会现在就决议草案A/65/L.85作出决定。", "我现在请秘书处代表发言。", "埃利奥特女士(大会和会议管理部)(以英语发言)：我谨宣布，自这项决议草案提交以来，除文件A/65/L.85中所列国家之外，下列国家已成为决议草案的提案国：亚美尼亚、澳大利亚、智利、科特迪瓦、克罗地亚、厄瓜多尔、埃及、芬兰、危地马拉、洪都拉斯、匈牙利、爱尔兰、老挝人民民主共和国、立陶宛、马耳他、巴拿马、葡萄牙、圣卢西亚、西班牙、斯里兰卡、瑞士以及前南斯拉夫的马其顿共和国。", "代理主席(以英语发言)：我是否可以认为大会决定通过决议草案A/65/L.85？", "决议草案A/65/L.85获得通过(第65/311号决议)。", "代理主席(以英语发言)：我是否可以认为大会希望结束其对议程项目121的审议？", "就这样决定。", "议程项目126(续)", "起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭", "决定草案(A/65/L.83)", "代理主席(以英语发言)：会员国记得，在1月14日的第74次全体会议上，大会通过了第65/413号决定。", "大会现在将就决定草案A/65/L.83采取行动。我是否可以认为大会希望通过该决定草案？", "决定草案获得通过。", "代理主席(以英语发言)：大会就此结束现阶段对议程项目126的审议。", "上午10时40分散会。" ]

[ "President:\tMr. Deiss\t(Switzerland)", "In the absence of the President, Mr. Askarov (Uzbekistan), Vice-President, took the Chair.", "The meeting was called to order at 10.15 a.m.", "Agenda item 13 (continued)", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Draft resolution (A/65/L.86)", "The Acting President: Members will recall that the General Assembly held a debate on agenda item 13 jointly with agenda items 115 and 120, entitled “Follow-up to the outcome of the Millennium Summit” and “Strengthening of the United Nations system”, respectively, at the 52nd plenary meeting on 23 November 2010.", "Members will also recall that, under agenda items 13 and 115, the Assembly adopted resolutions 65/1, 65/7, 65/281 and 65/285 at its 9th, 41st, 100th and 105th plenary meetings, respectively. Also under agenda item 13, the Assembly adopted resolutions 65/10 and 65/234 at its 52nd and 72nd plenary meetings, respectively.", "I now give the floor to the representative of Bhutan to introduce draft resolution A/65/L.86.", "Mr. Wangchuk (Bhutan): I have the distinct honour and privilege to introduce, on behalf of the sponsors, the draft resolution contained in document A/65/L.86, entitled “Happiness: towards a holistic approach to development”.", "The draft resolution is the result of two open-ended consultations and several rounds of bilateral negotiations. I wish to take this opportunity to express my appreciation to all delegations for their active participation, constructive contributions and remarkable spirit of cooperation throughout the process.", "The draft resolution was inspired by the belief that we need to begin discussing a topic whose moment has come at the United Nations. In recent times, our world has been confronted by a series of crises. These are becoming more pronounced and perennial despite our best efforts to tackle them. The solutions may at best be temporary and symbolic unless we address the very fundamentals of conventional economic and development structures and models.", "We are deeply encouraged that an increasing number of thinkers, economists and political leaders are moving in this direction. They are searching for ways to make development more sustainable, humane and holistic. In this endeavour, several Member States have taken initiatives to develop indicators for happiness and well-being. The draft resolution reflects this important spirit and invites them to elaborate additional measures that better capture happiness and well-being, with a view to guiding their public policies.", "It also invites those Member States that have taken such initiatives to develop new indicators to share such information with the Secretary-General. This, we feel, would be a timely and important contribution to the United Nations development agenda, including the Millennium Development Goals. Encouraged by this interest and in order to jumpstart the process of discussion on happiness at the United Nations, my Government has offered to convene a panel discussion on the theme of happiness and well-being at the next session of the General Assembly.", "The yearning for a fulfilling, meaningful and happy life is a fundamental goal of every person. In fact, that is what makes us human. The search for happiness is a serious matter, and we feel that the time for its discussion at the United Nations should not be delayed. The number of sponsors of the draft resolution only confirms that. We are confident that the draft resolution will be the start of an enriching and rewarding discussion on happiness and well-being at the United Nations.", "In conclusion, my delegation requests the adoption of the draft resolution by consensus. Let me conclude by wishing all members very happy lives.", "The Acting President: We shall now proceed to consider draft resolution A/65/L.86, entitled “Happiness: towards a holistic approach to development”.", "I give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): In connection with draft resolution A/65/L.86, entitled “Happiness: towards a holistic approach to development”, I wish to put on record the following statement of financial implications on behalf of the Secretary-General, in accordance with rule 153 of the rules of procedure of the General Assembly.", "Under the terms of paragraph 4 of the draft resolution, the General Assembly would invite the Secretary-General to seek the views of Member States and relevant regional and international organizations on the pursuit of happiness and well-being, and to communicate such views to the General Assembly at its sixty-seventh session for further consideration.", "The report to be communicated by the Secretary‑General to the General Assembly at its sixty‑seventh session constitutes an addition to the documentation workload of the Department for General Assembly and Conference Management. Consequently, additional requirements of $52,300 would arise under section 2 (General Assembly and Economic and Social Council affairs and conference management), in 2012 to translate and issue that report, with an estimated 8,500 words, into all six official languages.", "Should the General Assembly adopt the draft resolution, the Secretary-General will make every effort to provide those documentation services to the extent possible, subject to the level of resources to be authorized by the General Assembly for the biennium 2012-2013.", "The Acting President: The Assembly will now take a decision on draft resolution A/65/L.86.", "I again give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): I should like to announce that, since the submission of the draft resolution and in addition to the countries listed therein, the following countries have become sponsors of draft resolution A/65/L.86: Andorra, Croatia, Cuba, Iceland, Monaco, Montenegro, New Zealand, Panama, Peru, San Marino, Serbia, Solomon Islands and Viet Nam.", "The Acting President: May I take it that the Assembly decides to adopt draft resolution A/65/L.86?", "Draft resolution A/65/L.86 was adopted (resolution 65/309).", "The Acting President: The General Assembly has thus concluded this stage of its consideration of agenda item 13.", "Agenda item 53 (continued)", "Comprehensive review of the whole question of peacekeeping operations in all their aspects", "Report of the Special Political and Decolonization Committee (Fourth Committee) (A/65/424/Add.1)", "The Acting President: If there is no proposal under rule 66 of the rules of procedure, I shall take it that the General Assembly decides not to discuss the report of the Special Political and Decolonization Committee that is before the Assembly today.", "It was so decided.", "The Acting President: Statements will therefore be limited to explanations of vote. The positions of delegations regarding the recommendation of the Special Political and Decolonization Committee have been made clear in the Committee and are reflected in the relevant official records. May I remind members that, under paragraph 7 of decision 34/401, the General Assembly agreed that", "“When the same draft resolution is considered in a Main Committee and in plenary meeting, a delegation should, as far as possible, explain its vote only once, i.e., either in the Committee or in plenary meeting, unless that delegation’s vote in plenary meeting is different from its vote in the Committee”.", "May I also remind delegations that, also in accordance with General Assembly decision 34/401, explanations of vote are limited to 10 minutes and should be made by delegations from their seats.", "Before we begin to take action on the recommendation contained in the report of the Special Political and Decolonization Committee, I should like to advise representatives that we are going to proceed to take a decision in the same manner as was done in the Special Political and Decolonization Committee, unless notified otherwise in advance.", "The General Assembly has before it a draft resolution recommended by the Special Political and Decolonization Committee in paragraph 6 of its report.", "The Assembly will now take a decision on the draft resolution entitled “Comprehensive review of the whole question of peacekeeping operations in all their aspects”. The Special Political and Decolonization Committee adopted it without a vote. May I take it that the Assembly wishes to do the same?", "The draft resolution was adopted (resolution 65/310).", "The Acting President: May I take it that it is the wish of the General Assembly to conclude its consideration of agenda item 53?", "It was so decided.", "Agenda item 121 (continued)", "Multilingualism", "Report of the Secretary-General (A/65/488)", "Draft resolution (A/65/L.85)", "The Acting President: I now give the floor to the representative of Senegal to introduce draft resolution A/65/L.85.", "Mr. Diallo (Senegal) (spoke in French): It is an honour for me to introduce draft resolution A/65/L.85, entitled “Multilingualism”, which is the result of intense meetings of negotiations, throughout which a constructive spirit truly prevailed. Allow me to express my great appreciation to all delegations for the interest that they took, in particular all the many that actively participated in the relevant consultations. I would also like to make special mention of all of the Member States that agreed without hesitation to sponsor the draft resolution based on the shared desire to strengthen multilingualism, which is the strength of the United Nations.", "This is also an opportunity for me to commend the outstanding work done by the Under-Secretary-General for Communication and Public Information and Coordinator for Multilingualism, Mr. Kiyotaka Akasaka. His commitment and readiness to promote this matter that is so dear to Member States has enabled us to make notable progress since his appointment.", "I would also like to highlight the invaluable availability and sound service of the Secretariat, which throughout the process clarified and provided information on various items in response to our questions.", "The equitable treatment of the six official languages of the United Nations remains a central element of our desire to establish exemplary cooperation and effective partnership, as described in the Charter of the United Nations. That is all the more necessary given that it guarantees the possibility for each Member State to explain, promote and defend its position in its language of choice, thus forming the very bedrock of effective and efficient multilingualism.", "That fundamental necessity was underscored by the Secretary-General in his report on multilingualism (A/65/488). The report served as a broad basis for draft resolution A/65/L.85. By recalling the principle of strict compliance with the United Nations rules on multilingualism, the draft resolution reiterates the need to improve the availability of official documents of the United Nations in all six official languages. Likewise, the text highlights the need to take on board the multilingual diversity of Member States in terms of managing the Organization’s human resources, through guidelines on promoting cooperation between the United Nations and the institutions that train language specialists.", "Living multilingualism clearly contributes to more effective communication among the various departments and services of the Secretariat. It is important to urge the United Nations to devote particular attention to external communications. With that in mind, the draft resolution highlights the critical role of multilingualism in peacekeeping operations in ensuring understanding of local populations and also among personnel involved in peacekeeping operations.", "In order to carry out its role successfully, the United Nations must convey its message to the peoples of the world in their own languages. In order to do that, the United Nations must continue to modernize its communication tools based on the diversity of languages in order to ensure fair and equitable access for all to information.", "In conclusion, I also wish to reiterate our desire to see the draft resolution contained in document A/65/L.85, entitled “Multilingualism”, adopted by the customary consensus.", "The Acting President: The Assembly will now consider draft resolution A/65/L.85, entitled “Multilingualism”.", "I give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): In connection with draft resolution A/65/L.85, entitled “Multilingualism”, I wish to put on record the following statement of financial implications on behalf of the Secretary‑General, in accordance with rule 153 of the rules of procedure of the General Assembly.", "Under the terms of paragraph 28 of the draft resolution, the General Assembly would urge the Secretariat to translate all peacekeeping training documents into the six official languages of the United Nations, within existing resources, to ensure that all Member States can use them.", "Paragraph 28 refers to translation into the six official languages. It is noted that the working languages of the Secretariat are English and French, and currently, peacekeeping training documents are translated from English into French where funding is available from voluntary contributions.", "Furthermore, paragraph 28 refers to translation to be undertaken within existing resources. In that regard, the translation of peacekeeping training documents into the six official languages will be met, to the extent possible, from voluntary contributions available to the Secretariat for that purpose. Thereafter, the Secretary-General will make every effort to provide translation services to the extent possible within existing resources for the biennium 2010-2011 and subsequently, subject to the level of resources to be authorized by the General Assembly, for future bienniums.", "Accordingly, should the General Assembly adopt draft resolution A/65/L.85, no programme budget implications would arise.", "The Acting President: The Assembly will now take a decision on draft resolution A/65/L.85.", "I again give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): I should like to announce that, since the submission of the draft resolution, in addition to the countries listed in document A/65/L.85, the following countries have become sponsors of the draft resolution: Armenia, Australia, Chile, Côte d’Ivoire, Croatia, Ecuador, Egypt, Finland, Guatemala, Honduras, Hungary, Ireland, the Lao People’s Democratic Republic, Lithuania, Malta, Panama, Portugal, Saint Lucia, Spain, Sri Lanka, Switzerland and the former Yugoslav Republic of Macedonia.", "The Acting President: May I take it that the Assembly decides to adopt draft resolution A/65/L.85?", "Draft resolution A/65/L.85 was adopted (resolution 65/311).", "The Acting President: May I take it that it is the wish of the Assembly to conclude its consideration of agenda item 121?", "It was so decided.", "Agenda item 126 (continued)", "International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991", "Draft decision (A/65/L.83)", "The Acting President: Members will recall that, at its 74th plenary meeting on 14 January the Assembly adopted decision 65/413.", "The Assembly will now take action on draft decision A/65/L.83. May I take it that the Assembly wishes to adopt it?", "The draft decision was adopted.", "The Acting President: The General Assembly has thus concluded the present stage of its consideration of agenda item 126.", "The meeting rose at 10.40 a.m." ]

[ "Chairman: Mr. Deiss (Switzerland)", "In the absence of the President, Mr. Askarov (Uzbekistan), Vice-President, took the Chair.", "The meeting was called to order at 10.15 a.m.", "Agenda item 13 (continued)", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Draft resolution (A/65/L.86)", "The Acting President: Members will recall that at its 52nd plenary meeting, on 23 November 2010, the General Assembly held a joint debate on agenda items 115 and 120, entitled “Follow-up to the outcome of the Millennium Summit” and “Strengthening of the United Nations system”, respectively.", "Members will recall that the General Assembly adopted resolutions 65/1, 65/7, 65/281 and 65/285, under agenda items 13 and 115, at its 9th, 41st, 100th and 105th plenary meetings, respectively. In addition, the Assembly adopted resolutions 65/10 and 65/234, under agenda item 13, at its 52nd and 72nd plenary meetings, respectively.", "I now give the floor to the representative of Bhutan to introduce draft resolution A/65/L.86.", "Mr. Wangchuk (Bhutan): On behalf of the sponsors, I have the great honour to introduce the draft resolution contained in document A/65/L.86, entitled “Happiness: towards a comprehensive approach to development”.", "The draft resolution was the result of two open-ended consultations and several rounds of bilateral negotiations. I would like to take this opportunity to thank all delegations for their active participation, their constructive contributions and their excellent spirit of cooperation throughout the process.", "The draft resolution is based on the conviction that the time is ripe and that we need to start discussing this subject within the United Nations. Recently, the world has faced a series of crises. Despite our best efforts, these crises are becoming more visible and frequent. Without addressing the most fundamental problems of conventional economic and development structures and models, our solutions are, at best, temporary and symbolic.", "We are encouraged by the increasing number of thinkers, economists and political leaders working in that direction. They are looking for ways to make development more sustainable, holistic and human. In this effort, several Member States have taken the initiative to develop indicators of well-being and well-being. The draft resolution reflects that important spirit and invites those countries to further develop measures that better reflect the pursuit of happiness and well-being in order to guide their public policies.", "The draft resolution also invites Member States that have taken the initiative to develop new indicators to inform the Secretary-General. We believe that this will be a timely and important contribution to advancing the United Nations development agenda, including the Millennium Development Goals. Encouraged by this interest and with a view to initiating a process of discussion on happiness at the United Nations, my Government has proposed a panel discussion on the theme of happiness and well-being at the next session of the General Assembly.", "A full, meaningful and happy life is the basic goal of every human being. Actually, that's the truth of our lives. The pursuit of happiness is a serious issue, and we feel that it is time to discuss it at the United Nations. This is confirmed by the number of sponsors of the draft resolution. We are confident that this draft resolution will be the beginning of a rich and useful discussion on happiness and well-being at the United Nations.", "In conclusion, my delegation requests that the draft resolution be adopted by consensus. In conclusion, allow me to wish all members a happy life.", "The Acting President: We shall now proceed to consider draft resolution A/65/L.86, entitled “Happiness: towards a comprehensive approach to development”.", "I give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): In connection with draft resolution A/65/L.86, entitled “Happiness: towards a holistic approach to development”, I wish to put on record the following statement of financial implications on behalf of the Secretary-General, in accordance with rule 153 of the rules of procedure of the General Assembly.", "Under the terms of paragraph 4 of the draft resolution, the General Assembly would request the Secretary-General to seek the views of Member States and relevant regional and international organizations on the pursuit of happiness and well-being and to transmit such views to the Assembly for further consideration at its sixty-sixth session.", "Reports to be submitted by the Secretary-General to the General Assembly for consideration at its sixty-sixth session will increase the documentation workload of the Department for General Assembly and Conference Management. Accordingly, additional requirements of $52,300 would be required in 2012 under section 2, General Assembly and Economic and Social Council, and Department of Conference Management, in order to translate and issue an estimated 8,500 words of the report into all six official languages.", "Should the General Assembly adopt the draft resolution, the Secretary-General would make every effort, within the resources approved by the General Assembly for the biennium 2012-2013, to maximize the availability of such documentation services.", "The Acting President: The Assembly will now take a decision on draft resolution A/65/L.86.", "I give the floor to the representative of the Secretariat.", "Ms. Elliot (Department for General Assembly and Conference Management): I should like to announce that, since the submission of the draft resolution, in addition to the sponsors listed therein, the following countries have joined the list of sponsors: Andorra, Croatia, Cuba, Iceland, Monaco, Montenegro, New Zealand, Panama, Peru, San Marino, Serbia, Solomon Islands and Viet Nam.", "The Acting President: May I take it that the Assembly decides to adopt draft resolution A/65/L.86?", "Draft resolution A/65/L.86 was adopted (resolution 65/309).", "The Acting President: The General Assembly has thus concluded its consideration of agenda item 13.", "Agenda item 53 (continued)", "Comprehensive review of the whole question of peacekeeping operations in all their aspects", "Report of the Special Political and Decolonization Committee (Fourth Committee) (A/65/424/Add.1)", "The Acting President: In the absence of any proposal under rule 66 of the rules of procedure, I shall take it that the General Assembly decides not to discuss the reports of the Special Political and Decolonization Committee that are before the Assembly.", "It was so decided.", "The Acting President: Statements will therefore be limited to explanations of vote. The positions of delegations regarding the recommendations of the Special Political and Decolonization Committee have been made clear in the Committee and are reflected in the relevant official records. May I remind members that, under paragraph 7 of decision 34/401, the General Assembly agreed that", "“When the same draft resolution is considered in a Main Committee and in plenary meeting, a delegation should, as far as possible, explain its vote only once, that is, either in the Committee or in plenary meeting, unless that delegation's vote in plenary meeting is different from its vote in the Committee.”", "May I also remind delegations that, also in accordance with decision 34/401, explanations of vote are limited to 10 minutes and should be made by delegations from their seats.", "Before we begin to take action on the recommendations contained in the reports of the Special Political and Decolonization Committee, I should like to advise representatives that we are going to proceed to take decisions in the same manner as was done in the Special Political and Decolonization Committee, unless notified otherwise in advance.", "The Assembly has before it a draft resolution recommended by the Special Political and Decolonization Committee in paragraph 6 of its report.", "The Assembly will now take a decision on the draft resolution, entitled “Comprehensive review of the whole question of peacekeeping operations in all their aspects”. The Special Political and Decolonization Committee adopted the draft resolution without a vote. May I take it that the Assembly wishes to do the same?", "The draft resolution was adopted (resolution 65/310).", "The Acting President: May I take it that it is the wish of the General Assembly to conclude its consideration of agenda item 53?", "It was so decided.", "Agenda item 121 (continued)", "Multilingualism", "Report of the Secretary-General (A/65/488)", "Draft resolution (A/65/L.85)", "The Acting President: I now give the floor to the representative of Senegal to introduce draft resolution A/65/L.85.", "Mr. Diallo (Senegal) (spoke in French): I have the honour to introduce draft resolution A/65/L.85, entitled “Multilingualism”. The draft resolution is the result of many high-intensity negotiations, and the entire negotiating process is truly full of a constructive spirit. Allow me to express my sincere appreciation to all delegations that have taken an interest in this, and in particular to the many delegations that have actively participated in the relevant consultations. I would also like to mention in particular all Member States that have agreed without hesitation to become sponsors of the draft resolution, based on their common desire to promote multilingualism. Multilingualism is the strength of the United Nations.", "I would also like to take this opportunity to commend Mr. Kiyotaka Akasaka, Under-Secretary-General for Communications and Public Information and Coordinator for Multilingualism, for his excellent work. His commitment to advancing this issue of such importance to Member States and his readiness to assist has enabled us to make significant progress since our appointment.", "I would also like to emphasize the importance of the Secretariat's being available on call for the provision of services and the quality of services, which has provided clarifications and information on different items in response to our questions throughout the process.", "Equal treatment of the six official languages of the United Nations remains a central element of our desire for exemplary cooperation and effective partnership, as enshrined in the Charter of the United Nations. It guarantees the possibility for every Member State to interpret, promote and defend its position in a language of its own choosing, thus constituting the cornerstone of effective and efficient multilingualism, which is all the more necessary.", "The report of the Secretary-General on multilingualism (A/65/488) highlighted that fundamental need. The report provides a broad basis for draft resolution A/65/L.85. The draft resolution recalled the strict observance of the United Nations principles on multilingualism and reaffirmed the need to improve the availability of official United Nations documents in all six official languages. Similarly, the text stresses the need to take fully into account the linguistic diversity of Member States in the management of the human resources of the United Nations through the establishment of guiding principles to facilitate cooperation between the United Nations and the training institutions for language experts.", "Active and effective multilingualism clearly contributes to more effective communication between the different departments and offices of the Secretariat. It was important to urge the United Nations to pay particular attention to the issue of external communication. Bearing this in mind, the draft resolution emphasizes the crucial role that multilingualism plays in peacekeeping operations by ensuring understanding of the local population and ensuring mutual understanding among personnel involved in peacekeeping operations.", "To be successful, the United Nations must convey its message to the peoples of the world in their own language. For this to happen, the United Nations must continue to modernize its communication tools based on linguistic diversity in order to ensure fair and equitable access to information for all.", "In conclusion, I would also like to reiterate our wish to see the draft resolution contained in document A/65/L.85, entitled “Multilingualism”, adopted by consensus, as usual.", "The Acting President: The Assembly will now consider draft resolution A/65/L.85, entitled “Multilingualism”.", "I give the floor to the representative of the Secretariat.", "Ms. Elliott (Department for General Assembly and Conference Management): In connection with draft resolution A/65/L.85, entitled “Multilingualism”, I wish to put on record the following statement of financial implications on behalf of the Secretary-General, in accordance with rule 153 of the rules of procedure of the General Assembly.", "Under the terms of paragraph 28 of the draft resolution, the Assembly would urge the Secretariat to translate all peacekeeping training documents into all six official languages of the United Nations, within existing resources, in order to ensure that they are available to all Member States.", "Paragraph 28 referred to the translation of documents into six official languages. It should be noted that the working languages of the Secretariat are English and French, and currently, peacekeeping training documents are translated from English to French, subject to the availability of voluntary contributions.", "In addition, paragraph 28 referred to the use of existing resources for translation. In this regard, the translation of peacekeeping training documents into the six official languages will be completed, to the extent possible, through voluntary contributions at the disposal of the Secretariat. To that end, the Secretary-General would make every effort to provide translation services from within existing resources for the biennium 2010-2011, to the extent possible, after which the level of resources authorized by the General Assembly for future bienniums would be determined.", "Accordingly, should the General Assembly adopt draft resolution A/65/L.85, no programme budget implications would arise.", "The Acting President: The Assembly will now take a decision on draft resolution A/65/L.85.", "I now give the floor to the representative of the Secretariat.", "Ms. Elliot (Department for General Assembly and Conference Management): I should like to announce that, since the submission of the draft resolution, in addition to the countries listed in document A/65/L.85, the following countries have become sponsors of the draft resolution: Armenia, Australia, Chile, Côte d ' Ivoire, Croatia, Ecuador, Egypt, Finland, Guatemala, Honduras, Hungary, Ireland, Lao People ' s Democratic Republic, Lithuania, Malta, Panama, Portugal, Saint Lucia, Spain, Sri Lanka, Switzerland and the former Yugoslav Republic of Macedonia.", "The Acting President: May I take it that the Assembly decides to adopt draft resolution A/65/L.85?", "Draft resolution A/65/L.85 was adopted (resolution 65/311).", "The Acting President: May I take it that it is the wish of the Assembly to conclude its consideration of agenda item 121?", "It was so decided.", "Agenda item 126 (continued)", "International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991", "Draft decision (A/65/L.83)", "The Acting President: Members will recall that, at its 74th plenary meeting, on 14 January, the General Assembly adopted decision 65/413.", "The Assembly will now take action on draft decision A/65/L.83. May I take it that the Assembly wishes to adopt the draft decision?", "The draft decision was adopted.", "The Acting President: The General Assembly has thus concluded this stage of its consideration of agenda item 126.", "The meeting rose at 10.40 a.m." ]

[ "2011年实质性会议", "2011年7月4日至29日，日内瓦", "议程项目15", "联合国研究训练机构", "理事会副主席米洛什·科捷雷奇(斯洛伐克)在就决议草案E/2011/L.19进行的非正式协商基础上提出的决议草案", "联合国训练研究所", "经济及社会理事会，", "回顾其2009 年7 月30 日第2009/27号决议，", "又回顾大会2002年12月20日第57/268号、2003年12月23日第58/223号、2004年12月22日第59/252号、2005年12月22日第60/213号、2007年12月19日第62/210号决议以及2010年3月29日第64/260号决议(第一节)，", "承认联合国训练研究所在建立成果预算管理、质量标准和扩大使用技术改进型工具方面取得的进步，", "又承认训研所通过增加电子教学课程以及强调倍增效应而提高了效力，以及通过培养国家、组织和区域组织的培训能力，促进知识的传授，", "还承认训研所在满足优先主题领域的培训方面一直发挥领导作用，例如联合国发展业务活动的全系统一致性，与各机构积极协作，尤其是在气候变化、维持和平、国际移徙以及发展相关问题上的协作，", "感到鼓舞的是，训研所通过增加培训和分享知识的活动，以及扩大在发展中国家的存在，使受益方增多，", "又感到鼓舞的是，训研所指定用途自愿捐助增加，执行了新的业务模式，以调动自生收入为重点，使资金来源渠道多元化；", "感到关切的是，向训研所提供的指定用途自愿捐助水平偏低，这对执行具有战略意义的改革、能力建设需要、特别是发展中国家的能力建设需要产生负面影响，", "欢迎设立研究金，以确保收费培训服务仍能提供给发展中国家，", "1. 注意到秘书长的报告；[1]", "2. 欢迎联合国训练研究所2010-2012 年战略计划；", "3. 吁请训研所在能力建设领域努力创新；", "4. 鼓励训研所继续提高产出的效力和提高质量，以巩固其在培训受益人中的重要作用；", "5. 吁请训研所采取创新方法，努力提高发展中国家学习中心的能力，为联合国研究和训练机构更好的协调作出贡献；", "6. 请各会员国查明具体行动，包括增加不指定用途捐款的不同方式，以应对秘书长报告第61和62段提到的挑战，并使该所能为联合国发展合作作出更有效的贡献；", "7． 请秘书长就本决议的执行情况向经济及社会理事会2013 年实质性会议提出报告。", "[1] E/2011/115。" ]

[ "Substantive session 2011", "Geneva, 4-29 July 2011", "Agenda item 15", "United Nations research and training institutes", "Draft resolution submitted by the Vice-President of the Council, Miloš Koterec (Slovakia), on the basis of informal consultations held on draft resolution E/2011/L.19", "United Nations Institute for Training and Research", "The Economic and Social Council,", "Recalling its resolution 2009/27 of 30 July 2009,", "Recalling also General Assembly resolutions 57/268 of 20 December 2002, 58/223 of 23 December 2003, 59/252 of 22 December 2004, 60/213 of 22 December 2005, 62/210 of 19 December 2007 and 64/260 (section I) of 29 March 2010,", "Acknowledging the progress made by the United Nations Institute for Training and Research on the establishment of results-based management and quality standards and the expanded use of technology-enhanced tools,", "Acknowledging also the efficiency gains realized by the Institute through increased e-learning course offerings and the emphasis placed on multiplier effects, with a view to facilitating knowledge transfer through the development of training capacities in national and regional organizations,", "Acknowledging further the leadership role the Institute has been playing in its responses to thematic priorities for training, such as system-wide coherence and United Nations operational activities for development, as well as through its active collaboration with agencies, inter alia on climate change, peacekeeping, international migration and development-related issues,", "Encouraged by the growth in beneficiary outreach through increased training and knowledge-sharing events and by the expanded presence of the Institute in developing countries,", "Encouraged also by the growth in earmarked voluntary contributions to the Institute and the implementation of a new business model with self-generated income to diversify sources of funding,", "Concerned, however, over the low levels of non-earmarked voluntary contributions to the Institute and the negative effects that such low levels have on the efforts to pursue strategic reforms and meet the training and capacity-development needs of developing countries,", "Welcoming the establishment of the Fellowship Fund to ensure that fee-based training services will remain accessible to the developing countries,", "1. Takes note of the report of the Secretary-General;[1]", "2. Welcomes the strategic plan of the United Nations Institute for Training and Research for 2010-2012;", "3. Calls upon the Institute to pursue its innovations in the field of capacity development;", "4. Encourages the Institute to continue improving its effectiveness and the high quality of its output, in order to consolidate its important role in the training of beneficiaries;", "5. Calls upon the Institute to pursue its efforts to enhance the capabilities of learning centres in developing countries with innovative methodologies, as well as to contribute to better coordination of United Nations research and training institutes;", "6. Invites Member States to identify concrete actions, including different ways of enhancing non-earmarked voluntary contributions, to respond to the challenges referred to in paragraphs 61 and 62 of the report of the Secretary-General, as well as to strengthen the Institute to contribute more effectively to United Nations development cooperation;", "7. Requests the Secretary-General to report to the Economic and Social Council at its substantive session of 2013 on the implementation of the present resolution.", "[1] E/2011/115." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 15", "United Nations research and training institutes", "Draft resolution submitted by the Vice-President of the Council, Miloš Koterec (Slovakia), on the basis of informal consultations held on draft resolution E/2011/L.19", "United Nations Institute for Training and Research", "The Economic and Social Council,", "Recalling its resolution 2009/27 of 30 July 2009,", "Recalling also its resolutions 57/268 of 20 December 2002, 58/223 of 23 December 2003, 59/252 of 22 December 2004, 60/213 of 22 December 2005, 62/210 of 19 December 2007 and 64/260 (sect. I) of 29 March 2010,", "Acknowledging the progress made by the United Nations Institute for Training and Research in establishing results-based-budgeting management, quality standards and the expanded use of technology-enhanced tools,", "Acknowledging also the increased effectiveness of the Institute through the increase in e-learning courses and the emphasis on multiplier effects, as well as the promotion of the transfer of knowledge through the development of training capacities in countries, organizations and regional organizations,", "Recognizing also the continuing leadership role of the Institute in addressing training in priority thematic areas, such as system-wide coherence in United Nations operational activities for development and active collaboration with agencies, in particular on climate change, peacekeeping, international migration and development-related issues,", "Encouraged by the increase in the number of beneficiaries of the Institute through increased training and knowledge-sharing activities and an expanded presence in developing countries,", "Encouraged also by the increase in earmarked voluntary contributions and the implementation of the new business model of the Institute, which focuses on the mobilization of self-generated income and diversifys sources of funding,", "Concerned about the low level of earmarked voluntary contributions to the Institute, which has a negative impact on the implementation of strategic reforms, capacity-building needs, in particular in developing countries,", "Welcoming the establishment of fellowships to ensure that fee-based training services are still available to developing countries,", "1. Takes note of the report of the Secretary-General; [1]", "2. Welcomes the strategic plan of the United Nations Institute for Training and Research for 2010-2012;", "Calls upon the Institute to make innovative efforts in the area of capacity-building;", "Encourages the Institute to continue to improve the effectiveness and quality of its outputs in order to consolidate its important role in training beneficiaries;", "5. Calls upon the Institute to pursue innovative approaches in its efforts to enhance the capacity of learning centres in developing countries and to contribute to better coordination among United Nations research and training institutes;", "6. Invites Member States to identify concrete actions, including different ways of increasing non-earmarked contributions, to address the challenges referred to in paragraphs 61 and 62 of the report of the Secretary-General and to make that contribution to United Nations development cooperation more effective;", "7. Requests the Secretary-General to report to the Economic and Social Council at its substantive session of 2013 on the implementation of the present resolution.", "[1] E/2011/115." ]

[ "主席： 维蒂希先生 (德国) \n 成员： 波斯尼亚和黑塞哥维那 乔拉科维奇女士 \n 巴西 维奥蒂夫人 \n 中国 孙晓波先生 \n 哥伦比亚 奥索里奥先生 \n 法国 博内先生 \n 加蓬 蒙加拉·穆索奇先生 \n\t印度\t哈迪普·辛格·普里先生\n 黎巴嫩 萨拉姆先生 \n 尼日利亚 埃多克帕先生 \n 葡萄牙 瓦斯·帕托先生 \n 俄罗斯联邦 茹科夫先生 \n 南非 拉海尔先生 \n 大不列颠及北爱尔兰联合王国 泰瑟姆先生 \n 美利坚合众国 赖斯女士", "议程项目", "有关伊拉克的局势", "秘书长根据第1936(2010)号决议第6段提出的第三次报告(S/2011/435)", "上午11时45分开会。", "通过议程", "议程通过。", "有关伊拉克的局势", "秘书长根据第1936(2010)号决议第6段提出的第三次报告(S/2011/435)", "主席(以英语发言)：根据安理会暂行议事规则第37条，我请伊拉克代表参加本次会议。", "根据安理会暂行议事规则第39条，我请秘书长特别代表兼联合国伊拉克援助团团长阿德·梅尔克特先生参加本次会议。", "安全理事会现在开始审议其议程上的项目。", "我谨提请安理会成员注意文件S/2011/435，其中载有秘书长根据第1936(2010)号决议第6段提出的第三次报告。", "我现在请梅尔克特先生发言。", "梅尔克特先生(以英语发言)：主席先生，我感谢你给我这次机会，介绍秘书长关于联合国伊拉克援助团(联伊援助团)活动的最新报告(S/2011/435)。现在是一个重要的时刻，安理会下周将要审议联伊援助团任务期限的延长。", "许多人问我最多的问题是，“你感到乐观还是悲观？”我们知道，局势对意图的影响一点也不亚于意图对局势的影响。我在伊拉克的多数见闻，令人有理由感到审慎的乐观，但国内要有坚定的领导，并且区域中存在着更为坚定的同伊拉克合作的精神。", "在一些重要方面，伊拉克是该区域根本性变革的核心。伊拉克的政府制度包含了权力分享的《宪法》、保证妇女和少数民族的参与，并且培育了不断进行宪政辩论的文化。定期按国际标准进行了选举。政府的组建尽管耗费时日，但确实有了进展。同时，议会在决策中发挥着越来越重要的作用。并且一反数十年专制政权的做法，所有政党之间的谈判已成为政治生活的突出特点。用扎巴里外长谈到伊拉克和更广大的区域的话来说：“一党国家和执政党的时代已经过去……这种时代已经结束。”", "在该区域千变万化的局势中，示威已被认为是表达意见或怨愤的合法方式，尽管言论自由的做法常常受到极大的压力。然而，政府和国民议会就需要制定的政策开展了真正的辩论，以便实现基础设施和经济的现代化、改善社会服务的提供，并打击机构惰性和腐败。", "与此同时，伊拉克的经济继续以超过10%的比率增长，石油收入超出预期水平，并且已证明储存量的最新数据再次证实伊拉克在全球石油生产中将长期占据突出地位。2010年外来直接投资总额同上年相比几乎增加50%，上升到略超420亿美元的水平。受益领域包括建筑、运输、电力、工业、石油和天然气、水和环卫、卫生以及农业。与此同时，伊拉克的贫困指数仍然高达22.9%。这种不平等构成了未来的动荡风险。", "对于一个在30年的战争与压迫期间遭受深重苦难的国家，这些政治和经济事实举足轻重。重建、机构建设和恢复知识都要花时间。也曾经遭遇过挫折，因为武装反对团体继续设法破坏积极的发展，尤其是进行了一波又一波针对公务员、担任公职的人、学者、医生和活动分子的绑架和暗杀，无疑给在此关键时刻的国家和社会建设带来冲击。这些和其他暴力行径近月来不幸并未减少，再次强调了对凶手采取坚定、共同的政治行动的必要性，不论他们的支持者可能是谁。", "巩固和进一步加强不容置疑的成就，将要求敏锐地认识到解决悬而未决问题的必要性。这样做的关键依然是执行2010年11月的埃尔比勒协议，马利基总理、库尔德地区政府主席巴尔扎尼和“伊拉克名单”领导人阿拉维按照一个商定的分权安排，共同签署了该协议。由于尚未任命安全部门的部长，并且全国安全政策理事会仍未组建，人们对于选举后的精神能否延续感到关切是可以理解的。在这方面，正如摆在安理会面前的报告所强调的那样，秘书长呼吁伊拉克的政治领导人搁置歧见，迅速商定前进的方向。", "必须指出，7月10日，主要政治集团所有领导人应塔拉巴尼总统邀请齐聚一堂，以加紧努力发扬共识精神，并研究如何执行埃尔比勒协议。讨论还侧重于伊拉克与美国之间双边部队地位协议期满问题。然而，我最近同有关各方会晤时所了解的情况，使人无理由对很快取得突破感到乐观。", "将受益于各方之间共识的另一个问题，是明年下一届独立高级选举委员会的任务授权和成员甄选问题。联伊援助团随时准备就相关程序向国民议会提供咨询意见。这一程序对于巩固在今后时期组织选举工作的独立性和标准至关重要。", "我高兴地报告，联伊援助团继续协助在常设协商机制框架内进行的对话。重要的是，基尔库克省内主要领导人之间的互动一直受到库尔德人、阿拉伯人及土库曼人等地区主要代表之间新权力分享安排的积极影响。此外，联伊援助团容许基尔库克选出的所有国民议会议员参加正在就将使被推迟的省议会选举能够在近期内举行的条件进行的协商。讨论进一步注重尼尼微省的权力分享、进行一次人口普查所需的条件，以及联合安全机制的未来。在美国驻伊拉克部队主持下，联合安全机制为伊拉克安全部队与佩什梅加之间的合作和协调做出了巨大贡献。", "短期内，维持安全稳定是重要的，条件是作出真正努力，以处理引起政治争议的根本问题。联伊援助团致力于帮助各利益攸关方在这些问题和其他问题上找到共同点和彼此可接受的解决办法，以解决基尔库克和其他有争议地区的地位问题。巩固并加强这些总体来说积极的经验，对于伊拉克和国际社会都具有重大意义。铭记这一目标，我访问了基尔库克省、尼尼微省及迪亚拉省的联合安全机制协调中心，以便使联伊援助团能够根据其任务授权就联合安全机制的未来和国际社会在接到请求的情况下继续介入的可能性，向伊拉克政府和库尔德地区政府“提供咨询意见和协助”。", "尽管伊拉克内部事务继续要求作出更多的努力以加强稳定，但区域背景也需要关注。伊拉克与科威特不仅拥有共同边界，而且还拥有共同的历史和未来。今年早些时候，由于伊拉克总理和科威特首相进行了互访，以及随后在两国外长主持下就全面双边议程开展了工作，两国关系取得了突破。两国关于建立一个部长级联合委员会的决定，是朝着找到可行办法解决其未决双边关切——包括最近引发公众讨论的双边关切——方向迈出的重要一步。", "尽管作出了这些双边努力(我希望这些努力将取得成功)，但正如秘书长的报告指出的那样，伊拉克必须向安理会表明，它在履行其尚未履行的依照《联合国宪章》第七章所承担的关于科威特的义务方面取得了具体和快速的进展。这些义务包括失踪的科威特人与财产，以及伊拉克-科威特边界维持项目和公民重新安置。秘书长还一直提醒伊拉克总理，他发来的重申伊拉克依照第833(1993)号决议对其与科威特的陆地和海上边界所作的承诺的信，是一项至关重要的建立信任措施。在这方面，秘书长高级协调员和我都仍然致力于协助伊拉克和科威特结束这些长期存在的安全理事会任务授权。", "执行为支持《国家发展计划》而制定的联合国发展援助框架的工作仍在进行。这项工作有两大支柱：3 300万美元的私营部门发展方案和5 500万美元的公共部门发展方案。在这方面值得一提的是联合国人口基金最近向伊拉克政府提供的重要支助，用于成功完成人口普查的住宅和家庭部分。", "在人权方面，在国家和区域层面提出了若干倡议。6月初，由马利基总理在国民议会召集的一次会议讨论了国家人权问题行动计划草案。在讨论过程中，有100多项建议被纳入计划。这些建议涉及影响妇女权利、儿童权利、少数族裔、法治、言论自由、境内流离失所者和难民的问题。在库尔德斯坦地区，其议会通过了打击该地区家庭暴力的法律。这些是积极事态发展，但必须继续作出努力，以确保基本权利和自由受到保护，尤其是关于媒体作用的基本权利和自由，并确保关押设施内的条件符合国际公约。", "对于联伊援助团来说，上周是从美国部队的多年支持向加强与伊拉克安全部队合作过渡的具有历史意义的一周。我要赞扬伊拉克政府对保护联合国工作人员的坚定承诺。在我完成作为伊拉克人民客人的两年任期之际，我要在我发言的最后提出几点个人看法。", "从国际角度看，有充分理由热烈欢迎伊拉克作为国际社会一个正式和受尊重成员重返国际舞台。由于历史上伊拉克所有部分与其邻国均不可分割地联系在一起，现在仍然千真万确的是，伊拉克一切顺利将大大有利于广大地区。伊拉克稳步的经济发展将加强地区和国际稳定。应对重大政治、社会和经济挑战，包括通过在伊拉克人民中间更公平地分配该国财富这样做，能够大大有助于减少极端主义的空间。反过来，该地区一切顺利也有利于伊拉克。国际社会的持续介入将有助于创造必要空间，以发挥更具多样性和更加一体化的经济发展的巨大潜力，并达到最终将界定该地区未来的社会进步水平。", "因此，我强调秘书长在其报告中所说的话，敦促该地区所有国家增加其同伊拉克的接触，以期迅速化解未决分歧，并确定政治、安全和发展领域可有利于有关各方的具体合作方面。联伊援助团在安全理事会支持下，准备尽其所能支持这种努力。", "放眼伊拉克境内，我有幸目睹在争取以一个由共存和共同利益界定阿拉伯人与库尔德人之间互动的未来取代族裔对抗的可怕过去方面所取得的真正进展。对于伊拉克和广大地区来说，注意到库尔德斯坦地区所取得的成就确实至关重要，因为这些成就大大有助于稳定和建立信任。这给人们带来希望，那就是，在处理涉及包括基尔库克在内的有争议地区的仍然重大、但并非不可克服的问题方面，常识将占据上风。关键在于各方是否愿意尊重彼此对过去对抗和不公的关切,并转而承认应该在有助于共同利益的分享权力安排中肯定多元化。如果伊拉克各方认为有助益，我强烈建议保持国际参与，以推动将争端逐步转化为各方相互可接受的解决办法的进程。", "在用那些根据宪法原则和做法设立的机构和代表取代残忍的专制统治方面也已经取得真正的进展。虽然将人权和民主基本要素深深植入所有利益攸关方的思想和行动的过程仍然面临许多挑战，但看来这方面变化很难再被扭转。然而，这种变化是以极高的代价取得的，虽然已经过去八年，但这种代价每天在受害者的身上和所出现的破坏中依然明显可见。该地区的事态发展表明，变化必须而且最终将主要来自内部。新伊拉克将为所有伊拉克人带来真正的机会，但条件是他们的领导人必须行动果断，盟国不能停止给予支持，伊拉克主权必须得到尊重。在可预见的将来，联合国将完全有条件成为这项努力中的一个值得信赖的合作伙伴。", "最后，我谨感谢伊拉克政府——包括巴亚提大使——以及安全理事会和秘书长过去两年来给予我信任，支持我作为秘书长特别代表履行联伊援助团肩负的重要任务。我也感谢联伊援助团与联合国国家工作队勇敢和干练的工作人员在困难而艰苦的条件下努力支持伊拉克人民。", "主席(以英语发言)：我感谢梅尔克特先生的通报。", "我现在请伊拉克代表发言。", "巴亚提先生(伊拉克)(以英语发言)：主席先生，首先请允许我祝贺你担任安全理事会本月主席。我谨感谢安全理事会前任主席、加蓬常驻联合国代表阁下6月份所做的工作。我还要感谢负责伊拉克问题的秘书长特别代表梅尔克特先生及其团队在巴格达和纽约真诚努力，帮助伊拉克人民和伊拉克政府。", "在2010年3月伊拉克议会选举成功举行之后，伊拉克政治和安全局势出现了重要的变化，伊拉克各阶层民众广泛参加了该次选举。通过选举产生了一个由赢得选举的所有政治团体组成的全国伙伴政府，加强了伊拉克的民主进程与安全和稳定。在今年年底美国军队撤出后开始的下一阶段，伊拉克政府将面临巨大的挑战和责任。", "在安全方面，伊拉克政府正在继续提高伊拉克安全部队的能力，并使其做好准备，抵御恐怖主义攻击，保护伊拉克的国内安全，保卫伊拉克民主。伊拉克政府将作出努力，最有效地执行可望在今年签署的与美国的战略框架协议和与欧洲联盟的伙伴关系协议。伊拉克政府将借助北约的专门知识，依照安全理事会第1546(2004)号决议强化军事能力。", "3月27日，伊拉克总理努里·马利基先生发起一项“百日计划”，目的在于使伊拉克政府机构走上正轨,使其能够改进工作,发现长处以便加以利用，找出弱点以便予以纠正。该计划的发起恰逢公布伊拉克部长会议批准的行政、政治、制度改革和遏制失业文件。总理还决定，为百日计划建立一个协调委员会，由部长会议秘书长领导，负责起草报告，介绍各部委的工作结果。", "6月23日，总理向伊拉克人民发表电视讲话，他指出，百日计划的总体指数和最后结果显示，大部分部委的工作表现在一般与良好之间。但是，不少部委工作表现很差，不可接受，将采取一系列行动：首先，将精简政府，裁减所有非必要和荣誉性职位，根据各种迹象，这已经成为一个迫切需要;其次，在部委一级调整部委数目;第三，进行一次专业评估，以改变一些部委副部长、顾问和局长人数;第四，在百日计划结果基础上继续和加快监测与评价进程。", "伊拉克政府已经在民族和解进程方面取得进展，解决了被解散实体问题，已经在司法与问责法框架内将其重新融入社会。政府也处理了“伊拉克之子”组织(亦称“觉醒会”)问题，迄今已将该组织45%成员编入政府各部委。此外还设立了部落理事会，目的是推动部落改革，避免冲突，以实现伊拉克社会各阶层融合，消除恐怖分子在伊拉克民众中间设置的各种藩篱。", "政府还支持举行宗教会议，以缩小伊拉克人之间的意见分歧。政府也欢迎武装团体交出武器，与其他伊拉克人民一道加入伊拉克大家庭。此外，政府还创造了一种有利于和解的大氛围，促进相互谅解的文化，而且已经采取措施，要求教育部、文化部和宗教基金部改变某些学校课程，以在伊拉克人民中间传播博爱与和谐文化。", "在发展领域，伊拉克政府与其国际合作伙伴协调努力，执行2010至2014年国家发展五年计划。该计划的费用将达1 860亿美元，包括在许多领域执行近2 700个战略项目，目的在于使伊拉克经济发生飞跃，改进为伊拉克公民提供的各种服务。最近已经建立伊拉克人力资源开发管理制度，以便支持并贯彻执行这项计划，同时政府正在实施一项雄心勃勃的发展计划，以建立强大经济，鼓励投资，提供适当的立法环境，保护投资者及其资本。", "这完全符合总理所说的话，他指出，伊拉克政府承诺履行义务，改革伊拉克经济，实行自由市场政策，在各部门实行必要的立法改革，给予私营部门必要的重视，使之能够在经济发展进程中发挥作用。", "此外，伊拉克石油部门正趋于稳定，现在平均日产石油250多万桶，出口约200万桶。伊拉克政府目前仍在努力执行国家计划，以改善伊拉克石油工业，争取到2017年达到日产石油1 200万桶的水平。", "在伊拉克政府为解决住房问题而作的努力方面，5月25日，政府同韩国公司韩华集团签署了一项合同，将在巴格达省建造10万个住房单位。5月31日，政府还同主管人类住区问题的机构——联合国人类住区规划署(人居署)——签署了一项谅解备忘录。", "关于人口普查问题，总理在参加规划部组织的国际人口日庆祝活动时重申，伊拉克政府致力于达成开展普查的协议，因为除非开展全面人口普查，调查所有的需要和现有的能力，否则就无法在科学基础上建设真正的国家。总理还表示，人口普查是一项国家发展项目，将满足各部委和私营机构对于统计数字的需要，而这些数字是规划和发展工作所必需的。他还表示，政府为普查项目提供了必要支持，并进行了必要的技术和专业筹备，以确保其成功。", "新伊拉克通过成立负责监测伊拉克人权状况和确保保护人权的可信和独立的国家机制，对人权问题给予了特别重视。所以，成立了伊拉克高级人权委员会。从4月份起，开始接受对于由11人组成的委员会理事会的提名。该理事会将拥有监测伊拉克人权状况的广泛权力。", "也是在这方面，6月举行了一次会议，讨论联合国人权理事会的建议。该次会议得到了努里·马利基总理的支持，秘书长伊拉克问题特别代表阿德·梅尔克特先生与会。若干国际组织代表、驻巴格达大使和外交使团成员也出席了会议。会议要求制定一项国家人权计划，在大中小学教授人权课程。加强教育部门也是伊拉克政府的主要优先工作之一，政府通过了一项广泛方案，以改进课程安排、建设大中小学、派遣伊拉克学生去其它国家学习，以此作为教育倡议的一部分。", "4月7日，被伊朗人民圣战者组织占领的阿什拉夫营地发生治安事件。此前，伊拉克安全和防暴部队曾试图在营地东北部确立政府的控制权，该地区包括了属于伊拉克公民的农田。伊拉克部队遭到燃烧弹和刀具攻击，从而酿成冲突。一些营地居民死伤，伊拉克部队7名官兵受伤。安全部队并非是要接管营地，也不是要以武力手段赶走居民。我愿在此指出，从4月7日起，伊拉克政府就允许联合国伊拉克援助团和很多国际组织的代表进入营地，为居民提供粮食和药品。政府还表示愿意就这些事件启动政府调查。", "然而，该组织将营地视为已获解放的圣地。它拒绝离开，这是对伊拉克主权的严重挑战。该组织领导人是在干涉伊拉克内政，并公开号召推翻伊拉克政府，而且煽动人们反对政府。该组织在美国被认为是恐怖组织，而在欧洲将其从此类恐怖名单中除名之前也被视为恐怖团体。它也是曾与萨达姆·侯赛因前政权勾结的组织之一，充当了镇压伊拉克人民的工具。所以，伊拉克政府决定确保该团体人员最迟于2011年年底离开伊拉克，并处理其重新安置和保障其人权问题。", "伊拉克长期以来受到制裁，因为在萨达姆1990年入侵科威特之后，它对国际和平与安全构成威胁。然而，自2003年以来，伊拉克已毫无疑问地证明，它不再对国际和平与安全构成威胁。为了推动联合国维护国际和平与安全的目标，伊拉克支持国际裁军和军控工作。2008年8月19日，伊拉克加入了《全面禁止核试验条约》。2009年2月12日，伊拉克加入了《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》。2009年11月12日，伊拉克签署了《集束弹药公约》。2010年8月11日，伊拉克签署了《防止弹道导弹扩散海牙行为准则》。此外，伊拉克还主持了2011年4月4日至21日举行的裁军审议委员会实质性会议，会议加强了有关核裁军的双边和集体谈判的势头。", "这一切都是伊拉克发出的明确信息，即它不再是国际和平与安全的威胁，而是在我们世界各地实现国际和平与安全的国际努力中发挥重要、实际作用的国家。", "在区域方面，阿拉伯世界正在掀起一场政治变革和改革运动的浪潮，这证明了伊拉克所采取的政治方向是正确的。这个方向就是实现政治变革、将推行民主、开展选举以及和平移交权力作为施政方针。我愿指出，在2004年讨论阿拉伯世界发展与现代化问题时，伊拉克曾强调，必须启动阿拉伯联合系统的机制，加强民主基础并扩大民众对于政治事务和国家决策的参与，继续开展经济改革，以提高阿拉伯国家生活水平，保障社会正义，强调妇女在社会中发挥作用的重要性及支持妇女权利和提高妇女地位的必要性，以及很多其它重要问题。如果能够认真和富有远见地对待这些问题，阿拉伯世界目前发生的很多事情或许本来是可以避免的。", "伊拉克认为它必须在阿拉伯联合工作系统和共同机制——其中最主要的就是阿拉伯国家联盟首脑会议——中发挥领导作用，所以，伊拉克外交部长霍希亚尔·扎巴里致函阿拉伯联盟秘书长，表示伊拉克要求将原定于5月在巴格达举行的首脑会议推迟，改为在2012年3月的例行会期举行。之所以提出该请求，是考虑到阿拉伯世界的局势和政治情况，事态发展仍在升级并且造成了影响。伊拉克政府认为目前不宜举行首脑会议。不过，伊拉克保留在我提到的日期于巴格达主办阿拉伯首脑会议的权利。阿拉伯联盟总秘书处于5月5日发表正式声明，表示应伊拉克正式请求已将首脑会议推迟，伊拉克保留在巴格达主办首脑会议的权利，以及从举行下届首脑会议之日起对阿拉伯联合工作的一年领导权。", "由于伊拉克对世界各国均持开放态度，在过去这一阶段中，外国官员多次访问巴格达。美国国会众议院议长约翰·博纳先生4月16日访问了巴格达。印度尼西亚人民代表会议议长马祖基·阿里先生5月3日访问了巴格达。美国国会民主党党团领袖南希·佩洛西女士5月5日访问了巴格达。美国参议员约翰·麦凯恩5月9日随同美国国会代表团访问了伊拉克。俄罗斯外交部长谢尔盖·拉夫罗夫先生5月10日访问了巴格达。伊朗外交部长阿里·阿克巴尔·萨利希先生5月11日访问了伊拉克。捷克总理彼得·内恰斯5月23日访问了巴格达。约旦首相马鲁夫·巴希特6月1日访问了巴格达。主管政治事务副秘书长林恩·帕斯科6月11日访问了巴格达。", "此外，伊拉克总理4月27日访问了大韩民国。他在那里会晤了李明博总统和国会议长朴熺太。伊拉克外交部长还率领伊拉克代表团出席了5月23日至27日在巴里举行的不结盟运动部长级会议。", "他在那次会议上发言，表示伊拉克强烈希望打开在投资领域的合作渠道，因为这将加强伊拉克与不结盟运动国家之间的合作纽带。他还表示，伊拉克政府希望特别是在不结盟运动框架内，在与区域和国际组织的工作层面发挥作用。霍希亚尔·扎巴里先生还率领伊拉克代表团参加了6月28日至30日在阿斯塔纳召开的伊斯兰合作组织第三十八届工作会议。", "2010年12月15日，安理会召开了关于伊拉克问题的一次历史性会议(见S/PV.6450)。会上通过了3项重要决议：第1956(2010)号决议、第1957(2010)号决议，以及第1958(2010)号决议。这些决议标志着因为萨达姆政权所犯罪行而对伊拉克实行的制裁与限制结束的开始。伊拉克政府正在努力贯彻执行安全理事会通过的这3项重要决议。伊拉克政府已开始与联合国秘书处磋商，以拟订一份关于执行第1958(2010)号决议有关结束石油换粮食方案的第7段的谅解备忘录。", "伊拉克已于4月份向安全理事会提交了第4份、也是最后一份关于伊拉克发展基金替代安排的报告。外交部正跟踪有关批准国际原子能机构附加议定书的问题，这是它对第1957(2010)号决议承诺的一部分。", "伊拉克政府根据其改善与科威特国关系的承诺，在各个层面均表现出解决所有未决问题的充分的合作精神。联合部长级委员会3月份召开了一次由两国外交部长主持的会议。伊拉克强调，联合管理位于Khawr Abdullah的航道的原则并尊重负责划界的特别委员会的报告以确保航行自由是重要的。", "我愿指出我国政府关于失踪的科威特人与科威特财产问题的立场，在伊拉克外长7月5日给秘书长的信中提及了这一立场，即：12月31日高级协调员任期期满时不再延长；依靠三方委员会的机制；以及如2010年11月26日外长给秘书长的信中建议的那样，在科威特驻巴格达使馆成立一个技术小组，在2010年12月17日的新闻谈话(SC/10130)中，安全理事会所有成员均对此表示欢迎。通过以这种方式来工作，我们能够更好地为我们两国的利益服务。", "我国外长在信中确认，伊拉克政府十分认真对待解决与科威特国所有的未决问题，并证明它正采取必要步骤执行安全理事会的有关决议。伊拉克认识到，两国必须都抱有改善其关系以服务于伊拉克人民和科威特人民的利益的愿望，才能建立信任。", "最后，我愿重申，我国政府赞赏联合国伊拉克援助团发挥的作用，并感谢秘书长特别代表阿德·梅尔克特先生按照双方商定的机制提供伊拉克政府要求的扶持与支助。", "主席(以英语发言)：我的名单上没有其他发言者了。我现在请安理会成员进行非正式磋商，以继续讨论该问题。", "下午12时25分散会。" ]

[ "President:\tMr. Wittig\t(Germany) \nMembers:\tBosnia and Herzegovina\tMs. Čolaković\n Brazil Mrs. Viotti \n China Mr. Sun Xiaobo \n Colombia Mr. Osorio \n France Mr. Bonne \n\tGabon\tMr. MoungaraMoussotsi\n\tIndia\tMr. Hardeep SinghPuri\n Lebanon Mr. Salam \n Nigeria Mr. Edokpa \n Portugal Mr. Vaz Patto \n Russian Federation Mr. Zhukov \n South Africa Mr. Laher \n\tUnited Kingdom of Great Britain andNorthern Ireland\tMr. Tatham\n United States of America Ms. Rice", "Agenda", "The situation concerning Iraq", "Third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)", "The meeting was called to order at 11.45 a.m.", "Adoption of the agenda", "The agenda was adopted.", "The situation concerning Iraq", "Third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)", "The President: In accordance with rule 37 of the Council’s provisional rules of procedure, I invite the representative of Iraq to participate in this meeting.", "In accordance with rule 39 of the Council’s provisional rules of procedure, I invite Mr. Ad Melkert, Special Representative of the Secretary-General and Head of the United Nations Assistance Mission for Iraq, to participate in this meeting.", "The Security Council will now begin its consideration of the item on its agenda.", "I wish to draw the attention of Council members to document S/2011/435, containing the third report of the secretary-General pursuant to paragraph 6 of resolution 1936 (2010).", "I now give the floor to Mr. Melkert.", "Mr. Melkert: I thank you, Sir, for this opportunity to introduce the Secretary-General’s latest report (S/2011/435) on the activities of the United Nations Assistance Mission for Iraq (UNAMI). This comes at an important time when the Council will be considering UNAMI’s mandate renewal next week.", "“Are you optimistic or are you pessimistic?” has been the question I have been asked most by many. As we know, events tend to shape intents at least as much as the other way around. In most of what I have witnessed in Iraq there is ground for cautious optimism, provided that determined leadership within the country and a stronger spirit of cooperation in the region with Iraq prevail.", "In some important aspects, Iraq is at the heart of fundamental changes in the region. The Iraqi system of Government incorporates a power-sharing Constitution, guaranteeing the participation of women and minorities and nurturing a culture of ongoing constitutional debate. Regular elections have taken place, conducted in line with international standards. While drawn out, Government formation has indeed progressed. Meanwhile, Parliament is taking an increasingly important role in decision-making. And in a departure from decades of authoritarian regime, negotiations between all parties have become the predominant feature of political life. In the words of Foreign Minister Zebari, speaking of Iraq and the wider region: “The time of the single-party State and the ruling party is over … This era is at an end.”", "In the slipstream of events in the region, demonstrations have been recognized as a legitimate way to express opinions or grievances, although all too often the practice of freedom of expression is under considerable pressure. Still, the Government and the Council of Representatives have embarked on a true debate about the policies that need to be put in place in order to modernize infrastructure and the economy, improve social services delivery and combat institutional lethargy and corruption.", "Iraq’s economy, meanwhile, continues to grow at a rate of over 10 per cent, with oil revenues at a higher level than projected and updates on proven reserves reconfirming Iraq’s prominence in global oil production for a long time to come. Total foreign direct investment in 2010 increased by almost 50 per cent against the previous year, up to a level of just over $42 billion. Areas that have benefited include construction, transportation, electricity, industry, oil and gas, water and sanitation, health and agriculture. At the same time Iraq’s poverty index remains high at 22.9 per cent. Such inequality poses an instability risk for the future.", "These political and economic facts matter in a country that has suffered much during three decades of war and oppression. Reconstruction, institution-building and bringing back knowledge all take time. There have also been setbacks as armed opposition groups continue to try to undo positive developments, most notably in waves of kidnappings and assassinations targeting civil servants, holders of political office, academics, doctors and activists, undoubtedly impacting State- and society-building at this crucial time. These and other acts of violence, which unfortunately have not subsided in recent months, emphasize once more the need for determined, jointly shared political action against the perpetrators, wherever they may derive their support from.", "Consolidating and further strengthening the indisputable gains will require a keen understanding of the need to resolve pending issues. The key to this remains the implementation of the November 2010 Erbil agreement that brought the signatures of Prime Minister Al-Maliki, Kurdistan Regional Government President Barzani and Iraqiya leader Allawi together under an agreed power-sharing arrangement. As appointments of ministers in the security ministries are still pending and the National Council for Strategic Policies has not yet been formed, there is understandable concern about whether the post-election spirit can prevail. In this context, as stressed in the report before the Council, the Secretary-General calls on Iraqi political leaders to put aside their differences and move swiftly to agree on the way forward.", "It is important to note that on 10 July all leaders of the main political blocs met at the invitation of President Talabani in order to step up efforts to revitalize the spirit of consensus and look at ways to implement the Erbil agreement. Discussions also focused on the issue of the expiration of the bilateral status-of-forces agreement between Iraq and the United States. However, the indications at my most recent meetings do not provide grounds for optimism about a breakthrough any time soon.", "Another issue that would benefit from consensus between parties is the mandate and selection of the next Independent High Electoral Commission in the course of next year. UNAMI stands ready to advise the Council of Representatives on the procedure that will be essential to consolidating independence and standards for organizing elections in the coming period.", "I am pleased to report that UNAMI has continued to facilitate dialogue within the framework of the standing consultative mechanism. Importantly, interaction among key leaders within Kirkuk province has been positively affected by a new power-sharing arrangement between key representatives of the Kurdish, Arab and Turkmen components. Furthermore, UNAMI hosted all Council of Representatives members elected in Kirkuk as part of ongoing consultations on the conditions that would enable the delayed Provincial Council elections to take place in the near future. Discussions have further focused on power sharing in Ninewa, the conditions for conducting a census and the future of the combined security mechanism, which, under the auspices of United States Forces-Iraq, has contributed significantly to cooperation and coordination between the Iraqi security forces and the Peshmerga.", "Maintaining security stability is important in the short run, provided that genuine efforts are made to address the underlying issues that have been a source of political controversy. The Mission is committed to helping stakeholders find common ground and mutually acceptable solutions to these and other issues in order to resolve the status of Kirkuk and other disputed areas. It is of great interest to Iraq and the international community that these overall positive experiences be consolidated and strengthened. With that purpose in mind, I visited the coordination centres of the combined security mechanism in the provinces of Kirkuk, Ninewa and Diyala in order to enable UNAMI to advise and assist, as per its mandate, the Government of Iraq and the Kurdistan Regional Government on the future of the mechanism and the possibility of continued international engagement, if requested.", "While Iraq’s internal affairs continue to require additional efforts to strengthen stability, the regional context requires attention as well. With Kuwait, Iraq shares not only a border but also a history and a future. Earlier this year, a breakthrough was achieved as a consequence of mutual visits by the respective Prime Ministers, and by the subsequent work on a comprehensive bilateral agenda under the auspices of their Foreign Ministers. Their decision to form a Joint Ministerial Committee is an important step towards finding viable solutions to their outstanding bilateral concerns, including those that have recently generated public discussion.", "Notwithstanding those bilateral efforts, which I hope will be successful, Iraq, as the Secretary-General’s report indicates, must demonstrate to the Council tangible and expeditious progress in implementing its outstanding Chapter VII obligations pertaining to Kuwait. These include missing Kuwaiti persons and property, as well as the Iraq-Kuwait boundary maintenance project and citizens’ relocation. The Secretary-General has also consistently reminded the Iraqi Prime Minister that a letter from him reaffirming Iraq’s commitment to its land and maritime boundaries with Kuwait under resolution 833 (1993) is an essential confidence-building measure. In this context, the Secretary-General’s High-level Coordinator and I both remain committed to assisting Iraq and Kuwait in bringing closure to these long-standing Security Council mandates.", "The implementation of the United Nations Development Assistance Framework, formulated to support the National Development Plan, remains ongoing, with two main pillars: a $33-million private-sector development programme and a $55-million public-sector one. Noteworthy in that context is the essential support that the United Nations Population Fund recently provided to the Government for the successful completion of the dwelling and household part of the census.", "On the human rights front, several initiatives were launched at the national and regional levels. In early June, the draft national action plan on human rights was discussed at a conference hosted by Prime Minister Al-Maliki in the Council of Representatives. During the discussions, more than 100 recommendations were incorporated into the plan. They cover issues affecting women’s rights, children’s rights, minorities, the rule of law, freedom of expression, internally displaced persons and refugees. In the Kurdistan region, its Parliament passed a law combating domestic violence in the region. While these are positive developments, efforts must continue to ensure that fundamental rights and freedoms are protected, notably with regard to the role of the media, and that conditions in detention facilities comply with international conventions.", "For UNAMI, last week was an historic week of transition from years of support by United States forces to enhanced cooperation with the Iraqi security forces, and I would like to commend the Government for its strong commitment to the protection of United Nations staff. At my completion of a two-year period as the guest of the Iraqi people, I would like to conclude with some personal observations.", "From the international perspective, there is every reason for strongly welcoming the return of Iraq as a full and respected member of the international community. As historically all parts of Iraq are inseparably connected to their neighbours, it remains true that what goes well in Iraq will be of tremendous benefit to the wider region. Steady economic development in Iraq will reinforce regional and international stability. Addressing major political, social and economic challenges could significantly contribute to reducing the space for extremism, including by distributing Iraq’s wealth more fairly among its people. Conversely, it is true that what goes well in the region is of benefit to Iraq as well. Sustained engagement on the part of the international community will help to create the space needed to tap into the vast potential of more diverse and integrated economic development and to achieve a level of social progress that will ultimately define the future of the region.", "Underscoring what the Secretary-General has said in his report, I therefore urge all countries in the region to step up their engagement with Iraq with a view to quickly resolving outstanding differences and identifying concrete areas of cooperation in the political, security and development fields that could be beneficial for all concerned. UNAMI, with the support of the Security Council, is prepared to do all it can to support such efforts.", "Looking inside Iraq, I have been privileged to witness the genuine progress that has been made to replace a horrific past of ethnic confrontation with a future where coexistence and common interest define the interaction between Arabs and Kurds. For Iraq and for the wider region, it is truly significant to note achievements in the Kurdistan region that are a great asset to stability and confidence-building. This generates hope that common sense will prevail in addressing still significant but not insurmountable issues regarding the disputed areas, including Kirkuk. The key will be the readiness of all parties to respect mutual concerns relating to past confrontation and injustices, while substituting for these the recognition that pluralism should be recognized in power-sharing arrangements serving the common interest. As long as the parties in Iraq consider this helpful, I would strongly recommend maintaining international engagement so as to facilitate the processes that may gradually transform disputes into mutually acceptable solutions.", "Real progress has also been achieved in replacing a ruthless dictatorship with institutions and representatives mandated by constitutional principles and practice. While many challenges remain in the process of ingraining human rights and democracy fundamentals into the minds and actions of all stakeholders, it is hard to see how this change could be reversed. The change, however, has come at an extreme cost, which is still tangible and visible on a daily basis in the victims and the damage, despite the eight years that have gone by. Developments in the region are showing that change must, and eventually will, come primarily from within. The new Iraq will be a real opportunity for all Iraqis only if their leaders are decisive in their action, allies do not turn away in their support, and its sovereignty is respected. For the foreseeable future, the United Nations will be well placed to remain a trusted partner in this endeavour.", "In conclusion, I would like to thank the Government of Iraq, including Ambassador Al Bayati, the Security Council and the Secretary-General for the confidence they have vested in me over the past two years in support of my efforts as Special Representative of the Secretary-General to carry out the important mandate entrusted to UNAMI. I also thank the brave and able staff of UNAMI and the United Nations country team for their efforts in supporting the people of Iraq under difficult and challenging conditions.", "The President: I thank Mr. Melkert for his briefing.", "I now give the floor to the representative of Iraq.", "Mr. Al Bayati (Iraq): Allow me at the outset to congratulate you, Sir, on your assumption of the presidency of the Security Council for this month. I would like to extend my thanks to the previous President of the Security Council, His Excellency the Permanent Representative of Gabon, for his efforts during the month of June. I would like also to thank Mr. Ad Melkert, Special Representative of the Secretary-General for Iraq, and his team in Baghdad and New York for their sincere efforts in helping the Iraqi people and the Iraqi Government.", "The political and security situation in Iraq witnessed significant developments following the success of the Iraqi parliamentary elections, which were held in March 2010 with broad participation on the part of all components of the Iraqi population. Those elections resulted in the formation of a national partnership Government from all of the political blocs that won in the elections, which strengthened the democratic process and led to greater security and stability. The next stage, which will follow the withdrawal of the American forces at the end of this year, will bring immense challenges and responsibilities to the Iraqi Government.", "From a security perspective, the Iraqi Government is continuing to improve the ability of its security forces and to prepare them to stand in the face of terrorist attacks, protect internal security and defend democracy in Iraq. The Iraqi Government will work on the optimum implementation of the strategic framework agreement with the United States and the partnership agreement with the European Union, which will, hopefully, be signed this year. The Iraqi Government will benefit from the expertise of NATO on building military capabilities in keeping with Security Council resolution 1546 (2004).", "On 27 March, the Iraqi Prime Minister, Mr. Nuri al-Maliki, launched a 100-day initiative whose goal was to put Government institutions on the right path so as to enable them to improve their performance and to identify their strong points, in order to capitalize on them, and their weaknesses, in order to address them. The initiative coincided with the publication of a paper on administrative, political and services reforms and on fighting unemployment, which was approved by the Council of Ministers. The Prime Minister also decided to establish a coordination committee for the 100-day initiative, chaired by the Secretary-General of the Council of Ministers, to prepare a report on the outcome of the work performed by the ministries.", "In a speech televised to the Iraqi people on 23 June, the Prime Minister stated that the general index and the final outcome of the 100-day plan showed that the performance of most ministries was between average and good. However, as the performance of quite a few ministries was weak and at an unacceptable level, a series of actions will be adopted: first, trim the Government and all non‑essential and honorary positions, which had become an urgent need, according to all indicators; secondly, at the ministerial level, a change in the number of ministries; thirdly, conduct a professional evaluation aimed at implementing changes in the staff of a number of ministries at the level of deputy ministers, advisers and general directors; and fourthly, continue the process of monitoring and evaluation from the point reached by the 100-day initiative, at an accelerated pace.", "The Iraqi Government was able to advance the process of national reconciliation by ending the issue of dissolved entities, integrating them into society within the framework of the Justice and Accountability Law. The Government also addressed the issue of the Sons of Iraq — also known as the Awakening Council — and to date has integrated 45 per cent of them into the various ministries. Tribal councils were established for tribal reform and to avert conflicts, so as to achieve convergence among the different components of Iraqi society, with a view to breaking down the barriers placed by terrorists between the sons of the country.", "The Government also supports the religious conferences held to bring closer the different views of Iraqis. It is also open to armed groups surrendering their weapons and converging, with the rest of the Iraqi people, under the tent of Iraq. In addition, the Government has created a general atmosphere conducive to reconciliation by promoting a culture of understanding and has moved to have the ministries of education, culture and religious endowments change certain school curricula so as to spread a culture of love and harmony among Iraqis.", "In the field of development, the Iraqi Government has coordinated its efforts with those of its international partners to implement the National Development Plan for the five years from 2010 to 2014. The plan, whose cost will reach $186 billion, includes approximately 2,700 strategic projects in many fields and is aimed at making a quantum leap in terms of the Iraqi economy and improving the services provided to the country’s citizens. The system for the management of Iraqi human development was recently finalized, with a view to supporting and following up on the implementation of the plan, at a time when the Government is working on the implementation of an ambitious development programme to build a strong economy that encourages investment and provides the appropriate legislative atmosphere to protect investors and their capital.", "This coincided with the Prime Minister’s assertion that the Iraqi Government was committed to its obligations in the context of reforming the Iraqi economy by adopting a free-market policy, carrying out the legislative reforms needed in different sectors, and giving the private sector the attention necessary for it to play its part in the economic development process.", "In addition, the Iraqi oil sector is experiencing stability, with average exports of around 2 million barrels a day and average production of more than 2.5 million barrels a day. The Iraqi Government is still working to implement the national plan to improve the Iraqi oil industry, which aims to reach a production level of 12 million barrels per day in 2017.", "Regarding the efforts made by the Iraqi Government to solve the housing problem, the Government signed a contract on 25 May with the Korean company Hanwha to build 100,000 units in Baghdad Province. On 31 May, the Government also signed a memorandum of understanding with the United Nations Human Settlements Programme (UN‑Habitat), the agency in charge of human settlement issues.", "With regard to the subject of the census, while attending the celebration of the International Day for Population, organized by the Ministry of Planning, the Prime Minister reaffirmed that the Iraqi Government was committed to reaching an agreement to conduct the census because it was not possible to build a real State on scientific bases unless a general population census were conducted to survey all the needs and the available capacities and capabilities. The Prime Minister added that the census was a national development project that would meet the statistical needs of ministries and private institutions necessary for planning and development. He also stated that the Government had provided the necessary support for the census project, as well as the technical and professional preparations necessary to ensure its success.", "The new Iraq has paid special attention to human rights issues by establishing credible and independent national mechanisms charged with monitoring the human rights situation in Iraq and ensuring that those rights are protected. The Iraqi High Commission for Human Rights was therefore established. Beginning in April, nominations began to be accepted for the Commission’s 11-member council. The council will enjoy broad authority in monitoring the situation of human rights in Iraq.", "In the same context, a conference was held in June to discuss the recommendations of the United Nations Human Rights Council. That meeting had the support of Prime Minister Nuri al-Maliki and included the participation of Mr. Ad Melkert, Special Representative of the Secretary-General for Iraq. Representatives from several international organizations, ambassadors and members of the diplomatic corps in Baghdad were also in attendance. The conference called for a national plan for human rights and for the teaching of human rights in schools and universities. Improving the education sector is also one of the main priorities for the Iraqi Government, which has adopted a broad programme to improve curricula, build schools and universities and send Iraqi students to other countries to study as part of the educational initiative.", "On 7 April, Camp Ashraf, which is occupied by the Iranian Mujahedin Khalq Organization, witnessed security events after Iraqi security and riot control forces attempted to establish Government control in the north-eastern part of the camp, which includes farmland that belongs to Iraqi citizens. Iraqi forces were subject to an attack with firebombs and knives, which led to clashes. A number of camp residents were killed or injured, with seven members of the Iraqi forces injured. The aim of the security forces was not to take over the camp or remove its residents by force. I would like to point out here that, since 7 April, the Iraqi Government has allowed representatives of the United Nations Assistance Mission for Iraq and many international organizations to enter the camp to deliver food and medicine to its residents. The Government also expressed its willingness to start a Government investigation regarding those events.", "However, that organization considers the camp as liberated and holy territory. It is refusing to leave the camp, which is a stark challenge to Iraq’s sovereignty. The organization’s leadership is interfering in Iraq’s internal affairs and calling publicly for the overthrow of the Iraqi Government and inciting against it. This organization is considered a terrorist organization in the United States. It was considered as a terrorist group in Europe until it was removed from the European list of such organizations. It is also one of the organizations that collaborated with the former regime of Saddam Hussein, acting as a tool of repression against the Iraqi people. The Iraqi Government therefore took the decision to ensure the departure of members of the group from Iraq by the end of 2011, as well as to work on their resettlement and on guaranteeing their human rights.", "Iraq has suffered for long time from the sanctions placed on it because it represented a threat to international peace and security after Saddam’s invasion of Kuwait in 1990. However, since 2003 Iraq has proved beyond any doubt that it no longer represents a threat to international peace and security. In furtherance of the goals of the United Nations to maintain international peace and security, Iraq supports international efforts aimed at disarmament and arms control. On 19 August 2008, Iraq joined the Comprehensive Nuclear-Test-Ban Treaty. On 12 February 2009, it acceded to the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction. On 12 November 2009, Iraq signed the Convention on Cluster Munitions. And, on 11 August 2010, Iraq signed The Hague Code of Conduct against Ballistic Missile Proliferation. In addition, Iraq chaired the substantive session of the Disarmament Commission held from 4 to 21 April 2011, which strengthened the momentum in the bilateral and group negotiations on nuclear disarmament.", "All of this constitutes a clear message from Iraq that it is no longer a threat to international peace and security, but rather that Iraq is an important and effective country in the international efforts to spread international peace and security throughout our world.", "On the regional front, the Arab world is witnessing a wave of political changes and reform movements that prove the rightness of Iraq’s political direction in terms of achieving political change and adopting democracy, elections and the peaceful transition of power as a way of governing. I would like to point out that, during the 2004 discussions relating to development and modernization in the Arab world, Iraq emphasized the importance of activating the mechanisms of the joint Arab system to deepen the foundations of democracy, expand the participation of the masses in the political sector and in the taking of national decisions, continue economic reforms to raise the living conditions of Arab nations, ensure social justice and underscore the importance of women’s role in society and the need to support their rights and to empower them, as well as many other important matters. If these points had been taken with seriousness and foresight, maybe we could have avoided many of the events now happening in the Arab world.", "Owing to Iraq’s belief in the importance of taking its leadership role in the joint Arab work system and its joint mechanisms — at the forefront of which is the Summit of the League of Arab States — Iraqi Minister for Foreign Affairs Hoshyar Zebari delivered a letter to the Secretary-General of the Arab League in which Iraq requested the postponement of the Summit scheduled to be held in Baghdad in May, to be rescheduled to its regular time in March 2012. That request was due to the situation and political developments in the Arab world, which is still escalating, with the implications that entails. The Iraqi Government believes that, at this stage, the timing is not appropriate for the holding of the Summit. However, Iraq reserves its right to host the Arab Summit in Baghdad on the date I have mentioned. On 5 May, the general secretariat of the Arab League issued an official statement indicating that the Summit had been postponed upon an official request from Iraq, which reserved the right to host the Summit in Baghdad and to maintain the helm of the joint Arab work for a full year from the date of holding the next Summit.", "As a result of Iraq’s openness to all countries of the world, the past period has seen many visits to Baghdad by foreign officials. Mr. John Boehner, Speaker of the United States House of Representatives, visited Baghdad on 16 April. Mr. Marzuki Ali, Speaker of Indonesia’s People’s Representative Council, visited Baghdad on 3 May. Ms. Nancy Pelosi, leader of the Democratic Party bloc in the United States Congress, visited Baghdad on 5 May. United States Senator John McCain visited Iraq, along with a congressional delegation, on 9 May. Russian Foreign Minister Sergey Lavrov visited Baghdad on 10 May. Iranian Minister for Foreign Affairs Aliakbar Salehi visited Iraq on 11 May. Czech Prime Minister Petr Nečas visited Baghdad on 23 May. Jordanian Prime Minister Marouf Bakhit visited Baghdad on 1 June. Under-Secretary-General for Political Affairs Lynn Pascoe visited Iraq on 11 June.", "In addition, Iraq’s Prime Minister visited the Republic of Korea on 27 April, where he met President Lee Myung-bak and Mr. Park Hee-ta, Speaker of the National Assembly. Iraq’s Minister for Foreign Affairs also headed Iraq’s delegation to the ministerial meeting of the Non-Aligned Movement held in Bali from 23 to 27 May.", "At that meeting, he delivered a statement in which he expressed Iraq’s desire to open collaboration channels in the field of investments, which would enforce the ties of cooperation between Iraq and countries of the Movement. He also expressed the hope of the Iraqi Government to activate its role at the working level with regional and international organizations, especially within the framework of the Non-Aligned Movement. Mr. Hoshyar Zebari also headed Iraq’s delegation that participated in the thirty-eighth work session of the Organization of Islamic Cooperation, held in Astana from 28 to 30 June.", "On 15 December 2010, the Council hosted an historic meeting (see S/PV.6450) on Iraq at which three important resolutions were adopted: resolutions 1956 (2010), 1957 (2010) and 1958(2010). These resolutions represented the beginning of the end of sanctions and restrictions imposed on Iraq as a result of the crimes of the Saddam regime. The Iraqi Government is working on following up on those three resolutions adopted by the Security Council. The Iraqi Government has started consultations with the Secretariat to formulate a memorandum of understanding regarding the implementation of paragraph 7 of the resolution 1958 (2010) relating to ending the oil-for-food programme.", "Iraq has presented its fourth and last report to the Security Council in April regarding the successor arrangements of the Development Fund for Iraq. The Ministry of Foreign Affairs is following up on the subject of ratifying the additional protocol of the International Atomic Energy Agency as part of its commitment to resolution 1957 (2010).", "The Government of Iraq, pursuant to its commitment to improve its relations with the State of Kuwait, has exhibited a thorough spirit of cooperation at various levels to resolve all outstanding issues. The Joint Ministerial Committee held a meeting in March, chaired by the Ministers of Foreign Affairs of both countries. Iraq has emphasized the importance of the principle of joint management of the navigational channel in Khawr Abdullah and of respect for the report of the specialized committee in charge of marking the borders to ensure the freedom of navigation.", "I would like to point out my Government’s position regarding the issue of missing Kuwaitis and Kuwaiti property, as mentioned in the letter of 5 July from the Iraqi Minister of Foreign Affairs to the Secretary-General, which is not to extend the mandate of the High-level Coordinator when it expires on 31 December; to depend on the mechanisms of the Tripartite Commission; and, as suggested in the Minister’s letter to the Secretary-General dated 26 November 2010, to establish a technical team in the Kuwaiti Embassy in Baghdad, which was welcomed by all members of the Security Council in its press statement of 17 December 2010 (SC/10130). Working in this way, we could better serve the interests of our two countries.", "The Foreign Minister asserted in his letter that the Government of Iraq is completely serious about solving all of its outstanding issues with the State of Kuwait and is proving that it is taking the necessary steps to implement relevant Security Council resolutions. Iraq realizes that confidence-building must originate from the desire of both countries to improve their relations in order to serve the interests of both the Iraqi and the Kuwaiti peoples.", "Finally, I would like to reaffirm my Government’s appreciation for the role played by the United Nations Assistance Mission for Iraq and for the efforts of the Special Representative of the Secretary-General, Mr. Ad Melkert, in providing the backing and support requested by the Iraqi Government, in accordance with the mechanisms agreed upon by the two parties.", "The President: There are no further speakers inscribed on my list. I now invite members to informal consultations to continue our discussion on this subject.", "The meeting rose at 12.25 p.m." ]

[ "Chairman: Mr. Wittig (Germany) Members: Bosnia and Herzegovina, Ms. Zolakovic, Brazil, Mrs. Viotti, China, Mr. Sun Xiaobo, Colombia, Mr. Osorio, France, Mr. Bonaire, Gabon, Mr. Mongara Musochi, India, Mr. Hardeep Singh Puri, Lebanon, Mr. Salam, Nigeria, Mr. Edokpa, Mr. Vaz Pato, Portugal, Mr. Zhukov, Russian Federation Mr. Rahel, South Africa, Mr. Tessem, United Kingdom of Great Britain and Northern Ireland Ms. Rice, United States of America", "Agenda", "The situation concerning Iraq", "Third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)", "The meeting was called to order at 11.45 a.m.", "Adoption of the agenda", "The agenda was adopted.", "The situation concerning Iraq", "Third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)", "The President: I invite the representative of Iraq to participate in the meeting in accordance with rule 37 of the Council's provisional rules of procedure.", "I invite Mr. Ad Melkert, Special Representative of the Secretary-General and Head of the United Nations Assistance Mission for Iraq, to participate in this meeting in accordance with rule 39 of the Council ' s provisional rules of procedure.", "The Security Council will now begin its consideration of the item on its agenda.", "I should like to draw the attention of the members of the Council to document S/2011/435, which contains the third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010).", "I now give the floor to Mr. Melkert.", "Mr. Melkert: I thank you, Mr. President, for this opportunity to present the latest report of the Secretary-General on the activities of the United Nations Assistance Mission for Iraq (UNAMI) (S/2011/435). This is an important moment for the Council to consider next week the renewal of the UNAMI mandate.", "Many ask me the most: “Are you optimistic or pessimistic?” We know that the impact of the situation on intent is no less than that of the intention. While much of what I hear in Iraq gives reason for cautious optimism, there is a need for strong domestic leadership and a stronger spirit of cooperation with Iraq in the region.", "In a number of important respects, Iraq is at the heart of fundamental changes in the region. The Iraqi system of government includes a power-sharing Constitution, guarantees the participation of women and ethnic minorities and fosters a culture of continuous constitutional debate. Elections are held regularly in accordance with international standards. Government formation, though time-consuming, has indeed progressed. At the same time, parliaments play an increasingly important role in decision-making. And contrary to decades of authoritarian regimes, negotiations among all political parties have become a prominent feature of political life. In the words of Foreign Minister Zebari on Iraq and the wider region, “the era of one-party States and the ruling party is over ”", "In the changing situation in the region, demonstrations have been recognized as a legitimate means of expressing opinions or grievances, although the practice of freedom of expression is often under great pressure. However, the Government and the National Assembly have engaged in a genuine debate on the policies that need to be developed in order to modernize infrastructure and the economy, improve the delivery of social services and combat institutional inertia and corruption.", "At the same time, Iraq ' s economy continues to grow at a rate of more than 10 per cent, oil revenues exceed expectations, and the latest data on stocks have proved once again to be evidence of Iraq ' s long-standing predominance in global oil production. Total foreign direct investment increased by almost 50 per cent in 2010 compared with the previous year, to just over $42 billion. The beneficiary areas include construction, transport, electricity, industry, oil and gas, water and sanitation, sanitation and agriculture. At the same time, Iraq ' s poverty index remains high at 22.9 per cent. This inequality poses a risk of future instability.", "These political and economic facts matter to a country that suffered so much during 30 years of war and oppression. Reconstruction, institution-building and the restoration of knowledge take time. There have also been setbacks, as armed opposition groups continue to seek to undermine positive developments, in particular the wave of kidnappings and assassinations of civil servants, persons holding public office, academics, doctors and activists, which have undoubtedly had a devastating impact on State- and social-building at this critical time. These and other acts of violence have unfortunately not diminished in recent months, re-emphasizing the need for firm, joint political action against the perpetrators, regardless of who their supporters may be.", "Consolidating and further strengthening unquestionable achievements will require a keen understanding of the need to resolve outstanding issues. The key to this remains the implementation of the November 2010 Erbil agreement, which was signed jointly by Prime Minister Al-Maliki, the President of the Kurdistan Regional Government, Barzani, and the leader of the Iraq List, Alawi, under an agreed decentralization arrangement. Concerns about the continuation of the post-election spirit are understandable, as the Minister of the Security Sector has not yet been appointed and the National Security Policy Council has not yet been formed. In this regard, as highlighted in the report before the Council, the Secretary-General calls on Iraq's political leaders to set aside their differences and quickly agree on the way forward.", "It is important to note that on 10 July, all leaders of the major political blocs gathered at the invitation of President Talabani to intensify their efforts to build a spirit of consensus and to study ways to implement the Erbil agreement. Discussions also focused on the expiration of the bilateral status-of-forces agreement between Iraq and the United States. However, the information that I received in my recent meeting with the parties concerned gives no reason to be optimistic about a quick breakthrough.", "Another issue that will benefit from consensus among the parties is the mandate and selection of members of the next Independent High Electoral Commission next year. UNAMI stands ready to advise the Council of Representatives on relevant procedures. This process is essential to consolidate the independence and standards for the organization of the elections in the coming period.", "I am pleased to report that UNAMI continues to facilitate dialogue within the framework of the standing consultative mechanism. Importantly, interaction among key leaders in Kirkuk has been positively influenced by the new power-sharing arrangements between key representatives of the Kurdish, Arab and Turkmen regions. In addition, UNAMI has allowed all members of the Council of Representatives elected by Kirkuk to participate in ongoing consultations on conditions that will enable postponed governorate council elections to take place in the near future. Discussions focused further on power-sharing in Ninewa province, the conditions required to conduct a census and the future of the Joint Security Mechanism. Under the auspices of the United States Forces in Iraq, the Joint Security Mechanism has contributed significantly to cooperation and coordination between Iraqi security forces and Peshmerga.", "In the short term, the maintenance of security and stability is important, provided that genuine efforts are made to address the underlying issues that give rise to political controversy. UNAMI is committed to helping stakeholders find common ground and mutually acceptable solutions to these and other issues to resolve the status of Kirkuk and other disputed areas. The consolidation and strengthening of these generally positive experiences is of great importance to both Iraq and the international community. With this objective in mind, I visited the Joint Security Mechanism focal points in Kirkuk, Ninawa and Diyala to enable UNAMI, in accordance with its mandate, to “advise and assist” the Government of Iraq and the Kurdistan Regional Government on the future of the Joint Security Mechanism and on the possibility of the continued engagement of the international community, if requested”.", "While the internal affairs of Iraq continue to require more efforts to enhance stability, the regional context also requires attention. Iraq and Kuwait share not only their common borders but also their common history and future. Earlier this year, a breakthrough in relations between the Prime Ministers of Iraq and Kuwait was achieved as a result of the exchange of visits and subsequent work on a comprehensive bilateral agenda under the auspices of the Foreign Ministers of the two countries. The decision of the two countries to establish a joint ministerial committee is an important step towards finding viable solutions to their outstanding bilateral concerns, including those that have recently triggered public discussions.", "Despite these bilateral efforts, which I hope will succeed, Iraq must demonstrate to the Council, as indicated in the Secretary-General's report, that it has made concrete and rapid progress in fulfilling its outstanding obligations under Chapter VII of the Charter of the United Nations with regard to Kuwait. These obligations include missing Kuwaitis and property, as well as Iraq-Kuwait boundary maintenance projects and the relocation of citizens. The Secretary-General has also been reminding the Prime Minister of Iraq that his letter reaffirming Iraq's commitment to its land and maritime borders with Kuwait pursuant to resolution 833 (1993) is a vital confidence-building measure. In this regard, the Secretary-General's High-level Coordinator and I remain committed to assisting Iraq and Kuwait to end these long-standing Security Council mandates.", "Implementation of the United Nations Development Assistance Framework in support of the National Development Plan is ongoing. This work has two main pillars: a $33 million private sector development programme and a $55 million public sector development programme. In this regard, it is worth mentioning the important support recently provided by the United Nations Population Fund to the Government of Iraq for the successful completion of the housing and family components of the census.", "In the area of human rights, several initiatives have been launched at the national and regional levels. In early June, Prime Minister Al-Maliki convened a meeting in the National Assembly to discuss the draft national action plan on human rights. During the discussions, more than 100 proposals were included in the plan. The recommendations addressed issues affecting women ' s rights, children ' s rights, minorities, the rule of law, freedom of expression, internally displaced persons and refugees. In the Kurdistan region, its parliament had adopted a law to combat domestic violence in the region. These are positive developments, but efforts must continue to be made to ensure that fundamental rights and freedoms are protected, in particular with regard to the role of the media, and that conditions in detention facilities are in conformity with international conventions.", "For UNAMI, last week was a historic week of transition from years of support from United States forces to enhanced cooperation with Iraqi security forces. I would like to commend the Government of Iraq for its strong commitment to the protection of United Nations staff. As I complete my two-year term as a guest of the Iraqi people, I would like to conclude my statement with a few personal observations.", "From an international perspective, there are good reasons to warmly welcome Iraq back on the international scene as a full and respected member of the international community. Since all parts of Iraq have historically been inextricably linked to its neighbours, it is still true that the success of Iraq will greatly benefit the wider region. The steady economic development of Iraq will enhance regional and international stability. Addressing major political, social and economic challenges, including through a more equitable distribution of the wealth of the country among the Iraqi people, can go a long way towards reducing the space for extremism. In turn, every success in the region will also benefit Iraq. The continued engagement of the international community will help to create the necessary space to realize the great potential for more diverse and integrated economic development and to reach the level of social progress that will ultimately define the future of the region.", "I therefore stress what the Secretary-General has said in his report and urge all States in the region to increase their contacts with Iraq with a view to quickly resolving outstanding differences and identifying specific areas of cooperation in the political, security and development fields that could benefit all concerned. UNAMI, with the support of the Security Council, is ready to do its utmost to support such efforts.", "Looking at Iraq, I have the honour to witness real progress in seeking to replace the terrible past of ethnic confrontation with a future of coexistence and common interest that defines interaction between Arabs and Kurds. For Iraq and the wider region, it is indeed crucial to note the achievements of the Kurdistan region, which contribute significantly to stability and confidence-building. This gives hope that common sense will prevail in dealing with the still significant but not insurmountable problems involving disputed areas, including Kirkuk. The key lies in the willingness of the parties to respect each other ' s concerns about confrontation and injustice of the past and instead to recognize that pluralism should be affirmed in power-sharing arrangements that benefit the common good. If the Iraqi parties find it useful, I strongly recommend that international engagement be maintained in order to facilitate the process of gradually transforming the dispute into a mutually acceptable solution for the parties.", "There has also been real progress in replacing brutal dictatorship with institutions and representatives established in accordance with constitutional principles and practices. While the process of embedding fundamental human rights and democracy in the minds and actions of all stakeholders still faces many challenges, it seems difficult to reverse this change. However, this change has been achieved at a very high cost, which, despite the eight years that have elapsed, is still evident daily in the victims and in the destruction that has occurred. Developments in the region have shown that change must and will ultimately come primarily from within. The new Iraq will provide a real opportunity for all Iraqis, provided that their leaders act decisively, that the allies do not cease their support and that Iraqi sovereignty is respected. For the foreseeable future, the United Nations will be well placed to be a trusted partner in this endeavour.", "In conclusion, I would like to thank the Government of Iraq — including Ambassador Al Bayati — and the Security Council and the Secretary-General for the confidence they have placed in me over the past two years to support me in carrying out the important tasks entrusted to UNAMI as Special Representative of the Secretary-General. I am also grateful to the courageous and able staff of UNAMI and the United Nations country team for their efforts to support the Iraqi people under difficult and difficult conditions.", "The President: I thank Mr. Melkert for his briefing.", "I now give the floor to the representative of Iraq.", "Mr. Al Bayati (Iraq): Allow me at the outset to congratulate you, Sir, on your assumption of the presidency of the Security Council for this month. I would like to thank His Excellency the Permanent Representative of Gabon to the United Nations, former President of the Security Council, for his work during the month of June. I would also like to thank Mr. Melkert, Special Representative of the Secretary-General for Iraq, and his team for their sincere efforts in Baghdad and New York to help the Iraqi people and the Government of Iraq.", "Following the successful holding of parliamentary elections in Iraq in March 2010, important changes have taken place in the political and security situation in Iraq, with broad participation from all segments of the Iraqi population. The democratic process and security and stability in Iraq were strengthened through the election of a national partner Government comprising all the political groups that won the elections. The Iraqi Government will face enormous challenges and responsibilities in the next phase, beginning with the withdrawal of the United States forces at the end of this year.", "On the security front, the Government of Iraq is continuing to enhance the capabilities of the Iraqi security forces and to prepare them for terrorist attacks, to protect Iraq's internal security and to defend its democracy. The Government of Iraq will make efforts to implement most effectively the strategic framework agreement with the United States and the partnership agreement with the European Union, which is expected to be signed this year. The Government of Iraq will draw on NATO ' s expertise to enhance military capabilities in accordance with Security Council resolution 1546 (2004).", "On 27 March, the Prime Minister of Iraq, Mr. Nuri al-Maliki, launched a “hundred-day plan” aimed at putting Iraqi Government institutions on track so that they could improve their performance, identify their strengths so as to take advantage of them and identify their weaknesses so as to correct them. The launch of the plan coincided with the publication of the administrative, political, institutional reform and anti-unemployment documents approved by the Iraqi Council of Ministers. The Prime Minister also decided to establish a coordination committee for the 100-day plan, headed by the Secretary-General of the Council of Ministers, to draft a report on the results of the work of the ministries.", "On 23 June, the Prime Minister delivered a television address to the Iraqi people, in which he noted that the overall indicators and final results of the 100-day plan showed that most ministries performed between average and good. However, the poor performance of many ministries is unacceptable and a series of actions will be taken: first, the Government will be streamlined and all non-essential and honorary posts reduced, which has become an urgent need on the basis of various indications; Second, the number of ministries is adjusted at the ministerial level; third, a professional assessment is conducted to change the number of deputy ministers, advisers and directors in some ministries; and fourth, the monitoring and evaluation process is continued and accelerated on the basis of the results of the 100-day plan.", "The Government of Iraq has made progress in the national reconciliation process, resolved the issue of dissolved entities and reintegrated them into society within the framework of the justice and accountability law. The Government has also addressed the issue of Sons of Iraq (also known as the Awakening Council), which has so far included 45 per cent of its members in government ministries. In addition, tribal councils have been established with the aim of promoting tribal reform and avoiding conflict in order to achieve the integration of all segments of Iraqi society and to eliminate the various fences that terrorists have set up among the Iraqi population.", "The Government also supported the holding of religious conferences to narrow the differences of opinion among Iraqis. The Government also welcomes the surrender of weapons by armed groups to join the Iraqi family with the other Iraqi people. In addition, the Government has created an atmosphere conducive to reconciliation and a culture of mutual understanding, and has taken measures to request the Ministries of Education, Culture and Religious Endowments to change certain school curricula in order to spread a culture of fraternity and harmony among the Iraqi people.", "In the area of development, the Government of Iraq coordinated its efforts with its international partners to implement the five-year national development plan for 2010-2014. The cost of the plan would amount to $186 billion, including the implementation of nearly 2,700 strategic projects in many areas, aimed at making a leap forward in the Iraqi economy and improving the services provided to Iraqi citizens. The Iraqi human resources development management system had recently been put in place to support and implement the plan, while the Government was implementing an ambitious development plan to build a strong economy, encourage investment, provide an appropriate legislative environment and protect investors and their capital.", "This is fully in line with the Prime Minister's statement that the Government of Iraq is committed to fulfilling its obligations to reform the Iraqi economy, implement a free market policy, implement the necessary legislative reforms in all sectors and give the private sector the necessary attention to enable it to play its role in the economic development process.", "In addition, the Iraqi oil sector is stabilizing, with an average of over 2.5 million barrels of oil produced daily and about 2 million barrels exported. The Government of Iraq is still working to implement a national plan to improve the Iraqi oil industry and to reach the level of 12 million barrels of oil produced daily by 2017.", "As regards the efforts of the Government of Iraq to address the housing problem, on 25 May the Government signed a contract with the Korean company Hanhua Group to construct 100,000 housing units in Baghdad governorate. On 31 May, the Government also signed a memorandum of understanding with the United Nations Human Settlements Programme (UN-Habitat), the body responsible for human settlements issues.", "With regard to the census, the Prime Minister, in his participation in the celebration of International Population Day, organized by the Ministry of Planning, reiterated the commitment of the Government of Iraq to reaching an agreement on the conduct of the census, as it would not be possible to build a true State on a scientific basis unless a comprehensive census was conducted, all needs were investigated and existing capacities were investigated. The Prime Minister also stated that the census was a national development project that would meet the needs of ministries and private institutions for statistics that were necessary for planning and development. He also indicated that the Government had provided the necessary support for the census project and had undertaken the necessary technical and professional preparations to ensure its success.", "The new Iraq gave special attention to human rights issues through the establishment of a credible and independent national mechanism to monitor the human rights situation in Iraq and ensure the protection of human rights. As a result, the Iraqi High Commission for Human Rights was established. From April onwards, nominations for the 11-member Governing Council of the Commission were accepted. The Council will have broad powers to monitor the human rights situation in Iraq.", "Also in this context, a meeting was held in June to discuss the recommendations of the United Nations Human Rights Council. The meeting was supported by Prime Minister Nuri al-Maliki and brought together the Special Representative of the Secretary-General for Iraq, Mr. Ad Melkert. Representatives of several international organizations, ambassadors in Baghdad and members of the diplomatic corps also attended. The meeting called for the development of a national human rights plan to teach human rights at the primary, secondary and tertiary levels. Strengthening the education sector is also one of the main priorities of the Government of Iraq, which has adopted an extensive programme to improve the curriculum, build primary, secondary and secondary schools and send Iraqi students to other countries as part of its education initiatives.", "On 7 April, a security incident took place in the Ashraf camp occupied by the Islamic People ' s Jihad Organization. Previously, the Iraqi security and riot control forces had attempted to establish government control in the north-east of the camp, which included agricultural land belonging to Iraqi citizens. Iraqi forces were attacked with incendiary bombs and knives, which created a conflict. A number of camp residents were killed and injured, as were seven members of the Iraqi forces. The security forces were not trying to take over the camp or to remove the population by force. I would like to point out here that, as of 7 April, the Government of Iraq has allowed representatives of the United Nations Assistance Mission for Iraq and many international organizations access to the camps to provide food and medicine to the population. The Government has also expressed its willingness to initiate Government investigations into these incidents.", "However, the organization views the camps as liberated holy sites. Its refusal to leave represents a serious challenge to Iraq's sovereignty. Its leaders are interfering in the internal affairs of Iraq and openly calling for the overthrow of the Government of Iraq and inciting opposition to it. The organization is considered a terrorist organization in the United States and is considered a terrorist group before it is removed from such terrorist lists in Europe. It was also one of the organizations that had collaborated with Saddam Hussein's former regime and served as a tool to suppress the Iraqi people. The Government of Iraq therefore decided to ensure that the group ' s personnel leave Iraq by the end of 2011 and address their resettlement and human rights concerns.", "Iraq has long been subject to sanctions because of the threat it poses to international peace and security following Saddam's invasion of Kuwait in 1990. Since 2003, however, Iraq has proved beyond any doubt that it no longer poses a threat to international peace and security. In furtherance of the United Nations objective of maintaining international peace and security, Iraq supports international disarmament and arms control efforts. On 19 August 2008, Iraq acceded to the Comprehensive Nuclear-Test-Ban Treaty. On 12 February 2009, Iraq acceded to the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction. On 12 November 2009, Iraq signed the Convention on Cluster Munitions. On 11 August 2010, Iraq signed the Hague Code of Conduct against Ballistic Missile Proliferation. In addition, Iraq hosted the substantive session of the Disarmament Commission from 4 to 21 April 2011, which strengthened the momentum for bilateral and collective bargaining on nuclear disarmament.", "All this is a clear message from Iraq that it is no longer a threat to international peace and security, but a State that plays an important and practical role in our international efforts to achieve international peace and security throughout the world.", "On the regional front, the Arab world is setting in motion a wave of political change and change, which confirms the correct political direction that Iraq has taken. This is the direction of political change, the introduction of democracy, the conduct of elections and the peaceful transfer of power as the course of governance. I would like to point out that, during the discussion of development and modernization in the Arab world in 2004, Iraq stressed the need to activate the mechanisms of the joint Arab system, to strengthen the foundations of democracy and to broaden popular participation in political affairs and national decision-making, to continue economic reforms in order to improve living standards in the Arab countries and to guarantee social justice, to emphasize the importance of women ' s role in society and the need to support women ' s rights and advancement, as well as many other important issues. Many of the current events in the Arab world could have been avoided had they been seriously and visionaryly addressed.", "Iraq believes that it must play a leading role in the joint Arab working system and common mechanisms — the most important of which is the summit of the League of Arab States — and therefore, the Minister for Foreign Affairs of Iraq, Hoshyar Zebari, addressed a letter to the Secretary-General of the League of Arab States, expressing Iraq's request that the summit scheduled for May in Baghdad be postponed to a regular session in March 2012. The request was made in the light of the situation and the political situation in the Arab world, where developments continue to escalate and to have an impact. The Government of Iraq does not consider it appropriate to hold a summit at this time. However, Iraq reserves the right to host the Arab summit in Baghdad on the date I mentioned. The General Secretariat of the League of Arab States issued an official statement on 5 May, stating that the summit had been postponed at the formal request of Iraq, that Iraq reserved the right to host the summit in Baghdad and that it would lead the joint Arab effort for one year from the date of the next summit.", "As a result of Iraq ' s openness to all countries of the world, foreign officials have visited Baghdad on several occasions during the past phase. The Speaker of the House of Representatives of the United States Congress, Mr. John Boone, visited Baghdad on 16 April. The Speaker of the Indonesian People ' s Congress, Mr. Mazuki Ali, visited Baghdad on 3 May. The leader of the Democratic Party of the United States Congress, Ms. Nancy Pelussi, visited Baghdad on 5 May. United States Senator John McCain visited Iraq on 9 May with a delegation from the United States Congress. The Russian Minister for Foreign Affairs, Mr. Sergey Lavrov, visited Baghdad on 10 May. The Minister for Foreign Affairs of Iran, Ali Akbar Salehi, visited Iraq on 11 May. The Czech Prime Minister, Peter Nejas, visited Baghdad on 23 May. The Prime Minister of Jordan, Marouf Bakhit, visited Baghdad on 1 June. The Under-Secretary-General for Political Affairs, Lynn Pascoe, visited Baghdad on 11 June.", "In addition, the Prime Minister of Iraq visited the Republic of Korea on 27 April. He met there with President Lee Myung-bak and the Speaker of the National Assembly, Park Yong-tae. The Minister for Foreign Affairs of Iraq also led the Iraqi delegation to the Ministerial Meeting of the Non-Aligned Movement held in Bali from 23 to 27 May.", "Speaking at that meeting, he expressed Iraq ' s strong desire to open avenues of cooperation in the area of investment, which would strengthen the ties of cooperation between Iraq and the countries of the Non-Aligned Movement. He also expressed his Government ' s desire to play a role at the working level with regional and international organizations, particularly within the framework of the Non-Aligned Movement. Mr. Hoshyar Zebari also led an Iraqi delegation to the thirty-eighth working session of the Organization of Islamic Cooperation, held in Astana from 28 to 30 June.", "On 15 December 2010, the Council held a historic meeting on Iraq (see S/PV.6450). Three important resolutions were adopted: 1956 (2010), 1957 (2010), and 1958 (2010). These resolutions mark the beginning of an end to the sanctions and restrictions imposed on Iraq as a result of the crimes committed by the Saddam regime. The Government of Iraq is working to implement the three important resolutions adopted by the Security Council. The Government of Iraq has begun consultations with the United Nations Secretariat to prepare a memorandum of understanding on the implementation of paragraph 7 of resolution 1958 (2010) concerning the termination of the oil-for-food programme.", "Iraq submitted its fourth and final report on alternative arrangements to the Development Fund for Iraq to the Security Council in April. The Ministry of Foreign Affairs is following up on the ratification of the Additional Protocol to the International Atomic Energy Agency, as part of its commitment to resolution 1957 (2010).", "In accordance with its commitment to improve its relations with the State of Kuwait, the Government of Iraq has demonstrated at all levels a full spirit of cooperation in resolving all outstanding issues. The Joint Ministerial Committee held a meeting in March chaired by the Foreign Ministers of the two countries. Iraq stresses the importance of the principle of joint management of the course at Khawr Abdullah and respect for the report of the Special Commission responsible for demarcation to ensure freedom of navigation.", "I would like to point out my Government ' s position on the issue of missing Kuwaitis and Kuwaiti property, which was mentioned in a letter dated 5 July from the Minister for Foreign Affairs of Iraq to the Secretary-General, namely, the non-extension of the High-level Coordinator ' s mandate on 31 December; reliance on the mechanism of the Tripartite Commission; and the establishment of a technical team at the Kuwaiti Embassy in Baghdad, as proposed in a letter dated 26 November 2010 from the Minister to the Secretary-General, which was welcomed by all members of the Security Council in a press statement dated 17 December 2010 (SC/10130). By working in this way, we can better serve the interests of our two countries.", "In his letter, my Minister for Foreign Affairs confirmed that the Iraqi Government takes all outstanding issues with the State of Kuwait very seriously and confirms that it is taking the necessary steps to implement the relevant Security Council resolutions. Iraq recognizes that confidence can be built only if both countries have a desire to improve their relations in the interests of the Iraqi and Kuwaiti people.", "In conclusion, I would like to reiterate my Government's appreciation for the role played by the United Nations Assistance Mission for Iraq and to thank the Special Representative of the Secretary-General, Mr. Ad Melkert, for the support and support requested by the Government of Iraq, in accordance with the mechanism agreed upon by the parties.", "The President: There are no further speakers inscribed on my list. I now invite Council members to informal consultations to continue our discussion on this issue.", "The meeting rose at 12.25 p.m." ]

[ "第六十六届会议", "^(*) 核定方案预算概要日后将作为《大会正式记录，第六十六届会议，补编第6号》(A/66/6/Add.1)印发。", "^(**) 《大会正式记录，第六十五届会议，补编第6号》(A/65/6/Rev.1)。", "2012-2013两年期拟议方案预算^(*)", "第七编 公共信息", "第28款 公共信息", "(2012-2013年期间战略框架方案23)^(**)", "更正", "1. 第28.13段", "现有案文替换为", "28.13 根据大会第58/269号决议，已确定用于监测和评价的资源，共计2 792 000美元经常预算，相当于292个工作人员工作月(180个专业人员职等工作月和112个一般事务职等工作月)。", "2. 第28.47(a) ㈥段", "在u分段后加上", "v. 在线议事录索引，包括大会、安全理事会和经济及社会理事会的活动(1)；", "w. 联合国书目信息系统(书目信息系统网)，基于网络的联合国文件和出版物及非联合国材料数据库，包括权威信息和书目资料(1)；", "3. 第28.52段", "现有案文替换为", "28.52 2010-2011两年期的非经常经费为400 500美元，用于开展新闻活动以支助定于该两年期举行的两次专题会议：第十二届联合国预防犯罪和刑事司法大会以及第四次联合国最不发达国家问题会议。" ]

[ "Sixty-sixth session", "* A summary of the approved programme budget will subsequently be issued as Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 6 (A/66/6/Add.1).", "** Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 6 (A/65/6/Rev.1).", "Proposed programme budget for the biennium 2012-2013*", "Part VII Public information", "Section 28 Public information", "(Programme 23 of the strategic framework for the period 2012-2013)**", "Corrigendum", "1. Paragraph 28.13", "For the existing text substitute", "28.13 Pursuant to General Assembly resolution 58/269, resources have been identified for the conduct of monitoring and evaluation, totalling $2,792,000 under the regular budget, equivalent to 292 work-months of staff (180 work-months at the Professional level and 112 work-months at the General Service level).", "2. Paragraph 28.47 (a) (vi)", "After subparagraph u, add", "v. Index to Proceedings online, covering the activities of the General Assembly, Security Council and Economic and Social Council (1);", "w. United Nations Bibliographic Information System (UNBISnet), the web-based database of United Nations documents and publications and non-United Nations materials, including authority and bibliographic information (1);", "3. Paragraph 28.52", "For the existing text substitute", "28.52 A non-recurrent provision of $400,500 in the biennium 2010-2011 provided for public information activities in support of two special conferences scheduled for that biennium: the Twelfth United Nations Congress on Crime Prevention and Criminal Justice and the Fourth United Nations Conference on the Least Developed Countries." ]

[ "Sixty-sixth session", "^ (*) A summary of the approved programme budget will subsequently be issued as Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 6 (A/66/6/Add.1).", "^ (**) Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 6 (A/65/6/Rev.1).", "Proposed programme budget for the biennium 2012-2013*", "Part VII. Public information", "Section 28 Public information", "(Programme 23 of the strategic framework for the period 2012-2013)^ (**)", "Corrigendum", "1. Paragraph 28.13", "For the existing text substitute", "28.13 Pursuant to General Assembly resolution 58/269, resources identified for monitoring and evaluation amount to $2,792,000 under the regular budget, equivalent to 292 staff work-months (180 work-months at the Professional level and 112 work-months at the General Service level).", "Paragraph 28.47 (a) (vi)", "After subparagraph (u), insert", "v. Online index of proceedings, including activities of the General Assembly, the Security Council and the Economic and Social Council (1);", "w. United Nations Bibliographic Information System (UNBISnet), web-based database of United Nations documents and publications and non-United Nations materials, including authoritative and bibliographic information (1);", "3. Paragraph 28.52", "For the existing text substitute", "28.52 The non-recurrent provision of $400,500 for the biennium 2010-2011 would cover public information activities in support of two thematic meetings scheduled for the biennium: the Twelfth United Nations Congress on Crime Prevention and Criminal Justice and the Fourth United Nations Conference on the Least Developed Countries." ]

[ "第六十六届会议", "临时议程^(*) 项目143", "联合国内部司法", "联合国内部司法", "内部司法理事会的报告", "一. 背景", "1. 大会第65/251号决议将联合国内部司法列入大会第六十六届会议议程。该决议第52段鼓励内部司法理事会继续就内部司法系统的落实情况提出意见，如理事会认为有必要，还可就如何加强其对司法系统的贡献提出意见。因此委员会编写了本报告。由于前一份报告(A/65/304)所载内容仍具有相关性，本报告为避免重复没有赘述，因此应与前一份报告一并阅读。本报告结尾所载建议摘要同前一份报告建议大体相同。", "2. 内部司法理事会于2008年5月成立，其现任成员为两位外聘的杰出法学家辛哈·巴斯纳亚克先生(斯里兰卡，由管理当局提名)和杰弗里·罗伯逊法官(大不列颠及北爱尔兰联合王国，由工作人员推举)。工作人员代表是法律事务厅国际贸易法司高级法律干事珍妮·克利夫特女士(澳大利亚)。管理当局代表为弗兰克·埃珀特先生(纽约联合国总部管理事务部)。现任主席是凯特·奥里甘法官，她担任南非宪法法院法官的任期于2009年10月结束。", "二. 导言", "^(*) A/66/150。", "3. 本报告阐述内部司法理事会根据监测新系统第二年运作情况得出的看法和结论。由于受财政制约，理事会成员为了编写本报告只能于2011年在日内瓦举行一次会议。尽管如此，他们经常通过电子邮件彼此联系，与该系统的主要利益攸关方保持联系，研读联合国争议法庭和联合国上诉法庭的判决。此外，2011年3月理事会主席因其他原因在纽约，得以与下列人员举行会议：内部司法办公室执行主任和该办公室其他工作人员、争议法庭在纽约的法官和书记官长、管理部门及其律师、工作人员工会和工作人员法律援助办公室人员以及包括管理评价股股长在内的其他有关人员。2011年6月，理事会成员为编写本报告在日内瓦举行会议。与此同时，他们得以与争议法庭法官(通过视频)、争议法庭书记官长(通过视频)、上诉法庭法官、管理部门的律师(通过视频)和工作人员法律援助办公室主任(通过视频)举行会议。", "4. 内部司法理事会对新系统继续运作良好总体感到满意。但理事会深信，资源严重短缺对新系统的威胁日益严重，如果得不到充分解决，新系统很可能恰恰被其试图避免的那些问题和延误所困扰。该系统迄今一直成功运作，是由于包括两个法庭的法官以及书记官处工作人员、代表管理部门和工作人员的律师及内部司法办公室的小组在内的许多相关方兢兢业业，付出了远远超出职责要求的努力。理事会很清楚，从长远来看这种努力程度是无法持续的。然而，理事会认为，如果得到必要资源，随着所有相关方逐渐发挥新系统的潜力，该系统将继续得到改善。", "5. 本报告分为七节：法官行为守则及实施这一守则的投诉机制、包括书记官处在内的法庭、内部司法办公室、工作人员法律援助办公室、内部司法理事会、管理评价股和法庭规约修正提议。理事会提交大会第六十五届会议的报告中还论及正式系统与非正式系统的关系和纪律事宜，本报告不再讨论这两个问题，但本报告最后一部分重述了理事会报告的建议。", "三. 法官行为守则与投诉机制", "A. 法官行为守则", "6. 大会第62/228号决议第37段c分段决定，内部司法理事会应草拟一份法官行为守则，供大会审议。经与联合国争议法庭和联合国上诉法庭就文本进行充分协商后，理事会提交行为守则供大会第六十五届会议审议(见A/65/86附件及本报告附件)。但是，大会该届会议没有审议该守则。理事会指出，特别是由于理事会已收到对法官的投诉，而一旦投诉机制到位后，行为守则将是决定投诉是否有理的基础，因此行为守则亟需生效。", "B. 投诉机制", "7. 内部司法理事会在其提交大会第六十五届会议的前述报告(A/65/304)第40段中指出，处理对法官行为投诉的机制尚未设立。理事会认为这是一个需要“迫切关注”的问题。但是，这个问题被转交第六十六届会议进一步审议。在过去12个月期间，理事会了解到已有数宗对法官的投诉。投诉人致信各机构以及理事会，但没有一个实体得到明确授权审议此类投诉。理事会认为需要尽快纠正这种情况，以保护法庭声誉。鉴于依据有关决议，需要确保独立性、专业性和问责制，理事会认为大会应授权一个独立机构审议投诉。理事会的上一份报告第40段还建议，理事会是调查投诉的适当机构。理事会进一步审议后认为，由理事会的3名外聘成员(主席以及分别由工作人员和管理当局提名的杰出法学家)成立一个投诉专家小组来审议投诉，较为妥当。理事会的这3名外聘成员不仅是熟悉司法系统的独立专家，而且作为确定适当法官人选的机构的成员，也很熟悉这些法官。他们拥有知识和专长，这意味着投诉将迅速得到处理，而无需任命外部咨询人。理事会建议所有投诉都交由投诉专家小组处理。专家小组很可能不必听取口头证据就可对许多投诉作出裁决，但出现重大事实争议时，可能必须听取口头证据。所有调查都必须公正地进行，并给予投诉人和法官双方陈词的机会。那些被认为毫无意义的投诉会立即被拒绝，其他投诉则将得到调查和裁决。该专家小组应有权经调查后不受理投诉，或在其认为投诉有依据时向有关法官发布不公开的咨询或指导，或酌情公开批评。专家小组如果认为有必要解雇法官，即编写一份报告建议大会这样做。这一程序应明白无误地表明，只有大会能够解雇法官，但大会只有在收到专家小组调查报告后才可以这样做。这个过程将保护司法独立，确保纪律程序透明公平。", "四. 法庭，包括书记官处", "A. 联合国争议法庭", "8. 从2010年7月1日至2011年5月31日，联合国争议法庭收到了170起新案件。[1] 同一时期，作出的判决有195项。在旧系统下联合申诉委员会和联合纪律委员会仍有169起未决案件，于2009年7月移交争议法庭，其中除8起案件外均已审结。在2010年1月从联合国行政法庭移交争议法庭的144起案件中，55起案件仍悬而未决。因此，从旧系统移交的案件中仍有63起未决案件。在考虑这些统计数据时，应当注意，一起“案件”(即一个关于特定管理行为过程的投诉)可能会引起法庭发出多项命令，例如暂停行动或披露文件的命令，发出每个命令均可能同时发布一个说明理由的判决。因此判决的数目可能远多于“案件”数。两个法庭“结案”时一般均会发布一个命令，同时对案情实质作出说明理由的最后判决。争议法庭的各书记官处对这些命令和判决的记录各不相同，虽然它们意识到了这个问题并正在努力解决，但现阶段仍难以准确说明截至2011年5月31日仍有多少“案件”悬而未决。 统计数据也没有准确地体现法庭正在开展多少工作，因为一些“案件”可能很简单，只需作出一个判决，而针对另一些案件，则可能需要发布许多命令和判决。尽管在解释统计数据方面存在这些困难，但内部司法理事会满意地看到争议法庭法官(包括三名审案法官在内的六名专职法官加两名半职法官)尚勉强能够处理新产生的案件量。", "1. 需要增设三名常任法官", "9. 内部司法理事会重申其上一份报告(A/65/304)第21段提出的观点，即需要保持现有法官人数，以处理提交的案件。因此，在审案法官任期结束时，需再任命三名专职法官。理事会认为，如果届时不任命更多法官，争议法庭的积压案件会迅速增加，使其无法及时开展司法工作。如果增设三个常设司法员额，就需要长期保留目前在各书记官处为审案法官配置的辅助工作人员。", "2. 一再延长审案法官任期不可取", "10. 审案法官的任期最初为期一年，从2009年7月至2010年6月，目前已经两度延长，从2010年7月延至2011年6月，又从2011年7月延至2011年12月。内部司法理事会认为不断地重新任命审案法官的做法不可取。原因有如下几个：首先，审案法官的反复重新任命有损于司法独立的要求。其次，任命审案法官原本是为了确保旧系统积压的案件得到处理。总体而言，这个任务已经完成。第三，审案法官任期一再延长也带来一些实际困难，因为这使得他们很难安排自己的事务。理事会指出，当提供第二次6个月延长的机会时，1名审案法官无法接受这一延期，对司法工作造成不利影响。由于时间段很短，无法确定适合只有6个月任期的两个或三个候选人。此外，理事会指出，如果大会关注的是争议法庭不要“超编”，如果显然没有必要为该系统配备六位专职法官，那么理事会对于大会在法官任期届满时或辞职时不再任命新法官持开放态度。由于任期是交错的，大会将能够至少每三年或四年做出这个决定。理事会认为，大会可以灵活地减少系统中的法官人数，加之一再延长审案法官任期在原则上和实际中均存在缺陷，因此，显然应尽量避免任命审案法官的做法。", "3. 争议法庭的半职法官", "11. 2010年7月1日至2011年5月31日期间，两名半职法官继续视需要到纽约、日内瓦和内罗毕工作，每名法官每年工作两次，每次三个月。在每个为时三个月的工作期中，两个月在争议法庭的一个地点工作。被任命为半职法官者可利用余下的30天在家备案并起草判决。然而，实际上案件数量和法庭所要求的工作量意味着这些法官花费长达60天从事这一工作，其中多达30天是无偿工作。半职的时间限制没有灵活性，这些法官无法视需要有偿从事这一额外工作。", "12. 内部司法理事会参考自其提交上次报告以来法庭的实际经验，重新审议了其先前关于增设一名半职法官的建议(建议2)，指出如果对争议法庭规约作出修正，设两名兼职法官而不是两名半职法官，就不需增设一名半职法官。半职法官的预算为专职法官费用的50%。如果修正关于半职法官的规定，改为设兼职法官，如果将现有的两个半职法官的预算由一名专职法官费用的50%增至75%，现有的半职法官每年就可以根据案件量和工作量需要用多于6个月的时间为争议法庭工作，从而就不再需要聘用第三名半职法官。此外，这种改变将解决理事会上一份报告第23段中提出的大多数问题。要作出这种改变，必须修正争议法庭规约。", "4. 争议法庭法官的全体会议", "13. 迄今为止，争议法庭法官已举行五次为期一周的全体会议(2009年7月在纽约、2009年12月在日内瓦、2010年6月在内罗毕、2010年12月在日内瓦、2011年6月在纽约)。内部司法理事会了解到，由于财政制约，在2011年举行第二次全体会议的可能性不大。由于理事会上一份报告第27段所述原因，理事会再次建议增加争议法庭的差旅费，确保争议法庭每年至少举行两次各位书记官长也参加的全体会议，最好轮流在法庭的三个所在地召开，以支持该系统的分权性质。", "5. 为争议法庭提供的支助服务", "14. 内部司法理事会上一份报告第30段概述了一些支持增加争议法庭行政预算的理由。法庭又一年的实际运作经验突出表明，必须增加预算，以确保各个法庭所在地均有足够的记录、视频会议、口译和笔译服务，并提供购置法律文本和网上法律资源的预算。理事会注意到一笔100万美元的款项已拨给内部司法系统用于协助口译和笔译服务，但失望地看到这笔款项似乎并没有拨到内部司法系统，笔译和口译服务仍因资源制约而岌岌可危。", "15. 内部司法理事会还对口头证词缺乏可靠的记录和录音转文字的机制深表关切。在对两个法庭的法官及书记官长的约谈中，显然可见，在许多情况下上诉法庭没有收到争议法庭诉讼程序中的口头证词录音转文字的全面可靠的记录。上诉涉及事实问题时，这些问题必须根据在争议法庭的口头证词来确定，理事会认为，此时专业司法系统需要口头证词录音转文字的可靠记录。理事会认为这个问题亟需解决。", "6. 争议法庭庭长", "16. 内部司法理事会重申其上一份报告第31段中所表达的观点，即应为争议法庭庭长安排适当的行政助理。", "7. 诉讼程序所用语文", "17. 正如内部司法理事会上一份报告第32段所述，理事会已要求内部司法办公室和书记官长注意向法庭求助的工作人员所使用的语文。理事会注意到，只有两起案件在纽约书记官处以法文提起诉讼(纽约是争议法庭唯一没有一个讲法语的法官的地点)，这两起案件已经在争议法庭另一个所在地的一名讲法文的法官协助下得到处理。因此，理事会满意地看到，已经为申诉人作出适当安排，可以用他们选择的联合国工作语文处理其案件。", "B. 联合国上诉法庭", "1. 案件统计", "18. 从2010年7月1日至2011年5月31日，上诉法庭收到了113个新案件。在同一时期，上诉法庭做出了95项判决。截至2011年5月31日，法庭有95个案件待决。", "2. 上诉法庭每年开庭次数", "19. 虽然上诉法庭的初步预算只供每年开庭两次，每次为期两周，但法庭在2010年为处理积压案件开庭三次，每次为期两周，在2011年也计划这样做。虽然这项规定不一定为长期规定，但如内部司法理事会在上一次报告第33段所述，理事会认为，必须确保上诉法庭能对来自争议法庭的上诉进行迅速审理和裁决，避免以往的上诉制度出现的长时间延误。开庭两周而不是更长时间的一个原因，是更加便于来自各国司法系统的法官们能在担任上诉法庭法官的同时继续担任本国法官。让目前在本国司法系统内任职的法官担任上诉法庭法官，将提高内部司法制度的专业性。因此理事会认为，如果上诉法庭需要每年开庭三次，每次为期两周，就应当为此编列经费。理事会将继续监测所需的开庭次数。", "3. 上诉法庭法官的薪酬", "20. 内部司法理事会在上一次报告第34段中指出，理事会建议大会继续审查薪酬制度。应该记得，上诉法庭法官按他们书写判决情况取酬(判决的主要书写人每项判决取酬2 400美元，另外两个参与法官每项判决取酬600美元)。这一制度取自于国际劳工组织行政法庭，但没有对该制度是否适宜于劳工组织或新制度进行过审查。由三名法官组成的上诉法庭听取争议法庭非常有经验的全职法官的上诉，由三名法官中的一名负责书写判决，取酬2 400美元，其他参与法官取酬600美元。这种制度可能会使人觉得，三名上诉法官没有全力投身于上诉裁决。理事会对此表示关切。这一薪酬制度还忽略了一个事实，即合议庭的三名法官应密切配合确定案情，应为此承担平等责任。此外，上诉法庭的法官不仅仅书写判决，而且还执行根据现行制度得不到报酬的一系列其他任务。最重要的是，上诉法庭法官在法庭不开庭时要轮流担任值班法官，每次一个月，在此期间可能需要对法庭待决案件发出多达30个中间命令。理事会认为，这种局面不可取。目前，这种工作根本没有报酬。理事会认为，应该考虑建立一个更公平的法官薪酬制度。例如，对法官每年的所有工作，包括每年三次为期两周的开庭以及所有额外工作，一次性总付薪酬。", "4. 上诉法庭辅助人员", "21. 内部司法理事会注意到，上一次报告第36段提到的辅助人员配置已经得到加强，已经根据大会第65/251号决议第49段的规定增设1个法律助理职位(一般事务(其他职等))，为期1年，由一般临时人员经费供资。理事会认可增设这一职位，但同时认为，上诉法庭具有法律专业知识的人员仍然不足，此事令人担忧。法庭过去12个月的经验表明，以目前的人员配置，法庭书记官处仍然无法按标准拟订法律备忘录和问题摘要，其速度达不到法官有效、高效开展工作的需要。理事会再次请求大会重新审议重新设计小组和秘书长就上诉法庭人员配置提出的建议，使法庭可以配备三名法律干事(其中至少一人应通法语)和三名法律助理。", "C. 争议法庭和上诉法庭面临的共同问题", "1. 争议法庭和上诉法庭法官的地位", "22. 在上一次报告中，内部司法理事会建议给予上诉法庭的法官以适当的联合国高级职等，如助理秘书长职等(建议13)。这一措施不会影响薪酬，因为上诉法庭的法官不领薪金。理事会进一步审议其他国际法庭处理此事的方式之后，认为这一建议是可取的，以便从各国的高级法院吸引最有能力的法官，同时承认两个法庭开展的重要工作；认为应该给予上诉法庭和争议法庭的法官助理秘书长职等。", "2. 约束法官的司法任职誓词和规章", "23. 在上一次报告第38段中，内部司法理事会提出了争议法庭和上诉法庭的法官在接受任命时宣誓的问题。大会第六十五届会议没有审议理事会提出的各法庭的誓词，但理事会重申，制定的任职誓词必须确认法官有义务遵守行为准则，其行为应保持独立、公平，没有恐惧、偏袒或偏见。如果大会授权，理事会愿意拟订司法誓词草稿，供大会第六十七届会议审议。", "24. 在上一次报告第39段中，内部司法理事会还提出了法官的地位问题，以及通过《关于非秘书处官员和特派专家的地位、基本权利和义务的条例》(ST/SGB/2002/9)规范他们同联合国的关系一事。大会第六十五届会议没有处理这一问题。理事会再一次表示，争议法庭法官应享有《联合国特权和豁免公约》赋予非秘书处官员的特权和豁免权，上诉法庭法官应享有赋予特派专家的特权和豁免权，但对于法官的独立性至关重要的是，只能通过法官《行为守则》来规范法官的道德责任。", "3. 判例情况", "25. 内部司法理事会不断了解新制度产生的判例。理事会认为，法律学者的分析将成为提高判例质量和司法问责的重要机制。因此，理事会正在与几所大学合作，于2012年6月举行关于新的司法制度的司法研讨会和学术会议。", "4. 适用于所有法律代表的《行为守则》", "26. 内部司法理事会在上一次报告第41段中指出，应该为出庭的所有法律代表制定一个行为守则。理事会认为，这一守则的制定需要让相关各方参与，包括本组织内代表管理层和工作人员的法律代理人、本组织外的法律代表以及法庭法官。理事会因此建议大会授权理事会启动起草法律代表行为守则的程序，以便将该行为守则提交给大会第六十七届会议。该行为守则不仅应载列关于法律代表行为的规则，而且应规定执行守则的适当渠道，如果有必要，可将案件提交由理事会三名“杰出法学家”成员组成的投诉小组(见上文第7段)。这样一个守则除其他外，与国际刑事法院采用的守则一样，将要求法律代表能够讲流利的英语或法语或两者，因为这两种语言是联合国工作语言。", "5. 差旅", "27. 自上一次报告以来，内部司法理事会继续监测与法庭和内部司法办公室有关的差旅问题。过去12个月的经验进一步表明，需要编制差旅预算，以满足上一次报告第44段所讨论的需求。", "6. 审判室和办公室", "28. 虽然去年为法庭安排审判室的工作取得了进展，但内罗毕仍然没有审判室，不过现已找到一个合适的地方。在纽约，审判室尽管已经完工，但尚未投入使用。在日内瓦，审判室虽然已经投入使用，但没有经常需要的口译服务设施。日内瓦和内罗毕的问题似乎是资金紧张造成的。内部司法理事会重申，如果要确保新制度的独立性、专业性、问责制，就需要提供可用的附带以下设施的审判室：两个出入口(一个供法官进出，另外一个供法律代表和公众进出)；诉讼记录设施；视频会议设施，以便能够听取其他工作地点的证人的证词；以及同声传译设施。此外，需要为争议法庭和上诉法庭在一个工作地点开展工作的法官安排办公室，配备电话、电脑，让他们能接入互联网。最后，据理事会了解，内部司法制度的需求尚未列入为修缮纽约总部大楼而制定的基本建设总计划。理事会的意见是，内部司法系统的需求应紧急列入基本建设总计划。", "7. 公开听讯", "29. 内部司法理事会再次指出司法公开原则对于新的内部司法系统的重要性。争议法庭尽管没有常设审判室，但继续举行许多公开听讯(见上文第28段)，上诉法庭每次开庭仅举行两次公开听讯。理事会的意见是，如果一当事方希望举行公开听讯，则应举行公开听讯，除非有充分的理由不这样做。迄今为止，出席公开听讯的观众人数时少时多，但至少有时参加的人数不少。内部司法理事会认为应继续审查这一问题。", "五. 内部司法办公室", "30. 内部司法办公室继续是司法系统运作的协调中心。该办公室最重要的职能是：", "• 监督法庭及其工作人员的工作以及他们与秘书处其他部门的互动情况，保证司法系统的独立性；", "• 支持司法系统，提供司法系统赖以运转的行政服务和设施；", "• 帮助实现系统内的“平等武装”，通过工作人员法律援助办公室向工作人员提供协助。[2]", "A. 业务方面", "31. 内部司法理事会注意到，内部司法办公室的网站在高效运作，工作人员可通过该网站查阅两个法庭的判例法，可搜索两个法庭的判决和命令。理事会还满意地注意到，该办公室从2011年7月6日起开始启用网络电子案件管理系统，其中一个功能是让工作人员可以从任何一个工作地点呈递和监测案件，这在联合国这样的机构分散的组织内是一个重大成绩。", "32. 执行主任办公室的职责多，但辅助人员人数非常有限，主要有1名特别助理(P-4)、1名一般事务职等工作人员和2名信息技术干事。内部司法理事会认为有理由适当增加辅助人员编制。", "B. 内部司法办公室的独立性和执行主任的地位", "33. 司法系统对本组织的价值在很大程度上依赖于工作人员和管理层对其独立性和公正性的看法。因此利益相关者不要采取或坚持不合理的或极端的行动或立场，因为这类行动或立场在法庭可能受到严格审查，而法庭是可能对个人追究责任的公共舞台。负责尽力保持这种独立性和公正性的官员是内部司法办公室执行主任。执行主任是法庭和各部门在交流出现问题时都会求助的中间人。在过去三年里，内部司法理事会越来越深信，执行主任的地位十分重要。执行主任必须能够作为与秘书处高级官员和法官地位相等的人自由发表意见。正是由于这些原因，才给予非正规司法系统的负责人——监察员以助理秘书长地位，理事会认为，正规司法系统的负责人应享有同样的地位。[3]", "C. 外联和协调", "34. 内部司法理事会获悉，一些工作地点对正规司法系统如何运作仍然缺乏了解，结果利益相关者同该系统接触时出现延误，感到失望。因此，理事会支持内部司法办公室和秘书长努力向利益相关者解释这一系统。[4]", "六. 工作人员法律援助办公室", "A. 工作人员法律援助办公室的结构和任务", "35. 工作人员法律援助办公室设在内部司法办公室，其工作人员有7名由经常预算供资的专业职等法律干事，纽约3名，亚的斯亚贝巴、贝鲁特、日内瓦和内罗毕四个工作地点各1名。该办公室还有3名通过类似渠道供资的一般事务工作人员，全部在纽约。此外，2010年，该办公室增加了1名工作人员，在内罗毕，负责协助处理外地特派团的案件，经费来自维持和平支助账户，为期一年。之所以设立工作人员法律援助办公室，是因为认识到联合国是一个特殊的用人单位，为了提高本组织内的决策质量，实现法律系统内的“平等武装”，应该支持工作人员甚至对本组织自己提出申诉。", "36. 工作人员法律援助办公室目前的任务[5] 是向工作人员提供专业法律援助，因为认识到这对有效、适当利用内部司法系统内的现有机制至关重要(见第62/228号决议，第12-15段)。具体而言，该办公室的作用是协助工作人员及其自愿代表通过正式内部司法系统处理申诉(见第65/251号决议，第38段)。", "B. 工作人员法律援助办公室目前运作情况", "37. 工作人员法律援助办公室只能靠人数有限的工作人员履行职责。该办公室还在内部做出决定，如果认定一个案件缺乏法律意义，或者在法庭上成功的机会不大，则可拒绝提供援助。内部司法理事会注意到，去年工作人员提出有意义的申诉要求远远超过了该办公室审议这些要求的能力(见A/65/304号文件，第63段)。", "38. 内部司法理事会认识到，大会从来没有打算让工作人员法律援助办公室用有限的工作人员单独承担工作人员法律援助的责任。在这方面，大会鼓励工作人员帮助处理该办公室的工作，包括提供志愿专业法律顾问服务(见第65/251号决议，第37段；另见A/65/304号文件，第64段)。此外，大会请秘书长提出据以向工作人员提供法律援助的由工作人员出资的机制提议(见第65/251号决议，第40段)。向该办公室提供帮助的第一个途径没有取得太大成功。该办公室虽然得到了一些内部自愿法律顾问、法律实习生和无偿外部法律顾问的协助，但这类协助没有起到明显帮助作用，一方面是因为这类协助不多，另一方面是因为无偿协助通常只在总部工作地点才有，还因为本组织以外没有处理工作人员——管理层申诉所需的专门知识(另见A/65/304号文件，第68段)。至于第二个途径，秘书长关于联合国内部司法的报告附件一提出了不同的由工作人员为该办公室供资的模式，同时指出每个模式的优点和缺点。秘书长得出结论认为，在大会原则上决定哪种模式最适合之后，对提出的所有模式都需要进一步审议。因此，该办公室近期内不太可能得到帮助。", "C. 为工作人员法律援助办公室提供协助的理由", "39. 要为工作人员法律援助办公室提供协助，就需要增加拨款。然而，支持该办公室的工作有着很好的理由。例如，办公室的律师不会无理打官司、浪费法律系统的时间和有限资源(见上文第37段)。此外，办公室的律师熟悉所有可利用的申诉机制，会根据案件的需要选择最具成本效益的机制，为采用这一申诉方式提供必要的协助。该办公室的人员可就与管理层的谈判提供咨询，或通过非正式司法系统进行调解，或在谈判或调解中作为工作人员的代表。如果出现诉讼，将尽可能快速、高效，加强问责制。此外，如果办公室增加人员，他们因领取固定工资，而不会有延长诉讼程序的动力(另见A/65/304，第62段)。", "40. 工作人员法律援助办公室的工作量持续增长。2010年7月1日，在办案件为432件。[6] 2011年5月31日，案件数为570件。可靠的预测是，随着案件的审结和新案件的提出，这一工作量将基本保持平稳。如果工作平均分配给办公室的八名法律干事，每位干事就得负责处理71个案件。内部司法理事会认为这一负担过重，使案件得不到最佳专业水平的关注，因此需要减量。", "D． 建议的补救措施", "41. 一项建议是，首先为亚的斯亚贝巴、贝鲁特、日内瓦的法律干事每人配备一名一般事务助理，同时为内罗毕的两名法律干事配备一名助理。这将大大提高法律干事的工作效率，因为他们将不必从事五花八门的行政和文秘事务(另见A/65/304，第66和71段)。事实上，在联合国系统内很可能没有其他法律干事是在没有秘书或行政支持的情况下工作的。建议将这些员额设为长期员额。", "42. 在工作人员法律援助办公室的八个法律干事员额中，只有一个高于P-3职等。[7] 就此建议设两个P-4职等的法律干事员额。增设的员额将减轻八位法律干事的工作量，此外也为5个P-3职等的法律干事提供职业发展出路，否则他们过一段时间后，会被迫离开办公室，从而导致办公室工作人员的经验和专业知识严重流失(另见A/65/304，第70段)。在增加的法律干事当中，有一人应当擅长双语(法文/英文)，在日内瓦工作，因为日内瓦是一个繁忙的工作地点。他们应得到上文提议的相同的一般事务人员的辅助。此外，这些员额可先设三年，其后可参考届时已采用的由工作人员资助办公室的援助机制，对员额的经费来源进行审查。", "E． “平等武装”", "43. 内部司法理事会重申，“平等武装”是指导内部司法系统发展的重要原则。工作人员法律援助办公室和管理部门的法律代表都声称，他们缺乏足够工作人员在新设的法庭充分代表各自的客户 。理事会认为这是一个令人关注的问题。保持合理的“平等武装”的必要性一直存在，理事会打算在未来几年内不断审查这个问题。", "七. 内部司法理事会", "44. 内部司法理事会在2010年7月至2011年6月期间只能举行一次会议，但举行了多次电话会议，启动了选举将提交大会第六十六届会议的合适人选的程序，以便于2012年7月1日选填补空缺。届时，五名法官(争议法庭一名全职职法官和一名兼职法官以及上诉法庭三名法官)的任职将到期。", "45. 在2011年，有若干人与内部司法理事会联系，希望对争议法庭的法官投诉。理事会主席每次都告知有关人士，理事会没有处理这类投诉的授权，其他机构也显然没有这样的授权。理事会主席也曾写信给大会主席，提请他注意到这个问题。在大会没有明确授权的情况下，理事会认为其不具备处理这类投诉的管辖权。上文第7段已经提出这一问题。", "46. 内部司法理事会在其报告第76段中认为，理事会通常需要每年举行两次会议，以充分审查内部司法系统的运作。理事会目前仍然这样认为，建议为每年举行两次会议拨出经费。此外，理事会如果承担额外工作，例如本报告(见上文第7、第23和第26段)提议的工作，则可能要举行更多的会议。", "47. 内部司法理事会指出，理事会现任成员的任期在2012年年初结束。工作人员和管理当局都需要采取措施任命新成员。", "八. 管理评价股", "A. 管理评价股的结构", "48. 管理评价股起源于大会第62/228号决议，其中强调有必要制定一套效率高、效果好、公正的管理评价程序。大会在同一决议中重申在诉诸正式诉讼前应穷尽行政补救办法的一般原则。根据这一决议，在管理部之内设立了管理评价股。目前组成管理评价股的人员为：一名股长(P-5)、3名法律干事(P-4)、由自行支配基金出资的另一位法律干事以及一般事务职等的3名法律助理。", "B. 与正式司法系统的关系", "49. 管理评价股已并入正式司法系统，在某些情况下，[8] 要向争议法庭提出申请的申请人在提出申请之前，必须向管理评价股提交其所抗辩的行政决定(见《争议法庭规约》第八条第一款第三项)。如果需要管理评价，提交申请有一定时限。[9] 管理评价股对评价请求作出答复也有时限。[10]", "C. 管理评价股的目标和运作", "50. 管理评价体系和管理评价股力图实现很多宝贵的目标。例如，如果有争议的行政决定是非法的，或站不住脚，管理评价股就设法通过谈判求得解决办法，往往能取得成功。通过这种方式，可以解除对司法系统的压力。出现这种情况可能也有另一个原因：据估计，截至2010年12月31日，如果管理评价股对有争议的决定发表了意见后案件又进入诉讼程序，在大多数案件中，争议法庭的意见与管理评价股的意见均相吻合。因此，工作人员在管理评价阶段后可能不愿提起诉讼。管理评价股的工作也使管理事务部能通盘了解有争议的管理决定，使其能够发现和纠正管理的系统性问题，追究那些行为不轨的官员的内部责任。此外，管理评价股的答复列明理由，摆出案件的事实，概述作出决定的人的意见，阐明适用的法律规则和判例。管理评价股如果认为有争议的决定为适当的，即提出其认为适当的理由。这一做法具有透明度，工作人员甚至在可能不同意管理评价股的结论时，也不会产生有时与管理层发生争议时的那种感觉，即他们是在与没有人情味的机器打交道。这样有助于提高工作人员的士气。", "51. 内部司法理事会已得到的印象是管理评价股在高效运作，但是由于工作量大，工作时限紧，因此压力很大。理事会支持关于加强管理评价股的倡议。", "D. 管理评价股与《联合国争议法庭规约》的限制", "52. 《争议法庭规约》对作出回应规定的上述30天及45天期限在一些情况下似乎会造成困难：为解决争端需要收集大量信息，或难于获取信息；管理评价股希望协助当事方通过直接谈判解决争端，但谈判持续长时间；工作人员在首次提交管理评价申请之后又提交了补充资料。《规约》中并未包含关于延长最后时限的规定；大会的确似乎认为最后时限不可改变，因为第八条第三款规定，争议法庭不得中止或免除管理评价的最后时限。[11] 如此规定的原因可能是工作人员对以往的管理评估造成系统延误的情况感到关切。重新设计小组也持这一看法。重要的是管理评价不应再次造成延误。", "53. 尽管如此，内部司法理事会认为，如果双方同意或争议法庭认为确实有特殊理由，延长时限是可能的(见下文第57段)。在旧系统运作时，管理当局的审查往往出现长时间延误，但如果仅在有限情形下允许延长时限，旧时的延误逐步重现的情况就不大可能发生。理事会注意到，各基金和方案都表示，它们不会超出法定时限。因此，理事会认为，如果管理评价股获得在双方同意情况下延长时限的授权，同时争议法庭获得在特殊情况下延长时限的授权，则有助于管理评价股克服上述困难(见下文)。理事会还认为必须加强管理评价股的能力，增加人员，增强其要求各部厅迅速提供信息的权限以及加快各部厅与工作人员谈判的权限，并对工作人员提交补充材料的次数加以限制。", "九. 两法庭规约的审查", "54. 大会在第63/253号决议第32段中决定在其第六十五届会议上根据所得经验审查两个法庭的规约。这项审查并没有进行。内部司法理事会在上文第7段提出的一项重要建议是，应建立针对法官的投诉处理机制(两法庭规约 须就此作出规定)。理事会在上文第12段提出的另一项重要建议是，将《联合国争议法庭规约》中提及“半职法官”处均改为“兼职法官”。除这两条建议外，理事会建议对两个规约作以下微小的修正。", "55. 《争议法庭规约》第四条第三款第二项规定，争议法庭的法官应“在一国或多国辖区内行政法领域或类似领域有至少10年的司法经验”；《上诉法庭规约》第三条第三款第二项规定，上诉法庭的法官应“在一国或多国辖区内行政法领域或类似领域有至少15年的司法经验”。尚不明确的是在这两个规定中“或类似领域”一词是指类似于行政法经验，还是指类似于国家辖区内的司法经验。内部司法理事会在上一份报告第16段指出，在有些会员国，就业法方面的纠纷是由仲裁员裁决的。理事会认为，具有此类经验的候选人有适当资格。此外，理事会注意到，目前起草的两项规定可以理解为排除了在其他国际法庭工作的经验，如在国际劳工组织行政法庭、世界银行行政法庭和国际货币基金组织行政法庭工作的经验，而在这些法庭的工作很可能是十分相关的经验。理事会认为，规约措辞如能改得更为清晰，将很有帮助。理事会提议解决这两方面困难的可能的措辞如下：候选人应在一国辖区或在一国际法庭具有至少10年(《争议法庭规约》)或15年(《上诉法庭规约》)的司法或裁判经验，此经验须与联合国内部司法系统内相关法庭的工作有关。", "56. 基于前一份报告第29段所述的理由，内部司法理事会再次建议修改要求上诉法庭庭长授权争议法庭三名法官组成分庭审理案件的规定(《争议法庭规约》第十条第九款)，允许由争议法庭庭长确定这一需要。", "57. 另一项修正涉及《争议法庭规约》第八条第三款。该款规定允许法庭在特殊情况下免除或中止最后时限，但明确排除在管理评价时限方面的授权。如上所述(见第52和53段)，管理评估股的经验表明，在特殊情况下，法庭应有权改变管理评价的时限。内部司法理事会认为，这一改变将增强争议法庭的实际作用和灵活性。理事会还认为应当修正《规约》，允许管理评估股在争议双方同意的情况下延长时限。", "58. 内部司法理事会认为应当修正《争议法庭规约》第七条第一款和《上诉法庭规约》第六条第一款，要求法庭允许有关各方有机会就关于法庭程序规则的拟议修正案发表意见。理事会建议，要做到这一点，可将拟议修订案的通知置于内部司法办公室网站的法庭部分，给有关各方30天时间向相关法庭的书记官长提出意见。此外，理事会建议在两套规则中插入以下两句话：“对规则提议的任何修正均须在内部司法办公室网站的法庭部分公布，明标公布日期。有关各方可在通知公布之日30天内，向相关法庭的首席书记官长提出意见，首席书记官长的姓名和联系细节应在通知中列明。”", "59. 关于修正规约的最后一项建议涉及内部司法理事会前一份报告也提出的一个问题，即编制预算时须与争议法庭和上诉法庭庭长协商(见A/65/304，第48段)。理事会认为，两项规约均应予以修正，应纳入一项规定，要求内部司法办公室执行主任在编制办公室预算时与争议法庭和上诉法庭庭长协商，让他们有合理的机会提供有关法庭需要的资料。", "60. 除以上变动之外，理事会认为，在目前阶段，没有必要对规约作进一步修正。理事会认为，大会两年之后在第六十八届会议期间再审查内部司法系统为宜。", "十. 结论和建议", "61. 总之，内部司法理事会认为，考虑到新系统才运作两年，新系统在其资源范围内运作良好，超过预期水平。新系统的成功在很大的程度上是法官、书记官长和工作人员、内部司法办公室的工作人员以及法律援助办公室和管理当局双方的出庭律师尽职尽责的结果。理事会赞扬各方在内部司法系统改革后的第一年中勤奋工作，无私奉献。", "62. 内部司法理事会在本报告前面各节中提出、在后面一节中总结的建议是为了应对系统所面临的挑战。理事会感到遗憾的是，许多建议都需要增加资源。理事会在提出这些建议时，十分清楚大会面临的财政拮据问题，因此理事会所建议的仅仅是那些理事会认为对新系统的有效运作十分重要的事项，以确保新系统的独立性、专业性和问责制。", "建议摘要", "内部司法理事会建议:", "法官行为守则和投诉机制", "1. 大会第六十六届会议审议法官行为守则，以便行为守则能够尽快生效(第6段)；", "2. 大会设立一个由主席和内部司法理事会两名“杰出的外部法学家”成员组成的投诉小组，审理和裁定关于法官违反行为守则或不宜担任内部司法系统中司法职务的投诉。投诉小组如果认为案件理由正当，即予以调查，酌情对法官提出警告或批评。投诉小组在对投诉进行审理和裁决时，须遵循自然公正和公平的原则。投诉小组如果得出结论认为有理由解除法官职务，则须向大会提出全面调查报告，包括其建议(第7段)；", "法庭", "3. 为联合国争议法庭补充任命三名常任全职法官，以便在审案法官任期结束时替代审案法官(第9和10段)；", "4. 修正《联合国争议法庭规约》的规定，设两名兼职法官，而不是两名半职法官，兼职职位按全职法官薪酬的75%供资(第12段)；", "5. 为联合国争议法庭法官和书记官长每年两次每次为期一周的全体庭议核拨经费(第13段)；", "6. 为视频会议、口译、笔译和获取法律研究资源核拨充足的经费(第14段)；", "7. 核拨充足的经费，确保为在联合国争议法庭的口头证词提供录音誊本，以便必要时作为上诉记录(第15段)；", "8. 向联合国争议法庭庭长提供行政支助(第16段)；", "9. 为联合国上诉法庭每年三次每次为期两周的庭议提供经费(第19段)；", "10. 审查向联合国上诉法庭法官支付的薪酬，考虑每年为所有工作支付的一笔总付薪酬(第20段)；", "11. 向联合国上诉法庭法官和联合国争议法庭半职法官每月支付津贴，用于适当支付因特网接入、计算机使用的费用和有关行政费用(A/65/304，第25段和第34(c)段)；", "12. 大会请会员国审视各自国家法官的薪酬规则，以便使国家法官在被任命担任得到承认的国际法庭的法官后能领取薪酬(A/65/304，第34(a)段)；", "13. 根据重新设计小组和秘书长原先的建议，扩大联合国上诉法庭的工作人员编制(第21段)；", "14. 大会赋予联合国上诉法庭和联合国争议法庭的法官以助理秘书长职等(第22段)；", "15. 拟定新的司法任职誓词(第23段)；", "16. 根据法官在本组织内的独立地位，重新考虑对法官适用《关于非秘书处官员和特派专家的地位、基本权利和义务的条例》(ST/SGB/2002/9)(第24段)；", "17. 授权内部司法理事会启动一个多方参与的进程，为工作人员和管理当局的法律代表拟定行为守则草案并把草案提交给大会第六十七届会议(第26段)；", "18. 核准关于联合国争议法庭和联合国上诉法庭的命令具有约束力的原则(A/65/304，第42段)；", "19. 为法官、书记官长和内部司法办公室工作人员编列足额差旅费(第27段)；", "20. 作为紧急事项，提供装备适当的审判室，供联合国争议法庭在日内瓦、内罗毕和纽约使用，并供联合国上诉法庭在日内瓦、内罗毕和纽约三处中的一个工作地点庭议时使用，同时为法官安排配备适当的办公室(第28段)；", "内部司法办公室", "21. 为了保持工作人员对内部司法办公室独立性的信任，内部司法办公室直接向大会报告工作(A/65/304，第56段)；", "22. 增加对内部司法办公室的行政支助(第32段)；", "23. 根据秘书长原先的建议，把内部司法办公室执行主任的员额改叙为助理秘书长职等(第33段)；", "24. 对管理人员进行关于内部司法制度改革的较广泛培训，特别是在总部之外的工作地点进行这样的培训(第34段)；", "工作人员法律援助办公室", "25. 设立两个P-4职等的法律干事员额(第42段)；", "26. 为亚的斯亚贝巴、贝鲁特、日内瓦和内罗毕提供一般事务行政工作人员(第41段)；", "内部司法理事会", "27. 为每年的两次会议提供充足的资源(第46段)；", "管理评价股", "28. 扩大管理评价股的人员编制和权限(第51-53段)", "29. 作出规定，允许管理评价股在双方同意的情况下延长管理评价时限(第53段)", "审查规约", "30. 提及司法员额所需经验时，清楚说明同等经验是指司法经验，还是指行政法经验；修正《联合国争议法庭规约》第四条第三款第㈡项和《联合国上诉法庭规约》第三条第三款第㈡项，明确规定法官的资格是“应在一国辖区或在一国际法庭具有至少10年(联合国争议法庭)和15年(联合国上诉法庭)的司法或裁判经验，此经验须与相关法庭的工作有关”(第55段)；", "31. 修订联合国上诉法庭庭长授权联合国争议法庭三名法官组成分庭审理案件的法定要求，允许由争议法庭庭长确定是否需要(第56段)。", "32. 修正《联合国争议法庭规约》第八条第三款，删除最后一句话，并把该款修改为允许争议法庭在特殊情况下免除或中止管理评价的时限，授权管理评价股在争议双方同意的情况下延长时限(第57段)；", "33. 修正《联合国争议法庭规约》第七条第一款和《联合国上诉法庭规约》第六条第一款，规定须向有关各方通报修正程序规则的提议，使他们能够向有关法庭提出意见(第58段)；", "34. 在两份规约中增加一项规定，即内部司法办公室执行主任编制法庭预算时，须与联合国争议法庭和联合国上诉法庭的庭长协商，让他们有合理机会发表意见和提供信息(第59段)；", "正式与非正式系统的关系", "35. 鼓励使用非正式解决争端的机制应该针对联合国全体雇员；应该大力鼓励工作人员和管理当局使用非正式机制(A/65/304，第84段)；", "36. 向工作人员和管理当局提供更多的关于非正式解决争端的培训(A/65/304，第84段)；", "37. 参加调解的管理人员需要有达成商定的和解协议的适当授权(A/65/304，第85段)；", "38. 经授权的管理人员达成理赔协议后，本组织应保证支付理赔额(A/65/304， 第85段)；", "39. 在工作人员寻求非正式解决争端期间，应暂停对某一决定进行管理评价的期限(A/65/304，第87段)；", "纪律程序", "40. 优先开展对纪律事项提出的改革(A/65/304，第94段)", "凯特·奥里甘(签名)", "辛哈·巴斯纳亚克(签名)", "珍妮·克利夫特(签名)", "弗兰克·埃珀特(签名)", "杰弗里·罗伯逊(签名)", "附件", "《联合国争议法庭和联合国上诉法庭法官行为守则》", "序言", "鉴于《世界人权宣言》确认，人人完全平等地有权由一个独立而无偏倚的法庭进行公正的和公开的审讯，以确定其权利和义务，乃一项基本原则，", "鉴于这一权利在一系列重要国际人权文书、包括《公民权利和政治权利国际公约》中得到认可和详细阐述，", "鉴于大会在2007年4月4日第61/261号决议第4段中决定按照国际法有关规则及法治原则和正当程序原则，建立一个独立、透明、专业化、资源充足和权力分散的新内部司法系统，确保工作人员的权利和义务得到尊重，并对管理人员和工作人员都实行问责制，", "鉴于公平解决雇佣申诉将有助于联合国高效开展工作并加强本组织的廉政；", "鉴于在联合国工作环境中，公众对内部司法系统的信任以及对联合国争议法庭和联合国上诉法庭道德权威和公正性的信任至关重要，", "鉴于法官个人和全体必须尊重司法职责，视其为公众信任，并努力增进且维持人们对内部司法系统的信任，", "亦鉴于《联合国关于司法机关独立的基本原则》旨在确保和提高司法机关的独立性，并为内部司法提供指导，", "兹采纳以下价值观和原则，以建立联合国争议法庭和联合国上诉法庭的法官行为标准，为法官提供指导，亦协助联合国工作人员和管理人员更好地理解和支持联合国争议法庭和联合国上诉法庭在联合国内部的工作：", "1. 独立性", "(a) 法官必须维护联合国内部司法系统的独立性和诚信，必须独立履行职责，不受来自任何当事方或方面的不适当的影响、诱导、压力或恐吓；", "(b) 为保护法庭的机构独立性，法官必须采取一切合理步骤，确保个人、当事方、机构或国家均不得直接或间接干扰法庭工作；", "2. 公正性", "(a) 法官在审理一切事项时必须以无畏、不偏袒且不存偏见的方式行事；", "(b) 法官必须确保其任何时候的行为均能维持所有人对法庭公正性的信任；", "(c) 如果发生以下情况，法官必须自行回避案件：", "㈠ 法官确有利益冲突或实际上有偏见；", "㈡ 根据适当知情之人的合理看法，法官有利益冲突或偏见；", "㈢ 法官个人知悉与诉讼有关的受争议证据事实；", "(d) 法官不得因非实质性理由而自行回避。法官在决定申请自行回避时必须说明理由；", "(e) 法官必须及时向各当事方披露在具体事项中被合理视为应导致申请回避的事由；", "(f) 如果法官的任何家庭成员是案件的诉讼当事人或代表诉讼当事人，或者对于案件结果有重大利益，则该法官不得参与该案件的裁决；", "(g) 为决定是否应自行回避某一事项，法官必须知悉其个人财务利益及其作为受托人的财务利益，并应在合理范围内尽可能做出努力,了解其直系家庭成员的财务利益；", "(h) ㈠ 法官不得直接或间接地洽谈或接受与其司法职务不符的、或者可以被合理视为酬金或可能影响其偏袒某一具体当事方的任何薪酬、收入、补偿、馈赠、优待或特权；", "㈡ 法官可接受象征性礼物、装饰品、奖赏或利益，惟不得导致第㈠分段所述与其司法职务不符或可以被合理视为的各种情形；", "(i) 法官不得从事不符合或有损其法官身份所要求的独立性及公正性的任何金融、政治或商业交易或活动，包括筹资活动，只要该等交易或活动可能被合理视为法官利用司法职务或者在任何其他方面不符合联合国的司法职责。法官如果不能确定某种行为是否违反这一规定，可以请法庭的首席法官联络内部司法理事会主席。理事会应审议该事项并告知相关法官拟议行为是否与本规定相冲突；", "3. 诚信", "(a) 法官必须具备高尚品格，不仅在履行职责时，而且在任何时候都做到公正行事，并遵循本《守则》所载的价值观和原则；", "(b) 法官必须在任何时候，包括不履行公务期间，遵守其居住、工作或访问国家的法律；", "(c) 如果法官患有疾病或出现可能影响其履行职责的其他情况，必须通知法庭的首席法官；", "4. 正当得体", "(a) 法官必须展现并促进高标准的司法行为，以增强人们对联合国司法诚信的信任；", "(b) 除执行司法职务之外，法官不得公开评论法庭尚未审结的任何案件的案情，或者作出根据合理预期可能会影响诉讼结果或损害明显的程序公平的评论；", "(c) 法官受专业保密义务的约束，应对法官之间的审议及其在履行职责过程中获得的保密信息予以保密；", "(d) 法官与其他公民无异，均可享有言论、信仰、结社及集会自由，惟于行使这些自由时，法官必须适当顾及本《守则》所载价值观和原则；", "(e) 法官不得使用或借用司法职务的声望，藉以增加法官本人、其家庭成员或任何其他人的私人利益，法官亦不得造成任何人可能对其施加不当影响的印象；", "(f) 法官与作为当事方或法律代理人的工作人员以及经常出现在该法官主持的法庭上的其他人之间的私人关系，必须避免出现让人有理由担心存在偏袒或不公的情况；", "(g) 联合国争议法庭的全职法官不得开业当律师，但可以为家庭成员、朋友、慈善组织和类似机构无偿提供非正式咨询意见；", "(h) 法官应尽最大努力促进法庭的共同合作。为此，法官必须礼貌待人，尊重其他人、包括法庭工作人员的尊严；", "(i) 法官可以组织或加入法官协会；", "(j) 在适当并且有效履行司法职责的前提下，法官可以参加任何合法活动，惟不得损害联合国司法职务在通情达理的社会成员心目中的声誉；", "5. 透明", "法官必须遵循司法公开原则，即必须让人们看到正义得到伸张，并且必须采取合理步骤确保法庭在处理案件时遵循这一原则；", "6. 诉讼程序公平", "(a) 法官必须在公平的诉讼程序中得出事实结论和应用适当的法律，藉此解决争议。这包括以下职责：", "㈠ 从文字和精神两方面遵守“听取另一方”(audi alteram partem)的规则；", "㈡ 保持明显的公正性；", "㈢ 公布所作裁决的理由；", "(b) 法官不得以种族歧视、性别歧视或其他歧视方式行事；法官必须维护并尊重《联合国宪章》、《世界人权宣言》和《公民及政治权利国际公约》所载原则。法官不得以言语或行为不公平地歧视任何个人或群体，亦不得滥用赋予其的权力和职权；", "(c) 法官不得允许法庭工作人员、在法庭上出庭的法律代理人或受法官领导或控制的其他人以种族歧视、性别歧视或其他歧视方式行事；", "(d) 法官有义务保护证人和当事方在法庭诉讼程序中不受骚扰和欺侮；", "(e) 法官在进行司法程序时必须礼貌对待法律代理人、当事方、证人、法庭工作人员、其他法官和公众，并要求上述人员礼貌待人；", "(f) 法官必须维持法庭诉讼的秩序，必要时可将扰乱或威胁要扰乱司法秩序的任何人驱逐出诉讼程序；", "7. 称职与尽责", "(a) 法官应尽力履行被指派的所有司法职责，包括与司法职务或法庭运作有关的任务，并应以高效和专业的方式及时处理司法工作；", "(b) 法官必须及时对案件做出裁决或裁定。除非有特殊情况，法官应在听讯结束或书面陈述完结后三个月内做出裁决；联合国上诉法庭法官应在审理案件的庭期结束后三个月内做出裁决；", "(c) 法官必须配合对其职务行为进行的正式调查；", "(d) 法官不得从事有损于有效快速进行司法或法庭工作的行为；", "(e) 从事司法工作期间，除非法官有充足理由，否则必须在其正常工作时间内根据法庭成员的决定在分庭出庭，并在规定时间内参加听讯和法庭审议。如果不能出席，法官必须提前通知法庭的首席法官。如果法官拟缺勤超过3天，必须取得法庭首席法官的批准；", "(f) 法官必须尊重并遵守其所在法庭首席法官的合理行政要求；", "(g) 法官必须采取合理步骤，维持必要的专业能力水平并了解国际行政和就业法的有关发展趋势以及国际人权规范；", "(h) 法官的司法职责重于其他职责和活动。", "[1] 本报告编写之时暂缺2011年6月的统计数据。新案件数应与截至2010年6月30日仍悬而未决的290起案件相加。", "[2] 该办公室业务的更加详细的说明载于A/65/304号文件，第53段。", "[3] 另见A/65/304号文件，第57段，其中提出这一建议，并提供了更多详细资料。", "[4] 关于外联和培训的必要性，详见A/65/304号文件，第60段。", "[5] 在大会第65/251号决议第56段决定在第六十六届会议上再次审议该办公室的任务和运作问题。", "[6] 内部司法理事会获悉，“案件”对于法律援助办公室而言，是指下列任何情况：在正式司法系统的机构(管理评估股、争议法庭或上诉法庭)提供援助或作为正式指定律师；提供法律指导和简要法律咨询；协助工作人员以非正式方式解决争端，其中可能需要与工作人员的协商，与第三方讨论和谈判，或将案件移交给系统内其他行为体，包括联合国监察员或工作人员工会。", "[7] 法律援助办公室主任(纽约)为P-5职等。 与为管理当局提供咨询的法律干事的职等(P-5，D-1，D-2)相比，该办公室的法律干事的职等相对较低。另见A/65/304，第69段，脚注20。", "[8] 工作人员条例第11.2(a)条规定：“ 工作人员希望根据工作人员条例11.1(a)，正式对一项行政决定表示不服，声称其任用条件或雇用合同包括一切相关条例和细则未获遵守时，首先应以书面形式提请秘书长对该行政决定进行管理评价”[着重部分由作者标明]。工作人员条例第11.2(b)条规定：“对于秘书长确定所涉行政决定是根据技术机构咨询意见作出的决定，或在纽约总部根据工作人员细则10.2作出的一项在纪律程序结束后实施纪律或非纪律措施的决定，希望正式表示不服的工作人员无须请求进行管理评价”[着重部分由作者标明]。", "[9] 申请人须在收到对其申请的答复后90个历日内提出申请。如果未收到答复，申请人必须在提交管理评估的回复期届满90天之内提出申请(见《争议法庭规约》第八条第一款第四项第1目第1和第2分目。", "[10] 在将争议提交管理评价后，对于涉及总部和其他办事处的争议而言，答复期限分别为30和45个历日(见《争议法庭规约》第八条第一款第四项第1目第2分目)。", "[11] 然而，秘书长在工作人员细则11.2(d)中规定：“秘书长可以延长[对管理评价作出答复的]这一期限，以待监察员办公室根据秘书长所定条件进行非正式解决努力。”" ]

[ "Sixty-sixth session", "Item 143 of the provisional agenda[1]", "Administration of justice at the United Nations", "Administration of justice at the United Nations", "Report of the Internal Justice Council", "I. Background", "1. By its resolution 65/251, the General Assembly included the administration of justice at the United Nations in its agenda for the sixty-sixth session. In paragraph 52 of the resolution, it encouraged the Internal Justice Council to continue to provide its views on the implementation of the system of administration of justice and, if it deems it necessary, on how to enhance its contribution to the system. The Council has accordingly prepared the present report, which should be read together with its previous report (A/65/304), as much of the material set out in that report is still relevant and it would be duplicative to repeat it. The recommendations, which are summarized at the end of the present report, are very similar to those contained in the previous report.", "2. The Internal Justice Council was established by May 2008 and its current members are the distinguished external jurists Mr. Sinha Basnayake (Sri Lanka, nominated by management) and Justice Geoffrey Robertson (United Kingdom of Great Britain and Northern Ireland, elected by staff), with Ms. Jenny Clift (Australia) a Senior Legal Officer in the International Trade Law Division, Office of Legal Affairs, as the staff representative, and Mr. Frank Eppert (Department of Management, United Nations Headquarters, New York) as the management representative. The current Chairperson is Justice Kate O’Regan, whose term of office as a judge of the Constitutional Court of South Africa expired in October 2009.", "II. Introduction", "3. The present report sets out the views and conclusions of the Internal Justice Council from monitoring the second year of the new system. Although financial constraints confined Council members to only one meeting in Geneva in 2011 to prepare the present report, they have been in regular touch through e-mail with each other and with the main stakeholders in the system, and have been reading the judgments of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal. In addition, the Chairperson of the Council was in New York for other reasons in March 2011 and was able to hold meetings with the Executive Director of the Office of Administration of Justice and other staff of that Office, the judges and registrar of the Dispute Tribunal in New York, with management and its lawyers, with staff unions and the Office of Staff Legal Assistance, and with other role players, including the Chief of the Management Evaluation Unit. In June 2011, members of the Council met in Geneva to prepare the present report. At the same time, they were able to hold meetings with the judges of the Dispute Tribunal (by videoconference), the registrars of the Dispute Tribunal (by videoconference), the judges of the Appeals Tribunal, management lawyers (by videoconference) and the Chief of the Office of Staff Legal Assistance (by videoconference).", "4. The Internal Justice Council is broadly satisfied that the new system has continued to function well. Yet, it is convinced that the desperate shortage of resources is a growing threat to the new system and that if this insufficiency is not addressed, the new system may well become plagued by the very problems and delays it sought to avoid. The successful functioning of the system to date has been due to the commitment and hard work well beyond the call of duty of many of the role players, including the judges of the two Tribunals, as well as the staff of the registries, lawyers representing management and staff, and the team in the Office of Administration of Justice. It is clear to the Council that this level of commitment is unsustainable in the long run. However, it is of the view that if the necessary resources are made available, the new system will continue to improve as all role players come to fulfil the potential of the system.", "5. The report is divided into seven sections: the Code of conduct for judges and a complaints mechanism to enforce it; the Tribunals, including the registries; the Office of Administration of Justice; the Office of Staff Legal Assistance; the Internal Justice Council; the Management Evaluation Unit and proposed amendments to the statutes of the Tribunals. Two other issues which were dealt with in the Council’s report to the General Assembly at its sixty-fifth session, namely, the relationship between the formal system and the informal system, and disciplinary issues, are not addressed again, although the recommendations made in the Council’s last report are repeated at the end of the present report.", "III. Code of conduct for judges and a complaints mechanism", "A. Code of conduct for judges", "6. By paragraph 37 (c) of its resolution 62/228, the General Assembly decided that the Internal Justice Council should draft a code of conduct for the judges, for consideration by the Assembly. After full consultation with the judges of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal on the text, the Council presented the Code of conduct for consideration by the Assembly at its sixty-fifth session (see A/65/86, annex, and the annex to the present report). However, the Code was not considered by the Assembly at that session. The Council notes that there is an urgent need for the Code of conduct to come into force, in particular because complaints against judges have been received by the Council and the Code of conduct will be the basis for determining whether they have merit once a complaints mechanism is put in place.", "B. Complaints mechanism", "7. In paragraph 40 of its aforementioned report to the General Assembly at its sixty-fifth session (A/65/304), the Internal Justice Council noted that no mechanism for dealing with complaints against judges arising out of their conduct had been established. The Council considered this to be a matter that required “urgent attention”. However, the matter was referred for further consideration during the sixty-sixth session. During the course of the last 12 months, the Council has become aware of several complaints against judges. Complainants have written to various bodies as well as to the Council, but there is no entity with a clear mandate to consider such complaints. In the view of the Council, this state of affairs needs to be rectified as soon as possible in order to protect the reputation of the Tribunals. Given the need to ensure independence, professionalism and accountability in accordance with the new relevant General Assembly resolutions, it is the view of the Council that the Assembly should mandate an independent institution to consider complaints that arise. Also in paragraph 40 of its previous report, the Council suggested that it would be an appropriate institution to investigate complaints that arise. After further consideration, the Council is of the view that it might be appropriate for the three external members of the Council (the Chairperson and the distinguished jurists nominated by staff and management, respectively), to form a complaints panel to consider complaints. The three external members of the Council are independent experts who are not only familiar with the system of justice but, as the members of the body that identifies suitable candidates for appointment as judges, are also familiar with the judges. Their knowledge and expertise would mean that complaints would be dealt with speedily and without requiring external consultants to be appointed. The Council suggests that all complaints be placed before the complaints panel. Many complaints will likely be determined without any need for the panel to hear oral evidence, but where a material factual dispute arises, oral evidence may have to be heard. All investigations would have to be conducted fairly and afford both the complainant and the judge an opportunity to be heard. Complaints deemed to be frivolous would be rejected immediately, but others would be investigated and adjudicated. The panel should be empowered to dismiss complaints after investigation, or if it considered the complaint to be well founded, to issue advice or guidance privately to the judge concerned, or a public reprimand, where appropriate. If the panel considered that dismissal might be warranted, it would prepare a report with a recommendation to that effect for the General Assembly. The procedure should make plain that the Assembly alone may dismiss the judge, but that it may only do so when it has received the report of an investigation by the panel. This process would protect judicial independence and provide for a transparent and fair disciplinary procedure.", "IV. The Tribunals, including the registries", "A. United Nations Dispute Tribunal", "8. From 1 July 2010 to 31 May 2011, 170 new cases were received by the United Nations Dispute Tribunal.[2] In the same period, 195 judgments were handed down. Of the 169 cases which were pending in the Joint Appeals Boards and Joint Disciplinary Committees under the old system, and which were transferred to the Dispute Tribunal in July 2009, all but 8 have been finalized, and of the 144 cases transferred to the Dispute Tribunal from the United Nations Administrative Tribunal in January 2010, 55 are still pending. Therefore, 63 cases remain from those transferred from the old system. In considering these statistics, it should be noted that one “case” (that is, one complaint about a particular course of management conduct) can give rise to multiple orders by the Tribunals, for example an order for suspension of action or for disclosure of documents, each of which may be accompanied by a reasoned judgment. There may thus be far more judgments than there are “cases”. The end of a “case” in both Tribunals will ordinarily involve an order with a final reasoned judgment on the merits. The various registries of the Dispute Tribunal have been recording these orders and judgments differently, and although they are aware of the problem and are working to resolve it, it is difficult at this stage to say with accuracy how many “cases” remain pending at 31 May 2011. The statistics also do not provide an accurate picture of how much work is being done by the Tribunals, as some “cases” may be quite simple, involving only one judgment, while others may involve numerous orders and judgments. Despite these difficulties in interpreting the statistics, the Internal Justice Council is satisfied that the Dispute Tribunal judges (six full-time judges, including the three ad litem judges, and two half-time judges) have only just been able to manage the new caseload that is being generated.", "1. Need for three additional permanent judges", "9. The Internal Justice Council reiterates the view expressed in paragraph 21 of its previous report (A/65/304) that the current number of judges needs to be maintained in order to cope with the number of cases being filed. Accordingly, three additional full-time judges need to be appointed to replace the three ad litem judges when the current terms of the ad litem judges expire. The Council is of the view that if additional judges are not appointed, the Dispute Tribunal will rapidly build up a backlog that will prevent it from administering justice promptly. The support staffing currently provided at each registry for the ad litem judges would also need to be retained permanently if three additional permanent judicial posts are established.", "2. Undesirability of repeated extensions of the terms of ad litem judges", "10. The term of ad litem judges, initially one year, from July 2009 to June 2010, has already been extended twice, from July 2010 to June 2011 and from July 2011 to December 2011. The Internal Justice Council is of the view that it is not desirable to reappoint ad litem judges continually. There are several reasons for this. First, the requirement of judicial independence is undermined by the repeated reappointment of ad litem judges. Secondly, the ad litem appointments were originally made to ensure that the backlog of cases from the old system could be addressed. By and large, this task has been completed. Thirdly, there are practical difficulties with repeated extensions of the terms of office of ad litem judges, as it makes it very difficult for them to arrange their affairs. The Council notes that when a second extension of six months was offered, one of the ad litem judges was unable to accept the extension, with unfortunate effects for the administration of justice. The short time period made it impossible to identify two or three candidates suitable for appointment for six months only. Moreover, if the concern of the General Assembly is not to “overstaff” the Dispute Tribunal, the Council notes that, if it becomes clear that six full-time judges are not necessary to staff the system, it will be open to the Assembly not to appoint new judges when the terms of judges expire or when judges resign. As the terms are staggered, the Assembly will be able to make this decision at least every three or four years. In the view of the Council, the flexibility to reduce the number of judges in the system that is available to the Assembly, together with the principled and practical shortcomings of repeated extensions of ad litem appointments, make plain that the use of ad litem appointments should be avoided.", "3. Half-time judges of the Dispute Tribunal", "11. From 1 July 2010 to 31 May 2011, the two half-time judges continued to be deployed between New York, Geneva and Nairobi as need dictated, with each judge working two three-month sessions per year. In each three-month session, two months were spent at one of the seats of the Dispute Tribunal. The remaining 30 days available to these judges as half-time appointees were spent at home preparing cases and writing judgments. In reality, however, the caseload and workflow demands of the Tribunals have meant that the judges spend up to 60 days undertaking that work, up to 30 days of which remains unremunerated. The half-time limitation does not provide the flexibility that would enable the judges to do that additional work, as required, on a remunerated basis.", "12. Having reconsidered its previous recommendation for an additional half-time judge (recommendation 2) in the light of the practical experience of the Tribunals since its last report, the Internal Justice Council has noted that the need for an additional half-time judge might be avoided if the statute of the Dispute Tribunal were to be amended to provide for two part-time judges, instead of two half-time judges. Half-time judges are budgeted for on the basis of 50 per cent of the cost of full-time judges. Were the provision for half-time judges amended to provide for part-time judges and were the budget for the existing two half-time judges increased from 50 per cent to 75 per cent of the cost of a full-time judge, the need for a third half-time judge might be avoided, as it would mean the existing half-time judges could devote more than six months a year to the Dispute Tribunal, as required by caseload and workflow demands. Moreover, such a change would resolve most of the issues raised in paragraph 23 of the Council’s previous report. This change would require an amendment to the statute of the Dispute Tribunal.", "4. Plenary sessions of judges of the Dispute Tribunal", "13. To date, the judges of the Dispute Tribunal have held five one-week plenary sessions (New York, July 2009; Geneva, December 2009; Nairobi, June 2010; Geneva, December 2010; and New York, June 2011). The Internal Justice Council understands that the possibility of holding a second plenary session in 2011 is unlikely owing to financial constraints. For the reasons set forth in paragraph 27 of its previous report, the Council reiterates its recommendation that the travel funding of the Tribunal be enhanced to ensure that at least two plenary sessions of the Tribunal, including its registrars, can be held annually, preferably on the basis that those plenary meetings are held in turn at the three seats of the Tribunal to support the decentralized nature of the system.", "5. Support services for the Dispute Tribunal", "14. In paragraph 30 of its previous report, the Internal Justice Council outlined a number of reasons for supporting an increase in the administrative budget of the Dispute Tribunal. A further year’s practical experience with the operation of the Tribunal has underscored the need for that increase in order to ensure that adequate transcription, videoconferencing, interpretation and translation services are available at each of the seats of the Tribunal, and for a budget to be provided for the acquisition of legal texts and online legal resources. The Council notes that a sum of $1 million was allocated to the system of the administration of justice to assist with interpretation and translation services, but records with dismay that this sum does not seem to have been allocated to the internal justice system and translation and interpretation services remain imperilled by resource constraints.", "15. The Internal Justice Council is also deeply concerned by the absence of reliable recording and transcription machinery for oral testimony. In interviews with judges and registrars of the two Tribunals, it became clear that, in many cases, the United Nations Administrative Tribunal is not presented with a full and reliable transcription of the oral testimony presented in proceedings of the Dispute Tribunal. Where the appeal turns on questions of fact, which have to be determined on the basis of the oral testimony in the Dispute Tribunal, the Council is of the view that a professional system of justice requires a reliable transcription of that oral testimony. The Council is of the view that this issue needs to be addressed urgently.", "6. President of the Dispute Tribunal", "16. The Internal Justice Council reiterates the view expressed in paragraph 31 of its previous report that appropriate arrangements should be made for administrative assistance to the President of the Dispute Tribunal.", "7. Language of proceedings", "17. As indicated in paragraph 32 of its previous report, the Internal Justice Council has asked the Office of Administration of Justice and the Registrars to monitor the language used by staff members in filing cases before the Tribunal. The Council notes that only two cases in French have been lodged in the New York registry (the only seat of the Dispute Tribunal that does not have a French-speaking judge) and that these cases have been handled with the assistance of one of the French-speaking judges at one of the other locations of the Dispute Tribunal. The Council is therefore satisfied that adequate arrangements have been made for applicants to have their cases handled in the working language of the United Nations that they choose.", "B. United Nations Appeals Tribunal", "1. Statistics on cases", "18. From 1 July 2010 to 31 May 2011, the Appeals Tribunal received 113 new cases. In the same period, it handed down 95 judgments. As at 31 May 2011, 95 cases were pending before the Tribunal.", "2. Number of annual sessions of the Appeals Tribunal", "19. Although the initial budget for the Appeals Tribunal provides for two two-week sessions per year, in 2010 the Tribunal held three two-week sessions to dispose of its caseload and it plans to do the same in 2011. While this requirement may not need to be a permanent feature, the Internal Justice Council is of the view, as stated in paragraph 33 of its previous report, that it is important to ensure that the Appeals Tribunal is able to hear and determine appeals from the Dispute Tribunal promptly so as to avoid the lengthy delays encountered in the previous appeal system. One of the reasons for two-week sessions, rather than longer sessions, is that they enable judges from national systems more easily to continue serving as judges in their home jurisdictions while also serving as judges of the Appeals Tribunal. Enabling judges who are currently serving in national systems to be judges of the Appeals Tribunal would enhance the professionalism of the internal justice system. Accordingly, it is the view of the Council that provision should be made for the Appeals Tribunal to have three two-week sessions per year, if three sessions are necessary. The Council will continue to monitor the number of sessions needed.", "3. Remuneration of judges of the Appeals Tribunal", "20. The Internal Justice Council notes that in paragraph 34 of its previous report, it recommended that the Assembly keep the system of remuneration under review. As will be recalled, judges of the Appeals Tribunal are paid on the basis of judgments they write (the principal author of a judgment receives $2,400 per judgment and the other two participating judges receive $600 per judgment). This system was adopted from the International Labour Organization Administrative Tribunal without any examination of its appropriateness either there or for the new system. The Council is concerned that to have an appeal court of three judges hearing appeals from very experienced full-time judges of the Dispute Tribunal, where one of the three judges is paid $2,400 for writing the judgment and the others are paid $600 for participating in it, might create the perception that the three appellate judges are not contributing fully to the appellate decision. Moreover, the payment system overlooks the fact that on a collegial bench, the three judges should work closely together to determine the case and take equal responsibility for it. In addition, the judges of the Appeals Tribunal do not only write judgments, they also perform a range of other tasks that are unremunerated under the current system. Most importantly, judges of the Appeals Tribunal take turns as duty judges for a month at a time when the Tribunal is not sitting and, during that period, may need to issue as many as 30 interlocutory orders in cases pending before the Tribunal. In the view of the Council, this state of affairs is not desirable. At present, such work is not remunerated at all. It is the view of the Council that it may be appropriate to consider a more equitable system for remuneration of judges. For example, judges could be paid a lump-sum amount annually in respect of all the work they perform, including the three two-week sessions per annum and all additional work.", "4. Support staff of the Appeals Tribunal", "21. The Internal Justice Council notes that the support staffing of the Appeals Tribunal referred to in paragraph 36 of its previous report has been reinforced by the addition of one Legal Assistant position (General Service (Other level)) for one year to be funded through general temporary assistance, in accordance with paragraph 49 of General Assembly resolution 65/251. While acknowledging this addition, the Council is of the view that the Appeals Tribunal remains disturbingly understaffed with regard to legal expertise. The experience of the last 12 months of the Tribunal is that, with its current staffing, the registry of the Tribunal continues to be unable to prepare the legal memorandums and summaries of issues to the standard and with the speed necessary for the judges to carry out their work effectively and efficiently. The Council reiterates its request to the Assembly to reconsider the recommendations of the Redesign Panel and of the Secretary-General with respect to the staffing of the Appeals Tribunal, so that it could have three legal officers, at least one of whom should be competent in French, and three legal assistants.", "C. Issues common to the Dispute Tribunal and the Appeals Tribunal", "1. Status of judges of the Dispute Tribunal and the Appeals Tribunal", "22. In its previous report, the Internal Justice Council recommended that the judges of the Appeals Tribunal be accorded an appropriate United Nations ranking, such as Assistant Secretary-General (recommendation 13). This step would not affect salaries, as judges of the Appeals Tribunal do not receive salaries. After further consideration of the manner in which this matter is addressed in other international tribunals, the Council is of the view that it is desirable, in order to attract to its ranks the ablest judges from national superior courts and to acknowledge the important work performed by the two Tribunals, that judges of both the Appeals Tribunal and the Dispute Tribunal be accorded the rank of Assistant Secretary-General.", "2. Judicial oath of office and regulations that bind judges", "23. In paragraph 38 of its previous report, the Internal Justice Council raised the issue of the oath of office taken by judges of both the Dispute Tribunal and the Appeals Tribunal upon their appointment. The separate oath of office proposed was not considered by the General Assembly at its sixty-fifth session, but the Council repeats that it is important that an oath of office be developed which acknowledges the duty of judges to observe the Code of conduct and to act independently and fairly and without fear, favour or prejudice. If authorized by the Assembly, the Council is willing to prepare a draft judicial oath for consideration by the Assembly at its sixty-seventh session.", "24. In paragraph 38 of its previous report, the Internal Justice Council also raised the issue of the status of judges and the regulation of their relationship with the United Nations through the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials and Experts on Mission (ST/SGB/2002/9). That issue was not taken up by the General Assembly at its sixty-fifth session. The Council reiterates its view that while the judges of the Dispute Tribunal should enjoy the privileges and immunities conferred on officials other than Secretariat officials under the Convention on the Privileges and Immunities of the United Nations, and the judges of the Appeals Tribunal the privileges and immunities conferred on experts on mission, it is crucial to their independence that the Code of conduct for judges alone should regulate their ethical responsibilities.", "3. Jurisprudential performance", "25. The Internal Justice Council is keeping abreast of the jurisprudence emanating from the new system. The Council considers that analysis by legal academics would be an important mechanism for improving jurisprudential quality and for judicial accountability. Accordingly, it is cooperating with several universities to hold a judicial symposium and an academic conference in June 2012 on the new system of justice.", "4. Code of conduct for all legal representatives", "26. In paragraph 41 of its previous report, the Internal Justice Council noted that it would be appropriate for a code to be adopted to regulate the conduct of all legal representatives appearing before the Tribunals. The Council is of the view that the code needs to be developed through an inclusive process that embraces legal representatives from within the Organization, those that represent both management and staff, and legal representatives from outside the Organization as well as the judges of the Tribunals. The Council therefore recommends that the General Assembly authorize the Council to convene a process to draft a Code of conduct for legal representatives to be presented to the Assembly at its sixty-seventh session. The Code of conduct should not only include the rules that should regulate conduct of legal representatives, but also contain appropriate routes for the enforcement of the Code, if it is considered necessary, by reference to a complaints panel comprising the three “distinguished jurist” members of the Council (see para. 7 above). Such a Code would, among other things, like the Code in operation at the International Criminal Court, require that legal representatives be able to speak either good English or French, or both, the working languages of the United Nations.", "5. Travel", "27. Since its previous report, the Internal Justice Council has continued to monitor the issue of travel in relation to the Tribunals and the Office of Administration of Justice. Experience over the last 12 months reinforces the need for the travel budget to meet the requirements as discussed in paragraph 44 of that report.", "6. Courtrooms and office space", "28. While there has been progress in the last year in the provision of courtrooms for the Tribunals, there is still no courtroom in Nairobi, although a suitable space has been identified. In New York, although a courtroom has been completed, it is not yet functional and in Geneva, although the courtroom is functional, it has no facilities for the regularly required interpretation services. The problems in Geneva and Nairobi appear to be a result of funding constraints. The Internal Justice Council again repeats that if the new system is to be independent, professional and accountable, functional courtrooms with the following facilities need to be provided: two entrances (one for judges, and one for legal representatives and members of the public); facilities for the recording of proceedings; facilities for videoconferencing so that testimony can be taken from witnesses in other duty stations; and facilities for simultaneous interpretation. In addition, judges of both the Dispute Tribunal and the Appeals Tribunal working at a duty station need to be provided with offices equipped with telephones, computers and Internet access. Finally, it is the understanding of the Council that as yet the needs of the internal justice system have not been included in the capital master plan, in place for the refurbishment of the Headquarters building in New York. In the view of the Council, the needs of the internal justice system need to be included in the capital master plan as a matter of urgency.", "7. Open hearings", "29. Again the Internal Justice Council notes the importance of the principle of open justice to the new system of internal justice. The Dispute Tribunal continues to hold many open hearings, despite the absence of permanent courtrooms (see para. 28 above), but the Appeals Tribunal has held only two open hearings during each session. In the view of the Council, where a party wishes to have an open hearing, such a hearing should be held, unless there are good reasons for not doing so. Attendance at the open hearings held so far has varied, but at least on some occasions they have been well attended. The Council considers that this matter should be kept under review.", "V. Office of Administration of Justice", "30. The Office of Administration of Justice continued to be the focal point for the functioning of the system of justice. The most important functions of the Office were", "• To guarantee the independence of the system, by overseeing the work of the Tribunals and their staff, and their interaction with the rest of the Secretariat", "• To support the system by providing the administrative services and facilities without which the system could not function", "• To help in achieving equality of arms within the system by assisting staff through the Office of Staff Legal Assistance.[3]", "A. Operational aspects", "31. The Internal Justice Council notes that the website of the Office of Administration of Justice is functioning efficiently, giving staff access to the case law of the Tribunals, including the capacity to search for judgments and orders of the Tribunals. It also notes with satisfaction the launching by the Office from 6 July 2011 of a web-based electronic case management system, which includes a capacity for staff members to file and monitor cases from any duty station, an important gain within a decentralized organization like the United Nations.", "32. The Office of the Executive Director has a very limited support staff in relation to its many duties, consisting essentially of a special assistant (P-4), a General Service-level staff member and two information and technology officers. The Internal Justice Council believes that some strengthening of this support staff is justified.", "B. Independence of the Office of Administration of Justice and the status of the Executive Director", "33. The value of the justice system to the Organization is greatly dependent on the perception by staff and management that it is independent and impartial. Stakeholders are then discouraged from taking or insisting on unreasonable or extreme actions or positions, since such actions or positions might come under scrutiny in the Tribunals, a public arena where individuals could be held accountable. The official on whom much of the responsibility for trying to maintain this independence and impartiality rests is the Executive Director of the Office of Administration of Justice. He or she is the interlocutor to whom both the Tribunals and the departments turn when problems occur in their interface. Over the past three years, the Internal Justice Council has become increasingly convinced that the status of the Executive Director is of great importance. He or she must be able to speak freely and as an equal to the higher echelons of the Secretariat, and to the judges as well. It is for these reasons that the head of the informal system of justice, the Ombudsman, has been accorded the status of Assistant Secretary-General, and the Council believes that it is appropriate that the head of the formal system should have the same status.[4]", "C. Outreach and coordination", "34. The Internal Justice Council has been informed that there is still a lack of understanding in some duty stations about how the formal system of justice operates, which results in delays and dismay when stakeholders engage with the system. The Council therefore supports efforts by the Office of Administration of Justice and the Secretary-General to explain the system to stakeholders.[5]", "VI. Office of Staff Legal Assistance", "A. Structure and mandate of the Office of Staff Legal Assistance", "35. The Office of Staff Legal Assistance is located within the Office of Administration of Justice. It consists of seven Professional-level legal officers funded from the regular budget, three located in New York and one at each of the duty stations located in Addis Ababa, Beirut, Geneva and Nairobi. It also has three General Service staff members, similarly funded, who are all located in New York. In addition, in 2010 it was provided with an additional staff member, located in Nairobi, to support cases originating in field missions, funded for one year through the Peacekeeping Support Account. The Office of Staff Legal Assistance was established in recognition of the fact that the United Nations is an exceptional employer and should support claims by staff even against itself in the interest of improving the quality of decision-making within the Organization as well as achieving equality of arms within the legal system.", "36. The current mandate of the Office of Staff Legal Assistance[6] is to provide professional legal assistance for staff, which is recognized as being critical for the effective and appropriate utilization of the available mechanisms within the system of administration of justice (see resolution 62/228, paras. 12-15). In particular, its role is to assist staff and their volunteer representatives in processing claims through the formal system of administration of justice (see resolution 65/251, para. 38).", "B. Current functioning of the Office of Staff Legal Assistance", "37. The Office of Staff Legal Assistance can only discharge its mandate within the constraints of the number of its staff. It has also determined internally that it may decline to provide assistance where it determines that a case lacks legal merit, or has little chance of success before the Tribunals. The Internal Justice Council noted last year that requests by staff with meritorious claims far exceeded the capacity of the Office to consider them (see A/65/304, para. 63).", "38. The Internal Justice Council recognizes that the General Assembly never intended the Office of Staff Legal Assistance, with its limited staff, to bear the sole responsibility for staff legal assistance. In that regard, the Assembly has encouraged staff to help in the work of the Office, including by providing volunteer professional counsel (see resolution 65/251, para. 37; see also A/65/304, para. 64). Moreover, it has requested the Secretary-General to submit proposals for a staff-funded scheme under which legal assistance would be provided to staff (see resolution 65/251, para. 40). The first avenue of help to the Office has not met with great success. While the Office has been assisted by some internal volunteer counsel, legal interns and pro bono external counsel, such assistants have not been of appreciable help, in part because they have been few, in part because pro bono assistance has usually been available only at Headquarters duty stations, and in part because the specialized knowledge necessary for staff-management claims processing is not available outside the Organization (see also A/65/304, para. 68). As to the second avenue, annex I to the report of the Secretary-General on the administration of justice at the United Nations (A/66/190) puts forward different models for staff funding of the Office, noting the advantages and disadvantages of each model. The Secretary-General concludes that all the models put forward require further consideration, after the Assembly has taken a decision in principle on which model it considers most suitable. Accordingly, help for the Office is unlikely to come anytime soon.", "C. Reasons for assisting the Office of Staff Legal Assistance", "39. Assisting the Office of Staff Legal Assistance will entail increased funding. However, there are good reasons for supporting the Office. For example, its lawyers do not waste the time and limited resources of the legal system by pursuing bad cases (see para. 37 above). Moreover, since its lawyers are familiar with all the recourse mechanisms available, they choose the most cost-effective one, taking into account the needs of the case, and provide the help necessary for that method of recourse. Office staff may provide advice on negotiations with management, or on mediation through the informal system of justice, or represent a staff member in negotiation or mediation. If there is litigation, it will be as quick and efficient as possible, increasing accountability. Furthermore, Office staff on fixed salaries have no incentive to prolong proceedings (see also A/65/304, para. 62).", "40. The workload of the Office of Staff Legal Assistance has continued to grow. At 1 July 2010, the active cases in its docket numbered 432.[7] At 31 May 2011, they numbered 570. It is fairly safe to predict that this workload will remain more or less constant, with cases being disposed of and new cases coming in. If divided equally among the eight legal officers in the Office, the workload translates into 71 cases per officer. The Internal Justice Council is of the view that this burden is excessive, precludes the best professional attention being given to cases and needs to be reduced.", "D. Suggested remedies", "41. It is suggested, in the first place, that the legal officers located in Addis Ababa, Beirut and Geneva each be provided with one General Service support staff member, together with one support staff member for the two legal officers located in Nairobi. This would greatly increase the productivity of the legal officers, as they would be relieved of multifarious administrative and secretarial burdens (see also A/65/304, paras. 66 and 71). Indeed, it is very probable that no other legal officers functioning as such within the United Nations system do so without any secretarial or administrative support. It is suggested that these be permanent posts.", "42. It is noted that only one of the eight Legal Officer posts in the Office of Staff Legal Assistance is above the P-3 level.[8] In that context, it is suggested that two Legal Officer posts at the P-4 level be provided. The additional posts would alleviate the workload of the eight legal officers. Moreover, they would provide a career development path for the five legal officers at the P-3 level who, without such a path, would after some time be compelled to leave the Office, resulting in a serious diminution of experience and expertise (see also A/65/304, para. 70). One of the additional officers should be bilingual (French/English) and may be located in Geneva, which is a busy duty station. They should be supported by the same General Service posts proposed above. Furthermore, the posts could be established in the first instance for a period of three years, after which the source of funding for them may be reviewed in the light of the mechanism for staff-funded assistance to the Office, which would by then have been adopted.", "E. Equality of arms", "43. The Internal Justice Council repeats that equality of arms is an important principle that should guide the development of the internal system of justice. Both the Office of Staff Legal Assistance and management legal representatives assert that they have insufficient staff members to represent their respective clients adequately before the new Tribunals. The Council considers this to be a matter of concern. The need to maintain a reasonable equality of arms persists and the Council intends to keep the matter under review in future years.", "VII. Internal Justice Council", "44. The Internal Justice Council was only able to hold one meeting from July 2010 to June 2011, but it held numerous teleconferences to set in place the process for selecting suitable candidates to be presented to the General Assembly at its sixty-sixth session in order to fill the vacancies that will arise on 1 July 2012 when the terms of office of five judges (one full-time and one part-time judge of the Dispute Tribunal and three judges of the Appeals Tribunal) will expire.", "45. During the course of 2011, the Internal Justice Council was contacted by several persons wishing to lodge complaints against judges of the Dispute Tribunal. Each time, the Chairperson of the Council informed the person concerned that the Council did not have a mandate to deal with such complaints and it was clear that no other body had such a mandate. The Chairperson also wrote to the President of the General Assembly to draw his attention to this problem. In the absence of an express mandate from the Assembly, it was the view of the Council that it did not have jurisdiction to deal with such complaints. This matter has been raised in paragraph 7 above.", "46. In paragraph 76 of its previous report, the Internal Justice Council considered that ordinarily two meetings of the Council needed to be held per year to review adequately the operation of the internal justice system. The Council remains of that view and recommends that resources be provided for two meetings per year. Moreover, if the Council is to undertake additional tasks, such as those proposed in the present report (see paras. 7, 23 and 26 above), it may need additional meetings.", "47. The Internal Justice Council notes that the term of office of current members of the Council expire in early 2012. Steps will need to be taken by both staff and management to appoint new members.", "VIII. Management Evaluation Unit", "A. Structure of the Management Evaluation Unit", "48. The origins of the Management Evaluation Unit lie in resolution 62/228, by which the General Assembly emphasized the need to have in place a process for management evaluation that is efficient, effective and impartial. In the same resolution, the Assembly reaffirmed the importance of the general principle of exhausting administrative remedies before formal proceedings are instituted. Pursuant to the resolution, a Management Evaluation Unit was established within the Department of Management. It currently consists of a Chief (P-5), three legal officers (P-4), another legal officer financed through discretionary funding and three legal assistants at the General Service level.", "B. Relationship to the formal justice system", "49. The Management Evaluation Unit is integrated into the formal system of justice in that, in certain cases,[9] an applicant wishing to file an application with the United Nations Dispute Tribunal is required, prior to the filing, to submit the administrative decision he or she is contesting to the Unit (see article 8 (1) (c) of the statute of the Dispute Tribunal). When a management evaluation is so required, certain deadlines apply to the filing of the application.[10] Deadlines also apply for responses by the Unit to a request for an evaluation.[11]", "C. Objectives and functioning of the Management Evaluation Unit", "50. The management evaluation system and the Management Evaluation Unit try to achieve many valuable objectives. For example, where the contested administrative decision is illegal or otherwise vulnerable, the Unit tries to negotiate a settlement and is often successful. In this way, it may remove pressure from the judicial system. This may also happen for another reason: it has been estimated that, as at 31 December 2010, where the Unit had taken a view on a contested decision and the case had then proceeded to litigation, the view of the Dispute Tribunal had coincided with that of the Unit in a large majority of cases. Staff therefore may be dissuaded from litigating after the Unit stage. Furthermore, the work of the Unit provides the Department of Management with an overview of contested management decisions, enabling it to detect and correct systemic problems in administration, and to hold to internal account officials whose conduct has been egregious. Moreover, the responses of the Unit are reasoned, set out the facts of the case, a summary of the comments of the decision maker, the applicable legal rules and jurisprudence, and, where the Unit considers the contested decision to be proper, the reasons why the Unit considers it to be so. This procedure provides transparency and, even when staff may disagree with the conclusion of the Unit, negates the feeling that staff sometimes might have that, when in a dispute with management, they are in the grip of an impersonal machine. Such a perception can help to improve staff morale.", "51. The impression the Internal Justice Council has obtained is that the Management Evaluation Unit is functioning efficiently, but is under great strain because of the volume of its work and the tight deadlines applicable to it. The Council is supportive of initiatives to strengthen the Unit.", "D. The Management Evaluation Unit and constraints imposed by the statute of the United Nations Dispute Tribunal", "52. There appear to be some cases when the 30-day and 45-day deadlines noted above imposed by the statute of the Dispute Tribunal for providing a response, may create difficulties: where resolving the dispute entails gathering a large amount of information or where information is difficult to obtain; where the Management Evaluation Unit would like to facilitate resolution of the dispute through direct negotiation between the parties, which becomes prolonged; and where staff make supplementary submissions after filing their initial submission for management evaluation. The statute does not contain any provision for the extension of the deadlines; indeed, the General Assembly seems to have intended the deadlines to be immutable, because it has provided in article 8 (3) that the Dispute Tribunal shall not suspend or waive the deadlines for management evaluation.[12] The reason for this may have been staff concern that management evaluation in the past had caused delays in the system. This was also the view of the Redesign Panel. It is important that management evaluation should not cause delays again.", "53. Nevertheless, the Internal Justice Council considers that it should be possible to extend deadlines where both parties agree or where the Dispute Tribunal considers that exceptional grounds to do so exist (see para. 57 below). In permitting the extension of deadlines only in these limited circumstances, a gradual slide into the situation that prevailed under the former system where reviews by management became greatly delayed is unlikely to happen. The Council notes that the Funds and Programmes have stated that they are able to meet the statutory deadlines. The Council therefore believes that the Management Evaluation Unit would be assisted to overcome the difficulties noted above if it is given the authority to extend deadlines should both parties agree, and the Dispute Tribunal is given the authority to extend deadlines if exceptional circumstances exist (see below). It also considers that it is necessary to strengthen the capacity of the Unit by expanding its cadre and by strengthening its authority to demand that information be provided to it rapidly by departments or offices and its authority to fast-track negotiations between departments and offices and staff, and by placing limits on the supplementary submissions that staff can make.", "IX. Review of statutes", "54. In paragraph 32 of its resolution 63/253, the General Assembly decided to carry out, at its sixty-fifth session, a review of the statutes of the Tribunals, in the light of experience gained. That review was not conducted. The Internal Justice Council proposes the following minor amendments to the statutes in addition to its important proposal, contained in paragraph 7 above, that a mechanism for dealing with complaints against judges be established (which would have to be provided for in the statutes), and to its proposal, contained in paragraph 12 above, that the reference to “half-time judges” in the statute of the Dispute Tribunal be altered to refer instead to “part-time judges”.", "55. Article 4(3)(b) of the statute of the Dispute Tribunal provides that judges of the Dispute Tribunal shall “possess at least 10 years of judicial experience in the field of administrative law, or the equivalent within one or more national jurisdictions”, and article 3(3)(b) of the statute of the Appeals Tribunal provides that judges of the Appeals Tribunal shall “possess at least 15 years of judicial experience in the field of administrative law, or the equivalent within one or more national jurisdictions”. It is not clear whether the phrase “or its equivalent” in both provisions refers to an equivalence to experience in administrative law, or experience equivalent to judicial experience in a national jurisdiction. In paragraph 16 of its previous report, the Internal Justice Council noted that in some member States, employment law disputes are decided by arbitrators and the Council took the view that candidates with such experience were appropriately qualified. Moreover, the Council noted that the two provisions as currently drafted may be understood to exclude experience on such other international tribunals as the International Labour Organization Administrative Tribunal, the World Bank Administrative Tribunal and the International Monetary Fund Administrative Tribunal, although the work on such tribunals might well be considered relevant experience. In the view of the Council, it would be helpful if the language of the statutes were revised to provide clarity. The Council would suggest a possible formulation to resolve both difficulties as follows: candidates should possess at least 10 (for the statute of the Dispute Tribunal) or 15 (for the statute of the Appeals Tribunal) years of judicial or adjudicative experience relevant to the work of the pertinent Tribunal in the United Nations internal justice system either in a national jurisdiction or in an international tribunal.", "56. For the reasons outlined in paragraph 29 of its previous report, the Internal Justice Council reiterates its recommendation that the statutory provision (article 10(9) of the statute of the Dispute Tribunal) requiring the President of the Appeals Tribunal to authorize three-judge panel hearings of the Dispute Tribunal be revised to allow determination of that need by the President of the Dispute Tribunal.", "57. A further amendment concerns article 8(3) of the statute of the Dispute Tribunal, which allows the Tribunal to waive or suspend deadlines in exceptional cases, but expressly excludes that authority in relation to time limits for management evaluation. As noted above (see paras. 52 and 53), the experience of the Management Evaluation Unit has shown that there are exceptional cases in which it would be appropriate for the Tribunal to have the power to alter the management evaluation deadline. The Internal Justice Council is of the view that such a change would enhance the usefulness and flexibility of the Dispute Tribunal. The Council also considers that the statute should be amended to permit the Unit to extend the deadlines where both parties to the dispute agree.", "58. The Internal Justice Council considers it to be desirable to amend article 7(1) of the statute of the Dispute Tribunal and article 6(1) of the statute of the Appeals Tribunal to require the Tribunals to provide interested parties an opportunity to make representations on proposed amendments to the Tribunals’ rules of procedure. The Council suggests that this could be achieved by issuing notification of the proposed amendment on the respective Tribunal’s section of the website of the Office of Administration of Justice and affording interested parties 30 days within which to forward comments to the Registrars of the relevant Tribunal. Moreover, the Council would suggest that two sentences be inserted in each set of rules, as follows: “Any proposed amendment to the rules must be published on the Tribunal’s section of the website of the Office of Administration of Justice, together with the date of publication. Interested parties may, within a period of 30 days from the date of publication of the notice, forward any comments to the Principal Registrar whose name and contact details shall be furnished in the notification.”", "59. A final suggestion for the amendment of the statutes relates to an issue also raised in the previous report of the Internal Justice Council, that is, the need to consult the Presidents of the Dispute Tribunal and the Appeals Tribunal when the budget is being prepared (see A/65/304, para. 48). In the view of the Council, both statutes should be amended to include a provision stipulating that the Executive Director of the Office of Administration of Justice will consult the Presidents of the Dispute Tribunal and the Appeals Tribunal when compiling the budget of the Office and give them a reasonable opportunity to provide information relating to the needs of the Tribunals.", "60. Apart from the foregoing changes, it is the view of the Internal Justice Council that there is no need at this stage for further amendment of the statutes. The Council considers that it would be advisable for the General Assembly to review the internal system of justice again in two years’ time during the sixty-eighth session.", "X. Conclusion and recommendations", "61. In conclusion, the Internal Justice Council is of the view that the new system is working as well as its resources allow and better than could be expected given that it has only been operating for two years. The success of the new system remains largely a result of the dedication of the judges, Registrars and their staff, the staff of the Office of Administration of Justice and lawyers from both the Office of Staff Legal Assistance and management who appear before the Tribunals. The Council commends all these role players for their hard work and commitment in the first year of the reformed internal justice system.", "62. The recommendations which the Internal Justice Council has made in the preceding sections of the present report, which are summarized in the section that follows, address the challenges currently facing the system. The Council regrets that many of the recommendations will require some additional resources. In making the recommendations, the Council is acutely aware of the financial constraints facing the General Assembly and it has therefore recommended only those things it considers essential for the effective functioning of the new system to ensure that it is independent, professional and accountable.", "Summary of recommendations", "The Internal Justice Council recommends that:", "Code of conduct for judges and complaints mechanism", "1. The Code of conduct for judges be considered by the General Assembly at its sixty-sixth session so that it may come into force as soon as possible (para. 6);", "2. The General Assembly establish a complaints panel, comprising the Chairperson and the two “distinguished external jurist” members of the Internal Justice Council, to hear and determine any complaints that a judge has breached the Code of conduct or is otherwise unfit to occupy judicial office within the internal justice system. The complaints panel shall, if it considers the case so warrants, inquire into it and, where appropriate, warn or reprimand the judge. In hearing and determining complaints, the complaints panel shall observe the precepts of natural justice and fairness. Should the panel conclude that dismissal from office is warranted, it shall make a full report of its investigation, including its recommendation to the Assembly (para. 7);", "Tribunals", "3. Three additional permanent full-time judges be appointed to the United Nations Dispute Tribunal to replace the ad litem judges when the terms of the ad litem judges expire (paras. 9 and 10);", "4. The provisions of the statute of the United Nations Dispute Tribunal be amended to provide for two part-time judges, rather than two half-time judges, and the part-time positions be funded up to 75 per cent of full-time judges (para. 12);", "5. Provision be made for judges and Registrars of the United Nations Dispute Tribunal to hold two one-week plenary sessions per year (para. 13);", "6. Adequate provision be made for videoconferencing, interpretation, translation and acquisition of legal research resources (para. 14);", "7. Adequate provision be made to ensure that oral testimony presented in the United Nations Dispute Tribunal can be transcribed, where necessary, as a record for appeal (para. 15);", "8. The President of the United Nations Dispute Tribunal be provided with administrative support (para. 16);", "9. Provision be made for the United Nations Appeals Tribunal to hold three two-week sessions annually (para. 19);", "10. The remuneration paid to judges of the United Nations Appeals Tribunal be reviewed, with consideration given to an annual lump-sum salary for all work performed (para. 20);", "11. Judges of the United Nations Appeals Tribunal and half-time judges of the United Nations Dispute Tribunal be paid a monthly stipend to adequately cover the costs of Internet connectivity, computer usage and related administrative expenses (A/65/304, paras. 26 and 34 (c));", "12. The General Assembly invite Member States to review their rules relating to remuneration for national judges in order to enable national judges to receive remuneration if appointed to a recognized international tribunal (A/65/304, para. 34 (a));", "13. The staffing complement of the United Nations Appeals Tribunal be increased in line with the original recommendations of the Redesign Panel and the Secretary-General (para. 21);", "14. The General Assembly accord the judges of the United Nations Appeals Tribunal and the United Nations Dispute Tribunal the ranking of Assistant Secretary-General (para. 22);", "15. A new judicial oath of office be developed (para. 23);", "16. The application of the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials and Experts on Mission (ST/SGB/2002/9) to judges be reconsidered in the light of the independent status of judges within the Organization (para. 24);", "17. The Internal Justice Council be mandated to initiate a process involving role players to draft a Code of conduct for staff and management legal representatives and to present the draft code to the General Assembly at its sixty-seventh session (para. 26);", "18. The principle of the binding nature of the orders of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal be endorsed (A/65/304, para. 42)", "19. Adequate resources be provided for travel for judges, Registrars and staff of the Office of Administration of Justice (para. 27);", "20. Appropriately equipped courtrooms be provided as a matter of urgency for the use of the United Nations Dispute Tribunal in Geneva, Nairobi and New York and for the United Nations Appeals Tribunal in Geneva, Nairobi and New York when it holds a session at one of those duty stations, and appropriately equipped offices be provided for the judges (para. 28).", "Office of Administration of Justice", "21. To maintain confidence in its independence, the Office of Administration of Justice report directly to the General Assembly (A/65/304, para. 56);", "22. Administrative support to the Office be increased (para. 32).", "23. The post of Executive Director of the Office of Administration of Justice be reclassified to Assistant Secretary-General in line with the original recommendation of the Secretary-General (para. 33);", "24. More extensive training of management personnel on the reform of the internal justice system be undertaken, in particular in duty stations away from Headquarters (para. 34).", "Office of Staff Legal Assistance", "25. Two Legal Officer posts at the P-4 level be established (para. 42);", "26. General Service administrative staff be provided for Addis Ababa, Beirut, Geneva and Nairobi (para. 41);", "Internal Justice Council", "27. Adequate resources be provided for two meetings per year (para. 46).", "Management Evaluation Unit", "28. Additional staffing and authority be provided for the Management Evaluation Unit (paras. 51-53);", "29. Provision be made to permit the Management Evaluation Unit to extend the time limits for management evaluation if both parties consent (para. 53);", "Review of the statutes", "30. It be made clear whether the reference to equivalency in the experience required for judicial posts relates to judicial experience or to administrative law; article 4(3)(b) of the statute of the United Nations Dispute Tribunal and article 3(3)(b) of the statute of the United Nations Appeals Tribunal be amended to make clear that the qualifications are that judges “shall possess at least 10 years (for the Dispute Tribunal) and 15 years (for the Appeals Tribunal) of judicial or adjudicative experience relevant to the work of the pertinent Tribunal in a national jurisdiction or international tribunal” (para. 55);", "31. The statutory requirement for the President of the United Nations Appeals Tribunal to authorize three-judge panel hearings of the United Nations Dispute Tribunal be revised to allow determination of that need by the President of the Dispute Tribunal (para. 56);", "32. Article 8(3) of the statute of the United Nations Dispute Tribunal be amended by the deletion of the last sentence and amendment of the article to the effect that the Dispute Tribunal is permitted to waive or suspend deadlines in relation to management evaluation in exceptional circumstances and that the Management Evaluation Unit is empowered to extend those deadlines when both parties to a dispute agree (para. 57);", "33. Article 7(1) of the statute of the United Nations Dispute Tribunal and article 6(1) of the statute of the United Nations Appeals Tribunal be amended to require that interested parties be notified of proposals to amend the rules of procedure so that they can forward comments to the relevant Tribunal (para. 58);", "34. A provision be introduced into both statutes that the Executive Director of the Office of Administration of Justice shall consult the Presidents of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal when compiling the budget for the Tribunals so as to give them a reasonable opportunity to comment and provide information (para. 59);", "Relationship between the formal and informal systems", "35. Incentives to use informal dispute resolution mechanisms should focus on all employees of the United Nations; both staff and management should be strongly encouraged to use these mechanisms (A/65/304, para. 84);", "36. More training on informal dispute resolution be provided for both staff and management (A/65/304, para. 84);", "37. Management officials participating in mediation need to be appropriately authorized to reach agreed solutions (A/65/304, para. 85);", "38. Where a settlement is reached by an authorized management official, the Organization should guarantee payment of any settlement amount (A/65/304, para. 85);", "39. Where a staff member pursues informal dispute resolution, the time periods for seeking a management evaluation of a decision should be suspended (A/65/304, para. 87);", "Disciplinary proceedings", "40. Reforms proposed to the conduct of disciplinary matters be addressed as a matter of priority (A/65/304, para. 94).", "(Signed) Kate O’Regan", "(Signed) Sinha Basnayake", "(Signed) Jenny Clift", "(Signed) Frank Eppert", "(Signed) Geoffrey Robertson", "Annex", "Code of conduct for the judges of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal", "Preamble", "Whereas the Universal Declaration of Human Rights recognizes as fundamental the principle that everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal, in the determination of rights and obligations,", "Whereas this right is endorsed and elaborated upon in a range of important international human rights instruments, including the International Covenant on Civil and Political Rights,", "Whereas the General Assembly, in paragraph 4 of its resolution 61/261 of 4 April 2007, decided to establish an independent, transparent, professionalized, adequately resourced and decentralized system of administration of justice consistent with the relevant rules of international law and the principles of the rule of law and due process to ensure respect for the rights and obligations of staff members and the accountability of managers and staff members alike,", "Whereas the fair resolution of employment grievances will contribute to efficiency in the work carried out by the United Nations and enhance the integrity of the Organization,", "Whereas public confidence in the internal justice system and in the moral authority and integrity of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal is of the utmost importance within the working environment of the United Nations,", "Whereas it is essential that judges, individually and collectively, respect and honour judicial office as a public trust, and strive to enhance and maintain confidence in the internal justice system,", "And whereas the United Nations Basic Principles on the Independence of the Judiciary are designed to secure and promote the independence of judicial bodies, and can provide guidance to the internal administration of justice,", "The following values and principles are adopted to establish standards for the conduct of the judges of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, to provide guidance to those judges and intended also to assist the staff and management of the United Nations to better understand and support the work of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal within the United Nations:", "1. Independence", "(a) Judges must uphold the independence and integrity of the internal justice system of the United Nations and must act independently in the performance of their duties, free of any inappropriate influences, inducements, pressures or threats from any party or quarter;", "(b) In order to protect the institutional independence of the Tribunals, Judges must take all reasonable steps to ensure that no person, party, institution or State interferes, directly or indirectly, with the Tribunals;", "2. Impartiality", "(a) Judges must act without fear, favour, or bias in all matters that they adjudicate;", "(b) Judges must ensure that their conduct at all times maintains the confidence of all in the impartiality of the Tribunals;", "(c) Judges must recuse themselves from a case if", "(i) They have a real conflict of interest or are actually biased;", "(ii) It may reasonably appear to a properly informed person that they have a conflict of interest or bias;", "(iii) They have personal knowledge of disputed evidentiary facts concerning the proceedings;", "(d) Judges must not recuse themselves on insubstantial grounds. Judges must provide reasons when they decide an application for recusal;", "(e) Judges must disclose to the parties in good time any matter that could reasonably be perceived to give rise to an application for recusal in a particular matter;", "(f) Judges must not participate in the determination of a case in which any member of their family is a litigant or represents a litigant, or in the outcome of which any member of their family has a significant interest;", "(g) In order to determine whether they should recuse themselves from any matter, judges must be aware of their personal and fiduciary financial interests and shall, as far as reasonably possible, make efforts to be informed about the financial interests of members of their immediate families;", "(h) (i) Judges must not directly or indirectly negotiate or accept any remuneration, income, compensation, gift, advantage or privilege that is incompatible with judicial office or that can reasonably be perceived either as a reward or as likely to influence them in favour of a particular party;", "(ii) Judges may receive a token gift, decoration, award or benefit that does not result in the incompatibility or reasonable perception referred to in subparagraph (i);", "(i) Judges must not engage in financial, political or business dealings or activities, including fund-raising activities, that are inconsistent with, and reflect adversely upon, the independence and impartiality required by their status as judges, that may reasonably be perceived to exploit the judge’s judicial position, or that are in any other way incompatible with judicial office in the United Nations. Should a judge be unsure whether a course of conduct would be in breach of this provision, he or she may ask the presiding judge of the Tribunal to contact the chair of the Internal Justice Council. The Council will then consider the matter and inform the judge concerned whether the proposed conduct is in conflict with this provision;", "3. Integrity", "(a) Judges must be of high moral character and always, and not only in the discharge of their duties, act honourably and in accordance with the values and principles set out in the present Code;", "(b) Judges at all times, including periods when they are not on official business must comply with the law of the country in which they live, work or visit;", "(c) Judges must inform the presiding judge of their Tribunal should they suffer from an illness or other condition that might threaten the performance of their duties;", "4. Propriety", "(a) Judges must exhibit and promote high standards of judicial conduct to reinforce confidence in the integrity of the administration of justice in the United Nations;", "(b) Save in the discharge of judicial office, judges must not comment publicly on the merits of any case pending before the Tribunals or make any comment that might reasonably be expected to affect the outcome of such proceedings or impair the manifest fairness of the process;", "(c) Judges are bound by professional duties of confidentiality with regard to deliberations with judicial colleagues and confidential information acquired in the course of their duties;", "(d) Judges, like other citizens, are entitled to freedom of expression, belief, association and assembly, but must exercise these freedoms with due regard to the values and principles set out in the present Code;", "(e) Judges must not use or lend the prestige of judicial office to advance the private interests of the judge, a member of the judge’s family or anyone else, nor shall judges convey the impression that anyone is in a position to influence them improperly;", "(f) In their personal relations with individual staff members who are parties, legal representatives and others who appear regularly in the Tribunal presided over by them, judges must avoid situations which might give rise to the reasonable apprehension of favouritism or partiality;", "(g) Full-time judges of the United Nations Dispute Tribunal must not practise law, but may give informal advice to family members, friends, charitable organizations and the like without remuneration;", "(h) Judges should use their best endeavours to foster collegiality in the Tribunals. In so doing they must act courteously and respect the dignity of others, including members of the Tribunal staff;", "(i) Judges may form or join associations of judges;", "(j) Subject to the proper and effective performance of judicial duties, a judge may engage in any lawful activity as long as it does not bring judicial office in the United Nations into disrepute in the mind of reasonable members of the community;", "5. Transparency", "Judges must observe the principle of open justice, namely that justice must be seen to be done, and take reasonable steps to ensure that this principle is honoured in the manner in which cases before the Tribunals are handled;", "6. Fairness in the conduct of proceedings", "(a) Judges must resolve disputes by making findings of fact and applying the appropriate law in fair proceedings. This includes the duty to", "(i) Observe the letter and spirit of the audi alteram partem (“hear the other side”) rule;", "(ii) Remain manifestly impartial;", "(iii) Publish reasons for any decision;", "(b) Judges must not conduct themselves in a manner that is racist, sexist, or otherwise discriminatory. They must uphold and respect the principles set out in the Charter of the United Nations, the Universal Declaration of Human Rights and the International Convention on Civil and Political Rights. Judges must not by word or conduct unfairly discriminate against any individual or group of individuals, or abuse the power and authority vested in them;", "(c) Judges must not permit Tribunal staff or legal representatives appearing before the Tribunals, or others under their direction or control, to act in a manner that is racist, sexist, or otherwise discriminatory;", "(d) Judges have a duty to protect witnesses and parties from harassment and bullying during Tribunal proceedings;", "(e) When conducting judicial proceedings, judges must act courteously to legal representatives, parties, witnesses, Tribunal staff, judicial colleagues and the public, and require them to act courteously;", "(f) Judges must maintain order in Tribunal proceedings. Where necessary, they may have any person removed from the proceedings who disrupts or threatens to disrupt the orderly administration of justice;", "7. Competence and diligence", "(a) Judges perform all assigned judicial duties, including tasks relevant to the judicial office or the operation of the Tribunals, diligently and dispose of judicial work promptly in an efficient and professional manner;", "(b) Judges must give judgement or rulings in a case promptly. Judgements should be given no later than three months from the end of the hearing or the close of pleadings or, in the case of the United Nations Appeals Tribunal, from the end of the session in which the matter is decided, unless there are exceptional circumstances;", "(c) Judges must cooperate with any formal inquiry into their conduct in office;", "(d) Judges must not engage in conduct that is prejudicial to the effective and expeditious administration of justice or the work of the Tribunal;", "(e) When engaged in the administration of justice, judges must attend chambers during their normal working hours, as determined by the members of the Tribunal, and attend hearings and deliberations of the Tribunal during stipulated hours, unless they have a good reason not to do so. Judges must inform the presiding judge of the Tribunal in advance if they need to be absent. If they are to be absent for longer than three days, they must obtain the approval of the presiding judge of their Tribunal;", "(f) Judges must respect and comply with the reasonable administrative requests of the presiding judge of the Tribunal of which they are members;", "(g) Judges must take reasonable steps to maintain the necessary level of professional competence and to keep themselves informed about relevant developments in international administrative and employment law, as well as international human rights norms;", "(h) Judges’ judicial duties must take precedence over other duties and activities.", "[1] * A/66/150.", "[2] At the time the present report was prepared, the statistics for June 2011 were not available. The new cases should be added to the 290 cases still pending before the United Nations Dispute Tribunal as at 30 June 2010.", "[3] A more detailed description of the operation of the Office is contained in A/65/304, para. 53.", "[4] See also A/65/304, para. 57, where the recommendation was made, supported by further details.", "[5] A fuller description of the need for outreach and training is contained in A/65/304, para. 60.", "[6] In para. 56 of its resolution 65/251, the General Assembly decided to revert to the mandate and functioning of the Office at its sixty-sixth session.", "[7] The Internal Justice Council has been informed that a “case” for the Office of Staff Legal Assistance refers to any of the following: providing assistance or acting as counsel of record before bodies of the formal justice system (the Management Evaluation Unit, the United Nations Dispute Tribunal or the United Nations Appeals Tribunal); providing legal guidance and summary legal advice; assisting a staff member in achieving an informal resolution to a dispute, which may involve consultations with the staff member and discussions and negotiations with third parties, or referral to other actors in the system, including the Office of the Ombudsman or staff unions.", "[8] The Chief of the Office of Staff Legal Assistance, located in New York, is at the P-5 level. The comparatively low level of the legal officers in the Office contrasts with the levels (P-5, D-1, D‑2) of the legal officers who provide advice to management. See also A/65/304, para. 69, footnote 20.", "[9] Staff rule 11.2 (a) states: “A staff member wishing to formally contest an administrative decision alleging non-compliance with his or her contract of employment or terms of appointment, including all pertinent regulations and rules pursuant to staff regulation 11.1 (a), shall, as a first step, submit to the Secretary-General in writing a request for a management evaluation of the administrative decision” [emphasis added]. Staff rule 11.2 (b) states: “A staff member wishing to formally contest an administrative decision taken pursuant to advice obtained from technical bodies, as determined by the Secretary-General, or of a decision taken at Headquarters in New York to impose a disciplinary or non-disciplinary measure pursuant to staff rule 10.2 following the completion of a disciplinary process is not required to request a management evaluation” [emphasis added].", "[10] The application must be filed within 90 calendar days of the receipt by the applicant of the response to his or her submission. If no response is received, the application must be filed within 90 days of the expiry of the response period for the submission for management evaluation (see article 8 (1) (d) (i) a) and b) of the statute of the Dispute Tribunal.", "[11] The deadlines for responses are 30 calendar days after the submission of the dispute to management evaluation for disputes arising at Headquarters and 45 days after submission for disputes arising at other offices (see article 8 (1) (d) (i) b) of the statute of the Dispute Tribunal.", "[12] However, the Secretary-General, in staff rule 11.2 (d) has provided: “The deadline [for the response to management evaluation] may be extended by the Secretary-General pending efforts for informal resolution by the Office of the Ombudsman, under conditions specified by the Secretary-General.”" ]

[ "Sixty-sixth session", "Item 143 of the provisional agenda*", "Administration of justice at the United Nations", "Administration of justice at the United Nations", "Report of the Internal Justice Council", "Background", "1. In its resolution 65/251, the General Assembly included the administration of justice at the United Nations in the agenda of its sixty-sixth session. In paragraph 52 of the resolution, the Internal Justice Council was encouraged to continue to provide advice on the implementation of the system of administration of justice and, if the Council deems it necessary, on how to strengthen its contribution to the system of administration of justice. The Commission has therefore prepared the present report. As the contents of the previous report (A/65/304) remain relevant, the present report is not exhaustive in order to avoid repetition and should be read in conjunction with the previous report. The recommendations contained at the end of the present report are summarized in substantially the same way as those contained in the previous report.", "2. The Internal Justice Council was established in May 2008 and its current members are Mr. Sinha Basnayak (Sri Lanka, nominated by management) and Judge Jeffrey Robertson (United Kingdom of Great Britain and Northern Ireland, nominated by staff). The staff representative is Ms. Jenny Clift (Australia), Senior Legal Officer, International Trade Law Division, Office of Legal Affairs. The management representative is Mr. Frank April (Department of Management, United Nations Headquarters, New York). The current Chairman is Judge Kate Origan, whose term as a judge of the Constitutional Court of South Africa ended in October 2009.", "Introduction", "A/66/150.", "3. The present report sets out the observations and conclusions of the Internal Justice Council based on the monitoring of the second year of operation of the new system. Owing to financial constraints, members of the Council could only meet in Geneva in 2011 to prepare the present report. Nevertheless, they often communicate by e-mail, maintain contact with the system ' s key stakeholders and study the judgements of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal. In addition, in March 2011, the President of the Council was able, for other reasons, to meet in New York with the Executive Director of the Office of Administration of Justice and other staff of the Office, the judges and Registrar of the Dispute Tribunal in New York, management and their lawyers, staff unions and the Office of Staff Legal Assistance, as well as other relevant personnel, including the Chief of the Management Evaluation Unit. In June 2011, Council members met in Geneva for the preparation of the present report. At the same time, they were able to meet with the Dispute Tribunal judges (by video), the Dispute Tribunal Registrar (by video), the Appeals Tribunal judges, management counsel (by video) and the Director of the Office of Staff Legal Assistance (by video).", "4. The Internal Justice Council is generally satisfied that the new system continues to function well. However, the Council is convinced that the threat to the new system, which is increasingly posed by a severe shortage of resources, is likely to be plagued by precisely those problems and delays it is trying to avoid, if not adequately addressed. The successful operation of the system to date is due to the dedicated efforts of many stakeholders, including the judges of both Tribunals and Registry staff, lawyers representing management and staff, and teams in the Office of Administration of Justice, which have worked far beyond the requirements of their responsibilities. It is clear to the Council that such efforts cannot be sustained in the long run. However, the Council is of the view that, if the necessary resources are made available, the system will continue to be improved as all parties concerned develop its potential.", "5. The present report is divided into seven sections: a code of conduct for judges and a complaints mechanism for its implementation; proposals for amendments to the statutes of the Tribunals, including the Registry; the Office of Administration of Justice; the Office of Staff Legal Assistance; the Internal Justice Council; the Management Evaluation Unit; and the Tribunal. The relationship and discipline between the formal and informal systems are also addressed in the report of the Council to the General Assembly at its sixty-fifth session and are not addressed in the present report, but the recommendations of the report of the Council are reproduced in the last part of the present report.", "III. Code of conduct for judges and complaint mechanisms", "A. Code of conduct for judges", "6. In paragraph 37 (c) of its resolution 62/228, the General Assembly decided that the Internal Justice Council should draft a code of conduct for judges for consideration by the Assembly. After full consultation with the United Nations Dispute Tribunal and the United Nations Appeals Tribunal on the text, the Council submits the code of conduct for consideration by the General Assembly at its sixty-fifth session (see A/65/86, annex, and annex to the present report). However, the Code was not considered by the General Assembly at that session. The Council noted that, especially as it had received complaints against judges and once a complaints mechanism was in place, the code of conduct would be the basis for determining whether or not a complaint was justified, and that the code of conduct needed to enter into force urgently.", "B. Complaint mechanisms", "7. In paragraph 40 of its previous report to the General Assembly at its sixty-fifth session (A/65/304), the Internal Justice Council noted that no mechanism had been established to deal with complaints concerning the conduct of judges. The Council considers this to be an issue requiring “urgent attention”. However, this issue was referred to the sixty-sixth session for further consideration. During the past 12 months, the Council has been informed of several complaints against judges. The complainant wrote to the institutions and the Council, but none of the entities had a clear mandate to consider such complaints. The Council considers that this situation needs to be remedied as soon as possible to protect the reputation of the Tribunal. In view of the need to ensure independence, professionalism and accountability under the relevant resolutions, the Council is of the view that the General Assembly should authorize an independent body to consider complaints. In paragraph 40 of its previous report, the Council also recommended that the Council be the appropriate body to investigate complaints. After further consideration, the Council considered that it would be more appropriate for the three external members of the Council (the President and eminent jurists nominated by staff and management, respectively) to establish a panel of experts on complaints to consider complaints. The three external members of the Council are not only independent experts familiar with the judicial system, but also with the appropriate judges as members of the bodies that determine their candidates. They have knowledge and expertise, which means that complaints will be dealt with expeditiously without the need to appoint external consultants. The Council recommended that all complaints be referred to the Panel of Experts on Complaints. The Panel is likely to be able to rule on many complaints without having to hear oral evidence, but may have to hear oral evidence in case of material factual disputes. All investigations must be conducted impartially and the complainant and the judge should be given the opportunity to present their case. Those complaints that are considered frivolous are rejected immediately, while others are investigated and adjudicated. The panel of experts shall have the power, after an investigation, to dismiss a complaint or to issue confidential advice or guidance to the judge concerned, or to make public criticism, as appropriate, if it considers that the complaint is well founded. If the Panel considers it necessary to dismiss the judges, it prepares a report recommending that the General Assembly do so. That procedure should make it clear that only the General Assembly could dismiss judges, but only after receiving the report of the Panel of Experts. This process will protect the independence of the judiciary and ensure that disciplinary proceedings are transparent and fair.", "IV. The Tribunal, including the Registry", "A. United Nations Dispute Tribunal", "8. From 1 July 2010 to 31 May 2011, the United Nations Dispute Tribunal received 170 new cases. During the same period, 195 judgements were rendered. Under the old system, 169 outstanding cases remained before the Joint Appeals Board and the Joint Disciplinary Committee, which were transferred to the Dispute Tribunal in July 2009, with the exception of eight cases, all of which were completed. Of the 144 cases referred to the Dispute Tribunal from the United Nations Administrative Tribunal in January 2010, 55 remain outstanding. As a result, 63 cases from the old system remain outstanding. In considering these statistics, it should be noted that one “case” (i.e., a complaint about a particular regulatory course of conduct) may give rise to a number of court orders, such as an order for suspension of action or disclosure of documents, each of which may be accompanied by a reasoned judgement. Thus, the number of judgements may be much higher than the number of “cases”. A “closure” order is generally issued by both Tribunals, together with a final reasoned judgement on the merits. The records of these orders and judgements vary from Registry to Registry to Registry to Registry to Registry to Registry to Registry to Dispute Tribunal to Registry to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal to Dispute Tribunal The statistics also do not accurately reflect how much work the Tribunal is doing, as some “cases” may be simple, with only one judgement to be delivered, while in others, many orders and judgements may be required. Despite these difficulties in interpreting the statistics, the Internal Justice Council is satisfied that the Dispute Tribunal judges (six full-time judges, including three ad litem judges, plus two half-time judges) have barely managed to handle the new caseload.", "1. Three additional permanent judges required", "9. The Internal Justice Council reiterates its view, expressed in paragraph 21 of its previous report (A/65/304), that there is a need to maintain the current number of judges to handle the cases submitted. Accordingly, three additional full-time judges would need to be appointed at the end of the ad litem judges ' terms of office. The Council is of the view that, without the appointment of additional judges at that time, the backlog of cases before the Dispute Tribunal will rapidly increase, preventing it from carrying out its judicial work in a timely manner. The establishment of three additional established judicial posts would require the long-term retention of the support staff currently assigned to ad litem judges in the Registries.", "2. Inadvisability of a further extension of the terms of office of ad litem judges", "10. The term of office of the ad litem judges, initially for one year, from July 2009 to June 2010, has been extended twice, from July 2010 to June 2011 and from July 2011 to December 2011. The Internal Justice Council did not consider the continued reappointment of ad litem judges advisable. First, the repeated reappointment of ad litem judges undermines the requirement of judicial independence. Secondly, the appointment of ad litem judges was intended to ensure that the backlog of cases in the old system was addressed. Overall, this task has been completed. Thirdly, the extension of the term of office of ad litem judges has also created practical difficulties, as it has made it difficult for them to organize their own affairs. The Council notes that when the second six-month extension was provided, one ad litem judge could not accept the extension, which had a negative impact on the administration of justice. Owing to the short time frame, two or three candidates could not be identified for a six-month term. Furthermore, the Council noted that if the General Assembly were concerned that the Dispute Tribunal should not be “excessive” and if it was clearly not necessary to have six full-time judges for the system, the Council would be open to the Assembly not to appoint new judges upon the expiry of their terms of office or upon resignation. Since the term of office was staggered, the General Assembly would be able to take that decision at least every three or four years. In the view of the Council, the General Assembly has the flexibility to reduce the number of judges in the system, plus the fact that the extension of the term of ad litem judges is flawed in principle and in practice, and it is therefore clear that the practice of appointing ad litem judges should be avoided as far as possible.", "3. Half-time judges of the Dispute Tribunal", "11. During the period from 1 July 2010 to 31 May 2011, two half-time judges continued to serve in New York, Geneva and Nairobi as required, serving twice a year for three months each. For each three-month working period, two months worked in one of the Dispute Tribunal locations. Persons appointed as half-time judges can use the remaining 30 days to file cases and draft judgements at home. In practice, however, the number of cases and the workload required by the Tribunal means that these judges spend up to 60 days on this work, of which up to 30 days are unpaid. Half-time time limits are not flexible and the judges are not in a position to undertake this additional work on an as-needed basis.", "12. In the light of the Tribunal ' s practical experience since its previous report, the Internal Justice Council has reconsidered its previous recommendation for a half-time judge (recommendation 2), noting that if the statute of the Dispute Tribunal were amended, two part-time judges, instead of two half-time judges, would not require an additional half-time judge. Half-time judges are budgeted at 50 per cent of the cost of full-time judges. If the provision for half-time judges were amended to include part-time judges and if the budget of the two existing half-time judges was increased to 50 per cent of the cost of one full-time judge to 75 per cent, the existing half-time judges would be able to work for the Dispute Tribunal for more than six months per year, depending on the caseload and workload, thus eliminating the need for a third half-time judge. In addition, such a change would address most of the issues raised in paragraph 23 of the Board's previous report. Such a change would require an amendment to the statute of the Dispute Tribunal.", "4. Plenary sessions of judges of the Dispute Tribunal", "13. To date, the judges of the Dispute Tribunal have held five one-week plenary sessions (in New York in July 2009, in Geneva in December 2009, in Nairobi in June 2010, in Geneva in December 2010 and in New York in June 2011). The Internal Justice Council was informed that, owing to financial constraints, it was unlikely that a second plenary meeting would be held in 2011. For the reasons stated in paragraph 27 of its previous report, the Council reiterated its recommendation that travel costs for the Dispute Tribunal be increased to ensure that the Dispute Tribunal holds at least two plenary meetings per year, preferably on a rotational basis, with the participation of the Registrars, to support the decentralized nature of the system.", "5. Support services to the Dispute Tribunal", "14. In paragraph 30 of its previous report, the Internal Justice Council outlined a number of reasons for supporting an increase in the administrative budget of the Dispute Tribunal. The practical experience of the Tribunal in yet another year has highlighted the need for an increase in the budget to ensure that adequate records, videoconferencing, interpretation and translation services are available at each seat of the Tribunal and to provide a budget for the acquisition of legal texts and online legal resources. The Council noted that an amount of $1 million had been allocated to the system of administration of justice to assist with interpretation and translation services, but was disappointed to see that that amount did not appear to have been allocated to the system of administration of justice and that translation and interpretation services remained precarious owing to resource constraints.", "15. The Internal Justice Council is also deeply concerned about the lack of a reliable recording and transcription mechanism for oral testimony. In interviews with the judges and Registrars of both Tribunals, it became clear that in many instances the Appeals Tribunal had not received a full and reliable record of the transcription of oral testimony in the Dispute Tribunal proceedings. The appeal dealt with questions of fact that must be determined on the basis of oral testimony before the Dispute Tribunal, at a time when, in the view of the Council, a professional judicial system needs a reliable record of the transcription of oral testimony. The Council considers that this issue needs to be addressed urgently.", "6. President of the Dispute Tribunal", "16. The Internal Justice Council reiterates its view, expressed in paragraph 31 of its previous report, that appropriate administrative assistants should be assigned to the President of the Dispute Tribunal.", "7. Languages of proceedings", "17. As indicated in paragraph 32 of the previous report of the Internal Justice Council, the Council has requested that the Office of Administration of Justice and the Registrar pay attention to the languages in which staff members turn to the Tribunal. The Council noted that only two cases had been brought in French by the Registry in New York (New York was the only location where the Dispute Tribunal did not have a French-speaking judge), and that both cases had been dealt with with with the assistance of a French-speaking judge at another location of the Dispute Tribunal. The Council is therefore satisfied that appropriate arrangements have been made for complainants to process their cases in the working languages of the United Nations of their choice.", "United Nations Appeals Tribunal", "1. Case statistics", "18. From 1 July 2010 to 31 May 2011, the Appeals Tribunal received 113 new cases. During the same period, the Appeals Tribunal rendered 95 judgements. As at 31 May 2011, the Tribunal had 95 cases pending.", "2. Number of sessions of the Appeals Tribunal per year", "19. While the initial budget of the Appeals Tribunal provides for two two-week sessions per year, the Tribunal held three two-week sessions in 2010 to address the backlog of cases, and plans to do so in 2011. While this provision is not necessarily a long-term one, the Internal Justice Council, as stated in paragraph 33 of its previous report, is of the view that it is important to ensure that appeals from the Dispute Tribunal are heard and adjudicated expeditiously by the Appeals Tribunal and to avoid long delays in the previous appeals system. One reason for two weeks rather than longer sessions is to make it easier for judges from national jurisdictions to continue serving as judges of the Appeals Tribunal while serving in their own countries. The professionalization of the internal justice system would be enhanced by the inclusion of judges currently serving in the national justice system as judges of the Appeals Tribunal. The Council is therefore of the view that, should the Appeals Tribunal be required to hold three sessions per year of two weeks each, provision should be made for this purpose. The Council will continue to monitor the number of sessions required.", "3. Remuneration of judges of the Appeals Tribunal", "20. In paragraph 34 of its previous report, the Internal Justice Council noted that it had recommended that the General Assembly should keep the remuneration system under review. It will be recalled that the judges of the Appeals Tribunal are paid for the manner in which they wrote the judgement (the lead author of the judgement is paid $2,400 per judgement and the other two participating judges are paid $600 per judgement). The system was taken from the Administrative Tribunal of the International Labour Organization, but there was no review of its suitability for ILO or the new system. The Appeals Tribunal, composed of three judges, hears appeals from highly experienced full-time judges of the Dispute Tribunal, with one of the three judges writing judgements at a rate of $2,400 and the other participating judges at a rate of $600. Such a system might give the impression that the three appeal judges were not fully committed to the appeal decision. The Council expressed concern in this regard. The pay system also ignores the fact that the three judges of the Full Court should work closely together to determine the case and should be held equally responsible for it. In addition, the judges of the Appeals Tribunal not only write judgements, but also perform a series of other tasks that are not remunerated under the current system. Most importantly, the Appeals Tribunal judges serve on duty on a rotational basis when the Tribunal is not in session for a period of one month, during which up to 30 interlocutory orders may be required for cases pending before the Tribunal. The Council considers that this situation is not desirable. Currently, such work is not remunerated at all. The Council is of the view that consideration should be given to a more equitable system of remuneration of judges. For example, a lump-sum payment is made for all the work of the judges per year, including three two-week sessions per year and all additional work.", "4. Appeals Tribunal support staff", "21. The Internal Justice Council notes that the support staffing referred to in paragraph 36 of the previous report has been strengthened with the addition of one Legal Assistant position (General Service (Other level)) for one year to be funded from general temporary assistance, in accordance with paragraph 49 of General Assembly resolution 65/251. While the Council endorsed the creation of this additional position, it was of concern that the Appeals Tribunal was still understaffed with legal expertise. The experience of the Tribunal over the past 12 months has shown that, with its current staffing, the Registry of the Tribunal is still unable to develop standard legal memorandums and summaries of issues at a pace that does not meet the requirements of the judges to carry out their work effectively and efficiently. The Council reiterated its request to the General Assembly to reconsider the recommendations of the Redesign Panel and the Secretary-General regarding the staffing of the Appeals Tribunal, so that the Tribunal could be staffed by three legal officers, at least one of whom should speak French, and three legal assistants.", "C. Common issues before the Dispute Tribunal and the Appeals Tribunal", "1. Status of the judges of the Dispute Tribunal and the Appeals Tribunal", "22. In its previous report, the Internal Justice Council recommended that the judges of the Appeals Tribunal be given the appropriate senior United Nations level, such as Assistant Secretary-General (recommendation 13). This measure will not affect remuneration, as judges of the Appeals Tribunal are not paid. The Council, after further considering the manner in which the matter was handled by other international tribunals, considered that the proposal was desirable in order to attract the most competent judges from national higher courts, while recognizing the important work carried out by the two Tribunals, and that the level of Assistant Secretary-General should be granted to the judges of the Appeals Tribunal and the Dispute Tribunal.", "2. Judicial service oaths and regulations binding judges", "23. In paragraph 38 of its previous report, the Internal Justice Council raised the issue of the oath of appointment of judges of the Dispute Tribunal and the Appeals Tribunal. At its sixty-fifth session, the General Assembly did not consider the oaths of office issued by the Council for the Tribunals, but the Council reiterated that they must recognize the obligation of judges to observe the code of conduct and to act in an independent, fair and free of fear, favouritism or prejudice. If mandated by the General Assembly, the Council would be willing to prepare a draft judicial oath for consideration by the Assembly at its sixty-seventh session.", "24. In paragraph 39 of its previous report, the Internal Justice Council also raised the question of the status of judges and regulated their relationship with the United Nations through the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials and Experts on Mission (ST/SGB/2002/9). The General Assembly did not address this issue at its sixty-fifth session. The Council reiterated that the judges of the Dispute Tribunal should enjoy the privileges and immunities accorded to officials other than Secretariat officials under the Convention on the Privileges and Immunities of the United Nations and that the judges of the Appeals Tribunal should enjoy the privileges and immunities accorded to experts on mission, but that it was essential for the independence of judges that their ethical responsibilities should be regulated only through the judges ' Code of Conduct.", "3. Cases", "25. The Internal Justice Council is kept abreast of the jurisprudence generated by the new system. The Council believes that the analysis of legal scholars will be an important mechanism for improving the quality of jurisprudence and judicial accountability. The Council is therefore working with several universities to hold a judicial seminar and academic conference on the new judicial system in June 2012.", "Code of Conduct applicable to all legal representatives", "26. In paragraph 41 of its previous report, the Internal Justice Council indicated that a code of conduct should be established for all legal representatives appearing before the Court. The Council considered that the development of such a code would require the involvement of all parties concerned, including legal representatives representing management and staff within the Organization, legal representatives outside the Organization and judges of the Tribunal. The Council therefore recommended that the General Assembly authorize the Council to initiate the process of drafting a code of conduct for legal representatives in order to submit it to the Assembly at its sixty-seventh session. The code of conduct should not only contain rules on the conduct of legal representatives, but should also provide appropriate channels for its implementation and, if necessary, refer cases to a complaints panel composed of three “excellent jurists” of the Council (see para. 7 above). Such a code would require, inter alia, that legal representatives be able to speak fluent English or French or both, as would the code adopted by the International Criminal Court, which are the working languages of the United Nations.", "5. Travel", "27. Since the last report, the Internal Justice Council has continued to monitor travel issues related to the Tribunal and the Office of Administration of Justice. Experience over the past 12 months has further demonstrated the need for a travel budget to meet the requirements discussed in paragraph 44 of the previous report.", "6. Courtrooms and offices", "28. Although progress has been made over the past year in arranging courtrooms for the Tribunal, there are still no courtrooms in Nairobi, although a suitable location has been identified. In New York, the courtroom, although completed, is not yet operational. In Geneva, while the courtroom is already operational, there are no interpretation facilities that are often required. The problems in Geneva and Nairobi appear to be due to financial constraints. The Internal Justice Council reiterates that, if the independence, professionalism and accountability of the new system are to be ensured, the availability of courtrooms with two entry/exit facilities (one for judges and one for legal representatives and the general public), a record of proceedings facility, a videoconferencing facility to enable witnesses from other duty stations to be heard, and simultaneous interpretation facilities will be required. In addition, there is a need to arrange offices for judges of the Dispute Tribunal and the Appeals Tribunal working at one duty station, equipped with telephones, computers and access to the Internet. Finally, it is the understanding of the Council that the needs of the internal justice system have not yet been included in the capital master plan for the renovation of the New York Headquarters complex. The Council is of the view that the needs of the internal justice system should be included in the capital master plan as a matter of urgency.", "7. Public hearings", "29. The Internal Justice Council again noted the importance of the principle of judicial disclosure for the new system of administration of justice. Although the Dispute Tribunal does not have a permanent courtroom, it continues to hold many public hearings (see para. 28 above), with the Appeals Tribunal holding only two public hearings per session. It is the view of the Council that, if a party wishes to hold a public hearing, it should do so unless there are substantial reasons for not doing so. So far, public hearings have been attended by a small number of people, but at least a large number of participants. The Internal Justice Council considers that this issue should continue to be examined.", "Office of Administration of Justice", "30. The Office of Administration of Justice continues to be the focal point for the functioning of the justice system. The most important functions of the Office are:", "• Overseeing the work of the Tribunal and its staff and their interaction with other parts of the Secretariat to ensure the independence of the judicial system;", "• Support the justice system by providing the administrative services and facilities on which it operates;", "• Helping to achieve “equitable arming” within the system by assisting staff through the Office of Staff Legal Assistance. [2]", "Operational aspects", "31. The Internal Justice Council notes that the website of the Office of Administration of Justice is functioning efficiently, through which staff can access the case law of both Tribunals and search for judgements and orders of the Tribunals. The Council also noted with satisfaction that, with effect from 6 July 2011, the Office had launched the web-based electronic case management system, one of the functions of which was to allow staff members to present and monitor cases from any duty station, which was a significant achievement in a decentralized organization such as the United Nations.", "32. The Office of the Executive Director has a large number of responsibilities, but the number of support staff is very limited, consisting mainly of one Special Assistant (P-4), one General Service staff member and two Information Technology Officers. The Internal Justice Council is of the view that an appropriate increase in the support staff is warranted.", "B. Independence of the Office of Administration of Justice and status of the Executive Director", "33. The value of the justice system to the Organization depended to a large extent on the views of staff and management on its independence and impartiality. Stakeholders should therefore refrain from taking or maintaining unreasonable or extreme actions or positions, since such actions or positions may be subject to scrutiny by the Tribunal, which is the public arena where individuals may be held accountable. The official responsible for maintaining this independence and impartiality to the extent possible is the Executive Director of the Office of Administration of Justice. The Executive Director is the intermediary to which the Tribunal and departments can turn when there are problems. Over the past three years, the Internal Justice Council has become more convinced of the importance of the position of Executive Director. The Executive Director must be able to express his or her views freely as a person of equal standing with senior Secretariat officials and judges. It is for these reasons that the Ombudsman, the head of the informal justice system, was granted the status of Assistant Secretary-General, and the Council believes that the head of the formal justice system should be accorded the same status. [3]", "C. Outreach and coordination", "34. The Internal Justice Council was informed that there was still a lack of understanding in some duty stations of how the formal justice system functions, resulting in delays in stakeholder engagement with the system. The Council therefore supported the efforts of the Office of Administration of Justice and the Secretary-General to explain the system to stakeholders. [4]", "Office of Staff Legal Assistance", "Structure and mandate of the Office of Staff Legal Assistance", "35. The Office of Staff Legal Assistance is based in the Office of Administration of Justice and is staffed by seven Professional-level legal officers funded from the regular budget, three in New York and one each in the four duty stations of Addis Ababa, Beirut, Geneva and Nairobi. The Office also has three General Service staff funded through similar channels, all in New York. In addition, in 2010, the Office increased by one staff member in Nairobi to assist with cases in field missions, funded from the peacekeeping support account for one year. The Office of Staff Legal Assistance had been established in recognition of the fact that the United Nations was a special employer and that, in order to improve the quality of decision-making within the Organization and achieve “equitable arming” within the legal system, staff members should be supported in filing complaints even against the Organization itself.", "36. The current mandate of the Office of Staff Legal Assistance [5] is to provide professional legal assistance to staff, recognizing that it is essential for effective and appropriate use of existing mechanisms within the system of administration of justice (see resolution 62/228, paras. 12-15). In particular, the role of the Office is to assist staff members and their voluntary representatives in processing appeals through the formal system of administration of justice (see resolution 65/251, para. 38).", "B. Current functioning of the Office of Staff Legal Assistance", "37. The Office of Staff Legal Assistance can carry out its functions only with a limited number of staff. The Office also makes internal decisions to refuse assistance if it is found that a case lacks legal significance or that there is little chance of success in court. The Internal Justice Council notes that the ability of the Office to consider requests for meaningful complaints by staff members over the past year far exceeds the capacity of the Office (see A/65/304, para. 63).", "38. The Internal Justice Council recognizes that it has never been the intention of the General Assembly to hold the Office of Staff Legal Assistance solely responsible for staff legal assistance with a limited number of staff. In this regard, the Assembly encouraged staff to contribute to the work of the Office, including by providing volunteer professional legal counsel (see resolution 65/251, para. 37; see also A/65/304, para. 64). In addition, the Assembly requested the Secretary-General to propose a staff-funded mechanism for the provision of legal assistance to staff (see resolution 65/251, para. 40). The first avenue of assistance to the Office has not been very successful. While the Office is assisted by a number of internal voluntary legal advisers, legal interns and pro bono external legal advisers, such assistance does not have a significant impact, on the one hand because such assistance is limited and, on the other hand, because it is usually available only at headquarters duty stations and because there is no expertise outside the Organization to handle staff-management complaints (see also A/65/304, para. 68). With regard to the second approach, annex I to the report of the Secretary-General on the administration of justice at the United Nations proposed a different pattern of staff funding the Office, noting the advantages and disadvantages of each model. The Secretary-General had concluded that all the models proposed required further consideration after the General Assembly had decided in principle which model was most appropriate. It is therefore unlikely that the Office will be assisted in the near future.", "C. Rationale for providing assistance to the Office of Staff Legal Assistance", "39. The provision of assistance to the Office of Staff Legal Assistance would require additional appropriations. However, there are good reasons to support the work of the Office. For example, lawyers in the Office do not unreasonably pursue cases, waste the time and limited resources of the legal system (see para. 37 above). In addition, the Office ' s lawyers are familiar with all available complaints mechanisms and will select the most cost-effective mechanisms, as required by the case, to provide the necessary assistance for the use of this form of complaint. The staff of the Office may advise on negotiations with management, or mediate through the informal justice system, or represent staff in negotiations or mediation. In the event of litigation, it will be as expeditious and efficient as possible to enhance accountability. Furthermore, if the Office were to increase its staff, they would not have the incentive to prolong the proceedings because of their fixed salary (see also A/65/304, para. 62).", "40. The workload of the Office of Staff Legal Assistance continues to grow. As at 1 July 2010, 432 cases were ongoing. [6] As at 31 May 2011, the number of cases stood at 570. Reliable projections are that this workload will remain largely stable as cases are completed and new cases are filed. If on average the work is assigned to eight legal officers in the Office, each officer will have to handle 71 cases. In the view of the Internal Justice Council, this is too heavy a burden to focus on cases at the highest professional level and therefore needs to be reduced.", "D. Suggested remedies", "41. One proposal was to first provide one General Service assistant for each of the legal officers in Addis Ababa, Beirut and Geneva, and one assistant for the two legal officers in Nairobi. This will significantly increase the efficiency of the work of the legal officers, as they will not be required to perform a wide range of administrative and secretarial functions (see also A/65/304, paras. 66 and 71). In fact, it is likely that no other legal officer within the United Nations system works without secretarial or administrative support. It is proposed that these posts be established on a permanent basis.", "42. Of the eight Legal Officer posts in the Office of Staff Legal Assistance, only one is above the P-3 level. [7] In this connection, it is proposed to establish two Legal Officer posts at the P-4 level. The additional posts would reduce the workload of eight legal officers and, in addition, provide career development options for five legal officers at the P-3 level who would otherwise be forced to leave the office after some time, leading to a significant loss of experience and expertise among the staff of the Office (see also A/65/304, para. 70). One of the additional legal officers should be bilingual (French/English) and work in Geneva, which is a busy duty station. They should be supported by the same General Service staff as proposed above. In addition, these posts could be established for an initial period of three years, after which the sources of funding for the posts could be reviewed in the light of the staff-funded Office assistance mechanism that had been in place at that time.", "E. “Equal Arms”", "The Internal Justice Council reaffirmed that “arms of equality” was an important principle guiding the development of the internal justice system. Both the Office of Staff Legal Assistance and management legal representatives claimed that they lacked sufficient staff to adequately represent their clients in the new Tribunal. The Council considers this a matter of concern. The need to maintain a reasonable “equal arms” persists and the Council intends to keep this issue under review in the coming years.", "Internal Justice Council", "44. The Internal Justice Council held only one meeting between July 2010 and June 2011, but a number of teleconferences initiated the process of electing suitable candidates to be presented to the General Assembly at its sixty-sixth session in order to fill the vacancy on 1 July 2012. At that time, the terms of office of five judges (one full-time judge and one part-time judge of the Dispute Tribunal and three judges of the Appeals Tribunal) will expire.", "45. In 2011, a number of individuals contacted the Internal Justice Council to file complaints against judges of the Dispute Tribunal. On each occasion, the President of the Council informed the persons concerned that the Council did not have a mandate to deal with such complaints, nor did other bodies appear to have such a mandate. The President of the Council also wrote to the President of the General Assembly to draw his attention to this issue. In the absence of a clear mandate from the General Assembly, the Council considers that it does not have jurisdiction to deal with such complaints. This issue has already been raised in paragraph 7 above.", "46. In paragraph 76 of its report, the Internal Justice Council considered that it would normally need to meet twice a year to fully review the functioning of the internal justice system. The Council still considers that this is the case, and recommends that provision be made for two meetings per year. In addition, if the Council were to undertake additional work, such as that proposed in the present report (see paras. 7, 23 and 26 above), more meetings might be required.", "47. The Internal Justice Council noted that the term of office of its current members would end in early 2012. Both staff and management need to take steps to appoint new members.", "VIII. Management Evaluation Unit", "A. Structure of the Management Evaluation Unit", "48. The Management Evaluation Unit originated from General Assembly resolution 62/228, which emphasized the need for an efficient, effective and impartial process for management evaluation. In the same resolution, the Assembly reaffirmed the general principle that administrative remedies should be exhausted before recourse to formal proceedings. Pursuant to that resolution, a Management Evaluation Unit was established within the Department of Management. The Management Evaluation Unit is currently composed of one Chief of Unit (P-5), three Legal Officers (P-4), another Legal Officer funded from the discretionary fund and three Legal Assistants at the General Service level.", "B. Relationship with the formal justice system", "49. The Management Evaluation Unit has been integrated into the formal system of administration of justice and, in some cases, an applicant to file an application with the Dispute Tribunal must submit to the Management Evaluation Unit an administrative decision that he or she contests (see article 8, paragraph 1 (c), of the statute of the Dispute Tribunal). If management evaluation is required, there is a time limit for the submission of applications. [9] The Management Evaluation Unit also has time frames for responding to requests for evaluation. [10]", "C. Objectives and functioning of the Management Evaluation Unit", "50. The Management Evaluation System and the Management Evaluation Unit seek to achieve many valuable objectives. For example, if the contested administrative decision is illegal or untenable, the Management Evaluation Unit often succeeds in seeking a negotiated solution. In this way, the pressure on the judicial system can be lifted. This may also be due to another reason: it is estimated that, as at 31 December 2010, the Dispute Tribunal ' s opinion would be in line with that of the Management Evaluation Unit in most cases if the case was brought before the proceedings after the Unit had commented on the contested decision. As a result, staff members may be reluctant to file claims after the management evaluation phase. The work of the Management Evaluation Unit also provides the Department of Management with an overview of contested management decisions, enabling it to identify and correct systemic management issues and hold officials responsible for misconduct to account internally. In addition, the Management Evaluation Unit ' s responses set out the reasons, set out the facts of the case, summarized the views of the decision-makers, and set out the applicable legal rules and jurisprudence. If the Management Evaluation Unit considers the contested decision to be appropriate, it provides such reasons as it deems appropriate. This practice is transparent, and even when staff may disagree with the conclusions of the Management Evaluation Unit, it does not give rise to the feeling that they sometimes dispute with management that they are dealing with unloved machines. This has helped to improve staff morale.", "51. The Internal Justice Council has been given the impression that the Management Evaluation Unit is operating efficiently, but is under considerable pressure owing to its heavy workload and tight deadlines. The Board supported the initiative to strengthen the Management Evaluation Unit.", "D. Limitations of the Management Evaluation Unit and the statute of the United Nations Dispute Tribunal", "52. The 30- and 45-day time periods set out in the statute of the Dispute Tribunal in response appear to pose difficulties in some cases: the need to collect a large amount of information for the settlement of disputes or the difficulty of obtaining it; the desire of the Management Evaluation Unit to assist the parties in the settlement of disputes through direct negotiations, but with lengthy negotiations; and the submission of additional information by staff members after the first request for management evaluation. The statute did not contain provisions for an extension of the deadline; indeed, the Assembly seemed to consider the deadline to be immutable, since article 8, paragraph 3, provided that the Dispute Tribunal could not suspend or waive the deadline for management evaluation. [11] This may be due to staff concerns about system delays caused by past management assessments. The Redesign Panel shares this view. It was important that management evaluations should not cause further delays.", "53. Nevertheless, the Internal Justice Council is of the view that an extension of the time limit is possible if both parties agree or the Dispute Tribunal finds that there are exceptional reasons for doing so (see para. 57 below). While there are often lengthy delays in management reviews when the old system operates, the gradual recurrence of old delays is unlikely to occur if extended time limits are allowed only in limited circumstances. The Council noted that the funds and programmes had indicated that they would not exceed the statutory time limits. Accordingly, the Council is of the view that the Management Evaluation Unit would be able to overcome these difficulties if it were authorized to extend the time limit by mutual agreement, while the Dispute Tribunal was authorized to do so in exceptional circumstances (see below). The Council also considered it important to strengthen the capacity of the Management Evaluation Unit by increasing its staff, enhancing its authority to request prompt information from departments and offices and to expedite negotiations between departments and offices and staff, and limiting the number of supplementary submissions by staff.", "IX. Review of the statutes of the Tribunals", "54. In paragraph 32 of its resolution 63/253, the General Assembly decided to review the statutes of the Tribunals at its sixty-fifth session in the light of experience gained. This review did not take place. An important recommendation made by the Internal Justice Council in paragraph 7 above is the establishment of a complaint-handling mechanism for judges (which the statutes of the two Tribunals must provide for). Another important recommendation made by the Council in paragraph 12 above was to replace the reference to “half-time judges” in the statute of the United Nations Dispute Tribunal with “part-time judges”. In addition to these two recommendations, the Council recommended the following minor amendments to the two statutes.", "Article 4, paragraph 3 (b), of the statute of the Dispute Tribunal provides that the judges of the Dispute Tribunal shall “have at least 10 years of judicial experience in the field of administrative law or its equivalent within one or more national jurisdictions” and article 3, paragraph 3 (b), of the statute of the Appeals Tribunal provides that the judges of the Appeals Tribunal shall “have at least 15 years of judicial experience in the field of administrative law or its equivalent within one or more national jurisdictions”. It is not clear whether the term “or similar area” in both provisions refers to experience similar to administrative law or to judicial experience similar to that in national jurisdictions. In paragraph 16 of its previous report, the Internal Justice Council noted that in some Member States disputes concerning employment law were decided by arbitrators. The Council considers that candidates with such experience are suitably qualified. In addition, the Council noted that the two provisions currently being drafted could be understood to exclude experience in other international tribunals, such as the International Labour Organization Administrative Tribunal, the World Bank Administrative Tribunal and the Administrative Tribunal of the International Monetary Fund, where work is likely to be of great relevance. The Council considered that it would be helpful if the wording of the statute could be improved. The Council proposed the following possible wording to address these two difficulties: candidates should have at least 10 years of judicial or adjudicative experience (the statute of the Dispute Tribunal) or 15 years (the statute of the Appeals Tribunal) in a national jurisdiction or an international tribunal, which would be relevant to the work of the relevant tribunal within the United Nations system of administration of justice.", "56. For the reasons stated in paragraph 29 of the previous report, the Internal Justice Council reiterates its recommendation to amend the provision requiring the President of the Appeals Tribunal to authorize three judges of the Dispute Tribunal to sit on a panel of judges of the Dispute Tribunal (para. 29) Article 10, paragraph 9, of the statute of the Dispute Tribunal allows the President of the Dispute Tribunal to determine this need.", "57. Another amendment concerns article 8, paragraph 3, of the statute of the Dispute Tribunal. The provision allows the Tribunal to waive or suspend deadlines in exceptional circumstances, but expressly excludes delegation of authority with respect to the time limit for management evaluation. As mentioned above (see paras. 52 and 53), the experience of the Management Evaluation Unit has shown that, in exceptional circumstances, the Tribunal should have the authority to change the time frame for management evaluation. The Internal Justice Council is of the view that this change would enhance the practical role and flexibility of the Dispute Tribunal. The Council also considered that the Statute should be amended to allow the Management Assessment Unit to extend the time limit with the agreement of the parties to the dispute.", "58. The Internal Justice Council considered that article 7, paragraph 1, of the statute of the Dispute Tribunal and article 6, paragraph 1, of the statute of the Appeals Tribunal should be amended to require the Tribunal to allow the parties concerned an opportunity to express their views on the proposed amendments to the rules of procedure of the Tribunal. The Council recommends that this be achieved by placing notifications of proposed amendments on the Tribunal section of the website of the Office of Administration of Justice, giving the parties 30 days to submit their comments to the Registrar of the relevant Tribunal. Furthermore, the Council recommended that the following two sentences be inserted in the two sets of rules: “Any proposed amendments to the rules must be published in the court section of the website of the Office of Administration of Justice, with a date to be indicated. Within 30 days of the date of publication of the notice, the parties concerned may submit an opinion to the Chief Registrar of the relevant Tribunal, the name and contact details of which shall be specified in the notice.”", "59. The last proposal to amend the statute dealt with a question also raised in the previous report of the Internal Justice Council, namely, the need to consult the Presidents of the Dispute Tribunal and the Appeals Tribunal when preparing the budget (see A/65/304, para. 48). The Council is of the view that both statutes should be amended and that a provision should be included requiring the Executive Director of the Office of Administration of Justice to consult with the Presidents of the Dispute Tribunal and the Appeals Tribunal in the preparation of the budget of the Office so that they have a reasonable opportunity to provide information on the needs of the Tribunal.", "60. In addition to the above changes, the Council is of the view that no further amendments to the statute are necessary at this stage. The Council is of the view that it would be appropriate for the General Assembly to review the system of administration of justice two years later at its sixty-eighth session.", "X. Conclusions and recommendations", "61. In summary, the Internal Justice Council is of the view that, given that the new system has only been in operation for two years, it is working well within its resources and above expectations. To a large extent, the success of the new system is the result of due diligence by the judges, the Registrar and staff, the staff of the Office of Administration of Justice and the lawyers appearing before the Office of Legal Assistance and management. The Council commends all parties for their hard work and selfless dedication during the first year of reform of the internal justice system.", "62. The recommendations made by the Internal Justice Council in the preceding sections of the present report and summarized in the following section are intended to address the challenges facing the system. The Council regrets that many of the recommendations require additional resources. In making these recommendations, the Council is well aware of the financial constraints faced by the General Assembly and therefore recommends only those matters that the Council considers essential for the effective functioning of the new system to ensure its independence, professionalism and accountability.", "Summary of recommendations", "The Internal Justice Council recommends that:", "Code of conduct for judges and complaint mechanisms", "1. At its sixty-sixth session, the General Assembly considered the code of conduct for judges so that it could enter into force as soon as possible (para. 6);", "The General Assembly established a complaints panel, composed of the Chairman and two “excellent external jurists” of the Internal Justice Council, to hear and adjudicate complaints concerning violations of the code of conduct by judges or the unsuitability of judicial office in the system of administration of justice. If the Panel considers the case justified, it investigates and warns or criticizes the judge, as appropriate. The Panel shall be guided by the principles of natural justice and fairness in the consideration and adjudication of complaints. If the panel concludes that there are grounds for the removal of a judge, it must submit a comprehensive investigation report to the General Assembly, including its recommendations (para. 7);", "Tribunals", "3. Appoint three additional permanent full-time judges to the United Nations Dispute Tribunal to replace ad litem judges at the end of their terms of office (paras. 9 and 10);", "4. Amend the statute of the United Nations Dispute Tribunal to provide for two part-time judges, instead of two half-time judges, to be funded at 75 per cent of the remuneration of full-time judges (para. 12);", "5. Make provision for two one-week plenary sessions per year for the judges and the Registrar of the United Nations Dispute Tribunal (para. 13);", "6. Make adequate provision for videoconferencing, interpretation, translation and access to legal research resources (para. 14);", "7. Make adequate provision to ensure that transcripts are provided for oral testimony before the United Nations Dispute Tribunal to serve as a record of appeal, if necessary (para. 15);", "8. Provide administrative support to the President of the United Nations Dispute Tribunal (para. 16);", "9. Provide for three two-week sessions of the United Nations Appeals Tribunal each year (para. 19);", "10. Review the remuneration paid to the judges of the United Nations Appeals Tribunal and consider the annual lump-sum remuneration paid for all work (para. 20);", "11. Monthly allowances are paid to the judges of the United Nations Appeals Tribunal and half-time judges of the United Nations Dispute Tribunal for the proper payment of Internet access, computer usage and related administrative costs (A/65/304, paras. 25 and 34 (c));", "12. The General Assembly invited Member States to review the rules governing the remuneration of judges in their respective countries in order to enable national judges to receive emoluments upon their appointment to recognized international tribunals (A/65/304, para. 34 (a));", "13. Expand the staffing of the United Nations Appeals Tribunal, as previously recommended by the Redesign Panel and the Secretary-General (para. 21);", "14. The General Assembly has granted the judges of the United Nations Appeals Tribunal and the United Nations Dispute Tribunal the level of Assistant Secretary-General (para. 22);", "15. Develop new judicial service oaths (para. 23);", "16. Reconsider the application of the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials and Experts on Mission (ST/SGB/2002/9) to the judges in the light of their independent status within the Organization (para. 24);", "17. Authorizes the Internal Justice Council to initiate a participatory process to prepare a draft code of conduct for legal representatives of staff and management and to submit it to the General Assembly at its sixty-seventh session (para. 26);", "18. Approves the principle of binding orders for the United Nations Dispute Tribunal and the United Nations Appeals Tribunal (A/65/304, para. 42);", "19. Provide for full travel of judges, the Registrar and staff of the Office of Administration of Justice (para. 27);", "20. Provide, as a matter of urgency, a properly equipped courtroom for use by the United Nations Dispute Tribunal in Geneva, Nairobi and New York, and for use by the United Nations Appeals Tribunal at one of its duty stations in Geneva, Nairobi and New York, with appropriate offices for judges (para. 28);", "Office of Administration of Justice", "21. In order to maintain staff confidence in the independence of the Office of Administration of Justice, the Office reports directly to the General Assembly (A/65/304, para. 56);", "22. Increase administrative support to the Office of Administration of Justice (para. 32);", "23. Reclassification of the post of the Executive Director of the Office of Administration of Justice to the Assistant Secretary-General level, as previously recommended by the Secretary-General (para. 33);", "24. Provide more extensive training to managers on the reform of the internal justice system, particularly at duty stations away from Headquarters (para. 34);", "Office of Staff Legal Assistance", "25. Establish two Legal Officer posts at the P-4 level (para. 42);", "26. Provide General Service administrative staff for Addis Ababa, Beirut, Geneva and Nairobi (para. 41);", "Internal Justice Council", "27. Provide adequate resources for two meetings per year (para. 46);", "Management Evaluation Unit", "28. Expansion of the staffing and authority of the Management Evaluation Unit (paras. 51-53)", "29. Provide for the extension of the management evaluation time frame by the Management Evaluation Unit, subject to mutual agreement (para. 53)", "Review of the Statute", "When reference is made to the experience required for judicial posts, it is made clear whether the same experience refers to judicial experience or to experience in administrative law; amending article 4, paragraph 3 (b), of the statute of the United Nations Dispute Tribunal and article 3, paragraph 3 (b), of the statute of the United Nations Appeals Tribunal to make it clear that the qualifications of judges are “that they shall have at least 10 years of judicial or adjudicative experience (United Nations Dispute Tribunal) and 15 years (United Nations Appeals Tribunal) in a national jurisdiction or an international tribunal, which must be relevant to the work of the relevant tribunal” (para. 55);", "31. Amend the statutory requirement of the President of the United Nations Appeals Tribunal to authorize a panel of three judges of the United Nations Dispute Tribunal to hear cases to allow the President of the Dispute Tribunal to determine whether there is a need (para. 56).", "32. Amend article 8, paragraph 3, of the statute of the United Nations Dispute Tribunal by deleting the last sentence and amending it to allow the Dispute Tribunal to waive or suspend the time limit for management evaluation in exceptional circumstances, and authorize the Management Evaluation Unit to extend the time limit where the parties to the dispute agree (para. 57);", "33. Amend article 7, paragraph 1, of the statute of the United Nations Dispute Tribunal and article 6, paragraph 1, of the statute of the United Nations Appeals Tribunal by requiring all parties concerned to be informed of proposals for amendments to the rules of procedure to enable them to submit their views to the relevant tribunal (para. 58);", "34. Add a provision to both statutes that the Executive Director of the Office of Administration of Justice consult with the Presidents of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal when preparing the budgets of the Tribunals to give them a reasonable opportunity to express their views and provide information (para. 59);", "Relationship between formal and informal systems", "35. Encourage the use of informal dispute resolution mechanisms for all United Nations employees; the use of informal mechanisms by staff and management should be strongly encouraged (A/65/304, para. 84);", "36. Provide more staff-management training on informal dispute resolution (A/65/304, para. 84);", "37. Managers participating in mediation require appropriate delegation of authority to reach an agreed settlement agreement (A/65/304, para. 85);", "38. The Organization should guarantee the payment of settlement amounts once an approved management has reached a settlement agreement (A/65/304, para. 85);", "39. The period for the management evaluation of a decision should be suspended while staff members seek informal dispute resolution (A/65/304, para. 87);", "Disciplinary proceedings", "40. Prioritization of proposed reforms in disciplinary matters (A/65/304, para. 94)", "(Signed) Kate O'Regan", "(Signed) Sinha Basnayake Ambassador Permanent Representative", "(Signed) Jenny Clift", "(Signed) Frank April", "(Signed) Jeffrey Robertson", "Annex", "Code of Conduct for the Judges of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal", "Preamble", "Whereas the Universal Declaration of Human Rights recognizes as a fundamental principle that everyone is entitled, in full equality, to a fair and public hearing by an independent and impartial tribunal in the determination of his or her rights and obligations,", "Considering that this right is recognized and elaborated in a number of important international human rights instruments, including the International Covenant on Civil and Political Rights,", "Whereas the General Assembly, in paragraph 4 of its resolution 61/261 of 4 April 2007, decided to establish a new, independent, transparent, professionalized, adequately resourced and decentralized system of administration of justice in accordance with the relevant rules of international law and the principles of the rule of law and due process to ensure respect for the rights and obligations of staff members and the accountability of managers and staff members alike,", "Considering that a fair resolution of employment claims would contribute to the efficient functioning of the United Nations and strengthen the integrity of the Organization;", "Considering that, in the context of the work of the United Nations, public confidence in the system of administration of justice and in the moral authority and impartiality of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal is essential,", "Bearing in mind the need for judges, individually and in general, to respect the judicial function as a matter of public trust and to strive to promote and maintain confidence in the system of administration of justice,", "Considering also that the United Nations Basic Principles on the Independence of the Judiciary are aimed at ensuring and enhancing the independence of the judiciary and providing guidance to the administration of justice,", "The following values and principles are adopted to establish standards of conduct for judges of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, to provide guidance to judges and to assist United Nations staff and managers in better understanding and supporting the work of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal within the United Nations:", "1. Independence", "(a) Judges must preserve the independence and integrity of the United Nations system of administration of justice and must perform their functions independently and without undue influence, inducement, pressure or intimidation from any party or party;", "(b) In order to protect the institutional independence of the Tribunal, judges must take all reasonable steps to ensure that no individual, party, institution or State interferes directly or indirectly with the work of the Tribunal;", "Impartiality", "(a) Judges must act in a courageous, impartial and unbiased manner in all matters before them;", "(b) Judges must ensure that their conduct at all times maintains the confidence of all in the impartiality of the Tribunal;", "(c) A judge must recuse himself or herself from a case if:", "(i) The existence of a conflict of interest or actual bias on the part of the judge;", "(ii) A judge has a conflict of interest or bias, based on the reasonable opinion of a duly informed person;", "(iii) The judge is personally aware of the disputed evidentiary facts relating to the proceedings;", "(d) A judge may not recuse himself or herself on substantive grounds. A judge must give reasons for his or her decision to recuse himself or herself;", "(e) The judge must disclose to the parties in a timely manner what is reasonably considered to have led to the application for disqualification in a particular matter;", "(f) A judge shall not participate in the decision of a case if any member of the judge ' s family is a litigant or represents a litigant or has a significant interest in the outcome of the case;", "(g) In order to determine whether a matter should be avoided, a judge must be aware of his or her personal financial interests and those of his or her role as trustee and, to the extent reasonably possible, should endeavour to know the financial interests of members of his or her immediate family;", "(h) (i) A judge shall not negotiate or accept, directly or indirectly, any remuneration, income, compensation, gift, favour or privilege that is incompatible with his or her judicial office or that can reasonably be considered a reward or that may affect his or her preference for a particular party;", "(ii) A judge may receive a token gift, decoration, reward or benefit, provided that it does not result in the circumstances described in subparagraph (i) that are incompatible with his or her judicial office or that can reasonably be considered;", "(i) A judge shall not engage in any financial, political or commercial transaction or activity, including fund-raising activities, that is inconsistent with or prejudicial to the independence and impartiality required by his or her status as a judge, as long as such transaction or activity may reasonably be considered to be the use by the judge of a judicial office or in any other manner incompatible with the judicial duties of the United Nations. If the judge is unable to determine whether or not an act violates this provision, the Chief Justice of the Tribunal may contact the President of the Internal Justice Council. The Council shall consider the matter and inform the judge concerned whether the proposed conduct is in conflict with this provision;", "3. Integrity", "(a) Judges must be of high moral character and act impartially, not only in the discharge of their duties but also at all times, and in accordance with the values and principles set forth in this Code;", "(b) Judges must comply with the laws of their country of residence, work or visit at all times, including while in non-performance of official duties;", "(c) A judge must inform the Chief Justice of the Tribunal if he or she is ill or if other circumstances may affect the performance of his or her duties;", "4. Propriety", "(a) Judges must demonstrate and promote high standards of judicial conduct in order to enhance confidence in the judicial integrity of the United Nations;", "(b) Except in the exercise of judicial office, judges shall not comment publicly on the merits of any case still pending before the Tribunal or make comments that may reasonably be expected to affect the outcome of the proceedings or to prejudice the apparent fairness of the proceedings;", "(c) Judges are bound by the obligation of professional confidentiality and shall keep confidential their deliberations between judges and confidential information obtained in the course of their duties;", "(d) Judges may enjoy freedom of expression, belief, association and assembly, unlike other citizens, provided that, in exercising these freedoms, judges take due account of the values and principles contained in this Code;", "(e) A judge shall not use or borrow the prestige of the judicial office to further the private interests of the judge, his or her family members or any other person, nor shall he or she give the impression that any person may unduly influence him or her;", "(f) Private relations between a judge and a staff member who is a party or legal representative, as well as other persons regularly present in the court presided over by the judge, must avoid situations that give rise to a reasonable fear of partiality or injustice;", "(g) Full-time judges of the United Nations Dispute Tribunal may not practise as lawyers, but may provide informal advice free of charge to family members, friends, charitable organizations and similar institutions;", "(h) The judges shall make their best efforts to promote joint cooperation between the Tribunal. To that end, judges must be polite and respect the dignity of others, including the staff of the Tribunal;", "(i) Judges may form or join associations of judges;", "(j) Subject to the proper and effective discharge of their judicial duties, judges may participate in any lawful activity, provided that it does not damage the reputation of the United Nations judicial office in the eyes of reasonable members of society;", "5. Transparency", "Judges must be guided by the principle of public access to justice, that is to say, that justice must be seen to be done and that reasonable steps must be taken to ensure that the courts follow this principle in their handling of cases;", "6. Fairness of proceedings", "(a) The judge must resolve the dispute by reaching a factual conclusion in a fair proceeding and applying the appropriate law. This includes the following responsibilities:", "(i) Respect for the rules of the “hearing of the other” (audi alteram partem), both in letter and in spirit;", "(ii) Maintain clear impartiality;", "(iii) Publication of the reasons for the award;", "(b) Judges must not act on the basis of racial, gender or other discrimination; they must uphold and respect the principles enshrined in the Charter of the United Nations, the Universal Declaration of Human Rights and the International Covenant on Civil and Political Rights. Judges shall not unfairly discriminate against any individual or group of individuals by words or acts, or abuse the powers and powers vested in them;", "(c) Judges shall not permit court staff, legal representatives appearing before the Tribunal or other persons under the authority or control of the judge to act in a manner that is discriminatory on the basis of race, sex or other discrimination;", "(d) Judges have an obligation to protect witnesses and parties from harassment and bullying in court proceedings;", "(e) Judges must treat legal representatives, parties, witnesses, court staff, other judges and the general public with courtesy in the conduct of judicial proceedings and require that such persons be courteous;", "(f) A judge must maintain order in court proceedings and, if necessary, may expel from the proceedings any person who disturbs or threatens to disturb the judicial order;", "7. Competency and due diligence", "(a) Judges shall endeavour to perform all judicial functions assigned to them, including those relating to the judicial office or the functioning of the Tribunal, and shall conduct their judicial work in an efficient and professional manner and in a timely manner;", "(b) Judges must decide or rule on cases in a timely manner. A judge shall render a decision within three months of the conclusion of the hearing or of the written statement, unless exceptional circumstances so warrant, and a judge of the United Nations Appeals Tribunal shall render a decision within three months of the end of the sitting in the case;", "(c) Judges must cooperate with a formal investigation into the conduct of their duties;", "(d) Judges shall not engage in acts detrimental to the effective and expeditious conduct of justice or the work of the Tribunal;", "(e) While engaged in judicial work, a judge must appear before the Chamber during his or her normal working hours, at the decision of the members of the Tribunal, and attend hearings and deliberations of the Tribunal within a specified time, unless the judge has sufficient cause. If they are unable to attend, the judge must notify the Chief Justice of the Tribunal in advance. The approval of the Chief Justice of the Tribunal is required if a judge is to be absent for more than three days;", "(f) Judges must respect and comply with the reasonable administrative requirements of the Chief Justice of the Tribunal in which they are present;", "(g) Judges must take reasonable steps to maintain the necessary level of professional competence and be aware of relevant trends in international administrative and employment law and international human rights norms;", "(h) Judges ' judicial duties take precedence over other duties and activities.", "[1] Statistics for June 2011 were not available at the time of writing. The number of new cases should be added to the 290 cases still outstanding as at 30 June 2010.", "[2] A more detailed description of the operations of the Office is contained in document A/65/304, para. 53.", "[3] See also A/65/304, para. 57, which makes this recommendation and provides more detailed information.", "[4] For details on the need for outreach and training, see A/65/304, para. 60.", "[5] In paragraph 56 of its resolution 65/251, the General Assembly decided to revert to the issue of the mandate and functioning of the Office at its sixty-sixth session.", "[6] The Internal Justice Council was informed that for the Office of Legal Assistance, “cases” refer to any provision of assistance or formal assignment of counsel in the formal system of justice (management evaluation unit, Dispute Tribunal or Appeals Tribunal); provision of legal guidance and summary legal advice; and assistance to staff in the informal resolution of disputes, which may require consultation with staff, discussion and negotiation with third parties or referral of cases to other actors within the system, including the United Nations Ombudsman or the Staff Union.", "[7] The Chief of the Legal Aid Office (New York) is at the P-5 level. The level of the Legal Officer in the Office is relatively low compared to the level of the Legal Officer who advises management (P-5, D-1, D-2). See also A/65/304, para. 69, footnote 20.", "Staff regulation 11.2 (a) states: “A staff member who wishes to formally contest an administrative decision in accordance with staff regulation 11.1 (a) and who claims that his terms of appointment or contract of employment includes all pertinent regulations and rules have not been complied with shall first submit in writing to the Secretary-General for management evaluation of the administrative decision” [emphasis added]. Staff regulation 11.2 (b) provides that: “A staff member who wishes to formally contest an administrative decision made by the Secretary-General on the basis of an advisory opinion of a technical body or a decision taken at Headquarters in New York to impose a disciplinary or non-disciplinary measure following the conclusion of disciplinary proceedings shall not be required to request a management evaluation” [emphasis added].", "[9] Applicants must submit an application within 90 calendar days of receiving a response to their application. If no response is received, the applicant must submit the application within 90 days of the expiration of the response period for submission of the management assessment (see article 8, paragraph 1 (d) (i) (i) and (ii), of the statute of the Dispute Tribunal).", "[10] Following the submission of the dispute to the management evaluation, the response period is 30 and 45 calendar days for disputes involving Headquarters and other offices, respectively (see article 8, paragraph 1 (d) (i) (ii), of the statute of the Dispute Tribunal).", "The Secretary-General, however, provides in staff rule 11.2 (d): “The Secretary-General may extend the period of [responding to management evaluation] pending efforts by the Office of the Ombudsman for informal resolution under conditions established by the Secretary-General”." ]

[ "2011年7月19日大会决议", "[未经发交主要委员会而通过(A/65/L.86和Add.1)]", "65/309. 幸福：走全面发展之路", "大会，", "铭记《联合国宪章》规定的联合国的宗旨和原则，其中包括促进各国人民的经济发展和社会进步，", "意识到追求幸福是人的一项基本目标，", "认识到幸福作为普世目标和愿望，体现了千年发展目标的精神，", "确认国内生产总值指标本质上并非旨在反映、亦不能充分反映一国人民的幸福和福祉，", "意识到不可持续的生产和消费形态会阻碍可持续发展，确认需要采取更包容、公平和平衡的经济增长方式，以促进人民的可持续发展、消除贫穷举措、幸福和福祉，", "承认需要促进可持续发展并实现千年发展目标，", "1. 邀请各会员国进一步制定能更好地体现追求幸福和福祉在发展中的重要性的措施，以指导其公共政策；", "2. 邀请那些已主动制定新的指标和采取其他主动行动的会员国向秘书长通报有关情况，以此为包括千年发展目标在内的联合国发展议程做出贡献；", "3. 欢迎不丹提议在大会第六十六届会议期间召开一次以幸福和福祉为主题的小组讨论会；", "4. 邀请秘书长征求会员国及有关区域和国际组织对追求幸福和福祉的意见，并向大会第六十七届会议通报这些意见以便进一步审议。", "2011年7月19日", "第109次全体会议" ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[without reference to a Main Committee (A/65/L.86 and Add.1)]", "65/309. Happiness: towards a holistic approach to development", "The General Assembly,", "Bearing in mind the purposes and principles of the United Nations, as set forth in the Charter of the United Nations, which include the promotion of the economic advancement and social progress of all peoples,", "Conscious that the pursuit of happiness is a fundamental human goal,", "Cognizant that happiness as a universal goal and aspiration embodies the spirit of the Millennium Development Goals,", "Recognizing that the gross domestic product indicator by nature was not designed to and does not adequately reflect the happiness and well-being of people in a country,", "Conscious that unsustainable patterns of production and consumption can impede sustainable development, and recognizing the need for a more inclusive, equitable and balanced approach to economic growth that promotes sustainable development, poverty eradication, happiness and well-being of all peoples,", "Acknowledging the need to promote sustainable development and achieve the Millennium Development Goals,", "1. Invites Member States to pursue the elaboration of additional measures that better capture the importance of the pursuit of happiness and well-being in development with a view to guiding their public policies;", "2. Invites those Member States that have taken initiatives to develop new indicators, and other initiatives, to share information thereon with the Secretary‑General as a contribution to the United Nations development agenda, including the Millennium Development Goals;", "3. Welcomes the offer of Bhutan to convene during the sixty-sixth session of the General Assembly a panel discussion on the theme of happiness and well-being;", "4. Invites the Secretary-General to seek the views of Member States and relevant regional and international organizations on the pursuit of happiness and well-being and to communicate such views to the General Assembly at its sixty‑seventh session for further consideration.", "109th plenary meeting 19 July 2011" ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[without reference to a Main Committee (A/65/L.86 and Add.1)]", "65/309. Happiness: towards a holistic approach to development", "The General Assembly,", "Bearing in mind the purposes and principles of the United Nations as set forth in the Charter of the United Nations, including the promotion of economic development and social progress for all peoples,", "Aware that the pursuit of happiness is a fundamental human goal,", "Recognizing that happiness as a universal goal and aspiration embodies the spirit of the Millennium Development Goals,", "Recognizing that gross domestic product indicators are not inherently intended to reflect or adequately reflect the well-being and well-being of a people,", "Aware that unsustainable patterns of production and consumption impede sustainable development, and recognizing that a more inclusive, equitable and balanced approach to economic growth is required to promote sustainable development, poverty eradication initiatives, well-being and well-being of people,", "Recognizing the need to promote sustainable development and achieve the Millennium Development Goals,", "1. Invites Member States to further develop measures that better reflect the importance of the pursuit of happiness and well-being in development in order to guide their public policies;", "2. Invites Member States that have taken the initiative to develop new indicators and other initiatives to inform the Secretary-General as a contribution to the United Nations development agenda, including the Millennium Development Goals;", "3. Welcomes the proposal of Bhutan to convene a panel discussion on the theme of happiness and well-being during the sixty-sixth session of the General Assembly;", "4. Invites the Secretary-General to seek the views of Member States and relevant regional and international organizations on the pursuit of happiness and well-being and to communicate those views to the General Assembly at its sixty-seventh session for further consideration.", "19 July 2011", "109th plenary meeting" ]

[ "2011年7月19日大会决议", "[根据特别政治和非殖民化委员会（第四委员会）的报告(A/65/424/Add.1)通过]", "65/310. 整个维持和平行动问题所有方面的全盘审查", "大会，", "回顾其1965年2月18日第2006(XIX)号决议和所有其他有关决议，", "特别回顾其2010年5月21日第64/266号决议，", "申明联合国在和平解决争端方面的努力，包括通过其维持和平行动所作出的努力，是不可或缺的，", "深信联合国需要继续提高在维持和平领域的能力，并加强其维持和平行动的部署工作的效力和效率，", "考虑到联合国所有会员国对维持和平作出的贡献，", "注意到会员国、特别是军警派遣国都表示有意对维持和平行动特别委员会的工作作出贡献，", "铭记继续有必要保持特别委员会工作的效率并加强其效力，", "1. 欢迎维持和平行动特别委员会的报告；[1]", "2. 认可特别委员会的报告第15至278段所载提议、建议和结论；", "3. 促请各会员国、秘书处和联合国有关机关采取一切必要步骤，执行特别委员会的提议、建议和结论；", "4. 重申今后为联合国维持和平行动派遣人员或今后连续三年作为观察员参加特别委员会的会员国，在向特别委员会主席提交书面请求后，即可在特别委员会下届会议成为成员；", "5. 决定特别委员会应根据其任务规定继续努力全盘审查整个维持和平行动问题的所有方面，并应审查其以前各项提议的执行情况和审议任何新的提议，以提高联合国在此领域履行职责的能力；", "6. 请特别委员会向大会第六十六届会议提交工作报告；", "7. 决定将题为“整个维持和平行动问题所有方面的全盘审查”的项目列入大会第六十六届会议临时议程。", "2011年7月19日", "第109次全体会议", "[1] 《大会正式记录，第六十五届会议，补编第19号》(A/65/19)。" ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[on the report of the Special Political and Decolonization Committee (Fourth Committee) (A/65/424/Add.1)]", "65/310. Comprehensive review of the whole question of peacekeeping operations in all their aspects", "The General Assembly,", "Recalling its resolution 2006 (XIX) of 18 February 1965 and all other relevant resolutions,", "Recalling in particular its resolution 64/266 of 21 May 2010,", "Affirming that the efforts of the United Nations in the peaceful settlement of disputes, including through its peacekeeping operations, are indispensable,", "Convinced of the need for the United Nations to continue to improve its capabilities in the field of peacekeeping and to enhance the effective and efficient deployment of its peacekeeping operations,", "Considering the contribution that all States Members of the United Nations make to peacekeeping,", "Noting the widespread interest in contributing to the work of the Special Committee on Peacekeeping Operations expressed by Member States, in particular troop- and police-contributing countries,", "Bearing in mind the continuous necessity of preserving the efficiency and strengthening the effectiveness of the work of the Special Committee,", "1. Welcomes the report of the Special Committee on Peacekeeping Operations;[1]", "2. Endorses the proposals, recommendations and conclusions of the Special Committee, contained in paragraphs 15 to 278 of its report;", "3. Urges Member States, the Secretariat and relevant organs of the United Nations to take all steps necessary to implement the proposals, recommendations and conclusions of the Special Committee;", "4. Reiterates that those Member States that become personnel contributors to the United Nations peacekeeping operations in years to come or participate in the future in the Special Committee for three consecutive years as observers shall, upon request in writing to the Chair of the Special Committee, become members at the following session of the Special Committee;", "5. Decides that the Special Committee, in accordance with its mandate, shall continue its efforts for a comprehensive review of the whole question of peacekeeping operations in all their aspects and shall review the implementation of its previous proposals and consider any new proposals so as to enhance the capacity of the United Nations to fulfil its responsibilities in this field;", "6. Requests the Special Committee to submit a report on its work to the General Assembly at its sixty-sixth session;", "7. Decides to include in the provisional agenda of its sixty-sixth session the item entitled “Comprehensive review of the whole question of peacekeeping operations in all their aspects”.", "109th plenary meeting 19 July 2011", "[1]  Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 19 (A/65/19)." ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[on the report of the Special Political and Decolonization Committee (Fourth Committee) (A/65/424/Add.1)]", "65/310. Comprehensive review of the whole question of peacekeeping operations in all their aspects", "The General Assembly,", "Recalling its resolution 2006 (XIX) of 18 February 1965 and all other relevant resolutions,", "Recalling in particular its resolution 64/266 of 21 May 2010,", "Affirming that the efforts of the United Nations in the peaceful settlement of disputes, including through its peacekeeping operations, are indispensable,", "Convinced of the need for the United Nations to continue to improve its capabilities in the field of peacekeeping and to enhance the effective and efficient deployment of its peacekeeping operations,", "Considering the contribution that all States Members of the United Nations make to peacekeeping,", "Noting the expressed interest in contributing to the work of the Special Committee on Peacekeeping Operations expressed by Member States, in particular troop- and police-contributing countries,", "Bearing in mind the continuous necessity of preserving the efficiency and strengthening the effectiveness of the work of the Special Committee,", "1. Welcomes the report of the Special Committee on Peacekeeping Operations; [1]", "Endorses the proposals, recommendations and conclusions of the Special Committee, contained in paragraphs 15 to 278 of its report;", "Urges Member States, the Secretariat and relevant organs of the United Nations to take all necessary steps to implement the proposals, recommendations and conclusions of the Special Committee;", "Reiterates that those Member States that become personnel contributors to the United Nations peacekeeping operations in years to come or participate in the future in the Special Committee for three consecutive years as observers shall, upon request in writing to the Chairman of the Special Committee, become members at the following session of the Special Committee;", "5. Decides that the Special Committee, in accordance with its mandate, shall continue its efforts for a comprehensive review of the whole question of peacekeeping operations in all their aspects and shall review the implementation of its previous proposals and consider any new proposals so as to enhance the capacity of the United Nations to fulfil its responsibilities in this field;", "6. Requests the Special Committee to submit a report on its work to the General Assembly at its sixty-sixth session;", "Decides to include in the provisional agenda of its sixty-sixth session the item entitled “Comprehensive review of the whole question of peacekeeping operations in all their aspects”.", "19 July 2011", "109th plenary meeting", "[1] Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 19 (A/65/19)." ]

[ "2011年7月19日大会决议", "[未经发交主要委员会而通过(A/65/L.85和Add.1)]", "65/311. 使用多种语文", "大会，", "确认联合国力求使用多种语文，以此在全球促进、保护和保存语文和文化的多样性，", "又确认切实使用多种语文有助于在多样之中求统一，促进国际了解，并确认能够用世界人民自己的语言，包括用残疾人可以采用的方式，同他们进行沟通非常重要，", "强调必须严格遵守为联合国不同机构和机关规定语文安排的各项决议和规则，", "强调指出在联合国的活动包括与公共关系和新闻有关的活动中使用多种语文的重要性，", "回顾其通过《在民族或族裔、宗教和语言上属于少数群体的人的权利宣言》的1992年12月18日第47/135号决议，以及《公民及政治权利国际公约》，[1] 特别是其中关于在族裔、宗教或语言上属于少数群体的人的权利的第二十七条，", "又回顾1946年2月1日第2(I)号、1968年12月21日第2480 B(XXIII)号、1987年12月11日第42/207 C号、1995年11月2日第50/11号、1997年11月25日第52/23号、1999年12月6日第54/64号、2002年2月15日第56/262 号、2005年6月22日第59/309 号、2009年9月9日第63/306号、2010年5月21日第64/266号、2010年12月10日第65/107 B号、2010年12月24日第65/245号和2010年12月24日第65/247号决议，", "1. 表示注意到秘书长的报告；[2]", "2. 吁请秘书长继续加强非正式的协调机构网络，以便支持他的活动；", "3. 强调联合国六种正式语文享有平等地位至关重要；", "4. 着重指出必须充分执行为联合国正式语文和秘书处工作语文规定语文安排的各项决议；", "5. 请秘书长确保对所有语文服务部门一视同仁，提供同等有利的工作条件和资源，以期在充分尊重六种正式语文各自特点的情况下，尽可能提高语文服务的质量，因此回顾大会1999年12月23日第54/248号决议D节第11段；", "6. 再次请秘书长优先完成把所有六种正式语文的联合国所有重要旧文件上载到联合国网站的工作，以便会员国也能通过这一媒介取得这些档案资料；", "7. 再次申明秘书处提供网站内容的部门都应继续努力，以最切实际、最有效率、最具成本效益的方式把联合国网站上登载的所有英文材料和数据库翻译成所有正式语文；", "8. 请秘书长继续在会议管理工作中，通过提供文件服务和会议与出版服务，包括提供高质量的笔译和口译服务，确保联合国各政府间机构中的会员国代表和专家机构的成员平等地使用联合国所有正式语文，有效地用多种语文进行沟通；", "9. 强调尽可能以受惠国当地语文提供联合国信息、技术援助和培训材料的重要性；", "10. 承认秘书长根据大会各项决议为解决替换退休的语文部门工作人员问题所采取的措施，请秘书长保持并加大这些努力，包括加强与语言专家培训机构的合作，以便满足联合国对六种正式语文的需求；", "11. 满意地注意到秘书处愿意鼓励工作人员在有口译服务的会议上，使用六种正式语文中他们所掌握的任何一种语文；", "12. 再次申明请秘书长确保依照大会2000年12月23日第55/222号决议第三节第5段，在以印本分发会议文件以及在正式文件系统和联合国网站张贴会议文件方面，以所有正式语文同时分发文件的规则得到遵守；", "13. 强调指出以下两点的重要性：", "(a) 在秘书处新闻部的所有活动中适当使用联合国的所有正式语文，以消除英文与其他五种正式语文在使用上的不平等；", "(b) 确保在新闻部的所有活动中，联合国的所有正式语文都受到一视同仁的对待；", "并在这方面重申请秘书长确保新闻部具有适当的、涵盖联合国所有正式语文的工作人员配备能力，以开展其所有各种活动；", "14. 请秘书长继续努力，确保按照其创收性质始终提供联合国总部导游，特别是以联合国所有六种正式语文提供导游；", "15. 鼓励秘书长加强努力，在现有的资源范围内发展和维持联合国多种语文网站，包括努力对秘书长网页以联合国所有正式语文进行更新；", "16. 重申必须在联合国网站上实现六种正式语文的完全同等使用；", "17. 又重申，对会员国、媒体、教育机构、一般公众和非政府组织来说，联合国网站是一个重要的工具，并再次申明新闻部仍然需要努力维护和改进这一网站；", "18. 还重申请秘书长在确保网站提供最新和准确的信息的同时，在充分尊重六种正式语文各自特点的情况下，将新闻部内部拨给联合国网站的资金和人力资源在所有正式语文之间适当分配；", "19. 关切地注意到，在以多种语文发展和丰富联合国网站的工作中，若干语文的进展比预期要缓慢得多，为此请新闻部与提供网站内容的部门协调，采取更好的行动以实现在联合国网站上同等使用六种正式语文，特别是加快填补一些科股当前的空缺；", "20. 请新闻部同秘书处信息和通信技术厅合作，继续努力确保技术基础设施和辅助应用程序完全支持拉丁、非拉丁和双向书写文字，以便做到所有正式语文在联合国网站上更加平等；", "21. 欢迎新闻部为增加某些正式语文的网页数量与学术机构做出合作安排，并请秘书长与提供网站内容的部门协调，以最具成本效益的方式把这些合作安排扩大到联合国的所有正式语文，同时铭记必须遵守联合国的标准和准则；", "22. 敦促秘书处使用其两种工作语文不断更新iSeek，继续努力在所有工作地点采用iSeek，制订和执行不会增加费用的措施，以便会员国能够安全地获得目前只能通过秘书处内联网得到的信息；", "23. 赞赏地注意到联合国各新闻中心，包括联合国各区域新闻中心开展工作，用联合国正式语文以外的其他语文印发联合国新闻材料和翻译重要文件，以便让尽可能多的人能够得到这些材料和文件，把联合国的信息传播到世界每个角落，推动国际社会进一步支持联合国的活动；鼓励联合国各新闻中心继续使用多种语文进行其交流互动和主动积极的工作，尤其是安排讨论会和辩论，以便在地方一级进一步传播有关联合国活动的信息，增进了解和意见交流；", "24. 回顾其第65/247号决议，特别是其中第26和54(f)段，大会在决议中重申要尊重秘书处两种工作语文的平等；重申要按照规定在特定工作地点使用其他工作语文，为此请秘书长确保在空缺通知中指明需要掌握秘书处两种工作语文中的任何一种，除非该员额的职责需要特定的工作语文；", "25. 又回顾大会在其2006年12月22日第61/244号决议第二节第17段中确认，联合国在外地与当地民众进行交流至关重要，语文技能是人员甄选和培训工作的一个重要因素，并因此申明，在开展这些工作时，应将熟练掌握驻地国的官方语文作为一个额外优势加以考虑；", "26. 回顾大会在其第64/266号决议中认可了维持和平行动特别委员会的提议、建议和结论；[3]", "27. 表示注意到秘书长的报告² 第二.D.1节，请秘书长继续他在这方面正在进行的努力，并在不妨碍《联合国宪章》第一百零一条的前提下进一步回顾大会第64/266号决议；", "28. 敦促秘书处在现有资源范围内把所有维持和平培训文件翻译成联合国六种正式语文，以确保所有会员国都能使用这些文件；", "29. 强调应继续严格按照《宪章》第一百零一条并根据大会各项决议的相关规定雇用工作人员；", "30. 邀请秘书长确保遵守联合国工作人员应有能力使用秘书处一种工作语文的要求，鼓励秘书长进一步执行第2480B(XXIII)号决议；", "31. 又邀请秘书长采取适当措施，在为雇用联合国工作人员组成面试小组时考虑到空缺通知中提到的特定语言要求；", "32. 强调专业及以上职类工作人员的晋升应严格按照《宪章》第一百零一条进行，并须符合第2480B(XXIII)号决议的规定和2001年6月14日第55/258号决议的相关规定；", "33. 鼓励联合国工作人员继续积极利用现有的培训设施，掌握一种或多种联合国正式语文，并提高其熟练程度；", "34. 感兴趣地注意到秘书处采取不增加费用的举措，使用几种语文制作出版物，增加已翻译的出版物数量和鼓励联合国图书馆采取多语文采购政策，并请秘书处继续这些举措；", "35. 重申语言多样性是文化多样性的一个重要因素，强调全面有效执行2007年3月18日生效的《保护和促进文化表现形式多样性公约》[4] 十分重要，并回顾2003年10月15日《关于促进和使用多种语文和普及进入网络空间的建议》；[5]", "36. 欣见联合国教育、科学及文化组织、会员国、联合国系统各实体和其他所有参与机构开展活动，促进尊重、弘扬和保护所有语文(尤其是濒危语文)、语言多样性和使用多种语文；", "37. 请秘书长向大会第六十七届会议提交一份综合报告，说明充分执行大会有关使用多种语文的各项决议的情况；", "38. 决定将题为“使用多种语文”的项目列入大会第六十七届会议临时议程。", "2011年7月19日", "第109次全体会议", "[1] * 由于技术原因于2011年12月22日重新印发。", "见第2200 A(XXI)号决议，附件。", "[2] A/65/488。", "[3] 《大会正式记录，第六十四届会议，补编第19号》(A/64/19)。", "[4] 联合国教育、科学及文化组织，《大会记录，第三十三届会议，2005年10月3日至21日，巴黎》，第一卷和更正：《决议》，第五章，决议41。", "[5] 联合国教育、科学及文化组织，《大会记录，第三十二届会议，2003年9月29日至10月17日，巴黎》，第一卷：《决议》，第四章，建议41。" ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[without reference to a Main Committee (A/65/L.85 and Add.1)]", "65/311. Multilingualism", "The General Assembly,", "Recognizing that the United Nations pursues multilingualism as a means of promoting, protecting and preserving diversity of languages and cultures globally,", "Recognizing also that genuine multilingualism promotes unity in diversity and international understanding, and recognizing the importance of the capacity to communicate to the peoples of the world in their own languages, including in formats accessible to persons with disabilities,", "Stressing the need for strict observance of the resolutions and rules establishing language arrangements for the different bodies and organs of the United Nations,", "Emphasizing the importance of multilingualism in the activities of the United Nations, including those linked to public relations and information,", "Recalling its resolution 47/135 of 18 December 1992, by which it adopted the Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities, and the International Covenant on Civil and Political Rights,[1] in particular article 27 thereof, concerning the rights of persons belonging to ethnic, religious or linguistic minorities,", "Recalling also its resolutions 2 (I) of 1 February 1946, 2480 B (XXIII) of 21 December 1968, 42/207 C of 11 December 1987, 50/11 of 2 November 1995, 52/23 of 25 November 1997, 54/64 of 6 December 1999, 56/262 of 15 February 2002, 59/309 of 22 June 2005, 63/306 of 9 September 2009, 64/266 of 21 May 2010, 65/107 B of 10 December 2010, 65/245 of 24 December 2010 and 65/247 of 24 December 2010,", "1. Takes note of the report of the Secretary-General;[2]", "2. Calls upon the Secretary-General to continue to develop the informal network of focal points in order to support his activities;", "3. Emphasizes the paramount importance of the equality of the six official languages of the United Nations;", "4. Underlines the need for full implementation of the resolutions establishing language arrangements for the official languages of the United Nations and the working languages of the Secretariat;", "5. Requests the Secretary-General to ensure that all language services are given equal treatment and are provided with equally favourable working conditions and resources, with a view to achieving maximum quality of those services, with full respect for the specificities of the six official languages, and in that regard recalls section D, paragraph 11, of its resolution 54/248 of 23 December 1999;", "6. Reiterates its request to the Secretary-General to complete the task of uploading all important older United Nations documents onto the United Nations website in all six official languages on a priority basis, so that those archives are also available to Member States through that medium;", "7. Reiterates that all content-providing offices in the Secretariat should continue their efforts to translate into all official languages all English-language materials and databases posted on the United Nations website in the most practical, efficient and cost-effective manner;", "8. Requests the Secretary-General to continue to ensure, through the provision of documentation services and meeting and publishing services under conference management, including high-quality translation and interpretation, effective multilingual communication among representatives of Member States in intergovernmental organs and members of expert bodies of the United Nations equally in all the official languages of the United Nations;", "9. Stresses the importance of providing United Nations information, technical assistance and training materials, whenever possible, in the local languages of the beneficiary countries;", "10. Acknowledges the measures undertaken by the Secretary-General, in accordance with its resolutions, to address the issue of the replacement of retiring staff in the language services, and requests the Secretary-General to maintain and intensify those efforts, including through the strengthening of cooperation with institutions that train language specialists to meet the need in the six official languages of the United Nations;", "11. Notes with satisfaction the willingness of the Secretariat to encourage staff members, in meetings with interpretation services, to use any of the six official languages of which they have a command;", "12. Reiterates its request to the Secretary-General to ensure that the rules concerning the simultaneous distribution of documents in all six official languages are strictly respected as regards both the distribution of printed copies and the posting of parliamentary documentation on the Official Document System and the United Nations website, in keeping with section III, paragraph 5, of its resolution 55/222 of 23 December 2000;", "13. Emphasizes the importance of:", "(a) Making appropriate use of all the official languages of the United Nations in all the activities of the Department of Public Information of the Secretariat, with the aim of eliminating the disparity between the use of English and the use of the five other official languages;", "(b) Ensuring the full and equitable treatment of all the official languages of the United Nations in all the activities of the Department of Public Information;", "and, in this regard, reaffirms its request to the Secretary-General to ensure that the Department has appropriate staffing capacity in all the official languages of the United Nations to undertake all its activities;", "14. Requests the Secretary-General to continue his efforts to ensure that, in accordance with their income-generating nature, guided tours at United Nations Headquarters are consistently available, in particular, in all six official languages of the United Nations;", "15. Encourages the Secretary-General to strengthen his efforts to develop and maintain multilingual United Nations websites, from within existing resources, including efforts to keep the Secretary-General’s web page up to date in all the official languages of the United Nations;", "16. Reaffirms the need to achieve full parity among the six official languages on United Nations websites;", "17. Also reaffirms that the United Nations website is an essential tool for Member States, the media, educational institutions, the general public and non-governmental organizations, and reiterates the continued need for efforts by the Department of Public Information to maintain and improve it;", "18. Further reaffirms its request to the Secretary-General to ensure, while maintaining an up-to-date and accurate website, the adequate distribution of financial and human resources within the Department of Public Information allocated to the United Nations website among all official languages, with full respect for the specificities of the six official languages;", "19. Notes with concern that the multilingual development and enrichment of the United Nations website in several official languages has improved at a much slower rate than expected, and in this regard requests the Department of Public Information, in coordination with content-providing offices, to improve the actions taken to achieve parity among the six official languages on the United Nations website, in particular by expediting the filling of current vacant posts in some sections;", "20. Requests the Department of Public Information, in cooperation with the Office of Information and Communications Technology of the Secretariat, to continue its efforts to ensure that technological infrastructures and supportive applications fully support Latin, non-Latin and bidirectional scripts in order to enhance the equality of all official languages on the United Nations website;", "21. Welcomes the cooperative arrangements undertaken by the Department of Public Information with academic institutions in order to increase the number of web pages available in some official languages, and requests the Secretary-General, in coordination with content-providing offices, to extend these cooperative arrangements, in a cost-effective manner, to all the official languages of the United Nations, bearing in mind the necessity of adherence to United Nations standards and guidelines;", "22. Urges the Secretariat to keep iSeek up to date in the two working languages of the Secretariat, to continue its efforts to implement iSeek at all duty stations and to develop and implement cost-neutral measures to provide Member States with secure access to the information currently accessible only on the Intranet of the Secretariat;", "23. Notes with appreciation the work carried out by the United Nations information centres, including the United Nations Regional Information Centre, in favour of the publication of United Nations information materials and the translation of important documents into languages other than the official languages of the United Nations, with a view to reaching the widest possible audience and extending the United Nations message to all corners of the world in order to strengthen international support for the activities of the Organization, and encourages United Nations information centres to continue their multilingual activities in the interactive and proactive aspects of their work, especially by arranging seminars and debates to further the spread of information and the understanding and exchange of views regarding United Nations activities at the local level;", "24. Recalls its resolution 65/247, in particular paragraphs 26 and 54 (f) thereof, in which it reaffirmed the need to respect the equality of the two working languages of the Secretariat, reaffirmed the use of additional working languages in specific duty stations, as mandated, and, in that regard, requested the Secretary-General to ensure that vacancy announcements specified the need for either of the working languages of the Secretariat, unless the functions of the post required a specific working language;", "25. Also recalls section II, paragraph 17, of its resolution 61/244 of 22 December 2006, in which it acknowledged that the interaction of the United Nations with the local population in the field was essential and that language skills constituted an important element of the selection and training processes and therefore affirmed that a good command of the official language(s) spoken in the country of residence should be taken into account as an additional asset during those processes;", "26. Further recalls its resolution 64/266, in which it endorsed the proposals, recommendations and conclusions of the Special Committee on Peacekeeping Operations;[3]", "27. Takes note of section II.D.1 of the report of the Secretary-General,² requests the Secretary-General to continue his ongoing efforts in this regard, and further recalls its resolution 64/266 without prejudice to Article 101 of the Charter of the United Nations;", "28. Urges the Secretariat to translate all peacekeeping training documents into the six official languages of the United Nations, within existing resources, to ensure that all Member States can use them;", "29. Stresses that the employment of staff shall continue to be carried out in strict accordance with Article 101 of the Charter and in line with the relevant provisions of General Assembly resolutions;", "30. Invites the Secretary-General to ensure compliance with the requirement for United Nations staff to have the ability to use one of the working languages of the Secretariat, and encourages the Secretary-General to further implement resolution 2480 B (XXIII);", "31. Also invites the Secretary-General to take the appropriate measures to consider the linguistic specificities mentioned in vacancy announcements during the composition of interview panels for the employment of United Nations staff;", "32. Stresses that the promotion of staff in the Professional and higher categories shall be carried out in strict accordance with Article 101 of the Charter and in line with the provisions of resolution 2480 B (XXIII) and the relevant provisions of resolution 55/258 of 14 June 2001;", "33. Encourages United Nations staff members to continue actively to use existing training facilities to acquire and enhance their proficiency in one or more of the official languages of the United Nations;", "34. Notes with interest the cost-neutral initiatives of the Secretariat to produce publications in several languages, increase the volume of translated publications and encourage a multilingual acquisition policy for the libraries of the United Nations, and requests the Secretariat to continue those initiatives;", "35. Reaffirms that linguistic diversity is an important element of cultural diversity, stresses the importance of the full and effective implementation of the Convention on the Protection and Promotion of the Diversity of Cultural Expressions,[4] which entered into force on 18 March 2007, and recalls the Recommendation concerning the Promotion and Use of Multilingualism and Universal Access to Cyberspace of 15 October 2003;[5]", "36. Welcomes the activities of the United Nations Educational, Scientific and Cultural Organization, Member States, the entities of the United Nations system and all other participating bodies aimed at fostering respect for and the promotion and protection of all languages, in particular endangered ones, linguistic diversity and multilingualism;", "37. Requests the Secretary-General to submit to the General Assembly at its sixty-seventh session a comprehensive report on the full implementation of its resolutions on multilingualism;", "38. Decides to include in the provisional agenda of its sixty-seventh session the item entitled “Multilingualism”.", "109th plenary meeting 19 July 2011", "[1]  See resolution 2200 A (XXI), annex.", "[2]  A/65/488.", "[3]  See Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 19 (A/64/19).", "[4]  United Nations Educational, Scientific and Cultural Organization, Records of the General Conference, Thirty-third Session, Paris, 3–21 October 2005, vol. 1 and corrigenda: Resolutions, chap. V, resolution 41.", "[5]  United Nations Educational, Scientific and Cultural Organization, Records of the General Conference, Thirty-second Session, Paris, 29 September–17 October 2003, vol. 1: Resolutions, chap. IV, recommendation 41." ]

[ "Resolution adopted by the General Assembly on 19 July 2011", "[without reference to a Main Committee (A/65/L.85 and Add.1)]", "65/311. Multilingualism", "The General Assembly,", "Recognizing that the United Nations pursues multilingualism as a means of promoting, protecting and preserving diversity of languages and cultures globally,", "Recognizing also that effective multilingualism contributes to unity in diversity and promotes international understanding, and recognizing the importance of being able to communicate with the peoples of the world in their own languages, including in formats accessible to persons with disabilities,", "Stressing the need for strict compliance with the resolutions and rules establishing language arrangements for the different organs and organs of the United Nations,", "Stressing the importance of multilingualism in the activities of the United Nations, including those related to public relations and public information,", "Recalling its resolution 47/135 of 18 December 1992, by which it adopted the Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities, and the International Covenant on Civil and Political Rights, in particular article 27 thereof, concerning the rights of persons belonging to ethnic, religious or linguistic minorities,", "Recalling also its resolutions 2 (I) of 1 February 1946, 2480 B (XXIII) of 21 December 1968, 42/207 C of 11 December 1987, 50/11 of 2 November 1995, 52/23 of 25 November 1997, 54/64 of 6 December 1999, 56/262 of 15 February 2002, 59/309 of 22 June 2005, 63/306 of 9 September 2009, 64/266 of 21 May 2010, 65/107 B of 10 December 2010, 65/245 of 24 December 2010 and 65/247 of 24 December 2010,", "1. Takes note of the report of the Secretary-General;[2]", "2. Calls upon the Secretary-General to continue to strengthen the informal network of coordinating bodies in order to support his activities;", "3. Emphasizes the paramount importance of the equality of the six official languages of the United Nations;", "Stresses the importance of the full implementation of the resolutions establishing language arrangements for the official languages of the United Nations and the working languages of the Secretariat;", "Requests the Secretary-General to ensure that all language services are given equal treatment and are provided with equally favourable working conditions and resources, with a view to achieving maximum quality of those services, with full respect for the specificities of the six official languages, and therefore recalls section D, paragraph 11, of its resolution 54/248 of 23 December 1999;", "Reiterates its request to the Secretary-General to complete the task of uploading all important older United Nations documents onto the United Nations website in all six official languages on a priority basis, so that these archives are also available to Member States through that medium;", "7. Reiterates that all content-providing offices of the Secretariat should continue their efforts to translate into all official languages all English-language materials and databases posted on the United Nations website in the most practical, efficient and cost-effective manner;", "Requests the Secretary-General to continue to ensure, through the provision of documentation and conference and publishing services, including high-quality translation and interpretation, effective multilingual communication among representatives of Member States in intergovernmental organs and members of expert bodies of the United Nations on an equal footing in all the official languages of the United Nations, in the management of meetings;", "9. Stresses the importance of making United Nations information, technical assistance and training materials available in the local languages of the beneficiary countries to the extent possible;", "10. Acknowledges the measures taken by the Secretary-General, in accordance with its resolutions, to address the issue of the replacement of retired staff in language services, and requests the Secretary-General to maintain and intensify those efforts, including by strengthening cooperation with institutions for the training of language specialists, in order to meet the six official languages of the United Nations;", "Notes with satisfaction the willingness of the Secretariat to encourage staff members to use any of the six official languages at meetings with interpretation services;", "Reiterates its request to the Secretary-General to ensure that the rules concerning the simultaneous distribution of documents in all official languages are followed with regard to both the distribution of printed copies and the posting of parliamentary documentation on the Official Document System and the United Nations website, in accordance with section III, paragraph 5, of its resolution 55/222 of 23 December 2000;", "13. Stresses the importance of:", "(a) To make appropriate use of all the official languages of the United Nations in all the activities of the Department of Public Information of the Secretariat in order to eliminate the disparity between the use of English and the five other official languages;", "(b) To ensure that all official languages of the United Nations are treated equally in all activities of the Department of Public Information;", "and, in this regard, reiterates its request to the Secretary-General to ensure that the Department of Public Information has an appropriate staffing capacity in all official languages of the United Nations to carry out all its activities;", "14. Requests the Secretary-General to continue his efforts to ensure that guided tours of United Nations Headquarters are always available in accordance with their income-generating nature, in particular in all six official languages of the United Nations;", "15. Encourages the Secretary-General to strengthen efforts to develop and maintain the multilingual web site of the United Nations, within existing resources, including efforts to update the web page of the Secretary-General in all official languages of the United Nations;", "16. Reaffirms the importance of achieving full parity among the six official languages on the United Nations website;", "17. Also reaffirms that the United Nations website is an important tool for Member States, the media, educational institutions, the general public and non-governmental organizations, and reiterates the continuing need for efforts by the Department of Public Information to maintain and improve it;", "18. Further reaffirms its request to the Secretary-General, while ensuring that up-to-date and accurate information is made available on the website, to allocate appropriately the financial and human resources within the Department of Public Information allocated to the United Nations website among all official languages, with full respect for the specificities of the six official languages;", "19. Notes with concern that progress in the multilingual development and enrichment of the United Nations website has been much slower than expected in several languages, and in this regard requests the Department of Public Information, in coordination with content-providing offices, to take better action to achieve parity among the six official languages on the United Nations website and, in particular, to expedite the filling of current vacancies in some sections and units;", "20. Requests the Department of Public Information, in cooperation with the Office of Information and Communications Technology of the Secretariat, to continue its efforts to ensure that technological infrastructures and supportive applications fully support Latin, non-Latin and bidirectional scripts in order to achieve greater parity among all official languages on the United Nations website;", "21. Welcomes the cooperative arrangements made by the Department of Public Information with academic institutions to increase the number of web pages in some official languages, and requests the Secretary-General, in coordination with content-providing offices, to extend those cooperative arrangements to all official languages of the United Nations in the most cost-effective manner, bearing in mind the need to comply with United Nations standards and guidelines;", "22. Urges the Secretariat to keep iSeek up to date in its two working languages, to continue its efforts to introduce iSeek at all duty stations and to develop and implement cost-neutral measures to provide Member States with secure access to information currently available only on the Intranet of the Secretariat;", "23. Notes with appreciation the work done by the United Nations information centres, including the regional United Nations information centres, to issue United Nations information materials and to translate important documents into languages other than the official languages of the United Nations, with a view to reaching the widest possible audience and extending the United Nations message to all the corners of the world, as well as to promoting greater support by the international community for the activities of the United Nations, and encourages the United Nations information centres to continue to pursue their interactive and proactive work in a multilingual manner, in particular by organizing seminars and debates so as to enhance the dissemination of information and broaden understanding and exchange of views on United Nations activities at the local level;", "24. Recalls its resolution 65/247, in particular paragraphs 26 and 54 (f), in which it reaffirmed the need to respect the equality of the two working languages of the Secretariat, reaffirmed the need to use the other working languages in specific duty stations, as mandated, and in this regard requested the Secretary-General to ensure that vacancy announcements indicate the need to master either of the two working languages of the Secretariat, unless the functions of the post require a specific working language;", "25. Also recalls that, in section II, paragraph 17, of its resolution 61/244 of 22 December 2006, the General Assembly recognized the importance of communication between the United Nations and the local population in the field and that language skills are an important element in the selection and training of personnel, and therefore affirms that a good command of the official language(s) of the country of residence should be taken into account as an additional advantage in carrying out these efforts;", "26. Recalls its endorsement of the proposals, recommendations and conclusions of the Special Committee on Peacekeeping Operations in its resolution 64/266;[3]", "27. Takes note of section II.D.1 of the report of the Secretary-General,2 and requests the Secretary-General to continue his ongoing efforts in this regard and to recall further its resolution 64/266 without prejudice to Article 101 of the Charter of the United Nations;", "28. Urges the Secretariat to translate all peacekeeping training documents into the six official languages of the United Nations, within existing resources, in order to ensure their accessibility to all Member States;", "29. Emphasizes that the employment of staff should continue to be carried out in strict accordance with Article 101 of the Charter and in accordance with the relevant provisions of General Assembly resolutions;", "30. Invites the Secretary-General to ensure compliance with the requirement that United Nations staff members be able to use one of the working languages of the Secretariat, and encourages the Secretary-General to further implement resolution 2480 B (XXIII);", "31. Also invites the Secretary-General to take appropriate measures to take into account language-specific requirements in vacancy announcements when forming interview panels for the employment of United Nations staff;", "Emphasizes that the promotion of staff in the Professional and higher categories shall be carried out in strict accordance with Article 101 of the Charter and in conformity with the provisions of resolution 2480 B (XXIII) and the relevant provisions of resolution 55/258 of 14 June 2001;", "33. Encourages United Nations staff to continue to actively utilize existing training facilities to acquire and enhance their proficiency in one or more of the official languages of the United Nations;", "Notes with interest the cost-neutral initiatives taken by the Secretariat to produce publications in several languages, to increase the number of translated publications and to encourage multilingual procurement policies in United Nations libraries, and requests the Secretariat to continue these initiatives;", "35. Reaffirms that linguistic diversity is an important element of cultural diversity, stresses the importance of the full and effective implementation of the Convention on the Protection and Promotion of the Diversity of Cultural Expressions, which entered into force on 18 March 2007, and recalls the Recommendation on the Promotion and Multilingualism and Universal Access to Cyberspace of 15 October 2003;[5]", "36. Welcomes the activities of the United Nations Educational, Scientific and Cultural Organization, Member States, entities of the United Nations system and all other participating bodies in promoting respect for, the promotion and protection of all languages, in particular endangered languages, linguistic diversity and multilingualism;", "37. Requests the Secretary-General to submit to the General Assembly at its sixty-seventh session a comprehensive report on the full implementation of its resolutions on multilingualism;", "Decides to include in the provisional agenda of its sixty-seventh session the item entitled “Multilingualism”.", "19 July 2011", "109th plenary meeting", "[1] * Reissued for technical reasons on 22 December 2011.", "See resolution 2200 A (XXI), annex.", "[2] A/65/488.", "[3] Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 19 (A/64/19).", "[4] United Nations Educational, Scientific and Cultural Organization, Records of the General Conference, Thirty-third Session, Paris, 3-21 October 2005, vol. I and corrigendum: Resolutions, chap. V, resolution 41.", "[5] United Nations Educational, Scientific and Cultural Organization, Records of the General Conference, Thirty-second Session, Paris, 29 September-17 October 2003, vol. I: Resolutions, chap. IV, recommendation 41." ]

[ "安全理事会第6586次会议临时议程", "定于2011年7月19日星期二上午11时41分举行", "1. 通过议程。", "2. 有关伊拉克的局势", "秘书长根据第1936(2010)号决议第6段提出的第三次报告(S/ 2011/435)。" ]

[ "Provisional agenda for the 6586th meeting of the Security Council", "To be held on Tuesday, 19 July 2011, at 11.41 a.m.", "1. Adoption of the agenda.", "2. The situation concerning Iraq", "Third Report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)." ]

[ "Provisional agenda for the 6586th meeting of the Security Council", "To be held on Tuesday, 19 July 2011, at 11.41 a.m.", "1. Adoption of the agenda.", "2. The situation concerning Iraq", "Third report of the Secretary-General pursuant to paragraph 6 of resolution 1936 (2010) (S/2011/435)." ]

[ "第六十六届会议", "^(*) A/66/150。", "临时议程^(*) 项目99(a)", "审查和执行大会第十二届特别会议的《结论文件》", "联合国和平与裁军非洲区域中心", "秘书长的报告", "摘要", "本报告概述2009年7月至20011年6月两年期间联合国和平与裁军非洲区域中心依照任务规定开展的活动。", "在本报告所述期间，该区域中心增加了对非洲的会员国、政府间组织和民间社会组织的援助，通过裁军和军备管制来推动和平与安全。", "区域中心将工作重点放在协助该区域的会员国上，并与区域和次区域组织合作，以应对小武器和轻武器扩散给和平、安全和社会经济发展所带来的威胁。区域中心援助非洲联盟委员会，努力通过一项非洲控制小武器和轻武器战略，并达成非洲联盟关于武器贸易条约的共同立场。区域中心向中部非洲国家提供了重要支助，以协助缔结《中部非洲管制小武器和轻武器及其弹药和一切制造、维修、装配零部件公约》和通过其实施计划。区域中心还与中非国家经济共同体(中非经共体)、西非国家经济共同体以及大湖区、非洲之角及周边国家小武器和轻武器问题区域中心密切合作，以支持各国在本国执行有关小武器和轻武器方面的全球和次区域文书。", "区域中心通过若干举措向非洲国家提供有关安全部门改革事项的技术援助，这些举措包括培训武装部队和安全部队、民事执法人员和国会议员，尤其是在减少武装暴力行为和保障选举安全方面进行培训。", "区域中心在一系列主题方面的专长和知识得到其合作伙伴的承认，这些主题涉及控制小武器和轻武器、非洲地区的安全部门改革等等。区域中心收到越来越多的来自该区域会员国、区域组织和民间社会的援助和合作请求。区域中心继续完全依赖自愿捐款来实施其方案。秘书长希望感谢向区域中心提供捐款和实物捐助的那些会员国和其他机构，这使区域中心在本报告所述期间内得以履行任务，并呼吁所有会员国和其他利益攸关方继续向其提供捐款和实物捐助。", "目录", "页次\n1.导言 4\n2.区域中心的运作和任务规定 4\n3.区域中心的活动 4\nA.裁军和军备控制 4\nB.和平与安全 8\nC.信息和外展 11\nD.与区域和次区域组织及其他实体的合作 11\n4.区域中心的财务、人员配备和管理 13\nA.财务状况 13\nB.人员配备 13\n5.结论 13 \n 附件 \n联合国和平与裁军非洲区域中心信托基金2009和2010年的财务状况 15", "一. 导言", "1. 本报告是依照大会第64/62号决议提交的。大会在该决议中，除其他外，请秘书长就该决议的执行情况向大会第六十六届会议提出报告。", "2. 大会重申和平与裁军非洲区域中心在区域一级促进和平、安全与裁军的作用，并请秘书长推动区域中心和非洲联盟尤其在和平、安全与裁军领域开展更密切的合作。", "3. 本报告所述期间为2009年7月至2011年6月。附件列有联合国和平与裁军非洲区域中心信托基金2009-2011两年期的财务报表。", "二. 区域中心的运作和任务规定", "4. 区域中心于1986年根据大会第40/151 G号决议在洛美设立。其任务规定是应请求，与非洲联盟合作，向非洲会员国争取实现该区域的和平、军备限制和裁军的倡议和其他努力提供实质性支助。", "三. 区域中心的活动", "5. 在本报告所述期间，区域中心在下列主要领域执行了其工作方案：(a) 裁军和军备控制；(b) 和平与安全，包括安全部门改革。在这些领域，区域中心应要求，向会员国、非洲联盟和其他区域利益攸关方提供安全和裁军领域的援助和能力建设，包括采用培训、技术援助、信息共享、外联和倡导等办法。在这样做时，区域中心与捐助方、区域和次区域组织、其他联合国实体和民间社会组织进行了合作。区域中心的活动侧重于控制小武器和轻武器以及安全部门的改革。", "A. 裁军和军备控制", "小武器和轻武器", "6. 区域中心继续在非洲促进切合实际的裁军措施，重点是打击小武器和轻武器的扩散。区域中心向该区域各国提供能力建设、技术和法律援助以及切合实际的培训，以协助它们实施全球和区域/分区域文书，如《联合国从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领》、《使各国能够及时和可靠地识别和追查非法小武器和轻武器的国际文书》(《国际追查文书》)、《在大湖区和非洲之角防止、控制和减少小武器和轻武器的内罗毕议定书》(《内罗毕议定书》)以及《西非国家经济共同体关于小武器和轻武器、其弹药及其他相关材料的公约》。", "7. 区域中心向会员国提供的援助包括制定统一西非国家经济共同体(西非经共体)成员国国家立法框架和《西非国家经济共同体关于小武器和轻武器、其弹药及其他相关材料的公约》条款的指南；开发和安装电子软件，规范《内罗毕议定书》缔约国小武器和轻武器中介活动；制定管制中部非洲的小武器和轻武器的法律文书，即《中部非洲管制小武器和轻武器及其弹药以及用于制造、修理和装配此类武器的所有零配件公约》(《金沙萨公约》)，该公约于2010年5月在金沙萨举行的联合国中部非洲安全问题常设委员会第三十一次部长级会议上获得通过。", "向非洲联盟提供的支持", "8. 区域中心代表联合国系统参加非洲联盟-区域小武器和轻武器指导委员会。中心以该身份就拟定非洲控制小武器和轻武器战略向指导委员会提供政治、技术和法律咨询。区域中心还就拟定一个关于非洲国家应用小武器和轻武器库存管理国际最佳做法的项目与非洲联盟委员会协商。应非洲联盟的请求，并在联合国非洲联盟十年能力建设计划[1] 框架内，开展了支持非洲联盟委员会的这些活动。", "9. 此外，区域中心作为非洲联盟整个非洲大陆小武器和轻武器项目的一个执行伙伴，参加了小武器和轻武器区域中心正在开展的一个项目，协助非洲各区域经济共同体更好地控制小武器和轻武器。它还与小武器和轻武器区域中心共同组织了中部非洲确定活动项目的研讨会，这是该次区域的研讨会之一，其目的是确定供区域经济共同体采取行动的优先事项。2010年12月4日至6日，在雅温得举行了该研讨会，是与中部非洲国家经济共同体(中非经共体)合作组织的。区域中心也分享其专业知识，并对2011年1月17日至18日在亚的斯亚贝巴举行的小武器和轻武器区域中心/非洲联盟/欧洲联盟巩固项目研讨会作出了贡献，该研讨会为该项目剩余的两年时间内的活动制定了路线图。", "管制小武器中介活动", "10. 2009年，区域中心推出了“规范非洲小武器中介活动”项目，并在2010年底前完成了其主要活动。在五个东部非洲国家(布隆迪、肯尼亚、卢旺达、坦桑尼亚联合共和国和乌干达)实施了该项目。项目是与小武器和轻武器区域中心合作进行的，并得到奥地利政府的财政支持。该项目加强了参加国小武器和轻武器国家协调中心的能力，以更好地控制小武器和轻武器中介活动。该项目的主要成果包括：开发和安装注册经纪人和中介活动牌照的电子软件；汇编有关中介活动的立法；有关立法和监管框架的国家研究；参加国现有经纪人的清单；以及就中介活动问题向国家协调中心提供技术援助。区域中心还对执法人员进行有关中介活动机制，特别是关于使用软件和发放中介活动许可证等方面的培训，并发行了一本关于国家研究的主要结果的出版物。该项目为加强东非关于小武器和轻武器中介活动的合作和信息共享奠定了基础。", "11. 应坦桑尼亚联合共和国政府的特别请求，组织了一项额外的项目活动，区域中心协助该国国家协调中心和有关政府部门与小武器和轻武器区域中心合作，审查有关小武器和轻武器的国家立法和条例。", "12. 项目揭示，该次区域的大多数国家仍然缺乏具体的中介活动立法，特别是有关《内罗毕议定书》规定的义务方面的立法。区域中心，与小武器和轻武器区域中心合作，打算为《内罗毕议定书》缔约国审查和更新有关小武器和轻武器方面的国家立法。", "13．区域中心与西非经共体合作，正计划将该项目扩大至西部非洲国家，包括向西非经共体提供西非经共体公约所要求的次区域小武器和轻武器转让豁免的电子登记册。", "向西非国家经济共同体提供的有关统一国家立法方面的技术援助", "14. 区域中心继续通过题为“执行西非实际裁军措施：给西非经共体小武器小组和西非经共体小武器管制方案的技术援助”项目向西非经共体提供技术援助，该项目得到奥地利政府的资助。该项目旨在促进有效执行西非国家经共体公约，它已促成拟定了统一西非经共体国家关于小武器和轻武器国家立法的指南，并在西非国家经共体委员会阿布贾中心设计和安装了西非国家小武器和轻武器数据库。统一西非经共体国家关于小武器和轻武器国家立法的指南已于2010年12月提交西非经共体委员会，供该委员会下一届部长级会议通过。", "15. 上文提及的关于西非小武器和轻武器立法的数据库，是西非经共体委员会促进执行西非经共体公约的一个有效工具。作为后续活动，区域中心和西非经共体商定，为该公约所有15个缔约国联合组织国家研讨会，审查、更新和统一各国关于小武器和轻武器的国家立法。", "《中部非洲管制小武器和轻武器及其弹药以及用于制造、修理和装配此类武器的所有零配件公约》", "16. 应联合国中部非洲安全问题常设咨询委员会的请求，区域中心编写了中部非洲管制小武器和轻武器法律文书草案，该草案于2010年4月获得通过，成为《中部非洲管制小武器和轻武器及其弹药以及用于制造、修理和装配此类武器的所有零配件公约》。这一项目得到了奥地利政府的财政支持(公约的详情请参阅下文B节)。", "其他能力建设和技术援助活动", "17. 区域中心继续向西非国家小武器和轻武器国家委员会提供技术援助。2009年8月，在这方面，区域中心向贝宁政府国家委员会提供援助，特别是协助审查和更新其有关小武器和轻武器的立法。2010年7月，中心协助多哥政府国家委员会审查其关于小武器和轻武器立法草案，并起草多哥管理和控制小武器和轻武器的国家行动计划。此外，区域中心与小武器和轻武器区域中心合作，协助坦桑尼亚联合共和国政府审查其关于小武器和轻武器的国家立法和条例。", "18. 区域中心与弗里德里希·埃伯特基金会合作，为西非经共体成员国的议员举办了一系列能力建设讲习班。2009年12月，在洛美举行的第一次讲习班的主题是“关于控制小武器和轻武器的国际和区域文书——在国家一级的执行情况”。2010年5月在阿克拉举行了关于西非控制小武器的国际层面的第二次讲习班。区域中心还与小武器和轻武器议会论坛合作，于2010年2月在巴马科和2010年10月在蒙罗维亚举行小武器和轻武器议会间会议。除其他问题外，会议讨论了通过制定国家立法和议会对安全部门的监督来让国家执行小武器和轻武器国际和区域文书的问题。", "19. 区域中心向2010年7月在利伯维尔举行的建立中部非洲小武器行动网络能力建立讲习班提供了实质性支助，并协助该网络起草行动计划。该讲习班为该次区域的民间社会、政府和其他利益攸关方之间的合作奠定了基础，以共同制定和实施政策，打击小武器和轻武器在中部非洲的扩散。它还促进了《金沙萨公约》的执行。", "关于控制小武器和轻武器的外联和宣传", "20. 2010年4月，区域中心为常设咨询委员会的成员国组织了一次会议，审查执行《联合国从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领》方面的进展情况，该会议是在金沙萨举行的。常设咨询委员会的成员国通过了一份成果文件，[2] 其中涉及控制和发展小武器和轻武器之间的联系、国际援助，妇女和民间社会在控制小武器和轻武器中的作用等问题。会议还允许常设咨询委员会的成员国协调其立场，以筹备2010年6月在纽约举行的各国第四次两年期会议，审议《行动纲领》的执行情况。", "21. 非法贩运毒品给西非一些国家带来了挑战。在这方面，区域中心于2009年10月在佛得角举行的关于贩毒的西非经共体部长级会议上，就该次区域小武器和轻武器的非法贩运与贩毒之间的联系提供了实质性投入。", "武器贸易条约", "22. 鉴于武器贸易条约与非洲国家的相关性，区域中心支持非洲国家参与武器贸易条约谈判进程。应非洲联盟的要求，区域中心协助起草了非洲关于武器贸易条约的共同立场，该立场将于2011年9月提交非洲联盟政府专家背书。区域中心还向西非经共体成员和常设咨询委员会成员国提供技术援助，以通过其各自分区域关于该条约的共同立场。这些次区域共同立场有助于制定非洲联盟关于武器贸易条约的共同立场。", "23. 区域中心还支持由联合国裁军研究所在亚的斯亚贝巴和摩洛哥卡萨布兰卡举行的关于武器贸易条约的两场次区域研讨会。这两次研讨会支持2012年联合国武器贸易条约大会之前的筹备进程，并协助非洲会员国发展专门知识，有效执行武器转让控制。", "24. 此外，2009年12月，区域中心、小武器国际行动网络和国际乐施会在亚的斯亚贝巴联合为民间组织举行了一场关于武器贸易条约的会议。研讨会吸引了来自南部非洲、东非、大湖地区和非洲之角的民间社会组织的代表，讨论了在2012年举办联合国武器贸易条约会议之前要采取的行动。区域中心还协助制定小武器国际行动网络非洲成员组织促进武器贸易条约的工作计划。", "大规模毁灭性武器", "25. 随着《非洲无核武器区条约》(《佩林达巴条约》)于2009年7月15日生效，区域中心就其执行问题向非洲联盟提供了重点突出的政治和技术支持。中心与安全研究所，为西非、中非、东非和南部非洲国家筹备2010年不扩散核武器条约缔约国审议大会共同主办了两场次区域研讨会(2009年在阿克拉，2010年在比勒陀利亚)。除了讨论审议大会外，这些研讨会为与会的非洲国家讨论与《佩林达巴条约》生效及其实施相关的事项提供了机会。", "26. 区域中心也参加了2010年3月在比勒陀利亚举行的一个独立专家研讨会，该研讨会是由安全研究所和蒙特雷国际研究学院詹姆斯·马丁不扩散研究中心组织的，讨论的是建立非洲原子能委员会事宜，该委员会负责确保缔约国遵守根据《佩林达巴条约》所承担的义务。", "27. 区域中心还支持非洲国家努力执行安全理事会第1540(2004)号决议，包括查明非洲国家在这方面可能面临的挑战以及应对这些挑战的可能途径。在此背景下，区域中心提供了实质性投入，支持安全理事会第1540(2004)号决议所设委员会和联合国裁军事务厅于2009年12月在开罗举行的关于第1540(2004)号决议的执行情况的非洲区域研讨会。", "28. 区域中心还向全面禁止核试验条约组织筹备委员会提供支持，以组织促进该条约的批准和生效的一场非洲大陆研讨会，该研讨会于2010年10月在拉巴特举行。", "B. 和平与安全", "1. 安全部门改革", "29. 针对会员国提出的要求，区域中心开展了与安全部门改革有关的活动。在这一背景下，该中心在2007年发起的“非洲安全部门改革计划”的框架内，帮助16个非洲国家的安全部队及议会国防和安全委员会成员进行了能力建设。这些活动是与伙伴实体合作开展的，有关实体包括：弗里德里克·埃伯特基金会、非洲安全部门网、红十字国际委员会(红十字委员会)和人权事务高级专员办事处(人权高专办)。培训工作的重点是：(a) 在使用武力、法治、加强治安原则知识和在执法行动中落实人道主义法和人权原则方面的最佳作法；(b) 改善军民关系的实际措施。培训还力求增强议员、民间社会及武装部队和安全部队等有关的国家行为体的能力。在选举期间维持秩序和防止武装暴力是为执法人员举办的培训计划的主要组成部分，包括实战演练。来自多哥、几内亚和尼日尔的安全部队人员参加了2010年和2011年举办的培训，为本国的选举做准备。为扩大培训的影响，来自每个国家的100多名安全和执法人员接受了如何担任培训员的培训。区域中心为每一位未来的培训员提供了培训材料，包括选举安全指南和模拟演练视频，重点是在选举期间防止暴力行为的民主原则和作法。在多哥举办的一场培训的参加者还有社区领袖，包括和平、和解和人权方面的主管人员。", "30. 区域中心在2010年5月20日在科纳克里举行的西非保障选举安全次区域论坛上贡献了该中心在选举期间执法安全部队能力建设方面的专门知识。该论坛是由几内亚政府、联合国西非办事处(西非办)和联合国开发计划署(开发署)组织举办的，是为了保障2010年7月几内亚选举的安全而发起的。论坛的目的是确定西非其他国家和地区的最佳作法。区域中心还与西非办开展了进一步的合作，参加了2010年2月由西非办发起、在达喀尔举行的两次安全部门改革和治理专家会议。第一次专家讲习班的重点是西非安全部门所面临的治理挑战，第二次讲习班的目的是为区域安全部门改革和治理订立框架和行动计划。", "31. 议员还得益于非洲安全部门改革计划，这一计划有助于他们对安全部门进行监督，尤其是在小武器和轻武器控制方面发挥重要作用。在这一方面，区域中心在阿克拉、巴马科、蒙罗维亚和卡加杜古为西非议员举办了一系列研讨会。", "32. 在中部非洲，区域中心还与非洲安全部门网进行合作，于2010年8月为刚果民主共和国各省的议会举办了一系列培训班。[3] 培训的重点是议会在地方一级对安全部门进行监督的理念、法律依据、方法和策略。国防和安全部队的观察员、议会助理人员和民间社会组织也参加了培训班。", "33. 2010年，区域中心与法语国家国际组织和非洲安全部门网合作出版了关于非洲法语国家安全和司法制度的书。[4] 该书源于上述三个组织2009年在洛美共同举办的关于这一主题的讲习班，重点介绍非洲法语国家的政治、法律和安全部门特性，并为安全部门改革提出了多项建议。", "联合国中部非洲安全问题常设咨询委员会", "34. 在本报告所述期间，区域中心以联合国中部非洲安全问题常设咨询委员会的身份为委员会第二十九次、第三十次、第三十一次和第三十二次部长级会议提供了实质性和技术性服务。委员会的一个主要成就是通过了《金沙萨公约》。委员会除了按照惯例审查该次区域的政治和安全局势以及与安全核裁军有关的问题外，还讨论了其他优先问题，包括打击海盗、非法开采自然资源行为及其对中部非洲和平与安全的影响、妇女在和平与安全中的作用以及气候变化对该区域和平与安全的影响。", "35. 公约草案是在与次区域和次区域以外的独立专家和政府专家进行广泛协商的基础上拟订的。应委员会成员国的要求，区域中心起草了公约。公约在2010年4月30日在金沙萨举行的委员会第三十次部长级会议上获得通过，并在2010年11月19日在布拉柴维尔举行的第三十一次部长级会议期间开放签署。《金沙萨公约》的范围是广泛的，考虑到了在旨在打击非法小武器和轻武器的全球和区域举措方面的最新动态。《公约》还吸取了非洲以及其他地区的最佳作法和经验。在委员会第三十一次部长级会议上通过了《公约》执行计划，这显示了成员国有效、及时地履行《公约》的决心。", "36. 秘书长对作为该次区域的第一份此类文书的《金沙萨公约》获得通过表示欢迎，这有助于减少暴力行为，增进该区域各国的和平与安全。《公约》早期生效并得到有效履行将有助于控制跨境和国内小武器和轻武器的流动，从而加强中部非洲的和平与安全。", "妇女、和平与安全", "37. 在区域中心的技术协助下，联合国中部非洲安全问题常设咨询委员会为执行安全理事会关于妇女、和平与安全问题的第1325(2000)号决议采取了四项行动。[5] 区域中心还帮助妇女团体确定执行第1325(2000)号决议所需的提高认识和能力建设活动，还帮助制定关于第1325(2000)号决议的国家行动计划和发展西部和中部非洲的各国妇女和平与安全网。区域中心还积极参加讨论和整理将性别问题纳入安全部门改革的最佳作法，例如将第1325(2000)号决议列为非洲安全部门改革计划的重点内容。", "38. 区域中心帮助多哥政府执行了安全理事会第1325(2000)号决议，2010年1月在洛美与该国政府专门为宪兵和安全部队的女军官联合举办了暴力侵害妇女问题培训班。该中心还应多哥武装部队总参谋部的要求于2011年4月在多哥武装部队和安全部队举办了性别问题研讨会。来自多哥武装部队和安全部队各部门的40名与会人员讨论了有关的性别问题。", "其他和平与安全活动", "39. 区域中心参加了解除武装、复员和重返社会考察团。考察团分别于2010年7月和2010年9月在利比亚和塞拉利昂进行了考察，牵头方为小武器和轻武器区域中心。考察团的目的是确定在上述国家冲突后局势下执行解除武装、复员、转业援助和重返社会计划过程中所取得的经验教训，以便在东部非洲编制实际解除武装最佳作法指南。", "40. 区域中心同开发署和日内瓦武装冲突与发展秘书处联合举办了关于在东部和中部非洲防止和减少武装冲突潜在良好作法研讨会。来自政府、民间社会和国际和区域组织的专家和从业人员，包括联合国机构间防止武装暴力计划成员参加了于2011年2月在内罗毕举办的研讨会。[6] 在研讨会上讨论了用于解决这一问题的各种措施，包括解除武装、军备控制、执法、公共教育、提高认识、经济发展、城市规划和环境设计、青年工作、健康和社会政策。区域中心就实际解除武装和处理武装暴力问题介绍了相关知识。", "C. 信息和外展", "41. 为方便各方面人士了解区域中心在非洲和和平、安全核裁军方面的作用和活动，区域中心重新设计了网站(www.unrec.org)，增加了更具互动性的功能和与伙伴机构的链接。此外，2009年8月，区域中心创刊了题为《非洲和裁中心聚焦》的双月电子通讯，向非洲和世界各地的1 000多名订阅者发布。通讯提供的信息包括区域中心的主要项目和活动以及在非洲和联合国和平、安全和裁军方面的动态。", "42. 区域中心继续通过组织各种活动来推动裁军工作。为庆祝2009年国际和平日(9月21日)，该中心就秘书长发起的“大规模杀伤性武器——裁军势在必行”运动举行了记者招待会，还在《佩林达巴条约》生效之际举行了另一场记者招待会。区域中心还在2009年和2010年国际和平日纪念活动期间与联合国其他实体一道共同举办了关于促进非洲和平、安全和裁军的一系列活动，包括和平论坛、广播电视访谈和公共宣讲。", "D. 与区域和次区域组织及其他实体的合作", "43. 在本报告所述期间，区域中心加强了与非洲区域和次区域组织以及民间社会组织的合作。这些合作至关重要，有助于各利益攸关方形成合力，共同促进和平、安全和裁军，包括共享信息、良好作法和经验教训。", "44. 两年来，区域中心与非洲联盟在促进非洲裁军和安全领域进行了更加密切的协作。区域中心参加了2009年8月在亚的斯亚贝巴举行的非洲联盟和平与安全理事会第200次会议。会议发表的公报概括了非洲联盟与区域中心开展合作的两个优先领域，即小武器和轻武器控制和《佩林达巴条约》。[7] 非洲联盟请求区域中心每年向非洲联盟和平与安全理事会通报非洲裁军问题的情况。", "45. 区域中心还加强了与次区域组织的合作。在这一背景下，区域中心与小武器和轻武器区域中心审查了按照双方签订的谅解备忘录(2009年7月签订)进行合作的情况，确定了今后的合作领域，包括管制小武器和轻武器中介行为，审查各国法律，对安全部门人员进行打击非法贩运小武器和轻武器、国家小武器和轻武器登记册和数据库、库存管理和议会和民间社会组织的能力建设等方面的培训。", "46. 2010年11月，区域中心与中非经共体根据双方在2007年签订的谅解备忘录，讨论了区域中心向中部非洲国家提供哪些类型的援助的问题。所确定的领域包括，对《金沙萨公约》的执行工作提供支持，帮助运行中非经共体小武器部门，统一各国法律，发展关于小武器和轻武器的数据库和指导方针，就《中部非洲国防和安全部队行为守则》进行培训，民间社会能力建设。", "47. 在西部非洲，区域中心与西非经共体保持密切合作。双方讨论了如何执行2009年签订的谅解备忘录的问题并商定将合作重点放在支持西非经共体公约上，具体领域包括统一和审查各国关于小武器和轻武器的法律，管制中介活动以及建立小武器和轻武器转让豁免认证数据库。", "48. 区域中心还加强了与非洲民间社会组织及研究培训机构的合作。该中心与科菲·安南国际维持和平培训中心探讨了就信息交流和联合开展方案进行合作的可能性。在这一方面，确定了下列合作领域：民间社会组织的能力建设，审查小武器法律，数据库管理，安全部门改革和对培训员进行培训。区域中心担任了科菲·安南国际维持和平培训中心小武器和轻武器管制项目指导委员会成员。区域中心与安全研究所进行了合作，所涉领域包括对南部非洲发展共同体的《管制枪支、弹药和其他有关材料议定书》和《佩林达巴条约》的执行工作提供支持；安全部门改革；冲突和危机的预防、处置和化解；研究和出版。区域中心还与小武器和轻武器及议员在安全部门改革的能力建设有关的问题上与弗里德里希·埃伯特基金会进行了合作。", "四. 区域中心的财务、人员配备和管理", "A. 财务状况", "49. 根据大会第40/151 G号决议的规定，区域中心是利用现有资源和自愿捐款成立的。2009和2010年，区域中心信托基金收到了喀麦隆、法国、多哥和土耳其政府50 112美元的自愿捐款。2011年上半年，信托基金还收到了多哥政府提供的18 971美元的自愿捐款。关于信托基金2009和2010年财务状况的资料载于附件。", "50. 秘书长借此机会对喀麦隆、法国、多哥和土耳其政府表示感谢。他还感谢荷兰政府为区域中心的一位协理专家提供资助并感谢芬兰政府提供一名联合国志愿人员的费用。秘书长还赞赏奥地利政府对区域中心方案活动的慷慨捐助。此外，他还感谢刚果民主共和国政府、非洲安全部门网、弗里德里希·埃伯特基金会、国际小武器行动网、红十字委员会、法语国家国际组织、安全研究所、牛津饥荒救济委员会、小武器议会论坛及小武器和轻武器区域中心所给予的合作和实物支持。区域中心还得益于开发署提供的实物捐助。", "51. 区域中心完全依赖自愿捐助来开展全部方案和活动。秘书长愿指出的是，在2006年1月16日至21日在喀土穆举行的第八届常会上，非洲联盟执行理事会呼吁向区域中心信托基金提供自愿财政捐助。[8] 非洲联盟和平与安全理事会在2009年8月21日举行的第200次会议上再次发出了这一呼吁。", "B. 人员配备", "52. 目前，担任主任的一位高级政治事务干事、一位政治事务干事(P-3)、两位一般事务辅助人员的薪金和一些业务费用是由经常预算提供的。所有其他人员，包括项目人员的经费是由自愿捐款提供的。", "53. 在本报告所述期间，区域中心有九位工作人员的经费来源于预算外资源。2010年11月，一位由芬兰政府提供经费的联合国国际志愿人员作为安全部门改革专家到区域中心工作。2010年9月，一位由荷兰政府提供经费的协理专家完成了在区域中心的工作任务。", "五. 结论", "54. 区域中心通过在非洲各个次区域开展与小武器和轻武器控制和安全部门改革有关的活动方案，协助加强了会员国及区域和次区域组织共同应对非洲大陆所面临的和平、安全和裁军问题的能力。", "55. 区域中心在执行活动方案的过程中与非洲大陆和次区域的其他利益攸关方建立并加强了伙伴关系。该中心在非洲裁军、和平与安全领域的独特作用和专门知识得到了承认，这体现在该中心从非洲会员国和政府间组织收到的援助和合作请求数量有所增加。", "56. 此外，区域中心还推动了非洲各个利益攸关方之间交流和共享知识、良好作法和经验教训。该中心还吸取了联合国设在拉丁美洲和加勒比及亚太地区的区域和平和裁军中心等其他联合国实体的经验和专门知识。这一作法有助于在规划和执行各自活动的过程中相互促进，产生更大的影响。", "57. 为维持活动方案，区域中心还设计了新的方案组合，其中包含有若干反映非洲国家需要的具体的项目建议。方案组合内容包括加强联合国中部非洲安全问题常设咨询委员会和中非国家经济共同体执行《金沙萨公约》的能力，途经包括使各国法律与《公约》的条款相统一，发展关于小武器和轻武器及用于和平行动的小武器和轻武器的转让的次区域数据库、为国防和安全部队提供关于《中部非洲国防和安全部队行为守则》的能力建设培训班；使西部非洲国家的国内法律与西非经共体关于小武器的公约相统一；加强西非经共体委员会和国家部门控制和管制西非经共体成员国小武器中介人的能力；通过培训加强非洲民间社会组织在社区一级的实际解除武装和防止/减少武装暴力的能力。", "58. 会员国、区域和次区域组织的政治和财政支持对于区域中心为满足非洲国家的需要而执行各项方案仍然至关重要。秘书长呼吁会员国和其他有能力的捐助者向区域中心提供财政和实物捐助，以使该中心按照任务规定执行已经列入计划的活动方案。", "附件", "联合国和平与裁军非洲区域中心信托基金2009和2010年的财务状况", "(单位：美元)", "2010年 2009年", "年初储备金和基金余额 779 227 264 480", "收入", "自愿捐款 40 112 10 000", "利息收入 13 589 25 582", "其他收入 13 309 912 199^(a)", "总收入 67 010 947 781", "支出 554 301 383 216", "方案支助费用 72 059 49 818", "总支出 626 360 433 034", "年末储备金和基金余额^(b) 219 877 779 227", "^(a) 912 199美元为总负债，包括2009年结账和2010年重新安排的方案支助费用。", "^(b) 包括年初储备金和基金余额，加上当年收入，减去当年发生的支出。", "注：本资料的依据是2009和2010年收支报表。在此期间，总共收到50 412美元的捐款，分别来自：2009年——土耳其(10 000美元)；2010年——喀麦隆(9 029.34美元)、法国(12 204美元)和多哥(18 878.84美元)。2011年1月1日至6月30日，总共收到多哥政府18 971美元的捐款。", "[1] 见http://www.africa-union.org/root/au/organs/200%20communique%20UNREC%20EN.pdf。", "[2] 见http://www.poa-iss.org/poa/Documents/Kinshasa_Outcome_Document.pdf。", "[3] 西开赛省、下刚果省和南基伍省。", "[4] Laréforme des systèmes de sécuritéet de justice en Afrique francophone，见www.francophonie.org/ IMG/pdf/reformes_systemes_securite.pdf。", "[5] 每个会员国从负责和平与安全事务的部委中指定一个执行第1325(2000)号决议的协调人；将妇女列入参加国际和区域裁军会议的国家代表团；将妇女列入国家小武器和轻武器委员会；重申会员国对遵守和执行当时的4项关于妇女、和平与安全问题的安全理事会决议的承诺；提交必要的国家报告。", "[6] 所涉机构为开发署、联合国人类住区规划署、联合国儿童基金会、联合国裁军事务厅、联合国毒品和犯罪问题办公室和世界卫生组织。", "[7] 见http://www.africa-union.org/root/au/organs/200%20communique%20UNREC%20EN.pdf。", "[8] EX.CL/243(VIII)Add.7见http：//www.africa-union.org/root/au/Documents/Decisions/com/AU6th_ ord_Council_Decisions_Jan2006_Khartoum.pdf。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 99 (a) of the provisional agenda*", "Review and implementation of the Concluding Document of the Twelfth Special Session of the General Assembly", "United Nations Regional Centre for Peace and Disarmament in Africa", "Report of the Secretary-General", "Summary The present report contains an account of the activities undertakenby the United Nations Regional Centre for Peace and Disarmament inAfrica in accordance with its mandate during the two-year period fromJuly 2009 to June 2011. \nDuring the reporting period, the Regional Centre increased itsassistance to Member States and intergovernmental and civil societyorganizations in Africa to promote peace and security throughdisarmament and arms regulation.\nThe Regional Centre focused its work on assisting Member States inthe region and cooperated with regional and subregional organizationsto address the threats posed to peace, security and socio-economicdevelopment by the proliferation in the region of small arms andlight weapons. It provided assistance to the African Union Commissionin its efforts to adopt an African strategy to control small arms andlight weapons and on reaching an African Union common position on theproposed arms trade treaty. It provided significant support to theCentral African States towards the conclusion of the Central AfricanConvention for the Control of Small Arms and Light Weapons, theirAmmunition and all Parts and Components That Can Be Used for TheirManufacture, Repair and Assembly, and the adoption of itsimplementation plan. The Regional Centre also worked closely with theEconomic Community of Central African States, the Economic Communityof West African States, and the Regional Centre on Small Arms andLight Weapons in the Great Lakes Region, the Horn of Africa andBordering States, in supporting States in their nationalimplementation of global and subregional instruments related to smallarms and light weapons.The Regional Centre provided technical assistance to States in Africaon security sector reform matters through several initiatives,including the training of armed and security forces, civilian lawenforcement personnel and parliamentarians, particularly in thecontext of armed violence reduction and election security. \nThe Regional Centre has been recognized by its partners for itsexpertise and knowledge on a wide array of topics ranging from thecontrol of small arms and light weapons to security sector reform inthe African region. It received increased requests for assistance andcooperation from Member States, regional organizations and civilsociety in the region. The Regional Centre continues to rely solelyon voluntary contributions to implement its programmes. TheSecretary-General wishes to thank those Member States and otherinstitutions that have made financial and in‑kind contributions tothe Regional Centre, enabling it to fulfil its mandate during thisreporting period, and calls on all Member States and otherstakeholders to continue to provide financial and in-kindcontributions to it.", "Contents", "Page\nI.Introduction 4II.Functioning 4 and mandate of the Regional \nCentre III. Activities 4 of the Regional \nCentre A.Disarmament 4 and arms \ncontrol Small 4 arms andlight \nweapons Supportto 5 the \nAfricanUnion Regulatingsmall 6 \narmsbrokering Technicalassistanceto 6 the EconomicCommunityof West AfricanStatesonharmonizationof national \nlegislation Central 7 AfricanConvention for the ControlofSmall Arms andLight Weapons,theirAmmunition and allParts andComponents That CanBe Used forTheir Manufacture,Repair and \nAssembly Othercapacity-building 7 \nandtechnicalassistanceactivities Outreach 8 and advocacyon controlofsmall arms andlight \nweapons \nArmstradetreaty 8Weaponsof 9 mass \ndestruction B. Peace 9 and \nsecurity \nSecuritysectorreform 9United 11 Nations Standing AdvisoryCommitteeon SecurityQuestionsin \nCentralAfrica Women,peace 11 and \nsecurity Otherpeace 12 and \nsecurityactivities C.Information 12 and \noutreach D.Partnership 13 with regional and subregional organizations and other \nentities IV.Finance, 14 staffing and administration of the Regional \nCentre A. Financial 14 \nsituation \nB.Staffing 15\nV.Conclusion 15\nAnnex 17", "I. Introduction", "1. The present report is submitted pursuant to General Assembly resolution 64/62, by which the Assembly, inter alia, requested the Secretary-General to submit a report to the General Assembly at its sixty-sixth session on the implementation of the resolution.", "2. The General Assembly reaffirmed the role of the Regional Centre for Peace and Disarmament in Africa in promoting peace, security and disarmament at the regional level and requested the Secretary-General to facilitate closer cooperation between the Regional Centre and the African Union, in particular in the areas of peace, security and disarmament.", "3. The report covers the period from July 2009 to June 2011. A financial statement on the status of the trust fund for the United Nations Regional Centre for Peace and Disarmament in Africa for the biennium 2009-2010 is contained in the annex.", "II. Functioning and mandate of the Regional Centre", "4. The Regional Centre was established in 1986 in Lomé, pursuant to General Assembly resolution 40/151 G. It is mandated to provide, upon request, substantive support for initiatives and other efforts of African Member States towards the realization of peace, arms limitation and disarmament in the region, in cooperation with the African Union.", "III. Activities of the Regional Centre", "5. During the reporting period, the Regional Centre implemented its programme of work in the following main areas: (a) disarmament and arms control and (b) peace and security, including security sector reform. In these areas, the Regional Centre provided, upon request, assistance and capacity-building to Member States, the African Union and other regional stakeholders in the areas of security and disarmament, including through training, technical assistance, information sharing, outreach and advocacy. In doing so, the Regional Centre cooperated with donors, regional and subregional organizations, other United Nations entities and civil society organizations. The Regional Centre has focused its activities on the control of small arms and light weapons and security sector reform.", "A. Disarmament and arms control", "Small arms and light weapons", "6. The Regional Centre has continued to promote practical disarmament measures in Africa, with an emphasis on the fight against the proliferation of small arms and light weapons. It has provided capacity-building, technical and legal assistance, as well as practical training to States in the region so as to assist their implementation of global and regional/subregional instruments, such as the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, the International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (the International Tracing Instrument), the Nairobi Protocol for the Prevention, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region and the Horn of Africa (Nairobi Protocol) and the Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials of the Economic Community of West African States.", "7. The assistance provided by the Regional Centre to Member States included the development of a guide for the harmonization of the national legislative frameworks of the members of the Economic Community of West African States (ECOWAS) with the provisions of the Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials of the Economic Community of West African States; the creation and installation of electronic software for regulating brokering activities involving small arms and light weapons in the States parties to the Nairobi Protocol; and the development of a legal instrument for the control of small arms and light weapons in Central Africa, the Central African Convention for the Control of Small Arms and Light Weapons, their Ammunition and all Parts and Components That Can Be Used for Their Manufacture, Repair and Assembly (Kinshasa Convention), which was adopted during the thirtieth ministerial meeting of the United Nations Standing Committee on Security Questions in Central Africa, held in Kinshasa in May 2010.", "Support to the African Union", "8. The Regional Centre represents the United Nations system on the African Union-Regions Steering Committee on Small Arms and Light Weapons. In that capacity, the Centre has provided political, technical and legal advice to the Steering Committee on the development of an African strategy to control small arms and light weapons. The Regional Centre also consulted with the African Union Commission on formulating a project on the application by African States of international best practices on stockpile management of small arms and light weapons. These activities in support of the Commission were undertaken at the request of the African Union and within the framework of the 10-year capacity-building plan for the African Union.[1]", "9. Further, the Regional Centre has participated as an implementing partner in the African Union continent-wide small arms and light weapons project that is being carried out by the Regional Centre on Small Arms and Light Weapons to assist African regional economic communities to better control small arms and light weapons. It co-organized, with the Regional Centre on Small Arms and Light Weapons, the central African activity identification seminar, one of the subregional seminars aimed at identifying the priorities of the regional economic communities for action. The seminar was held in Yaoundé from 4 to 6 December 2010 and was organized in cooperation with the Economic Community of Central African States (ECCAS). The Regional Centre also shared its expertise and contributed to the project consolidation seminar of the Regional Centre on Small Arms and Light Weapons/African Union/European Union, held from 17 to 18 January 2011 in Addis Ababa, which produced a road map for activities for the remaining two years of the project.", "Regulating small arms brokering", "10. In 2009, the Regional Centre launched its project on “Regulating small arms brokering in Africa” and completed its main activities by the end of 2010. The project was implemented in five East African countries (Burundi, Kenya, Rwanda, the United Republic of Tanzania and Uganda) and was undertaken in cooperation with the Regional Centre on Small Arms and Light Weapons, with financial support from the Government of Austria. The project strengthened the capacity of the national focal points on small arms and light weapons in the participating States to better control brokering activities in small arms and light weapons. Major outputs of the project included the development and installation of electronic software to register brokers and brokering licences, the compilation of legislation related to brokering, national studies on legislative and regulatory frameworks, an inventory of existing brokers in participating States, and the provision of technical assistance to national focal points on brokering issues. The Regional Centre also trained law enforcement personnel on brokering mechanisms, in particular on the use of software and the issuance of brokering licences, and issued a publication on the major findings of the national studies. The project established the basis for enhanced cooperation and information sharing on the brokering of small arms and light weapons in East Africa.", "11. An additional project activity was organized at the specific request of the Government of the United Republic of Tanzania, where the Regional Centre assisted the national focal point and relevant Government departments in the review of the national legislation and regulation on small arms and light weapons, in cooperation with the Regional Centre on Small Arms and Light Weapons.", "12. The project revealed that most States in the subregion still lacked specific brokering legislation, particularly in accordance with their obligations under the Nairobi Protocol. The Regional Centre, in cooperation with the Regional Centre on Small Arms and Light Weapons, therefore intends to conduct a review and update of national legislation on small arms and light weapons for States parties to the Nairobi Protocol.", "13. The Regional Centre, in cooperation with ECOWAS, is planning to expand the project to West African States, including the provision to ECOWAS of an electronic register of subregional transfer exemptions of small arms and light weapons, as required by the ECOWAS Convention.", "Technical assistance to the Economic Community of West African States on harmonization of national legislation", "14. The Regional Centre continued to provide technical assistance to ECOWAS, through the project entitled “Implementing practical disarmament measures in West Africa: technical support to the ECOWAS small arms unit and to the ECOWAS small arms programme”, which is funded by the Government of Austria. The project promotes the effective implementation of the ECOWAS Convention and has resulted in the development and elaboration of a guide for the harmonization of national legislation on small arms and light weapons in ECOWAS States and the design and installation of a database on national legislation on small arms and light weapons in West Africa at the headquarters of the ECOWAS Commission in Abuja. The guide for the harmonization of national legislation on small arms and light weapons was submitted to the ECOWAS Commission in December 2010, for adoption at the next ministerial meeting of the Commission.", "15. The database on small arms and light weapons legislation in West Africa, referred to above, is an effective tool for the ECOWAS Commission to promote the implementation of the ECOWAS Convention. As a follow-up activity, the Regional Centre and ECOWAS agreed to cooperate in organizing national seminars for all 15 States parties to the Convention to review, update and harmonize their respective national legislation on small arms and light weapons.", "Central African Convention for the Control of Small Arms and Light Weapons, their Ammunition and all Parts and Components That Can Be Used for Their Manufacture, Repair and Assembly", "16. At the request of the member States of the United Nations Standing Advisory Committee on Security Questions in Central Africa, the Regional Centre prepared a draft legal instrument for the control of small arms and light weapons in Central Africa, which was adopted in April 2010 as the Central African Convention for the Control of Small Arms and Light Weapons, their Ammunition and all Parts and Components That Can Be Used for Their Manufacture, Repair and Assembly. This project received financial support from the Government of Austria (for detailed information on the Convention, see section B below).", "Other capacity-building and technical assistance activities", "17. The Regional Centre continued to provide technical assistance to the national commissions on small arms and light weapons of West African States. In this respect, in August 2009, the Regional Centre provided assistance to the national commission of the Government of Benin, specifically in reviewing and updating its legislation on small arms and light weapons. In July 2010, the Centre assisted the national commission of the Government of Togo in the review of its draft legislation on the control of small arms and light weapons and in the drafting of the Togolese national action plan for their management and control. Additionally, and in cooperation with the Regional Centre on Small Arms and Light Weapons, the Regional Centre assisted the Government of the United Republic of Tanzania in the review of its national legislation and regulations on small arms and light weapons.", "18. In partnership with the Friedrich Ebert Foundation, the Regional Centre organized a series of capacity-building workshops for parliamentarians from ECOWAS member States. The theme of the first workshop, held in Lomé in December 2009, was “International and regional instruments on the control of small arms and light weapons: implementation at the national level”. The second workshop on the international dimension of small arms control in West Africa was held in Accra in May 2010. The Regional Centre also organized, in cooperation with the Parliamentary Forum on Small Arms and Light Weapons, two interparliamentary conferences on small arms in Bamako in February 2010 and in Monrovia in October 2010. The conferences addressed, among other issues, the national implementation of international and regional instruments on small arms and light weapons through the development of national legislation and parliamentary oversight over the security sector.", "19. The Regional Centre provided substantive support to a capacity-building workshop for the establishment of the Central African Action Network on Small Arms in July 2010 in Libreville and also assisted the network in drafting its plan of action. The workshop laid the groundwork for cooperation between civil society, Governments and other stakeholders in the subregion to jointly develop and implement policies to combat the proliferation of small arms and light weapons in Central Africa. It also promoted the implementation of the Kinshasa Convention.", "Outreach and advocacy on control of small arms and light weapons", "20. In April 2010, the Regional Centre organized a meeting for member States of the Standing Advisory Committee to review progress in the implementation of the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, which was held in Kinshasa. Member States of the Standing Advisory Committee adopted an outcome document,[2] which addressed issues such as the link between the control and development of small arms and light weapons, international assistance, and the role of women and civil society in the control of small arms and light weapons. The meeting also allowed member States of the Standing Advisory Committee to coordinate positions in preparation for the fourth biennial meeting of States to consider the implementation of the Programme of Action, which was held in New York in June 2010.", "21. Illicit trafficking of drugs poses a challenge in some countries in West Africa. In this regard, the Regional Centre, at the ECOWAS ministerial meeting on drug trafficking, held in Cape Verde in October 2009, contributed substantive input on the nexus between illicit trafficking in small arms and light weapons and drug trafficking in the subregion.", "Arms trade treaty", "22. Given the relevance of an arms trade treaty to African States, the Regional Centre supported them in the treaty negotiation process. At the request of the African Union, the Regional Centre assisted in the development of a draft African common position on the treaty, which will be presented to African Union governmental experts for endorsement in September 2011. The Regional Centre also provided technical assistance to members of ECOWAS and member States of the Standing Advisory Committee in the adoption of a common position on the treaty for their respective subregions. These subregional common positions contributed to the development of the common position of the African Union on the treaty.", "23. The Regional Centre also supported two subregional seminars organized by the United Nations Institute for Disarmament Research on the treaty, which were held in Addis Ababa and Casablanca, Morocco. Both seminars supported the preparatory process leading to the 2012 United Nations Conference on the treaty and assisted African Member States in developing expertise to effectively implement arms transfer controls.", "24. In addition, the Regional Centre, the International Action Network on Small Arms and Oxfam International jointly organized a conference on the arms trade treaty for civil society organizations in Addis Ababa in December 2009. The workshop drew representatives of civil society organizations from Southern Africa, East Africa, the Great Lakes region and the Horn of Africa to discuss actions to be taken before the United Nations conference on the arms trade treaty to be held in 2012. The Regional Centre also assisted in the development of the workplan of Network member organizations in Africa on the promotion of the treaty.", "Weapons of mass destruction", "25. With the entry into force of the African Nuclear-Weapon-Free Zone Treaty (Pelindaba Treaty) on 15 July 2009, the Regional Centre provided focused political and technical support to the African Union regarding its implementation. The Centre co-hosted with the Institute for Security Studies two subregional seminars (in Accra in 2009 and in Pretoria in 2010) for West, Central, East and Southern African States in preparation for the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons. In addition to discussing the Review Conference, the seminars provided an opportunity for participating African States to discuss matters related to the entry into force of the Pelindaba Treaty, as well as its implementation.", "26. The Regional Centre also participated in a workshop of independent experts, held in Pretoria in March 2010, which was organized by the Institute for Security Studies and the James Martin Center for Nonproliferation Studies at the Monterey Institute of International Studies, on the establishment of the African Commission on Nuclear Energy, which is responsible for ensuring the compliance of States parties with their obligations under the Pelindaba Treaty.", "27. The Regional Centre also supported African States in their efforts to implement Security Council resolution 1540 (2004), including by identifying challenges facing African States in that regard and possible ways to address them. In that context, the Regional Centre provided substantive input for an African regional seminar held in Cairo in December 2009, organized by the Security Council Committee established pursuant to resolution 1540 (2004) and the United Nations Office for Disarmament Affairs on the implementation of resolution 1540 (2004).", "28. The Regional Centre further provided support to the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization in the organization of an African continent seminar to promote the ratification and entry into force of the treaty, which was held in Rabat in October 2010.", "B. Peace and security", "Security sector reform", "29. In response to requests from Member States, the Regional Centre carried out activities relating to security sector reform. In that context, the Centre helped build the capacity of security forces and members of parliamentary defence and security committees in 16 African countries within the framework of the African Security Sector Reform Programme, launched in 2007. These efforts were undertaken in cooperation with partner entities, including the Friedrich Ebert Foundation, the African Security Sector Network, the International Committee of the Red Cross and the Office of the High Commissioner for Human Rights. The training programme focused on (a) best practices in the use of force, the rule of law, and strengthening the knowledge of policing principles and the implementation of humanitarian law and human rights principles in law enforcement operations; and (b) practical measures to improve the relationship between the military and civilians. It also sought to enhance the capacity of relevant national actors, such as parliamentarians, civil society, and the armed and security forces. The maintenance of order and preventing armed violence during election periods were major components of the training programme for law enforcement officers, which included a practical field exercise. Security forces personnel from Guinea, the Niger and Togo participated in the training programme in 2010 and 2011 in preparation for the elections in their respective countries. To expand the impact of the programme, over 100 security and law enforcement personnel from each country were trained to become trainers. The Regional Centre provided each potential trainer with training materials, which included a guide for election security and a video clip of the simulation exercise, focusing on democratic principles and practices in preventing violence during elections. One of the training sessions in Togo also involved community leaders, including chiefs, on peace, reconciliation and human rights aspects.", "30. The Regional Centre contributed its expertise on capacity-building of the security forces for law enforcement in electoral periods to a subregional forum on securing electoral processes in West Africa held in Conakry in May 2010. The forum was organized by the Government of Guinea, the United Nations Office for West Africa (UNOWA) and the United Nations Development Programme (UNDP), and was initiated during the process to secure the Guinean election of July 2010. It aimed at identifying best practices from elsewhere in West Africa. The Regional Centre further cooperated with UNOWA by participating in two expert meetings on security sector reform and governance that were held in Dakar in February 2010 and were initiated by UNOWA. The first expert workshop focused on governance challenges of the security sector in West Africa while the second aimed at defining a framework and an action plan for regional security sector reform and governance.", "31. Parliamentarians also benefited from the African Security Sector Reform Programme, which assisted them in their oversight of the security sector, particularly their important role in small arms and light weapons control. In that respect, the Regional Centre held a series of seminars for West African parliamentarians in Accra, Bamako, Monrovia, and Ouagadougou.", "32. In Central Africa, the Regional Centre, in cooperation with the African Security Sector Network, also conducted a series of training sessions for provincial parliaments in the Democratic Republic of the Congo[3] in August 2010. The training focused on the concept, legal basis, methodology and strategies for parliamentary oversight of the security sector at the local level. Observers from the defence and security forces, parliamentary assistants and civil society organizations also attended these training sessions.", "33. In 2010, the Regional Centre, in cooperation with the Organisation internationale de la Francophonie and the African Security Sector Network, published a book on security and justice systems reform in francophone Africa.[4] The book, which originated from a 2009 workshop held in Lomé on the subject that was co-organized by those three organizations, highlighted the political, legal and security sector specificities of French-speaking African countries and made several recommendations for security sector reform processes.", "United Nations Standing Advisory Committee on Security Questions in Central Africa", "34. During the reporting period, the Regional Centre, in its capacity as the secretariat of the United Nations Standing Advisory Committee on Security Questions in Central Africa, provided substantive and technical services for the twenty-ninth, thirtieth, thirty-first and thirty-second ministerial meetings of the Committee. A major achievement of the Committee was the adoption of the Kinshasa Convention. The Committee, apart from its traditional review of the political and security situation, and issues related to security and disarmament in the subregion, also discussed other priority concerns, including combating maritime piracy, illegal exploitation of natural resources and its impact on peace and security in Central Africa, and women’s role in peace and security, as well as the impact of climate change on peace and security in the region.", "35. The draft convention was prepared on the basis of an extensive consultative process that involved both independent and governmental experts from the subregion and beyond. At the request of member States of the Committee, the Regional Centre drafted the convention, which was adopted at the thirtieth ministerial meeting of the Committee on 30 April 2010 in Kinshasa. It was opened for signature on 19 November 2010 in Brazzaville during the thirty-first ministerial meeting. The scope of the Kinshasa Convention is broad and takes into account the most recent developments in global and regional initiatives aimed at combating illicit small arms and light weapons. It also draws upon the best practices and experience of Africa as well as other regions. An implementation plan for the Convention was adopted at the thirty-first ministerial meeting of the Committee, which demonstrated the determination of member States to implement it in an effective and timely manner.", "36. The Secretary-General welcomed the adoption of the Kinshasa Convention, the first instrument of this nature for the subregion, which will help to reduce violence and bring peace and security dividends to the States of the region. Its early entry into force and effective implementation will strengthen peace and security in Central Africa by controlling the flow of small arms and light weapons across borders and within States.", "Women, peace and security", "37. With technical assistance from the Regional Centre, member States of the United Nations Standing Advisory Committee on Security Questions in Central Africa adopted four actions to implement Security Council resolution 1325 (2000) on women, peace and security.[5] The Regional Centre also assisted women’s groups in defining awareness-raising and capacity-building activities for the implementation of resolution 1325 (2000). It further contributed to the formulation of national action plans on resolution 1325 (2000) and to the development of national women’s networks for peace and security in West and Central Africa. The Regional Centre was also actively involved in the discussions and development of best practices on integrating gender issues into security sector reform, for example by mainstreaming resolution 1325 (2000) in its African Security Sector Reform Programme.", "38. The Regional Centre assisted the Government of Togo in implementing Security Council resolution 1325 (2000) by co-organizing with the Government a specific training session on issues related to violence against women for female officers of the gendarmerie and security forces in Lomé in January 2010. It also organized, at the request of the General Staff of the Togolese armed forces, a seminar on the issue of gender in the armed and security forces in Togo in April 2011. Forty participants from the different branches of the Togolese armed and security forces debated relevant gender-related issues.", "Other peace and security activities", "39. The Regional Centre participated in study missions on disarmament, demobilization and reintegration, which were held in Liberia in July 2010 and Sierra Leone in September 2010 and were led by the Regional Centre on Small Arms and Light Weapons. The aim of the missions was to identify lessons learned on the disarmament, demobilization, rehabilitation and reintegration programmes implemented in post-conflict situations in those countries, with the objective of developing a best practices guide on practical disarmament in East Africa.", "40. The Regional Centre co-organized, with UNDP and the secretariat of the Geneva Declaration on Armed Violence and Development, a seminar on promising practices in armed violence prevention and reduction in East and Central Africa. The seminar, which was held in Nairobi in February 2011, brought together experts and practitioners from Governments, civil society, and international and regional organizations, including members of the United Nations inter-agency Armed Violence Prevention Programme.[6] The seminar discussed various measures to tackle the issue, including disarmament, arms control, law enforcement, public education, awareness-raising, economic development, urban planning and environmental design, youth work, health and social policies. The Regional Centre shared its expertise on practical disarmament and addressing armed violence issues.", "C. Information and outreach", "41. In an effort to provide easier access to information on its role and activities on peace, security and disarmament in Africa, the Regional Centre redesigned its website (www.unrec.org) by adding more interactive features and links to partner institutions. Also, in August 2009, it launched a bi-monthly electronic newsletter entitled UNREC Focus, which is disseminated to more than 1,000 subscribers in Africa and worldwide. The newsletter provides information on the Centre’s main projects and activities, as well as on developments related to peace, security and disarmament in Africa and at the United Nations.", "42. The Regional Centre continued to promote disarmament through the organization of various events. To celebrate the International Day of Peace 2009 (21 September), it held a press conference on the Secretary-General’s campaign “WMD — We Must Disarm” and a further press conference was held on the occasion of the entry into force of the Pelindaba Treaty. The Regional Centre also joined other United Nations entities in organizing a number of activities on promoting peace, security and disarmament in Africa, including peace forums, radio and television interviews and public presentations, during the International Day of Peace commemorations in 2009 and 2010.", "D. Partnership with regional and subregional organizations and other entities", "43. During the reporting period, the Regional Centre strengthened its cooperation with regional and subregional organizations in Africa, as well as with civil society organizations. Such partnerships are vital for achieving synergies among the various stakeholders in their collective efforts to promote peace, security and disarmament, including through sharing information, good practices and lessons learned.", "44. The past two years have seen closer collaboration between the Regional Centre and the African Union in the fields of promoting disarmament and security in Africa. The Regional Centre participated in the 200th meeting of the African Union Peace and Security Council held in Addis Ababa in August 2009. The communiqué of the meeting outlined two priority areas of cooperation between the African Union and the Regional Centre, namely small arms and light weapons control and the Pelindaba Treaty.[7] The African Union requested the Regional Centre to provide annual briefings to the African Union Peace and Security Council on disarmament issues in Africa.", "45. The Regional Centre also enhanced its partnership with subregional organizations. In that context, the Regional Centre and the Regional Centre on Small Arms and Light Weapons reviewed their past cooperation and under their memorandum of understanding (signed in July 2009), they identified areas of future cooperation, including regulation of small arms and light weapons brokering, review of national legislation, training for security sector personnel on combating the illicit trafficking of small arms and light weapons, on national registers and databases for small arms and light weapons, on stockpile management and on capacity-building for parliamentarians and civil society organizations.", "46. In November 2010, discussions were held between the Regional Centre and ECCAS as to the types of assistance that the Regional Centre could provide to Central African States, based on a memorandum of understanding signed between the two institutions in 2007. Areas identified included support for the implementation of the Kinshasa Convention, the operationalization of the ECCAS small arms unit, harmonization of national legislation, development of databases and development of guidelines on small arms and light weapons; training on the Code of Conduct for Defence and Security Forces in Central Africa; and capacity-building for civil society.", "47. In West Africa, the Regional Centre maintained close cooperation with ECOWAS. The two institutions discussed the implementation of the memorandum of understanding signed between them in 2009 and agreed to focus their cooperation on supporting the implementation of the ECOWAS Convention, in areas such as the harmonization and review of national legislation on small arms and light weapons and regulation of brokering activities, as well as establishing a database for exemption certificates for transfers of small arms and light weapons.", "48. The Regional Centre also stepped up its cooperation with civil society organizations and research and training institutions in Africa. It explored cooperation with the Kofi Annan International Peacekeeping Training Centre on information exchange and joint programmes. In this regard, the following areas of cooperation were identified: capacity-building of civil society organizations, review of legislation on small arms, database management, security sector reform and the training of trainers. The Regional Centre serves as a member of the steering committee of the Kofi Annan International Peacekeeping Training Centre training project on the control of small arms and light weapons. The Regional Centre cooperated with the Institute for Security Studies on issues such as supporting the implementation of the Protocol on Control of Firearms, Ammunition and other related materials of the Southern African Development Community and the Pelindaba Treaty; security sector reform; conflict and crisis prevention, management and resolution; and research and publications. The Regional Centre also worked with the Friedrich Ebert Foundation on issues related to small arms and light weapons and capacity-building for parliamentarians on security sector reform.", "IV. Finance, staffing and administration of the Regional Centre", "A. Financial situation", "49. Pursuant to General Assembly resolution 40/151 G, the Regional Centre was established on the basis of existing resources and voluntary contributions. In 2009 and 2010, the Regional Centre trust fund received voluntary contributions from the Governments of Cameroon, France, Togo and Turkey in the amount of $50,112. During the first half of 2011, the trust fund also received a voluntary contribution from the Government of Togo in the amount of $18,971. Information on the financial status of the trust fund for 2009 and 2010 is contained in the annex.", "50. The Secretary-General takes this opportunity to express his gratitude to the Governments of Cameroon, France, Togo and Turkey. He would also like to thank the Government of the Netherlands for funding an associate expert at the Regional Centre and the Government of Finland for funding the cost of a United Nations volunteer. The Secretary-General also expresses his appreciation to the Government of Austria for its generous contribution to the programmatic activities of the Regional Centre. In addition, he would like to thank the Government of the Democratic Republic of the Congo, the African Security Sector Network, the Friedrich Ebert Foundation, the International Action Network on Small Arms, the International Committee of the Red Cross, the Organisation internationale de la Francophonie, the Institute for Security Studies, Oxfam, the Parliamentary Forum on Small Arms, and Regional Centre on Small Arms and Light Weapons for their collaboration and in-kind support. The Regional Centre also benefited from in-kind contributions from UNDP.", "51. The Regional Centre relies solely on voluntary contributions for all its programmes and activities. The Secretary-General would like to note that at its eighth ordinary session held in Khartoum from 16 to 21 January 2006, the Executive Council of the African Union launched an appeal for voluntary financial contributions to the trust fund of the Regional Centre.[8] This call was reiterated by the African Union Peace and Security Council at its 200th meeting on 21 August 2009.", "B. Staffing", "52. Currently, the regular budget covers salaries for one Senior Political Affairs Officer who serves as Director, one Political Affairs Officer (P-3), two General Service support staff, and some operating costs. All other staff, including project personnel, are funded from voluntary contributions.", "53. During the reporting period, the Regional Centre had nine staff members funded from extrabudgetary resources. One United Nations international volunteer, funded by the Government of Finland, joined the Regional Centre as a security sector reform expert in November 2010. One associate expert funded by the Government of the Netherlands completed his assignment at the Regional Centre in September 2010.", "V. Conclusion", "54. Through implementing its programmes of activities related to small arms and light weapons control and security sector reform in various subregions in Africa, the Regional Centre has contributed to strengthening the capacity of Member States and regional and subregional organizations in their collective efforts to address the peace, security and disarmament challenges facing the continent.", "55. In undertaking its programme of activities, the Regional Centre has forged and strengthened its partnerships with other stakeholders, both at the continental and subregional levels. It has gained recognition for its unique role and expertise in the fields of disarmament, peace and security in Africa, which was demonstrated by the increase in the number of requests for assistance and cooperation it received from Member States and intergovernmental organizations in Africa.", "56. Furthermore, the Regional Centre has promoted the exchange and sharing of knowledge, good practices and lessons learned between the various stakeholders in Africa. It has also drawn on the experience and expertise of other United Nations entities, including the United Nations regional centres for peace and disarmament in Latin America and the Caribbean and in the Asia and Pacific region. This approach has helped to achieve cross-fertilization in planning and implementing their respective activities and generate greater impact.", "57. To sustain its programme of activities, the Regional Centre has developed a new programme portfolio containing a number of concrete project proposals reflecting the needs of African States. The portfolio includes strengthening the capacity of the member States of the United Nations Standing Committee on Security Questions in Central Africa and of ECCAS in the implementation of the Kinshasa Convention through the harmonization of national legislation with the provisions of the Convention, the development of subregional databases of transfers of small arms and light weapons and of small arms and light weapons used for peace operations; capacity-building training sessions for defence and security forces on the provisions of the Code of Conduct for Defence and Security Forces in Central Africa; harmonization of national legislation of West African States with the ECOWAS Convention on small arms; strengthening the capacity of the ECOWAS Commission and national authorities for the control and regulation of small arms brokers in ECOWAS member States; and strengthening through training the capacity of African civil society organizations in practical disarmament and armed violence prevention/reduction at the community level.", "58. Political and financial support from Member States, regional and subregional organizations remains vital for the Regional Centre to carry out its programmes which meet the needs of the African States. The Secretary-General calls on Member States and other donors that are in a position to do so to make financial and in-kind contributions to the Regional Centre to enable it to carry out its planned programme of activities according to its mandate.", "Annex", "Financial status of the trust fund for the United Nations Regional Centre for Peace and Disarmament in Africa for 2009 and 2010", "(In United States dollars)", "2010 2009", "Reserves and fund balances at beginning of 779 227 264 480 year", "Income", "Voluntary contributions 40 112 10 000", "Interest income 13 589 25 582", "Other income 13 309 912 199^(a)", "Total income 67 010 947 781", "Expenditures 554 301 383 216", "Programme support costs 72 059 49 818", "Total expenditures 626 360 433 034", "Reserves and fund balances at end of 219 877 779 227 year^(b)", "Note: This information is based on the statement of income and expenditures for 2009 and 2010. During this period contributions totalling $50,412 were received as follows: 2009 — Turkey ($10,000); 2010 — Cameroon ($9,029.34), France ($12,204) and Togo ($18,878.84). During the period 1 January to 30 June 2011, a contribution totalling $18,971 was received from the Government of Togo.", "^(a) The total of $912,199 represents obligations including programme support cost that were closed in 2009 and reprogrammed in 2010.", "^(b) Consists of reserves and fund balance at the beginning of year, plus income received during the year, less expenditure incurred during the year.", "[1] See http://www.africa-union.org/root/au/organs/200%20communique%20UNREC%20EN.pdf.", "[2] See http://www.poa-iss.org/poa/Documents/Kinshasa_Outcome_Document.pdf.", "[3] Western Kasai, Bas Congo and South Kivu.", "[4] La réforme des systèmes de sécurité et de justice en Afrique francophone, available from www.francophonie.org/IMG/pdf/reformes_systemes_securite.pdf.", "[5] Designation by each Member State of a focal point for resolution 1325 (2000) from among the ministries responsible for matters of peace and security; inclusion of women in national delegations attending international and regional disarmament conferences; inclusion of women in national commissions on small arms and light weapons; reaffirmation of the commitment by Member States to comply with and implement the then four Security Council resolutions on women, peace and security, and to submit the required national reports.", "[6] The agencies involved are UNDP, the United Nations Human Settlements Programme, the United Nations Children’s Fund, the United Nations Office for Disarmament Affairs, the United Nations Office on Drugs and Crime and the World Health Organization.", "[7] See http://www.africa-union.org/root/au/organs/200%20communique%20UNREC%20EN.pdf.", "[8] EX.CL/243 (VIII) Add.7, available at http://www.africa-union.org/root/au/Documents/ Decisions/com/AU6th_ord_Council_Decisions_Jan2006_Khartoum.pdf." ]

[ "Sixty-sixth session", "A/66/150.", "Item 99 (a) of the provisional agenda*", "Review and implementation of the Concluding Document of the Twelfth Special Session of the General Assembly", "United Nations Regional Centre for Peace and Disarmament in Africa", "Report of the Secretary-General", "Summary", "The present report provides an overview of the activities carried out by the United Nations Regional Centre for Peace and Disarmament in Africa in accordance with its mandate during the biennium from July 2009 to June 2001.", "During the reporting period, the Regional Centre increased its assistance to Member States, intergovernmental and civil society organizations in Africa in promoting peace and security through disarmament and arms control.", "The Regional Centre focused its efforts on assisting Member States in the region and on working with regional and subregional organizations to address the threats posed by the proliferation of small arms and light weapons to peace, security and socio-economic development. The Regional Centre assisted the African Union Commission in its efforts to adopt an African strategy for the control of small arms and light weapons and to reach an African Union common position on an arms trade treaty. The Regional Centre provided important support to the Central African States in the conclusion of the Central African Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components that Can Be Used for Their Manufacture, Repair and Assembly and the adoption of its implementation plan. The Centre also worked closely with the Economic Community of Central African States (ECCAS), the Economic Community of West African States and the Regional Centre on Small Arms and Light Weapons in the Great Lakes Region, the Horn of Africa and Bordering States to support States in their national implementation of global and subregional instruments on small arms and light weapons.", "The Regional Centre provided technical assistance to African countries on security sector reform matters through a number of initiatives, including the training of armed and security forces, civilian law enforcement personnel and parliamentarians, particularly in reducing armed violence and securing elections.", "The expertise and knowledge of the Regional Centre is recognized by its partners on a range of topics, including the control of small arms and light weapons, security sector reform in the African region, etc. The Regional Centre has received an increasing number of requests for assistance and cooperation from Member States, regional organizations and civil society in the region. The Regional Centre continues to rely entirely on voluntary contributions for the implementation of its programmes. The Secretary-General wishes to express his appreciation to those Member States and other agencies that have made financial and in-kind contributions to the Regional Centre, which enabled the Centre to fulfil its mandate during the reporting period, and calls upon all Member States and other stakeholders to continue to make contributions and in-kind contributions to it.", "Contents", "2. Activities of the Regional Centre", "Introduction", "1. The present report is submitted pursuant to General Assembly resolution 64/62. In that resolution, the Assembly, inter alia, requested the Secretary-General to report to it at its sixty-sixth session on the implementation of the resolution.", "2. The General Assembly reaffirmed the role of the Regional Centre for Peace and Disarmament in Africa in promoting peace, security and disarmament at the regional level, and requested the Secretary-General to promote closer cooperation between the Regional Centre and the African Union, in particular in the areas of peace, security and disarmament.", "3. The present report covers the period from July 2009 to June 2011. The annex contains the financial statements of the Trust Fund for the United Nations Regional Centre for Peace and Disarmament in Africa for the biennium 2009-2011.", "II. Functioning and mandate of the Regional Centre", "4. The Regional Centre was established in 1986 in Lomé pursuant to General Assembly resolution 40/151 G. Its mandate is to provide, upon request and in cooperation with the African Union, substantive support to initiatives and other efforts of African Member States aimed at achieving peace, arms limitation and disarmament in the region.", "III. Activities of the Regional Centre", "5. During the reporting period, the Regional Centre implemented its programme of work in the following main areas: (a) disarmament and arms control; and (b) peace and security, including security sector reform. In these areas, the Regional Centre provides, upon request, assistance and capacity-building in the area of security and disarmament to Member States, the African Union and other regional stakeholders, including through training, technical assistance, information-sharing, outreach and advocacy. In doing so, the Regional Centre cooperated with donors, regional and subregional organizations, other United Nations entities and civil society organizations. The activities of the Regional Centre focused on the control of small arms and light weapons and security sector reform.", "A. Disarmament and arms control", "Small arms and light weapons", "6. The Regional Centre continued to promote practical disarmament measures in Africa, with a focus on combating the proliferation of small arms and light weapons. The Regional Centre provided capacity-building, technical and legal assistance and practical training to States in the region in the implementation of global and regional/subregional instruments, such as the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, the International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (the International Tracing Instrument), the Nairobi Protocol to Prevent, Control and Reduction of Small Arms and Light Weapons in the Great Lakes Region and the Horn of Africa (the Nairobi Protocol) and the Economic Community of West African States Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials.", "7. The assistance provided by the Regional Centre to Member States included the development of guidelines for harmonizing the national legislative frameworks of States members of the Economic Community of West African States (ECOWAS) and the provisions of the Economic Community of West African States Convention on Small Arms and Light Weapons, Their Ammunition and Other Related Materials; the development and installation of electronic software to regulate the brokering activities of small arms and light weapons among States parties to the Nairobi Protocol; and the development of a legal instrument for the control of small arms and light weapons in Central Africa, the Central African Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components Used for Their Manufacture, Repair and Assembly (Kinshasa Convention), which was adopted at the thirty-first ministerial meeting of the United Nations Standing Committee on Security in Central Africa, held in Kinshasa in May 2010.", "Support to the African Union", "8. The Regional Centre represents the United Nations system in the African Union-Regional Steering Committee on Small Arms and Light Weapons. In that capacity, the Centre provided political, technical and legal advice to the Steering Committee on the development of an African strategy for the control of small arms and light weapons. The Regional Centre also consulted with the African Union Commission on the development of a project on the application of international best practices in small arms and light weapons stockpile management in African countries. These activities in support of the African Union Commission were undertaken at the request of the African Union and within the framework of the United Nations 10-year capacity-building plan for the African Union [1].", "9. In addition, as an implementing partner of the African Union-wide project on small arms and light weapons on the African continent, the Regional Centre participated in a project being undertaken by the Regional Centre on Small Arms and Light Weapons to assist the African regional economic communities in improving their control of small arms and light weapons. It also co-organized, with the Regional Centre on Small Arms and Light Weapons, a seminar on the identification of activities in Central Africa, one of the subregional workshops aimed at identifying priorities for action by the regional economic communities. The seminar was held in Yaoundé from 4 to 6 December 2010 and was organized in cooperation with the Economic Community of Central African States (ECCAS). The Regional Centre also shared its expertise and contributed to the Regional Centre on Small Arms and Light Weapons/African Union/European Union consolidation project workshop, held in Addis Ababa from 17 to 18 January 2011, which developed a road map for activities during the remaining two years of the project.", "Control of brokering in small arms", "In 2009, the Regional Centre launched the project “Strengthening small arms brokering in Africa” and completed its main activities by 2010. The project was implemented in five Eastern African countries (Burundi, Kenya, Rwanda, the United Republic of Tanzania and Uganda). The project was carried out in cooperation with the Regional Centre on Small Arms and Light Weapons and with the financial support of the Government of Austria. The project strengthened the capacity of national focal points for small arms and light weapons in participating countries to better control small arms and light weapons brokering. The main results of the project include the development and installation of electronic software for registered brokers and brokering licences; the compilation of legislation on brokering; national studies on legislative and regulatory frameworks; a list of existing brokers in participating countries; and the provision of technical assistance to national focal points on brokering. The Centre also trained law enforcement officials on brokering mechanisms, in particular on the use of software and the licensing of brokering activities, and issued a publication on the main results of national research. The project laid the foundation for enhanced cooperation and information-sharing on small arms and light weapons brokering activities in East Africa.", "In response to a special request from the Government of the United Republic of Tanzania, an additional project activity was organized by the Regional Centre to assist the national focal point and relevant government departments of the country, in cooperation with the Regional Centre on Small Arms and Light Weapons, to review national legislation and regulations on small arms and light weapons.", "12. The project revealed that most States in the subregion still lack specific legislation on brokering activities, particularly in relation to their obligations under the Nairobi Protocol. The Regional Centre, in cooperation with the Regional Centre on Small Arms and Light Weapons, intends to review and update national legislation on small arms and light weapons for States parties to the Nairobi Protocol.", "13. In cooperation with ECOWAS, the Regional Centre is planning to expand the project to West African countries, including by providing ECOWAS with an electronic register of subregional exemptions for the transfer of small arms and light weapons required by the ECOWAS Convention.", "Technical assistance to the Economic Community of West African States on harmonization of national legislation", "The Regional Centre continued to provide technical assistance to ECOWAS through the project entitled “Implementation of practical disarmament measures in West Africa: technical assistance to the ECOWAS Small Arms Group and the ECOWAS Small Arms Control Programme”, funded by the Government of Austria. The project, which aims to promote the effective implementation of the ECOWAS Convention, has resulted in the development of guidelines for the harmonization of national legislation on small arms and light weapons in ECOWAS countries and in the design and installation of a database on small arms and light weapons in West African countries at the ECOWAS Commission Centre in Abuja. A guide to harmonizing national legislation on small arms and light weapons in ECOWAS countries was submitted to the ECOWAS Commission in December 2010 for adoption at its next ministerial meeting.", "15. The database on small arms and light weapons legislation in West Africa mentioned above is an effective tool for the ECOWAS Commission to promote the implementation of the ECOWAS Convention. As a follow-up, the Regional Centre and ECOWAS agreed to jointly organize national seminars for all 15 States parties to the Convention to review, update and harmonize national legislation on small arms and light weapons.", "Central African Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components Used for Their Manufacture, Repair and Assembly", "16. At the request of the United Nations Standing Advisory Committee on Security Questions in Central Africa, the Regional Centre prepared a draft legal instrument for the control of small arms and light weapons in Central Africa, which was adopted in April 2010 as the Central African Convention for the Control of Small Arms and Light Weapons, Their Ammunition and All Parts and Components Used in Their Manufacture, Repair and Assembly. This project has financial support from the Austrian Government (see section B below for details of the Convention).", "Other capacity-building and technical assistance activities", "17. The Regional Centre continued to provide technical assistance to national commissions of West African States on small arms and light weapons. In this regard, in August 2009, the Regional Centre provided assistance to the National Commission of the Government of Benin, in particular in reviewing and updating its legislation on small arms and light weapons. In July 2010, the Centre assisted the national commission of the Government of Togo in reviewing its draft legislation on small arms and light weapons and in drafting a national action plan for the management and control of small arms and light weapons in Togo. In addition, the Regional Centre, in cooperation with the Regional Centre on Small Arms and Light Weapons, assisted the Government of the United Republic of Tanzania in reviewing its national legislation and regulations on small arms and light weapons.", "18. In cooperation with the Friedrich Ebert Foundation, the Regional Centre organized a series of capacity-building workshops for parliamentarians from ECOWAS member States. The theme of the first workshop, held in Lomé in December 2009, was “International and regional instruments on the control of small arms and light weapons — implementation at the national level”. The second workshop on the international dimension of small arms control in West Africa was held in Accra in May 2010. In cooperation with the Parliamentary Forum on Small Arms and Light Weapons, the Centre also held inter-parliamentary meetings on small arms and light weapons in Bamako in February 2010 and in Monrovia in October 2010. Among other issues, the meeting addressed the issue of national implementation of international and regional instruments on small arms and light weapons through the development of national legislation and parliamentary oversight of the security sector.", "19. The Regional Centre provided substantive support to the workshop on capacity-building for the Central African Action Network on Small Arms, held in Libreville in July 2010, and assisted the Network in drafting an action plan. The workshop laid the basis for cooperation among civil society, Governments and other stakeholders in the subregion to jointly develop and implement policies to combat the proliferation of small arms and light weapons in Central Africa. It has also contributed to the implementation of the Kinshasa Convention.", "Outreach and advocacy on small arms and light weapons control", "20. In April 2010, the Regional Centre organized a meeting of States members of the Standing Advisory Committee to review progress in the implementation of the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, held in Kinshasa. The States members of the Standing Advisory Committee adopted an outcome document,[2] which addresses issues such as the link between the control and development of small arms and light weapons, international assistance, the role of women and civil society in the control of small arms and light weapons. It also allowed the States members of the Standing Advisory Committee to coordinate their positions in preparation for the Fourth Biennial Meeting of States, to be held in New York in June 2010, to consider the implementation of the Programme of Action.", "21. Illicit drug trafficking posed a challenge to some countries in West Africa. In this regard, the Regional Centre provided substantive input on the links between illicit trafficking in small arms and light weapons and drug trafficking in the subregion at the ECOWAS Ministerial Conference on Drug Trafficking, held in Cape Verde in October 2009.", "The arms trade treaty", "22. Given the relevance of the arms trade treaty to African States, the Regional Centre supported African States in their participation in the arms trade treaty negotiation process. At the request of the African Union, the Regional Centre assisted in the drafting of an African common position on an arms trade treaty, to be endorsed by African Union governmental experts in September 2011. The Regional Centre also provided technical assistance to ECOWAS members and members of the Standing Advisory Committee to adopt common positions on the Treaty in their respective subregions. These subregional common positions contribute to the development of a common African Union position on an arms trade treaty.", "23. The Regional Centre also supported two subregional seminars on the arms trade treaty, organized by the United Nations Institute for Disarmament Research in Addis Ababa and Casablanca, Morocco. The workshops supported the preparatory process leading up to the 2012 United Nations Conference on the Arms Trade Treaty and assisted African Member States in developing expertise to effectively implement arms transfer controls.", "24. In addition, in December 2009, the Regional Centre, the International Action Network on Small Arms and Oxfam International jointly organized a conference in Addis Ababa for civil society organizations on the arms trade treaty. The workshop attracted representatives of civil society organizations from Southern Africa, East Africa, the Great Lakes region and the Horn of Africa to discuss actions to be taken in advance of the 2012 United Nations Conference on the Arms Trade Treaty. The Regional Centre also contributed to the development of the work plan of the African member organization of the International Action Network on Small Arms for an arms trade treaty.", "Weapons of mass destruction", "25. With the entry into force of the African Nuclear-Weapon-Free Zone Treaty (Treaty of Pelindaba) on 15 July 2009, the Regional Centre provided focused political and technical support to the African Union on its implementation. The Centre and the Institute for Security Studies co-sponsored two subregional seminars for West, Central, East and Southern African countries in preparation for the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (Accra, 2009 and Pretoria, 2010). In addition to discussing review conferences, these seminars provided an opportunity for participating African States to discuss matters related to the entry into force and implementation of the Pelindaba Treaty.", "26. The Regional Centre also participated in an independent expert seminar in Pretoria in March 2010, organized by the Institute for Security Studies and the James Martin Center for Nonproliferation Studies of the Monterey Institute of International Studies, on the establishment of the African Atomic Energy Commission, which is responsible for ensuring compliance by States parties with their obligations under the Pelindaba Treaty.", "27. The Regional Centre also supported African countries in their efforts to implement Security Council resolution 1540 (2004), including by identifying possible challenges facing African countries in this regard and possible ways to address them. In that context, the Regional Centre provided substantive input in support of the African regional seminar on the implementation of resolution 1540 (2004), held in Cairo in December 2009 by the Security Council Committee established pursuant to resolution 1540 (2004) and the United Nations Office for Disarmament Affairs.", "28. The Regional Centre also provided support to the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization in organizing a continental seminar to promote the ratification and entry into force of the Treaty, which was held in Rabat in October 2010.", "Peace and security", "1. Security sector reform", "29. In response to requests from Member States, the Regional Centre undertook activities related to security sector reform. In this context, within the framework of the African Security Sector Reform Plan, launched in 2007, the Centre helped build the capacity of security forces and members of parliamentary defence and security committees in 16 African countries. These activities are carried out in cooperation with partner entities, including the Friedrich Ebert Foundation, the African Security Sector Network, the International Committee of the Red Cross (ICRC) and the Office of the High Commissioner for Human Rights (OHCHR). The training focused on: (a) best practices in the use of force, the rule of law, strengthening knowledge of policing principles and the implementation of humanitarian law and human rights principles in law enforcement operations; and (b) practical measures to improve civil-military relations. The training also sought to strengthen the capacity of relevant national actors, including parliamentarians, civil society and the armed and security forces. The maintenance of order and the prevention of armed violence during the electoral period are key components of the training programme for law enforcement personnel, including field exercises. Security forces personnel from Togo, Guinea and the Niger participated in training sessions held in 2010 and 2011 in preparation for the national elections. To increase the impact of the training, over 100 security and law enforcement personnel from each country were trained as trainers. The Regional Centre provided training materials for each of the future trainers, including a guide on electoral security and video simulation exercises, focusing on democratic principles and practices to prevent violence during elections. A training session in Togo also involved community leaders, including peace, reconciliation and human rights officials.", "30. The Regional Centre contributed its expertise in building the capacity of law enforcement and security forces during the elections at the Subregional Forum on Electoral Security in West Africa, held in Conakry on 20 May 2010. The Forum was organized by the Government of Guinea, the United Nations Office for West Africa (UNOWA) and the United Nations Development Programme (UNDP) and was launched to secure the elections in Guinea in July 2010. The purpose of the forum was to identify best practices in other West African countries and regions. The Regional Centre further cooperated with UNOWA by participating in two expert meetings on security sector reform and governance, initiated by UNOWA in Dakar in February 2010. The first expert workshop focused on the governance challenges facing the security sector in West Africa and the second aimed at developing a framework and action plan for security sector reform and governance in the region.", "31. Parliamentarians have also benefited from the African Security Sector Reform Plan, which has helped them to monitor the security sector, in particular by playing an important role in the control of small arms and light weapons. In this regard, the Regional Centre organized a series of seminars for West African parliamentarians in Accra, Bamako, Monrovia and Kadugli.", "32. In Central Africa, the Regional Centre, in cooperation with the African Security Sector Network, organized a series of training sessions for parliaments in the provinces of the Democratic Republic of the Congo in August 2010. [3] The training focused on the concept, legal basis, methodology and strategy of parliamentary oversight of the security sector at the local level. Observers from the defence and security forces, parliamentary assistants and civil society organizations also participated.", "33. In 2010, the Regional Centre, in cooperation with the International Organization of la Francophonie and the African Security Sector Network, published a book on security and justice systems in francophone Africa. [4] The book originated from a workshop on the subject organized by the three above-mentioned organizations in Lomé in 2009, which focused on the political, legal and security sector specificities of French-speaking African countries and made recommendations for security sector reform.", "United Nations Standing Advisory Committee on Security Questions in Central Africa", "34. During the reporting period, the Regional Centre, in its capacity as the United Nations Standing Advisory Committee on Security Questions in Central Africa, provided substantive and technical services to the twenty-ninth, thirtieth, thirty-first and thirty-second ministerial meetings of the Committee. A major achievement of the Committee was the adoption of the Kinshasa Convention. In addition to reviewing the political and security situation in the subregion and issues related to security and nuclear disarmament in accordance with established practice, the Committee discussed other priority issues, including combating piracy, the illegal exploitation of natural resources and its impact on peace and security in Central Africa, the role of women in peace and security and the impact of climate change on peace and security in the region.", "35. The draft convention had been prepared on the basis of extensive consultations with independent experts and governmental experts from outside the subregion and subregion. At the request of member States of the Commission, the Regional Centre drafted the Convention. The Convention was adopted at the thirtieth ministerial meeting of the Committee, held in Kinshasa on 30 April 2010, and opened for signature during the thirty-first ministerial meeting, held in Brazzaville on 19 November 2010. The Kinshasa Convention is broad in scope and takes into account recent developments in global and regional initiatives aimed at combating illicit small arms and light weapons. The Convention also draws on best practices and experiences in Africa and elsewhere. The adoption of the Plan of Implementation of the Convention at the thirty-first ministerial meeting of the Committee demonstrated the commitment of member States to the effective and timely implementation of the Convention.", "36. The Secretary-General welcomes the adoption of the Kinshasa Convention, the first of its kind in the subregion, as a contribution to reducing violence and enhancing peace and security in the countries of the region. The early entry into force and effective implementation of the Convention will help to control the movement of small arms and light weapons across borders and within countries, thereby strengthening peace and security in Central Africa.", "Women, peace and security", "37. With the technical assistance of the Regional Centre, the United Nations Standing Advisory Committee on Security Questions in Central Africa has undertaken four actions to implement Security Council resolution 1325 (2000) on women, peace and security. [5] The Regional Centre also helped women ' s groups to identify the awareness-raising and capacity-building activities needed to implement resolution 1325 (2000), as well as to develop national action plans on resolution 1325 (2000) and develop national women ' s peace and security networks in West and Central Africa. The Regional Centre has also been actively involved in the discussion and documentation of best practices for gender mainstreaming in security sector reform, such as the inclusion of resolution 1325 (2000) as a focus of African security sector reform plans.", "38. The Regional Centre assisted the Government of Togo in the implementation of Security Council resolution 1325 (2000) by organizing a training course in January 2010 in Lomé on violence against women, specifically for women officers of the gendarmerie and security forces. At the request of the Togolese Armed Forces General Staff, the Centre also organized a seminar on gender issues in April 2011 in the Togolese armed forces and security forces. Forty participants from various branches of the Togolese armed and security forces discussed relevant gender issues.", "Other peace and security activities", "39. The Regional Centre participated in disarmament, demobilization and reintegration missions. The missions, led by the Regional Centre on Small Arms and Light Weapons, took place in Libya in July 2010 and Sierra Leone in September 2010. The purpose of the mission was to identify lessons learned from the implementation of the disarmament, demobilization, rehabilitation and reintegration plan in post-conflict situations in the above-mentioned countries, with a view to developing a guide on best practices for practical disarmament in East Africa.", "40. The Regional Centre co-organized with UNDP and the Geneva Secretariat for Armed Conflict and Development a seminar on potential good practices in the prevention and reduction of armed conflict in East and Central Africa. Experts and practitioners from Governments, civil society and international and regional organizations, including members of the United Nations Inter-Agency Armed Violence Prevention Plan, participated in the workshop held in Nairobi in February 2011. [6] Various measures to address this issue were discussed at the seminar, including disarmament, arms control, law enforcement, public education, awareness-raising, economic development, urban planning and environmental design, youth work, health and social policies. The Regional Centre provided knowledge on practical disarmament and addressing armed violence.", "C. Information and outreach", "41. In order to facilitate understanding of the role and activities of the Regional Centre in Africa and in peace, security and nuclear disarmament, the Regional Centre redesigned its website (www.unrec.org) to include more interactive features and links to partner institutions. In addition, in August 2009, the Regional Centre launched a bimonthly e-newsletter entitled Africa and Disarmament Centre Focus, which was distributed to over 1,000 subscribers in Africa and around the world. The newsletter provides information on the main projects and activities of the Regional Centre and on developments in peace, security and disarmament in Africa and the United Nations.", "42. The Regional Centre continued to contribute to disarmament efforts by organizing events. In celebration of the International Day of Peace in 2009 (21 September), the Centre held a press conference on the Secretary-General's campaign “Weapons of mass destruction — disarmament imperative”, and another on the occasion of the entry into force of the Pelindaba Treaty. The Regional Centre also co-organized with other United Nations entities a series of events on the promotion of peace, security and disarmament in Africa, including the Peace Forum, radio and television interviews and public speaking engagements during the commemoration of the International Day of Peace in 2009 and 2010.", "D. Cooperation with regional and subregional organizations and other entities", "43. During the reporting period, the Regional Centre strengthened its cooperation with African regional and subregional organizations and civil society organizations. Such cooperation is essential in order to foster synergies among stakeholders in promoting peace, security and disarmament, including the sharing of information, good practices and lessons learned.", "44. Over the past two years, the Regional Centre has worked more closely with the African Union in promoting disarmament and security in Africa. The Regional Centre participated in the 200th meeting of the African Union Peace and Security Council, held in Addis Ababa in August 2009. The communiqué issued at the meeting outlined two priority areas for cooperation between the African Union and the Regional Centre, namely, the control of small arms and light weapons and the Pelindaba Treaty. [7] The African Union requests the Regional Centre to provide an annual briefing to the African Union Peace and Security Council on disarmament issues in Africa.", "45. The Regional Centre has also strengthened its cooperation with subregional organizations. In that context, the Regional Centre and the Regional Centre on Small Arms and Light Weapons reviewed cooperation under the memorandum of understanding signed between the two parties (signed in July 2009) and identified areas for future cooperation, including the control of brokering in small arms and light weapons, the review of national legislation and the training of security sector personnel in combating illicit trafficking in small arms and light weapons, national registers and databases on small arms and light weapons, stockpile management and capacity-building for parliaments and civil society organizations.", "46. In November 2010, the Regional Centre and ECCAS discussed the types of assistance that the Centre provided to Central African States, in accordance with a memorandum of understanding signed between the two parties in 2007. Areas identified included support for the implementation of the Kinshasa Convention, assistance in the operation of the ECCAS small arms sector, harmonization of national legislation, development of databases and guidelines on small arms and light weapons, training on the Code of Conduct for the Defence and Security Forces in Central Africa and capacity-building of civil society.", "47. In West Africa, the Regional Centre maintained close cooperation with ECOWAS. The parties discussed how to implement the memorandum of understanding signed in 2009 and agreed to focus their cooperation on supporting the ECOWAS Convention, in particular in the areas of harmonizing and reviewing national legislation on small arms and light weapons, regulating brokering and establishing a certification database on transfers of small arms and light weapons.", "48. The Regional Centre has also strengthened its cooperation with African civil society organizations and research and training institutes. The Centre explored with the Kofi Annan International Peacekeeping Training Centre possibilities for cooperation on information exchange and joint programmes. In this regard, the following areas of cooperation were identified: capacity-building of civil society organizations, review of small arms legislation, database management, security sector reform and training of trainers. The Regional Centre served on the Steering Committee of the Small Arms and Light Weapons Control Project of the Kofi Annan International Peacekeeping Training Centre. The Regional Centre cooperated with the Institute for Security Studies in the areas of support for the implementation of the Southern African Development Community Protocol on the Control of Firearms, Ammunition and Other Related Materials and the Pelindaba Treaty; security sector reform; conflict and crisis prevention, disposal and resolution; and research and publication. The Regional Centre also cooperated with the Friedrich Ebert Foundation on issues related to small arms and light weapons and capacity-building for parliamentarians in security sector reform.", "IV. Finance, staffing and management of the Regional Centre", "A. Financial situation", "49. In accordance with General Assembly resolution 40/151 G, the Regional Centre was established using existing resources and voluntary contributions. In 2009 and 2010, voluntary contributions in the amount of $50,112 were received from the Governments of Cameroon, France, Togo and Turkey. During the first half of 2011, the Trust Fund also received a voluntary contribution of $18,971 from the Government of Togo. Information on the financial situation of the Trust Fund for 2009 and 2010 is contained in the annex.", "50. The Secretary-General takes this opportunity to express his appreciation to the Governments of Cameroon, France, Togo and Turkey. He also thanked the Government of the Netherlands for funding an associate expert for the Regional Centre and the Government of Finland for providing the cost of a United Nations Volunteer. The Secretary-General also commends the Government of Austria for its generous contribution to the activities of the Regional Centre. In addition, he thanked the Government of the Democratic Republic of the Congo, the African Security Sector Network, the Friedrich Ebert Foundation, the International Small Arms Action Network, ICRC, the International Organization of la Francophonie, the Institute for Security Studies, Oxfam, the Parliamentary Forum on Small Arms and the Regional Centre on Small Arms and Light Weapons for their cooperation and in-kind support. The Regional Centre also benefited from in-kind contributions from UNDP.", "51. The Regional Centre relies entirely on voluntary contributions to carry out all its programmes and activities. The Secretary-General wishes to note that, at its eighth ordinary session, held in Khartoum from 16 to 21 January 2006, the Executive Council of the African Union called for voluntary financial contributions to the Trust Fund for the Regional Centre. [8] The Peace and Security Council of the African Union renewed this call at its 200th meeting, held on 21 August 2009.", "B. Staffing", "52. Currently, the salaries of one Senior Political Affairs Officer, one Political Affairs Officer (P-3), two General Service support staff and some operational costs for the Director are provided from the regular budget. All other personnel, including project personnel, are funded from voluntary contributions.", "53. During the reporting period, nine staff members of the Regional Centre were funded from extrabudgetary resources. In November 2010, an international United Nations Volunteer, funded by the Government of Finland, worked as a security sector reform expert at the Regional Centre. In September 2010, an associate expert, funded by the Government of the Netherlands, completed his mission to the Regional Centre.", "Conclusion", "54. Through its programme of activities related to small arms and light weapons control and security sector reform in various subregions of Africa, the Regional Centre contributed to strengthening the capacity of Member States and regional and subregional organizations to jointly address issues of peace, security and disarmament facing the continent.", "55. In implementing its programme of activities, the Regional Centre established and strengthened partnerships with other stakeholders on the African continent and in the subregion. The unique role and expertise of the Centre in the field of disarmament, peace and security in Africa was recognized, as evidenced by the increased number of requests for assistance and cooperation received by the Centre from African Member States and intergovernmental organizations.", "56. In addition, the Regional Centre facilitated the exchange and sharing of knowledge, good practices and lessons learned among various stakeholders in Africa. The Centre also draws on the experience and expertise of other United Nations entities, such as the United Nations Regional Centre for Peace and Disarmament in Latin America and the Caribbean and the Asia-Pacific region. This approach contributes to the mutual reinforcement and greater impact of the planning and implementation of their respective activities.", "57. To sustain the programme of activities, the Regional Centre also designed a new portfolio of programmes, which included a number of specific project proposals that reflected the needs of African countries. The programme portfolio includes the strengthening of the capacity of the United Nations Standing Advisory Committee on Security Questions in Central Africa and the Economic Community of Central African States to implement the Kinshasa Convention, including through the harmonization of national legislation with the provisions of the Convention, the development of a subregional database on small arms and light weapons and transfers of small arms and light weapons for use in peace operations, the provision of capacity-building training courses for defence and security forces on the Code of Conduct for Defence and Security Forces in Central Africa, the harmonization of national legislation in West African countries with the ECOWAS Convention on Small Arms, the strengthening of the capacity of the ECOWAS Commission and national authorities to control and control small arms brokers in ECOWAS member States, and the strengthening of the capacity of African civil society organizations to effectively disarm and prevent/red armed violence at the community level through training.", "58. Political and financial support from Member States, regional and subregional organizations remains essential for the Regional Centre to implement programmes to meet the needs of African countries. The Secretary-General calls upon Member States and other donors in a position to do so to make financial and in-kind contributions to the Regional Centre to enable it to carry out its planned programme of activities in accordance with its mandate.", "Annex", "Financial situation of the Trust Fund for the United Nations Regional Centre for Peace and Disarmament in Africa for 2009 and 2010", "(United States dollars)", "2009", "Reserves and fund balances at beginning of year 779 227 264 480", "Income", "Voluntary contributions 40 112 10,000", "Interest income 13 589 25 582", "Other income", "Total income 67 010 947 781", "Expenditure 554 301 383 216", "Programme support costs 72 059 49 818", "Total expenditure", "Reserves and fund balances, end of year (b) 219 877 779 227", "^ (a) $912,199 represents total liabilities, including the 2009 closure and the 2010 rescheduling of programme support costs.", "(b) Includes reserves and fund balances at the beginning of the year, plus income for the year, less expenditure incurred in the year.", "Note: This information is based on the statement of income and expenditure for 2009 and 2010. During the period, contributions totalling $50,412 were received from Turkey ($10,000), Cameroon ($9,029.34), France ($12,204) and Togo ($18,878.84). From 1 January to 30 June 2011, a total of $18,971 was received from the Government of Togo.", "[1] See http://www.africa-union.org/root/au/organs/2000%20communique%20UNREC%20EN.pdf.", "[2] See http://www.poa-iss.org/poa/Documents/Kinsasa_Outcome_Document.pdf.", "[3] Kasai Occidental, Bas-Congo and South Kivu.", "[4] Laréforme des systèmes de sécuritéet de justice en Afrique francophone, available at www.frenchphonie.org/IMG/pdf/reformes_systemes_security.pdf.", "[5] Each Member State designates a focal point for the implementation of resolution 1325 (2000) from among the ministries responsible for peace and security; includes women in national delegations to international and regional disarmament conferences; includes women in national commissions on small arms and light weapons; reaffirms the commitment of Member States to comply with and implement the four then Security Council resolutions on women, peace and security; and submits the necessary national reports.", "[6] The agencies concerned are UNDP, the United Nations Human Settlements Programme, the United Nations Children ' s Fund, the United Nations Office for Disarmament Affairs, the United Nations Office on Drugs and Crime and the World Health Organization.", "[7] See http://www.africa-union.org/root/au/organs/2000%20communique%20UNREC%20EN.pdf.", "[8] EX.CL/243 (VIII) Add.7 can be found at http://www.africa-union.org/root/au/Documents/Decisions/com/AU6th_ord_Countil_Disions_Jan2006_Khartoum.pdf." ]

[ "大会", "第六十六届会议", "临时议程[1] 项目98(t)", "全面彻底裁军：小武器和 轻武器非法贸易各方面问题", "2011年7月14日新西兰常驻联合国代表给秘书长的信", "谨就我有幸于5月9日至13日在纽约主持召开的联合国从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领不限成员名额政府专家会议致函阁下。", "在本次会议过程中，我设法汇总了每项主题讨论的要点，随函附上汇编文件。这份摘要虽在会议上正式提出，成为为会议报告的参考资料，但其是我个人负责起草，反映我个人对讨论要点的理解。本文不寻求提供一份完整的讨论记录，也不应被视为反映会员国共识。", "会议召开后，一些与会者要求更广泛地分发这份摘要，以协助会员国有效致力于实施《行动纲领》，因此，请将本信及其附件作为大会文件分发为荷。", "常驻代表", "吉姆·麦克莱(签名)", "附件", "主席提出的关于2011年5月9日至13日在纽约召开的从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领执行情况不限成员名额政府专家会议的讨论摘要", "本摘要概述2011年5月9日至13日在纽约召开的《从各个方面防止、打击和消除小武器和轻武器非法贸易的行动纲领”》执行情况不限成员名额政府专家会议的核心讨论内容。本摘要由主席本人负责起草，反映他本人对讨论要点的理解。本文不是一周讨论的所有问题的完整记录，也不应被视为反映会员国对讨论中任何具体观点达成的共识。", "一. 导言", "根据《小武器行动纲领》的要求，会员国每两年召开一次双年度国家会议或审议大会。2009年，会员国决定再召开一次不限成员名额政府专家会议，讨论联合国小武器进程执行方面的重大挑战和机遇。在广泛协商的基础上，标识、记录与合作追查被定为会议的核心专题，国家框架、区域合作以及国际援助和能力建设则为交叉主题。", "大会2005年通过的《使各国能够及时和可靠地识别和追查非法小武器和轻武器的国际文书》(《国际追查文书》)是以2001年的《行动纲领》为基础制订的。该文书在《行动纲领》会议框架中讨论并适用于所有会员国。", "《国际追查文书》是协助会员国有效、具体地打击和防止小武器和轻武器非法扩散的核心工具。追查非法武器可以使会员国监控和切断贩运路线，并确定武器从何处进入非法供应链。该文书制订了全面、具体的国际标准，指导会员国实施三个主要支柱——即标识、记录与合作追查。这三个支柱高度相互依存：成功的追查依靠适当的标识、记录和国际合作。此外，根据这项文书，任何形式的犯罪和冲突局势中均可发现武器踪迹。", "该文书借鉴了2001年《行动纲领》和具有法律约束力的2011年《打击非法贩运枪支及其零部件和弹药的议定书》(《火器议定书》)，补充了并非所有会员国都加入的《联合国打击跨国有组织犯罪公约》。《火器议定书》从执法角度概述了有关枪支标识、记录和追查的一些规定和措施。在《国际追查文书》序言中，会员国确认了这两份文书的互补性。", "该文书鼓励国际、区域和双边层面的合作、援助和能力建设，以支持切实执行。《行动纲领》还强调为追查目的开展区域合作，包括加强信息交流机制。", "二. 标识", "主席在标识专题讨论中首先发言，在讨论文件基础上回顾了该领域的主要国际规定。该文书规定了制造小武器、轻武器时的标识内容，明确说明标识必须独特，可使所有会员国能够立即查明制造国(第8(a)段)。该文书关于制造后标识问题的承诺包括政府武装和安全部队库存标识(第8d段)以及国家领土上发现的所有非法小武器和轻武器的标识(第9段)。《国际追查文书》还强调了进口标识的重要性，指出这是对《联合国火器议定书》缔约国的要求(《国际追查文书》第8b段；《火器议定书》第8(1)(b)条)。《国际追查文书》虽然指出了标识方式的选择(标记、刻蚀等)属于国家特权，但规定了武器标识的物理特性(第7段)和标识放置(第10段)。为补充这些规定，《行动纲领》和《联合国枪支议定书》中都包括了防止拥有和交易未标识或标识不当的小武器和轻武器的方法(《行动纲领》第二节第8段，《枪支议定书》第5条)。", "随后，加拿大皇家骑警的Murray Smith先生作了专家陈述，探讨了该主题的各个方面。巴西代表介绍了本国的案例研究。", "在随后关于标识专题的讨论中，与会者确认了执行工作的重大挑战和机遇；交流了意见并分享了相关的本国经验，还审议了解决常见问题的实际方法。", "与会者分享了本国标识做法的信息，包括标识内容和方法。他们讨论了制造时和制造后的标识问题，包括政府武装和安全部队库存的标识、本国领土上的武器标识和进口时的标识。", "一些与会者指出，武器制造和设计的新发展和新趋势为标识带来了额外的挑战，这些挑战包括：", "• 设计特征相似的各类武器的开发，以及由此产生的误认风险增加", "• 武器设计组件化趋势，即主要零部件的例行更换。", "另外，一些与会者强调聚合物结构武器所带来的特有挑战，特别是在确保制造和进口这些武器时标刻持久标识方面所固有的问题。", "一位与会者建议成立一个技术委员会，由行业和政府代表组成，审议此类新发展，制订处理此类问题的可行办法。", "一些与会者强调进口标识可在方便追查方面起到重要作用，他们也认识到，进口标识带来特殊挑战，即要能够追查武器(为此必须加刻持久标识)，又要考虑武器的安全性和实物完整性，两者之间很难取得平衡。", "与会者强调的其它挑战包括：", "• 序列号和其它标识的伪造、更改或去除", "• 非法零部件的交易(即用非法零部件组装未标识武器)", "• 根据《国际追查文书》，需在国内管制框架内为制订临时合法武器出口(和再进口)规定(如海外狩猎规定)", "• 将手工生产纳入国家监管体系", "• 与标识有关的设备缺乏、专业技能不足和其它能力缺乏。", "一些与会者关切地注意到，报告本国《国际追查文书》执行情况的国家数目偏低，并鼓励将更多的技术细节纳入国家报告。", "许多与会者强调了标识对在追查方面有效开展合作的重要性，并认识到资源缺乏有碍全面执行《国际追查文书》中有关标识的规定。与会者指出了一些具体的援助和能力建设需求，包括：", "• 培训，包括武器鉴别执法人员的持续培训", "• 采购必要设备，包括标识器", "• 强化现行立法和采用新的立法", "• 转让相关技术，使标识更不易被误认和去除。", "除了讨论执行工作的重大挑战外，与会者们还审议了一系列解决办法并制订了克服这些挑战的具体提案。在有关进口标识的问题上，一些与会者建议要求武器制造商在移交武器前加刻进口标识。一些与会者还强调新技术的潜力，例如，进口标识的激光刻蚀以及武器标识电子数据库和数码图像。一些与会者还指出，隐藏标识可成为有效的工具，补充武器表面的常规标识，用于提高武器的可追踪性，打击篡改或去除标识的企图。", "许多与会者都强调在标识问题上颁布适当立法的重要性，包括需要制订适当的刑罚和证据规则(例如，因拥有去除标识的枪支而造成的举证责任转移)。一些与会者表示正在努力制订新的方法，用于恢复去除的标识。", "一些与会者分享了他们在提高手工生产者对有关国内法律和刑罚的认识方面、以及在培训手工生产者对其生产的武器加刻标识方面获得的经验。一些与会者还指出了小武器标识和轻武器标识的不同。", "一些与会者表示，对于在冲突地区的追踪工作，聚合物结构武器标识方面的困难与冲突区武器追查工作不那么相关，因为这类武器在冲突地区使用有限。", "在整个讨论过程中，与会者概述了一系列解决标识能力不足的成功经验，包括强化信息共享，改善国际、区域和次区域层面的援助协调和资源联营，以及加强与捐赠国政府、联合国各机构和其它国际和地区组织的伙伴关系。", "三. 记录", "主席在记录专题讨论中首先发言，在讨论文件基础上回顾了该领域的主要国际规定。《国际追查文书》笼统规定了记录方法，特别指出，记录方法的选择属于国家特权。但目标十分明确，即建立和保存追查行动所需准确和全面的记录(第11段)。更具体来说，会员国承诺尽可能无限期保存与标识小武器和轻武器有关的记录。他们同意在任何情况下保存生产记录至少30年，保存包括进出口记录在内的所有其他记录至少20年。《国际追查文书》因此延长了《火器议定书》规定的保存火器记录至少10年的最低期限，不过，与《国际追查文书》不同的是，《火器议定书》鼓励各国一并保存有关火器零部件和弹药的记录(第7条)。", "澳大利亚犯罪委员会的Gary Fleetwood作了专家陈述，探讨了该专题的各个方面。肯尼亚代表随后介绍了本国案例研究。", "在随后关于记录专题的讨论中，与会者确定了实施工作面临的主要挑战与机遇；交流了意见并分享了各国相关经验；还审议了解决常见问题的实际方法。", "与会者确认，各国的记录做法有很大差别。他们指出，部分原因在于不同的宪政结构，联邦制国家的记录系统往往分多个层级，十分复杂。", "尽管如此，与会者仍普遍强调，各国的记录系统存在很多共同特征，尤其它们的核心目标均为及时可靠地开展追查行动。许多与会者就此指出，记录保存不充分和(或)不准确是导致追查失败的主因。许多与会者提及另一共同目标，即将记录用于起诉与武器有关的犯罪。", "与会者确定了若干成功保存记录的前提条件。其中包括：", "• 建立适当的立法框架，其中要求各相关行为体保存记录", "• 在武器上打上可靠的标识，以确保记录的独特性", "• 有效执法，包括对违规行为进行制裁", "• 将记录保存足够期限", "• 与私营部门密切合作，包括规定结束业务的公司将武器记录移送政府。", "讨论反映了各国对规定武器记录保存期限的不同做法。一些与会者表示，本国记录系统规定的保存期限短于《国际追查文书》规定的期限。还有与会者强调，本国的规定达到或者超出了《国际追查文书》规定的保存生产记录30年和保存其他记录20年的最低标准。若干与会者报告称，所有记录均无限期保存，并指出电子存储数据的方法节省了开支。这些与会者强调，无限期保存记录可对追查行动的有效开展产生重要的长远利益。", "与会者还审议了是否应在销毁武器以后删除相应记录。一些与会者提出，这种做法可能会增大武器被转用于非法用途的风险，使追查行动更加困难。其他与会者认为没有必要在有效销毁武器以后继续保留相应记录。", "与会者还概述了为应对实施工作面临的主要挑战而采取的措施。一些与会者表示，他们的政府正在建立火器集中登记系统。许多其他与会者概述了他们在将有纸记录转换为电子格式方面做出的努力。有人指出了这个领域特有的挑战，包括合格人员不足、软件的局限性以及在转变进程中需要强有力的项目控制。", "若干与会者还强调，合格且数量足够的人员配置对于成功准确保存手动和电子格式的武器登记信息十分重要。一些与会者还强调，当前对有关公务人员的定向持续培训，是确保数据的准确性并因此促进有效识别和追查武器的核心要素。与会者确定了其他几个与准确有效保存记录有关的挑战，其中包括：", "• 确保一国的多个登记系统保持统一性和数据联系", "• 整合由执法机构和军事机构分别操作的记录系统", "• 确保准确识别武器及其标识，并将此信息准确录入登记系统，以便成功追查武器", "• 防范未经授权进入记录保存系统，防范有权限者未经授权使用记录", "• 在冲突后环境中并在国家设法加强小武器流通控制的其他背景下记录武器，同时收缴和销毁武器。", "一些与会者概述了可用于加强国家记录系统准确有效运作的高成本效益的具体措施。其中包括用于建立和维护电子记录系统的实际措施，例如，规定创建电子记录的内容下限，采用计算机监测办法搜索系统中的不兼容数据，以及定期抽查记录以确保存储数据的准确性和一致性。", "许多与会者强调，需要提供资金、物资和技术援助以支助本国记录活动。若干与会者特别请求提供技术援助，以帮助其国家当局设法从纸质记录向电子格式转换。若干与会者就此强调了适当培训人员和提供技术设备的重要性。一些与会者着重指出，必须进行能力建设，以确保在冲突后环境中有效保存记录，以此作为涉及面更广的武器收缴方案的组成部分。若干与会者强调，火器登记工作的人员配置不足——更笼统地说，火器登记资源不足——是另一个必须优先关注的问题。", "四. 合作追查", "主席在合作追查专题讨论中首先发言，在讨论文件基础上回顾了该领域的主要国际规定。《国际追查文书》在《行动纲领》和《联合国火器问题议定书》的基础上制定了一套比较详细的规则，适用于追查请求的发出和回复。《国际追查文书》强调，任何追查请求必须载有充分的资料，包括标识、类别和口径，以及索要资料的预期用途(第17段)。接到追查请求的国家要在合理时间内确认收到请求(第19段)。它们还负责提供请求国索要的一切与追查目的相关的现有资料(第20段)。任何延迟或对回复内容的限制或拒绝回复的行为都必须符合第22段规定的例外情况并说明原因(第23段)。与记录工作一样，追查系统的选择也属于国家特权。但《国际追查文书》规定，各国必须确保本国有能力依照文书的要求进行追查和对追查请求作出回复(第14段)。", "国际刑事警察组织(国际刑警组织)的Tracy Hite和联合国毒品和犯罪问题办公室(禁毒办)的Simonetta Grassi分别作了专家陈述，探讨了该专题的各个方面。", "在随后关于合作追查专题的讨论中，与会者确定了实施工作面临的主要挑战与机遇；交流了意见并分享了各国相关经验；还审议了解决常见问题的实际方法。", "与会者讨论了如何在实践中，特别是在《国际追查文书》框架内开展合作追查。他们分享了一系列各国经验，很多与会者强调，武器追查是关键的调查工具，一些与会者阐述了如何在犯罪和冲突环境中运用追查手段。", "若干与会者回顾，追查行动并不是孤立的，事实上，它与弹道信息系统等工具同属一套更大的工具组合。许多与会者强调，追查行动对查明和可能打乱非法军火流动——以及对起诉此类活动的参与者——十分重要。一些与会者称，当前追查行动的潜力未得到充分发挥；而且存在一种趋势，即与其他更易于起诉的犯罪活动相比较，对火器犯罪的起诉更有可能受到忽视。但是许多与会者强调，随着火器贩运等犯罪活动日益全球化，有效追查武器比以往更加重要。", "会议集中讨论了以执法为目的开展武器追查，一些与会者表示，本国当局还在联合国安全理事会维护国际和平与安全工作框架内，响应联合国制裁委员会下属专家组提出的追查请求。", "与会者分享了范围广泛的追查经验。一些与会者报告称，他们追查行动的成功率很高，特别是很多国家引进系统标识和记录办法后最近几十年生产的武器。其他与会者报告称，他们发出的一些追查请求没有得到任何回复。", "若干与会者强调了国际刑警组织的信息基础设施特别是国家中心局系统的作用。他们还指出双边和区域框架对合作追查的重要性。", "一些与会者指出，追查失败主要归结于两个关键因素：识别资料不充分以及武器(包括武器标识)的识别不准确。许多与会者强调，在追查请求中提供充足资料十分重要，其中包括最低限度的武器资料和有关案件的补充资料。一些与会者报告称，记录缺失妨碍了一些案件追查行动的有效开展。", "若干与会者表示，与武器生产厂家的合作情况总体良好。他们还强调，企业和政府之间的伙伴关系对有效开展追查行动和应对新出现的技术和政策挑战至关重要。", "确定的其他挑战包括：", "• 妨碍及时提供数据的法律和行政障碍，包括多层记录系统国家中的此类障碍", "• 促成不同国家有关公务人员直线沟通", "• 接受请求的国家中发布追查资料方面的保密规定与司法程序中的披露规则相互冲突", "• 迟迟不处理追查请求，可能造成追查工作结束前嫌犯因证据不足而被释放", "• 很难追查跨越了若干条国界的武器", "• 许多小武器和轻武器使用期长且所有权链错综复杂", "• 特许生产方式有时导致错误识别生产厂家和(或)生产国。", "一些与会者在确定这些挑战的同时，也着重提出了可在各种情况下加强武器追查和更有效使用追查手段的应对措施。其中包括：", "• 新出现的使用数码摄影改善武器识别的情况", "• 使用验证标记克服来源国信息缺失问题", "• 使用实验室技术部分恢复被抹去的标识", "• 使用追查结果(包括犯罪地点和犯罪行为人信息)开展定向执法干预", "• 通过武器追查行动查明武器贩运者可能参与的特定犯罪活动", "• 使用追查结果评估国家进口管制实效", "• 向国家、区域和国际各级相关机构通报被追查的小武器情况，以协助防止转用。", "许多与会者强调，必须建设有效追查能力。他们强调，适当的体制能力对开展追查工作十分重要；并着重指出，必须有充分的人力、物力和财政资源，包括对相关人员进行改进武器识别方法的培训。", "五. 国家框架", "主席在国家框架专题讨论中首先发言，在讨论文件基础上回顾了该领域的主要国际规定。各国认识到，解决小武器和轻武器非法贸易各方面相关问题是各国的主要责任(《行动纲领》，第三节，第1段)。根据《国际追查文书》，联合国会员国承诺制定尚不到位的必要法律、条例和行政程序，以确保有效实施《国际追查文书》(第24段)。相关承诺包括指定一个或多个国家联系点，以开展追查工作和更广泛地执行该文书，包括交流国家执行情况(第25段)。", "禁毒办的Simonetta Grassi随后作了专家陈述，借鉴在协助各国实施《联合国火器议定书》方面积累的经验和开展的活动，探讨了该主题的各方面问题。安全研究所的Guy Lamb也作了专家陈述。", "在随后关于国家框架专题的讨论中，与会者确定了执行方面的关键挑战和机遇；交换了意见并分享了相关经验；还审议了旨在解决常见问题的实际办法。", "与会者就国家立法和《国际追查文书》执行方面的体制结构相互交流了信息和经验。", "一些与会者提出一般性观点，包括制定国家清单罗列实施差距和需求的重要性以及将各国标识、记录和追查方面的国家框架与国家发展等相关领域的国家规划挂钩所具有的增值作用。一些与会者概述了本国政府拟定或颁布新立法、或修改和加强现有立法的计划。", "一些与会者注意到，摆脱武装冲突的国家与将追查主要用于执法的国家相比，两者的追查经常是不同的；尽管讨论也揭示了一些共同之处。", "若干与会者强调了全面实施现有法律的必要性，并着重指出有效执法的重要性。就执法而言，一些与会者再次强调指出，抓住各种机会起诉与火器有关的罪行及相关罪行十分重要。", "许多与会者注意到“政府一体化”方法在加强国家协调方面的重要性，并分享了其在利用具体机制和政策工具组织政府各部门参与和开展协调一致行动方面的经验。", "一些与会者特别提及用于加强协调的机制中的国家火器(或小武器)委员会、国家火器平台和国家管理委员会。若干与会者强调，需要多方广泛参加这些机构，使参与实施《国际追查文书》和《行动纲领》的所有政府机构以及工业和民间社会的其他代表能够携手合作。", "许多与会者指出，国家行动计划是支持标识、记录和追查工作的关键政策工具。", "一些与会者强调，可在许多领域使用这些机制和政策工具，尤其是用于：", "• 制定和完善国家小武器政策", "• 审查国家现有立法和程序的执行情况", "• 政府各部门间分享信息和协调政策", "• 查明实施《国际追查文书》和《行动纲领》的需求和差距。", "与会者讨论了如何将用于武器标识、记录和追查的国家框架与双边、区域和国际框架挂钩。在这方面，许多与会者强调了国家联系点和国家报告在促进全面实施方面所起的关键作用。", "若干与会者强调，需要建立以警察为基础的国家联系点用于开展追查工作。这些与会者解释称，他们认为警方渠道可更好地保护追查合作方面的机密信息。一些与会者指出，本国当局额外指定了一个国际追查文书联系点，以交流与实施情况有关的一般信息，包括援助需求。还有人提及，应建立一个单一的国际追查文书联系点，不一定要以警察为基础。", "一些与会者述及该领域所面临的挑战包括：", "• 确保特别通过行动纲领执行支持系统网站，向联合国全体成员国有效传递联系点信息", "• 确保各政府机构就单一的追查工作联系点达成协议。", "另外，若干与会者对迄今国际追查文书实施情况报告较少，包括由此产生的信息交流不足表示关切。他们指出，他们认为采用双年度报告时间表在某种程度上减轻了报告《国际追查文书》——以及越来越多情况下报告《行动纲领》——实施情况的负担。", "如在其他专题领域一样，许多发言的与会者都强调，国际援助和能力建设对落实、巩固和加强国家标识、记录和追查框架至关重要。", "与会者所强调的具体能力建设需求包括：", "• 审查和制定立法", "• 分享技术专门知识", "• 提供设备。", "一些与会者还强调，捐助方需要相互协调，以确保各国在标识、记录和追查领域采取协调一致的行动。还有与会者提到各种挑战，涉及相关人员保持必要水平的专门知识以及获得相关技术方面的语言障碍。许多与会者强调，他们将双边、区域和国际框架视为各国努力不可或缺的补充。", "六. 区域合作", "主席在区域合作专题讨论中首先发言，在讨论文件基础上回顾了该领域关键的国际标准和需求。《国际追查文书》鼓励区域一级的合作，以支持《国际追查文书》的有效实施(第26段)。《行动纲领》同样强调了以追查为目的的区域合作，包括加强信息交流机制(第三节，第1段)。", "随后，大湖区和非洲之角小武器区域中心提出了一份区域案例研究报告，探索该专题的方方面面。", "在随后关于区域合作专题的讨论中，与会者确定了实施过程中的关键挑战和机遇；交换了意见并分享了相关经验；还审议了解决常见问题的实际办法。", "就该问题发言的许多与会者强调，区域合作对于实施《国际追查文书》和《行动纲领》一直十分重要。若干与会者指出，加强区域合作方面已经取得实质性进展，并强调其在实施工作中的持续重要作用。", "与会者讨论了区域组织在实施《国际追查文书》和《行动纲领》各个方面援助各国的多种方法，包括：", "• 协调区域和次区域各级国家行动", "• 制定示范立法、区域实施标准和最佳做法准则", "• 组织区域会议和研讨会", "• 协助各国评估其需求", "• 建设机构能力", "• 开展培训和其他能力建设活动", "• 加强区域和次区域组织与联合国机构的合作。", "一些与会者强调，为了发挥最大效力，区域组织需要定期与成员国联系。还有一些原则也强调开展有效的区域合作，其中包括连续性、互补性和高成本效益。关于高成本效益，一些与会者强调，需要尽可能利用有限的资源，并重点采取尽可能产生最广泛影响力的举措。", "一些区域组织报告了其工作细节，除武器标识、记录和追查工作外，还介绍了旨在解决更广泛小武器问题的各项措施。", "若干与会者表示，小武器区域中心和美洲国家组织(美洲组织)等区域组织提供标识器是值得效仿的区域合作范例。", "许多与会者还列举了区域和次区域组织互动的例子，表明这促进了专家之间的经验交流，并有助于知识的获取。一些与会者还指出，区域会议和讲习班正在构建和加强区域和次区域组织之间的关系。", "另一方面，一些与会者表示，区域和次区域组织有可能过度扩张，从而疏远成员国，致使在一定程度上效力不彰。一些与会者指出，区域合作程度视区域和次区域情况不同而不尽相同。这些与会者表示，在区域合作比较有限的地区，双边和三边关系不妨是有用的替代办法。", "与会者提及区域一级的若干其他挑战。包括：", "• 某些区域的国家立法不统一", "• 某些问题领域没有法律规章，例如标识领域", "• 后勤和交通方面的不足(有碍向有需要的地区运送标识器)", "• 捐助方对某些区域缺乏关注", "• 各组织在某一区域重复工作", "• 对小武器问题认识有限，某些社区不愿参与解决这些问题。", "多数与会者强调了国际援助包括技术和财政援助的必要性。有人指出，援助工作需要透明和协调一致，以避免重叠和重复。", "与会者提出了对加强区域合作尤为重要的几大要素，包括：", "• 支持制定国家行动计划和相关的国家立法", "• 促进交流信息和经验教训", "• 建立并加强区域组织之间的联系", "• 与民间社会和研究机构建立强有力的伙伴关系", "• 为缺乏有效合作机制的区域建立安全网。", "七. 国际援助和能力建设", "主席在国际援助和能力建设专题讨论中首先发言，在讨论文件基础上回顾了该领域关键的国际规范和原则。《国际追查文书》强调国际援助和能力建设对有效实施该文书十分重要(27至29段)，鼓励各国提供技术、财政和其他援助，协助建立标识、记录和追查方面的国家能力，并审查——和协助转让——有助于改善追查和侦查非法小武器和轻武器的技术(第27至28段)。还强调与联合国(就信息交流方面)和国际刑警组织(就操作方面)的合作(第30至35段)。", "随后，秘书处裁军事务厅的丹尼尔·普林斯作了专家陈述，探索了该专题的方方面面。", "在随后关于国际援助和能力建设专题的讨论中，与会者确定了实施过程中的关键挑战和机遇；交换了意见并分享了相关经验；还审议了解决常见问题的实际办法。", "就这个问题发言的众多与会者强调了国际援助和能力建设在实施《国际追查文书》和《行动纲领》的过程中所起的关键作用。若干与会者指出，援助和能力建设都是共有问题，在整个《国际追查文书》和《行动纲领》占有突出位置。还有与会者指出，此类援助具有自愿性质。", "许多与会者强调了加强国际援助和能力建设包括技术和财政援助的必要性。若干与会者提出了与标识、记录和追查相关的具体要求。有人指出，援助工作需要和协调一致，以避免重叠和重复，还必须使援助在整个政府内部保持协调。", "国家、区域和国际组织的代表都举了许多例子，说明了各自接受和提供援助的种类。其中包括：", "• 技术援助", "• 财政援助", "• 提供设备，包括标识器和记录软件", "• 技术转让", "• 培训，包括数据输入和标识器使用", "• 机构能力建设", "• 开发和提供实施《国际追查文书》和《行动纲领》的工具，包括示范立法、准则和标准", "• 建立有助于需求和资源匹配的机制，例如关心国家小组和网络行动纲领执行支持系统", "• 信息交流", "• 小武器研究、研讨会和讲习班。", "与会者举例说明双边、区域和国际各级开展的国际援助和能力建设。与会者还指出，在援助方面所做的努力有助于受援国和捐助国的能力建设，因为这能加强机构间的合作，并提高捐助国相关机构的认识。", "一些与会者指出南南合作作为南北合作的补充所具有的重要作用。一些与会者还指出援助机构在提供相关援助方面所起的作用，并强调了让其参与小武器进程的重要性。", "几个与会者对提供援助时强加条件表示关切，强调捐助国应采取平等方法，继续以开放态度向所有要求援助的国家提供援助。", "另一方面，一些与会者强调，受援国也应具备一定的责任感，并同时指出国家自主权对援助的成功和效力至关重要。一些与会者表示，受援国除了自我确定援助需求外，也有责任利用现有的国家资源包括人力资源支助小武器计划和项目。他们还指出，继续为受援国的执行工作提供政治支持至关重要。", "若干与会者承认，提供援助没有“一刀切”方法，需要一定的灵活性以适应受援国的不同需求和情况。", "许多与会者强调，能力建设需要全面方法，以确保通过不断提供支助取得长期功效。此类不断提供支助的范例包括：标识器的适当维护和使用培训；提供计算机或记录软件等相关设备以及相关培训以及后勤支助。", "讨论中强调的其他重要原则包括：国际援助和能力建设的协调、统一和功效。", "一些与会者指出，成立一个联合国信托基金十分重要，可提供专门支助，以应对各国在实施《国际追查文书》和《行动纲领》时的援助需求；裁军事务厅就设立了这样一个信托基金。", "与会者还提及若干其他挑战。其中包括：", "• 需求和资源相匹配", "• 确保统一和协调的援助方法", "• 确保知识和技术转让的可持续性", "• 建设自我确定援助需求的能力。", "[1] ^(*) A/66/150。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 98 (t) of the provisional agenda*", "General and complete disarmament: the illicit trade in small arms and light weapons in all its aspects", "Letter dated 14 July 2011 from the Permanent Representative of New Zealand to the United Nations addressed to the Secretary-General", "I write to you with regard to the open-ended meeting of governmental experts on the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, which I had the honour of chairing in New York from 9 to 13 May 2011.", "During the course of this meeting, I sought to summarize key points arising from discussions under each main theme, which I have compiled in the attached document (see annex). While formally tabled at the meeting and referenced in the meeting report, this summary was prepared under my own responsibility and reflects my interpretation of the main points under discussion. It does not seek to provide a full record of discussions, nor should it be seen as reflecting the consensus view of States.", "Since the meeting, a number of participants have asked that the summary be made more widely available to assist States in their efforts to effectively implement the Programme of Action. I therefore request that the present letter and its annex be issued as a document of the General Assembly.", "(Signed) Jim McLay Permanent Representative", "Annex", "Summary by the Chair of discussions at the open-ended meeting of governmental experts on the implementation of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, 9 to 13 May 2011, New York", "The present summary outlines core elements that were discussed during the open-ended meeting of governmental experts on the implementation of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, held in New York from 9 to 13 May 2011. The summary was prepared by the Chair under his own responsibility and reflects his interpretation of the main points under discussion. It does not represent a full record of all issues discussed during the week, nor should it be seen as reflecting the consensus view of States on any specific points covered in it.", "I. Introduction", "Under the Programme of Action on Small Arms, Member States meet every two years for a biennial meeting of States or a review conference. In 2009, States decided to convene, additionally, an open-ended meeting of governmental experts to address key implementation challenges and opportunities in the United Nations small arms process. On the basis of extensive and broad-based consultation, marking, record-keeping and cooperation in tracing were identified as the core themes for the meeting, together with the cross-cutting themes of national frameworks, regional cooperation, and international assistance and capacity-building.", "The International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons (International Tracing Instrument), adopted by the General Assembly in 2005, was developed on the basis of the 2001 Programme of Action. The Instrument is discussed within the framework of the Programme of Action meetings and applies to all Member States.", "The International Tracing Instrument is a central tool for assisting States in combating and preventing the illicit proliferation of small arms and light weapons in an effective and concrete manner. Tracing illicit weapons allows States to monitor and disrupt trafficking routes and to identify points of diversion. The Instrument sets out comprehensive and detailed international standards to guide States in their implementation of the three main pillars of marking, record-keeping and cooperation in tracing. The three pillars are highly interdependent: successful tracing depends on adequate marking, record-keeping and international cooperation. Moreover, in accordance with the Instrument, weapons can be traced in all forms of crime and conflict situations.", "The Instrument builds on the 2001 Programme of Action and the legally binding 2001 Protocol against the Illicit Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime, to which not all Member States are parties. The Firearms Protocol outlines a number of requirements and measures regarding the marking, record-keeping and tracing of firearms from a law enforcement perspective. In the preamble of the International Tracing Instrument States recognized the complementary nature of these two instruments.", "The Instrument encourages cooperation, assistance and capacity-building at the international, regional and bilateral levels to support effective implementation. The Programme of Action further emphasizes regional cooperation for tracing purposes, including the strengthening of information exchange mechanisms.", "II. Marking", "The Chair began discussions under the theme of marking by recalling key international requirements in this area on the basis of the discussion papers. The Instrument prescribes the content of small arm/light weapon markings at the time of manufacture, specifying that they must be unique and allow all States to readily identify the country of manufacture (para. 8 (a)). Commitments under the Instrument relating to post-manufacture marking include the marking of Government armed and security force stockpiles (para. 8 (d)) and the marking of all illicit small arms and light weapons found on national territory (para. 9). The Instrument also emphasizes the importance of import marking, noting that it is a requirement for States parties to the Firearms Protocol (International Tracing Instrument, para. 8(b), Firearms Protocol, art. 8(1)(b)). While the Instrument indicates that the choice of marking methods (stamping, engraving, etc.) is a national prerogative, it prescribes the physical characteristics of weapons markings (para. 7), as well as their placement (para. 10). Complementing these provisions, both the Programme of Action and the Firearms Protocol include measures to prevent the possession of, and trade in, unmarked or inadequately marked small arms and light weapons (Programme of Action, sect. II, para. 8; Firearms Protocol, art. 5).", "An expert presentation exploring aspects of this theme was then provided by Murray Smith of the Royal Canadian Mounted Police. This was followed by a national case study presented by the representative of Brazil.", "During their subsequent discussion on the topic of marking, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant national experiences; and considered practical solutions to overcome common problems.", "Participants shared information on their national marking practices, including on the contents and methods of marking. They discussed marking at the time of manufacture as well as post-manufacture marking, including the marking of Government armed and security force stocks, the marking of weapons found on national territory and marking at the time of import.", "Several participants noted that new developments and trends in the manufacture and design of weapons posed additional challenges for marking. These included:", "• Development of weapons families with similar design features and consequently an increased risk of misidentification", "• The trend towards modularity in weapons design, namely the routine changing of major components.", "Moreover, some participants emphasized the specific challenges posed by polymer frame weapons, in particular the practical problems inherent in ensuring a durable mark on these weapons, at both the time of manufacture and of import.", "One participant suggested the establishment of a technical committee, composed of industry and government representatives, to consider new developments of this kind and articulate possible approaches to addressing them.", "Several participants highlighted the key role that import marking can play in facilitating tracing. It was also acknowledged that import marking posed particular challenges in balancing the need for weapons traceability, for which durable marking was essential, with considerations regarding the safety and physical integrity of the weapon.", "Other challenges highlighted by participants included:", "• Falsification, alteration or erasure of serial numbers and other markings", "• Trade in illicit parts (namely, reconstituting an unmarked weapon from such parts)", "• The need to make provision in national control frameworks for the temporary lawful export (and re-import) of weapons in accordance with the Instrument (for example, for hunting overseas)", "• Incorporation of craft production into national regulatory systems", "• Lack of equipment, expertise and other capacity shortfalls related to marking.", "Some participants noted with concern the low number of countries reporting on their implementation of the Instrument and encouraged the inclusion of more technical detail in national reporting.", "Many participants underlined the importance of marking for effective tracing cooperation and acknowledged that a lack of resources was preventing full implementation of the provisions of the Instrument on marking. A number of specific assistance and capacity-building needs were identified, including:", "• Training, including the continuous training of law enforcement personnel in weapons identification", "• Acquisition of necessary equipment, including marking machines", "• Strengthening of existing legislation and the adoption of new legislation", "• Transfer of relevant technology, including for purposes of rendering marking more resistant to efforts at falsification and sanitization.", "In addition to the discussion on key challenges to implementation, participants considered a range of solutions and articulated concrete proposals to overcome such challenges. In relation to import marking, some participants suggested that weapon manufacturers be required to put import marks on weapons prior to their transfer. Several participants also highlighted the potential of new technologies such as laser engraving for import marking and electronic databases and digital photography for weapons identification. Some participants also noted that covert markings, applied in addition to regular markings on the weapon’s surface, could be a useful tool for enhancing weapon traceability and for countering attempts to falsify or sanitize markings.", "Many participants highlighted the importance of enacting adequate legislation on marking, including the need for appropriate penalties and evidentiary rules (for example, shifting the burden of proof for the possession of firearms with sanitized markings). Some participants described efforts being undertaken to develop new methods for the recovery of sanitized markings.", "Some participants shared their experience in raising awareness among craft producers of applicable national laws and penalties and in training craft producers in marking the weapons they manufactured. Some participants also noted practical differences regarding the marking of small arms versus the marking of light weapons.", "Some participants stated that difficulties associated with the marking of polymer frame weapons were less relevant for tracing in conflict zones where the use of such weapons was limited.", "Throughout the discussions, participants outlined a range of positive experiences in tackling marking capacity shortfalls, including enhanced information-sharing, better coordination of assistance and the pooling of resources at the international, regional and subregional levels, as well as strengthened partnerships with donor Governments, United Nations agencies and other international and regional organizations.", "III. Record-keeping", "The Chair began discussions under the theme of record-keeping by recalling key international requirements in this area on the basis of the discussion papers. The record-keeping provisions of the Instrument are framed in broad terms, specifying in particular that the choice of methods for record-keeping is a national prerogative. The objectives are clear, however: the establishment and maintenance of accurate and comprehensive records necessary for tracing (para. 11). More specifically, Member States have undertaken, to the extent possible, to keep records pertaining to small arms and light weapons indefinitely. In any case, they have agreed to maintain manufacturing records for at least 30 years and all other records, including records of import and export, for at least 20 years. The Instrument thus extends the Firearms Protocol’s 10-year minimum for the maintenance of firearm records, although the latter, in contrast to the International Tracing Instrument, encourages States to also keep records of firearm parts, components and ammunition (art. 7).", "An expert presentation exploring aspects of this theme was provided by Gary Fleetwood of the Australian Crime Commission. This was followed by a national case study presented by the representative of Kenya.", "In their subsequent discussions on the topic of record-keeping, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant national experiences; and considered practical solutions to overcome common problems.", "Participants recognized that national record-keeping practices varied widely. It was noted that this was party a reflection of different constitutional structures, with record-keeping systems in federal States tending to be multi-tiered and complex.", "Despite this, participants generally emphasized that national record-keeping systems shared many common features, in particular the core objective of timely and reliable tracing. In this regard, many participants noted that insufficient and/or inaccurate record-keeping was a key reason for tracing failures. A second objective mentioned by many participants was the use of records in the prosecution of weapons-related offences.", "Several prerequisites for successful record-keeping were identified by participants. These included:", "• Establishing adequate legislative frameworks, including the requirement that all relevant actors keep records", "• Reliable weapons marking to ensure a unique record", "• Effective enforcement, including sanctions for non-compliance", "• Maintenance of records for a sufficient length of time", "• Close cooperation with the private sector, including provisions for the handover of weapons records to Governments by companies that go out of business.", "The discussions reflected diverse national practices regarding the length of time that weapons records were required to be kept. Some participants indicated that record-keeping systems in their countries provided for shorter periods than those stipulated in the Instrument. Others underlined that they either met or exceeded the Instrument’s minimum standards of 30 years for manufacturing records and 20 years for all other records. Several participants reported that records were kept indefinitely, noting the reduced costs involved owing to electronic data storage. These participants emphasized the important long-term benefits for effective tracing arising from the indefinite retention of records.", "Participants also considered whether records should be deleted following the destruction of a weapon. Some participants suggested that such practices could potentially increase the risk of illicit diversion of weapons and make tracing harder. Other participants regarded the retention of such records unnecessary where weapons were effectively destroyed.", "Participants also outlined measures undertaken to tackle key implementation challenges. Some participants indicated that their Governments were currently in the process of developing centralized firearm registers. Many others outlined efforts they had undertaken to convert their paper records into electronic form. Some noted particular challenges in this area, including a lack of qualified personnel. software limitations and the need for strong project control during the transition process.", "Several participants also emphasized the importance of qualified — and sufficiently numerous — personnel for the successful and accurate maintenance of weapons registers, both in manual and electronic format. Some also stressed that the targeted and ongoing training of relevant officials was a key element in ensuring the accuracy of data, and consequently in facilitating effective weapons identification and tracing. Participants identified several other challenges related to effective and accurate record-keeping, including:", "• Ensuring uniformity and data linkages across multiple registers in a country", "• Integration of record-keeping systems that are operated separately by law enforcement and military institutions", "• Ensuring the accurate identification of weapons and their markings, as well as the accurate entry of this information into registries, to facilitate successful tracing", "• Safeguarding against unauthorized access to record-keeping systems, as well as unauthorized use by those who have access", "• Recording of weapons in conjunction with their collection and destruction in post-conflict settings, and in other contexts where States seek to increase their control over the circulation of small arms.", "Some participants outlined specific cost-effective measures that could be taken to strengthen the effective and accurate functioning of national record-keeping systems. These included practical measures related to the establishment and maintenance of electronic record-keeping systems, such as defining minimum content for the creation of an electronic record, the inclusion of computer surveillance measures to search the system for incompatible data, and regular spot checks of records to ensure the accuracy and consistency of the data stored.", "Many participants underscored the need for financial, material and technical assistance to support their record-keeping activities. Several participants made specific requests for technical assistance to help their national authorities to manage the conversion of paper records into electronic form. In this regard, several participants emphasized the importance of adequate training of personnel and the provision of technical equipment. Some participants highlighted the need to build capacity in ensuring effective record-keeping in post-conflict situations as part of broader weapons collection programmes. Several participants stressed that the understaffing of firearm registries — and under-resourcing of firearms registries more broadly — was another problem warranting priority attention.", "IV. Cooperation in tracing", "The Chair began discussions under the theme of cooperation in tracing by recalling key international requirements in this area on the basis of the discussion papers. Building upon both the Programme of Action and the Firearms Protocol, the Instrument establishes a relatively detailed set of rules governing the issuance of and response to a tracing request. The Instrument underlines the need for sufficient information in any tracing request, including markings, type and calibre, as well as the intended use of the information being sought (para. 17). States receiving a tracing request are to acknowledge receipt within a reasonable time (para. 19). They also undertake to provide all available information sought by the requesting State relevant for the purpose of tracing (para. 20). Any delay or restriction in the content of their response, or refusal to respond, must fall within the scope of the exceptions set out in paragraph 22 and be explained (para. 23). As with record-keeping, the choice of tracing system is a national prerogative, yet the Instrument commits States to ensuring they are capable of undertaking traces and responding to tracing requests in accordance with its requirements (para. 14).", "Expert presentations exploring aspects of this theme were then provided by Tracy Hite of the International Criminal Police Organization (INTERPOL) and by Simonetta Grassi of the United Nations Office on Drugs and Crime (UNODC).", "In their subsequent discussions on the topic of cooperation in tracing, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant national experiences; and considered practical solutions to overcome common problems.", "Participants discussed how tracing cooperation was working in practice, specifically within the framework of the Instrument. They shared a range of national experiences, with many emphasizing that weapons tracing was a key investigative tool and some illustrating its application to both crime and conflict settings.", "Several participants recalled that tracing did not stand alone, but was in fact part of a broader set of tools that included such things as ballistics information systems. Many participants underlined the value of tracing in detecting and potentially disrupting illicit arms flows — and in prosecuting those involved in such activities. A number of participants asserted that the potential of weapons tracing was currently underutilized and that there was a tendency to neglect the prosecution of firearms-related offences in favour of other offences that were easier to prosecute. Yet many participants stressed that, with the increased globalization of criminal activity, including firearms trafficking, the importance of effective weapons tracing was greater than ever before.", "While the meeting discussions focused on the use of weapons tracing for law enforcement purposes, some participants indicated that their national authorities were also responding to tracing requests from experts panels reporting to United Nations sanctions committees within the framework of Security Council efforts to maintain international peace and security.", "Participants shared a wide range of experiences in tracing. Some participants reported high success rates in their tracing operations, especially for weapons produced in recent decades following the introduction in many countries of systematic weapons marking and record-keeping. Others reported that some trace requests they issued had received no response at all.", "Several participants highlighted the role of INTERPOL’s information infrastructure, especially the National Central Bureau system, and also noted the value of bilateral and regional frameworks for tracing cooperation.", "A number of participants noted that tracing failures were mainly the result of two key factors: insufficient identifying information and the inaccurate identification of weapons, including weapons markings. Many participants underlined the importance of sufficient information in trace requests, including minimum weapons-related information and additional information regarding the relevant case. Some participants reported that the loss of records was hampering effective tracing in certain cases.", "Several participants indicated that cooperation with manufacturers was good overall and underlined the critical importance of industry-Government partnerships for effective tracing and in addressing new technical and policy challenges as they emerged.", "Other challenges identified included:", "• Legal and bureaucratic impediments to the timely provision of data, including in countries where record-keeping was multi-tiered", "• Enabling direct lines of communication among relevant officials in different countries", "• Conflicts between confidentiality requirements governing the release of tracing information and rules providing for its disclosure in the context of judicial proceedings in the country of receipt", "• Delays in the processing of tracing requests, with the risk that suspects would be released for lack of evidence before the completion of such traces", "• Difficulties of tracing weapons that had crossed several borders", "• The long lifespan and complex chain of ownership of many small arms and light weapons", "• Licensed production, which in some cases resulted in the misidentification of the manufacturer and/or country of manufacture.", "Alongside these challenges, some participants highlighted measures that could enhance weapons tracing and its effective use in a range of contexts. These included:", "• Emerging use of digital photography as a means of improving weapons identification", "• Use of proof marks to overcome a lack of information on the country of origin", "• Use of laboratory techniques to recover partly obliterated markings", "• Use of trace results, including information generated on crime location and perpetrators, to develop targeted law enforcement interventions", "• Use of weapons tracing to indicate the likely involvement of weapons traffickers in particular crimes", "• Use of trace results to assess the effectiveness of national import controls", "• Making information on traced small arms available to appropriate agencies at the national, regional and international levels in order to help prevent diversion.", "Many participants highlighted the need to build capacity for effective tracing. They underlined the importance of adequate institutional capacity for tracing and stressed the need for sufficient human, material and financial resources, including the training of relevant personnel for improved weapons identification.", "V. National frameworks", "The Chair began discussions under the theme of national frameworks by recalling key international requirements in this area on the basis of the discussion papers. States have recognized that the primary responsibility for solving the problems associated with the illicit trade in small arms and light weapons in all its aspects falls on all States (Programme of Action, sect. III, para. 1). Under the Instrument, Member States have undertaken to put in place, where they do not exist, the laws, regulations and administrative procedures needed to ensure the effective implementation of the Instrument (para. 24). Associated commitments include the designation of one or more national points of contact for purposes of tracing and broader aspects of the implementation of the Instrument, including the exchange of information on national implementation (para. 25).", "Expert presentations exploring aspects of this theme were then provided by Simonetta Grassi of UNODC, drawing on experiences and activities in assisting States to implement the Firearms Protocol, and by Guy Lamb of the Institute for Security Studies.", "In their subsequent discussions on the topic of national frameworks, participants identified key challenges and opportunities for implementation; exchanged views; shared relevant national experiences; and considered practical solutions to overcome common problems.", "Participants shared information and experiences on their respective national legislation and institutional structures as they related to the implementation of the Instrument.", "Some participants raised general points, including the importance of national inventories of implementation gaps and needs, and the value-added of linking national frameworks for marking, record-keeping and tracing with national programming in related areas, such as national development. Several participants outlined the plans of their Governments to develop or enact new legislation or to amend and strengthen existing legislation.", "Some participants noted that tracing in States emerging from armed conflict often differed from that in States where it was primarily used for law enforcement purposes, although the discussions also revealed points of convergence.", "Several participants emphasized the need to fully implement existing laws and underscored the importance of their effective enforcement. Regarding enforcement, a number of participants again stressed that there was considerable value in prosecuting firearms-related offences in conjunction with associated offences where the opportunity arose.", "Many participants noted the importance of the “whole of government” approaches in enhancing national coordination, and shared their experiences with utilizing specific mechanisms and policy instruments to structure participation and coherent action across government.", "Among the mechanisms employed for enhanced coordination, some participants specifically mentioned national firearms (or small arms) commissions, national firearms platforms and national management committees. Several participants emphasized the need for broad participation in such institutions so as to bring together all government agencies involved in the implementation of the Instrument and the Programme of Action, as well as industry and other representatives from civil society.", "Many participants cited national action plans as a key policy instrument for supporting marking, record-keeping and tracing work.", "A number of participants highlighted the utility of these mechanisms and policy instruments across a range of areas, in particular for purposes of:", "• Developing and fine-tuning national small arms policy", "• Reviewing national implementation of existing legislation and procedures", "• Sharing information and coordinating policy across all of government", "• Identifying needs and gaps in the implementation of the Instrument and the Programme of Action.", "Participants discussed how national frameworks for weapons marking, record-keeping and tracing were linked to bilateral, regional and international frameworks. In that regard, many participants highlighted the key role of national points of contact and national reporting in facilitating full implementation.", "Several participants emphasized the need for a national point of contact that was police-based and dedicated to tracing. These participants explained that they considered police channels to be better placed to protect confidential information in the context of tracing cooperation. Some participants noted that their national authorities had appointed an additional point of contact for the exchange of general information relating to the implementation of the Instrument, including assistance needs. Others referred to a single point of contact in their interventions, not necessarily police-based.", "Challenges mentioned by a number of participants in this area included:", "• Ensuring that point of contact information was effectively communicated to all Member States, in particular through the Programme of Action-Institute for Security Studies website", "• Securing agreement among different governmental agencies on a single point of contact for tracing.", "Further, several participants expressed concern about the low levels of national reporting on the implementation of the Instrument to date, including the resulting shortfall in information exchange. Those participants noted that the reporting burden for the Instrument — and increasingly for the Programme of Action — was in their view alleviated somewhat by the use of a biennial reporting schedule.", "As in other thematic areas, many of the participants who took the floor underlined the crucial importance of international assistance and capacity-building to the implementation, consolidation and strengthening of national frameworks for marking, record-keeping and tracing.", "Specific capacity-building needs highlighted by participants included:", "• Review and development of legislation", "• Sharing of technical expertise", "• Provision of equipment.", "Some participants also emphasized the need for donor coordination in ensuring coherent national action across the areas of marking, record-keeping and tracing. Other participants mentioned challenges related to maintaining the necessary level of expertise among relevant personnel and language barriers in accessing relevant technology. Many participants underscored that they regarded bilateral, regional and international frameworks as indispensable complements to national efforts.", "VI. Regional cooperation", "The Chair began discussions under the theme of regional cooperation by recalling key international standards and requirements in this area on the basis of the discussion papers. The Instrument encourages cooperation at the regional level to support its effective implementation (para. 26). The Programme of Action similarly emphasizes regional cooperation for tracing purposes, including the strengthening of information exchange mechanisms (sect. III, para. 1).", "A regional case study exploring aspects of this theme was then provided by the Regional Centre on Small Arms (for the Great Lakes Region and Horn of Africa).", "In their subsequent discussions on the topic of regional cooperation, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant experiences; and considered practical solutions to overcome common problems.", "Many of the participants that spoke on this issue underlined the ongoing value of regional cooperation to the implementation of the Instrument and the Programme of Action. Several participants noted the substantial progress that had been made in strengthening such cooperation and stressed its continuing importance for supporting implementation efforts.", "Participants discussed numerous ways in which regional organizations were assisting States on various aspects of the implementation of the Instrument and the Programme of Action, including:", "• Coordinating national action at the regional and subregional levels", "• Developing model legislation, regional implementation standards and best practice guidelines", "• Organizing regional meetings and seminars", "• Assisting States in the assessment of their needs", "• Building institutional capacity", "• Conducting training and other capacity-building activities", "• Strengthening cooperation among regional and subregional organizations and United Nations agencies.", "Some participants emphasized that for maximum effectiveness, regional organizations needed to be in regular contact with their member States. Other principles highlighted for effective regional cooperation included continuity, complementarity and cost-effectiveness. With regard to the latter, some participants underlined the need to make the most of limited resources and to focus on initiatives that would have the broadest possible impact.", "In relating the details of their work, some regional organizations reported on a variety of measures, extending beyond weapons marking, record-keeping and tracing, that were designed to tackle a broader range of small arms issues.", "Several participants cited the provision of marking machines through regional organizations, such as the Regional Centre on Small Arms and the Organization of American States (OAS), as an example of regional cooperation worthy of emulation.", "Many participants also offered examples of interaction among regional and subregional organizations, indicating that this was facilitating the exchange of experience among experts and enhancing knowledge acquisition. Some participants also noted that regional meeting and workshops were building and strengthening relationships between regional and subregional organizations.", "On the other hand, some participants suggested there was a risk of regional and subregional organizations becoming too large and losing their proximity to member States, thereby losing some measure of their effectiveness. Some participants noted that the extent of regional cooperation varied according to different regional and subregional contexts. These participants suggested that bilateral and trilateral relationships could present useful alternatives in areas where regional cooperation was more limited.", "Several other challenges at the regional level were mentioned by participants. These included:", "• Lack of harmonization of national legislation in certain regions", "• Lack of legal regulation in certain issue areas, for example marking", "• Logistical and transportation shortfalls (precluding, for example, the transportation of marking machines to where they were needed)", "• Lack of donor attention to certain regions", "• Duplication of efforts among organizations in a single region", "• Limited awareness of small arms issues and a reluctance on the part of some communities to engage on those issues.", "Most participants stressed the need for international assistance, including technical and financial assistance. Some pointed to the need for transparency and coordination in the provision of assistance so as to avoid overlap and duplication.", "Several elements were identified by participants as particularly important for strengthening regional cooperation, including:", "• Support for the development of national action plans and associated national legislation", "• Enhanced exchange of information and lessons learned", "• Establishing and strengthening links among regional organizations", "• Building strong partnerships with civil society and research institutions", "• Safety nets for regions lacking effective cooperation mechanisms.", "VII. International assistance and capacity-building", "The Chair began discussions under the theme of international assistance and capacity-building by recalling key international norms and principles in this area on the basis of the discussion papers. The Instrument underlines the importance of international assistance and capacity-building for its effective implementation (paras. 27 to 29). States are encouraged to provide technical, financial and other assistance in building national capacity for marking, record-keeping and tracing, and to examine — and facilitate the transfer of — technologies for the improved tracing and detection of illicit small arms and light weapons (paras. 27 and 28). Cooperation with the United Nations (on information exchange) and INTERPOL (on operational aspects) is also emphasized (paras. 30 to 35).", "An expert presentation exploring aspects of this theme was provided by Daniel Prins of the Office for Disarmament Affairs of the Secretariat.", "In their subsequent discussions on the topic of international assistance and capacity-building, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant experiences; and considered practical solutions to overcome common problems.", "Many of the participants who spoke on this issue underlined the pivotal role that international assistance and capacity-building played in the implementation of the Instrument and the Programme of Action. Several participants noted that assistance and capacity-building were cross-cutting issues throughout the Instrument and the Programme of Action. Others noted the voluntary nature of such assistance.", "Many participants stressed the need for enhanced international assistance and capacity-building, including technical and financial assistance. Several participants presented specific requests relating to marking, record-keeping and tracing. Some pointed to the need for transparency and coordination in the provision of assistance, so as to avoid overlap and duplication, and to the importance of having assistance coordinated across the government as a whole.", "Representatives of States and of regional and international organizations shared numerous examples of the types of assistance they had received and provided. These included:", "• Technical assistance", "• Financial assistance", "• Provision of equipment, including marking machines and record-keeping software", "• Technology transfer", "• Training, including on data entry and the use of marking machines", "• Institutional capacity-building", "• Development and provision of tools to implement the Instrument and the Programme of Action, including model legislation, guidelines and standards", "• Establishment of mechanisms to help match needs and resources, such as the Group of Interested States and the web-based Programme of Action-Institute for Security Studies", "• Information exchange", "• Small arms research, seminars and workshops.", "The examples provided by participants reflected the fact that international assistance and capacity-building took place at the bilateral, regional and international levels. It was also noted that assistance efforts could help to build the capacity of both recipient and donor States, as it could enhance inter-agency cooperation and raise awareness among relevant agencies in donor States.", "Some participants noted the important role of South-South cooperation as a complement to North-South cooperation. Some participants also noted the role of aid agencies in the provision of relevant assistance, and stressed the importance of engaging them in the small arms process.", "Several participants expressed concerns regarding the imposition of conditions on assistance provided, and stressed that donor States should take an equitable approach and remain open to providing assistance to all States requiring it.", "On the other hand, some participants stressed that a certain level of responsibility also rested on recipient States, noting that national ownership was critical for the success and effectiveness of assistance. Some participants suggested that, in addition to self-identifying their assistance needs, recipient States also had a responsibility to draw on available national resources, including human resources, to support small arms programmes and projects, and noted the critical importance of maintaining political support for implementation in the recipient country.", "Several participants acknowledged that there was no “one size fits all” approach when it came to the provision of assistance, and that some flexibility was required to adapt to the different needs and contexts of recipient States.", "Many participants emphasized the need to take a holistic approach to capacity-building to ensure its long-term effectiveness through the provision of ongoing support. Examples of such ongoing support included: training in the proper maintenance and use of marking equipment; the provision of associated equipment, such as computers or record-keeping software, along with related training; and logistical support.", "Other principles highlighted as important during the discussions included the coordination, harmonization and effectiveness of international assistance and capacity-building.", "Some participants noted the importance of having a United Nations trust fund to provide dedicated support in responding to requests from States for assistance with implementation of the Instrument and the Programme of Action. The Office for Disarmament Affairs does have such a trust fund in place.", "Several additional challenges were mentioned by participants. These included:", "• Matching needs and resources", "• Ensuring harmonized and coordinated approaches to assistance", "• Ensuring the sustainability of knowledge and technology transfer", "• Building capacity to enable self-identification of assistance needs." ]

[ "General Assembly", "Sixty-sixth session", "Item 98 (t) of the provisional agenda [1]", "General and complete disarmament: the illicit trade in small arms and light weapons in all its aspects", "Letter dated 14 July 2011 from the Permanent Representative of New Zealand to the United Nations addressed to the Secretary-General", "I have the honour to write to you regarding the Open-ended Meeting of Governmental Experts on the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, which I had the honour to host in New York from 9 to 13 May.", "In the course of this meeting, I have managed to summarize the main points of each of the thematic discussions, with the compilation document attached herewith. This summary, which was formally presented at the meeting as a reference for the report of the meeting, was drafted under my own responsibility and reflects my own understanding of the points of discussion. This paper does not seek to provide a complete record of the discussions, nor should it be seen as reflecting the consensus of Member States.", "Following the meeting, a number of participants requested that the summary be distributed more widely in order to assist Member States in their effective efforts to implement the Programme of Action and therefore requested that the present letter and its annex be circulated as a document of the General Assembly.", "Permanent Representative", "(Signed) Jim McLay", "Annex", "Summary of discussions by the Chair of the Open-ended Meeting of Governmental Experts on the Implementation of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, held in New York from 9 to 13 May 2011", "The present summary summarizes the core elements of the discussions at the open-ended meeting of governmental experts on the implementation of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects, held in New York from 9 to 13 May 2011. This summary, prepared under the personal responsibility of the Chairperson, reflects his own understanding of the points for discussion. This paper is not a complete record of all the issues discussed during the week, nor should it be seen as reflecting the consensus of Member States on any specific points of view in the discussions.", "Introduction", "As called for in the Programme of Action on Small Arms, Member States convene biennial meetings of States or review conferences. In 2009, Member States decided to convene an additional open-ended meeting of governmental experts to discuss major challenges and opportunities in the implementation of the United Nations small arms process. On the basis of extensive consultations, marking, record-keeping and cooperation in tracing were identified as the core themes of the Conference, with national frameworks, regional cooperation and international assistance and capacity-building as cross-cutting themes.", "The International Instrument to Enable States to Identify and Trace, in a Timely and Reliable Manner, Illicit Small Arms and Light Weapons, adopted by the General Assembly in 2005 (United Nations publication, Sales No. The International Tracing Instrument was developed on the basis of the 2001 Programme of Action. The instrument is discussed in the framework of the Programme of Action and applies to all Member States.", "The International Tracing Instrument is a core tool to assist Member States in effectively and concretely combating and preventing the illicit proliferation of small arms and light weapons. Tracing illicit weapons allows Member States to monitor and cut off trafficking routes and to determine where they enter the illicit supply chain. The instrument establishes comprehensive and specific international standards that guide Member States in implementing the three main pillars — marking, record-keeping and cooperation in tracing. The three pillars are highly interdependent: successful tracing relies on appropriate marking, record-keeping and international cooperation. In addition, under this instrument, weapons can be detected in any form of crime and conflict situations.", "The instrument builds on the 2001 Programme of Action and the 2011 legally binding Protocol against Illicit Trafficking in Firearms, Their Parts and Components and Ammunition (the Firearms Protocol) and complements the United Nations Convention against Transnational Organized Crime, to which not all Member States are parties. The Firearms Protocol outlines a number of provisions and measures for the marking, recording and tracing of firearms from a law enforcement perspective. In the preamble to the International Tracing Instrument, Member States recognized the complementarity between the two instruments.", "The instrument encourages international, regional and bilateral cooperation, assistance and capacity-building to support effective implementation. The Programme of Action also emphasizes regional cooperation for tracing purposes, including the strengthening of information exchange mechanisms.", "II. Marking", "The Chairperson began the thematic discussion on marking by reviewing the main international provisions in this area on the basis of the discussion paper. The instrument sets out the content of marking in the manufacture of small arms and light weapons, making it clear that marking must be unique and enable all Member States to identify the State of manufacture without delay (para. 8 (a)). The instrument ' s commitment on post-manufacture marking includes the marking of stocks of Government armed and security forces (para. 8d) and the marking of all illicit small arms and light weapons found on national territory (para. 9). The International Tracing Instrument also stresses the importance of import marking, noting that it is a requirement for States parties to the United Nations Firearms Protocol (International Tracing Instrument, para. 8b; Firearms Protocol, art. 8(1)(b)). The International Tracing Instrument, while noting that the choice of marking modalities (marking, et cetera) is a national prerogative, sets out the physical characteristics of the marking of weapons (para. 7) and marking placement (para. 10). Complementing these provisions, the Programme of Action and the United Nations Firearms Protocol include methods to prevent the possession and trade of unmarked or inadequately marked small arms and light weapons (Programme of Action, sect. II, para. 8, and Firearms Protocol, art. 5).", "Mr. Murray Smith of the Royal Canadian Mounted Police then made an expert presentation on various aspects of the subject. The representative of Brazil presented his country ' s case study.", "In the ensuing discussion on the topic of marking, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant national experiences; and considered practical ways to address common problems.", "Participants shared information on national marking practices, including marking content and methods. They discussed the issue of marking at and after manufacture, including the marking of stocks of Government armed and security forces, the marking of weapons on national territory and the marking of imports.", "Some participants noted that new developments and trends in the manufacture and design of weapons posed additional challenges to marking, including:", "• The development of weapons of all types with similar design characteristics and the resulting increased risk of misidentification", "• Trends in weapon design components, i.e., routine replacement of key components.", "In addition, a number of participants highlighted the unique challenges posed by polymer structured weapons, particularly those inherent in ensuring that they were permanently marked when manufactured and imported.", "One participant suggested the establishment of a technical committee, comprising representatives of industry and government, to consider such new developments and to develop viable solutions to such problems.", "Some participants stressed the important role that import marking could play in facilitating tracing, and recognized that import marking posed a particular challenge, namely, to be able to trace weapons (to which end they must be permanently marked) and to take into account the security and physical integrity of weapons, which was difficult to balance.", "Other challenges highlighted by participants included:", "• Falsification, alteration or removal of serial numbers and other markings", "• Transactions in illicit parts and components (i.e. assembly of unmarked weapons with illicit parts and components)", "• In accordance with the International Tracing Instrument, temporary legal arms export (and re-import) requirements (e.g., overseas hunting) need to be established within the framework of domestic controls", "• Integration of artisanal production into national regulatory systems", "• Lack of equipment, specialized skills and other capacity related to marking.", "Several participants noted with concern the low number of States reporting on their implementation of the International Tracing Instrument and encouraged the inclusion of more technical details in national reports.", "Many participants stressed the importance of marking for effective cooperation in tracing and recognized that lack of resources hampered the full implementation of the marking provisions of the International Tracing Instrument. Several specific assistance and capacity-building needs were identified, including:", "• Training, including ongoing training for law enforcement personnel on weapons identification", "• Procurement of necessary equipment, including marking devices", "• Strengthening existing and introducing new legislation", "• Transfer of relevant technology to make marking less susceptible to misidentification and removal.", "In addition to discussing the major implementation challenges, participants considered a range of solutions and developed concrete proposals to overcome them. On the issue of import marking, some participants suggested requiring arms manufacturers to mark imports before handing over weapons. Some participants also emphasized the potential of new technologies, such as laser erosion of imported markings and electronic databases and digital images of weapons marking. Some participants also noted that the concealment of markings could be an effective tool for supplementing conventional markings on the surface of weapons, for increasing their traceability and for countering attempts to alter or remove markings.", "Many participants stressed the importance of enacting appropriate legislation on marking, including the need for appropriate penal and evidentiary rules (e.g. the shift of the burden of proof resulting from the possession of a de-marked firearm). Some participants indicated that efforts were under way to develop new methods for the restoration of removed markings.", "Some participants shared their experiences in raising awareness among artisanal producers of relevant national laws and penalties, as well as in training artisanal producers to mark weapons they produce. Some participants also noted the differences in marking of small arms and light weapons.", "Some participants expressed the view that difficulties in the marking of polymer structured weapons in conflict zones were less relevant to weapons tracing in conflict zones because of the limited use of such weapons in conflict zones.", "Throughout the discussion, participants outlined a number of successful experiences in addressing the lack of marking capacity, including enhanced information-sharing, improved aid coordination and pooling of resources at the international, regional and subregional levels, and strengthened partnerships with donor Governments, United Nations agencies and other international and regional organizations.", "Records", "The Chairperson opened the thematic discussion by reviewing the main international provisions in this area on the basis of the discussion papers. The International Tracing Instrument provides for record-keeping in general, noting in particular that the choice of record-keeping is a national prerogative. The objective, however, is clear: to establish and maintain accurate and comprehensive records for tracing operations (para. 11). More specifically, Member States undertook to keep records relating to the marking of small arms and light weapons as indefinitely as possible. They agreed to keep production records for at least 30 years in all cases and all other records, including import and export records for at least 20 years. The International Tracing Instrument has thus extended the minimum period of 10 years for the maintenance of firearms records under the Firearms Protocol, although unlike the International Tracing Instrument, the Firearms Protocol encourages States to keep records of firearms parts and components and ammunition together (art. 7).", "An expert presentation was made by Gary Fleetwood of the Australian Crime Commission, which explored various aspects of the topic. The representative of Kenya then presented his country ' s case study.", "In the ensuing discussion on the topic of documentation, participants identified key challenges and opportunities for implementation; exchanged views and shared national experiences; and considered practical ways to address common problems.", "It was recognized that recording practices varied considerably from country to country. They pointed out that part of this was due to different constitutional structures and that the record-keeping systems of federal States were often multilayered and complex.", "Nevertheless, it was generally emphasized that there were many common features in the record-keeping systems of States, in particular that their core objective was to conduct tracing operations in a timely and reliable manner. In response, many participants noted that inadequate and/or irregular record-keeping was indeed the main cause of the failure of tracing. Many participants referred to another common goal, which would be recorded for the prosecution of weapons-related crimes.", "Participants identified a number of prerequisites for successful record-keeping. These include:", "• Establishing an appropriate legislative framework requiring relevant actors to maintain records", "• Reliable marking of weapons to ensure uniqueness of records", "• Effective law enforcement, including sanctions for violations", "• Sufficient time period for record-keeping", "• Close cooperation with the private sector, including the transfer of weapons records to the Government by companies that have concluded operations.", "The discussions reflected the different approaches of States to establishing a time limit for the retention of weapons records. Some participants indicated that their national record-keeping systems provided for a shorter time period than those set out in the International Tracing Instrument. It was also stressed that national provisions met or exceeded the minimum standards of 30 years for record-keeping and 20 years for other records under the International Tracing Instrument. Several participants reported that all records were kept indefinitely and noted that the electronic storage of data had saved costs. Those participants stressed that record-keeping indefinitely could have important long-term benefits for the effective conduct of tracing operations.", "Participants also considered whether the corresponding record should be deleted after the destruction of the weapon. Some participants suggested that such an approach could increase the risk of diversion of weapons for illicit use and make tracing more difficult. Other participants did not consider it necessary to keep records after the effective destruction of weapons.", "Participants also outlined measures taken to address key challenges to implementation. Some participants indicated that their Governments were in the process of establishing a centralized firearms registry system. Many other participants outlined their efforts to convert paper records into electronic formats. Challenges specific to this area were noted, including the shortage of qualified personnel, software limitations and the need for strong project control in the transformation process.", "A number of participants also stressed the importance of qualified and adequate staffing for the successful and accurate maintenance of information on weapons registration in manual and electronic formats. Some participants also stressed that the ongoing targeted and continuous training of relevant public officials was a central element in ensuring the accuracy of data and, therefore, in promoting the effective identification and tracing of weapons. Several other challenges related to accurate and effective record-keeping were identified, including:", "• Ensuring that multiple registration systems in a country are consistent and data linked", "• Integration of records systems operated by law enforcement agencies and military agencies, respectively", "• Ensure that weapons and their markings are accurately identified and that this information is accurately recorded in the registration system for the successful tracing of weapons", "• Protection against unauthorized access to record-keeping systems and unauthorized access to records by authorized persons", "• Recording weapons in post-conflict environments and in other contexts where States seek to strengthen control over the circulation of small arms, while collecting and destroying weapons.", "Some participants outlined specific cost-effective measures that could be used to strengthen the accurate and effective functioning of national record-keeping systems. These include practical measures for the establishment and maintenance of electronic record-keeping systems, such as the establishment of content thresholds for the creation of electronic records, the use of computer-based monitoring methods to search for incompatible data in the system and regular spot-checking of records to ensure accuracy and consistency of stored data.", "Many participants stressed the need for financial, material and technical assistance to support national record-keeping activities. Several participants specifically requested technical assistance to assist their national authorities in their efforts to convert from paper-based records to electronic formats. In this regard, several participants stressed the importance of appropriate training of personnel and provision of technical equipment. Some participants highlighted the importance of capacity-building to ensure effective record-keeping in post-conflict environments as part of broader weapons collection programmes. A number of participants emphasized that inadequate staffing — and, more generally, insufficient resources — for the registration of firearms was another priority issue.", "IV. Cooperation in tracing", "The Chairperson began the thematic discussion on cooperation in tracing by reviewing the main international provisions in this area on the basis of the discussion paper. On the basis of the Programme of Action and the United Nations Firearms Protocol, the International Tracing Instrument has developed a more detailed set of rules applicable to the issuance of and responses to tracing requests. The International Tracing Instrument emphasizes that any tracing request must contain sufficient information, including marking, type and calibre, and the intended use of the requested information (para. 17). A State receiving a tracing request must acknowledge receipt within a reasonable time (para. 19). They are also responsible for providing all available information requested by the requesting State relevant for the purpose of tracing (para. 20). Any delay or restriction on the content of the response or refusal to respond must be subject to the exception provided for in paragraph 22 and the reasons for it (para. 23). As with records, the choice of a tracing system is a national prerogative. However, the International Tracing Instrument requires States to ensure that they have the capacity to pursue and respond to tracing requests as required by the Instrument (para. 14).", "Expert presentations were made by Tracy Hite of the International Criminal Police Organization (INTERPOL) and Simonetta Grassi of the United Nations Office on Drugs and Crime (UNODC) on various aspects of the topic.", "In the ensuing discussion on the topic of cooperation in tracing, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant national experiences; and considered practical ways to address common problems.", "Participants discussed how to cooperate on tracing in practice, in particular within the framework of the International Tracing Instrument. They shared a range of national experiences, and many participants highlighted weapons tracing as a key investigative tool, and some described how tracing could be used in crime and conflict settings.", "Several participants recalled that tracing operations were not isolated and that, in fact, they were part of a larger set of tools like ballistic information systems. Many participants stressed the importance of tracing operations in identifying and potentially disrupting illicit arms flows — as well as in prosecuting those involved in such activities. Some participants stated that the full potential of current tracing operations was not being fully realized; and that there was a trend that the prosecution of firearms offences was more likely to be neglected than other criminal activities that were more easily prosecuted. However, many participants emphasized that, as criminal activities, such as firearms trafficking, become more global, effective tracing of weapons is more important than ever.", "The meeting focused on weapons tracing for law enforcement purposes, with some participants indicating that their authorities also responded to tracing requests made by expert groups under United Nations sanctions committees within the framework of the work of the United Nations Security Council on the maintenance of international peace and security.", "Participants shared a wide range of tracing experiences. Some participants reported high success rates in their tracing operations, particularly with regard to weapons produced in recent decades following the introduction of systematic marking and recording in many countries. Other participants reported that some of their tracing requests had received no response.", "Several participants highlighted the role of the INTERPOL information infrastructure, in particular the National Central Bureau system. They also noted the importance of bilateral and regional frameworks for cooperation in tracing.", "Some participants noted that the failure of tracing was attributable mainly to two key factors: insufficient identifiers and inaccurate identification of weapons, including weapon markings. Many participants stressed the importance of providing adequate information in tracing requests, including minimum information on weapons and additional information on cases. Some participants reported that the lack of records hampered the effective conduct of some case-tracking operations.", "Several participants indicated that cooperation with weapons manufacturers was generally good. They also emphasized that partnerships between business and Governments were essential for effective tracing operations and for addressing emerging technical and policy challenges.", "Other challenges identified include:", "• Legal and administrative impediments to the timely availability of data, including in multilayered record-keeping system countries", "• Fostering direct communication between relevant public officials in different countries", "• The confidentiality of the publication of tracing information in the receiving State conflicts with disclosure rules in judicial proceedings", "• Delays in processing tracing requests may result in suspects being released pending completion of the tracing process for lack of evidence", "• Difficulties in tracing weapons that cross several national borders", "• Many small arms and light weapons have a long life and complex chain of ownership", "• Concessional production methods sometimes lead to the wrong identification of producers and/or producers.", "While identifying these challenges, some participants also highlighted responses that could enhance weapons tracing and the more effective use of tracing in various contexts. These include:", "• Emerging use of digital photography to improve weapons identification", "• The use of authentication marks to overcome the lack of information in the country of origin", "• Recovery of erased markings using laboratory technology", "• Use of tracing results (including information on the location of the crime and the perpetrator) for targeted law enforcement interventions", "• Identification of specific criminal activities in which arms traffickers may be involved through weapons tracing operations", "• Use of tracing results to assess the effectiveness of national import controls", "• Inform relevant agencies at the national, regional and international levels of the tracing of small arms in order to help prevent diversion.", "Many participants stressed the importance of building effective tracing capacity. They stressed the importance of appropriate institutional capacity for tracing and stressed the importance of adequate human, material and financial resources, including training of relevant personnel to improve weapons identification.", "V. National frameworks", "The Chair began the thematic discussion on national frameworks by reviewing the main international provisions in this area on the basis of the discussion paper. States recognize that addressing the problems associated with the illicit trade in small arms and light weapons in all its aspects is the primary responsibility of States (Programme of Action, sect. III, para. 1). Under the International Tracing Instrument, States Members of the United Nations have committed themselves to putting in place the laws, regulations and administrative procedures necessary to ensure the effective implementation of the Instrument (para. 24). Relevant commitments include the designation of one or more national points of contact for tracing and wider implementation of the instrument, including the exchange of national implementation (para. 25).", "Subsequently, Simonetta Grassi of UNODC made an expert presentation on various aspects of the topic, drawing on experience gained and activities undertaken in assisting States in implementing the United Nations Firearms Protocol. An expert presentation was also made by Guy Lamb of the Institute for Security Studies.", "In the ensuing discussion on the theme of national frameworks, participants identified key challenges and opportunities for implementation; exchanged views and shared relevant experiences; and considered practical solutions to common problems.", "Participants exchanged information and experiences on national legislation and institutional structures for the implementation of the International Tracing Instrument.", "Some participants offered general views, including the importance of developing national inventories of implementation gaps and needs and the added value of linking national frameworks for marking, record-keeping and tracing with national planning in related areas such as national development. Some participants outlined their Governments ' plans to develop or enact new legislation or to amend and strengthen existing legislation.", "Some participants noted that States emerging from armed conflict were often different in tracing as compared with States that used tracing primarily for law enforcement purposes, although the discussion also revealed some common elements.", "Several participants stressed the need for full implementation of existing laws and stressed the importance of effective enforcement. As far as law enforcement is concerned, some participants reiterated the importance of seizing opportunities to prosecute firearms-related offences and related offences.", "Many participants noted the importance of the “integration of government” approach in strengthening national coordination and shared their experiences in the use of specific mechanisms and policy tools to organize engagement and coordinated action across government sectors.", "Some participants specifically referred to national firearms (or small arms) committees, national firearms platforms and national management committees in the mechanisms used to enhance coordination. Several participants stressed the need for broad participation in those bodies to enable all government agencies involved in the implementation of the International Tracing Instrument and the Programme of Action, as well as other representatives of industry and civil society, to work together.", "Many participants noted that national action plans were key policy tools to support marking, record-keeping and tracing.", "Some participants emphasized that these mechanisms and policy tools could be used in many areas, in particular:", "• Develop and improve national small arms policies", "• Review of the implementation of existing national legislation and procedures", "• Information-sharing and policy coordination across government", "• Identify needs and gaps in the implementation of the International Tracing Instrument and the Programme of Action.", "Participants discussed how national frameworks for the marking, recording and tracing of weapons could be linked to bilateral, regional and international frameworks. In this regard, many participants emphasized the key role of national focal points and national reporting in facilitating full implementation.", "Several participants stressed the need to establish police-based national points of contact for tracing. Those participants explained that they believed that police channels could better protect confidential information on tracing cooperation. Some participants noted that their authorities had designated an additional point of contact for the International Tracing Instrument to exchange general information on implementation, including assistance needs. It was also mentioned that a single international tracing instrument point of contact should be established, not necessarily on a police basis.", "Some participants mentioned challenges in this area, including:", "• Ensure that contact point information is effectively communicated to all United Nations Member States, in particular through the Programme of Action Implementation Support System website", "• Ensure that government agencies agree on a single tracing point of contact.", "In addition, several participants expressed concern about the low number of reports to date on the implementation of the International Tracing Instrument, including the resulting insufficient exchange of information. They noted that, in their view, the adoption of a biennial reporting schedule had somewhat reduced the burden of reporting on the implementation of the International Tracing Instrument — and, increasingly, the Programme of Action.", "As in other thematic areas, many speakers stressed that international assistance and capacity-building were essential for the implementation, consolidation and strengthening of national marking, record-keeping and tracing frameworks.", "Specific capacity-building needs highlighted by participants included:", "• Review and enactment of legislation", "• Sharing of technical expertise", "• Provision of equipment.", "Some participants also stressed the need for donor coordination to ensure coordinated action by States in the areas of marking, record-keeping and tracing. Challenges related to maintaining the necessary level of expertise and language barriers to access to relevant technology were also mentioned. Many participants stressed that they viewed bilateral, regional and international frameworks as an indispensable complement to national efforts.", "VI. Regional cooperation", "The Chairperson opened the thematic discussion on regional cooperation by reviewing key international standards and needs in this area on the basis of the discussion paper. The International Tracing Instrument encourages cooperation at the regional level to support the effective implementation of the Instrument (para. 26). The Programme of Action similarly emphasizes regional cooperation for tracing purposes, including the strengthening of information exchange mechanisms (sect. III, para. 1).", "Subsequently, the Regional Centre on Small Arms in the Great Lakes Region and the Horn of Africa produced a regional case study exploring various aspects of the topic.", "In the ensuing discussion on the theme of regional cooperation, participants identified key challenges and opportunities in implementation; exchanged views and shared experiences; and considered practical solutions to common problems.", "Many of the participants who spoke on the issue stressed the continuing importance of regional cooperation for the implementation of the International Tracing Instrument and the Programme of Action. Several participants noted that substantial progress had been made in strengthening regional cooperation and stressed its continued important role in implementation.", "Participants discussed various ways in which regional organizations could assist States in implementing various aspects of the International Tracing Instrument and the Programme of Action, including:", "• Coordinating national action at the regional and subregional levels", "• Development of model legislation, regional implementation standards and best practice guidelines", "• Organizing regional meetings and seminars", "• Assist countries in assessing their needs", "• Building institutional capacity", "• Training and other capacity-building activities", "• Strengthen cooperation between regional and subregional organizations and United Nations agencies.", "Some participants stressed the need for regional organizations to communicate regularly with member States in order to be most effective. There are also principles that emphasize effective regional cooperation, including continuity, complementarity and cost-effectiveness. With regard to cost-effectiveness, some participants stressed the need to maximize the use of limited resources and to focus on initiatives that had the broadest possible impact.", "A number of regional organizations reported on the details of their work, including information on measures to address the broader small arms problem, in addition to weapons marking, record-keeping and tracing.", "Several participants indicated that the provision of marking devices by regional organizations, such as the Regional Centre on Small Arms and the Organization of American States (OAS), was an example of regional cooperation that should be emulated.", "Many participants also cited examples of interaction between regional and subregional organizations, indicating that this facilitated the exchange of experiences among experts and facilitated access to knowledge. Some participants also noted that regional meetings and workshops were building and strengthening the relationship between regional and subregional organizations.", "On the other hand, some participants expressed the view that regional and subregional organizations had the potential to overexpand and thus alienate member States, leading to some ineffectiveness. Some participants noted that the level of regional cooperation varied according to regional and subregional circumstances. Those participants expressed the view that bilateral and trilateral relations might be useful alternatives in areas where regional cooperation was more limited.", "Several other challenges at the regional level were mentioned. Including:", "• Lack of harmonization of national legislation in certain regions", "• Lack of legal regulation in certain problem areas, such as marking", "• Inadequate logistics and transportation (impediments to the delivery of markings to areas in need)", "• Lack of donor attention to certain regions", "• Duplication of work by organizations in a given region", "• Limited awareness of small arms issues and reluctance on the part of certain communities to engage in addressing them.", "Most participants stressed the need for international assistance, including technical and financial assistance. It was noted that aid needs to be transparent and coherent in order to avoid overlap and duplication.", "Several key elements were identified as being particularly important for enhancing regional cooperation, including:", "• Support the development of national action plans and related national legislation", "• Facilitating the exchange of information and lessons learned", "• Establishing and strengthening linkages between regional organizations", "• Strong partnerships with civil society and research institutions", "• Establish safety nets for regions lacking effective cooperation mechanisms.", "VII. International assistance and capacity-building", "The Chair began the thematic discussion on international assistance and capacity-building by reviewing key international norms and principles in this area on the basis of the discussion paper. The International Tracing Instrument emphasizes the importance of international assistance and capacity-building for the effective implementation of the Instrument (paras. 27-29) and encourages States to provide technical, financial and other assistance to assist in building national capacity in marking, record-keeping and tracing and to review — and facilitate the transfer — technologies that contribute to improving the tracing and detection of illicit small arms and light weapons (paras. Cooperation with the United Nations (on information exchange) and INTERPOL (on operational aspects) was also highlighted (paras. 30-35).", "Subsequently, Daniel Prince of the Office for Disarmament Affairs of the Secretariat made an expert presentation exploring various aspects of the topic.", "In the ensuing discussion on the theme of international assistance and capacity-building, participants identified key challenges and opportunities for implementation; exchanged views and shared experiences; and considered practical solutions to common problems.", "The key role of international assistance and capacity-building in the implementation of the International Tracing Instrument and the Programme of Action was highlighted by a large number of participants who spoke on this issue. Several participants noted that assistance and capacity-building were cross-cutting issues that featured prominently throughout the International Tracing Instrument and the Programme of Action. It was also noted that such assistance was voluntary.", "Many participants stressed the need to strengthen international assistance and capacity-building, including technical and financial assistance. Several participants made specific requirements related to marking, record-keeping and tracing. It was pointed out that aid needed to be coordinated and coordinated in order to avoid overlap and duplication, and that it must also be coordinated within the Government as a whole.", "Representatives of national, regional and international organizations provided many examples of the type of assistance they received and provided. These include:", "• Technical assistance", "• Financial assistance", "• Provision of equipment, including marking and recording software", "• Technology transfer", "• Training, including data entry and marking", "• Institutional capacity-building", "• Develop and make available tools for the implementation of the International Tracing Instrument and the Programme of Action, including model legislation, norms and standards", "• Establishment of mechanisms to facilitate matching of needs and resources, such as interest country teams and the web-based action programme implementation support system", "• Information exchange", "• Small arms research, seminars and workshops.", "Participants provided examples of international assistance and capacity-building at the bilateral, regional and international levels. It was also noted that assistance efforts contributed to capacity-building in both recipient and donor countries, as this enhanced inter-agency cooperation and raised awareness among relevant agencies in donor countries.", "Some participants noted the important role of South-South cooperation as a complement to North-South cooperation. Some participants also noted the role of aid agencies in providing relevant assistance and stressed the importance of involving them in the small arms process.", "Several participants expressed concern about the conditionalities imposed on the provision of assistance and stressed the need for donor countries to continue to provide assistance in an open manner to all countries requesting it.", "On the other hand, some participants stressed that recipient countries should also have a sense of responsibility, noting that national ownership was essential for the success and effectiveness of aid. Some participants stated that, in addition to self-identifying assistance needs, recipient countries had a responsibility to use existing national resources, including human resources, to support small arms plans and projects. They also noted the importance of continued political support for implementation in recipient countries.", "Several participants acknowledged that there was no “one-size-fits-all” approach to the provision of assistance and that flexibility was needed to accommodate the different needs and circumstances of recipient countries.", "Many participants stressed that capacity-building required a comprehensive approach to ensure long-term effectiveness through ongoing support. Examples of such ongoing support include training in the proper maintenance and use of identifiers, the provision of related equipment such as computer or record-keeping software and related training and logistical support.", "Other important principles highlighted during the discussions included coordination, coherence and effectiveness of international assistance and capacity-building.", "Some participants noted the importance of establishing a United Nations trust fund to provide dedicated support to meet the assistance needs of States in implementing the International Tracing Instrument and the Programme of Action, as did the Office for Disarmament Affairs.", "Several other challenges were also mentioned. These include:", "• Matching needs and resources", "• Ensuring a harmonized and coordinated approach to assistance", "• Ensure the sustainability of knowledge and technology transfer", "• Building capacity to self-identify assistance needs.", "[1] ^ (*) A/66/150." ]

[ "第六十五届会议", "议程项目121", "使用多种语文", "阿尔巴尼亚、安道尔、阿根廷、奥地利、比利时、贝宁、保加利亚、布基纳法索、布隆迪、柬埔寨、喀麦隆、加拿大、佛得角、中非共和国、乍得、刚果、哥斯达黎加、塞浦路斯、刚果民主共和国、吉布提、多米尼克、爱沙尼亚、法国、加蓬、格鲁吉亚、希腊、几内亚、几内亚比绍、海地、黎巴嫩、卢森堡、马达加斯加、马里、毛里求斯、墨西哥、摩纳哥、黑山、摩洛哥、尼日尔、秘鲁、波兰、罗马尼亚、卢旺达、塞内加尔、塞尔维亚、塞舌尔、斯洛伐克、斯洛文尼亚、多哥、突尼斯、乌拉圭和瓦努阿图：决议草案", "使用多种语文", "增编", "在决议草案提案国名单上增列以下国家：", "亚美尼亚、澳大利亚、智利、科特迪瓦、克罗地亚、厄瓜多尔、埃及、芬兰、危地马拉、洪都拉斯、匈牙利、爱尔兰、老挝人民民主共和国、立陶宛、马耳他、巴拿马、葡萄牙、圣卢西亚、西班牙、斯里兰卡、瑞士和前南斯拉夫的马其顿共和国" ]

[ "Sixty-fifth session", "Agenda item 121", "Multilingualism", "Albania, Andorra, Argentina, Austria, Belgium, Benin, Bulgaria, Burkina Faso, Burundi, Cambodia, Cameroon, Canada, Cape Verde, Central African Republic, Chad, Congo, Costa Rica, Cyprus, Democratic Republic of the Congo, Djibouti, Dominica, Estonia, France, Gabon, Georgia, Greece, Guinea, Guinea-Bissau, Haiti, Lebanon, Luxembourg, Madagascar, Mali, Mauritius, Mexico, Monaco, Montenegro, Morocco, Niger, Peru, Poland, Romania, Rwanda, Senegal, Serbia, Seychelles, Slovakia, Slovenia, Togo, Tunisia, Uruguay and Vanuatu: draft resolution", "Multilingualism", "Addendum", "Add the following countries to the list of sponsors of the draft resolution:", "Armenia, Australia, Chile, Côte d’Ivoire, Croatia, Ecuador, Egypt, Finland, Guatemala, Honduras, Hungary, Ireland, Lao People’s Democratic Republic, Lithuania, Malta, Panama, Portugal, Saint Lucia, Spain, Sri Lanka, Switzerland and the former Yugoslav Republic of Macedonia" ]

[ "Sixty-fifth session", "Agenda item 121", "Multilingualism", "Albania, Andorra, Argentina, Austria, Belgium, Benin, Bulgaria, Burkina Faso, Burundi, Cambodia, Cameroon, Canada, Cape Verde, Central African Republic, Chad, Congo, Costa Rica, Cyprus, Democratic Republic of the Congo, Djibouti, Dominica, Estonia, France, Gabon, Georgia, Greece, Guinea, Guinea-Bissau, Haiti, Lebanon, Luxembourg, Madagascar, Mali, Mauritius, Mexico, Monaco, Montenegro, Morocco, Niger, Peru, Poland, Romania, Rwanda, Senegal, Serbia, Seychelles, Slovakia, Slovenia, Togo, Tunisia, Uruguay and Vanuatu: draft resolution", "Multilingualism", "Addendum", "Add the following countries to the list of sponsors of the draft resolution:", "Armenia, Australia, Chile, Côte d ' Ivoire, Croatia, Ecuador, Egypt, Finland, Guatemala, Honduras, Hungary, Ireland, Lao People ' s Democratic Republic, Lithuania, Malta, Panama, Portugal, Saint Lucia, Spain, Sri Lanka, Switzerland and the former Yugoslav Republic of Macedonia" ]

[ "第六十五届会议", "议程项目13", "联合国经济、社会及有关领域各次主要会议和 首脑会议结果的统筹协调执行及后续行动", "阿富汗、澳大利亚、孟加拉国、比利时、不丹、波斯尼亚和黑塞哥维那、巴西、保加利亚、加拿大、哥斯达黎加、塞浦路斯、捷克共和国、丹麦、多米尼加共和国、斐济、芬兰、法国、格鲁吉亚、德国、希腊、危地马拉、洪都拉斯、匈牙利、印度、爱尔兰、意大利、日本、立陶宛、卢森堡、马尔代夫、马耳他、瑙鲁、荷兰、巴基斯坦、帕劳、巴布亚新几内亚、巴拉圭、波兰、葡萄牙、大韩民国、罗马尼亚、新加坡、斯洛伐克、斯洛文尼亚、西班牙、斯里兰卡、瑞典、瑞士、泰国、东帝汶、土耳其、大不列颠及北爱尔兰联合王国和瓦努阿图：决议草案", "幸福：走全面发展之路", "增编", "在决议草案提案国名单上增列以下国家：", "安道尔、克罗地亚、古巴、冰岛、摩纳哥、黑山、新西兰、巴拿马、秘鲁、圣马力诺、塞尔维亚、所罗门群岛和越南" ]

[ "Sixty-fifth session", "Agenda item 13", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Afghanistan, Australia, Bangladesh, Belgium, Bhutan, Bosnia and Herzegovina, Brazil, Bulgaria, Canada, Costa Rica, Cyprus, Czech Republic, Denmark, Dominican Republic, Fiji, Finland, France, Georgia, Germany, Greece, Guatemala, Honduras, Hungary, India, Ireland, Italy, Japan, Lithuania, Luxembourg, Maldives, Malta, Nauru, Netherlands, Pakistan, Palau, Papua New Guinea, Paraguay, Poland, Portugal, Republic of Korea, Romania, Singapore, Slovakia, Slovenia, Spain, Sri Lanka, Sweden, Switzerland, Thailand, Timor-Leste, Turkey, United Kingdom of Great Britain and Northern Ireland and Vanuatu: draft resolution", "Happiness: towards a holistic approach to development", "Addendum", "Add the following countries to the list of sponsors of the draft resolution:", "Andorra, Croatia, Cuba, Iceland, Monaco, Montenegro, New Zealand, Panama, Peru, San Marino, Serbia, Solomon Islands and Viet Nam" ]

[ "Sixty-fifth session", "Agenda item 13", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Afghanistan, Australia, Bangladesh, Belgium, Bhutan, Bosnia and Herzegovina, Brazil, Bulgaria, Canada, Costa Rica, Cyprus, Czech Republic, Denmark, Dominican Republic, Fiji, Finland, France, Georgia, Germany, Greece, Guatemala, Honduras, Hungary, India, Ireland, Italy, Japan, Lithuania, Luxembourg, Maldives, Malta, Nauru, Netherlands, Pakistan, Palau, Papua New Guinea, Paraguay, Poland, Portugal, Republic of Korea, Romania, Singapore, Slovakia, Slovenia, Spain, Sri Lanka, Sweden, Switzerland, Thailand, Timor-Leste, Turkey, United Kingdom of Great Britain and Northern Ireland and Vanuatu: draft resolution", "Happiness: towards a holistic approach to development", "Addendum", "Add the following countries to the list of sponsors of the draft resolution:", "Andorra, Croatia, Cuba, Iceland, Monaco, Montenegro, New Zealand, Panama, Peru, San Marino, Serbia, Solomon Islands and Viet Nam" ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "对承包者提交的年度报告的评价", "法律和技术委员会的报告和建议", "一. 导言", "1. 《“区域”内多金属结核探矿和勘探规章》附件4第10节规定，所有承包者有义务在每年三月底以前提交其年度活动报告。", "2. 承包者有：海洋地质作业南方生产协会(俄罗斯联邦)、国际海洋金属联合组织(保加利亚、古巴、捷克共和国、波兰、俄罗斯联邦和斯洛伐克)、大韩民国政府、中国大洋矿产资源研究开发协会(中国)、深海资源开发有限公司(日本)、法国海洋开发研究所(法国)、印度政府、联邦地球科学及自然资源研究所(德国)。截至2011年6月6日，已收到所有承包者的年度报告。", "3. 法律和技术委员会在第十六届会议期间举行的会议上，对2009年提交的年度报告作出了若干评论和建议。这些评论载于ISBA/16/LTC/6，并连同有关每一承包者的具体评论，由秘书长于2010年10月4日书面送交各有关承包者。", "4. 在经过分析后，委员会谨提出以下有关2010年提交秘书长的年度报告的意见和建议。", "二. 关于年度报告的评价和建议", "A. 深海资源开发有限公司", "综述", "5. 承包者于2011年4月29日以英文提交其2010年年度报告。报告包括勘探活动、环境研究、采矿试验、培训方案等标题，并附有财务报表。报告结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "6. 2010年年度报告表明，深海资源开发有限公司在该年度没有进行任何野外活动，报告主要介绍了由承包者进行的勘探工作的历史背景，深海资源开发公司在与国际海底管理局签订合同后没有进行任何野外工作。", "7. 在合同的第二个五年阶段(2006-2011年)，深海资源开发公司进行了一项研究，评估深海商业采矿作业的整体可行性。这包括研究开采、熔炼和精炼结核的技术的现状，结核开采业务的环境评估，以及结核金属含量的价值。日本政府目前正在建造一艘调查船，以便2012年在“区域”进行勘探活动。", "8. 2010年年度报告简介了1975-1996年，在与管理局签订合同之前完成的活动，提供的详细信息包括进行的航次，所用船只和调查船使用的设备。这些调查导致了一系列测深图；结核含水量图；结核丰度图(在区域的不同区段)；锰、镍、铜和钴的相应金属品位分布图。然而，报告没有提供原始数据。该报告还提供了根据自由落下抓斗采样数据作出的资源评价，以及四种金属的平均结核丰度表。在将数据分布于整个合同区的网格图上后，制作了一个资源汇总表，连同报告一并提交。虽然整个区域已经过多波束回声测深仪的测量，但承包者认为需要进行更详细的调查。报告还指出，缩小采样间隔，可取得必要的数据分辨率，以了解考虑作为矿址开发的区域。承包者在2010年没有进行勘探活动。", "9. 与往年一样，2010年年度报告评估了结核采矿的经济可行性和提高其经济效率的可能性。1992年使用现金流量折现法评估了结核采矿的经济可行性。最新研究使用至1996年的数据。报告指出，由于评估采用以前的方法、开采和熔炼成本，所得结果不反映当前状况。报告还按不同金属价值提出几种可能情况，并计算内部收益率。", "采矿试验和拟议采矿技术", "10. 在报告期间内没有进行任何采矿试验，但报告提供了在1981至1997年期间承包者开展的工作的信息。承包者的研发活动的目的，是为开采锰结核建立有效和具有成本效益的技术系统。系统细节和研究计划以图表方式提交。", "11. 报告解释了1981至1997年期间开发的结核采集系统和矿石扬升系统(泵举法和气举法)。承包者还试图开发一个处理系统和评估作业系统。验证实验一直进行到1997年，但研发活动其后即告中断。不过，承包者提议在未来进行系统的技术能力测试。", "12. 深海资源开发公司在1989至1995年期间曾尝试开发一个冶金系统。报告开列了在该期间开展的工作。承包者详细分析了现有五种结核冶金法，并探讨了另外三个方法。提交的报告总结了对八种方法的评价。", "培训", "13. 2010年没有进行任何培训方案，因为在合同中规定的培训义务已在前几年完成。报告提供了深海资源开发公司作为先驱投资者于1993年进行的培训方案。", "环境监测和评估", "14. 深海资源开发公司介绍的2010年环境工作，包括评价日本在1989至1996年期间进行的环境研究。在与管理局签署合同前进行的工作包括表层研究和海底研究。海底研究包括基线调查、影响实验和影响预测。这些研究的结果在2010年年度报告的附件内提交。虽然该文件包含一些有用的信息，但本文没有讨论研究结果，因为该文件基本上是签署勘探许可证之前进行的工作的有关文献介绍。", "15. 必须在物种一级有更详细的信息和分析，才可以对所有各种大小的动物(微型动物、小型动物、大型动物、巨型动物)进行生物学研究。向承包者提供的订正导则指出，应当进行分子生物学方面的新研究。在过去15年，生物地球化学研究和底栖生物学研究已有了长足进展。以前的结果需要以新知识和参考最新资料解释。必须与其他承包者的结果实现更大的协调统一。", "财务报表", "16. 在上一年度的报告中，委员会指出，承包者提供的开支细目不符合ISBA/15/LTC/7建议的格式。", "17. 2010年，承包者以不符合ISBA/15/LTC/7建议的格式编制的财务报表报告支出总额2 024 022日元(20 240.22美元)。承包者还提供了一个关于2001至2010年期间勘探费用的表格。表格列出一、两个项目，并有部分细分，但没有采用ISBA/15/LTC/7建议的格式。承包者提交了2010年4月1日至2011年3月31日财政年度承包者账目的审计证书。该证书由Onozawa Yoshiji注册会计师事务所认证签署。经认证的财务报表以日文提交，并附有未经认证的英文译本。委员会去年已建议，所有译本应由适当机构认证。", "活动方案的拟议调整", "18. 承包者没有提议修改活动方案。", "评论", "19. 年度报告概述了承包者在与管理局签订合同以前收集的数据，以及在报告所涉期间进行的审查工作。此外，还介绍了一些结果和数据分析工作。报告表示正在建造一艘新研究船，用于未来的勘探活动。委员会对提供的信息表示赞赏，但正如以前所请求，还希望在讨论报告年度的工作时可以与以前进行的工作联系起来。", "20. 报告没有提供任何新收集的数据。没有提供任何国际海底管理局数据库可以使用的数字信息。", "21. 委员会建议承包者依照ISBA/15/LTC/7的规定提供一份详细支出报表。经认证的财务报表以日文提交，并附有未经认证的英文译本。建议以后所有这些翻译应由适当机构认证。", "B. 联邦地球科学及自然资源研究所", "综述", "22. 承包者于2011年4月6日以英文提交其2010年年度报告。报告提供了关于勘探，采矿试验和环境活动的资料以及一份财务报表。报告结构基本上符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "23. 在报告期间，承包者在2010年4月和5月以“Sonne号”研究船在其区域进行了41天的勘探航次，开展多学科工作，如：(a) 通过研究微生物和非生物早期成岩作用，调查锰结核的形成；(b) 重建控制结核形成的过程，如深海水团循环、深层水增氧和古生产力；及(c) 研究底栖动物组合的多样性。采样工作动用了20个箱式取样器、15个多管取样装置和8个活塞/重力取样装置。报告提供了采样点的详情，介绍了回收的样本以及所覆盖的区域，并详细说明了从平原到海山区的各种不同地形。报告还在多波束测深图上提供研究船的详细航迹，在测深图和后向散射图上提供取样站位置。", "24. 提供的详细航次报告附有使用的设备的信息，如洋底录影和摄影测绘设备、链袋采样器和各种类型的岩芯取样器。设备的详细信息、获得的样本和相应结核丰度的测量结果，均以表格形式提出。", "25. 在勘探调查期间，使用船基后向散射探测器和深拖侧扫声纳记录研究了5个海底区域。还利用历次航次的录影、抽样数据和侧扫数据分析上述数据。图像处理工作对结核和沉积物进行了区分，以计算海底结核覆盖率。报告提供了分析的例子。船基后向散射探测器与深拖侧扫图像的比较显示，两者所得结果相若。这项研究还建立了根据录影图象、侧扫声纳数据和取样器实测结核丰度计算的结核覆盖率之间的线性关系。", "26. 对录影图像的检视表明，中至高度的结核覆盖区与高后向散射值相关。结核大小似乎与某一特定地区的后向散射值有重大关系。或许可以利用后向散射测量技术作为较大海区的勘探工具，以区分结核小丰度低的海区与结核大平均结核丰度高的海区。但必须适当预处理后向散射数据，以标准灰度表示。", "27. 报告以一附表详细列示在报告期间收集的结核的化学分析结果。报告提供了从该海区取得的结核样品的锰/铁含量比与镍/铜含量比的比较。对不同类型的结核(盘状、球状和表质粗糙的大结核)的平均成分进行了测定，并在报告中提出结果。航次期间共收集了结核228kg。", "28. 利用人工神经网络研制了一个结核分布模型，以解决承包者认为其海区缺乏有足够密度的取样信息的问题。采用的方法的目的是：调查应用神经网络是否为估算资源的适当方法，确定金属分布的控制参数，并分析结核丰度的地区分布，以计算产生的金属吨数。这项活动仅限于海区东南部分。报告介绍了在调查中采用的方法，并在一附表中列出各品位档次的预测资源量和平均金属含量和资源。报告表示模型需要进一步改善，增加参数和实测是改进模型所必不可少的。", "29. 报告提出未来10年的勘探战略。承包者打算在未来几年内每年进行一个研究航次。", "采矿试验和拟议采矿技术", "30. 按照合同规定的活动方案，2010年没有进行采矿试验。研究所聘请了一个承包人研究结核采矿的技术发展和经济可行性。合同涉及评价现有技术和评估与环境问题相关的技术、安全问题、资本开支与运营成本和盈利能力。已准备了一个结核采矿和扬升系统的详细概念设计，重要子系统和组件将有计算机模拟。这项工作在报告期间内完成，并已编写了656页报告。年度报告提供了为研究所编写的大报告的摘要，重点放在结核采矿和提升系统的概念设计。此外还提供了系统组件的详细信息，以及对系统生产成本和经济效益的评价。报告的结论是，考虑到所有因素，矿石的生产和运输到岸成本，每吨需要47.38美元。", "培训", "31. 2010年没有进行任何培训方案，因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "32. 研究所在2010年开展的环境工作包括研究其主张区域的物理海洋学(温度、盐度和氧浓度分布)、化学海洋学(钕剖面)、沉积物特性(剪切强度)、孔隙水和生物多样性。主张区域东部和西部地区的温度、盐度和氧垂直剖面以图表和文字说明。报告提供了钕垂直剖面，并指出列出的结果是西赤道太平洋第一个完整的钕海水深度剖面。承包者还指出，可以利用钕跟踪水团，同时，所得结果提供了对水团起源和深海水循环的一些了解。报告介绍了沉积物剪切强度实验的方法，并附有对结果的说明和图解。关于孔隙水分析方法的说明附有分析结果的图文说明，并包括分析沉积物内结核存在对垂直化学剖面的影响。提出的生物多样性研究包括简略说明方法，并以图文简单说明对结果的分析。生物多样性研究表明，在低结核覆盖区内小型动物丰度明显偏高，此外，主张海区范围内有没有任何障碍，足以在未来可能进行的采矿活动造成任何扰动后防阻生物再进入。", "财务报表", "33. 承包者报告2010年支出总额4 684 390欧元，并提供了开支细目，但所用格式并非ISBA/15/LTC/7所建议。财务报表由负责研究所活动预算事项的研究所财务管理主任和财务总监签署。委员会要求秘书长联系担保国，澄清财务总监、研究所和担保国之间的关系。", "活动方案的拟议调整", "34. 承包者在报告期间完成了原本计划于2008年进行的研究航次，也获得经费购置深拖设备进行采矿概念研究。", "评论", "35. 年度报告遵循既定格式，并提供所有相关信息，其中包括分析，并在某些情况下提供原始数据。承包者也完成了采矿概念系统的分析工作，但尚未开展采矿过程中的冶炼阶段的工作。报告称，未来某个时间将进行类似的冶金分析工作。", "36. 委员会在评价2009年年度报告时建议，研究所应完成2009年报告中所描述的结核覆盖评估。2010年的报告表明，这项工作已告完成。为了完成对整个区域的评价，必须具备进行这种研究所需的大量箱式取样样品。在声学多普勒海流剖面设备(ADCP)数据分析方面，承包者已保证在2011年年度报告提供详细的分析。", "37. 报告只提供对收集所得数据的分析，但没有数字信息。这些数据应提供国际海底管理局数据库。", "38. 报告内容全面，包括提供了在2010年进行的活动的详细航次报告。在环境研究方面，海底动物物种一级需要更详细的资料。报告提及的有关巨型动物的工作需要精细量化数据，以比较德国和法国主张区域的动物。", "39. 委员会建议承包者今后遵循ISBA/15/LTC/7有关财务报表格式的建议。委员会还建议担保国确定认证财务报表的主管机关。", "C. 印度政府", "综述", "40. 印度政府于2011年4月5日以英文提交年度报告。报告内容包括调查和勘探工作、采矿和采掘冶金技术、环境影响评估，及一份财务报表。报告结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "41. 承包者的勘探活动主要集中在以前报告的第一代矿址。印度政府的勘探活动主要是完成了测量微地形特征的多波束测深调查。报告的勘探部分再次提供上一年报告提交的同一张第一代矿址测深图。没有提供数据的分析。", "42. 承包者打算在选定地区使用遥控潜水器生成详细的测深图，已计划在未来一年定期更新数据库。", "采矿试验和拟议采矿技术", "43. 在勘探方案第一阶段研制的水下采矿机已被改装，增加了集矿机、碎矿机、强力泥浆泵和新的液压动力系统，并配上加宽新底盘。这些改良意味着其重量现在已增至约23吨(空气)，在改装前进行了大量的工程分析。结核采矿机、集矿机、碎矿机和泵送系统的集成形式，已在国家海洋技术研究所的试验池作了进一步测试。", "44. 水下采矿机的水下数据采集和控制子系统已予改良，配以最新硬件和软件，以满足新集矿机和碎矿机系统的所有额外需要。由于遥测系统组件的扩大，硬件已一分为二，分置于两个独立的高圧外壳内。这两个数据采集和控制子系统协同运作。报告提供了有关测试系统的数字。", "45. 2010年10月在印度西部海岸512m深度试验了水下采矿系统以及装卸子系统，如绞车、控制台、配电模块、浮力模块和下水回收平台结构。在该航次中，使用单级正排量泵成功地收集、破碎和泵送人工结核，从而验证概念和确认系统可用于采矿作业。将详细分析子系统，并改良系统，以便日后在6 000m深度操作。已提议在6 000m的进一步研发过程中进行多项试验，完善系统长期作业功能。", "46. 在报告期间继续在港内进行土壤测试仪的海上试验。此外，进一步研究了土壤机器的相互作用性质，深海采矿系统的铝结构，以及海底驱动系统的建模和分析。遥控潜水器(ROSUB 6 000)的筹备工作已经达到试验阶段，并已在5 000m深度的结核区试验了系统。年度报告提供了这些测试的详细情况和初步结果。未来的采矿技术发展包括建造在6 000m深度作业的采矿系统，利用ROSUB调查第一代矿址，并试验改良的封测试仪。", "47. 在报告期间继续开发冶金技术，工作重点是改进流程和产生有附加值的产品。已尝试利用中空纤维非分散提取模块分离金属，以及从结核浸出液提取钼。在这些实验的过程中取得的成果将被用来大规模分离钼。此外，一个参与实验室继续利用锰饼制备电解二氧化锰和利用结核浸出残留提取精细化学品。一项尝试是从含硫酸氨的废水回收氨。尝试采用了几个新的熔炼方法，例如直接熔炼和利用石墨衬里电弧炉熔炼。报告指出，不添加白云石和延长保温时间可以提高回收效率7%至8%。以7%焦炭和20分钟保温时间，可以收回约90.5%铜、92%钴和86.6%镍。未来的活动将包括利用锰饼制备电解二氧化锰，改变浸出办法以用于一种焙烧浸出电解冶金法，优化回收工艺，利用溶剂萃取法或纤维膜萃取法回收结核中的稀土元素。", "培训", "48. 2010年没有进行任何培训方案。因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "49. 印度政府在2010年进行的环境工作包括评估在2009年两个航次收集的数据。承包者检查了沉积学性质、土工力学性质、沉积物和孔隙水的地球化学特征、微生物和生化参数、真菌和大型动物多样性以及与结核相关的动物。对于所有非生物研究，报告简要讨论结果，并提供平均值、幅度和图表。报告提供了两个站点的微生物和生化参数，但没有详细信息或解说图表，虽然说明已指出结果有年度/季节性变化。报告讨论了真菌多样性，但没有提供任何数据或图表。有关大型动物多样性以及与结核相关的动物的描述也是没有辅以数据或图表。报告完全没有提及采用的方法，也没有提交任何原始数据。报告的结论是，研究表明环境状况因时间尺度(季节和年度)而异，但报告没有以任何数据或图表支持这些论断。", "财务报表", "50. 在上一年度的报告中，委员会指出，应当依照ISBA/15/LTC/7号文件的建议，为2009年提交详细的支出报表。作为回应，承包者提交了一份支出报表，但没有采用ISBA/15/LTC/7号文件建议的项目，在航次开支方面，该表没有说明2009年两个航次的船只时间和大型设备的实际日费率。资本支出没有逐项开列。", "51. 承包者报告2010年支出总额5 980 000美元。提供的财务报表包含支出细目，但没有采用ISBA/15/LTC/7号文件建议的项目。航次开支没有说明船只时间的实际日费率和大型设备的日费率。承包者说，报告的支出不包括非技术性人员及行政人员费用。此外，报告没有区分业务和资本开支。资本支出没有逐项开列。财务报表由地球科学部秘书签署及认证。", "活动方案的拟议调整", "52. 承包者没有提议修改活动的方案。", "评论", "53. 承包者在2010年进行的工作主要包括关于收集和处理结核的研发活动。勘探工作不多，报告再次提到在2009年进行的活动，但没有任何进一步分析。报告提供了大量采矿技术和冶金方面的详细资料，但似乎都是前几年已经报告的工作的延续。在报告期间开展的环境工作没有任何原始数据和分析。", "54. 报告只提供对所收集数据的分析，但没有数字信息。应向国际海底管理局数据库提供这些数据。", "55. 令人鼓舞的是，在报告期间内进行了采矿和冶金活动。", "56. 委员会对报告提供的环境数据的现状感到关注。关于在环境问题方面所得进展的报告非常差。由于缺乏关于方法(采样和分析程序)的数据，无法对研究的质量进行评估。平均值缺乏标准偏差。应当有适当的统计比较，包括符合现行国际标准和经修订的承包者导则的多元统计分析。还应根据现有知识(并说明出处)对结果进行讨论。承包者进行的工作，如果由一个独立科学小组分析，很可能导致各开发阶段受到严重质疑。", "57. 委员会建议承包者依照ISBA/15/LTC/7建议提供一份详细的支出报表。", "D. 国际海洋金属联合组织", "综述", "58. 国际海洋金属联合组织于2011年4月4日以英文提交其年度报告。报告内容包括与合同有关的活动、地质勘探、环境研究、采矿和处理技术以及一份财务报表。报告结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "59. 承包者进行了数据处理并对2009年航次期间收集的样本进行了分析。报告期间没有进行野外工作。2009年航次数据的分析，包括对合同区内的结核和金属资源进行了一次地统计学评估。应用了块段克立格法计算海底区块的平均丰度和金属含量以及结核和金属资源。该程序考虑到：(a) 采样点在被取样采矿区内的分布情况以及采样点彼此之间的分布情况；(b) 区块的形状和大小；及(c) 一个有关参数的变化结构问题，反映于地统计学变异模型(半方差函数模型)。报告以一个表格列出根据国际海洋金属联合组织合同区H1区(B2段内)的资源计算的地统计学结果。", "60. 其他研究包括沉积物粒度分布分析和矿物组成分析。国际海洋金属联合组织还继续在其合同区进行地球化学研究。在实验室测试了海底沉积物和结核的物理性质，并以比重瓶法分析了69个沉积物样品的密度。沉积物主要是含少量硅的粉质粘土，其次是含硅粉质粘土。通过比重瓶分析法和计算，分析了30个结核样品的密度。仪器的测量值低于计算得到的数值。沸石结壳的密度大大高于非聚合沉积物的密度。", "采矿试验和拟议采矿技术", "61. 承包者分析了2008年在印度钦奈举行的研讨会的结果。该研讨会由国际海底管理局主办，主题是“多金属结核采矿技术：现状和未来的挑战”。承包者报告，尽管花费了大笔经费，过去15年研究取得的成果寥寥无几，没有关键技术发展。国际海洋金属联合组织已经作出结论，认为采矿技术研究应以概念设计为重点，因为建造仅在浅海条件下测试的实验性采矿系统，即使按比例缩小，也是重大资本投资。2010年期间对国际海洋金属联合组织的采矿技术研究进行了一次回顾性分析，以确定在深海采矿系统开发方面的未决问题。承包者指出，设计和验证整个“海上作业”所需的计算机模型也有待发展。", "62. 关于处理多金属结核的技术研究分两路进行：火冶水冶结核处理法和水冶结核处理法。补充研究包括利用甘蔗业废料作为还原剂的高压硫酸结核浸出法。将对这些技术进行技术经济评估。计划采集大量结核(5-8砘)，以便对这些处理技术进行实验室试验。", "培训", "63. 2010年没有进行任何培训方案。因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "64. 国际海洋金属联合组织在2010年进行的环境工作，是分析2009年一个航次进行的横截线摄影调查所观察到的巨型动物。报告说明了观察活动并附有照片、图表和地图。报告指出，正在为国际海洋金属联合组织勘探区内巨型动物群落编写一本图文并茂的图册，一一列出经鉴别的动物。", "财务报表", "65. 经核可的2009年财务报表在2010年6月25日收到。", "66. 承包者报告2010年支出总额754 344美元。报告详细列出了各项支出。虽然支出按照建议的项目报告，但项目下没有按ISBA/15/LTC/7建议细分。2011年6月1日，国际海洋金属联合组织主任告知秘书长，该组织理事会已在2011年5月20日核可财务报表。", "活动方案的拟议调整", "67. 承包者没有提议修改活动方案。", "评论", "68. 国际海洋金属联合组织按照合同的活动方案开展了活动。由于在报告期间内没有进行野外工作，主要的工作涉及分析前一年的数据。对采矿技术进行了案头研究，矿物处理技术的开发进展缓慢。", "69. 报告只提供对所收集数据的分析，但没有数字信息。应向国际海底管理局数据库提供这些数据。此外，由于2010年没有进行野外工作，报告主要讨论以前各年所收集的数据。", "70. 关于以横截线摄影调查进行的环境工作的报告，应当有较精确的量化分析和较高的分类分辨率。应参考最近几次关于为环境影响评估进行和分析横截线摄影调查的研讨会的成果。承包者应更多与科学界交流，提高照片鉴别的动物的分类分辨率。", "71. 虽然支出依照建议的项目报告，但每个项目下没有按照ISBA/15/LTC/7建议细分。承包者今后的报告应解决这个问题。", "E. 大韩民国政府", "综述", "72. 承包者于2011年4月6日以英文提交其年度报告。报告详述了勘探工作、环境研究、采矿技术工作、培训和其他活动，并提交了一份详细财务报表。报告在开头提供了报告摘要。报告的结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。报告附有相关图表。", "勘探工作", "73. 在报告期间，作为勘探和环境工作的一部分，承包者在研究船“Onnuri”号上对KR2和KR5区块进行了84天的实地调查。调查作业在2010年7月和8月两个航次上进行。第一个航次的目的是收集环境数据，第二个航次集中于地质和地球物理调查。以了解获分配区域的沉积物土工力学性质和结核分布情况。使用深拖侧扫声纳系统收集了侧扫和水深数据。这些调查在KR5区块进行。报告提供了采样点位置图和调查迹线图。", "74. 深拖调查工作的结果在报告中以两幅地图说明：侧扫数据图和彩色测深图。沉积物取样使用了多管取样器和箱式取样器；对采集的沉积物样品进行了剪切强度、粒度和含水量分析，以确定土工力学基本参数。剪切强度以粘度测量仪测定，粒度以沉降粒度仪测定，含水量以沉积物的干湿重量差确定。沉积物有66.9%粘土成分。报告以一表格提供了沉积物样品的土工力学性质。", "75. 通过结核采样研究了锰结核的分布。目的是对分配区的采矿潜力作出准确评估。航次间在KR5和KR2区块24个测站进行了结核采样。采集的结核样品按表质、形态和大小分类。报告以附表列出结果。对锰结核的金属含量进行了测量，以确定主要金属含量，结果以表格形式提交。在南部区块(KR5)，结核一般富含铜、锰、镍和锌，缺乏钴和铁，说明主要成因为成岩作用。", "采矿试验和拟议采矿技术", "76. 按照合同的活动方案，在报告期间没有进行采矿试验。但是，承包者继续进行集矿器和综合采矿作业技术的研发工作。方案正在开发一个自行式采矿模型，办法是扫集海底多金属结核，通过软管集送到一个缓冲站以备扬升，以及设计进行海上采矿作业所需的方法。在报告期间，试验集矿器MineRo经历了135小时的行驶试验。已开发和验证了一个海底导航计算法。根据性能测试结果，已进行了潜水深度可达500m的试验性采矿机器人的概念和基本设计，还完成了一个自行式采矿机器人核心设计技术的建造。在提升技术方面，2009年试验了一个浅海扬升系统，以确定其性能特点。在2010年，对深海多级升举泵的叶轮和导向叶片进行了详细的水力设计。承包者计划在2012年进行1 000m深的试验前升举。", "77. 承包者对还原熔炼浸出工艺进行了大尺度试验(每日200kg)，回收钴、铜、锰、钼和镍。报告提供了关于所用设备和生产的合金的数据。结果可归纳如下：", "(a) 对溶剂萃取法进行了大尺度试验(生产能力：锰结核每日200kg),以连续混合沉降器从浸出液分离铜；", "(b) 设计和生产了进行大尺度试验的电解冶金系统，从净化液回收金属(钴、铜、镍)；", "(c) 购买了高压釜(15公升)，为大尺度试验浸出锍相；", "(d) 以溶剂萃取技术幵发了一道工艺，从浸出液以三氧化钼(M_(o)O₃)形式回收钼；", "(e) 开发和优化了从浸出液选择性生产钴、铜和镍粉的工艺；", "(f) 采用离子交换法研究在溶剂萃取后提取溶液中铜剩余的工艺。", "培训", "78. 2010年没有进行任何培训方案。因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "79. 2010年，大韩民国政府进行了一个研究航次，调査主张区域的物理、化学和生物条件。物理评估涉及温盐深度剖面测量和海流测量，包括评价海流的季节性变化。空间变化也通过比较南北横截面的温盐深度剖面获得解决。化学评估涉及从温盐深度测量收集水样本，以测量无机营养盐、有机碳和叶绿素a；报告提供了垂直、经向和纬向横截面数据。还提供了营养盐剖面和温度的年际变化。生物研究涉及检査水柱的小型动物、大型动物和微生物。沉积物的地球化学分析包括对沉积物岩芯的岩石和生物成分进行分析。还测量了沉积物样品的碳和氮，包括时空变化性分析。报告在勘探部分提供了沉积物的地球化学性质。还介绍了从海面到海底的粒子通量的季节和垂直变化。", "80. 报告提供了大量的图表和文字分析以及一些原始数据，包括采样点的地理位置。特别值得注意的是，大韩民国政府按照国际海底管理局秘书长要求的格式提供原始生物数据。", "财务报表", "81. 在去年的报告中，委员会的结论是，需要为2009年提供详细的支出报表。承包者未予提供。", "82. 承包者报告2010年支出总额8 622 300美元。提供的财务报表载有支出细目，但没有采用ISBA/15/LTC/7建议的格式。大韩民国政府土地、运输和海洋事务部海洋政策局局长签署了支出证明书。", "活动方案的拟议调整", "83. 承包者预计短期内不会有任何改变，因此没有提议改变活动方案。", "评论", "84. 以图表提供的数据的质量良好。勘探部分附表的取样站位置，除了在环境部分提供外，最好也可以在勘探部分提供，虽然该部分已提供了所有其他细节。报告提供了调查区的测深图和侧扫图像图，但没有任何分析或解释。", "85. 报告一节详细介绍了环境研究。所有相关取样点信息以表格形式提供。承包者以国际海底管理局秘书长要求的格式提供原始生物数据。", "86. 报告只提供对所收集数据的分析，但没有数字信息。应向国际海底管理局数据库提供这些数据。", "87. 委员会对承包者在报告内提供原始环境数据表示赞赏。", "88. 委员会建议承包者以ISBA/15/LTC/7建议的格式提供2009年的详细支出报表和2010年的详细支出明细表。", "F. 中国大洋矿产资源研究开发协会", "综述", "89. 中国大洋矿产资源研究开发协会于2011年3月28日以英文和中文提交了其2010年年度报告。报告载有关于勘探工作、环境基线研究、深海采矿系统和冶金工艺的研发、其他活动、培训、2010年工作计划的信息以及一份财务报表。报告结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "90. 该协会在报告期间没有讲行任何海上实地调查工作。2010年期间,承包者完成了2009年从深拖高分辨率测深试验调查所得数据的数据处理工作。测线长度48km，覆盖宽度500m。侧扫覆盖宽度700m。报告提供了测深和侧扫数据处理所用方法的细节。报告以一图比较了深拖调查结果与船载多波束系统的结果。详细调査点被划分为四段，各段平均坡度均予计算。报告提供了各段的地形图。深拖调査作业缺乏深拖的准确声学导航定位，因此所收集数据的准确度低。承包者的潜水器“蛟龙”号在中国南海进行了海试，并在2 000-3 000m深处进行了17次下潜。", "采矿试验和拟议采矿技术", "91. 2010年，该协会对回收过程中的结核运输安全进行了研发工作。研发结果将提供技术参考信息，以设计安全和高效地以立管将结核从海底输送到水面船只的结核运输系统。研发工作包括研究采矿系统的集成运动，以确保可以在各种海况下操作该系统。巳经建造了深海采矿系统的单体刚性模型，以进行快速模拟。承包者已在其下一个五年计划表示，承包者打算建立一个实验室，研究深海矿物的开釆和利用。该实验室将作为一个平台，供开发深海采矿技术和研究深海资源处理技术。", "92. 该协会继续进行冶金实验，研究自催化还原氨浸和熔炼多金属结核的技术。自催化还原氨浸的产出是沉淀物和普通氨溶液浸出的沉淀物。以前对多金属结核冶炼技术的研究已有了进步，报告提供了改良的多金属结核熔炼流程图。", "培训", "93. 2010年没有进行任何培训方案。因为在合同中规定的培训义务己在前几年完成。不过，在船上培训了两名巴基斯坦科学家。", "环境监测和评估", "94. 该协会在2010年进行的环境工作包括继续分析下列方面在2009年收集的数据和进一步收集的数据：叶绿素a、小型动物群落和化学参数。报告以文字和图表介绍了叶绿素a分粒级分析，比较了承包者主张区域东部和西部地区水柱的垂直剖面。关于小型动物群落结构、深度剖面和分粒级分析的数据也以文字和图表提出。报告提出的化学基线数据包括磷酸盐垂直剖面、养分富集实验的信息、表层水悬浮颗粒的矿物成分和起源以及颗粒输出通量模式。报告说明了获得的信息，并辅以图表和照片，但没有包括原始数据。", "财务报表", "95. 在上一年的报告中，委员会指出，承包者未依照ISBA/15/LTC/7建议提供一份详细支出报表。承包者在2006至2010年五年定期报告中提供了2009年的支出报表，但没有采用ISBA/15/LTC/7建议的格式。", "96. 承包者报告2010年支出总额5 302 800美元，报表以七个项目开列支出，部分附有细目。承包者提交了由国家海洋局财政部门认证的证书。证书认为报表符合中国国家标准，账簿备存妥善。", "活动方案的拟议调整", "97. 承包者没有提议修改活动方案。", "其他活动", "98. 承包者研究了开采多金属结核的经济前景，包括对钴、铜、锰、镍进行了详尽的市场调査。提供的数据包括每种金属在过去五年的陆上采矿生产量、消费量、预计生产量和价格波动情况。调查显示，铜、锰、镍、钴的陆地资源量目前相当丰富，可满足未来50年的需求。多金属结核和富钴结壳富含的稀土元素，可能成为开发海底资源的新动力。全球对稀土元素的需求在未来很可能继续增加。影响结核采矿经济效益的主要因素是资源质量、开采规模、固定资产投资、运营成本、金属价格和利率。经济分析表明，开采结核需要大量的投资和冒很大的风险。所需技术仍不明确，在现阶段不能准确地确定作业和环境管理成本，但是，高金属价格有可能提高投资者对发展海底采矿的信心。", "99. 该协会继续进行关于海洋信息系统的开发和业务工作；包括管理中国的海洋样品库和更新海洋样品信息系统。中国和大韩民国继续在深海矿产资源开发国际合作协议框架内进行协作。", "评论", "100.　该协会提供了一份资料丰富的报告。工作依照其合同所载的活动方案开展。在没有任何野外工作的情况下，勘探工作限于处理在2009年收集的深拖侧扫数据和测深数据。报告所附图表一般很好。承包者在采矿和处理技术方面取得了稳步进展。对结核采矿经济潜力的分析非常有用，虽然这项工作不属其合同任务的一部分。", "101.　报告只提供对所收集数据的分析，但没有数字信息。应向国际海底管理局数据库提供这些数据。", "102.　报告涉及2009年收集的数据的处理和分析。此外，承包者提供了关于一项开采可行性研究的信息。承包者特别提到矿床富含的稀土元素；承包者提到今后有关建立一个备有空间信息的数据库的工作。", "103.　提供的环境研究数据应该有更好的统计分析，包括提供均值与标准偏差值。需要明确一些数据与采矿活动的相关性。所有关于数据的讨论，应考虑到现有知识以及数据对海底采矿环境管理的重要性。有必要采用一致的分类并按照国际标准在物种一级开展进一步工作。评估数据需要取样点位置的数据和取样程序(方法)的数据。", "G. 法国海洋开发研究所", "综述", "104.　承包者于2011年6月6日以法文提交其2010年年度报告。报告载有关于勘探活动、采矿技术、培训、环境评估和监测、其他事项的信息和一份财务报表。报告结构大致符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "105.　研究所在报告年度没有开展任何海洋学活动。研究所没有报告在报告期间开展任何勘探活动。", "采矿试验和拟议采矿技术", "106.　依照合同的活动方案，没有开展任何工作。", "培训", "107.　2010年没有进行任何培训方案。因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "108.　研究所年度报告中有关环境工作的部分提供了在科学文献发表的论文的摘要。这些论文采用了研究所以前各年进行的海洋学活动的取样结果。报告提供其摘要的两篇公开发表论文涉及小型动物丰度和多样性。报告说，已经与联邦地球科学和自然资源研究所举行了一次会议，以拟订进行合作研究的建议，但建议尚未定案。", "其他事项", "109.　承包者报告，2010年6月，海洋矿产资源国家观点研究组以30名专家10个月的时间完成了一项关于矿产资源经济预测的研究。有关报告在2011年发表(“Les resources minérals marines profondes”)。承包者已开发一个包括7 800份文件的书目数据库和一个地理信息系统。地理信息系统的结核方案继续变改以前各航次图片的格式，以添加地理参考信息，并与其他历史数据相结合。", "财务报表", "110.　在上一年的报告中，委员会指出，应当提供一份符合ISBA/15/LTC/7建议的详细支出报表和2009年财务报表的适当认证，以及澄清2009年年度报告中提到的开发许可证。承包者均没有做到。", "111.　承包者报告2010年支出总额108 910欧元。财务报表以ISBA/15/LTC/7建议的五个项目提供开支细目。财务报表由研究所首席会计认证。间接费用未予认证。", "活动方案的拟议调整", "112.　承包者没有提议修改活动方案。", "评论", "113.　报告非常简短，没有报告任何有关勘探、采矿及处理技术的工作。报告格式采用建议的模板。", "114.　关于环境研究的报告非常令人失望。虽然开列科学出版物资料是令人鼓舞的，但应当提供提及的论文的全文本，而且应当参考克拉里昂-克利珀顿区一切现有知识讨论结果。应向管理局提供原始数据，或讨论“生物海洋”(Biocean)数据库的准入程序。", "115.　再次要求承包者对2009年年度报告所提到的开采许可证作出澄清。", "H. 海洋地质作业南方生产协会", "综述", "116.　协会于2011年4月4日以俄文提交其年度报告。委员会要求承包者提供英文译本。但至今仍未收到。该报告随后由联合国翻译服务部门翻译，译文于2011年5月31日收到。报告包含导言、财务报表和有关勘探工作、环境研究、研究活动、采矿试验和人员培养方案的部分。报告还简短说明2009年工作方案。报告结构符合ISBA/8/LTC/2号文件附件委员会建议的标题和内容清单。", "勘探工作", "117.　报告期间的勘探工作，大多局限于俄罗斯勘探区东部多边形地区内一个面积3 670km²的地区。该区毗邻前两年调查的地区。野外调查在研究船“Gelendzhik号”上进行。报告提供了该区的地图，并另表列出多边形地区的坐标。野外调查的重点是在选定地点进行深拖摄影、录影和声学调查。报告提供了所用船只和设备的详细资料。使用侧扫声纳以30kHz单一频率信号进行了地声扫描。在研究区内完成了达13个地声扫描剖面，总覆盖长度超过425km。报告以一地形图提供了扫描线。在作业地区的南段和北段进行了摄影和录影扫描，完成了19个摄影和录影剖面，总长度535km。报告提供了剖面测线图。2010年航次收集的样本在实验室进行了分析。该项研究包括沉积物粒度、结构分析、碳酸钙含量和微型动物年龄测定，以及分析结核和火成岩。2008年和2009年录影和声纳剖面的处理工作也告结束。仍在处理2010年收集的数据，以进行地质解释。报告提供了关于地貌、海底构造及采矿与地质条件的图表，并对地形和地质图作出简短的解释和分析。报告表列了地图上显示的正特征、平坦和谷盆特征数目，说明各种不同特征的覆盖面积百分比。", "118.　对海底深拖系统获得的海底声纳剖面数据进行了处理，以研究沉积盖层的结构。报告提供了一张海底地貌图，显示海脊和谷盆之间的梯度带的沉积盖层分层结构。报告评估了采矿和地质因素，以确定海底结核矿床的分布。这在很大程度上取决于有关地区的地貌和岩性。报告以一地图显示不同难度的地质条件。已确定地区共有32个具有发展潜力的矿床。这些地区的面积从7km²至129km²不等。关于结核和探矿区地质环境基线特征的地质、地球物理和地球化学研究工作产生的数据，已经进行了收集、分析和整理工作。已经对扁豆状、带擦痕和巢状结核地区进行了比较。各地点的比较以表格形式列出。报告提供了各区的地文图。海底矿床的土工力学和物理化学特性已予汇总，分析结果在报告中提出。", "119.　报告以一表格比较了显示含矿能力的参数，包括形态、矿化度、矿化规模、空间变异和矿化量化特征。个别矿床内的湿结核的质量浓度值以图表形式提供。承包者指出，可以从该地区的含矿能力量化参数的分布发现区带向异性。这表明了在规划任何特定矿区的探矿网络时，必须考虑到各个别团块区内的矿化规模可变性分析结果。", "采矿试验和拟议采矿技术", "120.　根据活动方案，2010年没有计划进行任何采矿活动或冶金处理活动。", "培训", "121.　2010年没有进行任何培训方案。因为在合同中规定的培训义务已在前几年完成。", "环境监测和评估", "122.　协会在2010年进行的环境工作，包括研究底栖生物和气象条件。底栖生物研究工作涉及分析在2008年和2009年获得的横截线摄影调查结果和实物样品。这包括研究与结核有关的巨型动物、大型动物、小型动物和生物体。丰度、物种结构和多样性以图表提出，并附有各组群的说明及一些原始数据。此外，报告提供了小型动物在沉积物内的垂直分布信息。气象条件以文字和图示方式说明。报告称说，2010年完成了主张区域东部各区的环境分析工作。各区根据结核特点分类。供比较每一类矿床的信息包括关于各区沉积物化学性质，以及巨型动物、大型动物和小型动物丰度的摘要说明。各表均列出平均值并附有沉积物化学垂直剖面图。", "财务报表", "123.　在上一年的报告中，委员会指出，承包者没有为2009年提供详细支出报表，2010年也未予提供。", "124.　承包者报告2010年支出总额5 446 750美元，并提供了一些支出细目，但没有采用ISBA/15/LTC/7建议的格式。报告的支出由海洋地质作业南方生产协会总监认证，由俄罗斯自然资源和环境部联邦地下资源局大陆架和海洋矿产资源司司长确认。", "活动方案的拟议调整", "125.　承包者没有提议修改活动方案。", "评论", "126.　年度报告非常详细。报告以若干图表说明在报告期间完成的工作。虽然报告提到野外调查，但没有说明航次数或在有关地区逗留/天数；报告反而提供了调查迹线和采样点的详细信息。承包者已经对历年野外调查收集的数据进行了大量的工作，并在报告中提出了结果。采样点的地理位置未予提供。", "127.　报告只提供对所收集数据的分析，但没有数字信息。应向国际海底管理局数据库提供这些数据。", "128.　横断面摄影鉴别的动物的分类分辨率质量特别高。", "129.　2009年详细支出报表尚未提供。委员会建议承包者依照ISBA/15/LTC/7建议的格式提供财务报表。为了便利委员会的工作，委员会请承包者以后同时提供报告的英文译本。", "三. 一般性评论和建议", "130.　多数报告基本上遵循委员会规定的一般格式，内容一般限于在有关报告年度开展的工作，并按照委员会在以前的评价后提出的建议编写。有几份报告只是介绍在前期几年进行的工作。", "131.　在八个承包者中，六个进入各自合同的最后一个五年阶段。预期在合同结束时，各承包者将已确定第一代矿址，获得良好的环境基线数据，开发采矿系统原型和制定处理安排。", "地质工作", "132.　总体而言，勘探工作在报告期间进展缓慢。大部分承包者的年度报告与野外工作直接相关，缺乏这类活动，他们就没有什么可报告。事实上，有些承包者报告没有在地质、采矿或冶金方面进行任何形式的活动。", "133.　一些承包者提交的年度报告没有提供结核和沉积物取样的位置。", "134.　正如委员会以前的评价所指出，根据形态、形状或大小对结核进行分类尚无统一办法。有必要尽早建立统一标准。", "采矿试验和拟议采矿技术", "135.　技术方面的问题仍然有待取得进展，特别是在结核的采矿和冶金工艺方面。几个承包者尚未开始发展自己的技术能力，因此，这些承包者不妨考虑集合资源作出协调一致的努力。", "环境监测和评估", "136.　承包者报告在2010年进行的环境工作，质量普遍高于往年报告的工作。但是，承包者仍然没有提供原始数据。这种原始数据对评估对海洋环境的潜在影响至关重要，也是制定克拉里昂-克利珀顿区的环境管理计划所必需的。", "财务报表", "137.　承包者尚未全部做到依照ISBA/15/LTC/7建议提供的明细支出报表。要求提供明细报表，是为了评估报告的支出，以及方便在各承包者之间进行比较。", "138.　委员会建议，秘书长请担保国指明认证财务报表的适当部门。", "其他事项", "139.　尽管委员会一再要求，但只有一名承包者提供了报告年度内在同行评审刊物发表的研究报告的清单。", "140.　承包者之间的协作例子目前寥寥无几。虽然《规章》没有规定，但委员会鼓励承包者之间更多合作，共用彼此的人员和资源。", "141.　在报告期间观察到的一个积极趋势是，一些承包者已开始分析开采结核的经济可行性数据，从而产生了关于市场趋势、金属价值、所需投资和预期回报的分析。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Evaluation of the annual reports submitted by contractors", "Report and recommendations of the Legal and Technical Commission", "I. Introduction", "1. Pursuant to section 10 of annex 4 to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area, all contractors are under the obligation to submit their annual activity reports by the end of March each year.", "2. The contractors are: Yuzhmorgeologiya (Russian Federation); Interoceanmetal Joint Organization (Bulgaria, Cuba, Czech Republic, Poland, Russian Federation and Slovakia); the Government of the Republic of Korea; China Ocean Mineral Resources Research and Development Association (China); Deep Ocean Resources Development Co. Ltd. (Japan); Institut français de recherche pour l’exploitation de la mer (France); the Government of India; and the Federal Institute for Geosciences and Natural Resources (Germany). As of 6 June 2011, annual reports had been received from all contractors.", "3. At its meeting during the sixteenth session, the Legal and Technical Commission made a number of comments and suggestions on the annual reports submitted for the year 2009. These comments are contained in ISBA/16/LTC/6 and were conveyed in writing by the Secretary-General to the individual contractors on 4 October 2010, along with specific comments relevant to each contractor.", "4. As a result of its analysis, the Commission herewith submits the following general observations and recommendations on the annual reports for 2010 to the Secretary-General.", "II. Evaluation of annual reports and recommendations", "A. Deep Ocean Resources Development Co. Ltd.", "General", "5. The contractor submitted its annual report for 2010 in English, on 29 April 2011. The report includes headings for exploration activities, environmental studies, mining tests, a training programme and a financial statement. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "6. The annual report for 2010 indicates that Deep Ocean Resources Development Co. Ltd. (DORD) did not carry out any field activities during that year, and mainly presents the historical background of the exploration work carried out by the contractor. DORD has not carried out any fieldwork since it entered into contract with the International Seabed Authority.", "7. During the second five-year phase of the contract (2006-2011), DORD carried out a study to assess the overall viability of deep-sea commercial mining operations. This included a study of the current status of mining technology, smelting and refining nodules, an environment assessment related to nodule exploitation operations and the value of the metals in the nodules. The Government of Japan is currently in the process of building a survey vessel that could conduct exploration activities in the Area as of 2012.", "8. The annual report for 2010 provides a summary of activities completed between 1975-1996, covering a period prior to the entry into contract with the Authority. The summary provides details of the cruises conducted, vessels employed and equipment used in the survey vessels. These surveys resulted in a series of maps on the bathymetry; moisture content in nodules; nodule abundance (in different segments of the area); and corresponding metal grade distribution for manganese, nickel, copper and cobalt. However, no raw data is provided. The report also provides an evaluation of resources based on free-fall grab sampler data and tables showing the average nodule abundance of the four metals. After gridding the data over the entire contract area, a table showing a summary of resources was generated and provided with the report. Though the entire area is mapped using multibeam echo sounders, the contractor considers that a more detailed survey is required. The report also suggests that sampling at lesser intervals would provide the required data resolution for understanding the area under consideration for development as a mine site. The contractor did not carry out exploration activities in 2010.", "9. As in previous years, the annual report for 2010 provides an assessment of the economic viability and improving economic efficiency associated with nodule mining. An assessment of the economic viability of nodule mining was carried out in 1992 using a discounted cash flow method. The latest study uses data up to 1996. The report mentions that as the assessment is based on previous methods and mining and smelting costs, the results are not current. The report also presents several scenarios using different metal values and calculating the internal rate of return.", "Mining tests and proposed mining technologies", "10. No mining tests were conducted during the reporting period. However, the report provides information on work carried out by the contractor during the period between 1981 and 1997. The research and development activities of the contractor were aimed at establishing effective and cost-efficient technology systems for mining manganese nodules. Details of the system and a schematic research plan are submitted as tables.", "11. An explanation is provided on the development of a nodule collector system and an ore lifting system (pump lift method and air lift method) in the period between 1981 and 1997. The contractor also attempted to develop a handling system and an assessment of the operational systems. Verification experiments were carried out up until 1997, but thereafter, research and development activities were discontinued. However, the contractor proposes to conduct technological capability testing of the system at some future date.", "12. DORD worked on the development of a metallurgical system during the period between 1989 and 1995. The report tabulates the work carried out during that period. The contractor carried out a detailed analysis of five existing methods for nodule metallurgy, and then examined a further three more methods. A summary of the evaluation of the eight methods is presented in the report.", "Training", "13. No training programme was carried out in 2010, since training obligations, as defined in the contract, had been completed in previous years. The training programme conducted by DORD as a pioneer investor in 1993 is provided in the report.", "Environmental monitoring and assessment", "14. The environmental work described by DORD in 2010 consisted of an evaluation of environmental studies carried out by Japan between 1989 and 1996. The work that had been carried out prior to the signing of a contract with the Authority included surface layer studies and benthic studies. The benthic studies comprised baseline surveys, impact experiments and impact predictions. The results of these studies were presented in an annex to the annual report for 2010. While the document contains some useful information, the results are not discussed here, as it is essentially a literature review of work carried out prior to the signing of the exploration licence.", "15. Greater detailed information and analysis is required at the species level for biological studies and for all faunal size classes (microfauna, meiofauna, macrofauna, megafauna). New studies on molecular biology are required as indicated in the revised guidelines to contractors. Scientific research in biogeochemistry and benthic biology has advanced considerably in the last 15 years. The previous results need to be interpreted in the context of new knowledge, with up-to-date references. Greater harmonization with the results of other contractors is important.", "Financial statement", "16. In the previous year’s report, the Commission noted that the breakdown of expenditure provided by the contractor was not in line with the format recommended in ISBA/15/LTC/7.", "17. For 2010, the contractor reported a total expenditure of ¥2,024,022 (US$ 20,240.22) in a financial statement that is not in the format recommended in ISBA/15/LTC/7. The contractor also included a table on exploration costs for the period from 2001 to 2010 under one or two headings with a partial breakdown, but not in the format recommended in ISBA/15/LTC/7. The contractor submitted a certificate of the audit of the accounts of the contractor for the fiscal year from 1 April 2010 to 31 March 2011. The certificate was established and signed by a certified public accountant of the Onozawa Yoshiji Office of Certified Public Accountants. The certified financial statement was submitted in Japanese and accompanied by an English translation that was not certified. As the Commission recommended last year, an appropriate body should certify all translations.", "Proposed adjustment to the programme of activities", "18. The contractor has not proposed any change in the programme of activities.", "Comments", "19. The annual report provides a perspective of the data collected during the period prior to the contractor entering into contract with the Authority and the review work performed during the reporting period. Some results and analysis of the data are also presented. The report indicates that a new research vessel is being built and that this ship will be used in future exploration activities. The Commission appreciates the information but, as specified in previous requests, would also appreciate if the work performed during the reporting year was set in context to earlier work.", "20. The report did not provide any newly collected data. No digital information that could be used in the International Seabed Authority database was provided.", "21. The Commission recommends that the contractor provide a detailed expenditure statement, as specified in ISBA/15/LTC/7. The certified financial statement was submitted in Japanese and accompanied by an English translation that was not certified. For future reference it is recommended that an appropriate body should certify all such translations.", "B. Federal Institute for Geosciences and Natural Resources", "General", "22. The contractor submitted its annual report for 2010 in English, on 6 April 2011. The report contains information on exploration, mining tests and environmental activities, as well as a financial statement. The report is broadly structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "23. During the reporting period, the contractor conducted a 41-day exploration cruise to its area with RV Sonne, in April and May 2010. to carry out multidisciplinary work such as: (a) investigating the formation of manganese nodules though the study of the microbial and the abiotic early digenetic processes; (b) reconstructing processes controlling the formation of nodules, such as deep water circulation, bottom water ventilation and paleoproductivity; and (c) studying the diversity of benthic and faunal assemblages. Twenty box corer, fifteen multicorer deployments and eight piston/gravity corer deployments were used during the sampling operations. The report provides details on sampling locations and a description of recovered samples, as well as the areas covered, detailing the different topographic domains ranging from flat plains to seamount regions. The report also provides detailed ship tracks overlaid on multibeam bathymetry maps, sampling stations on bathymetry and backscatter maps.", "24. A detailed cruise report is provided along with information on the equipment used, for example ocean floor video and photo mapping, chain bag dredges and the different types of corers. Details of the equipment, samples obtained and corresponding nodule abundances were measured and presented in tabular form.", "25. During the exploration survey, five seafloor areas were studied using the vessel-based backscatter and the deep-towed sidescan sonar records. Video footage, sampling data and sidescan data from previous cruises were also used for the data analysis. Image processing was carried out to distinguish nodules from sediments that provided percentile nodule coverage on the seafloor. Examples of the analysis are provided in the report. A comparison was carried out between the vessel-based backscatter and the deep-towed sidescan imagery and the results were found to be comparable. The study also established a linear relation between nodule coverage based on video imagery, sidescan sonar data and actual nodule abundance measured from coring devices.", "26. The inspection of video images showed that areas of medium-to-high nodule coverage were linked to high backscatter values. The size of nodules appears to play a significant role in the backscatter values for a particular area. Backscatter mapping may possibly be used as an exploration tool for larger areas to distinguish areas with small nodules and lower nodule abundance from those with larger nodules and higher average nodule abundance. However, appropriate pre-processing of backscatter into standard grey scales is required.", "27. The report includes a detailed table showing the chemical analysis carried out on nodules collected during the reporting period. Manganese/iron ratios versus nickel/copper content for nodule samples from the area are presented. The average composition for different type of nodules (discoidal, spheroidal and large nodules with rough surface texture) were measured and presented in the report. A total of 228 kg of nodules was collected during the cruise.", "28. A nodule distribution model using an artificial neural network was developed in order to address the fact that the contractor considered that their area did not have sufficiently dense sampling information. The objective of the applied method was to investigate if the application of neural networks is appropriate for resource estimation, to identify controlling parameters of metal distribution and to analyse the areal distribution of nodule abundances in order to calculate the resulting metal tonnage. The exercise was limited to the south-eastern section of the area. The methodology used in the survey is described and the predicted resources for the different cut-off grades and average metal content and resources are presented in the form of a table. The report indicates that further improvements to the model are needed and that the addition of more parameters and ground truthing will be essential to make it more robust.", "29. The future exploration strategy for the next 10 years is presented in the report. The contractor intends to perform a yearly research cruise in coming years.", "Mining tests and proposed mining technologies", "30. In accordance with the programme of activities under the contract, no mining tests were carried out during 2010. The Institute engaged a contractor to study the technical development and economic feasibility of mining of nodules. The contract involved evaluating existing technologies and assessing techniques related to environmental issues, safety, capital expenditure and operating costs and profitability. A detailed conceptual design for a nodule mining and lifting system with computer simulations of important subsystems and components was prepared. The work was completed during the reporting period and a 656-page report was produced. The annual report presents a summary of the larger report prepared for the Institute, with a focus on the conceptual design of the nodule mining and lifting system. Details of the system components, along with an evaluation of the production costs and economic efficiency of the system, are provided. The report concludes that, all things considered, an amount of US$ 47.38 per ton is required for production of the ore and its transportation to shore.", "Training", "31. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "32. In 2010, the environmental work carried out by the Institute consisted of examining the physical oceanography (temperature, salinity and oxygen profiles), chemical oceanography (neodymium profiles), sediment properties (shear strength), pore water and biodiversity of their claim area. The vertical profiles of temperature, salinity and oxygen for the eastern and western regions of the claim area are presented graphically with descriptions. Vertical profiles of neodymium are presented, with the report stating that the results are the first complete seawater depth profiles of neodymium from the western equatorial Pacific. Neodymium can be used as a water mass tracer, with the contractor noting that the results provide insight into the origin of the current water masses and the history of deep water circulation. The methodologies of the sediment shear strength experiments were described along with a description of the results and graphical interpretations. The methodology of the pore water analysis was described along with a description of the results including graphs, including an analysis of the effect of nodule presence on the vertical chemical profiles within the sediment. The biodiversity studies presented include generalized methodology and a brief graphical and descriptive analysis of the results. The biodiversity studies showed that meiofauna abundance is significantly higher in areas with low nodule cover and that within the claim area there are no barriers to inhibit recolonization subsequent to any disturbance as a result of possible future mining.", "Financial statement", "33. The contractor reported a total expenditure for 2010 of 4,684,390 euros and provided a detailed breakdown of expenditure, although this was not in the format recommended in ISBA/15/LTC/7. The financial statement is signed by the financial management director and chief financial officer of the Institute, who is responsible and liable for the budgetary aspects of the Institute’s activities. The Commission requests the Secretary-General to contact the sponsoring State to provide a clarification of the relationship between the chief financial officer, the Institute and the sponsoring State.", "Proposed adjustments to the programme of activities", "34. The contractor completed a research cruise during the period, which was originally planned for 2008, and also received funding for the acquisition of deep-tow equipment to conduct studies on mining concepts.", "Comments", "35. The annual report follows the established format and provides all relevant information, including analysis and, in some cases, raw data. The contractor also completed analytical work on a conceptual mining system but has yet to carry out work on the metallurgical segment of the mining process. It is reported that a similar analysis for metallurgy may also be undertaken at some future time.", "36. In its evaluation of the annual report for 2009, the Commission recommended that the Institute complete the assessment of nodule coverage described in the 2009 report. The 2010 report indicates that this task is now completed. The evaluation for the entire area can only be completed once the box core sampling is sufficiently large to carry out such a study. Regarding analysis of Acoustic Doppler Current Profiler (ADCP) data, the contractor has assured that a detailed analysis will be provided in the annual report for 2011.", "37. The report provided analysis of the collected data but no digital information. Such data should be provided for the International Seabed Authority database.", "38. The report was comprehensive and included a detailed cruise report of activities carried out in 2010. In relation to environmental research, greater detail is required regarding the seabed fauna at the species level. The work reported on megafauna requires good quantitative data for comparison of the fauna between the German and French claim areas.", "39. The Commission recommends that in future, the contractor follow the recommendations in ISBA/15/LTC/7 with regard to the format of the financial statement. The Commission also recommends that the sponsoring State identify the competent authority for the certification of financial statements.", "C. Government of India", "General", "40. The Government of India submitted its annual report on 5 April 2011, in English. The report contained information on survey and exploration work, on mining and extractive metallurgy technologies, an environmental impact assessment and a financial statement. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "41. The exploration activities of the contractor are concentrated on a first-generation mine site, which has previously been reported. The main thrust of the Government of India’s exploration activities is the completion of multibeam bathymetric surveys to map microtopographic features. The exploration section of the report once again presents the same bathymetry map of the first-generation mine site, as reported in the previous year’s report. No analysis of the data is provided.", "42. The contractor intends to use a remotely operated vehicle to generate detailed bathymetry maps in the areas of specific interest. Plans are in hand to undertake regular updates of the database in the year to come.", "Mining tests and proposed mining technologies", "43. The underwater mining machine developed during the first phase of the exploration programme has been modified with the addition of a collector, a crusher, an enhanced slurry pump, a new hydraulic power pack and a new chassis, with increased width. These enhancements have meant that its weight has now risen to about 23 tons (air). Extensive engineering analysis was carried out prior to the modifications. The nodule pickup, collector, crusher and pumping system in integrated form were further tested in the test pond at the National Institute of Ocean Technology.", "44. The underwater data acquisition and control subsystem of the underwater mining machine was enhanced with the latest hardware and software to meet all the additional requirements of the new collector and crusher system. Owing to the expansion of the telemetry system components, the hardware has been split and distributed in two parts, with two separate high-pressure rated enclosures. The two data acquisition and control subsystems work in tandem. The figures of the tested system have been provided in the report.", "45. The underwater mining systems, along with handling and subsystems such as winches, control consoles, electrical distribution modules, buoyancy modules and launch recovery platform structures, were tested at depths of 512m on the west coast of India in October 2010. The successful collection, crushing and pumping of artificial nodules, using a single stage positive displacement pump, was achieved during that cruise, thereby validating the concept and qualifying the system for mining operations. Detailed analysis of the subsystems will be carried out and the system will be updated for operations at depths of 6000m at some future date. Many trials are proposed to be conducted to perfect the functioning of the system for long-term operations, during the course of future development for 6000m.", "46. Sea trials of the soil tester were continued during the reporting period and were carried out in port. Additionally, further research was performed to characterize soil machine interaction, aluminium structures for a deep-sea mining system, as well as modelling and analysis of subsea drive systems. Preparations for a remotely operated vehicle (ROSUB 6000) have reached the trial stages and the system was tested at nodule locations, at depths of 5000m. Details of those tests and preliminary results are presented in the annual report. Future mining technology developments include the construction of a mining system for operations at 6000m, a survey of the first-generation mining site using the ROSUB, and testing of the modified soil tester.", "47. Technology development related to metallurgy continued during the reporting period, with work on flowsheet improvement and the generation of value-added products. An attempt was made to separate metal using a hollow fibre non‑dispersive extraction module, as well as to extract molybdenum from nodule leach liquor. The results obtained in the course of these experiments will be used to separate molybdenum on a larger scale. The preparation of electrolytic manganese dioxide from manganese cake and the utilization of nodule leach residue for fine chemicals also continued at one of the participating laboratories. An attempt was made to recover ammonia from liquid effluent containing ammonium sulphate. A few novel smelting approaches were attempted, for example the development of direct smelting and smelting in a graphite-lined arc furnace. It was observed that recovery efficiency increased by up to 7 or 8 per cent by the non-addition of dolomite and by increasing the holding time. About 90.5 per cent copper, 92 per cent nickel and 86.6 per cent cobalt could be recovered, with 7 per cent coke and a 20 minute holding time. Future activities will include the recovery of an ammonia preparation of electrolytic manganese dioxide from manganese cake development of modified leaching schemes for a roast-leach-electrowin process, the optimization of recovery procedures and the recovery of rare earth elements from nodules by solvent extraction or the fibre membrane technique.", "Training", "48. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "49. The environmental work carried out by the Government of India in 2010 consisted of evaluating data collected during two cruises in 2009. The contractor examined sedimentological properties, geotechnical properties, the geochemistry of sediments and pore water, microbial and biochemical parameters, fungal and macrofaunal diversity and the fauna associated with nodules. For all of the non‑biological studies, the results were briefly discussed, with average values, ranges and graphs. Microbial and biochemical parameters were given for two sites, without detail or graphical representation, although the description states that there was annual/seasonal variation in the results. Fungal diversity was discussed, without data or graphs. Macrofaunal diversity and the fauna associated with nodules were described, without data or graphs. In all cases the report omitted to discuss the methodology that had been used and no raw data was submitted. The report concludes that the studies showed that environmental conditions varied over different timescales (seasonal and annual) but neither data nor graphs are presented in the report to support these statements.", "Financial statement", "50. In the previous year’s report, the Commission noted that a detailed expenditure statement, as recommended in document ISBA/15/LTC/7, was required for 2009. In response, the contractor has provided a table showing reported expenditure, but not under the headings recommended in document ISBA/15/LTC/7. With respect to cruise expenses, the table does not specify the actual day rate for ship time and for large equipment items for each of the two cruises in 2009. No capital expenditure is itemized.", "51. The contractor reported a total expenditure of US$ 5,980,000 for 2010. A financial statement is provided, containing a breakdown of expenditure but not under the headings as recommended in document ISBA/15/LTC/7. Cruise expenses did not specify the actual day rate for ship time and the day rate for large items of equipment. The contractor stated that the reported expenditure did not include non-technical manpower and administrative manpower. Furthermore, no distinction is made between operational and capital expenditure. No capital expenditure is itemized. The financial statement is signed and certified by the Secretary of the Ministry of Earth Sciences.", "Proposed adjustment to the programme of activities", "52. The contractor has not proposed any change in the programme of activities.", "Comments", "53. The bulk of the work carried out by this contractor in 2010 consisted of research and development activities for nodule collection and processing. Little exploration work took place and activities that took place in 2009 are reported once again, without any additional analysis. A substantial amount of detail is given on mining technology and metallurgy but it appears to be a continuation of the work already reported in previous years. No raw data and analysis are provided for the environmental work carried out during the reporting period.", "54. The report only provided analysis of the collected data but no digital information. Such data should be provided for the International Seabed Authority database.", "55. It was encouraging that mining and metallurgical activities were carried out during the reporting period.", "56. The Commission was concerned about the status of the environmental data that was provided. The report of progress in environmental issues was very poor. It was impossible to assess the quality of the research owing to the lack of data on methods (sampling and analysis protocols). Average values were presented without standard deviations. Proper statistical comparisons, including multivariate statistical analyses, which meet current international standards and follow the revised guidance for contractors, are required. A discussion of the results in relation to current knowledge (with references) is required. An analysis of the work carried out by this contractor by an independent scientific panel could probably lead to serious challenges being made to any exploitation phase.", "57. The Commission recommends that the contractor provide a detailed expenditure statement as recommended in ISBA/15/LTC/7.", "D. Interoceanmetal Joint Organization", "General", "58. The Interoceanmetal Joint Organization (IOM) submitted its annual report on 4 April 2011, in English. The report contains information on contract-related activities, geological exploration, environmental research, mining and processing technologies and a financial statement. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "59. The contractor carried out data processing and an analysis of samples collected during a cruise in 2009. No fieldwork was carried out during the reporting period. The analysis of data from the 2009 cruise included a geostatistical assessment of nodule and metal resources in the contract area. The block kriging method was used to calculate mean abundance and metal concentrations as well as nodule and metal resources in seafloor blocks. The procedure takes into account: (a) the distribution of sampling sites relative to the mining blocks being sampled and relative to each other; (b) the shape and size of the blocks; and (c) the structure of the variability of a parameter in question, as expressed with the geostatistical variability model (semi-variogram model). The report contains a table showing the results of a geostatistical exercise on the resources calculated in area H1 (in sector B2) of the IOM contract area.", "60. The other studies included analysis of grain size distribution and mineral composition of sediments. IOM also continued geochemical research in its contract area. The physical properties of seafloor sediments and nodules were measured in laboratories, and 69 sediment samples were analysed for density using pyconometric analysis. Slightly siliceous silty clay was the dominant type of sediment, followed by siliceous silty clay. Thirty nodule samples were analysed for density by means of pyconometric analysis and through calculations. The instrument measurements are lower than those obtained by calculations. The density of zeolitic crusts is considerably higher than that of non-aggregated sediments.", "Mining tests and proposed mining technologies", "61. The contractor analysed the results of a workshop, sponsored by the International Seabed Authority, on the theme “Polymetallic nodule mining technology: current status and challenges ahead”, held in Chennai, India, in 2008. The contractor reported that there are few results and no critical technological developments to show for the past 15 years of research, despite the large sums of money expended. IOM has concluded that it should focus its mining technology research on conceptual designs, since the construction of experimental miner systems to be tested in only shallow water conditions, even when scaled down, are major capital investments. During 2010, a retrospective analysis of IOM research on mining technology was carried out in order to identify unsolved problems in the deep-sea mining system development. The contractor notes that the computer models required to design and validate this entire “at-sea operation” also need to be developed.", "62. Two lines of technological research have been followed for polymetallic nodule processing: pyro-hydrometallurgical nodule processing and hydrometallurgical nodule processing. The supplementary studies included autoclave nodule leaching with sulphuric acid, with sugar cane industry wastes utilized as reducing agents. A techno-economic assessment of these technologies will be carried out. A large amount of nodules (5-8 tons) will be collected for laboratory testing of the processing technologies.", "Training", "63. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "64. The environmental work carried out by IOM in 2010 concerned analysis of the megafauna observed on photographic transects performed on a cruise in 2009. A description of the observations was presented along with photographic images, graphs and maps. The report states that an atlas of megafaunal communities in the IOM exploration area is being prepared and will include photographs and descriptions of identified fauna.", "Financial statement", "65. The approved financial statement for 2009 was received on 25 June 2010.", "66. For 2010 the contractor reported a total expenditure of US$ 754,344. A detailed breakdown of expenditure was provided. Although expenditure was reported under the recommended headings, each heading was not broken down as recommended in ISBA/15/LTC/7. On 1 June 2011, the Director of IOM advised the Secretary-General that the Council of IOM had approved the financial statement on 20 May 2011.", "Proposed adjustment to the programme of activities", "67. The contractor has not proposed any change in the programme of activities.", "Comments", "68. IOM carried out its activities in accordance with the programme of activities under the contract. As no fieldwork was carried out during the reporting period, the work mainly involved analysis of the previous year’s data. Desk research was conducted on mining technology and slow progress has been made in developing mineral processing technology.", "69. The report only provided analysis of the collected data but no digital information. Such data should be provided for the International Seabed Authority database. Furthermore, much of the report concerned data that had been collected in previous years, as no fieldwork was performed in 2010.", "70. For the environmental work reported on the photo-transects, greater quantitative analysis and better taxonomic resolution are required. Reference should be made to several recent workshops on the conduct and analysis of photo-transects for environmental impact assessments. The contractor should engage with the wider scientific community for better taxonomic resolution of the fauna identified in the photographs.", "71. Although expenditure was reported under the recommended headings, each heading was not broken down, as recommended in ISBA/15/LTC/7. This should be addressed by the contractor in future reports.", "E. The Government of the Republic of Korea", "General", "72. The contractor submitted its annual report on 6 April 2011, in English. The report contains details of exploration work, environmental studies, mining technology work, training and other activities and a detailed financial statement. A summary of the report is also provided at the beginning of the report. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2. The report includes relevant figures and tables.", "Exploration work", "73. The contractor carried out 84 days of field survey in blocks KR2 and KR5 on board RV Onnuri during the reporting period, as part of its exploration and environmental work. The survey operations were carried out on two cruises in July and August 2010. The objective of the first cruise was to collect environmental data, while the second cruise focused on geological and geophysical surveys in order to understand the geotechnical properties of sediments and nodule distribution in the allocated area. Sidescan and bathymetry data were collected, using a deep-tow sidescan sonar system. These surveys were conducted in the KR5 block. The report provides maps of the sampling sites and track lines from the survey.", "74. The results of the deep-tow survey efforts are presented in the report in the form of two maps illustrating sidescan data and colour-coded bathymetry. Multiple and box corers were used for sediment sampling and the collected sediment samples were analysed for shear strength, grain size and water content to determine basic geotechnical parameters. Shear strength was measured using a viscometer, grain size using the sedigraph and water content by the weight difference between wet and dry sediments. The sediments had 66.9 per cent of clay. The report provides a table of geotechnical properties of sediment samples.", "75. Manganese nodule distribution was studied by means of nodule sampling. The objective was to make a precise assessment of the mining potential of the allocated area. Nodule sampling was carried out during the cruise at 24 stations in the KR5 and KR2 blocks. The nodule samples collected have been classified based on their surface texture, morphology and sizes. A table showing the results is contained in the report. The metal content of manganese nodules was measured for major metals and results are presented in tabular form. Nodules were generally enriched in copper, manganese, nickel and zinc and depleted in cobalt and iron in the southern block (KR5), indicating a dominant diagenetic origin.", "Mining tests and proposed mining technology", "76. In accordance with the programme of activities under the contract, no mining test was carried out during the reporting period. However, the contractor continued work on the collector and integrated mining operation technology. The programme is developing a self-propelled miner model that sweeps polymetallic nodules from the seafloor and disposes of them through a flexible pipe into a buffer station for lifting, as well as the creation of the methodology required to perform at-sea mining operations. During the reporting period, the test collector MineRo underwent driving tests for 135 hours. A seafloor navigation algorithm was developed and verified. Based on the results of performance tests, the concept and basic design of a pilot mining robot capable of diving to depths of up to 500m were drawn and construction of the core design technology for a propelled mining robot system was completed. For the lifting technology, a shallow lifting system was tested in 2009 to confirm its performance characteristics. During 2010, a detailed hydrodynamic design was carried out on impellers and guide vanes of deep ocean multistage lifting pumps. The contractor plans to test a pre-pilot lifting at depths of 1000m in 2012.", "77. The contractor conducted scaled-up testing (200kg/day) of the reduction smelting-leaching process to recover cobalt, copper, manganese, molybdenum and nickel. The report includes data on the equipment used and the alloys produced. The results can be summarized as follows:", "(a) The scale-up test (capacity: 200kg/day of manganese nodules) of solvent extraction was carried out to separate copper from a leaching solution with a continuous mixer-settler;", "(b) The electro-winning system for the scale-up test was designed and manufactured to recover metals (cobalt, copper, nickel) from a purified solution;", "(c) The autoclave (15 litre) was purchased to leach matte phase for the scale-up test;", "(d) The process to recover molybdenum from a leaching solution as molybdenum trioxide (MoO₃) was developed with solvent extraction technology;", "(e) The process for selective production of cobalt, copper and nickel powders from a leaching solution was developed and optimized;", "(f) The process to remove the remaining copper in the solution after solvent extraction was studied, using an ion exchange method.", "Training", "78. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "79. In 2010, the Government of the Republic of Korea carried out a research cruise to investigate the physical, chemical and biological conditions of their claim area. The physical assessment involved conductivity, temperature and depth (CTD) profiles and current measurements, including an evaluation of seasonal variability in currents. Spatial variation was also addressed by comparing CTD profiles obtained along a North-South transect. The chemical assessment involved collecting water samples from the CTD castings to measure inorganic nutrients, organic carbon and chlorophyll-a, with vertical, longitudinal and latitudinal transects all presented. Annual variation in nutrient profiles and temperature are presented. Biological studies involved an examination of the meiofauna, macrofauna and micro-organisms in the water column. Geochemical analysis of the sediment consisted of an analysis of the lithologic and biogenic compositions of sediment cores. Carbon and nitrogen were also measured in sediment samples, including an analysis of temporal and spatial variability. The geochemical properties of the sediment are presented but included in the exploration section of the report. The seasonal and vertical variability of particle flux from the surface to the seabed is also presented.", "80. Extensive graphical and descriptive analysis were provided along with some raw data, including the geographic location of sample sites. Of particular note is that the Government of the Republic of Korea is providing raw biological data in the format requested by the Secretary-General of the International Seabed Authority.", "Financial statement", "81. In last year’s report, the Commission concluded that a detailed expenditure statement for 2009 needed to be provided. The contractor has not provided it.", "82. The contractor reported for 2010 a total expenditure of US$ 8,622,300. A financial statement is provided, containing a detailed breakdown of expenditure, but not in the format recommended in ISBA/15/LTC/7. The certificate of expenditure is signed by the Director of the Marine Policy Bureau of the Ministry of Land, Transport and Maritime Affairs of the Government of the Republic of Korea.", "Proposed adjustment to the programme of activities", "83. The contractor does not foresee any changes in the near future and therefore it has not proposed any change in the programme of activities.", "Comments", "84. The quality of the data presentation in the form of tables and figures is good. It would be useful if the locations of the sampling stations for the tables shown in the exploration section were provided in that section, in addition to the environmental section, although all other details are provided. The report presents bathymetry and sidescan imagery maps of the surveyed areas but no analysis or explanations are presented.", "85. The report contains a detailed section on environmental studies. All the relevant sampling locations are provided in the form of tables. The contractor is providing raw biological data in the format requested by the Secretary-General of the International Seabed Authority.", "86. The report only provided analysis of the collected data but no digital technical information. Such data should be provided for the International Seabed Authority database.", "87. The Commission appreciates that the contractor provided raw environmental data in the report.", "88. The Commission recommends that the contractor provide a detailed expenditure statement for 2009 and a detailed breakdown of expenditure for 2010 in the format recommended in ISBA/15/LTC/7.", "F. China Ocean Mineral Resources Research and Development Association", "General", "89. The China Ocean Mineral Resources Research and Development Association submitted its annual report for 2010 on 28 March 2011, in English and Chinese. The report contains information on exploration work, environmental baseline studies, research and development of deep-sea mining systems and metallurgical processing technologies, on other activities, training, the 2010 workplan and a financial statement. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "90. The Association did not conduct any at-sea field survey operations during the reporting period. During 2010, the contractor completed the data processing of deep-tow high resolution bathymetric trial survey data collected in 2009. The length of the survey line was 48 km and the coverage width was 500m. The coverage width of the sidescan was 700m. The report provides details of the methodology employed in the bathymetry and sidescan data processing. The report presents a figure comparing the results of deep-tow survey with the hull-mounted multibeam system. The detailed survey site was divided into four segments and the average slopes for each segment were calculated. Relief maps of the segments are presented in the report. The deep-tow survey operations did not have accurate acoustic navigational positioning of the deep-tow and therefore the accuracy of the data collected is low. The contractor carried out sea trials and 17 dives at depths of 2000-3000m in the South China Sea with the submersible Jiaolong.", "Mining tests and proposed mining technologies", "91. In 2010, the Association carried out research and development on nodule transportation safety in the recovery process. The results will provide technical reference for the design of safe and efficient transportation of nodules in the vertical riser pipe from the seafloor to the surface vessel. Research and development was also carried out on the integrated motion of the mining system to ensure the system would be operational in various sea states. To perform a fast simulation, a single-body rigid model for a deep-sea mining system was constructed. The contractor has indicated in its next five-year plan that it intends to build a laboratory for the exploitation and utilization of deep-sea minerals. The laboratory will serve as a platform for the development of deep-sea mining technology and for research on the processing of deep-sea resources.", "92. The Association continued its metallurgy experiments with studies on technologies for self-catalysis reduction ammonia leaching and smelting of polymetallic nodules. The results on self-catalysis reduction ammonia leaching are presented in the form of precipitate and precipitate leached with common ammonia solution. Further improvements over previous studies were conducted on smelting technology of polymetallic nodules, and an improved flow chart of smelting of polymetallic nodules is presented in the report.", "Training", "93. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years. However, two Pakistani scientists were trained on board.", "Environmental monitoring and assessment", "94. The environmental work carried out by the Association in 2010 consisted of the continued analysis of data collected in 2009 and additional data collected on chlorophyll-a, meiofaunal communities and chemical parameters. Chlorophyll-a size fractionation was presented descriptively and graphically, comparing the vertical profiles through the water column at the eastern and western areas of the contractor’s claim area. Data on meiofaunal community structure, depth profiles and size fractionation are presented graphically and descriptively. The chemical baseline data presented includes vertical phosphate profiles, information on nutrient enrichment experiments, the mineral composition and origin of suspended particles in the surface water and patterns in particle export fluxes. The information obtained is described and complemented with graphs and photographs but does not include raw data.", "Financial statement", "95. In last year’s report, the Commission noted that a detailed expenditure statement as recommended in ISBA/15/LTC/7 had not been provided. The contractor has provided a table on expenditures for 2009 in the five-year periodic report for 2006 to 2010, but not in the format recommended in ISBA/15/LTC/7.", "96. The contractor reported for 2010 a total expenditure of US$ 5,302,800, under seven headings, with a partial breakdown. The contractor submitted a certification by the financial Department of the State Oceanic Administration. The certification indicates that it has been established in accordance with Chinese national standards and that proper books of account have been kept.", "Proposed adjustment to the programme of activities", "97. The contractor has not proposed any change in the programme of activities.", "Other activities", "98. The contractor undertook a study on the economic prospects of polymetallic nodule exploitation, which included an exhaustive market survey for cobalt, copper, manganese and nickel. Data is provided on land-based mining production levels, consumption, projected production and price fluctuation, over the past five years, for each of the metals. The survey indicates that land-based resources of cobalt, copper, manganese and nickel are presently quite abundant and will meet demand for the next 50 years. It is the rare earth elements contained in the polymetallic nodules and cobalt-rich crusts that may become the new driver for the development of seabed resources. Global demand for rare earth elements is likely to continue to increase in the future. The main factors that affect the economic benefits of nodule mining are the quality of resources, mining scale, fixed assets investment, operational costs, metal prices and interest rates. The economic analysis shows that the exploitation of nodules requires substantial investment and risk-taking. The technology is still uncertain and operational and environmental management costs cannot be accurately determined at this stage; however, high metal prices are likely to boost investor confidence in the development of seafloor mining.", "99. The Association continued to work on the development and operation of an ocean information system; this includes managing China’s ocean sample repository and updating the ocean sample information system. China and the Republic of Korea have continued to collaborate within the framework of international cooperation agreement on deep-sea mineral resource development.", "Comments", "100. The Association provided an informative report. The work was carried out according to the programme of activities set out in its contract. In the absence of any fieldwork, the exploration work was limited to the processing of deep-tow sidescan and bathymetry data collected in 2009. The figures and maps in the report are generally good. The contractor is making steady progress in mining and processing technologies. The analysis on the economic potential of nodule mining, although not part of its contractual mandate, is very useful.", "101. The report only provided analysis of the collected data but no digital information. Such data should be provided for the International Seabed Authority database.", "102. The report was concerned with the processing and analysis of data collected in 2009. In addition, the contractor provided information of a feasibility study on mining. Particular attention was given by the contractor to rare earth elements within the deposits and the contractor mentions future work on the generation of a spatially referenced database.", "103. Data provided in environmental research should feature better statistical analysis, including quoting mean values with standard deviations. The relevance of some data to mining activities needs to be made clear. All data need to be discussed in relation to current knowledge and to its importance in the environmental management of seabed mining. Further work at the species level, with consistent taxonomy and following international standards, is required. Data on sampling locations and sampling protocols (methods) is required in order to assess the data.", "G. Institut français de recherche pour l’exploitation de la mer", "General", "104. The contractor submitted its annual report for 2010 on 6 June 2011, in French. The report contains information on exploration activities, mining technology, training, environmental assessment and monitoring, other matters and a financial statement. The report is broadly structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "105. The Institut français de recherche pour l’exploitation de la mer (IFREMER) did not carry out any oceanographic campaign during the reporting year. IFREMER did not report any exploration activity during the reporting period.", "Mining tests and proposed mining technologies", "106. In accordance with the programme of activities under the contract, no work was carried out.", "Training", "107. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "108. The section of the annual report of IFREMER in relation to environmental work consisted of abstracts from papers published in the scientific literature, based on the results of sampling carried out during the oceanographic campaigns of IFREMER in previous years. The two published papers for which abstracts were presented concerned meiofaunal abundance and diversity. The report states that a meeting was held with the Federal Institute for Geosciences and Natural Resources to prepare a proposal for a collaborative study, but the proposal had not been finalized.", "Other matters", "109. The contractor reported that in June 2010, the group on national perspectives on marine mineral resources completed a study, conducted by 30 experts over a period of 10 months, on the economic forecast of mineral resources. The report (“Les resources minérales marines profondes”) was published in 2011. The contractor has developed a bibliographic database of 7,800 documents and a Geographic Information System (GIS). The GIS nodules programme continues with the transformation of picture files from earlier cruises, in order to georeference and integrate them with other historical data.", "Financial statement", "110. In the previous year’s report, the Commission noted that a detailed expenditure statement, as recommended in ISBA/15/LTC/7, the proper certification for the 2009 financial statement and clarification regarding the mention of permits for exploitation in the 2009 annual report of the contractor should be provided. The contractor has not provided them.", "111. The contractor reported for 2010 a total expenditure of 108,910 euros. The financial statement contains a breakdown of expenditure under the five headings recommended in ISBA/15/LTC/7. The financial statement is certified by the Agent Comptable Principal of IFREMER. Overhead costs are not certified.", "Proposed adjustment to the programme of activities", "112. The contractor has not proposed any change in the programme of activities.", "Comments", "113. The report is extremely brief and no work has been reported in relation to exploration, mining and processing technology. The format of the report is structured according to the recommended template.", "114. The report on environmental research is very disappointing. While the listing of scientific publications is encouraging, full copies of the papers cited are required, and the results should be discussed in the context of all knowledge of the Clarion-Clipperton Zone. Raw data should be supplied to the Authority, or access to the Biocean database should be discussed.", "115. The contractor is again requested to provide clarification regarding the mention of permits for exploitation in the 2009 annual report.", "H. Yuzhmorgeologiya", "General", "116. Yuzhmorgeologiya submitted its annual report for 2010 in Russian, on 4 April 2011. The contractor was requested to provide an English translation, which has to date not been received. The report was subsequently translated by the United Nations translation services and the translation received on 31 May 2011. The report contains an introduction, a financial statement and sections relating to exploration work, environmental studies, research activities, mining tests and a personnel training programme. The report also includes a brief on the work programme for 2009. The report is structured in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "117. The exploration work during the reporting period was mostly confined to an area of 3,670 km² in the eastern polygon of the Russian exploration area, adjacent to the area surveyed in the two previous years. The field investigation was carried out on board RV Gelendzhik. The map of the area is presented in the report along with the coordinates of the polygons, provided separately in a table. During the field surveys, the emphasis was on deep-tow photography, video and acoustic surveys in the selected sites. Details on the vessel employed and the equipment used has been presented in the report. Geo-acoustic scanning was carried out using sidescan sonar with a signal frequency of 30 kHz. Some 13 geo-acoustic scanning profiles were completed in the area of research, over a total length of 425 km. The scan lines on a contour map have been provided in the report. Photo- and video-scanning was performed in the southern and northern section of the operational area, and a total of 19 photographic and video profiles were prepared, totalling a length of 535 km. A map of profile tracks have been presented in the report. Samples collected during the 2010 cruise have been analysed in the laboratory. The study covered sediment grain size, structure analysis, calcium carbonate content and microfaunal age determination, as well as an analysis of nodules and igneous rocks. Work was also concluded on the processing of 2008 and 2009 video- and sonar-profiling. Data collected during 2010 are still being processed for geological interpretation. Charts of the geomorphology, seafloor formation and mining and geological conditions are presented in the report, along with a brief interpretation and analysis of the relief and geological maps. The number of positive features, flat and valley features observed from the map have been tabulated and presented in the report, indicating the percentage of area covered by each of the different features.", "118. The structure of the sedimentary cover was studied by processing the data from seabed sonar-profiling carried out by the deep-tow system. A figure illustrating seabed relief and the structure of sedimentary cover in the gradient zone between the ridge and a valley with all layers is presented in the report. An assessment of the mining and geological factors for determining the distribution of nodules deposited on the seabed is largely dependent on the geomorphology and lithology of the area. A map showing the geological conditions of varying difficulty is presented in the report. A total of 32 ore deposits with development potential have been identified in the area. These areas range from 7 km² to 129 km². Work has been carried out to collect, analyse and organize data generated by the geological, geophysical and geochemical studies of nodules and baseline characteristics of the geological environment of prospecting areas. A comparison is also made of the areas with lenticular, striated and nest-like nodules. A comparative description of the sites is presented in the form of a table. The physiographic maps of the areas are presented in the report. The geotechnical and physical-chemical properties of seabed deposits have been tabulated and analysis is presented in the report.", "119. A comprehensive table showing the parameters of ore-bearing capacity is presented and includes parameters such as morphological, mineralization, scale of mineralization, spatial variability and quantitative characteristics of mineralization. Mass concentration values of wet nodules within individual ore deposits are presented in the form of a figure. The contractor states that zonal anisotropy could be detected in the distribution of quantitative parameters of ore-bearing capacity in the area. This highlights the need to factor in the results of variability analysis of the scale of mineralization in the area of individual clusters when planning prospecting networks in any given area of the deposit.", "Mining tests and proposed mining technologies", "120. According to the programme of activities, no mining activity or metallurgical processing activity was scheduled for 2010.", "Training", "121. No training programme was carried out in 2010, since training obligations as defined in the contract had been completed in previous years.", "Environmental monitoring and assessment", "122. The environmental work carried out by Yuzhmorgeologiya in 2010 consisted of an examination of the benthic biology and meteorological conditions. The benthic biological work involved the analysis of photographic transects and physical samples obtained in 2008 and 2009. This included an examination of the megafauna, macrofauna, meiofauna and organisms associated with the nodules. Abundance, species structure and diversity were presented graphically and in tabular form, along with a description for all groups, and some raw data was provided. In addition, information on vertical distribution within the sediment was provided for the meiofauna. Meteorological conditions were presented descriptively, with associated graphical representations. The report states that, in 2010, work was completed on the environmental analysis of the different regions of the eastern claim area. The areas were classified based on nodule characteristics. The information presented to compare each deposit classification included a summary of the chemical properties of the sediment and the abundance of megafauna, macrofauna and meiofauna in each region. Average values were presented in tables along with vertical profile graphs of sediment chemistry.", "Financial statement", "123. In the previous year’s report, the Commission noted that a detailed expenditure statement for 2009 had not been provided, and this was not provided in 2010.", "124. The contractor reported for 2010 a total expenditure of US$ 5,446,750, with a partial breakdown, but not in the format recommended in ISBA/15/LTC/7. The reported expenditure is certified by the General Director of Yuzhmorgeologiya and confirmed by the Chief of the Department of Continental Shelf and Oceanic Mineral Resources, Federal Subsoil Agency of the Russian Ministry of Natural Resources and Environment.", "Proposed adjustment to the programme of activities", "125. The contractor has not proposed any change in the programme of activities.", "Comments", "126. The annual report is very detailed. The report provides a number of figures and tables showing the work accomplished during the reporting period. While the report mentions the field survey, it does not specify the number of cruises undertaken nor the number of days spent in the area; instead, it presents details of survey track and sampling sites. The contractor has carried out extensive work on the data collected from field surveys in previous years and the results are presented in the report. The geographic location of the sampling sites is not provided.", "127. The report only provided analysis of the collected data, but no digital information. Such data should be provided for the International Seabed Authority database.", "128. The taxonomic resolution of the fauna identified in the photo-transects is of a particularly high quality.", "129. A detailed expenditure statement for 2009 has yet to be provided. The Commission recommends that the contractor provide the financial statement in the format recommended in ISBA/15/LTC/7. In order to facilitate the work of the Commission, the contractor is requested, in future, to also provide an English translation of the report.", "III. General comments and recommendations", "130. The majority of reports largely follow the general format prescribed by the Commission, and generally confine themselves to work carried out during the reporting year under consideration, in accordance with the suggestions made by the Commission after previous evaluations. A few reports were limited to reviewing work that had been carried out in earlier years.", "131. Six of the eight contractors are entering the final five-year phase of their respective contracts. It is to be expected that, by the end of their contracts, they will have identified a first-generation mine site, obtained good baseline environmental data and developed a mining system prototype and arrangements for processing.", "Geological work", "132. In general terms, exploration work proceeded slowly during the reporting period. Annual reports by most contractors are directly related to fieldwork and the absence of this type of activity means that they have little to report. In fact, some report not having conducted any form of geology, mining or metallurgy-related activity.", "133. The annual report submitted by some contractors does not provide the locations of nodule and sediment sampling.", "134. As pointed out in earlier Commission evaluations, no uniformity exists in the classification of nodules based on morphology, shape or size. A standard needs to be established at the earliest opportunity.", "Mining tests and proposed mining technology", "135. Progress still remains to be made on technology-related issues, particularly with respect to the mining and metallurgical processing of nodules. A few contractors have yet to begin to develop their technological capacity and it may therefore be beneficial if such contractors made a concerted effort by pooling their resources.", "Environmental monitoring and assessment", "136. The environmental work reported by contractors in 2010 is generally of better quality than that reported in previous years. However, there is still a lack of raw data being provided by contractors. This raw data is essential for evaluating the potential impact on the marine environment and also for the development of the environmental management plan for the Clarion-Clipperton Zone.", "Financial statements", "137. Not all contractors have provided a breakdown of expenditure, as recommended in document ISBA/15/LTC/7. Such a breakdown is needed to conduct an evaluation of the reported expenditure and facilitate comparisons between the different contractors.", "138. The Commission recommends that the Secretary-General request sponsoring States to identify the correct authority for certification of financial statements.", "Other matters", "139. Despite repeated requests from the Commission, only one contractor has provided a list of research published in peer-reviewed journals during the reporting year.", "140. Few examples currently exist of any collaborative work between contractors. While not required by the Regulations, the Commission encourages greater levels of collaboration by sharing manpower and resources among contractors.", "141. A positive trend observed during the reporting period is that some of the contractors have started analysing data on the economic feasibility of nodule mining, thereby generating analysis on market trends, metal values, investments required and expected returns." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Evaluation of annual reports submitted by contractors", "Report and recommendations of the Legal and Technical Commission", "Introduction", "In accordance with section 10 of annex 4 to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area, all contractors are obliged to submit annual reports on their activities by the end of March each year.", "2. The contractors were: Yuzhmorgeologiya (Russian Federation), Interoceanmetal Joint Organization (Bulgaria, Cuba, Czech Republic, Poland, Russian Federation and Slovakia), Government of the Republic of Korea, China Ocean Mineral Resources Research and Development Association (China), Deep Ocean Resources Development Co. Ltd. (Japan), French Institute for Marine Development (France), Government of India, Federal Institute for Geosciences and Natural Resources (Germany). As at 6 June 2011, annual reports had been received from all contractors.", "3. At its meeting held during the sixteenth session, the Legal and Technical Commission made a number of comments and recommendations on the annual report submitted in 2009. These comments are contained in ISBA/16/LTC/6 and, together with specific comments on each contractor, were communicated in writing to the contractors concerned by the Secretary-General on 4 October 2010.", "4. Following its analysis, the Committee has the honour to submit the following observations and recommendations on the annual report to the Secretary-General for 2010.", "II. Evaluation of the annual report and recommendations", "Deep Ocean Resources Development Co. Ltd.", "Overview", "5. The contractor submitted its annual report for 2010 in English on 29 April 2011. The report includes headings such as exploration activities, environmental studies, mining tests and training programmes, with financial statements. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "6. The 2010 annual report indicated that DORD did not carry out any field activities during the year, mainly describing the historical background of the exploration work carried out by the contractor and that DORD had not carried out any field work after its contract with the International Seabed Authority.", "7. During the second five-year phase of the contract (2006-2011), DORD conducted a study to assess the overall feasibility of commercial deep-sea mining operations. This includes research on the state of mining, smelting and refining technology for nodules, environmental assessment of nodule mining operations and the value of nodule metal content. The Government of Japan is currently constructing a survey vessel to carry out exploration activities in the Area in 2012.", "8. The 2010 annual report provides an overview of activities carried out in 1975-1996 prior to the conclusion of the contract with the Authority, providing detailed information on the voyages carried out, the vessels used and the equipment used by the survey vessels. These surveys resulted in a series of bathymetric maps; water content maps for nodules; nodule abundance maps (in different parts of the area); and corresponding grade maps for manganese, nickel, copper and cobalt. However, no raw data were provided. The report also provides a resource evaluation based on data on free-fall-and-take sampling and an average nodule abundance table for four metals. Following the distribution of the data on the grid throughout the contract area, a resource matrix was produced and submitted with the report. Although the area as a whole already has too many beam echo sounding bathymetry measurements, the contractor believes that more detailed surveys are needed. It was also noted that reducing sampling intervals would provide the data resolution necessary to understand the areas considered for development as mine sites. No exploration activities were carried out by the contractor in 2010.", "9. As in previous years, the 2010 annual report assessed the economic viability of nodule mining and the possibility of increasing its economic efficiency. The economic viability of nodule mining was assessed in 1992 using the cash-flow discount method. The most recent study used data up to 1996. The report indicates that the results do not reflect the current situation as a result of an assessment of the costs of using previous methods, mining and smelting. The report also presents a number of possible scenarios for different metal values and calculates internal rates of return.", "Mining tests and proposed mining technologies", "10. No mining tests were carried out during the reporting period, but the report provides information on the work carried out by the contractors between 1981 and 1997. The objective of the contractor ' s research and development activities is to establish an efficient and cost-effective technical system for the mining of manganese nodules. System details and research plans are presented in chart form.", "11. The report explains the nodule collection system and the ore lifting system (pump and air lifting) developed between 1981 and 1997. The contractor also attempted to develop a processing system and an assessment operating system. The validation experiment was carried out until 1997, but R & D activities were discontinued thereafter. However, the contractor proposes to conduct a systematic technical capability test in the future.", "12. DORD attempted to develop a metallurgical system between 1989 and 1995. The report sets out the work undertaken during that period. The contractor analysed in detail the five existing nodule metallurgical methods and explored three additional methods. The report presented summarizes the evaluation of the eight methodologies.", "Training", "13. No training programme was conducted in 2010, as training obligations under the contract were completed in previous years. The report provides information on the training programme conducted by DORD as a pioneer investor in 1993.", "Environmental monitoring and assessment", "14. The 2010 environmental work presented by DORD included an evaluation of the environmental studies carried out by Japan between 1989 and 1996. The work carried out prior to the signing of the contract with the Authority included surface and seabed research. Undersea studies include baseline surveys, impact experiments and impact predictions. The results of these studies are presented in an annex to the 2010 annual report. Although the document contains some useful information, the results of the study are not discussed here, as it is essentially a presentation of the relevant literature on the work carried out prior to the signing of the exploration licence.", "15. More detailed information and analysis at the species level is required for biological research of all sizes (microfauna, meiofauna, macrofauna, megafauna). The revised guidelines provided to contractors indicate that new research in molecular biology should be undertaken. Biogeochemical and benthic biology studies have made significant progress over the past 15 years. Previous results need to be explained with new knowledge and with updated information. Greater harmonization of results with those of other contractors is essential.", "Financial statements", "16. In its report for the previous year, the Commission noted that the breakdown of expenditures provided by the contractor did not correspond to the format recommended in ISBA/15/LTC/7.", "17. In 2010, the contractor reported total expenditure of JPY 2,024,022 ($20,240.22) on financial statements in formats that did not comply with the recommendations of ISBA/15/LTC/7. The contractor also provided a table of exploration costs for the period 2001-2010. The table lists one or two projects with a partial breakdown, but does not follow the format recommended in ISBA/15/LTC/7. The contractor submitted an audit certificate for the contractor ' s accounts for the financial year from 1 April 2010 to 31 March 2011. The certificate was certified and signed by the firm of certified accountants of Onozawa Yoshiji. The certified financial statements are submitted in Japanese and are accompanied by an uncertified English translation. The Committee had recommended last year that all translations should be certified by the appropriate body.", "Proposed adjustments to the programme of activities", "18. The contractor did not propose a change in the programme of activities.", "Comments", "19. The annual report provides an overview of the data collected by contractors prior to the conclusion of contracts with the Authority, as well as the reviews conducted during the reporting period. In addition, some results and data analysis were presented. The report indicated that a new research vessel was being constructed for future exploration activities. The Committee expressed appreciation for the information provided, but, as previously requested, it also hoped that the discussion of the work during the reporting year would be linked to previous work.", "20. The report does not provide any newly collected data. No digital information is available for use in the International Seabed Authority database.", "21. The Commission recommends that the contractor provide a detailed statement of expenditure in accordance with the provisions of ISBA/15/LTC/7. The certified financial statements are submitted in Japanese and are accompanied by an uncertified English translation. It is recommended that all subsequent translations be certified by the appropriate body.", "B. Federal Institute for Geosciences and Natural Resources", "Overview", "22. The contractor submitted its annual report for 2010 in English on 6 April 2011. The report provides information on exploration, mining tests and environmental activities, as well as a financial statement. The structure of the report is generally in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "During the reporting period, the contractor conducted 41 days of exploration cruises in its area with the “Sonne” research vessel in April and May 2010 to conduct multidisciplinary work, such as: (a) investigating the formation of manganese nodules by studying microbial and abiotic early formations; (b) re-establishing processes to control nodule formation, such as deep-sea water cycling, deep-water oxygenation and antique productivity; and (c) studying the diversity of benthic faunal combinations. The sampling was carried out using 20 box samplers, 15 multibarrel sampling units and 8 piston/gravity sampling units. The report provides details of sampling sites, a description of the recovered samples and the areas covered, and details of different terrain from plains to seamounts. The report also provides detailed routing of the research vessel on multibeam bathymetric maps and sampling station locations on bathymetric and back-scatter maps.", "Detailed flight reports provided were accompanied by information on the equipment used, such as ocean floor video and photographic mapping equipment, chain-bag samplers and various types of core samplers. Detailed information on the equipment, the samples obtained and the corresponding nodule abundance measurements are presented in tabular form.", "25. Five seafloor areas were studied during exploration investigations using a ship-based back-scatter detector and a sonar record of deep-trawing. The above data were also analysed using video, sampling and side-scanning data from successive voyages. Image processing distinguishes nodules from sediments to calculate seabed nodule cover. The report provides examples of analysis. A comparison of the back-to-back dispersor with the deep tow-side-scanning images shows that the results are similar. The study also established a linear relationship between nodule cover based on video images, side-scan sonar data and sampler measurements of nodule abundance.", "26. A review of video images shows that the nodule cover area from medium to high is associated with high back-scatter values. The size of the nodules appears to have a significant bearing on the back-scatter value of a particular area. Back-scatter measurements may be used as a tool for exploration in larger marine areas to distinguish between areas with small and low nodule abundances and areas with high average nodule abundances. However, appropriate pre-processed back-scatter data must be presented in the form of standard greyscale.", "27. The results of the chemical analysis of the nodules collected during the reporting period are presented in a schedule. The report provides a comparison of the manganese/iron content of the nodule samples taken from the area with that of nickel/copper. The average composition of the different types of nodules (discussion, spherical and surface rough large nodules) was measured and the results presented in the report. A total of 228 kg of nodules were collected during the voyage.", "28. Using an artificial neural network, a nodule distribution model was developed to address the contractor ' s perception that its marine area lacked sampling information of sufficient density. The purpose of the methodology used was to investigate whether the application of the neural network was the appropriate method for estimating resources, to determine control parameters for the distribution of metals and to analyse the regional distribution of nodule abundance in order to calculate the tonnage of metals produced. This activity is limited to the south-east part of the sea zone. It describes the methodology used in the survey and includes in a table the projected resource levels and average metal content and resources for each grade. The report indicated that the model needed further improvement and that additional parameters and measurements were essential for improving the model.", "29. The report proposes a exploration strategy for the next 10 years. The contractor intends to conduct a study cruise each year in the coming years.", "Mining tests and proposed mining technologies", "30. In accordance with the programme of activities under the contract, no mining tests were conducted in 2010. The Institute engaged a contractor to study the technical development and economic feasibility of nodule mining. The contracts relate to the evaluation of existing technologies and the assessment of technologies related to environmental issues, safety issues, capital expenditures and operating costs and profitability. A detailed conceptual design for nodule mining and uplifting systems has been prepared, with computer simulations of critical subsystems and components. This work was completed during the reporting period and 656 pages of reports have been prepared. The annual report provides a summary of the major report prepared for the Institute, focusing on the conceptual design of nodule mining and lifting systems. Detailed information on the system components is also provided, as well as an evaluation of the system ' s production costs and economic benefits. The report concluded that, taking into account all factors, the cost of producing and transporting minerals to shore would cost $47.38 per ton.", "Training", "31. No training programme was conducted in 2010, as the training obligations under the contract were completed in previous years.", "Environmental monitoring and assessment", "32. The Institute ' s environmental work in 2010 included studies of physical oceanography (temperature, salinity and oxygen concentration distribution) in its claimed areas, chemical oceanography (salm profiles), sediment properties (cut strength), pore water and biodiversity. The temperature, salinity and oxygen vertical profiles in the eastern and western regions of the region are described in graphs and text. The report provided a vertical profile of the americium and noted that the results listed were the first full americian depth profile in the Western Equatoria Pacific Ocean. The contractor also noted that thorium could be used to track the flounders and that the results provided some insight into their origins and deep-sea water cycling. The report described the method of the sediment shearing strength experiment, with descriptions and illustrations of the results. The description of the pore water analysis method is accompanied by a graphic description of the results of the analysis and includes an analysis of the effect of the presence of nodules in the sediment on the vertical chemical profile. The proposed biodiversity study included a brief description of the methodology and a brief description of the analysis of the results in a graphic form. Biodiversity studies have shown a marked high level of meiofauna abundance in low nodule cover areas, in addition to the assertion that there are no barriers within the maritime area sufficient to prevent the re-entry of organisms after any disturbance due to possible future mining activities.", "Financial statements", "33. The contractor reported total expenditure of Euro4,684,390 for 2010 and provided a breakdown of the expenditure, but the format was not recommended in ISBA/15/LTC/7. The financial statements are signed by the Director of Financial Management and the Director of Finance of the Institute, which is responsible for budgetary matters for the activities of the Institute. The Committee requested the Secretary-General to contact the sponsoring State to clarify the relationship between the Controller, the Institute and the sponsoring State.", "Proposed adjustments to the programme of activities", "34. During the reporting period, the contractor completed the research cruise originally planned for 2008 and was provided with funds for the acquisition of deep-trailing equipment for a mining concept study.", "Comments", "35. The annual report follows the established format and provides all relevant information, including analysis and, in some cases, raw data. The contractor has also completed the analysis of the mining concept system, but has not yet undertaken the smelting phase of the mining process. It was reported that similar metallurgical analysis would be undertaken at a future time.", "36. In evaluating the 2009 annual report, the Commission recommended that the Institute complete the nodule cover assessment described in the 2009 report. The 2010 report indicated that this work had been completed. In order to complete the evaluation of the region as a whole, it is necessary to have the large number of box samples required for such a study. The contractor has undertaken to provide a detailed analysis in the 2011 annual report on the acoustic Doppler Current Profile Equipment (ADCP) data analysis.", "37. The report provides only an analysis of the data collected, but no numerical information. These data should be made available in the International Seabed Authority database.", "38. The report is comprehensive and includes detailed reports on the activities carried out in 2010. More detailed information is needed at the benthic animal species level for environmental studies. The work referred to in the report on megafauna requires precise quantitative data to compare animals in German and French claim areas.", "39. The Commission recommends that the contractors follow the recommendations of ISBA/15/LTC/7 regarding the format of the financial statements in the future. The Board also recommended that the sponsoring State determine the authority to certify the financial statements.", "C. Government of India", "Overview", "40. The Government of India submitted its annual report in English on 5 April 2011. The report covers investigations and exploration work, mining and metallurgy technologies, environmental impact assessments and a financial statement. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "41. The contractor ' s exploration activities have focused mainly on the first-generation mine sites previously reported. The exploration activities of the Government of India have mainly resulted in the completion of multibeam bathymetric surveys to measure microgeographic features. The exploration part of the report again provides a bathymetric map of the same first-generation mine site as submitted in the previous year ' s report. No data analysis provided.", "42. The contractor intends to generate detailed bathymetric maps using remotely piloted vehicles in selected areas and plans to regularly update the database in the coming year.", "Mining tests and proposed mining technologies", "43. The underwater mining machines developed during the first phase of the exploration programme have been modified to include collectors, shredders, powerful mud pumps and new hydraulic power systems, with new and enlarged chassis. These improvements mean that their weight has now increased to about 23 tons (air), and extensive engineering analysis has been carried out prior to their conversion. The form of integration of nodule miners, collectors, shredders and pumping systems has been further tested in a test pool at the National Institute of Marine Technology.", "44. The underwater data acquisition and control subsystem of the underwater miners has been improved with up-to-date hardware and software to meet all additional requirements of the new collector and shredder systems. As a result of the expansion of the telemetry system components, the hardware has been split into two parts and placed in two separate high-earth casings. The two data acquisition and control subsystems work in tandem. The report provides figures on the testing system.", "45. Underwater mining systems and handling subsystems, such as winch, console, distribution module, floating module and underwater recovery platform structures, were tested at depths of 512 m on the western coast of India in October 2010. During the voyage, the use of a single-stage positive charge pump was successful in collecting, breaking and pumping artificial nodules, thus validating the concept and the identification system for use in mining operations. The subsystem will be analysed in detail and the system will be refined to operate at a later depth of 6,000 m. Several experiments have been proposed in the further development of 6,000 mm to improve the long-term operational functionality of the system.", "46. The marine testing of soil testers in ports continued during the reporting period. In addition, the interactive nature of soil machines, aluminium structures of deep-sea mining systems and modelling and analysis of submarine-driven systems were further studied. Preparatory work for the remotely piloted submersible vehicle (ROSUB 6,000) has reached the test stage and the system has been tested at 5,000 m depth in the nodule zone. Details and preliminary results of these tests are provided in the annual report. Future mining technology development includes the construction of a mining system operating at a depth of 6,000 m, the use of ROSUB to investigate first-generation mining sites and the testing of improved seal testers.", "47. The development of metallurgical technologies continued during the reporting period, focusing on process improvement and the generation of value-added products. Attempts have been made to use the non-dispersible extraction module for metallic separation and to extract molybdenum from nodule leachate. The results achieved in the course of these experiments will be used for the large-scale separation of molybdenum. In addition, a participating laboratory continued to prepare electrolyte manganese dioxide using manganese cakes and leaching residues from nodules to extract fine chemicals. One attempt was to recover ammonia from the wastewater containing sulphate. Several new smelting methods have been tried, such as direct smelting and smelting with graphite liner electric arc furnaces. The report noted that recovery efficiency could be improved by 7 to 8 per cent without adding white clouds and by extending temperature retention times. Approximately 90.5 per cent of copper, 92 per cent of cobalt and 86.6 per cent of nickel can be recovered at 7 per cent coke and 20 minutes of temperature. Future activities will include the use of manganese cakes for electrolysis of manganese dioxide, the modification of leaching methods for use in a roasting leaching metallurgical method, the optimization of the recovery process and the recovery of rare earth elements from nodules using solvent extraction or fibre-film extraction.", "Training", "48. No training programme was conducted in 2010. Because the training obligations under the contract had been completed in previous years.", "Environmental monitoring and assessment", "49. The environmental work undertaken by the Government of India in 2010 included an assessment of data collected on two voyages in 2009. The contractor examined sedimentary properties, geotechnical properties, geochemical characteristics of sediments and pore water, microbiological and biochemical parameters, fungi and macrofauna diversity and nodule-related fauna. For all abiotic studies, the report briefly discusses the results and provides averages, ranges and graphs. The report provides micro-organisms and biochemical parameters for two sites, but does not provide detailed information or illustrative graphs, although it indicates annual/seasonal variations in the results indicated. The report discusses fungi diversity but does not provide any data or graphs. The description of macrofauna diversity and of nodule-related animals is also not supported by data or graphs. The report did not mention the methodology used at all, nor did it submit any raw data. The report concludes that studies show that the state of the environment varies according to timescales (seasonal and annual), but they do not support these assertions with any data or graphs.", "Financial statements", "50. In its report for the previous year, the Commission noted that a detailed statement of expenditures should be submitted for 2009, as recommended in document ISBA/15/LTC/7. In response, the contractor submitted an expenditure statement, which did not follow the project recommended in document ISBA/15/LTC/7 and, with regard to voyage expenses, did not indicate the actual daily rates for vessel time and large equipment for two voyages in 2009. Capital expenditures are not itemized.", "51. The contractor reported a total expenditure of $5,980,000 for 2010. The financial statements provided included a breakdown of expenditures but did not follow the items recommended in document ISBA/15/LTC/7. The shipping expenses did not indicate the actual daily rates for vessel time and for large equipment. According to the contractor, the reported expenditures did not include non-technical and administrative staff costs. In addition, the report does not distinguish between business and capital expenditure. Capital expenditures are not itemized. The financial statements are signed and certified by the Secretary of the Ministry of Earth Sciences.", "Proposed adjustments to the programme of activities", "52. The contractor did not propose to modify the programme of activities.", "Comments", "53. The contractor ' s work in 2010 consisted mainly of research and development activities related to the collection and disposal of nodules. There was little exploration work, and the report again referred to activities carried out in 2009, without any further analysis. The report provides extensive detailed information on mining technology and metallurgical, but it appears to be a continuation of work already reported in previous years. No primary data and analysis were available for environmental work undertaken during the reporting period.", "54. The report provides only an analysis of the data collected, but no numerical information is available. These data should be made available to the International Seabed Authority database.", "55. It is encouraging to note that mining and metallurgical activities were carried out during the reporting period.", "56. The Committee is concerned about the status of the environmental data provided in the report. Progress on environmental issues has been very poorly reported. The quality of the study could not be assessed due to the lack of data on methods (sampling and analytical procedures). Averages lack standard deviations. There should be appropriate statistical comparisons, including a pluralistic statistical analysis that is in line with existing international standards and the revised guidelines for contractors. The outcome should also be discussed on the basis of available knowledge (and where it comes from). The work carried out by the contractor, if analysed by an independent scientific panel, is likely to lead to serious challenges at all stages of development.", "57. The Commission recommends that the contractor provide a detailed statement of expenditures, as recommended by ISBA/15/LTC/7.", "D. Interoceanmetal Joint Organization", "Overview", "58. The Interoceanmetal Joint Organization submitted its annual report in English on 4 April 2011. The report included contract-related activities, geological exploration, environmental studies, mining and processing technologies and a financial statement. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "59. The contractor performed data processing and analysed samples collected during the 2009 voyage. No field work was carried out during the reporting period. The analysis of the 2009 voyage data included a geostatistical assessment of nodule and metal resources in the contract area. The average abundance and metal content of the benthic blocks, as well as the nodule and metal resources, were calculated using the klig method. The procedure takes into account: (a) the distribution of sampling sites in the sampled mining area and the distribution of sampling sites between them; (b) the shape and size of blocks; and (c) a question of the changing structure of parameters, as reflected in the geostatistical variant model (the semi-variant function model). The report presents in a table the geostatistical results calculated on the basis of resources in the Interoceanmetal Joint Organization contract area, area H1 (para. B2).", "60. Other studies include analysis of sediment particle size distribution and analysis of mineral composition. Interoceanmetal Joint Organization also continued geochemical research in its contractual area. The physical properties of seafloor sediments and nodules were tested in laboratories and the density of 69 sediment samples was analysed using a weight bottle method. Sediment is mainly powder clay with a small amount of silicon, followed by silicon powder clay. The density of 30 nodule samples was analysed through weight bottle analysis and calculation. The instrument ' s measurements are lower than the calculated values. Boiler crusts are significantly more dense than non-polymerized sediments.", "Mining tests and proposed mining technologies", "61. The contractor analysed the results of the workshop held in Chennai, India, in 2008. The workshop was organized by the International Seabed Authority on the theme “Technology for polymetallic nodule mining: current status and future challenges”. The contractor reported that, despite the significant expenditure, the results of the study over the past 15 years had been minimal and there had been no critical technological developments. Interoceanmetal Joint Organization has concluded that research on mining technologies should focus on conceptual design, as the construction of experimental mining systems that are tested only under shallow sea conditions is a major capital investment, even if scaled down proportionately. A retrospective analysis of the Interoceanmetal Joint Organization mining technology study was conducted during 2010 to identify outstanding issues in the development of deep-sea mining systems. The contractor noted that the computer model required to design and validate the entire “sea operation” also needed to be developed.", "62. Technical studies on the treatment of polymetallic nodules are conducted in two directions: pyrometallurgical nodule treatment and aqueous nodule treatment. Additional studies include high-pressure sulphuric nodules leaching using sugar cane waste as a reduction agent. Technological and economic assessments of these technologies will be undertaken. Large quantities of nodules (5-8 砘) are planned for laboratory testing of these treatment techniques.", "Training", "63. No training programme was conducted in 2010. Because the training obligations under the contract had been completed in previous years.", "Environmental monitoring and assessment", "64. The environmental work of the Interoceanmetal Joint Organization in 2010 was an analysis of megafauna observed by a cross-line photographic survey conducted in 2009. The report describes the observation activities with photographs, graphs and maps. It was noted that a graphic and accompanied chart listing identified animals was being prepared for the Interoceanmetal Joint Organization exploration area.", "Financial statements", "65. Approved financial statements for 2009 were received on 25 June 2010.", "66. The contractor reported a total expenditure of $754,344 for 2010. The report details expenditures. Although expenditure was reported as per the recommended project, it was not broken down under the item as recommended in ISBA/15/LTC/7. On 1 June 2011, the Director of the Interoceanmetal Joint Organization informed the Secretary-General that the financial statements had been approved by the Council of the Organization on 20 May 2011.", "Proposed adjustments to the programme of activities", "67. The contractor did not propose a change in the programme of activities.", "Comments", "The Interoceanmetal Joint Organization carried out its activities under the programme of activities under the contract. As no field work was carried out during the reporting period, the main work involved the analysis of data for the previous year. A desk study of mining technologies has been conducted and the development of mineral treatment technologies has been slow.", "69. The report provides only an analysis of the data collected, but no quantitative information is available. These data should be made available to the International Seabed Authority database. In addition, since no field work was carried out in 2010, the report focuses on data collected in previous years.", "70. Reporting on environmental work carried out by cross-line photographic surveys should include more accurate quantitative analysis and higher classification resolution. Reference should be made to the results of recent workshops on the conduct and analysis of cross-line photographic surveys for environmental impact assessments. The contractor should increase its interaction with the scientific community and improve the classification resolution of photographicly identified animals.", "71. Although expenditures were reported on the basis of the recommended project, no breakdown was provided under each item as recommended in ISBA/15/LTC/7. This issue should be addressed in future reports of contractors.", "E. Government of the Republic of Korea", "Overview", "72. The contractor submitted its annual report in English on 6 April 2011. The report details exploration work, environmental studies, mining technology work, training and other activities and provides a detailed financial statement. A summary of the report is provided at the beginning. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2. The relevant charts are attached to the report.", "Exploration work", "During the reporting period, as part of its exploration and environmental work, the contractor conducted 84 days of field survey of KR2 and KR5 blocks on the research vessel Onnuri. The investigation was conducted on two flights in July and August 2010. The first was intended to collect environmental data and the second focused on geological and geophysical surveys. To understand the nature of sediment geotechnical and nodule distribution in the allocated area. Side sweeps and bathymetric data were collected using a sonar system. These investigations were carried out in KR5 block. The report provides a map of the location of the sampling sites and a map of the survey trail.", "74. The results of the deep-trawling survey were presented in the report with two maps: a side-scanning data map and a colour bathymetric map. Sediment sampling was carried out using multiple tube and box samplers, and shear strength, particle size and water content were analysed for the sample taken to determine basic geotechnical parameters. The shear strength is measured by a viscous measurer, the particle size is determined by a sediment particle measurer, and the water content is determined by a difference in the dry and wet weight of the sediment. The sediment contained 66.9 per cent of the clay composition. The geotechnical nature of sediment samples was provided in a table.", "75. The distribution of manganese nodules was studied through nodule sampling. The aim is to make an accurate assessment of the mining potential of the allocated areas. Nodule sampling was carried out in 24 stations in sectors KR5 and KR2. Samples of nodules collected are classified by surface, form and size. The results are presented in the attached table. The metal content of manganese nodules was measured to determine the main metal content and the results were presented in tabular form. In the southern block (KR5), nodules are generally rich in copper, manganese, nickel and zinc, and lack of cobalt and iron is explained mainly by rock formation.", "Mining tests and proposed mining technologies", "76. In accordance with the programme of activities under the contract, no mining tests were conducted during the reporting period. However, the contractor has continued its research and development of mining collector and integrated mining operation technologies. The programme is developing a self-styled mining model by scavenging seafloor polymetallic nodules, moving them to a buffer station through hoses for lifting, and designing the methods needed to conduct offshore mining operations. During the reporting period, the pilot minero miner underwent a 135-hour drive test. A submarine navigation computation method has been developed and validated. Based on performance tests, the concept and basic design of a pilot mining robot with a dive depth of up to 500 m has been carried out, and the construction of a core design technology for self-propelled mining robots has been completed. In terms of upgrading techniques, a shallow sea lift system was tested in 2009 to determine its performance characteristics. In 2010, a detailed hydro design was carried out for a multi-stage lifting pump of the deep sea. The contractor plans to conduct a 1,000 m test pre-lift in 2012.", "77. The contractor conducted large-scale tests (200 kg per day) of the reduction smelting leaching process to recover cobalt, copper, manganese, molybdenum and nickel. The report provides data on the equipment used and the alloys produced. The results can be summarized as follows:", "(a) A large-scale test of solvent extraction (production capacity: manganese nodules 200 kg per day) was conducted to separate copper from leachate by a continuous mix of sedimentors;", "(b) Designed and produced a metallurgical system for large-scale testing to recover metals from purification fluids (cobalt, copper, nickel);", "(c) The purchase of high-pressure blankets (15 litres) for leaching for large-scale tests;", "(d) A process for the recovery of molybdenum from leachate in the form of molybdenum trioxide (M_o)O3) was developed by solvent extraction technology;", "(e) Processes for selective production of cobalt, copper and nickel powder from leachate were developed and optimized;", "(f) Using ion exchange methods to study the process of extracting copper from the solution after solvent extraction.", "Training", "78. No training programme was conducted in 2010. Because the training obligations under the contract had been completed in previous years.", "Environmental monitoring and assessment", "79. In 2010, the Government of the Republic of Korea conducted a research cruise to promote the physical, chemical and biological conditions of the region. Physical assessments involve thermosal depth profiling and current measurements, including the evaluation of seasonal changes in currents. Spatial changes are also addressed by comparing the temperature salt depth profiles across the north-south. The chemical assessment involved the collection of water samples from thermosal depth measurements to measure inorganic nutrient salts, organic carbon and chlorophylla; the report provided vertical, longitudinal and longitudinal cross-sectional data. Interannual changes in nutrient salt profiles and temperature are also provided. Biological research involves the detection of meiofauna, macrofauna and microorganisms in the water column. Geochemical analysis of sediments includes analysis of rock and biological composition of sediment cores. Carbon and nitrogen from sediment samples were also measured, including spatial and temporal variability analysis. The geochemical properties of sediments were reported in the exploration section. Seasonal and vertical changes in particle fluxes from sea surface to seafloor were also described.", "80. The report provides extensive graph and text analysis as well as some raw data, including the geographical location of sampling sites. Of particular note is the provision by the Government of the Republic of Korea of raw biological data in the format requested by the Secretary-General of the International Seabed Authority.", "Financial statements", "81. In last year ' s report, the Board concluded that a detailed statement of expenditures was required for 2009. Not provided by the contractor.", "82. The contractor reported a total expenditure of $8,622,300 for 2010. The financial statements provided contained a breakdown of expenditures but did not follow the format recommended in ISBA/15/LTC/7. The Director of the Maritime Policy Bureau of the Ministry of Land, Transport and Maritime Affairs of the Government of the Republic of Korea signed a certificate of expenditure.", "Proposed adjustments to the programme of activities", "83. As the contractor does not expect any change in the short term, no change in the programme of activities is proposed.", "Comments", "84. Data provided in graphs and figures are of good quality. The location of the sampling station, which is included in the schedule for the exploration part, is, in addition to that for the environmental part, best available in the exploration part, although that part provides all the other details. The report provides bathymetric and side-scanning images of the area under investigation, without any analysis or explanation.", "85. Environmental studies are described in detail in the section of the report. All relevant sampling point information is provided in table form. The contractor provides raw biological data in a format requested by the Secretary-General of the International Seabed Authority.", "86. The report provides only an analysis of the data collected, but no numerical information. These data should be made available to the International Seabed Authority database.", "87. The Commission expressed its appreciation to contractors for providing raw environmental data in their reports.", "88. The Board recommends that the contractor provide a detailed statement of expenditure for 2009 and a detailed breakdown of expenditure for 2010 in the recommended format of ISBA/15/LTC/7.", "F. China Ocean Mineral Resources Research and Development Association", "Overview", "89. COMRA submitted its annual report for 2010 in English and Chinese on 28 March 2011. The report contains information on exploration work, environmental baseline studies, research and development of deep-sea mining systems and metallurgical processes, other activities, training, the 2010 workplan and a financial statement. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "90. During the reporting period, the Association did not conduct any field investigations at sea. During 2010, the contractor completed data processing for the 2009 data from the 2009 high-resolution resolution bathymetric survey. Line length 48km with a width of 500 m. Side sweep covers 700 m width. The report provides details of the methodology used for bathymetric and side-sweeping data processing. The report provides a graphic comparison of the results of the deep tow survey with the results of the ship-mounted multibeam system. Detailed mooring points were divided into four sections, with average slopes calculated for each segment. The report provides topographic maps of the various sections. The lack of acoustic navigational positioning for deep tows makes the data collected less accurate. The contractor's submersible vehicle, Zilong, conducted a sea test in the South China Sea and 17 dives at depths of 2,000 to 3,000 m.", "Mining tests and proposed mining technologies", "91. In 2010, the Association carried out research and development on the safety of nodule transport during recycling. The results of the research and development will provide technical reference information for the design of a nodule transport system for the transport of nodules from the seabed to surface vessels in a safe and efficient manner. Research and development included research on the integrated campaign of the mining system to ensure that it could be operated under various sea conditions. Single-body rigid models of deep-sea mining systems have been constructed for rapid simulation. The contractor has indicated in its next five-year plan that it intends to establish a laboratory to study the exploitation and use of deep-sea minerals. The laboratory will serve as a platform for the development of deep-sea mining technologies and research on deep-sea resource treatment technologies.", "92. The Association continued its metallurgical experiments on technologies for self-catalytic reduction of ammonia leaching and smelting polymetallic nodules. The output of self-catalyzed reduction ammonia is sediment leached from sediments and ordinary ammonia solutions. Previous studies on polymetallic nodule smelting techniques have progressed and the report provides an improved flow chart for polymetallic nodule smelting.", "Training", "93. No training programme was conducted in 2010. Because the training obligations under the contract were completed in previous years. However, two Pakistani scientists were trained on board the ship.", "Environmental monitoring and assessment", "94. The Institute ' s environmental work in 2010 included the continued analysis of data collected in 2009 on chlorophylla, meiofauna and chemical parameters. The report presents, in text and graphs, a chlorophyll-a-class analysis, comparing the vertical profiles of the water column in the eastern and western areas of the contractor ' s claim. Data on meiofauna community structure, depth profiles and particle-level analysis are also presented in text and graphs. The reported chemical baseline data include vertical phosphate profiles, information on nutrient enrichment experiments, mineral composition and origin of surface water suspended particles and particle output flux patterns. The report describes the information obtained, supported by graphs and photographs, but does not include raw data.", "Financial statements", "95. In its report for the previous year, the Commission noted that the contractor had not provided a detailed statement of expenditure as recommended by ISBA/15/LTC/7. In its five-year periodic report for 2006-2010, the contractor provided a statement of expenditure for 2009, but did not follow the format recommended in ISBA/15/LTC/7.", "96. The contractor reported a total expenditure of $5,302,800 for 2010 and the statement shows expenditures for seven projects, with a breakdown in part. The contractor submitted a certificate certified by the financial department of the National Maritime Agency. The certificate found the statements to be in line with Chinese national standards and the books were kept in good condition.", "Proposed adjustments to the programme of activities", "97. The contractor did not propose a change in the programme of activities.", "Other activities", "98. The contractor examined the economic prospects for the exploitation of polymetallic nodules, including detailed market adjustments for cobalt, copper, manganese and nickel. The data provided include land-based mining production, consumption, projected production and price fluctuations for each metal over the past five years. Surveys have shown that the land resources of copper, manganese, nickel and cobalt are currently quite abundant and can meet the needs of the next 50 years. Polymetallic nodules and cobalt-rich crusts, rich in rare earth elements, could be a new engine for the exploitation of seabed resources. Global demand for rare earth elements is likely to continue to increase in the future. The main factors affecting the economic benefits of nodule mining are the quality of resources, the size of the mining, investment in fixed assets, operating costs, metal prices and interest rates. Economic analysis suggests that the mining of nodules requires significant investment and risks. The required technology remains unclear and operational and environmental management costs cannot be accurately determined at this stage, but high metal prices may increase investor confidence in the development of seabed mining.", "99. The Association continued its work on the development and operation of ocean information systems, including the management of the Chinese marine sample bank and the updating of the marine sample information system. China and the Republic of Korea continue to collaborate within the framework of the international cooperation agreement on deep-sea mineral resources development.", "Comments", "100. The Association provided an informative report. The work was carried out in accordance with the programme of activities contained in its contract. In the absence of any field work, exploration work is limited to the processing of deep-trawling and bathymetric data collected in 2009. The charts annexed to the report are generally good. The contractor has made steady progress in mining and processing technology. The analysis of the economic potential of nodule mining was very useful, although it was not part of its contractual mandate.", "101. The report provides only an analysis of the data collected, but there is no quantitative information. These data should be made available to the International Seabed Authority database.", "102. The report covers the processing and analysis of data collected in 2009. In addition, the contractor provided information on a feasibility study on mining. Particular reference was made to the presence of rare earth elements in mineral deposits and to future work on the establishment of a database with space information.", "103. The data provided for environmental studies should have better statistical analysis, including averages and standard deviations. The relevance of some data to mining activities needs to be clarified. All discussions on data should take into account existing knowledge and the importance of data for environmental management of seabed mining. There is a need for further work at the species level, using consistent classifications and in accordance with international standards. Data assessment requires data on the location of sampling points and sampling procedures (methods).", "G. French Institute for Marine Development", "Overview", "104. The contractor submitted its annual report for 2010 in French on 6 June 2011. The report contains information on exploration activities, mining technology, training, environmental assessment and monitoring, other matters and a financial statement. The structure of the report is broadly in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "105. The Institute did not conduct any oceanographic activities during the reporting year. No exploration activities were reported by the Institute during the reporting period.", "Mining tests and proposed mining technologies", "106. No work was carried out under the programme of activities under the contract.", "Training", "107. No training programme was conducted in 2010. Because the training obligations under the contract had been completed in previous years.", "Environmental monitoring and assessment", "108. The section of the Institute ' s annual report on environmental work provides a summary of the papers published in the scientific literature. The papers used sampling results from oceanographic activities conducted by the Institute in previous years. The report provides a summary of two public papers on meiofauna abundance and diversity. It was reported that a meeting had been held with the Federal Institute for Geosciences and Natural Resources to develop proposals for collaborative research, but that the recommendations had not yet been finalized.", "Other matters", "109. The contractor reported that in June 2010, the National Perspective Study Group on Marine Mineral Resources had completed a study on the economic projections of mineral resources in 10 months with 30 experts. The report was published in 2011 (“Les resources miniérals marines profondes”). The contractor has developed a bibliographic database of 7,800 documents and a geographic information system. The GIS nodule programme has continued to modify the format of previous voyage pictures to add geo-referenced information and to integrate other historical data.", "Financial statements", "110. In its previous year ' s report, the Commission noted that a detailed statement of expenditure and proper certification of the 2009 financial statements, in line with the recommendations of ISBA/15/LTC/7, should be provided, as well as clarification of the development licence referred to in the 2009 annual report. None of the contractors did.", "111. The contractor reported a total expenditure of Euro108,910 for 2010. The financial statements provide a breakdown of expenditures for the five projects recommended in ISBA/15/LTC/7. The financial statements are certified by the Chief Accounting Officer of the Institute. Indirect costs are not certified.", "Proposed adjustments to the programme of activities", "112. The contractor did not propose a change in the programme of activities.", "Comments", "113. The report is very brief and does not report on any work on exploration, mining and processing technologies. The reporting format follows the suggested template.", "The report on environmental research was very disappointing. While it was encouraging to include information on scientific publications, the full text of the papers mentioned should be made available and the results of the discussions should be based on all available knowledge in the Clarion-Clipperton Zone. Raw data should be provided to the Authority or access procedures for the Biocean database should be discussed.", "115. The contractor was again requested to clarify the mining licences referred to in the 2009 annual report.", "H. Yuzhmorgeologiya", "Overview", "116. The Association submitted its annual report in Russian on 4 April 2011. The Commission requested the contractor to provide an English translation. This has not yet been received. The report was subsequently translated by the United Nations translation services and received on 31 May 2011. The report contains an introduction, financial statements and sections on exploration work, environmental studies, research activities, mining tests and personnel development programmes. The report also provides a brief description of the programme of work for 2009. The structure of the report is in line with the headings and content list recommended by the Commission in the annex to document ISBA/8/LTC/2.", "Exploration work", "117. Exploration work during the reporting period was mostly limited to an area of 3,670 km2 in the eastern polygon of the Russian exploration area. The zone is adjacent to the area surveyed for the previous two years. The field survey was conducted on the research vessel Gelendzhik. The report provides a map of the zone and a separate table listing the coordinates of the polygonal area. Field surveys focused on deep-trawl photography, video and acoustic surveys at selected locations. The report provides detailed information on the vessels and equipment used. Ground-scanning was performed using a single frequency signal of 30 kHz with a side-scan sonar. Up to 13 geoacoustic scanning profiles were completed in the study area, covering a total length of over 425 km. The report provides a scanning line with a topographic map. Photography and video scanning were carried out in the southern and northern sections of the area of operations, and 19 photographic and video profiles were completed for a total length of 535 km. The report provides a line of profiling. Samples collected during the 2010 voyage were analysed in the laboratory. The study included sediment particle size, structural analysis, calcium carbonate content and microfauna age determination, as well as analysis of nodules and pyrotechnical rock. The processing of video and sonar profiles in 2008 and 2009 was also completed. Data collected in 2010 are still being processed for geological interpretation. The report provides maps of the topography, tectonics of the seabed and mining and geological conditions, as well as a brief explanation and analysis of topography and geological maps. The report provides a table showing the number of positive features, flat and grain basin features shown on the map, indicating the percentage of area covered by different features.", "118. The bottom sonar profile data obtained from the deep-trawl system were processed to study the structure of the sediment cover. The report provides a map of the benthic landscape showing the stratification of the sediment cover of the gradient between the ridge and the valley basin. The report assesses mining and geological factors to determine the distribution of seabed nodule deposits. Much depends on the geomorphology and rocky nature of the area. The report presents a map of different difficult geological conditions. A total of 32 mineral deposits with development potential have been identified. These areas range from 7 km2 to 129 km2. Data from geological, geophysical and geochemical studies on the baseline characteristics of the geological environment of nodules and prospecting areas have been collected, analysed and collated. The areas of lentils, rubbing and nesting nodules have been compared. Comparisons by location are presented in tabular form. The report provides geographical maps for each sector. The geotechnical and physicochemical properties of seabed deposits have been aggregated and the results of the analysis presented in the report.", "119. The report presents a table comparing the parameters showing mineral-containing capacity, including morphology, mineralization, size of mineralization, spatial variability and quantitative characteristics of mineralization. Quality concentrations of wet nodules in individual deposits are provided in graphs. According to the contractor, it is possible to identify heterogeneity from the distribution of quantitative parameters of mineral-bearing capacity in the area. This indicates that the results of mineralization-scale variability analysis within individual group blocks must be taken into account when planning prospecting networks for any particular mining area.", "Mining tests and proposed mining technologies", "120. In accordance with the programme of activities, no mining or metallurgical activities are planned for 2010.", "Training", "121. No training programme was conducted in 2010. Because the training obligations under the contract had been completed in previous years.", "Environmental monitoring and assessment", "122. The Institute ' s environmental work in 2010 included studies on benthic organisms and meteorological conditions. Research on benthic organisms involved the analysis of cross-line photographic surveys and physical samples obtained in 2008 and 2009. This includes research on megafauna, macrofauna, meiofauna and organisms associated with nodules. Enrichment, species structure and diversity are presented in graphs with descriptions of clusters and some raw data. In addition, the report provides information on the vertical distribution of meiofauna in sediment. Weather conditions are described in text and graphic form. According to the report, environmental analysis in the eastern districts of the advocacy region was completed in 2010. Areas are classified according to nodule characteristics. Information for comparison of each mineral deposit includes a summary of the chemical properties of sediments in each area and the abundance of megafauna, macrofauna and meiofauna. The tables show averages and are accompanied by a chemical vertical profile of the sediment.", "Financial statements", "123. In its previous year ' s report, the Commission noted that the contractor had not provided a detailed statement of expenditure for 2009 nor for 2010.", "124. The contractor reported total expenditure of $5,446,750 for 2010 and provided some breakdowns of expenditure, but did not follow the format recommended in ISBA/15/LTC/7. The reported expenditures were certified by the Director-General of Yuzhmorgeologiya and confirmed by the Director-General of the Continental Shelf and Marine Mineral Resources Department of the Federal Underground Resources Directorate of the Russian Ministry of Natural Resources and Environment.", "Proposed adjustments to the programme of activities", "125. The contractor did not propose a change in the programme of activities.", "Comments", "126. The annual report is very detailed. The report presents a number of graphs illustrating the work done during the reporting period. Although the report refers to field surveys, it does not indicate the number of flights or the number of days spent in the area concerned; rather, it provides detailed information on the survey trails and sampling sites. The contractor has already done a great deal of work on the data collected from past field surveys and presented its findings in the report. The geographical location of the sampling sites was not provided.", "127. The report provides only an analysis of the data collected, but no numerical information is available. These data should be made available to the International Seabed Authority database.", "128. The classification resolution quality of animals identified by cross-section photography is particularly high.", "129. Detailed expenditure statements for 2009 are not yet available. The Commission recommended that the contractor provide financial statements in accordance with the format recommended by ISBA/15/LTC/7. In order to facilitate the work of the Commission, the Commission requested the contractor to provide at a later date an English translation of the report.", "III. General comments and recommendations", "130. Most reports generally follow the general format established by the Commission and are generally limited to work carried out during the reporting year and are prepared in accordance with the recommendations of the Commission following previous evaluations. Several reports only described the work carried out in previous years.", "131. Six of the eight contractors entered the last five-year phase of their respective contracts. It is expected that, at the end of the contract, the contractors will have identified the first-generation mine sites, obtain sound environmental baseline data, develop prototypes of mining systems and develop processing arrangements.", "Geological work", "132. Overall, exploration was slow during the reporting period. Most of the contractors ' annual reports are directly related to field work, without which they have little to report. Indeed, some contractors reported that they had not carried out any form of geological, mining or metallurgical activity.", "133. The annual reports submitted by some contractors did not provide information on the location of nodule and sediment sampling.", "134. As noted in previous evaluations of the Commission, there is no uniform approach to the classification of nodules by form, shape or size. There was a need to establish uniform standards as soon as possible.", "Mining tests and proposed mining technologies", "135. Progress remains to be made on technical aspects, particularly in nodule mining and metallurgical processes. Several contractors have not yet begun to develop their own technical capabilities, and they may therefore wish to consider pooling resources for a concerted effort.", "Environmental monitoring and assessment", "136. Contractors reported that environmental work carried out in 2010 was generally of a higher quality than that reported in previous years. However, the contractor still does not provide raw data. Such raw data are essential for assessing potential impacts on the marine environment and are necessary for the development of an environmental management plan for the Clarion-Clipperton Zone.", "Financial statements", "137. The contractor has not yet fully achieved the detailed expenditure statement provided in accordance with the recommendations of ISBA/15/LTC/7. Detailed statements are requested to assess expenditures and to facilitate comparison among contractors.", "138. The Board recommends that the Secretary-General request the sponsoring State to indicate the appropriate authority to certify the financial statements.", "Other matters", "139. Despite repeated requests by the Commission, only one contractor provided a list of studies published in peer-reviewed journals during the reporting year.", "140. Few examples of collaboration among contractors are available. Although not provided for in the Regulations, the Commission encouraged greater cooperation among contractors in sharing their personnel and resources.", "141. A positive trend observed during the reporting period is that some contractors have begun to analyse data on the economic viability of nodule mining, which has resulted in an analysis of market trends, metal values, required investments and expected returns." ]

[ "第六十六届会议", "临时议程^(*) 项目13", "联合国经济、社会及有关领域各次主要会议 和首脑会议成果的统筹协调执行及后续行动", "人的安全", "秘书处的说明", "1. 大会于2010年7月16日通过其第64/291号决议。大会在该决议中注意到为界定人的安全概念而正在进行的努力，并确认有必要在大会继续讨论，就其定义达成一致。为此，请秘书长就人的安全概念，包括其可能的定义，征求各会员国的意见，并向大会第六十六届会议提交一份报告。", "2. 报告需要与所有相关利益攸关方开展广泛协商，以便秘书长能够提出可能的定义。这一协商将在2011年期间进行。", "3. 秘书长将于2012年5月向大会提交这一报告，供大会审议。", "^(*) A/66/150。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 13 of the provisional agenda*", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Human security", "Note by the Secretariat", "1. The General Assembly adopted its resolution 64/291 on 16 July 2010. In the resolution, the Assembly took note of the ongoing efforts to define the notion of human security, and recognized the need to continue discussion and to achieve an agreement on the definition thereof in the Assembly. To that end, the Secretary-General was requested to seek the views of the Member States on the notion of human security, including on a possible definition thereof, and to submit a report to the Assembly at its sixty-sixth session.", "2. The report requires extensive consultations with all relevant stakeholders to enable the Secretary-General to propose a possible definition. Such consultations are expected through 2011.", "3. In May 2012, the report of the Secretary-General will be submitted to the General Assembly for its consideration." ]

[ "Sixty-sixth session", "Item 13 of the provisional agenda*", "Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields", "Human security", "Note by the Secretariat", "1. The General Assembly adopted its resolution 64/291 on 16 July 2010. In that resolution, the Assembly took note of the ongoing efforts to define the concept of human security and recognized the need to continue discussions in the General Assembly to reach agreement on its definition. To that end, the Secretary-General was requested to seek the views of Member States on the concept of human security, including its possible definition, and to submit a report to the General Assembly at its sixty-sixth session.", "2. The report requires extensive consultations with all relevant stakeholders so that the Secretary-General can propose possible definitions. This consultation will take place during 2011.", "3. The report of the Secretary-General will be submitted to the General Assembly for its consideration in May 2012.", "A/66/150." ]

[ "第六十六届会议", "临时议程^(*) 项目143", "联合国内部司法", "联合国争议法庭和联合国上诉法庭程序规则修正案", "秘书长的报告", "增编", "^(*) A/66/150。", "附件二", "联合国上诉法庭程序规则：2011年7月8日法庭全体会议按照第32条第1款通过的新的第18条之二(案件管理)和对第19条(判决的通过与作出)的修正案", "第18条之二(案件管理)", "1. 联合国上诉法庭在2011年7月8日的决定中决定通过新的第18条之二，请大会予以核准。新的第18条之二案文如下：", "第18条之二", "案件管理", "1. 庭长可在任何时候根据当事方的申请或自行下达任何命令，只要在庭长看来，这样做对公正、迅速处理案件并使各当事方获得司法公正来说是适当的。", "2. 如果上诉人在案件审理开庭之日前将其希望终止诉讼程序的意向书面告知上诉法庭，并通知被告，庭长可命令将此案从登记册中删除。", "3. 如果某项诉讼已失去意义，无需加以裁决，庭长在将相关意图告知各当事方并在适用的情况下收到当事方意见之后，可在任何时候自行通过一项附有理由的命令。", "4. 庭长可指定一名法官或一个分庭根据本条规定发出任何命令。", "第19条(判决的通过与作出)", "2. 经大会核准的第19条(判决的通过与作出)第2款案文如下：", "“判决为书面形式，应说明判决所依据的理由、事实和法律。”", "3. 联合国上诉法庭在其2011年7月8日的决定中决定通过对第19条第2款的修正案，增加案文如下：", "“当即判决可在任何时候作出，即使在上诉法庭不开庭时亦然。当即判决应由庭长指定的三名法官组成的分庭通过。”", "4. 因此，请大会核准的第19条第2款修正案文如下：", "2. 判决为书面形式，应说明判决所依据的理由、事实和法律。当即判决可在任何时候作出，即使在上诉法庭不开庭时亦然。当即判决应由庭长指定的三名法官组成的分庭通过。" ]

[ "Sixty-sixth session", "* A/66/150.", "Item 143 of the provisional agenda*", "Administration of justice at the United Nations", "Amendments to the rules of procedure of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal", "Report of the Secretary-General", "Addendum", "Annex II", "Rules of procedure of the United Nations Appeals Tribunal: new article 18 bis (Case management) and amendment to article 19 (Adoption and issuance of judgements), adopted by the Tribunal in plenary meeting on 8 July 2011, in accordance with article 32, paragraph 1", "Article 18 bis (Case management)", "1. The United Nations Appeals Tribunal, by its decision of 8 July 2011, decided to adopt a new article 18 bis, for which the approval of the General Assembly is sought. The new article 18 bis reads as follows:", "Article 18 bis", "Case management", "1. The President may, at any time, either on a motion of a party or of his or her own volition, issue any order which appears to be appropriate for the fair and expeditious management of the case and to do justice to the parties.", "2. If, before the opening date of the session during which the case is to be considered, the appellant informs the Appeals Tribunal, in writing, with notice to the respondent, that he or she wishes to discontinue the proceedings, the President may order the case to be removed from the register.", "3. If an action has become devoid of purpose and there is no longer any need to adjudicate it, the President may, at any time, of his or her own volition, after having informed the parties of that intention and, if applicable, received their observations, adopt a reasoned order.", "4. The President may designate a judge or a panel of judges to issue any order within the purview of this article.", "Article 19 (Adoption and issuance of judgements)", "2. Article 19 (Adoption and issuance of judgements), paragraph 2, as approved by the General Assembly, reads as follows:", "“Judgements shall be issued in writing and shall state the reasons, facts and law on which they are based.”", "3. The United Nations Appeals Tribunal, by its decision of 8 July 2011, decided to adopt an amendment to article 19, paragraph 2, adding the following text:", "“Summary judgements may be issued at any time, even when the Appeals Tribunal is not in session. They shall be adopted by panels of three judges designated by the President.”", "4. Consequently, the amended version of article 19, paragraph 2, for which the approval of the General Assembly is sought, reads as follows:", "2. Judgements shall be issued in writing and shall state the reasons, facts and law on which they are based. Summary judgements may be issued at any time, even when the Appeals Tribunal is not in session. They shall be adopted by panels of three judges designated by the President." ]

[ "Sixty-sixth session", "Item 143 of the provisional agenda*", "Administration of justice at the United Nations", "Amendments to the rules of procedure of the United Nations Dispute Tribunal and the United Nations Appeals Tribunal", "Report of the Secretary-General", "Addendum", "A/66/150.", "Annex II", "Rules of procedure of the United Nations Appeals Tribunal: new article 18 bis (Case management) and amendments to article 19 (Adoption of judgements) adopted by the Tribunal at its plenary meeting on 8 July 2011, pursuant to article 32, paragraph 1", "Article 18 bis (Case management)", "1. In its decision of 8 July 2011, the United Nations Appeals Tribunal decided to adopt a new rule 18 bis for approval by the General Assembly. New article 18 bis reads as follows:", "Article 18 bis", "Case management", "1. The President may at any time make any order on the application of the parties or on his own initiative, provided that, in the opinion of the President, this is appropriate for the fair and expeditious conduct of the case and for the parties to obtain justice.", "2. If the appellant informs the Appeals Tribunal in writing before the date of the hearing of the case of its wish to terminate the proceedings and informs the accused, the President may order that the case be removed from the Register.", "3. If an action becomes frivolous and does not need to be decided, the President, at any time after having informed the parties of his or her intention and, where applicable, received their views, may adopt at his or her own discretion an order with reasons.", "4. The President may designate a judge or a Chamber to make any order pursuant to this article.", "Article 19 (Adoption and delivery of judgements)", "2. Paragraph 2 of rule 19 (Adoption and delivery of judgements), as approved by the General Assembly, reads as follows:", "“The judgement shall be in writing and shall state the reasons, facts and law on which it is based.”", "3. In its decision of 8 July 2011, the United Nations Appeals Tribunal decided to adopt an amendment to article 19, paragraph 2, which would read as follows:", "“The instant judgement may be rendered at any time, even if the Appeals Tribunal does not sit. The immediate judgement shall be adopted by a panel of three judges designated by the President.”", "4. Accordingly, the General Assembly is requested to approve the amendment to paragraph 2 of rule 19 as follows:", "2. The judgement shall be in writing and shall state the grounds, facts and law on which it is based. The instant judgement may be rendered at any time, even if the Appeals Tribunal does not sit. The immediate judgement shall be adopted by a panel of three judges designated by the President." ]

[ "联 合 国", "印度洋特设委员会的报告", "2011年7月14日", "大 会", "正式记录 第六十六届会议 补编第29号", "大 会 正式记录 第六十六届会议 补编第29号", "[] 联合国 • 2011年，纽约", "印度洋特设委员会的报告", "2011年7月14日", "A/66/29", "说明", "ISSN 0255-1640", "联合国文件都用英文大写字母附加数字编号。凡是提到这种编号，就是指联合国的某一个文件。", "[2011年7月19日]", "目录", "章次 页次\n1.导言 1\n2.委员会2011年的工作 3\nA.委员会议程 3\nB.委员会主席的报告 3\nC.建议 4\nD.通过委员会的报告 4", "第一章", "导言", "1. 大会第64/23号决议注意到印度洋特设委员会的报告(A/64/29)，[1] 请委员会主席继续与委员会成员进行非正式协商，并通过委员会向大会第六十六届会议提交报告。", "2. 依照该决议的规定，委员会于2011年7月14日在联合国总部举行正式届会(第454次会议)。主席还在2011年期间举行了若干次协商和会议。", "3. 在第454次会议上，在就议程项目4进行一般性讨论时，下列代表团发了言：印度尼西亚和中国。", "4. 委员会由下列国家组成：", "(a) 43个成员：", "澳大利亚 莫桑比克 \n 孟加拉国 荷兰 \n 保加利亚 挪威 \n 加拿大 阿曼 \n 中国 巴基斯坦 \n 吉布提 巴拿马 \n 埃及 波兰 \n 埃塞俄比亚 罗马尼亚 \n 德国 俄罗斯联邦 \n 希腊 塞舌尔 \n 印度 新加坡 \n 印度尼西亚 索马里 \n 伊朗伊斯兰共和国 斯里兰卡 \n 伊拉克 苏丹 \n 意大利 泰国 \n 日本 乌干达 \n 肯尼亚 阿拉伯联合酋长国 \n 利比里亚 坦桑尼亚联合共和国 \n 马达加斯加 也门 \n 马来西亚 赞比亚 \n 马尔代夫 津巴布韦 \n 毛里求斯", "(b) 观察员：", "尼泊尔", "南非", "瑞典", "5. 选出的特设委员会主席团成员如下：", "主席：", "Palitha T.B. Kohona(斯里兰卡)", "副主席：", "Sarah Clair de Zoeten(澳大利亚)", "Andreano Erwin(印度尼西亚)", "Antonio Macheve(莫桑比克)", "报告员：", "Modeste Randrianarivony(马达加斯加)", "第二章", "委员会2011年的工作", "A. 委员会议程", "6. 在第454次会议上，委员会通过了A/AC.159/L.141号文件所载议程如下：", "1. 会议开幕。", "2. 选举主席。", "3. 通过议程。", "4. 委员会主席按照大会第64/23 号决议第3 段提出报告。", "5. 通过委员会提交大会第六十六届会议的报告。", "6. 其他事项。", "B. 委员会主席的报告", "7. 在第454次会议上，委员会审议了议程项目4“委员会主席按照大会第64/23号决议第3段提出的报告”。主席就协商情况作综合性说明如下：", "“设立委员会是为了就未来执行《宣布印度洋为和平区的宣言》的方式达成协议。然而，这个复杂区域的安全和地缘政治版图不断变化，继续带来更多问题，需要各会员国反思。无疑，这些问题的复杂性和深刻的全球变化，已远远超出1971年《宣言》构想时的情形。不过，《宣言》设想的远景，仍是一个造福于本区域的理想框架，目的是确保印度洋区域的人们在期待迅猛增长的同时，享有和平、安全和繁荣。", "“自《宣言》通过以来，本区域、事实上整个世界的战略和安全格局发生了深刻变化。所谓的冷战已不复存在。一些军备问题已得到解决。其他裁军问题依然存在。军火贸易和裁军努力中的新挑战已凸显出来，同时，非国家方面，包括恐怖组织、跨国颠覆分子和猖獗的海盗，开始构成对国家内部和国家间和平与安全的威胁。事实上，海盗已成为一个主要威胁。这既对印度洋、也对世界其他地方产生了影响。正是因为过去的关切在减少，又产生了新的关切，结果使《宣布印度洋为和平区的宣言》的各项目标，即稳定、和平与安全依然相关。", "“最近，印度洋区域出现了积极的事态发展，特别是社会经济发展领域，区域经济、技术和科学领域的合作越来越多，最重要的是，人民之间的接触急剧增多。区域内许多国家出现惊人的经济增长，甚至能够顶住全球金融和经济危机，为受到最近多种衰退影响的全球系统提供急需的稳定。然而，新的和令人不安的威胁，如恐怖主义、非法贩运武器、海盗、贩卖人口、跨国犯罪和其他许多区域和国际方面新出现的安全问题，似乎在抵消区域内的这些积极趋势。裁军和军备控制问题以新的形式出现，而军备控制方面的进展却不甚显著。", "“鉴于这些问题错综复杂又不断变化，我们认为，特设委员会应在区域内外所有会员国广泛参与的基础上，继续发挥作用。委员会本身一直未能达成共识，无法以任何切实可行的方式探讨推动实施《宣言》的手段。委员会现在应征求意见，考虑采取新举措。委员会的工作范围，包括参照区域内的现实，以务实的方式修订《宣言》也许应是会员国考虑的一个因素。", "“因此，委员会成员现在可以提出看法，说明如何制定新举措，如何建议大会进一步推动工作”。", "“我们认为，考虑到会员国在委员会框架范围内表达的意见，主席团因此应继续进行协商工作。”", "C. 建议", "8. 请主席继续与委员会成员进行非正式协商，并通过委员会向大会第六十八届会议提出报告。", "D. 通过委员会的报告", "9. 在第454次会议上，报告员介绍了委员会报告草稿。", "10. 在同次会议上，主席通知委员会成员，他打算就拟提交大会第六十六届会议的决议草案案文进行非正式协商。", "11. 也在同次会议上，委员会通过了报告。", "11-42153 (C) 260711 280711", "*1142153*", "[1] 《大会正式记录，第六十六届会议，补编第29号》(A/64/29)。" ]

[ "United Nations", "Report of the Ad Hoc Committee on the Indian Ocean", "14 July 2011", "General Assembly", "Official Records Sixty-sixth Session Supplement No. 29", "General Assembly Official Records Sixty-sixth Session Supplement No. 29", "[] United Nations • New York, 2011", "Report of the Ad Hoc Committee on the Indian Ocean", "14 July 2011", "A/66/29", "ISSN 0255-1594", "Note", "Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.", "[19 July 2011]", "Contents", "Chapter Page\nI.Introduction 1II.Work 3 of the Committee in \n 2011 A.Agenda 3 of the \nCommittee B.Report 3 of the Chair of the \nCommittee \nC.Recommendations 4D.Adoption 4 of the report of the \nCommittee", "Chapter I", "Introduction", "1. In its resolution 64/23, the General Assembly, having taken note of the report of the Ad Hoc Committee on the Indian Ocean (A/64/29),[1] requested the Chair of the Committee to continue his informal consultations with the members of the Committee and to report through the Committee to the Assembly at its sixty-sixth session.", "2. Pursuant to that resolution, the Committee held its formal session (454th meeting) on 14 July 2011 at United Nations Headquarters. The Chair also held a number of consultations and meetings during 2011.", "3. At the 454th meeting, the following delegations made statements in the general discussion under agenda item 4: Indonesia and China.", "4. The Committee is composed of the following States:", "(a) 43 members:", "Australia Mozambique", "Bangladesh Netherlands", "Bulgaria Norway", "Canada Oman", "China Pakistan", "Djibouti Panama", "Egypt Poland", "Ethiopia Romania", "Germany Russian Federation", "Greece Seychelles", "India Singapore", "Indonesia Somalia", "Iran (Islamic Republic of) Sri Lanka", "Iraq Sudan", "Italy Thailand", "Japan Uganda", "Kenya United Arab Emirates", "Liberia United Republic of Tanzania", "Madagascar Yemen", "Malaysia Zambia", "Maldives Zimbabwe", "Mauritius", "(b) Observers:", "Nepal South Africa Sweden", "5. The elected officers of the Committee were as follows:", "Chair:", "Palitha T. B. Kohona (Sri Lanka)", "Vice-Chairs:", "Sarah Clair de Zoeten (Australia)", "Andreano Erwin (Indonesia)", "Antonio Macheve (Mozambique)", "Rapporteur:", "Modeste Randrianarivony (Madagascar)", "Chapter II", "Work of the Committee in 2011", "A. Agenda of the Committee", "6. At its 454th meeting, the Committee adopted the agenda as contained in document A/AC.159/L.141, which read as follows:", "1. Opening of the session.", "2. Election of the Chair.", "3. Adoption of the agenda.", "4. Report of the Chair of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23.", "5. Adoption of the report of the Committee to the General Assembly at its sixty-sixth session.", "6. Other matters.", "B. Report of the Chair of the Committee", "7. At its 454th meeting, the Committee considered agenda item 4, concerning the report of the Chair of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23. The Chair made the following comprehensive statement on his consultations:", "“The Committee was established to reach agreement on ways forward in implementing the Declaration of the Indian Ocean as a Zone of Peace. The changing security and geopolitical scenarios of this immensely complex region continue to produce more issues for the Member States. These complexities and the profound global changes have overtaken the context in which the 1971 Declaration was conceived. However, the vision that underlies the Declaration continues to be a desirable framework from which the region can benefit in order to ensure peace, security and the prosperity of the people of the Indian Ocean region as they look forward to an era of accelerated growth.", "“The region, and in fact the world, have seen profound changes in the strategic and security landscape in the years since the adoption of the Declaration. The so-called cold war is no more. Some disarmament issues have been resolved. Other disarmament work remains. New challenges in the arms trade and disarmament efforts have come to the fore, while non-State players, including terrorist groups, transnational subversive elements and sophisticated piracy have emerged as threats to peace and security within and between States. In fact, piracy is now a major threat. All this has implications for the Indian Ocean as it does for elsewhere in the world. It is precisely because of these diminishing concerns of the past and the emerging concerns of the present that the objectives of the Indian Ocean as a Zone of Peace, such as stability, peace and security, remain relevant.", "“There are positive developments that the Indian Ocean region has seen in the recent past, particularly in the areas of socio-economic development, growing regional cooperation in economic, technical and scientific disciplines and, above all, exponential growth in people-to-people contacts. Many countries in the region have registered phenomenal economic growth, and have even managed to withstand the global financial and economic crises. They have provided much-needed stability to the global system, which has recently been affected by a multiplicity of downturns. Nevertheless, new and disturbing threats such as terrorism, illicit arms trafficking, piracy, human smuggling, transnational crime and many other regional and international manifestations of new security concerns seem to work against those positive trends evident in the region. Disarmament and arms control issues have manifested themselves in new dimensions, while progress in arms control has not been noteworthy.", "“In view of these complex and evolving issues, we believe that the Ad Hoc Committee has a continuing role to play on the basis of broad-based participation open to all Member States within the region and beyond. Since the Committee itself has not been able to develop common ground for a way forward in any functional sense, in order to implement the Declaration, it is time for the Committee to be open to considering new approaches. The scope of the work of the Committee, including the revision of the Declaration in a pragmatic manner that corresponds to the current realities in the region, may be an element on which Member States may wish to reflect.", "“It is therefore time for the members of the Committee to consider views as to how such new approaches could be developed and how recommendations could be made to the General Assembly regarding a way forward.", "“Our view is that, on the basis of the thoughts expressed by Member States within the framework of the Committee, the Bureau should therefore continue the consultative processes.”", "C. Recommendations", "8. The Chair was requested to continue informal consultations with the members of the Committee and to report through the Committee to the General Assembly at its sixty-eighth session.", "D. Adoption of the report of the Committee", "9. At its 454th meeting, the Rapporteur introduced the draft report of the Committee.", "10. At the same meeting, the Chair informed the members of the Committee of his intention to hold informal consultations concerning the text of the draft resolution to be submitted to the General Assembly at its sixty-sixth session.", "11. Also at the same meeting, the Committee adopted its report.", "260711", "*1142154*", "[]", "[1] Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 29 (A/64/29)." ]

[ "United Nations", "Report of the Ad Hoc Committee on the Indian Ocean", "14 July 2011", "General Assembly", "Official Records Sixty-sixth Session Supplement No. 29", "General Assembly Official Records Sixty-sixth Session Supplement No. 29", "United Nations • New York, 2011", "Report of the Ad Hoc Committee on the Indian Ocean", "14 July 2011", "A/66/29", "Annotations", "ISSN 0255-1640", "Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.", "[19 July 2011]", "Contents", "2. Work of the Committee in 2011", "Chapter I", "Introduction", "1. In its resolution 64/23, the General Assembly took note of the report of the Ad Hoc Committee on the Indian Ocean (A/64/29), and requested the Chair of the Committee to continue informal consultations with the members of the Committee and to report through the Committee to the Assembly at its sixty-sixth session.", "2. Pursuant to that resolution, the Committee held its formal session (454th meeting) at United Nations Headquarters on 14 July 2011. The Chair also held a number of consultations and meetings during 2011.", "At the 454th meeting, in the general discussion of agenda item 4, the following delegations made statements: Indonesia and China.", "4. The Committee is composed of the following States:", "(a) 43 members:", "I would like to request the Secretary-General to report to the General Assembly at its fifty-ninth session on the implementation of the present resolution.", "(b) Observers", "Nepal", "South Africa", "Sweden", "The officers of the Ad Hoc Committee were elected as follows:", "President:", "Palitha T.B. Kohona (Sri Lanka)", "Vice-Chairmen:", "Sarah Claire de Zoeten (Australia)", "Andreano Erwin (Indonesia)", "Antonio Macheve (Mozambique)", "Rapporteur:", "Modeste Randrianarivony (Madagascar)", "Chapter II", "Work of the Committee in 2011", "Agenda of the Committee", "6. At its 454th meeting, the Committee adopted the following agenda, as contained in document A/AC.159/L.141:", "Opening of the session.", "2. Election of the President.", "Adoption of the agenda.", "4. The report of the Chair of the Committee is submitted in accordance with paragraph 3 of General Assembly resolution 64/23.", "5. Adoption of the report of the Committee to the General Assembly at its sixty-sixth session.", "Other matters.", "Report of the Chairman of the Committee", "At its 454th meeting, the Committee considered agenda item 4, “Report of the Chair of the Committee pursuant to paragraph 3 of General Assembly resolution 64/23”. The Chairman made the following comprehensive statement on the consultations:", "“The Commission was established to agree on modalities for the future implementation of the Declaration of the Indian Ocean as a Zone of Peace. However, the changing security and geopolitical landscape of this complex region continues to pose additional problems that require reflection by Member States. There is no doubt that the complexity of these issues and the profound global changes have gone far beyond what was envisaged in the 1971 Declaration. However, the vision envisaged in the Declaration remains an ideal framework for the benefit of the region, aimed at ensuring that people in the Indian Ocean region enjoy peace, security and prosperity while waiting for rapid growth.", "“Since the adoption of the Declaration, the strategic and security landscape of the region and indeed of the world as a whole has undergone profound changes. The so-called cold war no longer exists. A number of arms issues have been resolved. Other disarmament issues remain. New challenges in arms trade and disarmament efforts have been highlighted, while non-State actors, including terrorist organizations, transnational subversives and rampant piracy, have begun to pose a threat to peace and security within and among States. In fact, piracy has become a major threat. This has implications for both the Indian Ocean and the rest of the world. It is because of the decline in past concerns and the emergence of new ones that the objectives of the Declaration of the Indian Ocean as a Zone of Peace, namely, stability, peace and security, remain relevant.", "“Recently, there have been positive developments in the Indian Ocean region, in particular in the area of socio-economic development, where cooperation in the economic, technical and scientific fields is increasing, and, most importantly, where people's contacts have increased dramatically. The alarming economic growth of many countries in the region could even withstand the global financial and economic crisis and provide much-needed stability to the global system affected by the recent multiple recessions. However, new and disturbing threats, such as terrorism, illicit arms trafficking, piracy, trafficking in persons, transnational crime and many other emerging regional and international security issues, appear to offset these positive trends in the region. Disarmament and arms control issues have taken on new forms, while progress in arms control has been less significant.", "“In view of the complexity and changing nature of these issues, we believe that the Ad Hoc Committee should continue to function on the basis of broad participation by all Member States within and outside the region. The Committee itself has been unable to reach consensus and to explore in any practical way the means to advance the implementation of the Declaration. The Committee should now consult and consider new initiatives. The scope of the Committee ' s work, including a pragmatic revision of the Declaration in the light of regional realities, should perhaps be a factor for Member States to consider.", "“The members of the Committee may therefore now offer their views on how to develop new initiatives and how to recommend to the General Assembly further work”.", "“We believe that, taking into account the views expressed by Member States within the framework of the Commission, the Bureau should continue its consultations.”", "C. Recommendations", "8. Requests the Chair to continue his informal consultations with the members of the Committee and to report through the Committee to the General Assembly at its sixty-eighth session.", "D. Adoption of the report of the Committee", "9. At the 454th meeting, the Rapporteur introduced the draft report of the Committee.", "10. At the same meeting, the Chair informed the members of the Committee of his intention to hold informal consultations on the text of the draft resolution to be submitted to the General Assembly at its sixty-sixth session.", "11. Also at the same meeting, the Committee adopted its report.", "11-42153 (C) 260711 280711", "♪ 1142153*", "[1] Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 29 (A/64/29)." ]

[ "第十七届会议", "牙买加，金斯顿", "2011年7月11日至22日", "理事会就瑙鲁海洋资源公司请求核准多金属结核勘探工作计划的申请所做决定", "国际海底管理局理事会，根据法律和技术委员会的建议，", "注意到2008年3月31日瑙鲁海洋资源公司依照《“区域”内多金属结核探矿和勘探规章》[1] 向秘书长提交了一份请求核准多金属结核勘探工作计划的申请，", "回顾《关于执行1982年12月10日联合国海洋法公约第十一部分的协定》（《协定》）[2] 附件第1节第6(a)段规定，对于请求核准勘探工作计划的申请，应按《公约》及其附件三和《协定》的规定办理，", "又回顾《公约》[3] 第一五三条第3款和《协定》附件第1节第6(b)段规定，勘探工作计划应采用管理局与申请人之间所订合同的形式，", "重申管理局的承包者有义务全面遵守合同的条款和条件，包括依照《规章》和合同的标准条款上报环境数据以及实际和直接勘探支出，", "注意到2011年2月1日国际海洋法法庭海底争端分庭的咨询意见，", "1. 注意到法律和技术委员会就瑙鲁海洋资源公司提交的请求核准多金属结核勘探工作计划的申请递交理事会的报告[4] 和建议，尤其是其第22至24段和第37至40段；", "2. 核准瑙鲁海洋资源公司提交的多金属结核勘探工作计划；", "3. 请管理局秘书长依照《规章》，以管理局与瑙鲁海洋资源公司之间合同的形式发表该多金属结核勘探工作计划。", "第168次会议 2011年7月19日", "[1] ISBA/6/A/18，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/9。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to a request for approval of a plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 31 March 2008, a request for approval of a plan of work for exploration for polymetallic nodules was submitted to the Secretary-General in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area[1] by Nauru Ocean Resources Inc.,", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligations of contractors with the Authority to comply fully with the terms and conditions of the contract, including the reporting of environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard terms of contract,", "Noting the Advisory Opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for the exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc. transmitted to the Council,[4] in particular its paragraphs 22 to 24 and 37 to 40;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Nauru Ocean Resources Inc. in accordance with the Regulations.", "168th meeting", "19 July 2011", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/9." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic nodules by Nauru Ocean Resources Inc.", "The Council of the International Seabed Authority, on the recommendation of the Legal and Technical Commission,", "Noting that on 31 March 2008, Nauru Ocean Resources Inc. submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic nodules in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area [1],", "Recalling that paragraph 6 (a) of section 1 of the annex to the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 ( \" the Agreement \" ) states that an application for approval of a plan of work for exploration shall be made in accordance with the provisions of the Convention and annex III thereto and the Agreement,", "Recalling also article 153, paragraph 3, of the Convention and paragraph 6 (b) of section 1 of the annex to the Agreement, according to which the plan of work for exploration shall take the form of a contract between the Authority and the applicant,", "Reaffirming the obligation of contractors with the Authority to comply fully with the terms and conditions of the contract, including reporting of environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard clauses of the contract,", "Taking note of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Takes note of the report and recommendations of the Legal and Technical Commission to the Council regarding the application for approval of a plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc., in particular paragraphs 22 to 24 and 37 to 40 thereof;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Nauru Ocean Resources Inc.;", "3. Requests the Secretary-General of the Authority, in accordance with the Regulations, to publish the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Nauru Ocean Resources Inc.", "168th meeting 19 July 2011", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/9." ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "理事会关于汤加近海采矿有限公司提交的请求核准多金属结核勘探工作计划的申请的决定", "国际海底管理局理事会，根据法律和技术委员会的建议行事，", "注意到2008年4月10日汤加近海采矿有限公司依照《“区域”多金属结核探矿和勘探规章》[1] 向秘书长提交的请求核准多金属结核勘探工作计划的申请，", "回顾根据《关于执行1982年12月10日<联合国海洋法公约>第十一部分的协定》[2] 附件第1节第6(a)段的规定，请求核准勘探工作计划的申请应根据《公约》(包括其附件三)和该《协定》的规定处理，", "还回顾，根据《公约》[3] 第一百五十三条第3款和该《协定》第1节第6(b)段的规定，勘探工作计划应采取管理局和申请人之间缔结合同的形式，", "重申管理局承包商有义务充分遵守合同条款，包括根据《规章》和标准合同条款报告环境数据和实际直接勘探支出，", "注意到国际海洋法法庭海底争端分庭2011年2月1日的咨询意见，", "1. 注意到法律和技术委员会关于转交给理事会的汤加近海采矿有限公司请求核准多金属结核勘探工作计划的申请的报告[4] 和建议，特别是其中第19和第32至35段；", "2. 核准汤加近海采矿有限公司提交的多金属结核勘探工作计划；", "3. 请管理局秘书长根据《规章》以管理局和汤加近海采矿有限公司之间合同的形式印发多金属结核勘探工作计划。", "第168次会议 2011年7月19日", "[1] ISBA/6/A/18，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/10。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to a request for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 10 April 2008, a request for approval of a plan of work for exploration for polymetallic nodules was submitted to the Secretary-General in accordance with the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area[1] by Tonga Offshore Mining Limited,", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligations of contractors with the Authority to comply fully with the terms and conditions of the contract, including the reporting of environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard terms of contract,", "Noting the Advisory Opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited transmitted to the Council,[4] in particular its paragraphs 19 and 32 to 35;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Tonga Mining Offshore Limited;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Tonga Offshore Mining Limited in accordance with the Regulations.", "168th meeting 19 July 2011", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/10." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting the application for approval of a plan of work for exploration for polymetallic nodules submitted on 10 April 2008 by Tonga Offshore Mining Limited to the Secretary-General pursuant to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area [1],", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for approval of a plan of work for exploration shall be dealt with in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention and paragraph 6 (b) of section 1 of the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligation of the Authority ' s contractors to comply fully with the terms of the contract, including the reporting of environmental data and actual direct exploration expenditures in accordance with the Regulations and standard contract terms,", "Taking note of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Takes note of the report of the Legal and Technical Commission on the application for approval of a plan of work for exploration for polymetallic nodules forwarded to the Council by Tonga Offshore Mining Limited [4] and its recommendations, in particular paragraphs 19 and 32 to 35 thereof;", "2. Approves the plan of work for exploration for polymetallic nodules submitted by Tonga Offshore Mining Limited;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration for polymetallic nodules in the form of a contract between the Authority and Tonga Offshore Mining Limited in accordance with the Regulations.", "168th meeting 19 July 2011", "[1] ISBA/6/A/18, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/10." ]

[ "2011年7月19日科威特常驻联合国代表给安全理事会主席的信", "谨以7月份阿拉伯集团主席的身份，就2011年7月20日星期三安全理事会举行的题为“维护国际和平与安全：气候变化的影响”的公开辩论，致函给您，7月份安全理事会主席。", "请代表阿拉伯集团将本函及其附件作为安全理事会文件分发为荷。", "常驻代表", "大使", "曼苏尔·奥泰比(签名)", "2011年7月19日科威特常驻联合国代表给安全理事会主席的信的附件", "[原件：阿拉伯文] 2011年7月19日", "谨代表阿拉伯集团，就2011年7月20日星期三安全理事会举行的题为“维护国际和平与安全：气候变化的影响”的公开辩论致函给您，安全理事会主席。", "我要表明阿拉伯国家集团在这方面的观点，即发展中国家(特别是最不发达国家、非洲国家、内陆发展中国家和小岛屿发展中国家)受气候变化的负面影响最大。我们还要表明，气候变化的潜在影响将给处于干旱和半干旱地区的阿拉伯区域带来不利影响。", "阿拉伯国家集团认为，根据《联合国宪章》的任务规定，安全理事会在维护国际和平与安全方面负有主要责任，同时按照1950年11月3日通过的大会第377(V)号决议的规定，亦应考虑到大会在这方面的作用。安全理事会的作用与联合国其他主要机构的职责和作用相互重叠，不符合《宪章》的宗旨和原则，并有可能损害这些机构的权力和本组织广大会员国的权利。", "阿拉伯国家集团申明，气候变化问题对于可持续发展而言至关重要，可持续发展的职责由大会、经济及社会理事会及其相关附属机构(包括可持续发展委员会和联合国环境规划署)承担。在这方面，我们回顾，对气候变化问题具有约束力的多边协议《联合国气候变化框架公约》及《京都议定书》都没有规定安全理事会在这方面的作用。", "我们认为，所有会员国都必须坚持《里约原则》，包括共同但有区别的责任原则，以促进可持续发展。所有会员国还应全面执行《二十一世纪议程：可持续发展行动纲领》并履行其他承诺，包括在里约热内卢、约翰内斯堡及其他联合国有关经济和社会问题的会议上作出的关于提供财政资源、转让技术和建设发展中国家能力的承诺。", "阿拉伯国家集团申明，《联合国气候变化框架公约》是消除气候变化风险和根据《公约》规定的原则审议应对气候变化必须采取的措施的主要论坛。发达国家必须采取紧急行动，履行其依据《京都议定书》减少温室气体排放量的承诺并敦促那些尚未加入该议定书的发达国家尽早加入。阿拉伯国家集团还申明，为确保《京都议定书》第一承诺期和第二承诺期之间没有间隙，就第二承诺期达成一致意见至关重要。", "在这方面，阿拉伯国家集团支持77国集团加中国和不结盟运动就2007年4月17日举行的关于能源、安全和气候之间关系的公开辩论给安全理事会主席的信。阿拉伯国家集团还支持2011年7月14日不结盟运动就定于2011年7月20日举行的题为“维护国际和平与安全：气候变化的影响”的公开辩论给安全理事会主席的信(S/2011/427)。", "阿拉伯国家集团强调，在即将举行的公开辩论结束后，安全理事会不应发表任何主席声明或新闻谈话，亦不应采取任何行动，特别是可能有损于有关机构、进程和文书的权威或授权，或可能以任何方式影响气候变化问题谈判进程，包括定于2011年底在南非举行的《联合国气候变化框架公约》缔约方会议第十七届会议的任何声明或行动。", "请将本函作为安全理事会正式文件分发为荷。", "常驻代表", "曼苏尔·伊亚德·奥泰比(签名)" ]

[ "Letter dated 19 July 2011 from the Permanent Representative of Kuwait to the United Nations addressed to the President of the Security Council", "In my capacity as Chairman of the Arab Group for the month of July, I have the pleasure to write to you in your capacity as President of the Security Council for the month of July, in connection with the open debate of the Security Council entitled “Maintenance of international peace and security: the impact of climate change”, to be held on Wednesday, 20 July 2011.", "I would be grateful if you would have the present letter and its annex circulated, on behalf of the Arab Group, as a document of the Security Council.", "(Signed) Mansour Alotaibi Ambassador Permanent Representative", "Annex to the letter dated 19 July 2011 from the Permanent Representative of Kuwait to the United Nations addressed to the President of the Security Council", "[Original: Arabic]", "On behalf of the Group of Arab States, I have the honour to write to you, in your capacity as President of the Security Council, regarding the open debate that the Security Council will hold on Wednesday, 20 July 2011, under the theme “Maintenance of international peace and security: impact of climate change”.", "In that connection, I should like to affirm that the Group of Arab States is of the view that developing States, in particular least developed countries, the African countries, landlocked developing countries and small island developing countries, are the ones most harmed by the negative effects of climate change. We further affirm that the potential impact of climate change will have an adverse effect on the Arab region, which is considered to be an arid and semi-arid area.", "The Group of Arab States believes that, in accordance with its mandate under the Charter of the United Nations, the Security Council bears primary responsibility for maintaining international peace and security, while taking into account the role of the General Assembly in that regard, in accordance with General Assembly resolution 377 (V), adopted on 3 November 1950. The overlap of the Security Council’s role with the roles and responsibilities of the other principal organs of the United Nations is not in keeping with purposes and principles of the Charter, and has the potential to undermine the powers of those organs and the rights of the Organization’s general membership.", "The Group affirms that the issue of climate change is of vital importance to sustainable development, and that responsibility for sustainable development lies with the General Assembly and the Economic and Social Council and their relevant subsidiary organs, including the Commission on Sustainable Development and the United Nations Environment Programme. In that connection, we would like to recall that no role is set out for the Security Council in the United Nations Framework Convention on Climate Change, which is the binding multilateral agreement on climate change, and the Kyoto Protocol.", "We believe it is vital that all Member States should foster sustainable development by adhering to the Rio Principles, including the principle of common but differentiated responsibility. They should also fully implement Agenda 21: Programme of Action for Sustainable Development and fulfil other commitments, including those related to the provision of financial resources, the transfer of technology and building the capacities of developing countries, made at Rio, Johannesburg and other relevant United Nations conferences on economic and social issues.", "The Group of Arab States affirms that the United Nations Framework Convention on Climate Change is the primary forum for addressing climate change risks and considering the measures that must be taken to confront climate change, in accordance with the principles enshrined in the Convention. Developed countries must act urgently to fulfil their commitments to reduce greenhouse gas emissions, in accordance with the Kyoto Protocol, and those developed countries that have not yet acceded to that Protocol are urged to do so. The Group further affirms that it is vital to agree on a second commitment period for the Kyoto Protocol, in order to ensure that there is no gap between the first and second periods.", "In that connection, the Group would like to express its support for the letters from the Group of 77 and China and the Non-Aligned Movement addressed to the President of the Security Council concerning the open debate on the relationship between energy, security and climate, which was held on 17 April 2007. It would also like to express its support for the letter dated 14 July 2011 from the Non‑Aligned Movement addressed to the President of the Security Council (S/2011/427) concerning the open debate entitled “Maintenance of international peace and security: impact of climate change”, which has been scheduled for 20 July 2011.", "The Group of Arab States emphasizes that no Security Council presidential statement or press statement should be issued, nor any action taken, after the forthcoming open debate, in particular any statement or action that might undermine the authority or mandate of the relevant organs, processes and instruments, or that might affect in any way the course of climate change negotiations, including the seventeenth meeting of the Conference of the Parties to the United Nations Framework Convention on Climate Change, scheduled to be held in South Africa at the end of 2011.", "I should be grateful if you would have this letter issued as an official document of the Security Council.", "(Signed) Mansour Ayyad SH A Alotaibi Permanent Representative" ]

[ "Letter dated 19 July 2011 from the Permanent Representative of Kuwait to the United Nations addressed to the President of the Security Council", "In my capacity as Chair of the Arab Group for the month of July, I have the honour to write to you in connection with the open debate of the Security Council entitled “Maintenance of international peace and security: the impact of climate change”, held on Wednesday, 20 July 2011, and the President of the Security Council for the month of July.", "On behalf of the Arab Group, I should be grateful if you would have the present letter and its annex circulated as a document of the Security Council.", "Permanent Representative", "Ambassador", "(Signed) Mansour Al-Otaibi Ambassador Permanent Representative", "Permanent Representative", "[Original: Arabic] 19 July 2011", "On behalf of the Arab Group, I have the honour to address you, President of the Security Council, in connection with the open debate of the Security Council entitled “Maintenance of international peace and security: the impact of climate change”, held on Wednesday, 20 July 2011.", "I would like to express the view of the Group of Arab States in this regard that developing countries, particularly the least developed countries, African countries, landlocked developing countries and small island developing States, are the most affected by the negative effects of climate change. We would also like to demonstrate that the potential impacts of climate change will have a negative impact on the Arab region in arid and semi-arid areas.", "The Group of Arab States believes that the Security Council, in accordance with its mandate under the Charter of the United Nations, has the primary responsibility for the maintenance of international peace and security, taking into account the role of the General Assembly in this regard, in accordance with General Assembly resolution 377 (V) of 3 November 1950. The role of the Security Council overlaps with that of the other principal organs of the United Nations, is incompatible with the purposes and principles of the Charter and has the potential to undermine the powers of those organs and the rights of the general membership of the Organization.", "The Group of Arab States affirms that climate change issues are essential for sustainable development, which is the responsibility of the General Assembly, the Economic and Social Council and its relevant subsidiary bodies, including the Commission on Sustainable Development and the United Nations Environment Programme. In this regard, we recall that neither the United Nations Framework Convention on Climate Change nor the Kyoto Protocol, which is a binding multilateral agreement on climate change, provide for the role of the Security Council in this regard.", "We believe that all Member States must adhere to the Rio Principles, including the principle of common but differentiated responsibilities, in order to promote sustainable development. All Member States should also fully implement Agenda 21: Programme of Action for Sustainable Development and other commitments, including those made at Rio de Janeiro, Johannesburg and other United Nations conferences on economic and social issues, on the provision of financial resources, the transfer of technology and capacity-building for developing countries.", "The Group of Arab States affirms that the United Nations Framework Convention on Climate Change is the principal forum for addressing the risks of climate change and for considering the measures that must be taken to address climate change in accordance with the principles set forth in the Convention. Developed countries must take urgent action to meet their commitments under the Kyoto Protocol to reduce greenhouse gas emissions and urge those developed countries that had not yet done so to accede to the Protocol as soon as possible. The Group also affirms the importance of reaching agreement on the second commitment period to ensure that there is no gap between the first and second commitment periods of the Kyoto Protocol.", "In this regard, the Group of Arab States supports the letter from the Group of 77 and China and the Non-Aligned Movement to the President of the Security Council concerning the open debate on the relationship between energy, security and climate, held on 17 April 2007. The Group of Arab States also supports the letter dated 14 July 2011 from the Non-Aligned Movement to the President of the Security Council on the open debate entitled “Maintenance of international peace and security: the impact of climate change”, scheduled for 20 July 2011 (S/2011/427).", "The Group of Arab States stresses that, following the forthcoming open debate, the Security Council should refrain from making any presidential statement or statement to the press or from taking any action, in particular that could undermine the authority or mandate of the relevant bodies, processes and instruments or in any way affect the climate change negotiation process, including any statement or action by the Conference of the Parties to the United Nations Framework Convention on Climate Change at its seventeenth session, to be held in South Africa at the end of 2011.", "I should be grateful if you could arrange for the present letter to be circulated as a document of the Security Council.", "Permanent Representative", "(Signed) Mansour Ayyad Al-Otaibi" ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "理事会关于中国大洋矿产资源研究开发协会提交的核准多金属硫化物勘探工作计划的申请的决定", "国际海底管理局理事会按照法律和技术委员会的建议行事，", "注意到，2010年5月7日，中国大洋矿产资源研究开发协会向秘书长提交了一份关于核准一项根据《“区域”内多金属硫化物探矿和勘探规章》[1] 勘探多金属硫化物的工作计划的申请，", "忆及，按照《关于执行1982年12月10日<联合国海洋法公约>第十一部分的协定》[2] 附件第1条第6(a)款的规定，应根据《公约》的条款，包括《公约》附件三以及《协定》，审理关于核准勘探工作计划的申请，", "还忆及，根据《公约》[3] 第153条第3款和《协定》附件第1条第6(b)款的规定，应当以管理局与申请人之间缔结的合同形式提出勘探工作计划，", "重申与管理局签订合同的承包者有义务充分履行合同条款和满足合同条件，包括根据《规章》和标准合同条款，报告环境数据和实际及直接勘探支出，", "注意到2011年2月1日国际海洋法法庭海底争端分庭的咨询意见，", "1. 注意到法律和技术委员会关于中国大洋矿产资源研究开发协会向理事会提交的核准多金属硫化物勘探工作计划的要求的报告和建议，[4] 特别是第31至34段；", "2. 核准中国大洋矿产资源研究开发协会提交的多金属硫化物勘探工作计划；", "3. 请管理局秘书长以管理局与中国大洋矿产资源研究开发协会之间依照《规章》签订的合同形式签发这份多金属硫化物勘探工作计划。", "第168次会议 2011年7月19日", "[1] ISBA/16/A/12/Rev.1，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/11。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides by China Ocean Mineral Resources Research and Development Association", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 7 May 2010, China Ocean Mineral Resources Research and Development Association submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area,[1]", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligations of contractors with the Authority to comply fully with the terms and conditions of the contract, including the reporting of environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard terms of contract,", "Noting the Advisory Opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association transmitted to the Council,[4] in particular its paragraphs 31 to 34;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration for polymetallic sulphides in the form of a contract between the Authority and China Ocean Mineral Resources Research and Development Association in accordance with the Regulations.", "168th meeting 19 July 2011", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/11." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association", "Acting on the recommendation of the Legal and Technical Commission,", "Noting that on 7 May 2010, the China Ocean Mineral Resources Research and Development Association submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area [1],", "Recalling that, in accordance with article 1, paragraph 6 (a), of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for approval of a plan of work for exploration shall be considered in accordance with the provisions of the Convention, including annex III to the Convention and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention and article 1, paragraph 6 (b), of the annex to the Agreement, a plan of work for exploration shall be submitted in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligation of contractors with the Authority to comply fully with the terms and conditions of the contract, including reporting environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard terms of contract,", "Taking note of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Takes note of the report and recommendations of the Legal and Technical Commission on the request for approval of plans of work for exploration for polymetallic sulphides submitted to the Council by China Ocean Mineral Resources Research and Development Association, in particular paragraphs 31 to 34;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by China Ocean Mineral Resources Research and Development Association;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration for polymetallic sulphides in the form of a contract between the Authority and the China Ocean Mineral Resources Research and Development Association in accordance with the Regulations.", "168th meeting 19 July 2011", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/11." ]

[ "第十七届会议", "2011年7月11日至22日", "牙买加金斯敦", "国际海底管理局理事会关于俄罗斯联邦政府申请核可多金属硫化物勘探工作计划的决定", "国际海底管理局理事会，按照法律和技术委员会的建议，", "注意到2010年12月24日俄罗斯联邦政府按照《“区域”内多金属硫化物探矿和勘探规章》[1] 向秘书长提出了关于核可多金属硫化物勘探工作计划的申请，", "回顾根据《关于执行1982年12月10日联合国海洋法公约第十一部分的协定》[2] 附件第1节第6(a)段的规定，应按照《公约》、包括其中的附件三和《协定》的规定，审理勘探工作计划的申请，", "又回顾按照《公约》第153条第3款[3] 及《协定》附件第1节第6(b)段的规定，勘探工作计划的形式应为管理局与申请方之间的合同，", "重申与管理局订约的承包者有义务充分遵守合同的条款和条件，包括按照《规章》的规定和合同的标准条款，报告环境数据以及实际和直接勘探支出，", "注意到2011年2月1日国际海洋法法庭海底争端分庭的咨询意见，", "1. 注意到转递理事会的法律和技术委员会关于俄罗斯联邦政府提交的请求核可多金属硫化物勘探工作计划的报告和建议，[4] 尤其是其第26至29段；", "2. 核可俄罗斯联邦政府提交的多金属硫化物勘探工作计划；", "3. 请管理局秘书长按照《规章》的规定，签发以管理局与俄罗斯联邦政府之间的合同为形式的勘探工作计划。", "第168次会议 2011年7月19日", "[1] ISBA/16/A/12/Rev.1，附件。", "[2] 大会第48/263号决议，附件。", "[3] 联合国，《条约汇编》，第1833卷，第31363号。", "[4] ISBA/17/C/12。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to an application for approval of a plan of work for exploration for polymetallic sulphides by the Government of the Russian Federation", "The Council of the International Seabed Authority, acting on the recommendation of the Legal and Technical Commission,", "Noting that, on 24 December 2010, the Government of the Russian Federation submitted to the Secretary-General an application for approval of a plan of work for exploration for polymetallic sulphides in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area,[1]", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982,[2] the processing of an application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, pursuant to article 153, paragraph 3, of the Convention[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall be in the form of a contract concluded between the Authority and the applicant,", "Reaffirming the obligations of contractors with the Authority to comply fully with the terms and conditions of the contract, including the reporting of environmental data and actual and direct exploration expenditures in accordance with the Regulations and the standard terms of contract,", "Noting the Advisory Opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Notes the report and recommendations of the Legal and Technical Commission on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation transmitted to the Council,[4] in particular its paragraphs 26 to 29;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation;", "3. Requests the Secretary-General of the Authority to issue the plan of work for exploration in the form of a contract between the Authority and the Government of the Russian Federation in accordance with the Regulations.", "168th meeting", "19 July 2011", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/12." ]

[ "Seventeenth session", "11-22 July 2011", "Kingston, Jamaica", "Decision of the Council of the International Seabed Authority relating to the application of the Government of the Russian Federation for approval of a plan of work for exploration for polymetallic sulphides", "The Council of the International Seabed Authority, on the recommendation of the Legal and Technical Commission,", "Noting that an application for approval of a plan of work for exploration for polymetallic sulphides was submitted to the Secretary-General by the Government of the Russian Federation on 24 December 2010 in accordance with the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area [1],", "Recalling that, in accordance with paragraph 6 (a) of section 1 of the annex to the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, an application for a plan of work for exploration shall be considered in accordance with the provisions of the Convention, including annex III thereto, and the Agreement,", "Recalling also that, in accordance with article 153, paragraph 3, of the Convention,[3] and paragraph 6 (b) of section 1 of the annex to the Agreement, the plan of work for exploration shall take the form of a contract between the Authority and the applicant,", "Reaffirming the obligation of contractors with the Authority to comply fully with the terms and conditions of the contract, including reporting of environmental data and actual and direct exploration expenditures in accordance with the provisions of the Regulations and the standard clauses of the contract,", "Taking note of the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea of 1 February 2011,", "1. Takes note of the report and recommendations of the Legal and Technical Commission transmitted to the Council on the request for approval of a plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation, in particular paragraphs 26 to 29 thereof;", "2. Approves the plan of work for exploration for polymetallic sulphides submitted by the Government of the Russian Federation;", "3. Requests the Secretary-General of the Authority to issue a plan of work for exploration in the form of a contract between the Authority and the Government of the Russian Federation, in accordance with the Regulations.", "168th meeting 19 July 2011", "[1] ISBA/16/A/12/Rev.1, annex.", "[2] General Assembly resolution 48/263, annex.", "[3] United Nations, Treaty Series, vol. 1833, No. 31363.", "[4] ISBA/17/C/12." ]

[ "2011年实质性会议", "2011年7月4日至29 日，日内瓦", "议程项目6(a)", "联合国各次主要会议和首脑会议 成果的执行和后续行动:发展 筹资问题国际会议的后续行动", "经社理事会副主席阿布卡拉姆·阿卜杜勒·穆明(孟加拉国)在非正式协商基础上提出的决议草案", "发展筹资问题国际会议的后续行动", "经济及社会理事会，", "回顾2002年3月18日至22日在墨西哥蒙特雷举行的发展筹资问题国际会议和2008年11月29日至12月2日在多哈举行的审查蒙特雷共识执行情况的发展筹资问题后续国际会议，", "又回顾世界金融和经济危机及其对发展的影响问题会议的成果文件，[1]", "还回顾大会关于千年发展目标的高级别全体会议及其成果文件，[2]", "回顾《伊斯坦布尔宣言》和2011年5月9日至13日在伊斯坦布尔举行的第四次联合国最不发达国家问题会议通过的《2011-2020十年期支援最不发达国家伊斯坦布尔行动纲领》，[3]", "又回顾大会2010年12月20日关于发展筹资问题国际会议的后续行动的第65/145号决议和2010年12月20日关于创新型发展筹资机制的第65/146号决议，以及经济及社会理事会2010年7月23日关于发展筹资问题国际会议的后续行动和2008年审查会议的第2010/26号决议及2009年7月31日关于以强化和更有效的政府间包容各方的进程执行发展筹资的后续行动的第2009/30号决议，以及大会和经济及社会理事会的所有其他相关决议，[4]", "还回顾大会2011年6月29日关于审查大会关于加强经济及社会理事会的第61/16号决议执行情况的第65/285号决议，", "注意到经济及社会理事会主席关于理事会于2011年3月10日和11日在纽约与布雷顿森林机构、世界贸易组织和联合国贸易和发展会议举行的高级别特别会议的总结，[5]", "又注意到秘书长关于在发展筹资方面的统筹、协调与合作的说明，[6]", "重申《发展筹资问题国际会议蒙特雷共识》[7] 的全部内容、完整性及全面做法，回顾已决心本着全球伙伴关系和团结精神，采取具体行动执行《蒙特雷共识》和应对发展筹资挑战，以帮助实现国际商定的发展目标，包括千年发展目标，", "又重申每个国家必须对本国的发展承担首要责任，国家政策和发展战略对于实现可持续发展的作用怎么强调都不为过，确认各国的努力应得到旨在增加发展中国家发展机会的扶持性全球方案、措施和政策的支持，同时顾及各国的国情，尊重各国的自主权、战略和主权，", "深为关切全球金融和经济危机对发展，包括对发展中国家筹措发展资金能力，造成的不利影响；确认全球增长虽在恢复，但需要使目前脆弱而且不均衡的恢复继续下去；认识到为了有效应对当前危机的影响，需要及时落实各项发展承诺，包括现有的援助承诺，", "1. 重申国家、区域和国际必须继续充分参与，确保按照《发展筹资问题多哈宣言》[8] 所重申的，对执行《发展筹资问题国际会议蒙特雷共识》⁷ 采取适当和有效的后续行动，并继续不懈努力，在发展筹资进程的总议程范围内，建立各有关的利益攸关者之间的桥梁；", "2. 重申联合国在发展筹资后续进程中发挥的协调中心作用，需要维持这一作用，以确保进程的连贯和活力，同时重申需要使各利益攸关者(包括联合国系统、世界银行、国际货币基金组织、世界贸易组织)进一步参与后续和执行在蒙特雷和多哈作出的承诺；", "3. 又重申经济及社会理事会应该继续加强其在促进执行《蒙特雷共识》和《多哈宣言》过程中的一致、协调及合作方面的作用以及作为一个多利益攸关方参与的论坛发挥的作用；", "4. 强调发展筹资后续进程应由一系列相辅相成、环环相扣的活动构成，以确保该进程的整体性，并更好和更有效地利用现有机制和资源；", "5. 欢迎理事会高级别特别会议上进行实质性讨论，并强调这些讨论是发展筹资后续进程中相辅相成的组成部分；", "6. 又欢迎在理事会高级别会议之前加强与参与的各机构在工作人员层面的互动和协调；", "7. 确认理事会主席经与会员国协商，致力于继续与布雷顿森林机构、世界贸易组织和联合国贸易和发展会议的适当代表共同努力，改进理事会高级别会议的议程和形式，考虑采取各种新方式，特别是有利于这些机构高级别参与的方式；", "8. 在这方面注意到2011年6月20日大会主席的说明[9] 中所载的关于经济及社会理事会与布雷顿森林机构、世界贸易组织和联合国贸易和发展会议的高级别特别会议的建议；", "9. 强调需要进一步改善会员国在理事会高级别特别会议期间与布雷顿森林机构、世界贸易组织和联合国贸易和发展会议之间的对话，作为有多个利益攸关方参与的论坛一部分，并请理事会主席设法就有关发展筹资框架的主要问题进行一次互动更好、更为活跃和更有实质性的讨论；", "10. 鼓励理事会主席继续与世界贸易组织的适当代表协商，以进一步加强他们在理事会高级别特别会议中的参与；", "11. 欢迎为了对理事会年度实质性会议期间关于发展筹资的议程项目的审议给予更多的重视而进行的努力，包括将发展筹资议题分配给协调部分会议；", "12. 强调决心按照理事会2009年7月31日第2009/30号决议和2010年7月23日第2010/26号决议不断完善这些方式；", "13. 鼓励所有有关的利益攸关方考虑举办专题讨论会、小组讨论和情况简介会议，作为上述活动筹备工作的一部分和对这些活动的贡献，以提高知名度，吸引更多的关注和参与，促进持续进行实质性讨论；", "14. 注意到目前正在进行关于创新型发展筹资机制的讨论，同时重申这种自愿机制应是辅助性的，不应代替传统的资金来源；", "15. 重申必须在明确了解和尊重各自授权范围和管理结构的基础上，进一步改进联合国、布雷顿森林机构和世界贸易组织之间在执行《蒙特雷共识》和《多哈宣言》方面的合作；", "16. 在这方面欢迎布雷顿森林机构邀请理事会主席参加布雷顿森林机构发展委员会的会议，并注意到理事会主席酌情参加国际组织的政府间机构会议可有助于发展筹资的后续进程；", "17. 鼓励秘书处经济和社会事务部，特别是发展筹资办公室，保持与布雷顿森林机构、国际货币基金组织、世界贸易组织和联合国贸易和发展会议在工作人员层面的定期互动，以利在各自依照各自政府间授权采取行动的同时，加强相互间的一致、协调及合作；", "18. 确认在加强发展筹资后续进程方面正在进行的努力，强调应按照大会2010年12月20日第65/145号决议第30段中的规定，酌情对该进程的方式进行审查；", "19. 回顾决定酌情审查至迟于2013年举行发展筹资后续会议的需要；", "20. 再次呼吁会员国和其他潜在捐助方考虑向发展筹资问题后续国际会议信托基金慷慨捐款，这将有利于实施强化和更有效的政府间包容各方的进程，以执行发展筹资的后续行动。", "[1] 大会第63/303号决议，附件。", "[2] 见第65/1号决议。", "[3] A/CONF.219/3。", "[4] 大会第56/210 B号决议、第57/250号决议、第57/272号决议、第57/273号决议、第58/230号决议、第59/225号决议、第60/188号决议、第61/191号决议、第62/187号决议、第63/208号决议和第63/239号决议，以及经济及社会理事会第2002/34号决议、第2003/47号决议、第2004/64号决议、第2006/45号决议、第2007/30号决议和第2008/14号决议。", "[5] A/66/75-E/2011/87。", "[6] E/2011/74。", "[7] 《发展筹资问题国际会议报告》，2002年3月18日至22日，墨西哥，蒙特雷。《联合国出版物，销售品编号E.02.II.A.7》，附件，第一章，决议一。", "[8] 大会第63/239号决议，附件。", "[9] A/65/866。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 6 (a)", "Implementation of and follow-up to major United Nations conferences and summits: Follow-up to the International Conference on Financing for Development", "Draft resolution submitted by the Vice-President of the Council, Abulkalam Abdul Momen (Bangladesh), on the basis of informal consultations", "Follow-up to the International Conference on Financing for Development", "The Economic and Social Council,", "Recalling the International Conference on Financing for Development, held in Monterrey, Mexico, from 18 to 22 March 2002, and the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held in Doha from 29 November to 2 December 2008,", "Recalling also the outcome document of the Conference on the World Financial and Economic Crisis and Its Impact on Development,[1]", "Recalling further the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals and its outcome document,[2]", "Recalling the Istanbul Declaration and the Istanbul Programme of Action for the Least Developed Countries for the Decade 2011-2020,[3] adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011,", "Recalling also General Assembly resolutions 65/145 of 20 December 2010 on the follow-up to the International Conference on Financing for Development, and 65/146 of 20 December 2010 on innovative mechanisms of financing for development, as well as Economic and Social Council resolutions 2010/26 of 23 July 2010 on the follow-up to the International Conference on Financing for Development and the 2008 Review Conference and 2009/30 of 31 July 2009 on a strengthened and more effective intergovernmental inclusive process to carry out the financing for development follow-up, and all other relevant General Assembly and Economic and Social Council resolutions,[4]", "Recalling further General Assembly resolution 65/285 of 29 June 2011 on review of the implementation of General Assembly resolution 61/16 on the strengthening of the Economic and Social Council,", "Taking note of the summary by the President of the Economic and Social Council of the special high-level meeting of the Council with the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development, held in New York on 10 and 11 March 2011,[5]", "Taking note also of the note by the Secretary-General on coherence, coordination and cooperation on financing for development,[6]", "Reaffirming the Monterrey Consensus of the International Conference on Financing for Development[7] in its entirety, its integrity and its holistic approach, recalling the resolve to take concrete action to implement the Monterrey Consensus and address the challenges of financing for development in the spirit of global partnership and solidarity in support of the achievement of the internationally agreed development goals, including the Millennium Development Goals,", "Reaffirming also that each country must take primary responsibility for its own development and that the role of national policies and development strategies cannot be overemphasized for the achievement of sustainable development, and recognizing that national efforts should be complemented by supportive global programmes, measures and policies aimed at expanding the development opportunities of developing countries, while taking into account national conditions and ensuring respect for national ownership strategies and sovereignty,", "Deeply concerned about the ongoing adverse impacts of the global financial and economic crisis on development, including on the capacity of developing countries to mobilize resources for development; recognizing that, while global growth is returning, there is a need to sustain the recovery, which is fragile and uneven; and acknowledging that an effective response to the impacts of the crisis requires timely implementation of all development commitments, including existing aid commitments,", "1. Reaffirms the importance of staying fully engaged, nationally, regionally and internationally, in ensuring proper and effective follow-up to the implementation of the Monterrey Consensus of the International Conference on Financing for Development,⁷ as reaffirmed in the Doha Declaration on Financing for Development,[8] and of continuing unremitting efforts to build bridges between all relevant stakeholders within the holistic agenda of the financing for development process;", "2. Reiterates the role played by the United Nations as a focal point for the financing for development follow-up process and the need to maintain that role to ensure the continuity and dynamism of the process, while reaffirming the need to further intensify the engagement of all stakeholders, including the United Nations system, the World Bank, the International Monetary Fund and the World Trade Organization, in the follow-up and implementation of the commitments made at Monterrey and Doha;", "3. Also reiterates that the Economic and Social Council should continue to strengthen its role in promoting coherence, coordination and cooperation in the implementation of the Monterrey Consensus and the Doha Declaration and as a forum for multi-stakeholder involvement;", "4. Emphasizes that the financing for development follow-up process should constitute a continuum of events, each contributing to and feeding into the next, ensuring the holistic nature of the process and making better and more effective use of existing mechanisms and resources;", "5. Welcomes the substantive discussions undertaken during the special high-level meeting of the Council and emphasizes that those discussions are an integral and mutually reinforcing part of the financing for development follow-up process;", "6. Also welcomes the increased interaction and coordination at the staff level with the institutions involved prior to the high-level meeting of the Council;", "7. Recognizes the efforts of the President of the Council, in consultation with Member States, to continue to work with the appropriate representatives of the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development to improve the agenda and the format of the Council’s high-level meeting, considering innovative approaches that are conducive, inter alia, to the high-level participation of those institutions;", "8. Takes note, in that regard, of the recommendations on the special high-level meeting of the Economic and Social Council with the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development contained in the note by the President of the General Assembly of 20 June 2011;[9]", "9. Stresses the need to further improve the dialogue between Member States and representatives of the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development during the Council’s special high-level meeting, as part of a forum for multi-stakeholder dialogue, and requests the President of the Council to seek a more interactive, dynamic and substantive discussion on key issues related to the financing for development framework;", "10. Encourages the President of the Council to continue consultations with the appropriate representatives of the World Trade Organization, with a view to further strengthening their participation in the special high-level meeting of the Council;", "11. Welcomes the efforts undertaken to give more prominence to the consideration of the agenda item on financing for development during the annual substantive session of the Council, including the allocation of the item to its coordination segment;", "12. Stresses its resolve to continue improving those modalities in accordance with its resolutions 2009/30 of 31 July 2009 and 2010/26 of 23 July 2010;", "13. Encourages all relevant stakeholders to consider organizing seminars, panel discussions and briefings as part of the preparations for and contribution to the above-mentioned events in order to raise visibility, attract interest and participation and promote substantive discussions on a continuing basis;", "14. Takes note of the ongoing discussions on innovative mechanisms of financing for development, while reiterating that such voluntary mechanisms should supplement and not be a substitute for traditional sources of financing;", "15. Reiterates the importance of further improving cooperation between the United Nations, the Bretton Woods institutions and the World Trade Organization in the implementation of the Monterrey Consensus and the Doha Declaration, based on a clear understanding and respect for their respective mandates and governance structures;", "16. Welcomes, in that regard, the invitation by the Bretton Woods institutions to the President of the Council to participate in the meeting of the Development Committee of the Bretton Woods institutions, and notes that the participation of the President of the Council in meetings of the intergovernmental bodies of the international organizations, as appropriate, can contribute to the financing for development follow-up process;", "17. Encourages the Department of Economic and Social Affairs of the Secretariat, and especially the Financing for Development Office, to maintain regular interaction at the staff level with the World Bank, the International Monetary Fund, the World Trade Organization and the United Nations Conference on Trade and Development in the interest of greater coherence, coordination and cooperation, each acting in accordance with its respective intergovernmental mandates;", "18. Acknowledges the efforts undertaken to strengthen the financing for development follow-up process, and underscores the fact that the modalities of the process should be reviewed, as appropriate, in accordance with the provisions contained in paragraph 30 of General Assembly resolution 65/145 of 20 December 2010;", "19. Recalls the decision to consider the need to hold a follow-up conference on financing for development by 2013, as appropriate;", "20. Reiterates its appeal to Member States and other potential donors to consider contributing generously to the Trust Fund for the Follow-up to the International Conference on Financing for Development, which would facilitate the implementation of a strengthened and more effective intergovernmental inclusive process to carry out the financing for development follow-up.", "[1] General Assembly resolution 63/303, annex.", "[2] See resolution 65/1.", "[3] A/CONF.219/3.", "[4] General Assembly resolutions 56/210 B, 57/250, 57/272, 57/273, 58/230, 59/225, 60/188, 61/191, 62/187, 63/208 and 63/239 and Economic and Social Council resolutions 2002/34, 2003/47, 2004/64, 2006/45, 2007/30 and 2008/14.", "[5] A/66/75-E/2011/87.", "[6] E/2011/74.", "[7] Report of the International Conference on Financing for Development, Monterrey, Mexico, 18‑22 March 2002 (United Nations publication, Sales No. E.02.II.A.7), chap. I, resolution 1, annex.", "[8] General Assembly resolution 63/239, annex.", "[9] A/65/866." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 6 (a)", "Implementation of and follow-up to major United Nations conferences and summits: follow-up to the International Conference on Financing for Development", "Draft resolution submitted by the Vice-President of the Council, Abulkalam Abdul Momen (Bangladesh), on the basis of informal consultations", "Follow-up to the International Conference on Financing for Development", "The Economic and Social Council,", "Recalling the International Conference on Financing for Development, held in Monterrey, Mexico, from 18 to 22 March 2002, and the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held in Doha from 29 November to 2 December 2008,", "Recalling also the outcome document of the Conference on the World Financial and Economic Crisis and Its Impact on Development, [1]", "Recalling further the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals and its outcome document,[2]", "Recalling the Istanbul Declaration and the Istanbul Programme of Action for the Least Developed Countries for the Decade 2011-2020, adopted by the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011, [3]", "Recalling also General Assembly resolutions 65/145 of 20 December 2010 on the follow-up to the International Conference on Financing for Development and 65/146 of 20 December 2010 on innovative mechanisms of financing for development, as well as Economic and Social Council resolutions 2010/26 of 23 July 2010 on the follow-up to the International Conference on Financing for Development and the 2008 Review Conference and 2009/30 of 31 July 2009 on the implementation of the financing for development follow-up to a strengthened and more effective intergovernmental inclusive process, and all other relevant resolutions of the General Assembly and the Economic and Social Council,", "Recalling further General Assembly resolution 65/285 of 29 June 2011 on the review of the implementation of Assembly resolution 61/16 on the strengthening of the Economic and Social Council,", "Taking note of the summary by the President of the Economic and Social Council of the special high-level meeting of the Council with the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development, held in New York on 10 and 11 March 2011,[5]", "Taking note also of the note by the Secretary-General on coherence, coordination and cooperation in the context of financing for development,[6]", "Reaffirming the Monterrey Consensus of the International Conference on Financing for Development in its entirety, its integrity and its comprehensive approach, and recalling the resolve to take concrete actions to implement the Monterrey Consensus and address the challenges of financing for development in the spirit of global partnership and solidarity in order to contribute to the achievement of the internationally agreed development goals, including the Millennium Development Goals,", "Reaffirming also that each country must take primary responsibility for its own development and that the role of national policies and development strategies cannot be overemphasized in the achievement of sustainable development, and recognizing that national efforts should be supported by supportive global programmes, measures and policies aimed at enhancing the development opportunities of developing countries, while taking into account national conditions and respecting national ownership, strategies and sovereignty,", "Expressing deep concern about the adverse impact of the global financial and economic crisis on development, including on the capacity of developing countries to mobilize resources for development, recognizing that, while global growth is recovering, there is a need to sustain the current fragile and uneven recovery, and recognizing that an effective response to the impact of the current crisis requires the timely implementation of development commitments, including existing aid commitments,", "1. Reaffirms the importance of the continued full engagement of national, regional and international actors in ensuring adequate and effective follow-up to the implementation of the Monterrey Consensus of the International Conference on Financing for Development,7 as reaffirmed in the Doha Declaration on Financing for Development, and of continuing to work tirelessly to build bridges among all relevant stakeholders within the overall agenda of the financing for development process;", "2. Reaffirms the role of the United Nations as the focal point in the financing for development follow-up process, which needs to be maintained in order to ensure the coherence and dynamism of the process, while reaffirming the need to further involve stakeholders, including the United Nations system, the World Bank, the International Monetary Fund and the World Trade Organization, in the follow-up to and implementation of the commitments made at Monterrey and Doha;", "3. Also reaffirms that the Economic and Social Council should continue to strengthen its role in promoting coherence, coordination and cooperation in the implementation of the Monterrey Consensus and the Doha Declaration and as a multi-stakeholder forum;", "4. Emphasizes that the financing for development follow-up process should consist of a series of mutually reinforcing and interrelated activities to ensure the integrity of the process and better and more effective use of existing mechanisms and resources;", "Welcomes the substantive discussions held at the special high-level meeting of the Council, and emphasizes that those discussions are an integral and mutually reinforcing part of the financing for development follow-up process;", "6. Also welcomes the increased interaction and coordination at the staff level with participating agencies prior to the high-level meeting of the Council;", "7. Recognizes the commitment of the President of the Council, in consultation with Member States, to continue to work with the appropriate representatives of the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development to improve the agenda and format of the high-level meeting of the Council and to consider new modalities, in particular for high-level participation by those institutions;", "8. Takes note in this regard of the recommendations contained in the note by the President of the General Assembly of 20 June 2011 regarding the special high-level meeting of the Economic and Social Council with the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development;", "9. Stresses the need for further improvement of the dialogue between Member States and the Bretton Woods institutions, the World Trade Organization and the United Nations Conference on Trade and Development during the special high-level meeting of the Council as part of a multi-stakeholder forum, and requests the President of the Council to seek a more interactive, dynamic and substantive discussion on key issues related to the financing for development framework;", "10. Encourages the President of the Council to continue consultations with appropriate representatives of the World Trade Organization with a view to further strengthening their participation in the special high-level meeting of the Council;", "11. Welcomes the efforts made to devote greater attention to the consideration of the agenda item on financing for development during the annual substantive session of the Council, including the allocation of the item to the coordination segment;", "12. Stresses its determination to continue to refine these modalities in accordance with Council resolutions 2009/30 of 31 July 2009 and 2010/26 of 23 July 2010;", "13. Encourages all relevant stakeholders to consider organizing symposiums, panel discussions and briefing sessions as part of the preparations for and contribution to the above-mentioned events, with a view to enhancing their visibility, attracting greater interest and participation and facilitating continued substantive discussions;", "14. Notes the ongoing discussions on innovative mechanisms of financing for development, while reaffirming that such voluntary mechanisms should be complementary and not a substitute for traditional sources of financing;", "15. Reaffirms the need to further improve cooperation among the United Nations, the Bretton Woods institutions and the World Trade Organization in the implementation of the Monterrey Consensus and the Doha Declaration, based on a clear understanding of and respect for their respective mandates and governance structures;", "Welcomes, in this regard, the invitation extended by the Bretton Woods institutions to the President of the Council to participate in the meetings of the Development Committee of the Bretton Woods institutions, and notes that the participation of the President of the Council in the meetings of intergovernmental bodies of international organizations, as appropriate, could contribute to the financing for development follow-up process;", "17. Encourages the Department of Economic and Social Affairs of the Secretariat, in particular the Financing for Development Office, to maintain regular interaction at the staff level with the Bretton Woods institutions, the International Monetary Fund, the World Trade Organization and the United Nations Conference on Trade and Development in order to facilitate greater coherence, coordination and cooperation among them, while taking action in accordance with their respective intergovernmental mandates;", "18. Recognizes the ongoing efforts to strengthen the financing for development follow-up process, and emphasizes that the modalities of the process should be reviewed, as appropriate, in accordance with paragraph 30 of General Assembly resolution 65/145 of 20 December 2010;", "19. Recalls its decision to review, as appropriate, the need to hold a follow-up conference on financing for development no later than 2013;", "20. Reiterates its appeal to Member States and other potential donors to consider contributing generously to the Trust Fund for the Follow-up International Conference on Financing for Development, which would facilitate the implementation of a strengthened and more effective intergovernmental inclusive process to carry out the financing for development follow-up.", "[1] General Assembly resolution 63/303, annex.", "[2] See resolution 65/1.", "[3] A/CONF.219/3.", "[4] General Assembly resolutions 56/210 B, 57/250, 57/272, 57/273, 58/230, 59/225, 60/188, 61/191, 62/187, 63/208 and 63/239, and Economic and Social Council resolutions 2002/34, 2003/47, 2004/64, 2006/45, 2007/30 and 2008/14.", "[5] A/66/75-E/2011/87.", "[6] E/2011/74.", "[7] Report of the International Conference on Financing for Development, Monterrey, Mexico, 18-22 March 2002. United Nations publication, Sales No.", "[8] General Assembly resolution 63/239, annex.", "[9] A/65/866." ]

[ "2011年实质性会议", "2011年7月4日至29 日，日内瓦", "议程项目6(a)", "联合国各次主要会议和首脑会议 成果的执行和后续行动:发展 筹资问题国际会议的后续行动", "经社理事会副主席阿布卡拉姆·阿卜杜勒·穆明(孟加拉国)在非正式协商基础上提出的决议草案", "世界金融和经济危机及其对发展的影响会议成果文件的后续行动：审议能否设立特设专家组的问题", "经济及社会理事会，", "回顾发展筹资问题国际会议及其成果文件和审查《蒙特雷共识》执行情况的发展筹资问题国际后续会议及其成果文件，", "又回顾世界金融和经济危机及其对发展的影响会议及其成果文件，[1]", "注意到联合国大会正在讨论关于设立一个不限成员名额大会特设工作组，对世界金融和经济危机及其对发展的影响问题会议成果文件所载的问题采取后续行动，", "认识到根据2010年12月8日大会第65/94号决议，大会将在第六十六届会议上，审议联合国在全球治理中的作用，着重全球经济管理和发展，", "对全球金融和经济危机尤其对发展继续产生不利影响深表关切，认识到全球增长正在恢复，有必要使其继续下去，目前的恢复脆弱而且不均衡，强调需要继续解决系统性的脆弱和不均衡问题，", "确认联合国系统在指导会员国的政府间工作和为其提供明智支助方面作出了宝贵贡献，并确认大会第六十三届会议主席国际货币和金融体系改革专家委员会等各种独立机构的贡献，", "强调需要最大限度地增强联合国系统的效力、透明度、效率和一致性，", "回顾经济及社会理事会就世界金融和经济危机及其对发展的影响会议成果文件的后续行动进行的协商，包括请求审议能否设立特设专家组的问题并就此向大会提出建议，", "1. 申明需要审查就有关世界金融和经济危机及其对发展的影响问题提供独立技术知识和分析的最有效方式，将此提供给经济及社会理事会和大会，以有助于指导国际行动和政治决策，促进决策者、学术界、机构和民间社会之间的建设性对话和交流；", "2. 在这方面建议大会进一步审议能否就世界金融和经济危机及其对发展的影响设立一个特设专家组的问题，考虑各种有关进程的成果，包括对世界金融和经济危机及其对发展的影响问题会议成果文件所载的问题采取后续行动的不限成员名额大会特设工作组，以及大会即将就审议联合国在全球治理和发展中的作用和发展筹资后续进程的形式进行的审议；", "3. 请秘书长探讨这方面的备选方案，同时考虑到需充分利用包括区域委员会在内的联合国现有机构，并通过现有报告机制向大会报告。", "[1] 大会第63/303号决议，附件。" ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 6 (a)", "Implementation of and follow-up to major United Nations conferences and summits: follow-up to the International Conference on Financing for Development", "Draft resolution submitted by the Vice-President of the Council, Abulkalam Abdul Momen (Bangladesh), on the basis of informal consultations", "Follow-up to the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development: consideration of the possible establishment of an ad hoc panel of experts", "The Economic and Social Council,", "Recalling the International Conference on Financing for Development and its outcome document, and the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, and its outcome document,", "Recalling also the Conference on the World Financial and Economic Crisis and Its Impact on Development, and its Outcome,[1]", "Mindful of the ongoing discussions in the United Nations General Assembly regarding the ad hoc open-ended working group of the General Assembly to follow up on the issues contained in the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development,", "Recognizing that, in accordance with General Assembly resolution 65/94 of 8 December 2010, the Assembly will consider at its sixty-sixth session the role of the United Nations in global governance, focusing on global economic governance and development,", "Expressing deep concern about the ongoing adverse impact, particularly on development, of the world financial and economic crisis, recognizing that global growth is returning and there is a need to sustain the recovery, which is fragile and uneven, and stressing the need to continue to address systemic fragilities and imbalances,", "Recognizing the valuable contribution of the United Nations system as well as the contribution of various independent bodies, such as the Commission of Experts of the President of the Sixty-third Session of the General Assembly on Reforms of the International Monetary and Financial System, in informing and providing intellectual support to the intergovernmental work of Member States,", "Stressing the need to maximize the effectiveness, the transparency, the efficiency and the coherence of the United Nations system,", "Recalling the consultation process in the Economic and Social Council on follow-up of the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development, including the request to consider and make recommendations to the General Assembly regarding the possible establishment of an ad hoc panel of experts on the world economic and financial crisis and its impact on development,", "1. Affirms the need to examine the most efficient modalities to provide independent technical expertise and analysis on issues relating to the world financial and economic crisis and its impact on development, to be made available to the Economic and Social Council and the General Assembly, which could contribute to informing international action and political decision-making and to fostering constructive dialogue and exchanges among policymakers, academics, institutions and civil society;", "2. Recommends, in that regard, that the possible establishment of an ad hoc panel of experts on the world economic and financial crisis and its impact on development should be further considered by the General Assembly, taking into account the outcomes of the various related processes, including the Ad Hoc Open-ended Working Group of the General Assembly to follow up on the issues contained in the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development, as well as the forthcoming deliberations in the Assembly on the role of the United Nations in global economic governance and development, and on the modalities of the financing for development follow-up process;", "3. Requests the Secretary-General to explore options in that respect, taking into account the need to make full use of existing United Nations bodies, including the regional commissions, and to report to the General Assembly through existing reporting mechanisms.", "[1] General Assembly resolution 63/303, annex." ]

[ "Substantive session of 2011", "Geneva, 4-29 July 2011", "Agenda item 6 (a)", "Implementation of and follow-up to major United Nations conferences and summits: follow-up to the International Conference on Financing for Development", "Draft resolution submitted by the Vice-President of the Council, Abulkalam Abdul Momen (Bangladesh), on the basis of informal consultations", "Follow-up to the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development: consideration of the possible establishment of an ad hoc expert group", "The Economic and Social Council,", "Recalling the International Conference on Financing for Development and its outcome document and the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus and its outcome document,", "Recalling also the Conference on the World Financial and Economic Crisis and Its Impact on Development and its outcome document, [1]", "Noting the ongoing discussions in the United Nations General Assembly on the establishment of an ad hoc open-ended working group of the General Assembly to follow up on the issues contained in the outcome document of the Conference on the World Financial and Economic Crisis and Its Impact on Development,", "Recognizing that, in accordance with General Assembly resolution 65/94 of 8 December 2010, the Assembly will consider at its sixty-sixth session the role of the United Nations in global governance, focusing on global economic governance and development,", "Expressing deep concern about the continuing negative impact of the global financial and economic crisis, in particular on development, recognizing that global growth is being restored and that it is necessary to continue and that the current recovery is fragile and uneven, and stressing the need to continue to address systemic vulnerabilities and imbalances,", "Recognizing the valuable contribution of the United Nations system in guiding the intergovernmental work of Member States and in providing them with informed support, as well as the contributions of various independent bodies, such as the Commission of Experts of the President of the General Assembly at its sixty-third session on Reform of the International Monetary and Financial System,", "Emphasizing the need to maximize the effectiveness, transparency, efficiency and coherence of the United Nations system,", "Recalling the consultations of the Economic and Social Council on the follow-up to the Outcome of the Conference on the World Financial and Economic Crisis and Its Impact on Development, including the request to consider the possible establishment of an ad hoc expert group and to make recommendations thereon to the General Assembly,", "1. Affirms the need to examine the most effective ways of providing independent technical knowledge and analysis on issues related to the world financial and economic crisis and its impact on development and to make this available to the Economic and Social Council and the General Assembly in order to help guide international action and political decision-making and to promote constructive dialogue and exchange among policymakers, academia, institutions and civil society;", "2. Recommends, in this regard, that the General Assembly consider further the possibility of establishing an ad hoc expert group on the world financial and economic crisis and its impact on development, taking into account the outcomes of relevant processes, including the ad hoc open-ended working group of the General Assembly to follow up on the issues contained in the outcome document of the Conference on the World Financial and Economic Crisis and Its Impact on Development, and the forthcoming consideration by the Assembly of the role of the United Nations in global governance and development and the format of the financing for development follow-up process;", "3. Requests the Secretary-General to explore options in this regard, taking into account the need to make full use of existing United Nations bodies, including the regional commissions, and to report to the General Assembly through existing reporting mechanisms.", "[1] General Assembly resolution 63/303, annex." ]

[ "主席： 维蒂希先生 (德国) \n 成员： 波斯尼亚和黑塞哥维那 乔拉科维奇女士 \n 巴西 维奥蒂夫人 \n 中国 王民先生 \n 哥伦比亚 奥索里奥先生 \n 法国 阿罗德先生 \n 加蓬 蒙加拉·穆索奇先生 \n\t印度\t哈迪普·辛格·普里先生\n 黎巴嫩 奥格武夫人 \n 尼日利亚 埃多克帕先生 \n 葡萄牙 莫赖斯·卡布拉尔先生\n 俄罗斯联邦 潘金先生 \n 南非 马沙巴内先生 \n\t大不列颠及北爱尔兰联合王国\t马克·莱尔·格兰特爵士\n 美利坚合众国 赖斯女士", "议程项目", "维护国际和平与安全", "气候变化的影响", "2011年7月1日德国常驻联合国代表给秘书长的信(S/2011/408)", "上午10时20分开会。", "通过议程", "议程通过。", "维护国际和平与安全", "气候变化的影响", "2011年7月1日德国常驻联合国代表给秘书长的信(S/2011/408)", "主席(以英语发言)：我谨欢迎秘书长、瑙鲁共和国总统以及澳大利亚负责太平洋岛屿事务的政务次官与会。他们出席会议证实我们正在讨论的这个问题的重要性。", "根据安理会暂行议事规则第37条，我邀请阿根廷、澳大利亚、孟加拉国、巴巴多斯、比利时、多民族玻利维亚国、加拿大、智利、哥斯达黎加、古巴、丹麦、厄瓜多尔、埃及、萨尔瓦多、斐济、芬兰、加纳、洪都拉斯、匈牙利、冰岛、爱尔兰、伊朗伊斯兰共和国、以色列、意大利、日本、哈萨克斯坦、肯尼亚、吉尔吉斯斯坦、科威特、卢森堡、墨西哥、瑙鲁、新西兰、帕劳、巴布亚新几内亚、巴基斯坦、秘鲁、菲律宾、波兰、大韩民国、新加坡、斯洛文尼亚、西班牙、苏丹、土耳其、坦桑尼亚联合共和国和委内瑞拉玻利瓦尔共和国参加本次会议。", "根据安理会暂行议事规则第39条，我邀请联合国环境规划署执行主任阿希姆·施泰纳先生参加本次会议。", "根据安理会暂行议事规则第39条，我邀请欧洲联盟驻联合国代表团代理团长佩德罗·塞拉诺先生阁下参加本次会议。", "安全理事会现在将开始审议其议程上的项目。", "我提请安理会成员注意文件S/2011/408，其中载有2011年7月1日德国常驻联合国代表给秘书长的信，信中转递了有关目前审议项目的概念文件。", "我现在请潘基文秘书长发言。", "秘书长(以英语发言)：我感谢安全理事会主席国德国在这个时刻组织了本次非常重要的会议。", "当安全理事会于2007年首次审议气候变化问题时(见S/PV.5663)，在举行辩论会之前各方非常激烈地就审议这个问题是否恰当交换了意见。当时我曾说过，而且今天我还要说，审议这个问题不仅是恰当的，也是至关重要的。我高兴地看到，我们已经向前迈进，而且今天正在举行这个理所应当的辩论会，讨论安理会和所有会员国可以做些什么来应对气候变化与国际安全的双重挑战。", "我们不应犯下错误。事实是清楚的。气候变化实实在在，而且正在以危险的方式加速发展。气候变化不仅加剧国际和平与安全面临的威胁，它本身就是对国际和平与安全的威胁。", "极端天气现象日渐频繁，并且更加严重，在富国和穷国都是如此，它们不仅毁灭生命，而且还破坏基础设施、机构和预算，这种危险的混杂不堪局面可能会创造危险的安全真空。巴基斯坦、太平洋群岛、俄罗斯、西欧、菲律宾、哥伦比亚、澳大利亚、巴西、美国、中国以及非洲之角这些例子都应当提醒我们所面临问题的紧迫性。", "就在今天，联合国宣布索马里南部的两个地区处于饥馑状态。世界各地有数亿人处于缺少食物和水的危险中。这种情况有损地方、国家以及全球稳定最根本的基础。社区之间和国家之间争夺稀缺资源、特别是水资源的情况与日俱增，正在加剧旧的安全困境，并且正在制造新的安全困境。环境难民正在改变地球的人文地理状况，随着沙漠推进、森林被砍伐和海平面上升，这一趋势只会有增无减。大规模危机或许会成为新的常态。这些都是对人类安全的威胁，也是对国际和平与安全的威胁。", "自我2009年向大会提交我的报告(A/64/350)以来，国际社会在《联合国气候变化框架公约》的范围内在哥本哈根和坎昆达成了某些协议。这些协议为采取行动减少温室气体排放和使所有国家能够适应气候变化提供了重要但并非完整的基础。我们现在必须加快实施在坎昆达成的各项协议，包括关于保护森林、适应和技术的协议。", "气候融资是取得进展的先决条件，它必须从概念性讨论走向切实提供快速启动资金，并且就长期筹资来源达成协议。即将于今年12月在德班举行的下一届《联合国气候变化框架公约》缔约方大会必须在这方面发挥决定性作用。最低限度的做法将不会奏效。", "谈判不能止步于此。我们需要雄心勃勃的目标，以确保全球平均气温的上升继续保持在2摄氏度以下。德班会议必须在各方根据自身责任与能力作出减轻影响承诺并采取行动方面明确向前迈进。发达国家必须率先带头，与此同时，新兴经济体必须承担它们应尽的责任。我们不能忽视历史。但是，我们必须清楚地认识到，在确保我们这个星球未来的问题上，没有人可以袖手旁观。", "考虑到《京都议定书》的第一个承诺期将于明年到期，必须毫不拖延地找到政治解决方案，以确保现有承诺和今后必需的承诺和行动不会由于玩弄谈判手段而受到拖延。", "安全理事会在明确气候变化与和平与安全之间的联系方面可以发挥至关重要的作用。安理会成员负有特殊责任来动员各国和国际社会采取行动，以应对气候变化实实在在的威胁以及由此产生的对国际和平与安全的具体威胁。当然，没有什么比确保我们所有国家的公民都享有可持续发展更能为一个更加和平的世界建立持久基础。", "在这方面，我敦促联合国全体会员国充分利用明年的联合国可持续发展大会所提供的机会。在里约，我们需要缩小能源安全、粮食和营养安全、水安全、气候安全与发展之间的差距，以便我们各国人民能够享有繁荣、和平和国际安全。", "主席先生，我再次感谢你召开本次辩论会，并施加安全理事会的政治影响力来提高人们对这一重要问题的认识。我把气候变化称作我们时代的决定性问题。实际上，我们必须更进一步。我们必须把所有人的可持续发展当作我们时代的决定性问题，因为只有在这个更广泛的框架内，我们才能解决气候变化和我们公民的需求问题。我们大家有责任改写这一历史。", "主席(以英语发言)我感谢秘书长的发言。", "我现在请施泰纳先生发言。", "施泰纳先生(以英语发言)：今天上午，我荣幸地从我们大约30年来在理解气候变化重大和深刻的影响的方面获取的知识、科学和专业知识的角度，在安全理事会上发言。对于气候变化的意义和影响，对于世界如何需要为目前将要发生的变化作准备，以及在时间、规模和对全球的影响方面对现代文明也许是空前的变化，我们今天知道些什么，仍然不知道什么？", "对国际社会来说，政府间气候变化专门委员会(气候专委会)仍是决定今天的科学能够告诉我们什么，以及科学仍然无法告诉我们什么的第一个衡量标准。我要再次向安理会保证，尽管针对气候专委会的一些报告进行了某些讨论，但气候专委会的《第四次评估报告》在国际同侪审查中是一份没有争议的文件，它首先非常明确地提到气候变化正在发生这一事实。它不仅正在发生，而且还在加快。它不仅正在加快，而且实际上全球科学机构正在发表的科学论述，在许多方面超过了气候专委会四年前提请我们注意的相当保守的情况、预测和模式。", "不管我们是检查过去50年的线性变暖趋势——平均每十年升温0.13℃，将近我们在过去100年中看到的温度上升的两倍；还是检查风暴和旋风等极端天气事件；还是检查海洋的热膨胀；或是检查夏季北极冰的融化，这些都不是关于今天实际发生的气候变化的投机性数据。这些是已获得证明的趋势。", "但是，我们看到，几乎每过一天，我们的科学结论都获得新的证明，东西南北的研究所中潜心研究这个议题的所有人都深信不疑；不管是从自然科学的角度、经济学角度还是社会学角度，这些变化的性质和规模已达到如此程度，以致我们根本不能把它们当作只是改变我们的能源系统或是调整我们的出口经济的挑战。实际上，这一系列事态发展正在引发的反应和影响，远远超越我们各国经济和社会的任何单一部门。", "请允许我指出，尽管我们仍在努力想办法使我们能够保持在2℃范围以内——国际社会在气候变化谈判中正就此达成共识——我们从世界某些地区的科学家那里获得的最近预测，提到本世纪内3℃和4℃的情况。这意味着，世界面临的全球升温情况，已经远远超过我们认为假如我们能够按照《联合国气候变化框架公约》完成谈判，我们也许能够控制这些变化和趋势的程度。", "《北极监测评估方案》还预计，海平面上升在本世纪结束前可能达到1米。气候专委会的《第四次评估报告》错在过于保守，它提到海平面大约上升0.18至0.59米——大约是最大数1米的一半。我们现在说的是，在本世纪海平面可能上升1米。", "如果我们看世界地图，并意识到许多数万公里长的海岸线将受到影响，并且在某种意义上我们将如何不仅在地理上，而且也在专属经济区和许多其他影响方面改变世界版图，我们就开始意识到，我们现在真正面临的科学知识水平足以使我们开始了解，我们说的是重大影响，不仅是对领土的影响，而且还有地缘政治影响。实际上，联合王国皇家学会不久前发表的另一份报告指出，在目前条件下，最坏的情况是在2060年可能升温4℃。", "我不想进一步详谈科学；我在书面发言中举了许多其他例子。我只想告诉安理会，当我们今天谈论气候变化时，这已经是一个事实。我们对正在发生的情况有足够的了解，但是，我们对于它将多快和在多少不同领域中显现出来，我们的了解仍然不够。也许最重要的是，我们尚未清楚地了解这些变化对我们的社会、经济和地球生命支持系统的影响。", "这就是为什么我认为，“威胁倍增器”一词也许在国防机构和分析中具有重要的涵义，但对审查气候变化对国际和平与安全领域的影响并非毫不相干。正如秘书长刚才指出的那样，当我们国际社会和各国谋求在可持续发展道路上前进时，我们今天面临的事实是，有一些威胁正在开始损害我们在可持续发展方面的脆弱成果。我们的全球经济和全球社会面临自然资源短缺、干旱和水灾以及全球粮食和其他商品市场的相应波动等情况，使我们近几十年里在可持续发展方面所取得的某些成果受到质疑。", "实际上，自然灾害从根本上讲是具有破坏性的事件，如果气候专委会和许多科学家提出的一些情况属实，那么，这些自然灾害的规模、次数和性质将成倍增加。如果我们回顾洪都拉斯的“米奇”飓风，该国总统当时把它称作该国历史上最大的灾难，50年的发展确实在几小时内丧失殆尽。该国大约70%的基础设施被毁，因此，该国用来寻找居住区、城镇和道路的地图，基本上必须重画。", "我们都熟悉全球各地发生的自然灾害——不管是巴基斯坦的水灾还是秘书长刚才提到的干旱——它们在非洲之角等区域呈加快趋势。我们可以看到，它们对受影响人数和社会应对这些自然灾害的能力的影响，每天都在增加。挪威难民理事会估计，在2010年，有4 200万人因自然灾害流离失所，这些灾难中的90%实际上同极端气候有关，例如水灾和干旱。这些仅仅是正式记录的数字。它们甚至没有让人感觉到人的悲剧，或是这方面需要作出的重建努力。", "我也要提到，粮食安全概念不仅仅是提供粮食的问题。我们今天知道，世界一个地区的极端气候事件，可能在一夜之间改变全球商品市场，并且实实在在地把千百万人排除在粮食市场之外。今天我们的全球经济就是这样相互交织在一起。预计未来几十年粮食不安全的状况将更加普遍和严重。显而易见，如果粮食不足以及无法以可负担的价格供应粮食，其结果将造成重大的社会不稳和混乱。", "气候科学与日俱进。最近发表的一份报告分析了近几十年来20 000次非洲玉米试种的结果。研究结果表明，如果增温1摄氏度，在非洲目前的种植面积中，大约有65%的面积将在本世纪内无法产出作物。不论从何种角度来审视它所造成的影响和后果，我们都必须认识到这种趋势对国家持续发展的道路和对我们社会、经济和居住的地球的经济、社会和环境稳定造成破坏。此外，造成这种破坏的部分原因还是因为我们对其严重程度无法预测。", "关于这个问题，我要指出目前在气候变化这门新兴科学中两个非常重要的观念：临界点和反馈机制。在设法了解这些全球系统的工作中，最令人不安的是我们无法假定万事万物都按线性的方式演进。我们无法假定在若干年全球增温若干度之后，会肯定会发生某种事情。", "我们的地球自然系统存在着各种临界点。大约2年前，巴西环境保护机构发表了一份研究报告，其中研究了亚马逊地区温度上升2摄氏度、3摄氏度和4摄氏度之后可能造成的后果。就生态而言，这项研究显示，在气温上升到某种程度之后，整个生态系统就停止以今天的方式运作，这不仅发生在生态系统的生物多样性方面。亚马逊是全世界最大的“水泵”。南美洲大部分地区的整个水文系统都取决于亚马逊地区生态系统的运作。", "我要谈论的第二个观念是反馈机制。如果北极冰层真的继续融化以及如果永冻土继续解冻，目前长期储存在这些土壤中的碳都将被释放出来。有一份报告指出，有证据显示，本世纪末释放的碳当量可能等于270年的今日碳排放量——这是温度上升导致的永冻土解冻产生的次级效应。", "另一个例子是冰河融解。在全世界，不论在兴都库什山脉、在安第斯山脉，还是在中亚地区，由于气候变化，冰河都在融解，全球变暖破坏了各国社会的农业、基础设施和居住地区得以发展的水文循环和流动。它也对各国目前已经发展的分享水资源的安排产生怀疑。目前有145个国家分享一条以上的跨界河流。在取得水资源方面加大难度已经开始造成国内社区之间和世界各国之间紧张的加剧。北京大学和中国其他机构就冰川融化进行的研究显示，在长江水域源头，冰河覆盖的面积大幅减少，这都将决定未来长江水流和流量。", "我今天在这里指出的各种情况都非常严重。气候变化不是学术问题，我们至少应该将气候变化视为世界今后稳定、合作和安全的要素。我在指出这项问题时，充分了解到会员国对安全理事会所能发挥的作用进行的辩论。我对这项问题不想发表我个人的意见，因为这不是我的职责所在。但是，我今天的确要对国际系统和联合国内的这个实体说几句话。", "我希望50年后历史学家将看到国际社会对我们今天所知的各种情况——包括不可避免的不确定情况——共同对文明产生史无前例的影响的现象作出决定。我们必须应对、调整和处理的变化都同时发生，加上其严重的程度和范围，在许多方面都构成严重威胁。但是，如果国际社会采取适当措施应因这些变化，这不仅有机会过渡到低碳的经济，它也为国际合作产生更稳定的机制。", "今日个别国家的可持续发展道路取决于国际社会采取集体行动的能力。各国力求达到的许多发展目标、企图和道路都受到威胁，超过主权国家传统上决定其领土范围内所采取的政策的手段。如果我们考虑到粮食不安全、自然灾害和对争取日益稀缺资源可能造成的冲突和紧张，加上流离失所以及整个国家可能在50年至100年的范围内从我们的世界地图上消失——包括它们的文化、特性和主权——我们不仅必须从管理碳排放的科学和技术层面来看待气候变化问题，我们也必须真正从地缘政治和安全的角度来看待这个问题。我们采取的应对措施或许会团结我们采取合作行动，它也许会分裂我们使我们朝向动乱、紧张和引起可能的冲突。", "主席(以英语发言)：我感谢施泰纳先生的通报。", "根据安理会成员之间达成的谅解，我谨提醒所有发言者将发言时间限制在四分钟以内，以便安理会能够快速开展工作。较长的发言稿当然可以书面分发。", "我现在请希望发言的安全理事会成员发言。", "赖斯女士(美利坚合众国)(以英语发言)：我感谢秘书长和执行主任施泰纳先生今天上午所作的精湛和非常重要的发言。", "美国欢迎今天召开的辩论会。我们感谢德国带头进行这次重要的讨论，及时将气候变化问题置于全球安全议程之上。", "奥巴马总统在秘书长大约两年前举行的气候变化问题首脑会议上明确指出，世界各个国家和人民的安全和稳定都处于危急。我们的繁荣、健康和安全也处于危险。时间不仅向前推进，它还快速流失。气候变化对和平和安全都产生重大问题，它的影响深远、错综复杂，其中许多影响已经降临到我们身上。在许多地区，气候变化已经减少了粮食和水的供应，威胁到生物多样性并影响到海平面的上升和天气形态。当肆虐的暴风雨和洪水更加频繁地冲击海岸线和蹂躏百姓之时，气候变化能对稀缺的资源造成更大的压力，使脆弱的社区处于更大的不稳。", "正如以往时常发生的情况一样，最脆弱的人群受到的伤害最为严重。冲突后的国家正在重建它们的基础设施、加强它们的机构能力和克服社会动荡不稳。现在，它们还必须常常遭遇极端天气和长期干旱的蹂躏，使已经不胜负荷的系统崩溃。气候变化还能趋缓或甚至扭转试图摆脱贫困枷锁的一般平民至今取得的关键发展成就。", "气候变化还能进一步降低国家能力，对遭受以往冲突、贫困、动乱或灾害影响力不从心的国家尤其如此。随着海平面上升，小岛屿国家完全可能看到自己的国家被海水淹没，产生以前无法想象的新型亡国的威胁。", "我们刚刚目睹世界上最新的国家南苏丹共和国的诞生。南苏丹领导人现在告诉我们，在他们巩固和平的过程中，农业生产是他们的最高优先事项之一。但非洲之角旱情严重，正在造成人道主义灾难，加剧了他们面临的挑战。我们不能忘记，十年前苏丹干旱和急剧荒漠化被广泛认为是导致达尔富尔冲突和人道主义危机的因素，如同再十年前索马里旱灾造成危机一样，最终促使部署联合国部队，结果大家记忆犹新。", "可以肯定，各种机制错综复杂，有些气候变化影响长期显现，但安理会现在，今天和近期内就需要开始根据气候变化加剧冲突风险和态势的认识采取行动。我们需要加强和调整我们防止和应对此类冲突的手段。美国本身正在通过一系列举措采取重要步骤，与我们的伙伴合作，应对日渐严重的全球贫困、粮食无保障、疾病、水资源短缺和自然资源枯竭的挑战，帮助为建设一个大家更加和平与繁荣的未来奠定基础。", "现在，让我谈谈安全理事会在此问题方面的作用。我们承认整个联合国系统和其他伙伴在处理全球气候变化各方面问题的重要工作，但我们也强烈认为，安理会有处理不断变化的气候对和平与安全的明显影响的基本责任。", "我们已经在安理会上讨论和处理许多新生安全问题，从发展与安全的联系到艾滋病毒/艾滋病。但本周，我们无法就一项简单的主席声明草案达成共识，指出气候变化有影响和平与安全的潜力，尽管明显证据显示了这种潜力。本机构和就在本会议厅内有几十个国家，它们的存在已经受到威胁。它们已经要求安理会显示，我们认识到他们的安全已经受到严重威胁。但相反，因为少数几个国家拒绝接受我们的责任，安理会保持沉默，这等于在说“运气不佳”。这不仅令人失望，而且是可悲的，是目光短浅，坦率地说，是失职。", "安理会需要跟上步伐，应对二十一世纪新出现的威胁。旧的威胁没有消失，新的威胁已经出现，这要求我们不能一切照旧。安理会过去已经表明，安理会完全有能力承担起打击对和平与安全的新威胁的责任，过去20年安理会调整传统维和手段，以解决世界各地出现的新的、更加复杂的政治和安全危机。", "气候变化并无不同之处，也需要安理会这样做。我们需要得到改进的早期预警系统，以增加行动前的准备时间。我们需要扩大合作，解决气候变化的影响，特别是在地方和区域层面；需要更好地了解有关人类基本需要，即水、粮食、生计和能源方面的资料，以便我们能够预见和防止资源驱动的冲突。我们还需要提高能力，更好地预测和防止冲突的风险，包括建设地方和国家应对气候变化相关威胁和通过帮助各国政府处理有关稀缺资源的潜在纠纷的外交途径，防止气候变化相关威胁的能力。", "我们的目标是明确的。安理会需要做好应对因气候变化的影响而加深或扩大的各种危机的准备。问题不是我们是否将面临与气候相关的威胁，而是何时及如何应对。我们需要更好地准备应对我们时代的主要威胁之一。安全理事会早就应该进入二十一世纪，承担起我们的核心职责。", "维奥蒂夫人(巴西)(以英语发言)：我感谢秘书长出席今天的会议并作了发言。我谨欢迎阿奇姆.施泰纳先生，并感谢他作了令人非常感兴趣的通报。巴西赞同阿根廷代表将以77国集团加中国的名义所作发言。", "巴西长期坚决承诺应对气候变化。我们已经把这项坚定承诺转化为具体的行动和建设性方案。气候变化是一个复杂且困难的问题。没有捷径或容易的解决办法。唯一有效的前进方法是根据《联合国气候变化框架公约》(气候公约)和《京都议定书》实现宏伟的目标。我们的缓解和适应努力，必须立足于共同但有区别责任的原则和各国能力。这对于确保公正、平衡和有效解决是至关重要的。", "安全理事会必须对冲突有一个全面的认识。暴力不仅产生于族裔或宗教纠纷，而且产生于饥饿、贫困和争夺稀缺资源。在某些情况下，气候变化的负面影响可能会加剧这些纠纷。但即便如此，气候变化也不是唯一的影响因素。这通常是不发达、无法获得适应所需资源和技术的结果。", "我们确认发展、安全与人权三者间的相互关联。气候变化与发展，安全与发展之间的联系是明确的，这已经得到联合国的明确承认。但气候变化对安全可能产生的影响就不那么明显。环境影响本身不威胁国际和平与安全。在某些情况下，气候变化的负面影响可能会加剧对国际和平与安全原已存在的威胁。", "安全与气候变化之间存在相当间接的关系，并不能削弱支持最易受气候变化影响的国家和人民，特别是小岛屿发展中国家的紧迫性，许多小岛屿发展中国家面临真正的生存挑战。这种挑战需要用政治、经济和人道主义办法解决，不一定是需要安全对策。", "海平面上升带来的严重后果若不加以控制，可能导致人道主义灾难。联合国必须按照《气候公约》开展工作，加强预防，通过适应措施建立复原能力。需要进一步发展人道主义手段，以解决海平面上升对居民产生的具体影响。", "在这方面，我感谢并欢迎瑙鲁总统马库斯·斯蒂芬先生出席会议。我们承认他的关切和该国及其他小岛屿发展中国家不懈努力，将海平面上升问题列入国际议程的优先位置。巴西向他们表示全力声援。我们同意他们的意见，即表示关切或发表政治宣言不能代替具体的行动。我们需要采取更多的措施，而且更快采取。气候变化问题谈判必须产生显著结果，以平衡和公平的方式遏制排放。必须优先执行适应方案，并为这些方案提供足够的资金。", "粮食安全问题是巴西议程上的重要问题。在国际层面，我们都必须支持粮食及农业组织和世界粮食计划署发挥领导作用。我们必须加倍努力，消除饥饿祸害。需要有效的政治意愿，通过减少农业补贴和圆满结束多哈回合谈判，来改善来自发展中国家的粮食产品的市场准入。还必须努力提高发展中国家特别是非洲的生产率。当粮食无保障导致加剧冲突或冲突后局势中的不稳定时，安理会的工作应与联合国系统其它有关行为体以及世界银行的工作协调一致。", "联合国系统拥有应对气候变化挑战所必需的工具。必须充分利用该系统拥有的丰富知识、经验、政治杠杆作用以及法律文书。", "安全工具对于处理对国际和平与安全的具体威胁是适宜的，但是它们不足以处理诸如气候变化这样复杂和多层面的问题。有效应对气候变化并处理其方方面面的影响必须是国际社会的一个优先事项。为做到这一点，我们就必须充分利用联合国系统拥有的所有工具，并加倍努力，在有关气候变化的国际谈判中取得宏伟成就。", "王民先生(中国)：主席先生，我感谢潘基文秘书长的发言，感谢联合国环境规划署执行主任施泰纳先生的通报。中国支持阿根廷将代表77国集团和中国所做的发言。", "全球气候变化深刻影响着人类的生存和发展，是各国共同面临的重大挑战。近年来，各国为保护全球环境、应对气候变化共同努力，取得了显著成就。但解决气候变化问题、实现可持续发展仍是摆在我们面前的一项紧迫而又长期的任务，需要各国继续进行不懈的努力。", "应对气候变化涉及全球共同利益，更关乎广大发展中国家利益和人民福祉。《联合国气候变化框架公约》及其《京都议定书》已成为各方公认的应对气候变化的主渠道。共同但有区别的责任原则已成为各方加强合作的基础。走可持续发展道路、实现人与自然相和谐已成为各方共同追求的目标。", "气候变化可能有安全方面的影响，但气候变化从根本上讲还是可持续发展问题。安理会在气候变化问题上没有专业特长，更缺乏必要的手段和资源。同时，安理会也不是普遍参与的决策场所。安理会的讨论无助于形成为各方广泛接受的方案，更不可能替代193个会员国在《联合国气候变化框架公约》框架下的谈判。", "广大发展中国家普遍认为，安理会参与讨论气候变化既无助于各国减缓气候变化的努力，也难以帮助受影响的发展中国家有效应对气候变化。这种合理的担心应得到充分的尊重和理解。", "在应对气候变化的过程中，国际社会必须充分考虑发展中国家的发展阶段和基本需要，重视发展中国家的困难处境，倾听发展中国家的声音，尊重发展中国家的诉求，切实履行在资金、技术和能力建设等方面的承诺。", "中方高度重视小岛国在气候变化问题上的关切。作为拥有众多岛屿的国家，中方对小岛国在实现可持续发展过程中面临的困难感同身受。国际社会应采取切实措施，帮助小岛国应对气候变化等带来的挑战。发达国家尤其要切实履行在资金、技术和能力建设等方面的承诺。中方愿同小岛国携手合作，继续积极执行《毛里求斯战略》，共同推动全球可持续发展。", "乔拉科维奇女士(波斯尼亚和黑塞哥维那)(以英语发言)：主席先生，我要感谢你和德国代表团举行本次重要和及时的辩论会。我还要感谢潘基文秘书长和联合国环境规划署执行主任阿希姆·施泰纳先生今天的通报。", "在一个日益相互依存和相互关联的世界上，日益增长的人口或对自然资源日益增加的需求所引起的变化有可能造成社会紧张、政治动乱或冲突。安理会的主要职责——维护国际和平与安全——显然要求它预防冲突。我们认识到安全问题的紧迫性，因而不能忽视处理气候变化可能带来的安全风险，这种风险造成的影响理所当然是一个应加以考虑的因素。", "此外，气候变化的消极影响可能对最脆弱的区域和人口造成不利后果。气候变化带来的额外压力有可能会加大脆弱国家陷入冲突的风险，或者干扰预防冲突、建设和平或冲突后稳定的工作。", "在某些情况下，气候变化的不利影响可能会加剧现有对国际和平与安全的威胁。在这方面，安全理事会必须意识到气候变化可能产生的潜在安全影响，其中包括可能给受气候变化影响最为严重的国家带来人道主义危机、移民压力或外来冲击。同时，还必须遵守联合国有关机构特别是大会和经济及社会理事会在处理气候变化问题方面的任务授权与责任。", "《联合国气候变化框架公约》是处理气候变化问题的一项关键文书，其重要性再怎么强调都不过分。本着同一精神，气候变化问题具有的全球特性要求各国按照共同但有区别的责任原则，就有效和适当的国际对策达成尽可能广泛的合作，同时尊重现有的机构安排。", "波斯尼亚和黑塞哥维那认为，联合国采取协调、统筹和全面的对策，是为应对该问题做出切实贡献的唯一办法。本着同一精神，我们认为秘书长应酌情提醒安全理事会注意可能危及和平与安全的与气候有关的危机局势。至关重要的是，联合国有关机构要加强其处理包括气候变化导致的危机在内的不同危机的能力。它们的工作应侧重于预测、预防或处理与气候变化有关的问题。在这一背景下，协助各国处理外来压力和适应能力低问题至关重要。", "我们认为，有必要为发展中国家适应气候变化提供更有力的支持，包括投资于各级能力建设。当国家能力不足、欠发达或由于自然灾害或其它危险事件而力不从心的时候，国际社会就必须坚定不移地予以应对，并给予充分支持。发达国家也必须加强努力，履行其在发展援助方面作出的国际承诺。我们认为，应继续并加强将气候变化问题纳入联合国有关机构的主流及其活动之中。此外，区域和国际组织之间增加信息流动、分享早期预警评估并交流数据都至关重要。", "最后，气候变化是一个只能在全球一级加以应因的全球性挑战。任何国家都无法单独应对这项问题。因此，各行为体必须协调努力，充分履行其承诺与责任。波斯尼亚和黑塞哥维那作为《联合国气候变化框架公约》的缔约国以及作为已批准《京都议定书》的国家，随时准备为这一努力做出贡献。", "奥格武夫人(尼日利亚)(以英语发言)：主席先生，我愿感谢你召开本次公开辩论会，并感谢贵国代表团分发的概念文件(S/2011/408，附件)。我还要感谢秘书长和阿希姆·施泰纳先生所作内容深入和振奋人心的发言。本次辩论会举行及时，它给我们提供了评估在执行各项国际商定发展目标、公约和议定书——它们决定了我们应对气候变化问题的对策——方面所取得进展的机会。我们还可通过本次讨论为筹备2012年联合国可持续发展大会做出有效贡献。", "气候变化带来的挑战至为巨大，它对和平及安全的影响深远。我们生活的各个方面，从粮食安全到资源管理，无一不受到这一现象的威胁。正如我们从此刻发生在非洲之角的粮食危机中所看到的那样，政治不稳定和不安全加剧了对水管理、牲畜健康和农作物生产的威胁。匮乏引发了恐慌，它反过来又助长了冲突。这种连锁反应要求安全理事会提高警觉。除非我们采取协调一致的行动减缓和适应气候变化的影响，否则风险只会越来越高。例如，政府间气候变化专门委员会预计，海平面升高1米可能会使1.8万平方公里的尼日利亚沿海土地被水淹没，资产损失达890亿美元，并迫使500万尼日利亚人搬迁。使尼日利亚免遭这种海平面上升影响的成本估计为30亿美元。", "基于这些事实，我们对气候条件不断变化的可能影响深表关切。尼日利亚正与双边和多边伙伴一道，在区域和国际层面共同努力，以找到解决这些挑战的办法。我国政府还寻求将减缓和适应气候变化的战略纳入旨在显著减少碳排放并继续防治沙漠化的各项发展政策之中。", "尼日利亚继续致力于实现千年发展目标以及寻求确保可持续消费与生产的撒哈拉绿色长城(尼日利亚)方案。我们启动了处理天然气燃烧问题的机制，并下定决心将它逐步转变为液化天然气处理。我们正就减少石油产品中二氧化碳的方法开展研究。", "尽管我们意识到，并不是每一个国家都有条件彻底改变政策，但是重要的是，每个国家无论多么小都要贡献微薄的力量。我国代表团对在履行国际减缓气候变化协议上达成一致进展缓慢表示关切。国家常常不履行其对这类框架做出的承诺，这种失约造成的冲击遍及各地。在许多情况下，发展中国家和小岛屿发展中国家适应气候变化不利影响的努力会遭到自然灾害的削弱，也常常遭到冲突的削弱。因此，我们保护环境的斗争应反映出这些国家面临的这些额外挑战，并应体现在我们广泛的建设和平框架中。", "我坚信，只要我们支持政治稳定，我们就可以营造出有利于长期能力建设并纳入气候变化最佳做法及国家政策的环境。联合国系统在指导履行根据《联合国气候变化框架公约》及其《京都议定书》、《约翰内斯堡执行计划》以及《毛里求斯宣言》所做的现有承诺方面享有得天独厚的条件。", "坐在这个会议桌边的人们能够鼓励发达国家履行其减少排放、提供必要技术和资金援助支持发展中国家有效处理气候变化问题的承诺。因此，尼日利亚呼吁加大力度，公平分配适应气候变化的资金和能力建设方案，并推动由联合国开发计划署管理的全球环境基金方案。", "我们应对气候变化的对策必须植根于政治和技术创新。我们在可持续发展领域应对气候变化的对策应同样有力。大会、经济及社会理事会、可持续发展委员会以及联合国环境规划署都是有效讨论并采取处理气候变化问题适当措施的有公信力的具体论坛。我愿重申我国政府致力于集体努力，不懈地支持、促进并履行减缓气候变化的各项区域和国际义务，寻求确保我们这一代以及子孙后代的福祉。我们将坚定不移地作出集体努力，力求确保维护世界和平与稳定。", "马克·莱尔·格兰特爵士(联合王国)(以英语发言)：世界各地都切身感受到气候变化的影响。今天，我们讨论的是气候变化对国际和平与安全的影响。我们感谢主席国德国将这个重要问题引入安理会。在本次辩论会中发言国家数目之多生动地证明了该问题的重要性。我要特别感谢秘书长和阿希姆·施泰纳先生为我们的讨论做出有力的发言。", "有科学证据表明，气候变化的影响将包括旱灾更多、生长季节缩短以及极端天气现象更加频繁地发生。世界上那些已经遭受粮食、水和能源短缺压力的地方将更加强烈地体会到这些影响。正是在这些地方，政府并不总是有能力来做出应对。正因如此，必须将气候变化视为威胁的翻倍因子，它会加剧现有的紧张局势，并增加爆发冲突的可能性。", "由于气候变化，预计作物产量从长远来看会下降。这对于依赖农业为生的社区有着严重影响。与此同时，联合国粮食及农业组织估计，全球粮食需求到2050年将增加多达70%。生产能力的减弱，加上需求的增大，将影响到所有国家。在粮食安全已经成为不稳定根源的地区，气候变化造成的这一影响显然有可能加剧紧张状况。", "我们今天上午还听到有人讲述了气候变化引起海平面上升所造成的影响。在那些低地小岛屿发展中国家，人们会最强烈地感受到此种影响。我很高兴的是，其中许多国家将参加今天的辩论。", "资源稀缺、洪水和旱灾都有可能造成人口大规模迁移，在一些情况中是越界寻生，如今在非洲之角我们就看到这样的情况。如果人们迁往的地区本身不具备足够的资源或基础设施来满足他们的需要，则发生紧张局势和冲突的可能性便会加大。", "一些代表团对安理会是否具有讨论这个问题的授权提出了质疑。我们同意，应当充分尊重处理气候变化问题的联合国各机构的作用、职能和授权。但是，与秘书长和施泰纳先生一样，我们并不认为本次辩论将对它们产生丝毫损害。", "安理会负有维护国际和平与安全的职责。因此，它能够而且确实应当审议各种新出现的威胁。预防冲突是安理会工作的一个要素。联合王国认为，只有通过开展讨论和更好地了解涉及各领域的新挑战，包括气候变化造成的后果，安理会才能最好地履行其预防今后冲突的职责。", "因此，我们希望，即便在眼下这个很晚的时候，我们也能就主席国德国草拟的主席声明达成一致。这将发出一个有力的讯息，显示安全理事会很重视减轻气候变化给安全造成的危险。如果我们由于自满或者由于意识观念的原因而推卸这一重大责任，那么历史将不会对我们作良好的评判。", "我们如果想有效地减轻气候变化给安全造成的影响，就应当侧重于以下三个方面。", "首先，亦即最重要的是，联合国必须继续努力就气候变化问题达成一项全面、具有全球约束力的协议。目前在联合国气候变化公约框架内开展的努力至关重要。联合王国将尽其所能，支持将于今年晚些时候在德班举行的第17届联合国气候变化框架公约缔约方大会，包括支持担任主席的南非的工作。", "第二，我们需要努力加深对气候变化的影响与冲突驱动因素之间相互联系的理解。然后，我们在确定防止冲突所需的工具和行动的时候，需要借助这一理解。", "最后，我们需要在已开始审议这个问题的联合国各机构、机关和方案之间更好地分享分析结果并交流经验。由于粮食、水、能源和气候安全是相互联系的，因此，有必要采取协调一致的应对办法。", "气候变化如果得不到控制，则会加大发生动荡、资源冲突与贫穷的可能性。因此，联合王国于2007年率先把这个问题提到安理会讨论。今天，安理会审议这些影响比以往任何时候都更重要，更有价值。我再次感谢德国召集今天的辩论会。", "潘金先生(俄罗斯联邦)(以俄语发言)：我们感谢秘书长潘基文先生的发言，也感谢联合国环境计划署执行主任施泰纳先生所作的评估。", "俄罗斯始终把应对全球气候变化作为一个国际合作优先领域。我们一贯并且继续主张，应当草拟和实施一项涵盖所有国家特别是最大排放国的全球文书，并更多地考虑到俄罗斯森林作为碳汇的潜力。俄罗斯在这方面采取了建设性的政策，这体现在它已宣布在一项新的世界气候协议框架内，到2020年使温室气体排放量较1990年的水平降低10%到25%。", "然而，我们也认为，在人类向无碳经济转化的过程中，核能应当发挥特定作用。俄罗斯将继续着力发展核能，当然，与此同时也要改善核反应堆及核电站的安全系统。我们认为，目前联合国内部就气候变化问题开展的审查使我们能够就这一领域新出现的威胁作出反应。", "我们也相信，应当由作为应对全球气候变化的普遍性机制的联合国气候变化框架公约在这方面发挥优先作用，而且应当持续如此。它具备必要和充分的机制，可借以在长远上建立有效的国际气候制度，同时制定具体措施，有效应对这方面的新威胁。", "我们与小岛屿发展中国家特别是太平洋地区的此类国家一样，也对海平面的持续上升感到关切。我们欢迎瑙鲁总统斯蒂芬先生参加本次会议。瑙鲁就面临着这样的挑战。我们认为，要适当解决这个问题，就必须有效地利用气候变化公约的现有潜力，而其中最重要的领域是适应气候变化，包括通过适应基金来做这项工作。我们呼吁所有感兴趣的捐助国考虑是否有可能立即而且有针对性地向有关国家提供援助，以便适应气候变化。", "有鉴于此，俄罗斯对于一再试图把气候变化给国际和平与安全构成的威胁问题列入安全理事会议程的做法持怀疑态度。作为一种妥协，我们在大会通过关于气候变化及其可能对安全造成的影响的第63/281号决议时，加入了协商一致。我们确认安全理事会作为负有维护国际和平与安全首要责任的机构所享有的特权，但我们认为，援引该决议来作为在安理会审议这个问题的依据是不正确的。该决议是经联合国所有会员国都参加的数月艰苦谈判之后取得的结果，它反映了一个事实，那就是，许多国家并不希望看到气候问题被列入安理会议程。", "我们还要指出，采用相同标题而且是根据该决议草拟的大会报告(A/64/350)中并未包含严肃认真的论据来证明那些主张把这个问题列入安理会议程的国家的立场。报告只是提到气候变化对安全的假设性影响，而不能准确地预估这些影响。它没有提供实证数据来具体说明这些现象之间的任何相互关联。尽管报告中载有关于这方面进一步工作的非常平衡的结论和建议，但是，报告中没有一次提到安全理事会，这一点很能说明问题。", "有鉴于此，我们认为，让安全理事会参与定期审查气候变化问题，丝毫不会产生增值作用，而只会导致这个问题被进一步政治化，增加各国间的分歧，这将是一种极其不良的后果，尤其是在坎昆缔约方大会成功结束之后以及德班会议举行之前。", "奥索里奥先生(哥伦比亚)(以西班牙语发言)：主席先生，首先，请允许我感谢你和德国召开本次公开辩论会并为强调和促进本议题的重要性做出重大努力和开展了工作。我也谨欢迎瑙鲁总统马库斯·斯蒂芬先生阁下，并表示我们对他的声援和对他的关切的理解。", "潘基文秘书长和联合国环境规划署执行主任阿希姆·施泰纳先生的发言十分发人深省和重要，并强调了我们必须处理的气候变化问题的规模。", "气候变化这一全球现象，影响到今生后代，无疑是人类历史上最严峻的挑战之一。其当今影响几乎给世界上所有活动都带来了后果，从生命本身、荒漠化和海平面上升，到粮食供应、移民和生物多样性受破坏等。显然，必须通过有关机构和在适当背景下采取行动，其中，减少人为气体排放至关重要。人为气体排放的主要造成方没有理由不承担其对世界的责任。还需要提供洁净新技术的传播和转让、平等市场准入以及保护生物多样性。这些是与有关发展权的辩论相关的概念，而发展权是一个不能放弃的合法愿望。", "气温升高、降雨常规骤变、飓风和台风等极端天气事件的强度和频发度的增加迫使人们在有关论坛举行认真讨论，考虑采取调整我们的社会以适应气候变化的措施。", "在此背景下，哥伦比亚认为，存在安全理事会必须审议的直接挑战。尽管最大程度减少气候变化的影响所需的应对措施不属安理会授权范围，但我们认为，本机构的确负有责任，在其议程上案例和冲突局势因气候变化影响而恶化时发挥作用，以提供人道主义保护措施，我们认为，这不应适用其它问题。此外，安全理事会应当在尊重国际系统各机构的授权的基础上、在各国间相互信任的氛围内帮助处理这一问题。", "数十年前，我们渴望一种综合进展愿景，我们将其称之为可持续性发展。事实证明该目标的实现依然渺茫，因为我们各国的社会和经济体是以短期、针对具体部门和应急办法为基础的。我们认为，气候变化带来的问题必须以综合方式加以处理，涵盖人类活动的所有方面和结构以及采取新的行为的必要性。这是一个多数国家准备不足的挑战，这些国家仅在发展的各个方面取得微薄的进展。", "我们应当如何确定使用资源和做出努力的优先顺序？我们应当如何处理海岸线不断消失、河流满溢、冰川消融、荒漠扩张和连年不断的冰冻和干旱等问题？没有任何单一国家、国家集团或具体机构拿得出答案。正如遏制和减少温室气体排放将需要在全球层面的协调行动一样，应对气候变化的影响同样需要协调一致的国际行动。", "哥伦比亚刚刚遭遇两次、我国历史上从未发生过的罕见的寒冷期，专家估计，其破坏程度是“卡特里娜”飓风的十倍。我们不得不调动额外资源和请求国际援助，以减轻损毁后果并确保灾民的福祉。我们所依赖的自然生态系统的完整性受到严重影响。", "因此，问题不只是关乎到后代，而且它是我们今天所面临的现实。数百万人民的生存取决于以国际团结为基础的行动，以减少气体排放，保障粮食供给，以及积极应对因气候影响、疾病和害虫媒介、基础设施投资、数千物种的消失、海洋酸化和世界范围的不公平淡水分配等许多严重局势而引发的移民潮。", "哥伦比亚显然具备为保卫我们的星球而共同努力的政治意愿。我们认为，为了实现和平与繁荣条件下的可持续发展，需要集体承诺。", "阿罗德先生(法国)(以法语发言)：法国赞同将以欧洲联盟的名义所作的发言。", "自从2007年上次安理会举行关于气候变化问题的辩论以来(见S/PV.5663)，科学取得了进展，事实得到了证实，对风险进行了进一步分析，施泰纳先生在他的发言中如此指出。因此，我赞扬安全理事会主席国德国倡议举行关于气候变化对国际和平与安全的影响的辩论会。", "气候威胁令我们所有人感到关切。它尤其威胁到我们小岛屿太平洋国家伙伴，它们的存在岌岌可危，它们的领土、文化和特征的生存同样岌岌可危。瑙鲁共和国总统马库斯·斯蒂芬先生——我欢迎他今天与会——比我更有资格谈论影响到他所在区域岛国的巨大挑战。我为我们不能响应他的呼吁感到十分遗憾。", "此外，农业生产力受到威胁。我国将粮食安全作为我们担任20国集团主席工作的优先事项。如果出现长期粮食短缺的局面，我们又如何维护国际和平与安全呢？", "它在水资源缺乏的地区也是一个威胁，并引发紧张局面。如果水资源日趋匮乏，我们又如何确保其适当管理呢？", "它对于沿海区域的生存性也是威胁。世界人口的三分之二生活在那些区域。", "事实是清楚的：气候变化极具破坏稳定的潜力，并可使最为脆弱的区域和国家的和平与安全面临的威胁成倍增加。", "国际社会正为应对气候变化构成的各种挑战积极行动起来。仍有时间避免其最坏的影响，但我们必须迅速采取行动。为此只有一个办法，那就是国际合作。", "我们在德班会议上制定抱负远大的多边对策方面必须开始新的阶段。我们必须在行动上推动执行在坎昆通过谈判达成的协议。我们还必须捍卫《京都议定书》，制定一项内容更为广泛的法律文书。", "我们还必须努力应对针对具体部门的威胁，并促进伙伴合作关系。这是将于2012年3月在马赛举行的世界水论坛的目标。", "让人人享有洁净能源是另一优先事项，因为发展本身就是应对气候变化的一个途径，并能促进预防和减少冲突。正是在这一背景下，法国和肯尼亚于今年4月共同发起巴黎-内罗毕倡议。", "最后，我们必须振兴促进可持续发展的全球伙伴关系，并于2012年6月在里约通过一项抱负远大的路线图，推动向得到稳固、资金充足和有效的机构支助的绿色经济的全球过渡。", "国际社会已经看到与气候变化相关风险的多样性，并且正在各个论坛上采取措施。在这种背景下，应当考虑到气候变化对维护国际和平与安全的影响。因此，安全理事会按照其授权，必须负起它的责任。", "安理会并没有侵犯其它联合国机构的职能，也不想取代其它论坛，特别是《气候变化公约》下设论坛。安理会今天只不过是在正视一种新型的威胁，它们形式多样、复杂并且扩散蔓延。本着这种精神，我们今天正在探讨这些威胁的影响以及安理会应对这些威胁的能力。因此，今年2月，安理会在巴西担任主席国期间举行了一次关于和平、安全与发展问题的有益辩论会(见S/PV.6479)。安理会今天正是本着同样的精神审议气候变化问题，特别是在预防冲突领域这样做，同时严格遵守其授权和《联合国宪章》。", "因此，我国代表团感到遗憾的是，安理会的应对方式有别于它在安全与发展问题辩论会上的做法。尽管主席作出了种种努力，但安理会今天不准备就气候变化对维护国际和平与安全的影响发表一份集体声明。以官僚主义关切为由来反对我们受到气候变化威胁的伙伴们发出的痛苦呼吁与所涉问题的严重性不符。这有失体面。", "不过，我们要面对现实。安全理事会仍需努力分析这些威胁，并且更好地认识将受到气候变化最直接影响的冲突的原因。安理会还必须考虑自身决策的影响。例如，安理会必须从今天起就采取措施，以确保维持和平行动减少碳排放和对环境的影响。因此，我高兴地看到秘书处在这方面采取了措施。", "今天的辩论会只不过是第一阶段。它必须成为对联合国所有人发出的行动号角。气候威胁意味着我们自己必须动员起来：首先是在短期，确保德班气候大会和里约气候变化问题大会取得成功；在中期，预防可能出现的冲突；从长期来看，拯救这个星球。我国代表团坚信，安全理事会必须再次讨论这个问题，并且在今后以一个声音发言。这样做并非好高骛远，只不过是考虑到我们面临的不幸现实。", "萨拉姆先生(黎巴嫩)(以英语发言)：我要感谢潘秘书长的重要介绍性发言，也感谢联合国环境规划署执行主任施泰纳先生激励人心的通报。主席先生，我还要感谢你组织安全理事会的本次辩论会，讨论气候变化在维护国际和平与安全背景下的影响。", "首先，请允许我与我阿拉伯集团、不结盟运动以及77国集团加中国的伙伴们一道强调，我们认为，根据大会第63/281号决议，联合国系统中处理包括气候变化在内的可持续发展问题的责任被赋予大会和经济及社会理事会，而且，《联合国气候变化框架公约》是处理气候变化问题的主要文书。", "然而，我们今天侧重讨论气候变化可能对安全产生的影响并不构成安全理事会对联合国其它机关职能和权力的侵犯，因为同一项决议——第63/281号决议——还", "“邀请联合国有关机构，酌情根据各自的任务，进一步努力审议和处理气候变化问题，包括它可能对安全产生的影响”。", "本着同样的原则，我们今天的辩论除了加强对气候变化可能对安全产生的影响的意识外，还应被视作联合国不同机关工作相互补充的体现。", "科学界存在广泛的一致意见，认为我们的星球正在变暖，主要是由于至少从18世纪以来的人类活动，而且，上个世纪的变暖速度达到历史高点。政府间气候变化专门委员会在2007年确认了这些变化从未像现在这样严重，并且对它们可能对地球及其居民产生的影响发出警告。", "关于气候变化与冲突，包括武装冲突之间的关系问题，秘书长2009年的报告(A/64/350)把气候变化确定为成倍加大威胁的因素，它会加重长期贫困和资源管理和冲突解决体制薄弱造成的各种威胁。包括海平面上升在内的与气候变化相关的新威胁有可能导致像小岛屿国家这样的国家整个消失；荒漠化和农业用地流失加快有可能导致粮食无保障、贫困现象增加和发展遭到逆转；移民和流离失所者的流动有可能成为邻近地区社会和政治紧张的源头；水资源匮乏可能加剧对自然资源的争夺。", "地球上没有哪个区域不受影响。但是，必须强调的是，气候变化的影响在已经存在脆弱因素的地方将更加严重。最不发达国家的情况就是如此。", "气候变化的全球性要求所有国家根据它们共同但有区别的责任以及各自的能力开展合作。还须铭记，如果不把国际社会掌握的所有相关手段付诸于行动，国际社会就无法战胜气候变化的不利影响。", "在这方面，联合国各机关应当在各自授权范围内，调动它们在减轻、适应、融资、技术发展与转让以及能力建设方面的所有资源，以便应对和减轻全球变暖的消极影响。在这方面，安全理事会应当，除其他外，在尽可能早地处理气候变化可能对安全产生的影响方面发挥预防冲突的关键作用。", "马沙巴内先生(南非)(以英语发言)：我们要感谢秘书长今天上午所作的发言。同样，我们要向联合国环境规划署执行主任阿希姆·施泰纳先生所作的全面通报表示真诚感谢。我们欣见瑙鲁共和国总统马库斯·斯蒂芬先生阁下与会。他今天出席会议恰恰体现出海平面上升对他的国家和其它低地地区的切实威胁。", "首先，我要表示，我国代表团赞同将由阿根廷代表以77国集团加中国的名义和埃及代表以不结盟运动的名义作的发言。", "南非重申大会第63/281号决议，这项决议邀请联合国有关机构酌情根据各自的授权，进一步努力审议和处理气候变化问题，包括它可能对安全产生的影响。在这方面，召开本次辩论会是适时和恰当的，以便强调气候变化问题的实际情况及其给非洲国家和发展中国家整体，特别是小岛屿发展中国家和最不发达国家构成的威胁。正是这些国家承担着过多的气候变化的影响。", "我们谨重申77国集团加中国众所周知的原则立场，即气候变化不仅威胁发展前景和可持续发展实现，它也威胁各国社会的存在和生存本身。", "政府间气候变化专门委员会的《第四次评估报告》表明，如果今后几年不对气候变化采取行动，将产生可怕的后果，特别是在小岛屿发展中国家，它们已经遭受这一现象缓慢开始的影响。这责成我们以公平的方式处理这个全球问题。在这方面，我们同其他代表团一道，要求充分和有效执行《关于小岛屿发展中国家可持续发展的巴巴多斯行动纲领》和《进一步执行巴巴多斯行动纲领毛里求斯战略》中的各项承诺。", "发展中国家正在努力消除贫困和不发达状况，并改善我们人民的生活质量。但是，我们继续面临资源匮乏，并且为应对气候变化的后果所做的准备相对较差。最不发达国家，特别是在非洲和亚洲的最不发达国家，以及小岛屿发展中国家都无力承担这些费用。为此原因，我们继续呼吁首先增加资源，其次转移技术，而后建设能力，以帮助发展中国家应因气候变化产生的严重后果。", "南非坚决认为，《联合国气候变化框架公约》(气候公约)和《京都议定书》仍然是应对气候变化的更广泛挑战的最佳工具。为了有效处理气候变化提出的挑战，我们大家都必须继续履行《气候公约》和《京都议定书》规定的义务。这必须符合有关共同而有区别的责任的基本原则。《气候公约》向全体会员国，包括小岛屿发展中国家和最不发达国家，提供了它们全力以赴的机会，同时确保同伙伴进行积极交流。", "安全理事会成员能够对《气候公约》的这些进程所作的贡献就是确保加强而不是分裂气候制度的架构。只能通过一个有规则可循的强大国际制度才能有效应对这一全球挑战。应当加强《气候公约》和《京都议定书》，并且应当尽早完成第二个承诺期的拟定。", "最后，南非作为《气候公约》缔约国第十七届会议的主席国，它认为本次辩论会提供了提高认识和交换意见的机会，以便加强应对气候变化的全球努力，首先把它当作一个可持续发展问题，其次重新强调必须把气候变化的辩论保留在《气候公约》和《京都议定书》范围内。", "就我们而言，我们将不遗余力地确保各方尽力在德班取得各方驱动的平衡和可信的成果。在这方面，我们将依靠主席团同《气候公约》秘书处进行最佳配合，并以包容各方和透明的方式同各方及其区域集团进行协商。", "蒙加拉·穆索奇先生(加蓬)(以法语发言)：同气候变化作斗争是阿里·邦戈·翁丁巴总统阁下的“对未来充满信心”项目的主旨之一。因此，我国代表团充分支持德国的倡议，在安全理事会第二次审议气候变化的安全影响，而这一现象是国际社会许多年来关切的主要问题。", "我们谨感谢秘书长和联合国环境规划署执行主任的详尽发言。", "正如各位成员所知，2007年4月17日在联合王国主持下，安理会就这个主要问题举行了历史性的辩论会，着重讨论能源、安全与环境问题。正如就主席声明草案进行的辩论所表明的那样，该草案不幸没有获得共识，许多人对安全理事会处理这个问题是否恰当继续表示强烈的保留意见。我国代表团持相反的意见。", "越来越清楚的是气候变化导致缺水，造成滨河国家之间的紧张关系，例如在中亚，以及这些国家国内族群之间的紧张关系。这也发生在无数非洲国家。在另一些情况中，气候变化加剧了冲突和世界生态系统的不平衡。如不进行有效合作，气候变化不仅可能导致跨越边界的人口移徙，它还可能大幅造成能源、生态、森林和水资源的更加缺乏。恰恰由于这一现象的跨领域性质，安全理事会必须进行更多的参与。", "鉴于国际舞台上的事态发展，维护国际和平与安全不再是单一性的工作。军事层面继续居于重要地位，但是，我们不能仅仅用军事层面来界定今天对我们的集体安全造成影响的相互交织的威胁。面对国际和平与安全遭遇的新威胁，安理会应当拥有使它能够评估局势的范围和严重性并从而预先采取行动的工具。我们认为，预防性外交的工具能够帮助各国作出协同增效努力，减少新威胁的影响。在这方面，我国代表团欢迎联合国区域办事处在制定和执行预防性战略方面向各国提供的大量援助。", "除了我们在这个核心问题上的意见分歧之外，安全理事会必须在同联合国其他相关机构的合作下，制定合作框架，以期更有效地打击这一现象。气候变化的影响真实存在，并且已经对我们的日常生活造成影响。温度正在上升，极端气候事件越来越频繁。", "由于非洲的适应能力低，它是最易受气候变化打击的大陆之一。我们提请国际社会注意，必须帮助非洲解决这一现象。岛屿国家也是如此，它们日益遭受气候变化的破坏性影响，它们的生存取决于我们承诺最紧迫地采取行动。瑙鲁共和国总统马库斯·斯蒂芬先生阁下在稍后的发言中将提出这些国家的关切，我谨欢迎他出席本次辩论会。", "最后，我谨向安理会保证，加蓬将继续密切参加旨在减少气候变化的负面影响的国际努力。", "哈迪普·辛格·普里先生(印度)(以英语发言)：首先，我谨感谢秘书长和联合国环境规划署执行主任阿希姆·施泰纳的发言。各国对于今天公开辩论会的关心和参与程度证明我们大家对气候变化议题的重视。因此，我谨特别欢迎瑙鲁总统阁下和其他要人今天出席我们的会议。我期待着听取他们对我们讨论的问题的观点。这是一个摆在全球发展议程前列的挑战，是小岛屿国家密切关心的问题，它对这些国家的生存构成威胁。", "总体上讲，气候变化正开始影响到全球社会的安全，如同贫困、粮食安全和欠发展继续破坏国际安康一样。笼统地认定气候变化导致干旱、洪水、天气模式变化、缺水缺粮和暴力冲突，这还需要经过科学分析和实践的充分检验。", "政府间气候变化问题小组的第四次评估报告和其他科学机构毫不含糊地谈到这种不确定性。秘书长题为《气候变化和它可能对安全产生的影响》的报告也证实了这一点，报告结论指出：", "“尽管气候模型在预测自然系统的未来长期行为方面已取得了显著进步，但是，气候变化及其实际影响的科学仍面临一些不确定性”(A/64/350，第8段)。", "另一方面，海平面上升现象正在发生。有可核实的证据显示，到2100年海平面可能上升一米或一米以上，这可能导致若干小岛屿国家消失和许多沿岸国的沿海低洼地区淹没。我们特别认识到该问题的严重性，因为居住在我国岛链和沿海地区的人民同样面临这种脆弱性。还有国家消失和居民被迫流离失所的问题令人严重担忧。", "面对这些挑战，国际社会必须采取哪些行动？答案很清楚，首先必须立即采取补救行动，而非专注在遥远的将来气候变化引起的这种灾害的影响。", "这次辩论会的概念文件(S/2011/408，附件)指出，今天辩论的目的是让安理会能够按照其受权规定讨论气候变化对安全的影响，从安全角度推动有关该问题的对话。在这种背景下，需要牢记，虽然安全理事会可以辩论该问题并肯定气候变化带来的脆弱性和威胁，但安理会没有办法解决这种局面。安理会无法依照《联合国宪章》第三十九条解决或补救岛屿国家面临的生存威胁或气候变化引起的粮食不安全问题。这些问题显然需要用更广泛的办法来解决，立足于发展、适应能力、风险评估和体制建设。因此，我们难以接受气候变化的影响已经超出《联合国气候变化框架公约》(气候公约)的任务规定的说法。", "如果我们认真想要解决气候变化带来的各种脆弱性，我们有关气候变化的讨论重点就必须放在减少温室气体排放和加强脆弱国家的适应能力上。我们商定的稳定气候，将全球平均升温限制在不高于工业化前水平2℃的全球目标需要有在共同但有区别的责任、各自能力和公正的原则基础上承诺减排的支持。维护《京都议定书》及其第二承诺期的架构、尽早发放在坎昆商定的“快速启动融资”和正式启动“绿色气候基金”、技术机制和适应工作委员会都至关重要，可为气候公约进程注入新的势头。", "对气候变化负有历史责任的国家必须坚定承诺减少温室气体排放，并确保为发展中国家，特别是小岛屿国家提供足够的资源和技术，让它们能够适应气候变化。如果我们能够成功地采取必要的缓解和适应措施，有关气候变化对安全的影响的担忧将在很大程度上得到化解，况且这种担忧还没有得到充分证明。这也将减轻有些代表团在会上竭力强调的预防性外交的负担。", "我们认为，今天国际和平与安全面临的一个更大问题是发展中国家面临因发展和消除贫困的资源不足而可能产生冲突的威胁。因此，必须追求持续经济增长和发展，使发展中国家能够减轻贫困，满足所有人的基本生活标准。这本身就将使发展中国家能够更好地应对气候变化产生的脆弱性。", "概念文件还强调粮食安全的脆弱性，同时假定这与气候变化有着名副其实的关系。可能有这样的情况。但我们最近经历的粮食短缺，如在2008年发生的情况和今年的高通胀都显示，制约全球粮食安全问题的主要因素远远不是气候变化。农业保护主义、粮食商品交易投机过度和将农作物用于非食品用途，这些做法都正在将我们领向全球粮食形势不可持续的局面。这需要全球紧急关注。", "只有我们认识到问题的重心所在，我们审议气候变化对安全的可能影响的努力才能有结果。我们绝不能将政治动议与行动混为一谈。气候变化问题需要所有会员国的集体认识和支持。因此，行动必须符合《气候公约》。当我面对小岛屿国家的生存威胁问题时，我想到了圣雄甘地的话，他说：“所有妥协都基于互相忍让，但在基本原则上不能忍让”。让我们尽力帮助小岛屿国家和全体人类。", "莫赖斯·卡布拉尔先生(葡萄牙)(以英语发言)：主席先生，我和你一样热烈欢迎瑙鲁共和国总统参加安理会会议。他的出席确实说明了瑙鲁和其他小岛屿发展中国家所面临的挑战的严重性。", "主席先生，我感谢安理会轮值主席德国和你本人组织召开这次辩论会，讨论气候变化对安全的影响问题。多年来葡萄牙始终非常重视这项问题。我感谢秘书长的重要发言，也感谢施泰纳先生非常有益的情况介绍。正如施泰纳先生雄辩地说明，我们地球上某些地区确实面临着严重的威胁。", "正如我一再声明的那样，葡萄牙不认为安全理事会是谈判气候变化问题或甚至讨论减缓和适应环境脆弱性措施的论坛。这些问题属于其他机构讨论的范围，它们具有处理这些问题的合法性和适当工具。然而，安理会有确定和处理新的挑战，确保这些挑战不导致紧张并最终导致冲突的作用。因此，我们认为，安全理事会讨论气候变化产生的某些后果对促进国际稳定、和平与安全可能有所作用。出于同样的原因，葡萄牙希望，我们仍然可以就今天讨论的结果达成共识。", "我们强烈认为，我们应该能够制定具体战略，使联合国机构，包括安全理事会能够采取全面、综合、连贯的对策应对这些风险。当那些受气候变化影响格外严重、连其本国存在都岌岌可危的联合国会员国呼吁采取这种做法时，它就显得尤其具有现实意义。我愿再次提及太平洋小岛屿发展中国家的具体例子，对它们来说，气候变化的消极影响不再是一种可能情况，而是一个非常具体的现实。海平面的上升可能最终导致失去整块领土，但是在此之前这些岛屿国家可能早就无法居住了。", "当这种情况发生时，有若干显然会造成国际影响的问题需要加以回答。我们如何处理需要重新安置的人口？他们去哪里？他们怎么才能到那里？我们如何管理并缓和重新安置引发的紧张？我们如何处理领土消失的法律后果，例如边界、经济区和大陆架权利的界定问题？如果我们不能集体处理这些问题，就有可能不仅导致人道主义灾难，而且造成广大区域内严重紧张局势激增，从而威胁到和平。我确信马库斯·斯蒂芬总统将为我们十分生动地分析这些问题的各种错综复杂性。", "荒漠化及其对粮食生产和水源获取的影响也应值得我们在本次辩论会中予以关注，因为其影响常常超越国界。我们要记住，所有陆地面积中有47%属于国际河川流域，而200多个河川流域是多国共有的。随着对水的需求的增加，水资源引发的紧张甚或冲突也将有所增加。", "荒漠化和气候变化造成的粮食日益匮乏也是人们被迫流离失所的原因，最近联合国难民事务高级专员安东尼奥·古特雷斯先生在其关于气候变化、自然灾害和人类流离失所问题的报告中承认了这一关联。这首先是一个人道主义和发展问题，但是，我们都知道，那些社会和经济脆弱的国家遭受的荒漠化影响最为严重，其中一些国家刚刚摆脱长期的冲突与不稳定。如果说荒漠化造成的人口流动具有跨界甚或区域层面的话，那么其对安全的影响就很有可能超越某个特定国家的边界，有可能破坏冲突后稳定与建设和平的努力取得进展。", "如果处理得当，那么因气候变化其影响扩大的安全挑战就未必会导致冲突。我们认为，与安全理事会定期讨论的许多其它问题一样，在该领域我们同样应优先采取预防性做法，并优先建立预警机制。我们还应与已经在从安全角度处理气候变化的安全影响的其它国际组织包括欧洲联盟和非洲联盟一道，积极讨论该问题。我们必须思考我们的行动怎样才能相辅相成并彼此加强，以便更为有效地应对问题。在这一背景下，葡萄牙作为欧洲联盟的一个成员，理所当然地赞同晚些时候佩德罗·塞拉诺大使将就这些问题表达的立场。实际上，全球性问题需要集体应对，当资源缺乏时，这一点就尤其重要。", "最后，在不久的将来，气候变化的影响有可能会加大。我们今天在此讨论的可能对安全的影响将有可能变得日益明显。这就是为什么我们认为今天的辩论会不应是一个一次性活动，而应是朝着安全理事会基于有关气候现象消极影响和平与安全具体情况的可靠信息，持续定期审议该问题迈出的一步。这将使我们能够更完整地了解气候、发展与安全之间复杂的关联，从而加强我们预防冲突并促进国际合作的能力。", "主席(以英语发言)：我现在以我国代表的身份发言。", "德国赞同欧洲联盟观察员将作的发言。", "首先，我愿与其他人一道，感谢秘书长参加今天的辩论会。他的发言及出席是联合国参与气候变化及其对安全的影响的辩论的一个强烈信号。也请允许我和我的同事们一道，感谢联合国环境规划署执行主任施泰纳先生颇具见地、非常翔实的通报。", "1年多以前，太平洋小岛屿国家敦促安全理事会审议气候变化对安全造成的影响的问题。它们呼吁安全理事会履行其维护国际和平与安全的任务。这些国家敦促安全理事会采取行动的原因很清楚：它们今天已经遭受到气候变化给安全带来的影响。它们不得不应对海平面不断上升、陆地消失以及资源日益匮乏的问题。这些国家的政府不得不重新安置其人民，并确保分配基本用品不会变成为生存而打的暴力战争。对它们来说，气候变化的安全层面清晰可见。这是它们每天都要面临的挑战。", "小岛屿国家的处境本身就表明，安全理事会有充分理由讨论今天的问题。此时此刻，或许应回顾，联合国特有的合法性始终来自于各国平等。无论大小贫富，每个国家都享有同样的权利，来处理对其生存的担忧和威胁。", "但是，安理会辩论气候变化的安全层面还有更多理由，因为今天发生在一些小岛屿国家的事情明天可能会发生在其它国家。多数国家的安全机构认为，全球变暖的威胁是21世纪面临的最大挑战之一。如果我们审视一下安理会议程上的各种冲突，就不难发现，就在今天，这些冲突中已经有相当一部分是由荒漠化、缺乏水源和跨界移民增加引发的。我们毫不怀疑，气候变化导致的环境恶化常常是冲突的一个动因。我们都知道，这类冲突不会孤立存在于某个单一国家，恰恰相反，它常常破坏整个区域的稳定。我们还应铭记，不是所有国家和社会都有同样的能力适应其环境中的剧烈变化。", "安全理事会的任务是维护国际和平与安全。我们坚信，安理会有义务采取前瞻性行动，尽最大努力在危机激化之前预防危机。因此，我们欢迎安理会之前就曾成功辩论过冲突的结构性层面，如发展与安全的彼此关联或艾滋病毒/艾滋病与安全的关系。", "我们铭记安全理事会的授权，建议今天的辩论会严格侧重于气候变化对安全的影响。请让我表明一点：德国不希望安理会侵犯《联合国气候变化框架公约》或联合国其它机关的权限。我们过去和现在都不打算支持任何侵犯行为。", "我们感到遗憾的是，至少到目前为止，尚未能够就今天会议的成果文件达成一致。我愿重申，德国非常希望，安全理事会能超越对严重危机的日常管理，而考虑造成冲突的根本原因。我们打算要求秘书长为这些讨论提供一个妥善依据。尽管我们原本希望并仍旧希望安理会就该请求找到共同点，但是，会员国对今天辩论会表现出的强烈兴趣表明了一点，即：会员国愿意看到将该议题列入安理会议程。", "我现在继续行使安理会主席的职能。", "我请礼宾干事陪同瑙鲁共和国总统马库斯·斯蒂芬先生阁下在安理会议席就座。", "瑙鲁共和国总统马库斯·乌斯蒂芬先生在陪同下在安理会议席就座。", "主席(以英语发言)：我现在请瑙鲁共和国总统马库斯·斯蒂芬先生阁下发言。", "斯蒂芬总统(以英语发言)：首先，我要感谢德国主持本次关于气候变化及其对维持国际和平与安全的影响的重要辩论会。", "我谨代表太平洋小岛屿发展中国家——本地区最易受气候变化影响的国家——即斐济、马绍尔群岛、密克罗尼西亚、帕劳、巴布亚新几内亚、萨摩亚、所罗门群岛、图瓦卢、汤加、瓦努阿图和我国瑙鲁共和国，以及马尔代夫、塞舌尔和东帝汶等国发言。", "上个月，国际能源署宣布，2010年，二氧化碳排放量达到历史最高水平。去年还平了最炎热年记录，并且北极海冰容量下降到自开始采用测量法以来的最低水平。与此同时，灾难性的干旱、森林大火以及洪水给全世界各国造成严重破坏；科学家们现在预计，到本世纪末，海洋将上升一米以上——结果是，太平洋和其他地方的许多小岛屿可能被淹没。尽管进行了长达20年的谈判以便将温室气体排放量减少到安全水平，但这一切还是发生了。", "我们现在必须接受这样一个令人不安的现实：大气层中存在如此多二氧化碳，严重影响现在已不可避免，我们必须做好准备。", "我感到沮丧，并时常感到疑惑：如果对换角色，我们将处于何种境地。如果是我们岛屿国家造成的污染威胁到主要排放国的生存，那将会怎样？在这种情况下，今天的辩论将会是什么样的性质？但是，这并不是我们所生活的世界，这对我们来说也不是一种假设。我们许多国家面临一个最大的安全挑战：那就是生存。出于这一原因，我们今天来到安全理事会。", "由于气候变化，我们的岛屿正面临危险的、可能是灾难性的影响。这些影响有可能破坏我们各国社会和政治机构的稳定。我们的粮食安全、水安全以及公共安全已经遭到破坏。海平面上升正在侵蚀我们的海岸线，并在一些情况下损害至关重要的基础设施。领土丧失可能破坏传统的土地拥有制，并且引发争夺土地和其他越来越稀缺资源的冲突。一些岛屿可能完全消失，随之消失的是数千年文化遗产。这将迫使我们大批公民迁移，先是向内地迁移，然后是移居国外。即便有一项雄心勃勃的应对气候变化新协议，但许多这些影响现在是不可避免的。", "安全理事会确认，安理会可在预防冲突爆发、而不是仅仅在冲突爆发之后促进解决冲突方面发挥作用。出于这一原因，安理会确认有必要处理冲突根源——可能会造成社会紧张和民间动乱的非传统安全威胁，例如贫困、不发达、争夺自然资源，以及艾滋病毒/艾滋病。关于此类问题和其他问题，安全理事会对这些问题做了评估，并同联合国其他机构一道制定了处理这些问题的各种工具。", "今天，这正是我们对安理会的要求。应对气候变化的国际对策必须是全面的，尤其考虑到气候变化的全球性质及其对社会方方面面造成的影响。", "毫无疑问，《联合国气候变化框架公约》(气候公约)是、并且必须仍然是制订国际战略以减少气候变化、调集财政资源，以及促进适应、规划及项目执行的主要论坛。大会必须继续处理气候变化和可持续发展之间的联系。", "同样，安全理事会可在协调应对气候变化造成的的安全影响方面发挥明确的作用。在2009年大会关于气候变化和它可能对安全产生的影响的决议(第63/281号决议)中，我们同意，联合国所有有关机构，应根据各自的任务，进一步努力处理气候变化问题，包括它可能对安全产生的影响。有效的国际对策需要进行救灾规划与备灾、详细评估脆弱性与风险、更有效的多边协调，以及预防性外交。", "在我们与安理会成员的交谈中，我们听到一个响亮、明确的声音，即他们理解太平洋和其他岛屿国面临的安全挑战，并且对我们表示声援。然而，声援要求不仅仅表示同情，而是要正式承认，气候变化是对国际和平与安全的威胁。这是一个同核扩散或恐怖主义一样大的威胁，它有可能破坏各国政府的稳定并引发冲突。核扩散或恐怖主义都从未导致一个国家的消失，尽管这正是我们今天所面临的现实。", "安全理事会还问我们，安理会能够采取何种具体措施来处理这一问题。请允许我告诉安理会。", "安理会首先应该要求立即任命一名负责气候与安全问题的特别代表。该代表的首要职责应该是分析预计气候变化造成的安全影响，因此安理会和全体会员国能够理解面前的挑战。安理会还应该要求评估联合国系统应对此类影响的能力，以便使脆弱国家放心，联合国系统有能力完成这项任务。", "这些建议是使国际社会从反应文化转为准备文化的绝对最低要求。正如秘书长在其关于气候变化和它可能对安全产生的影响的报告中所断定的那样：“国际社会必须预料到并做好准备应对一些气候变化构成的空前挑战，现有机制可能不足以应对这些挑战”(见A/64/350，中文第26页)。", "许多国家对安全理事会越权行使大会和《气候公约》的职责范围表示关切。我们理解和赞同这种关切，正因为如此，我们特地把我们提案的范围局限在应对气候变化对安全产生的影响。不过，我们更关切的是海平面不断上升对我们岛屿国家造成的实际侵蚀。", "我们深感失望的是，此次辩论会将不会产生正式成果。让历史证明，我们再次敲响警钟，但世界作出了不采取行动的选择。安全理事会要继续发挥作用，就必须体现当前的地缘政治现实，就其成员构成和工作内容来说都应如此。我们赞扬安理会最近决定探讨发展、文化与宗教宽容、艾滋病毒/艾滋病问题以及妇女、和平与安全等各种各样问题对安全的影响。然而，安理会如果选择忽视气候变化这个我们当代最大的安全威胁，它就会使它自己变得无关紧要。", "请允许我明确无误地指出：气候变化带来的安全风险正是在《气候公约》框架下紧急达成具有法律约束力协定的原因所在。国际社会必须使所有排放大国朝着大力减排的方向努力。目前的承诺严重不足，而且会使许多太平洋小岛屿国家、作为小岛屿国家联盟成员的联合国会员国以及整个世界陷入以广泛冲突与不安为特点的未来中。", "安全理事会根据《联合国宪章》负责维护国际和平与安全。世界上许多当今的大国和新兴力量今天坐在我的面前。我促请它们不要头埋在沙堆里，而是抓住这个机会发挥带头作用。我吁请它们履行职责，负责任地应对气候变化对安全产生的影响。", "主席(以英语发言)：我现在请澳大利亚代表发言。", "Marles先生(澳大利亚)(以英语发言)：首先，请允许我感谢德国给我机会在安理会发言，谈一谈气候变化对安全产生的影响。也请允许我表示，我很荣幸在安理会紧随我的同事和好朋友瑙鲁总统马库斯·斯蒂芬先生阁下之后发言。", "气候变化是一个全球性威胁，而不是一个抽象的关切。它已经在严重影响这个星球。空气中的二氧化碳含量处于100多万年以来的最高点。对许多小岛屿发展中国家和低地国家来说，气候变化是一个事关存亡的威胁。气候变化的影响有可能影响脆弱国家的政治和社会稳定以及经济安全，从而改变未来的全球安全环境。极端天气现象增加有可能进一步加剧粮食和水安全挑战，破坏社区发展、损坏重要基础设施、削弱国家治理，并且使社会凝聚力变得紧张。所有国家都将面临气候变化的不利影响，但是，全世界最脆弱的人们，他们对我们现在面临的全球挑战责任最小，却将要承受最大的苦难。", "我作为澳大利亚太平洋岛屿事务政务次官，访问过将受到气候变化最严重影响的一些国家。事实上，澳大利亚的22个近邻中有20个是发展中国家，其中大多数是小岛屿发展中国家。", "在我们区域，气候变化最严重的影响之一有可能是世界海洋变暖扩张以及冰川和冰盖消融造成的海平面上升。到本世纪末，海平面上升有可能高达1米，导致更严重的风暴侵袭、海岸被淹没和陆地损失。国际社会现在比以往任何时候都更需要理解这个现实：岛屿和低地国家有可能因海平面上升而无法居住。对于像马绍尔群岛这样的低地岛屿国家来说，海平面上升1米会导致该国首都马朱罗岛礁80%的面积遭到侵蚀和吞噬。", "如果有人曾像我一样站在马朱罗，没有任何其它地方可去，看到包围这片狭长平坦土地的海洋，就会对那些居住在小岛屿上人们强烈的脆弱感感同身受。海洋无处不在，而且长期以来一直是粮食、生计和舒适生活的来源，现在却正在变成焦虑和威胁的源头。就中短期而言，海平面上升、更猛烈的风暴以及淹没土地综合在一起，将给沿海生境带来更大的压力，并且有可能导致地区性的人口流离失所。从长期来看，如果内部安置不再是一个办法，由于人们的生活和生计越来越面临风险，气候变化就有可能破坏人口流动的稳定。", "容易受到气候变化影响的当然不局限于岛屿国家。由于气候变化而加剧的干旱、洪灾以及水土流失给非洲以及其他地区的农业生产以及粮食和水安全构成严重威胁。荒漠化吞噬了大片土地，而且，随着气候变化的恶化将导致耕地数量继续减少。", "应对气候变化这一全球性挑战的唯一办法是通过强有力的全球合作和强有力的国家行动。二者缺一不可；二者相互补充。我们知道对于在联合国系统内部应当由哪方面来负责处理气候变化问题存在某种关切。首先请允许我重申，澳大利亚认为，《联合国气候变化框架公约》(气候公约)是应对气候变化问题最主要的政府间文书。澳大利亚致力于这一进程，这体现在由《气候公约》推动的国内政策改革上。7月10日，澳大利亚总理吉拉德宣布，我们将立法对碳排放征收费用，从2012年7月1日起生效。这在澳大利亚是一场艰难的政治辩论，但它也是公共政策改革一个至关重要的组成部分。2020年，我国的碳排放收费将把澳大利亚的碳污染减少1.6亿吨，相当于到2020年底减少4 500万辆汽车上路。", "第二，请允许我同样重申，我们致力于大会的根本性作用。大会独一无二和不容置疑的合法性体现了其193个会员国的声音。我们致力于大会的这一作用，因此，澳大利亚在2009年6月有力支持了大会第63/281号决议，其中明确指出，由大会和经济及社会理事会对包括气候变化在内的可持续发展问题主要负责。我们认为，首先在大会处理这个问题是正确的，也是至关重要的。正是大会在此之后请联合国所有相关机构加强它们的努力，以便考虑气候变化问题的方方面面，包括它对安全可能产生的影响。", "在这一进程中，在我们看来，安全理事会作为直接负责国际和平与安全的主要机关可以发挥作用。这一作用包括审议冲突以及政治和社会危机的根源问题。安理会通过许多议题，包括如贫穷、艾滋病毒/艾滋病等问题来处理这些问题。因此，把重点放在气候变化对安全的潜在影响上与安理会的授权相关。它没有而且也不应当与大会、经济及社会理事会或《气候公约》的授权形成竞争。", "但归根结底，究竟由谁对气候变化问题负责这个问题是一个简单的问题。气候变化挑战的重要性质意味着，责任在我们大家，在所有论坛中均是如此。澳大利亚依然认真地致力于帮助发展中国家处理气候变化问题。澳大利亚在调配快速启动成套措施时，把最不发达国家、小岛屿发展中国家和非洲当作最高优先事项，因为它们的需求最紧迫。它们不是对我们面临的当前危机负有最大责任的国家，但是，这些国家将承担最重的负担。在我们在哥本哈根承诺的5.99亿美元的快速启动资金中，澳大利亚目前已拨款4.98亿美元，超过80%。", "最后，澳大利亚认识到，气候变化是对各个国家和地区的稳定的威胁，并对今后的全球安全产生广泛影响。这就是为什么我们支持本次辩论会。我们也支持有人发出的呼吁，要求秘书长就联合国系统应对这些影响的能力，以及如何能够改善这一能力，提出一份报告。现在不对气候变化可能对安全产生的影响采取行动，将加深今后的风险。提高复原力、在我们经济的脆弱部门中考虑到气候风险，以及加强我们管理灾难的能力，只是我们为应对这些安全挑战而必须采取的一些紧迫的对策。任何严肃的会员国都无法否认，气候变化对我们的星球构成根本性的威胁。我们为了自己、为了后代和为了地球本身的未来，都应预计到这一威胁并采取行动减少它。", "主席(以英语发言)：请允许我再次提醒各位发言者，根据安理会成员之间达成的谅解，发言应限制在4分钟以内，以便安理会能够迅速开展工作。可以散发较长的书面发言稿。", "我现在请埃及代表发言。", "阿卜杜拉齐兹先生(埃及)(以英语发言)：我高兴地代表不结盟运动成员国，在有关气候变化对维护国际和平与安全的影响的公开辩论中，作本次发言。首先，我谨表示本运动对秘书长和施泰纳先生今天在安理会的发言的赞赏。", "2007年4月12日古巴常驻代表团临时代办以不结盟运动的名义给安全理事会主席的信(S/2007/203)；古巴代表以本运动名义在2007年会议上的发言(见S/PV.5663(复会一))；7月14日埃及常驻代表以不结盟运动协调委员会现任主席身份给主席的信(S/2011/427)；以及我今天代表本运动的发言，反映了本运动对于安全理事会一再试图处理气候变化问题的立场。", "本运动也注意到7月1日瑙鲁常驻代表以太平洋小岛屿发展中国家集团主席身份在写给联合国会员国的信中所表示的关切，并且对瑙鲁共和国的斯蒂芬总统阁下的光临，以及他代表太平洋小岛屿发展中国家就这一问题所作的发言，表示赞赏。", "大会关于气候变化及其可能对安全的影响的第63/281号决议，确认了联合国各主要机构的各自责任，包括赋予安全理事会的维护国际和平与安全的首要责任，赋予大会和经济及社会理事会对可持续发展问题，包括气候变化的责任。5月23日至27日在巴厘举行的不结盟运动第十六届部长级会议的最后文件以及大会第63/281号决议都强调，《联合国气候变化框架公约》(《气候公约》)是处理气候变化所有方面问题的主要文书和核心多边框架，并且是根据《公约》所载原则审议气候变化问题的相关风险并为解决它而采取必要行动的主要论坛。", "在这方面，安全理事会继续僭越大会、经济及社会理事会和相关附属机构的职能和权力，处理传统上属于这些机构职权范围以内的问题，仍然令本运动深感关切。不结盟运动强调，安全理事会必须充分遵守《宪章》在所有主要机构的职权范围之间达成微妙平衡的所有规定。本运动还强调，为了使联合国能够继续有效并有能力应对现有、新的和正在出现的威胁与挑战，各主要机构之间的密切合作与协调是不可或缺的。", "本运动还强调，必须从可持续发展的角度处理气候变化及其负面影响，提倡以全面方法解决该问题的根源。只能在《气候公约》、大会、经济及社会理事会和可持续发展委员会等相关框架中这样做。通过在处理气候变化造成的局势方面进行适当和协调的合作，这些机构最有能力以实质性的方式处理气候变化及其相关问题。", "本运动充分意识到气候变化问题的严重性和紧迫性及其负面影响，并且认知发展中国家——包括，但不限于，最不发达国家、小岛屿发展中国家和非洲——面临的挑战，以及这些影响对发展中国家的国家能力和机构所带来的巨大压力。", "本运动强调，必须履行根据《气候公约》及其《京都议定书》作出的国际承诺。各方必须按照共同但有区别的责任的原则和各自的能力采取行动。发达国家对于减少排放量和支持发展中国家适应和减缓气候变化影响的行动，承担着历史性和特殊的责任，它们须提供新的、额外和可预计的资金，并进行技术转让和能力建设。", "因此，不结盟运动强调，安理会决定召开本次辩论会不应被认为是一个先例，并且本次辩论会不应产生有损于已经在处理气候变化问题的广大会员国的相关机构、进程和工具之权力或授权的任何形式的结果。", "主席(以英语发言)：我请阿根廷代表发言。", "阿圭略先生(阿根廷)(以英语发言)：我谨感谢秘书长和施泰纳先生的发言。我也谨特别欢迎瑙鲁共和国总统阁下马库斯·斯蒂芬先生今天的光临。", "我荣幸地代表77国集团加中国在今天的公开辩论中发言，本次辩论是根据7月1日德国常驻代表给安理会的关于气候变化对维护国际和平与安全影响的议题的来信召开的。77国集团加中国希望重申其对这一议题的立场。", "按照《联合国宪章》的规定，安理会的首要责任是维护国际和平与安全。《宪章》把其他问题，包括有关经济和社会发展的问题，交给经济及社会理事会和大会。安全理事会日益僭越联合国其他主要实体的作用和责任，是对《宪章》原则和宗旨的歪曲、侵犯了它们的权力，并且削弱了联合国全体会员的权利。", "77国集团加中国强调，大会、安全理事会和经济及社会理事会按照《宪章》规定在其各自授权范围内工作非常重要。", "大会第63/281号决议认识到联合国各主要机关各自承担的责任，包括由安全理事会主要负责维护国际和平与安全和由大会和经济及社会理事会负责处理可持续发展问题，其中包括气候变化；并邀请联合国有关机关酌情根据各自的任务进一步努力审议和处理气候变化问题，包括它可能对安全产生的影响。可持续发展领域的相关机构是大会、经济及社会理事会和各附属机构，其中包括可持续发展委员会和联合国环境规划署。", "77国集团加中国认为，所有会员国必须按照里约原则，特别是共同但有区别的责任原则，促进可持续发展；全面贯彻落实《21世纪议程》和经济、环境和社会领域其他相关联合国会议成果，包括《千年宣言》。", "我们进一步强调，国际社会在提供足够、可预测、新的和额外的财政资源、向发展中国家转让技术和能力建设方面的重要作用。", "我们认为，《联合国气候变化框架公约》(气候公约)是谈判达成对气候变化的全球性对策的首要政府间国际论坛。在这方面，我们谨指出，对此挑战的适当对策不仅应该解决问题后果，而且应当解决问题根源。让我强调，完全有理由要求发达国家减排和采取减缓行动，以避免气候变化产生的不良影响。", "在这方面，我们非常担心，在现有气候变化问题谈判中，发达国家方面尚无任何明确迹象显示它们将采取根据《京都议定书》通过第二承诺期。此外，参加气候公约谈判的发达国家已经作出的现有减排保证不足以适当减少全球温室气体的排放量，使全球平均气温上升能被控制在科学认定需要的程度内。在这方面，发达国家必须加大力度。", "我们重申，需要协调国际努力，动员合作伙伴通过区域倡议，如南太平洋海平面上升和气候监测项目和加勒比共同体气候变化中心，协助各种观测网络。在这方面，我们呼吁联合国各有关机构和组织，包括人道主义事务协调厅，加强区域广播系统，在灾难期间帮助岛屿社区，并提高这些地区监测工作的效率。在这方面采取的任何措施都必须确保采用综合办法应对环境紧急状况。", "应对气候变化和灾害的影响，必须包括加强关于减少灾害风险的《兵库行动框架》，以及增加对发展中国家和受灾国家的援助，包括支持加强这些国家和地区执行备灾、快速反应、恢复和发展计划及战略的能力。", "本集团谨强调，发展中国家继续受到气候变化和极端气候事件日渐频繁和剧烈的不利影响。发展中国家最容易受气候变化的影响，需要加强对其努力的支持。在这方面，我们呼吁充分和有效期执行《关于小岛屿发展中国家可持续发展的巴巴多斯行动纲领》、《毛里求斯宣言》和《关于进一步执行小岛屿发展中国家可持续发展行动纲领的毛里求斯战略》规定的各项承诺。", "我们重申，海平面上升继续严重威胁小岛屿发展中国家及其实现可持续发展的努力，对其中有些国家的存续和生存能力构成最严重的威胁。", "77国集团加中国将继续追求实现可持续发展和消除贫困，这是我们压倒一切的首要任务，也是发达国家履行在所有相关机构中作出的承诺。", "我们强烈重申，我们期望安理会举行本次辩论会的举措不会创造先例，破坏相关机构、程序和文书的权威和任务规定，而这些机构、程序和文书已经讨论了这些问题的各个复杂方面。", "主席(以英语发言)：我现在请萨尔瓦多代表发言。", "加西亚·冈萨雷斯先生(萨尔瓦多)(以西班牙语发言)：主席先生，我们欢迎你主动倡议召开这次安全理事会公开辩论会，讨论气候变化对维护国际和平与安全的影响。", "世界现在面临其有史以来最严重的挑战之一。气候变化直接影响到千百万人民以及所有物种和生态系统。多年来，各种国际论坛和组织不断警告我们，气候变化将影响农业、畜牧业和渔业，特别是热带和亚热带地区国家。气候变化已经对非洲、亚洲和拉丁美洲边缘化地区农村小规模自给经济产生负面后果。", "萨尔瓦多和其他中美洲国家，由于其地理位置、自然环境及贫困程度和社会赤字，属于最易受气候变化影响和威胁的地区。我国现在正经历豪雨、暴风雨、干旱和极端天气事件的蹂躏，对我国公共资源、社会和经济基础与民主治理产生负面影响。", "小岛屿发展中国家的情况同样严重，它们受到气候变化的直接影响。它们遇到的主要问题包括沿海水灾、有些岛屿沉入海洋、淡水资源减少、严重旱灾、农作物损失和疾病发病率上升，以及鱼类种群面临威胁，这是这些国家许多社区的重要食物来源。瑙鲁共和国总统马库斯·斯蒂芬先生阁下以小岛屿发展中国家的名义已经介绍了上述情况。我国完全赞同他的发言。", "面对这种情况，发达国家需要作出进一步承诺，以便通过谈判取得进展，根据《京都议定书》通过第二承诺期，进而实现减少温室气体排放的目标。", "发展中国家对气候变化的责任最小，但受此问题负面影响却最严重。举一个例子，根据科学研究，估计到2030年，全球温室气体不到0.5%将来自中美洲，但中美洲已经成为最容易受这种现象影响的地区之一。", "这方面应指出，发达国家承诺向发展中国家提供技术和财政援助，使发展中国家能够履行承诺，适应气候变化和采用低碳发展模式。", "国际法的原则之一是，如果会给另一个国家造成伤害，那么任何国家都不得行使自身权利。国际环境法规定了对主权的限制，那就是，任何国家都不得以一种会给其他国家造成严重环境危害的方式使用本国领土。《气候变化框架公约》在这项原则基础上更进了一步。它宣布地球上的气候变化是全人类的共同关切。", "在这方面，我们欢迎77国集团加中国的主席、阿根廷阿圭略大使发出呼吁，要求联合国各主要机构依照《联合国宪章》所规定的任务，作出更大的努力，应对变化造成的影响及其给安全带来的后果。", "在这种情况下，安全理事会迫切需要清楚认识到气候变化对国际和平与安全构成的威胁，从而以适当的行动应对这一现象在这个具体领域造成的影响。气候变化会制约和削弱经济增长和社会进步，它导致领土脆弱性扩大和加剧，并造成环境进一步退化，因而构成一个“人的安全”问题。", "萨尔瓦多正在区域一级参加各种旨在减轻脆弱性和适应气候变化的项目和举措。《区域气候变化战略》就反映了中美洲国家正面应对气候变化所构成的挑战及其对区域民众所造成的影响这一共同目标和立场。我们赞赏安全理事会采取主动，就这个重要议题进行辩论，这将需要各方在多边谈判中展现巨大政治意愿，以促成中长期积极结果。", "主席(以英语发言)：我现在请欧洲联盟驻联合国代表团代理团长佩德罗·塞拉诺先生发言。", "塞拉诺先生(欧洲联盟)(以英语发言)：主席先生，我感谢你给我机会，代表欧洲联盟(欧盟)及其成员国发言，并感谢你组织本次重要的辩论。", "候选国克罗地亚、前南斯拉夫的马其顿共和国和黑山，参与稳定与结盟进程的国家和可能的候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚，以及乌克兰和摩尔多瓦共和国都赞同这一发言。", "首先，我谨欢迎瑙鲁共和国总统出席本次会议，并感谢他的重要发言。我也感谢秘书长和联合国环境计划署的代表所作的发言。", "欧洲联盟及其成员国认为，气候变化对安全有着重大的影响，因为它是一种会导致威胁倍增的因数。自然资源稀缺、经济所受的破坏、海平面上升、荒漠化、移徙压力和能源供应紧张状况，都可能加剧脆弱国家的不稳定以及对国际治理的压力。欧洲联盟及其成员国正与联合国一道，尤其是通过联合国机构间预防行动框架工作队，审查这些问题。", "我想重点谈谈我们今天辩论会审议的两个问题：海平面上升和粮食安全。", "欧洲联盟完全赞同这样一种观点，即小岛屿发展中国家是遭受全球气候变化影响最严重的国家。特别是，太平洋岛国面临独特的结构性限制，因为它们地处偏远，面积小，自然资源有限，易受自然灾害影响。适应气候变化的影响对于太平洋岛国的未来而言，的确关系重大，但太平洋对于我们星球的未来而言，也是一种重要资源。", "在太平洋地区，欧洲联盟与15个国家以及4个同欧洲联盟有联系的海外国家和领土保持着长期的发展伙伴关系。我们通过一系列综合的欧盟政策与工具，开展了针对气候问题的活动。我们目前正在探讨如何进一步加强欧盟-太平洋的发展领域伙伴关系。", "远在任何岛屿被淹没之前，情况的逐步恶化有可能会使一些岛屿无法居住。我们应探讨制定一项针对该区域的共同战略，同时考虑采取为满足特定需要而制订的有针对性行动。国际捐助方和区域机构之间的协调对于确保有效实施来说，将是至关重要的。", "全球气温的上升将使干旱、洪水和热带气旋等极端天气事件急剧增多，它们的后果将更严重，破坏性更大。城市中心、经济活动、人口和关键基础设施往往位于沿海地区，但那些地区特别易受危害。", "各方在争取于联合国气候变化框架公约的构架内达成一项全球协议的同时，已经采取一些有意义的措施。应当把支持最贫穷和最脆弱国家的问题摆在首位。备灾应当加强，因为自然灾害的经济影响大大限制了可持续发展，从而加剧不稳定，并可能导致冲突。各国的适应计划和它们的备灾计划之间必须建立密切关联，此外也应当促进在技术和创新上投资。", "下面我要谈谈粮食安全问题。保障世界上日益增多人口的粮食安全是我们作为全球社会必须应对的重大挑战之一。粮食不安全所造成的影响既有地方性的，也有全球性的。它导致个人和家庭的生计被毁，社区解体，并造成营养不良现象。粮食不安全也有损儿童和各国发挥其全部潜力的能力。", "气候变化是造成一系列压力的核心因素，将在今后几十年里对粮食安全造成影响。它已经给作物产量、畜牧生产和水供应造成巨大影响。这些趋势预计将在今后加剧，我们因而更加不可能实现必要的粮食增产，以养活日益增多的世界人口。", "如果气候变化问题得不到解决，那么我们将付出的代价是，粮食供应更加不稳定，粮食价格更加被动，水资源面临进一步压力，移徙压力出现加大。所有这些都威胁到本已十分脆弱的国家的政治稳定，有可能破坏在实现千年发展目标方面取得的进展。", "欧洲联盟及其成员国通过其发展及人道主义政策，积极支持粮食安全。2010年3月，我们通过了一个政策框架，旨在加强欧盟及其成员国在消除世界饥饿和营养不良现象方面的协调。确保粮食安全方面的所有援助都以环境可持续做法为基础，是取得成功的一个关键步骤。", "显然，气候变化的后果将给最脆弱者造成最大的危害，因此，对于那些面临贫穷和饥饿而且应变能力有限的人们和社区，对于那些面临多种压力的国家和区域以及体制薄弱、易遭受冲突危害的脆弱国家，应当特别重视增强其能力。", "在着手处理安全方面的影响的同时，必须采取行动处理气候变化问题本身。欧盟将继续在其全球应对气候变化行动、发展、人道主义援助、预防冲突、危机管理和冲突后重建领域政策的框架内这样做。", "就在两天前，即7月18日，欧盟外交事务理事会确认有必要采取行动，减少气候变化引起的系统性风险，防止它们引发系统性危机。理事会还指出，欧盟预警机制应当对气候变化和环境恶化的情况进行监测，特别是在脆弱地区，并呼吁进一步开展气候变化和国际安全方面的工作。", "气候引起的风险很多，贯穿发展与安全领域。我们仍需作更多的分析。我们认为，应当就水安全以及毁林这两个问题开展更深入的研究。获取水资源以及水供应也许既是对“人的安全”的一大威胁，也是对区域稳定的威胁，可能导致严重的纠纷。森林对于那些生活在森林地区及其周围的人们来说，是一个主要的食物和生计来源，也是应对气候变化的一个必不可少的手段。不可持续的毁林行为不仅可能导致人口流离和环境退化，而且也损害到土著文明及其文化和精神遗产。", "最后，我想强调，欧盟仍然致力于拓宽其认识范围，并把气候变化及其对安全构成的影响纳入欧盟外交和安全政策的主流。", "主席(以英语发言)：本次会议的发言名单上还剩下一些发言者。因此，征得安理会成员同意，我打算暂停本次会议，下午3时复会。", "下午1时10分会议暂停。" ]

[ "President:\tMr. Wittig\t(Germany) \nMembers:\tBosnia and Herzegovina\tMs. Čolaković\n Brazil Mrs. Viotti \n China Mr. Wang Min \n Colombia Mr. Osorio \n France Mr. Araud \n\tGabon\tMr. MoungaraMoussotsi\n\tIndia\tMr. Hardeep SinghPuri\n Lebanon Mr. Salam \n Nigeria Mrs. Ogwu \n Portugal Mr. Moraes Cabral \n Russian Federation Mr. Pankin \n South Africa Mr. Mashabane \n\tUnited Kingdom of Great Britain andNorthern Ireland\tSir Mark LyallGrant\n United States of America Ms. Rice", "Agenda", "Maintenance of international peace and security", "Impact of climate change", "Letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General (S/2011/408)", "The meeting was called to order at 10.20 a.m.", "Adoption of the agenda", "The agenda was adopted.", "Maintenance of international peace and security", "Impact of climate change", "Letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General (S/2011/408)", "The President: I wish to welcome the Secretary‑General, the President of the Republic of Nauru and the Parliamentary Secretary for Pacific Island Affairs of Australia. Their presence is an affirmation of the importance of the subject being discussed.", "In accordance with rule 37 of the Council’s provisional rules of procedure, I invite the representatives of Argentina, Australia, Bangladesh, Barbados, Belgium, the Plurinational State of Bolivia, Canada, Chile, Costa Rica, Cuba, Denmark, Ecuador, Egypt, El Salvador, Fiji, Finland, Ghana, Honduras, Hungary, Iceland, Ireland, the Islamic Republic of Iran, Israel, Italy, Japan, Kazakhstan, Kenya, Kyrgyzstan, Kuwait, Luxembourg, Mexico, Nauru, New Zealand, Palau, Papua New Guinea, Pakistan, Peru, the Philippines, Poland, the Republic of Korea, Singapore, Slovenia, Spain, the Sudan, Turkey, the United Republic of Tanzania and the Bolivarian Republic of Venezuela to participate in this meeting.", "In accordance with rule 39 of the Council’s provisional rules of procedure, I invite Mr. Achim Steiner, Executive Director of the United Nations Environment Programme, to participate in this meeting.", "In accordance with rule 39 of the Council’s provisional rules of procedure, I invite His Excellency Mr. Pedro Serrano, Acting Head of the delegation of the European Union to the United Nations, to participate in this meeting.", "The Security Council will now begin its consideration of the item on its agenda.", "I wish to draw the attention of Council members to document S/2011/408, which contains a letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General, transmitting a concept paper on the item under consideration.", "I now give the floor to Secretary-General Ban Ki‑moon.", "The Secretary-General: I thank the German presidency of the Security Council for having organized this very important meeting at this juncture.", "When the Security Council first took up the issue of climate change in 2007 (see S/PV.5663), the debate was preceded by a vigorous exchange about whether such consideration was appropriate. I argued then, and do so again today, that it is not only appropriate, it is essential. I welcome the fact that we have moved forward and are having the right debate today, about what the Council and all Member States can do to confront the double-barrelled challenge of climate change and international security.", "We must make no mistake. The facts are clear. Climate change is real, and it is accelerating in a dangerous manner. It not only exacerbates threats to international peace and security, it is a threat to international peace and security.", "Extreme weather events continue to grow more frequent and intense, in rich and poor countries alike, not only devastating lives but also infrastructure, institutions and budgets — an unholy brew that can create dangerous security vacuums. Pakistan, the Pacific islands, Russia, Western Europe, the Philippines, Colombia, Australia, Brazil, the United States, China, the Horn of Africa are examples that should remind us of the urgency of what we face.", "Just today, the United Nations declared a state of famine in two regions of southern Somalia. Around the world, hundreds of millions of people are in danger of going short of food and water. That undermines the most essential foundations of local, national and global stability. Competition between communities and countries for scarce resources, especially water, is increasing, exacerbating old security dilemmas and creating new ones. Environmental refugees are reshaping the human geography of the planet, a trend that will only increase as deserts advance, forests are felled and sea-levels rise. Mega-crises may well become the new normal. Those are all threats to human security, as well as to international peace and security.", "Since I delivered my report (A/64/350) to the General Assembly in 2009, the international community has reached certain agreements, in Copenhagen and Cancún, in the context of the United Nations Framework Convention on Climate Change. Those agreements provide an important, but incomplete, foundation for action on reducing greenhouse gas emissions and enabling all countries to adapt. We now need accelerated operationalization of all the agreements made at Cancún, including on protecting forests, adaptation and technology.", "Climate finance, the sine qua non for progress, must move from a conceptual discussion to concrete delivery of fast-start financing and agreement on sources of long-term financing. The next Conference of the Parties to the United Nations Framework Convention on Climate Change, to be held in Durban in December, must be decisive in that regard. Minimalist steps will not do.", "Negotiations cannot stop there. We need ambitious targets that ensure that any increase in global average temperature remains below 2° C. The Durban meeting must provide a clear step forward on mitigation commitments and actions by all parties according to their responsibilities and capabilities. Developed countries must lead, while at the same time emerging economies must shoulder their fair share. We cannot ignore history. But we must clearly recognize that there can be no spectators when it comes to securing the future of our planet.", "Given that the first commitment period of the Kyoto Protocol expires next year, a political formula must be found without delay to ensure that existing commitments and needed future commitments and actions are not delayed by negotiating gamesmanship.", "The Security Council can play a vital role in making clear the link between climate change, peace and security. The members of the Council bear a unique responsibility to mobilize national and international action to confront the very real threat of climate change and the specific threats to international peace and security that derive from it. Of course, nothing would build a more lasting foundation for a peaceful world than securing sustainable development for all of our citizens.", "In this regard, I urge all United Nations Member States to fully utilize the opportunity provided by next year’s United Nations Conference on Sustainable Development. In Rio, we need to close the gaps between energy security, food and nutrition security, water security, climate security and development so that all our peoples can enjoy prosperity, peace and international security.", "I thank you again, Sir, for having organized this debate and for lending the political weight of the Security Council to raising awareness of this important issue. I have called climate change the defining issue of our time. Indeed, we must go even further. We must make sustainable development for all the defining issue of our time, because it is only in that broader framework that we can address climate change and the needs of our citizens. Rewriting this history falls to us all.", "The President: I thank the Secretary-General for his statement.", "I now give the floor to Mr. Steiner.", "Mr. Steiner: It is my privilege this morning to address the Security Council from the perspective of the knowledge, the science and the expertise we have acquired over a period of roughly 30 years in terms of understanding the significant and profound implications of climate change. What do we know today and what do we not know yet about the implications and impacts of climate change and how the world needs to prepare for changes that are now on the horizon and which, perhaps, to modern civilization are of an unprecedented nature in terms of the time, the scale and the implications across the planet?", "For the international community, the Intergovernmental Panel on Climate Change (IPCC) remains the first point of reference in terms of determining what it is that science can tell us today and what it is that science cannot yet tell us. I want to reassure the Council once again that, despite some of the discussions that occurred around some of the IPCC reports, what remains without contest is that the IPCC’s Fourth Assessment Report is a document that is uncontested in terms of the international peer review, and that it speaks very clearly, first, to the fact that climate change is happening. Not only is it happening; it is also accelerating. Not only is it accelerating, but indeed the latest science being published by scientific institutions across the planet is in many respects overtaking the rather conservative scenarios, predictions and models that the IPCC brought to our attention four years ago.", "Whether we look at the linear warming trend over the past 50 years — on average, 0.13°C warming per decade, which is nearly twice the temperature increase we have seen over the past 100 years; whether we look at the increase in terms of extreme weather events, such as storms and cyclones; whether we look at the thermal expansion of oceans; or whether we look at the melting of the Arctic summer ice, none of these are speculative data about the fact that a changing climate is a reality today. These are proven trends.", "The limitations of our knowledge still lie today in interpreting, first of all, the implications of these changes for our weather systems, ecosystems and, indeed, atmospheric response mechanisms. Science cannot yet tell us everything about these factors. Indeed, where the IPCC found itself in more challenging territory — as all science does, because perfect knowledge has rarely been the foundation of human understanding — is in trying to understand the future. Clearly, here science is far from being able to capture the complexity of how our climate systems work, how the atmosphere and the biosphere interact, or how ocean, marine and terrestrial ecosystems will respond to these different trends.", "But as we have seen, and as almost every day that passes brings new consolidation of our science, there is no question in the minds of those who have studied this subject with great intensity — across institutions north and south, east and west; whether from a natural science perspective, an economic science perspective or a social science perspective — the nature and scale of these changes are of such a degree that we cannot simply view them as a challenge of changing our energy systems or adjusting our transport economy. It is in fact a series of developments that are triggering responses and impacts far beyond any single sector of our economies and societies.", "Let me just point out that, while we are still struggling with finding a way in which we can stay within the 2ºC realm — which was an emerging consensus in the international community around the climate change negotiations — the latest projections that we are receiving from scientists for certain parts of the world are talking about 3ºC and 4ºC scenarios this century. This means that the world is confronting a global warming scenario that is already well beyond where we believe we might be able to manage these changes and trends if we are able to conclude our negotiations under the United Nations Framework Convention on Climate Change.", "The Arctic Monitoring and Assessment Programme has also predicted that sea-level rise is likely to reach 1 metre by the end of this century. The IPCC erred on the conservative side in its Fourth Assessment Report when it spoke about 0.18 to 0.59 metres — roughly half a metre maximum — in sea-level rise. We are now talking about a 1-metre sea-level rise possibly occurring this century.", "If we look at a world map and we realize how many tens of thousands of kilometres of coastline will be affected by this, and how in a sense we will redraw the world map not only in geographical terms but also in terms of exclusive economic zones and many other implications, we begin to realize that we are now truly confronted with a level of scientific knowledge that is sufficient for us to begin to realize that we are talking about major implications, not only in a territorial sense, but also from a geopolitical perspective. Indeed, not long ago the Royal Society of the United Kingdom published another report that stated that the worst-case scenario under current conditions could be a 4ºC warming by 2060.", "I do not want to delve further into the science; I have cited many other examples in my written statement. I simply wanted to tell the Council that when we talk about the changing climate today, it is already a fact. We know enough about what is happening, but we do not yet know enough about how fast and in how many different domains it will manifest itself. Perhaps most important, we have not yet well understood the implications of these changes for our societies, our economies and the Earth’s life-support systems.", "That is why I believe that the term “threat multiplier”, which perhaps has a strong connotation for defence establishments and analyses, is not irrelevant to a review of the implications of a changing climate upon the international peace and security context. As the Secretary-General just said, as we in the international community and as nation States seek to move forward on the path towards sustainable development, what we are confronted with today is the fact that there are a number of threats that are beginning to undermine the tenuous gains we have made in terms of sustainable development. As a global economy and a global community, we are confronted with scenarios of natural resource scarcities, droughts and floods, and corresponding instabilities in global markets for food and other commodities that are putting into question some of the gains that we have achieved in sustainable development in recent decades.", "In fact, natural disasters are fundamentally disruptive events, and if some of the scenarios that the IPCC and many scientists have drawn up hold true, then the scale, number and nature of these natural disasters will increase exponentially. If we go back to Hurricane Mitch in Honduras, the President of that country at that time called it the biggest disaster in the history of the nation, with 50 years of development lost literally in a matter of hours. Some 70 per cent of the country’s infrastructure was destroyed, and therefore the maps that the country used for settlements, towns and roads had to be basically redrawn.", "We are all familiar with the natural disasters that are occurring across the planet — be they floods in Pakistan or the drought to which the Secretary-General just referred — and that are occurring in ever-faster patterns in regions such as the Horn of Africa. We can see that their impact in terms of the number of people affected and the ability of societies to cope with these natural disasters is increasing every day. The Norwegian Refugee Council has estimated that, in the year 2010, 42 million people were displaced by natural disasters and that 90 per cent of those disasters were in fact related to weather-related extremes, such as floods and droughts. These are just the officially captured numbers. They do not give even a sense of the human tragedy or the rebuilding efforts that are required in that context.", "I would also like to refer to the notion of food security as not just being a matter of having food available. We know today that an extreme weather event in one part of the world can change the global commodity markets overnight and literally price tens of millions of people out of the market for food. This is how interconnected our global economy is today. Food insecurity is predicted to increase in prevalence and magnitude in the coming decades. Clearly, if we are unable to feed ourselves and to have food available where it is needed at an affordable price, the result will be major social instability and disruption.", "Climate science is advancing by the day. Recently, a report was published that analysed 20,000 African maize trials from recent decades. The results were that in a 1˚C warming scenario, roughly 65 per cent of Africa’s existing growing areas would suffer yield losses within this century. Viewing the ramifications and implications from any angle, we have to recognize that such trends are disruptive to the sustainable development paths of nations and to the economic, social and environmental stability of our societies, our economies and our planet. Moreover, they are disruptive in part because we cannot predict their magnitude.", "On that subject, I want to recall two very important concepts in the science emerging in climate change: the notions of tipping points and feedback mechanisms. One of the most unsettling aspects of trying to understand these planetary systems is that we cannot assume linear developments. We cannot assume that with a certain number of years passing with a certain degree of global warming certain things will occur.", "In our Earth’s natural systems, there are tipping points. Brazil’s environmental protection agency published a study about two years ago that looked at the implications of 2˚C, 3˚C and 4˚C warming scenarios for the Amazon. Ecologically speaking, what emerged from that research is that, at a certain point of warming, an entire ecosystem ceases functioning in the way that is functions today, not only in terms of the biodiversity of the ecosystem itself. In the case of the Amazon, it is the world’s largest water pump. The entire hydrological cycles of significant parts of South America depend on how the systems of the Amazon function.", "The second concept I want to recall is feedback mechanisms. If indeed Arctic melt continues to occur and if permafrost continues to melt in the tundra, old carbon will be released that is currently stored in those soils. According to one report, there is evidence that an amount of carbon equivalent to 270 years of emissions at today’s level could be released by the end the century — a secondary effect of the increase in temperatures leading to the melting of the permafrost.", "Another example is glacial melt. Across the globe, whether it is in the Hindu Kush, the Andes or Central Asia, glacial melt occurring as a result of climate change and global warming has the effect of disrupting the hydrological cycles and the flows around which societies have developed their agriculture, infrastructure and settlements. It also calls into question the arrangements that nations have developed about how to share water resources. There are 145 countries with more that one trans-boundary river that they share. Scarcity of access to water resources is already beginning to be an issue of tension between communities within nations and internationally between nations. The research on glacial melt done at Beijing University and other institutions in China indicates that, in the headwaters of the Yangtze basin, there is a significant reduction in the area covered by glaciers, which will determine future water flows and availability.", "The implications of what I am describing are so profound that the recognition of climate change as a factor in the future stability, cooperation and security of our planet is not an academic matter. I say this fully aware of the debate that Member States have had on the role of the Security Council. I do not wish to pronounce myself on that issue because it is not my place to do so. I do, however, want to speak today for an entity within the international system and the United Nations.", "I hope that historians in 50 years looking back at the decisions we are making today will see an international community using the knowledge available — including unavoidable uncertainties — to address cooperatively a phenomenon that, as I said earlier, is unprecedented in its implications for civilization. The simultaneous nature and the degree and scale of the changes that we will have to accommodate, adapt to and deal with represent a great threat on many fronts. However, if addressed by the international community with appropriate measures, they also represent an opportunity to transition not only towards a low-carbon economy, but also towards a more stable mechanism for international cooperation.", "The sustainable development paths of individual nations are today predicated on the ability of the international community to act collectively. Many of the sustainable development objectives, ambitions and pathways that nations have pursued are under threat beyond what traditionally have been the means of a national sovereign State to determine policies within its territory. If we take into account food insecurity, natural disasters and the potential for conflict and tensions over ever more scarce resources, together with displacement and the potential disappearance of entire nation States from our world map — including their culture, identity and sovereignty — within a time span of 50 to 100 years, we have to recognize that climate change is an issue that needs to be viewed not just from a scientific and technological perspective of managing carbon emissions, but truly from a geopolitical and security perspective. Our response will either unite us in cooperative action or divide us and lead us into chaos, tension and potential conflict.", "The President: I thank Mr. Steiner for his briefing.", "In accordance with the understanding reached among Council members, I wish to remind all speakers to limit their statements to no more than four minutes in order to enable the Council to carry out its work expeditiously. Longer versions of statements may of course be distributed in writing.", "I now give the floor to the members of the Security Council who wish to make statements.", "Ms. Rice (United States of America): I want to thank the Secretary-General and Executive Director Steiner for their excellent and very important statements this morning.", "The United States welcomes today’s debate, and we are grateful to Germany for its leadership in convening this critical and timely discussion, which aims to place climate change squarely on the global security agenda.", "President Obama was clear at the Secretary‑General’s summit on climate change nearly two years ago when he said that the security and stability of every nation and every people are in jeopardy. Our prosperity, health and safety are in peril. Time is not just moving ahead; time is running out. Climate change has very real implications for peace and security. Its effects are as powerful as they are complex, and many of them are already upon us. In many regions, climate change is already reducing the availability of food and water, threatening biodiversity and disrupting sea levels and weather patterns. As more powerful and frequent storms and floods lash coastlines and uproot populations, climatic changes can put even more pressure on scarce resources and expose vulnerable communities to greater instability.", "As too often happens, the most vulnerable will be the hardest hit. Post-conflict countries already struggle to rebuild their infrastructure, strengthen their institutions and overcome instability. Now, they must often grapple with extreme weather and protracted drought, which can drive already strained systems to buckle. Climate change can also slow or even reverse crucial development gains for ordinary citizens trying to break free of the shackles of poverty.", "Climate change can further erode State capacity, especially in fragile States already vulnerable from past conflict, poverty, upheaval or disaster. As sea levels rise, small island States may well see their territory quite literally drowned, raising the spectre of new and previously unimagined forms of statelessness.", "We have just witnessed the birth of the world’s newest nation, the Republic of South Sudan. South Sudanese leaders now tell us that agricultural production is one of their highest priorities as they work to consolidate peace. Yet that challenge is magnified by the unfolding humanitarian disaster caused by severe drought in the wider Horn of Africa. Let us remember that in the Sudan a decade ago, drought and rapid desertification are widely thought to have contributed to the conflict and the humanitarian crisis in Darfur, as they did a decade earlier in Somalia, where drought contributed to the crisis that eventually prompted the deployment of United Nations forces, with results that we all recall.", "To be sure, the mechanisms are complex and some effects of climate change are long-term, but the Security Council needs to start now, today, and in the days to come to act on the understanding that climate change exacerbates the risks and dynamics of conflict. And we need to sharpen and adapt our instruments to prevent and respond to such conflicts. The United States itself is taking important steps through a range of initiatives to work with our partners to confront the growing challenges of global poverty, food insecurity, disease, water scarcity and depleted natural resources, helping lay the foundation for a more peaceful and prosperous future for all.", "Let me now address the role of the Security Council in this issue. While we recognize the essential work of the wider United Nations system and other partners in tackling the broader dimensions of climate change around the world, we also strongly believe that the Council has an essential responsibility to address the clear-cut peace and security implications of a changing climate.", "In the Council, we have discussed and addressed many emerging security issues, from the links between development and security to HIV/AIDS. Yet, this week we have been unable to reach consensus on even a simple draft presidential statement that climate change has the potential to impact peace and security in the face of the manifest evidence that it does. We have dozens of countries represented in this body and in this very Chamber whose very existence is threatened. They have asked the Council to demonstrate our understanding that their security is profoundly threatened. Instead, because of the refusal of a few to accept our responsibility, by its silence the Council is saying in effect “tough luck”. That is more than disappointing; it is pathetic, short-sighted and, frankly, a dereliction of duty.", "The Council needs to keep pace with the emerging threats of the twenty-first century. Old threats have not disappeared, but new threats are upon us, and they demand more of us than business as usual. The Council has shown an impressive ability in the past to embrace its responsibilities to combat new peace and security threats, as it has done over the past 20 years in adapting traditional peacekeeping tools to address new and more complex political and security crises around the world.", "Climate change is no different and demands nothing less. We need improved early warning systems to increase our lead time to take action. We need greater collaboration on the effects of climate change, especially at the local and regional levels, and better information about basic human needs — water, food, livelihood and energy — so that we can anticipate and prevent resource-driven conflicts. We also need to become better equipped to anticipate and prevent the risk of conflict, including by building local and national capacities to respond to climate-related threats and to prevent them through diplomacy that helps Governments manage potential disputes over scarce resources.", "Our goal is clear. The Council needs to be prepared for the full range of crises that may be deepened or widened by the effects of climate change. The question is not whether we will be faced with climate-related threats, but when and how to respond. We need to be much better prepared to tackle one of the central threats of our age. It is past time for the Security Council to come into the twenty-first century and to assume our core responsibilities.", "Mrs. Viotti (Brazil): I thank the Secretary‑General for being with us today and for his remarks. I would like to welcome Mr. Achim Steiner and to thank him for his very interesting briefing. Brazil associates itself with the statement to be delivered by the representative of Argentina on behalf of the Group of 77 and China.", "Brazil has a deep and long-standing commitment to combating climate change. We have translated that firm commitment into concrete actions and constructive proposals. Climate change is a complex and difficult issue. There are no shortcuts or easy solutions. The only effective way forward is to achieve an ambitious result under the United Nations Framework Convention on Climate Change (UNFCCC) and its Kyoto Protocol. Our efforts for mitigation and adaptation must be based on the principle of common but differentiated responsibilities and respective capabilities. That is crucial to ensuring an equitable, balanced and effective solution.", "The Security Council must take a holistic view of conflict. Violence is born not only of ethnic or religious disputes, but also of hunger, poverty and the competition for scarce resources. In some cases, the adverse effects of climate change may aggravate those disputes. However, when they do, it is not a function of climate change alone. It is usually a result of underdevelopment and lack of access to resources and technology for adaptation.", "We firmly acknowledge the interdependence of development, security and human rights. The links between climate change and development and between security and development are clear and have been explicitly recognized by the United Nations. The possible security implications of climate change, however, are far less obvious. Environmental impacts do not threaten international peace and security on their own. In certain circumstances, the adverse effects of climate change may contribute to aggravating existing threats to international peace and security.", "The rather indirect relationship between security and climate change in no way diminishes the urgency of supporting countries and populations that are most vulnerable to climate change, in particular small island developing States, many of which face truly existential challenges. Such challenges require political, economic and humanitarian approaches, and not necessarily a security response.", "The grave consequences of sea-level rise may lead to humanitarian catastrophes if unchecked. The United Nations, under the UNFCCC, must work to strengthen prevention and to build resilience through adaptation. Humanitarian instruments need to be further developed in order to address the specific nature of the impacts of sea-level rise on populations.", "In that context, I recognize and welcome the presence of His Excellency the President of Nauru, Mr. Marcus Stephen. We acknowledge his concerns and the untiring efforts of his country and of the other small island developing States in bringing the issue of sea-level rise to the forefront of the international agenda. Brazil expresses its full solidarity with them. We agree with them that expressions of concern or political declarations are no substitute for concrete action. We need to do more, and to do it faster. Climate change negotiations must yield significant results to curb emissions in a balanced and fair manner. Adaptation programmes must be prioritized and sufficiently funded.", "The issue of food security is high on Brazil’s agenda. At the international level, we must all support the leading role of the Food and Agriculture Organization and the World Food Programme. We must redouble our efforts to eliminate the scourge of hunger. Effective political will is needed to improve market access to food products from developing countries by reducing agricultural subsidies and bringing the Doha Round to a successful conclusion. Efforts must also be made to boost productivity in developing countries, particularly in Africa. Where food insecurity contributes to aggravating instability in conflict or post-conflict situations, the Council should coordinate its efforts with the work of other relevant actors within the United Nations system and the World Bank.", "The United Nations system has the necessary tools to deal with the challenges associated with fighting climate change. The wealth of knowledge, experience, political leverage and legal instruments that the system possesses must be used to its full capacity.", "Security tools are appropriate to deal with concrete threats to international peace and security, but they are inadequate to address complex and multidimensional issues such as climate change. Effectively fighting climate change and dealing with its myriad implications must be a priority for the international community. To do so, we must take full advantage of all of the tools that the United Nations system has to offer, especially in the area of sustainable development, and redouble our efforts to achieve ambitious results in the international negotiations on climate change.", "Mr. Wang Min (China) (spoke in Chinese): I thank Secretary-General Ban Ki-moon for his statement and the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his briefing. China supports the statement to be made by the representative of Argentina on behalf of the Group of 77 and China.", "Global climate change is a common challenge of all countries that is profoundly affecting human survival and development. In recent years, all countries have made efforts towards protecting the global environment and responding to climate change, with notable results. But resolving climate change and achieving sustainable development remain pressing and long-term tasks that require all countries to continue their mitigating efforts.", "Responding to climate change is in the interest of all countries worldwide, in particular of the majority of developing countries and for the well-being of their peoples. The United Nations Framework Convention on Climate Change (UNFCCC) and the Kyoto Protocol have been commonly accepted as major channels for responding to climate change. The principle of common but differentiated responsibility has become a basis for all parties to strengthen cooperation. Sustainable development and harmony between human beings and nature have common goals for all parties.", "Climate change may affect security, but it is fundamentally a sustainable development issue. The Security Council lacks expertise in climate change and the necessary means and resources. Moreover, the Council is not a forum for decision-making with universal representation. Its discussions are not aimed at putting together a broadly accepted programme, nor can they take the place of the UNFCCC negotiations among the 193 United Nations Member States.", "It is the general belief of the majority of developing countries that the Council’s discussion on climate change will neither contribute to the mitigation efforts of countries nor assist affected countries in effectively responding to climate change. This reasonable concern should be fully understood and respected.", "In responding to climate change, the international community should give full consideration to the developing countries’ stages of development and their basic needs and take note of their difficult situations. It should listen to their voices, respect their demands and effectively carry out its own commitments relating to capital, technology and capacity-building.", "China attaches great importance to the concerns of the small island developing States on climate change. As a country with many islands, China has compassion for the difficulties encountered by small island developing States in their efforts towards sustainable development. The international community should adopt effective measures to assist small island developing States in responding to the challenges of climate change. Developed countries should especially carry out their commitments on capital, technology and capacity-building.", "China would like to work together with small island developing States to continue to actively implement the Mauritius Strategy for the Further Implementation of the Programme of Action for the Sustainable Development of Small Island Developing States in order to facilitate sustainable development around the world.", "Ms. Čolaković (Bosnia and Herzegovina): I would like to thank you, Mr. President, and the German delegation for organizing this important and timely debate. I would also like to thank Secretary-General Ban Ki-moon and Mr. Achim Steiner, Executive Director of the United Nations Environment Programme, for their briefings today.", "In an increasingly interdependent and interconnected world, changes due to growing populations or increasing demands for natural resources have the potential to aggravate social tensions, political unrest and conflict. The Council’s main responsibility, namely, the maintenance of international peace and security, clearly entails the prevention of conflict. Recognizing the imperative of security, we cannot neglect to address possible climate change security risks, whose implications are certainly a factor that should be taken into consideration.", "Moreover, it is likely that the negative effects of climate change will adversely affect the most vulnerable regions and populations. It is possible that additional pressures caused by climate change will increase the risk of fragile States lapsing into conflict or will disrupt efforts towards conflict prevention, peacebuilding or post-conflict stabilization.", "In certain circumstances the adverse impact of climate change may contribute to aggravating existing threats to international peace and security. In that regard, the Security Council must be aware of the potential security implications that climate change may entail, including possible humanitarian crises, migration pressures or external shocks for States most heavily affected by climate change. As well, the mandates and responsibilities of relevant United Nations bodies addressing the issue of climate change must be respected, specifically of the General Assembly and the Economic and Social Council.", "The importance of the United Nations Framework Convention on Climate Change (UNFCCC) as a key instrument for addressing climate change cannot be overemphasized. In the same vein, the global nature of climate change calls for the widest possible cooperation by all countries on an effective and appropriate international response based on the principle of common but differentiated responsibility while respecting existing institutional arrangements.", "Bosnia and Herzegovina is of the view that a coherent, integrated and holistic response by the United Nations is the only way to meaningfully contribute towards a response to this issue. In the same vein, we believe that the Secretary-General, when appropriate, should alert the Security Council to climate-related crisis situations that may imperil peace and security. It is crucial that relevant United Nations bodies strengthen their capacities to deal with different crises, including those resulting from climate change. Their efforts should be focused on predicting, preventing or handling climate change-related issues. In that context, assisting countries to manage external stresses and low adaptive capacity is vital.", "We consider that stronger support for climate change adaptation in developing countries, including through investment in capacity-building at all levels, is necessary. When national capacities are insufficient, underdeveloped or overstretched by natural disasters or other hazardous events, the international community’s response must be unwavering and adequately supported. Developed countries must also do more to meet their international commitments to development assistance. We believe that mainstreaming climate change within the relevant bodies of the United Nations and their activities should be continued and strengthened. Furthermore, improving the flow of information, sharing early warning assessments and exchanging data between regional and international organizations are essential.", "In conclusion, climate change is a global challenge that can be tackled only at the global level. No country can deal with this problem alone. All actors must therefore work in a concerted manner and fully implement their commitments and responsibilities. Bosnia and Herzegovina, as a party to the UNFCCC and as a country that has ratified the Kyoto Protocol, stands ready to contribute to that endeavour.", "Mrs. Ogwu (Nigeria): I would like to thank you, Mr. President, for convening this open debate and for the concept paper circulated by your delegation(S/2011/408, annex). I also thank the Secretary-General and Mr. Achim Steiner for their perceptive and inspiring statements. This debate is timely in that it affords us the opportunity to evaluate progress in implementing the internationally agreed development goals, conventions and protocols that frame our response to climate change. Through this discussion, we can also contribute effectively to preparations for the 2012 United Nations Conference on Sustainable Development.", "The challenges posed by climate change are immense and the consequences for peace and security wide-ranging. Every aspect of our lives, from food security to resource management, is threatened by this phenomenon. As we have witnessed in the current food crisis in the Horn of Africa, threats to water management, animal health and crop production are magnified by political instability and insecurity. Scarcity breeds fear, which in turn fuels conflict. This chain reaction demands vigilance on the part of the Security Council. Unless we take concerted action to mitigate and adapt, the risks will only increase. For example, the Intergovernmental Panel on Climate Change has estimated that a 1-metre sea-level rise could flood 18,000 square kilometres of Nigeria’s coastal land, damage assets valued at $89 billion, and force the relocation of up to 5 million Nigerians. The cost of protecting Nigeria from such a rise in sea levels is estimated at $3 billion.", "On the basis of those facts, we are gravely concerned about the potential impact of changing climate conditions. Nigeria is working with bilateral and multilateral partners at the regional and international levels to identify solutions to these challenges. My Government has also sought to mainstream its mitigation and adaptation strategies with development policies aimed at significantly reducing carbon emissions and sustaining its campaign against desertification.", "Nigeria remains committed to the Millennium Development Goals and the Green Wall Sahara (Nigeria) Programme, which seeks to ensure sustainable consumption and production. We have initiated mechanisms to address the issue of gas flaring, firmly determined to progressively transform it into liquefied gas processing. We are engaging in research on methods of carbon-dioxide reduction in petroleum products.", "While we recognize that not every nation is equipped to implement root-and-branch policy change, it is important that every nation, no matter how small, play a small part. My delegation is concerned about the slow rate of progress in achieving agreement on implementing international climate change mitigation agreements. Nations have too often failed to honour their commitments to such frameworks, and such failures have reverberations everywhere. In many cases, the efforts of developing countries and small island developing States to adapt to the negative impacts of climate change are undermined by natural disasters and often by conflict. Our struggle to protect our climate should therefore reflect the additional challenges faced by such nations, and should feature in our wider peacebuilding frameworks.", "I firmly believe that if we can support political stability, we can create the space for long-term capacity-building and the embedding of best practices and national policies for climate change. The United Nations system is uniquely placed to guide the implementation of the existing commitments in the United Nations Framework Convention on Climate Change and its Kyoto Protocol, the Johannesburg Plan of Implementation and the Mauritius Declaration.", "Seated around this table are those who could encourage developed countries to implement their commitments to reducing emissions and supporting developing countries with the requisite technological and financial assistance to address climate change effectively. Nigeria therefore calls for enhanced efforts for the equitable distribution of adaptation funds and capacity-building programming, as well as promotion of the Global Environment Facility programme steered by the United Nations Development Programme.", "Our response to climate change must be rooted in political and technological innovation. Our response to climate change should not be any less strong in the field of sustainable development. The General Assembly, the Economic and Social Council, the Commission on Sustainable Development and the United Nations Environment Programme are credible and concrete platforms for effectively discussing and adopting appropriate measures for dealing with climate change. I want to reiterate my Government’s commitment to relentlessly supporting, promoting and fulfilling all regional and international obligations for mitigating climate change in a collective effort that seeks to ensure the well-being of present and future generations. We will be steadfast in the collective effort that seeks to ensure that peace and stability are maintained in the world.", "Sir Mark Lyall Grant (United Kingdom): The impacts of climate change are keenly felt around the world. Today, we are discussing the implications of climate change for international peace and security. We are grateful to the German presidency for bringing this important question to the Council. The number of countries speaking in this debate is a graphic demonstration of its significance, and I particularly want to thank the Secretary-General and Mr. Achim Steiner for their powerful contributions to our discussion.", "Scientific evidence suggests that the effects of climate change will include more droughts, shorter growing seasons and more frequent extreme weather events. Those will be felt most keenly in areas of the world already experiencing stress from shortages of food, water and energy. It is just those areas where Governments do not always have the capacity to respond. It is in that context that climate change must be seen as a threat multiplier, exacerbating existing tensions and increasing the likelihood of conflict.", "As a result of climate change, crop yields are predicted to fall in the long term. This will have serious repercussions for communities dependent on agriculture. At the same time, the Food and Agriculture Organization of the United Nations has estimated that global demand for food will increase by up to 70 per cent by 2050. Weaker production coupled with greater demand will affect all countries. In areas where food security is already a source of instability, this impact of climate change has the obvious potential to fuel tension.", "We have also heard this morning about the impacts of the rise of sea levels caused by climate change. These will be felt most acutely in low-lying and small island developing States. I welcome the fact that representatives of so many of those countries affected in the Pacific will participate in today’s debate.", "Resource scarcity, flooding and drought all are likely to result in significant movements of people, in some cases across national boundaries, as we are seeing today in the Horn of Africa. Where people move to areas that do not themselves have sufficient resources or infrastructure to accommodate them, the risk of tension and conflict is increased.", "Some delegations have voiced concerns over the Council’s mandate to discuss this issue. We agree that it is important that the different roles, functions and mandates of the various United Nations bodies dealing with climate change are fully respected. But like the Secretary-General and Mr. Steiner, we do not believe that this debate in any way undermines them.", "The Council is tasked with the maintenance of international peace and security. It can and indeed should, therefore, consider emerging threats. Conflict prevention is a key element in the Council’s work. The United Kingdom believes that it is through discussion and better awareness of new and cross-cutting security challenges, including the effects of climate change, that the Council can best fulfill its responsibility to prevent future conflict.", "We therefore hope that even at this late stage we can reach agreement on the presidential statement drafted by the German presidency. This would send a powerful signal of the importance that the Security Council places on mitigating the security risks posed by climate change. History will not judge us kindly if, through complacency or ideology, we duck this important responsibility.", "There are three key areas on which we should focus if we are to be effective in mitigating the security implications of climate change.", "First, and pre-eminently, the United Nations must continue to work to achieve a comprehensive, globally binding agreement on climate change. Ongoing efforts under the United Nations Framework Convention on Climate Change are crucial. The United Kingdom will do everything in our power to support preparations for the 17th Conference of the Parties in Durban, to be held later this year, including by supporting the South African presidency.", "Secondly, we need to build up a deeper understanding of the interface between the impacts of climate change on the one hand and conflict drivers on the other. We then need to capture this understanding as we build the tools and take the action necessary to prevent conflict.", "Finally, we need better sharing of analysis and experience among the various United Nations agencies, bodies and programmes that are already considering these issues. As food, water, energy and climate security are interlinked, they demand a coordinated response.", "Left unchecked, climate change increases the likelihood of instability, resource conflict and poverty. That is why the United Kingdom first brought this issue to the Council for debate in 2007. It is ever more relevant and valuable for the Council to consider these impacts, and I thank Germany once again for having convened this debate today.", "Mr. Pankin (Russian Federation) (spoke in Russian): We are grateful to the Secretary-General, Mr. Ban Ki-moon, for his statement, and to the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his assessment.", "Russia has always viewed combating global climate change as a priority area for international cooperation. We have consistently advocated, and continue to advocate, the drafting and implementation of a global instrument covering all countries, particularly the largest emitters, and that greater account be taken of the potential of Russian forests to act as a carbon sink. The constructive nature of Russia’s policy in this area is reflected in its announcement that it would reduce, by 2020, greenhouse-gas emissions by 10 to 25 per cent compared to 1990, within the framework of a new universal climate agreement.", "However, we also believe that a particular role in humankind’s transition to a non-carbon economy should be played by nuclear energy, on whose development Russia will continue to focus, while, of course, improving safety systems at nuclear reactors and power stations. We would suggest that the review now under way within the United Nations on the issue of climate change allows us to respond to emerging threats in this area.", "We are also convinced that the priority role in this area lies, and should continue to lie, with the United Nations Framework Convention on Climate Change, as the universal mechanism for combating global climate change. The Convention has the necessary and sufficient mechanisms to develop both an effective international climate regime over the longer term and specific measures to respond effectively to new threats in this area.", "We share the concern of small island developing States, in particular those situated in the Pacific Ocean, about the continuing rise in sea levels. We welcome the participation in this meeting of the President of Nauru, Mr. Stephen, whose country is faced with such a challenge. We believe that in order to properly address this problem, we must effectively use the existing potential of the Convention on Climate Change, the most fundamental area of which is that of adaptation, including through the Adaptation Fund. We call on all interested donor countries to consider the possibility of providing, on an urgent and targeted basis, aid to the countries concerned for the purpose of adaptation.", "Given this, Russia is sceptical about the repeated attempts that have been made to place on the agenda of the Security Council the issue of the threat posed by climate change to international peace and security. As a compromise, we agreed to join the consensus when General Assembly resolution 63/281, on climate change and its possible security implications, was adopted. While we recognize the Security Council’s prerogatives as the body that has primary responsibility for the maintenance of international peace and security, we believe that referring to that resolution to justify consideration of this issue in the Council is not right. The resolution was the outcome of months of difficult negotiations in which all States Members of the United Nations participated and reflects the fact that many countries are not prepared to see the issue of climate placed on the agenda of the Council.", "We would also suggest that the report of the General Assembly (A/64/350) bearing the same title and drafted pursuant to that resolution does not contain serious arguments to support the position of those States advocating that this issue be placed on the Council’s agenda. The report refers only to hypothetical impacts of climate change on security and is not able to precisely predict them. It fails to provide empirical data establishing any correlation between these phenomena. Although it contains very balanced conclusions and recommendations on further work in this area, it is very telling that the Security Council is not once referred to in the report.", "On that basis, we believe that involving the Security Council in a regular review of the issue of climate change would bring no added value whatsoever and would merely lead to a further politicization of the issue and increased disagreements among countries, which would be an extremely undesirable outcome, particularly in the wake of the successful conclusion of the Conference of Parties held in Cancún and before the Durban Conference.", "Mr. Osorio (Colombia) (spoke in Spanish): At the outset, allow me to thank you, Mr. President, and Germany for having convened this open debate and for your great efforts and work to underscore and promote the importance of this topic. I also wish to welcome the President of Nauru, His Excellency Mr. Marcus Stephen, and to express our solidarity with him and his concerns.", "The statements made by Secretary-General Ban Ki-moon and Achim Steiner, Executive Director of the United Nations Environment Programme, were very illuminating and important, and underscored the scale of the issues we must address when it comes to climate change.", "Climate change as a global phenomenon affecting present and future generations is undoubtedly one of the greatest challenges in the history of humankind. Its impact today has consequences for almost all activities around the world, from life itself, desertification and rising sea level to the food supply, migration and the destruction of biodiversity. It is clear that action must be taken through the appropriate bodies and contexts, among which the reduction of man-made gas emissions is crucial. There are no excuses for the leading producers of man-made gas emissions failing to assume their responsibility before the world. There is also a need to provide for the transmission and transfer of clean new technologies and for access to markets on equal terms, as well as to protect biodiversity. These are concepts related to the debate on the right to development, which is a legitimate aspiration that cannot be renounced.", "The increase in temperature, the severe variations in historical patterns of rainfall, the increase in the intensity and frequency of extreme weather events, such as hurricanes and typhoons, are forcing serious discussion in the appropriate forums on the measures to be taken to adapt our societies to climate change.", "Against that backdrop, Colombia believes that there are immediate challenges that must be considered in the Security Council. While the responses needed to minimize the effects of climate change are not within the mandate of the Council, we believe that this organ does have a responsibility to play a role in cases and conflict situations on its agenda when those are exacerbated by the effects of climate change, with a view to providing humanitarian protection measures, which we believe should not extend to other issues. Moreover, the Security Council should help to address this problem in a context of trust among countries, based on respect for the mandates of the respective bodies of the international system.", "Several decades ago, we aspired to an integrated vision of progress, which we called sustainable development. That goal has proved elusive because our societies and economies are based on short-term, sector-specific and immediate approaches. The problems resulting from climate change must, in our view, be addressed in a comprehensive way, encompassing all the spheres and structures of human activity and the need to adopt new behaviours. It is a challenge for which most countries, which have only barely made progress on various fronts of development, are not prepared.", "How should we prioritize resources and efforts? How should we address the problems of disappearing coastlines, overflowing rivers, melting glaciers, expanding deserts and successive freezes and droughts? No single country, group of countries or specific body has the answers. Just as curbing and reducing greenhouse gas emissions will require coordinated action at the global level, responding to the impacts of climate change will also require concerted international action.", "Colombia has just suffered two atypical cold spells, unprecedented in our history, whose destruction experts estimate at 10 times that wrought by Hurricane Katrina. We had to mobilize extra resources and turn to international assistance to mitigate the damage and destruction and ensure the well-being of the population affected. The integrity of natural ecosystems we depend on was seriously affected.", "The problem is therefore not only a matter for future generations; it is a reality facing us today. The survival of millions of people depends on action based on international solidarity to reduce gas emissions, to ensure access to food, to positively respond to migration forced by climate impacts, disease and pest vectors, infrastructure investment, the disappearance of thousands of species, ocean acidification and the inequitable distribution of fresh water worldwide, among many other serious situations.", "Colombia clearly has the political will to work together to safeguard our planet. We believe that collective commitment is needed to achieve sustainable development in peace and prosperity.", "Mr. Araud (France) (spoke in French): France associates itself with the statement to be delivered on behalf of the European Union.", "Since the last debate in the Council on climate change was in 2007 (see S/PV.5663), science has progressed, the facts have been confirmed and the risks have been further analysed, as Mr. Steiner set out in his statement. I therefore pay tribute to the German presidency of the Security Council for the initiative to hold a debate on the impact of climate change on international peace and security.", "The climate threat concerns us all. It is, in particular, a threat for our small island Pacific State partners, whose very existence is in peril, as is the survival of their territory, culture and identity. The President of the Republic of Nauru, Mr. Marcus Stephen, whose presence I welcome in the Council today, is better placed than I to speak about the immense challenges affecting the islands of his region. I regret enormously that we cannot respond to his appeal.", "In addition, agricultural productivity is under threat. My country has made food security a priority of its presidency of the Group of 20. How can we maintain international peace and security if a situation of chronic food shortages sets in?", "It is also a threat in terms of water resources in regions where these are rare, and generates tension. How can we ensure appropriate management if they become yet scarcer?", "It is also a menace for the viability of coastal regions, where more than one third of the world population lives.", "The facts are clear: climate change has an immense destabilizing potential and could multiply the threats to peace and security in the most fragile regions and States.", "The international community is mobilizing to tackle the various challenges posed by climate change. There is still time to avoid its worst effects, but we must act fast. There is only one way to do this, namely, international cooperation.", "We must begin a new stage in formulating an ambitious multilateral response at the Durban Conference. We must give operational impetus to the agreements negotiated at Cancún. We must also safeguard the Kyoto Protocol and move towards a broader legal instrument.", "We must also work to respond to sector-specific threats and promote partnerships. This is the objective of the World Water Forum, to be held in Marseille in March 2012.", "Access to clean energy for all is another major priority, because development is itself a way of responding to climate change and can contribute to preventing and reducing conflicts. It is in this context that France and Kenya together launched the Paris-Nairobi Initiative last April.", "Lastly, we must reinvigorate global partnerships for sustainable development and adopt, in Rio in June 2012, an ambitious road map for a global transition towards a green economy supported by solid, financially strong and effective institutions.", "The international community has seen the diversity of risks related to climate change and is taking measures in various forums. In this context, the implications of climate change for maintaining international peace and security should be taken into account. In conformity with its mandate, the Security Council must therefore assume its responsibilities.", "The Council is not infringing on the competence of other United Nations bodies and does not want to replace other forums, in particular that under the Convention on Climate Change. The Council today is simply facing up to a new type of threats that are multiform, complex and diffuse. In that spirit we are exploring today the implications of these threats and the Council’s capacity to deal with them. Thus last February the Security Council, under the presidency of Brazil, held a useful debate on peace, security and development (see S/PV.6479). It is in the same spirit that today the Council is considering climate change — while strictly respecting its mandate and the Charter — in particular in the area of preventing conflicts.", "My delegation therefore regrets that the Security Council is not responding in the same way as it did in the debate on security and development. Despite the efforts by the presidency, the Council is not ready to make a collective statement today on the implications of climate change for the maintenance of international peace and security. To oppose with bureaucratic concerns the anguished appeals by our partners threatened by climate change does not rise to the issues at stake. It is not dignified.", "Nevertheless, we are faced with reality. The need will remain for the Security Council to endeavour to analyze the threats and to better know the causes of conflict on which climate change will have the most immediate effects. The Council must also take account of the impact of its own decisions. For example, it must, as of today, take measures to ensure that peacekeeping operations reduce their carbon emissions and their impact on the environment. I therefore welcome the fact that the Secretariat has already taken measures in that regard.", "Today’s debate is just a first stage. It must be for all of us in the United Nations a call for action. The climate threat means that we must mobilize ourselves: first in the short term, to ensure the success of the Climate Conference in Durban and the Climate Change Conference in Rio; in the medium term, to prevent conflicts that could emerge; and in the long term to save the planet. My delegation is convinced that the Security Council must come back to this and in the future must express itself in a single voice. This is not over-ambitious; it is just taking account of the sad realities that we face.", "Mr. Salam (Lebanon): I would like to thank Secretary-General Ban for his important introductory remarks, and the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his stimulating briefing. I also wish to thank you, Mr. President, for organizing this debate in the Security Council on the impact of climate change in the context of the maintenance of international peace and security.", "At the outset, allow me to stress, along with my partners in the Arab Group, the Non-Aligned Movement and the Group of 77 and China, that we consider, in accordance with General Assembly resolution 63/281, that in the United Nations system the responsibility for sustainable development issues, including climate change, is conferred upon the General Assembly and the Economic and Social Council and that the United Nations Framework Convention on Climate Change is the key instrument for addressing climate change.", "Yet, focusing our discussion today on the potential security implications of climate change will not constitute an encroachment by the Security Council on the functions and powers of other United Nations organs, for the same General Assembly resolution, 63/281, also", "“Invites the relevant organs of the United Nations, as appropriate and within their respective mandates, to intensify their efforts in considering and addressing climate change, including its possible security implications”.", "In this same vein, in addition to increasing awareness about the potential security impact of climate change, our debate today should be viewed as an expression of complementarity in the work of the different organs of the United Nations.", "There is broad agreement within the scientific community that our planet has been warming, due largely to human activities at least since the eighteenth century, and that the rate of warming in the last century was historically high. The Intergovernmental Panel on Climate Change confirmed in 2007 the historic magnitude of these changes and warned of their potential impacts on the future of the Earth and its inhabitants.", "As to the relationship between climate change and conflict, including armed conflict, the 2009 report of the Secretary-General (A/64/350) identified climate change as a threat multiplier exacerbating threats caused by persistent poverty and weak institutions for resource management and conflict resolution. Emerging threats related to climate change include sea-level rise, which could result in the loss of entire countries such as the small island States; accelerated desertification and erosion of agricultural land, which could lead to food insecurity, increased poverty and reverse development; migratory and displacement flows, which could become a source of social and political tensions in the neighbouring areas; and water scarcity, which could exacerbate competition over natural resources.", "No region on the surface of the globe is immune. But it is important to underline that the impact of climate change will be greater where factors of fragility already exist. This is the case of the least developed countries.", "The global nature of climate change requires the cooperation of all countries, in accordance with their common but differentiated responsibilities and their respective capabilities. It is also important to keep in mind that the international community cannot win the battle against the detrimental consequences of climate change without putting into action all the relevant instruments in its possession.", "In this context, United Nations organs should, within their respective mandates, mobilize all their resources in the fields of mitigation, adaptation, finance, technology development and transfer, and capacity-building in order to address and reduce the negative effects of global warming. Here, the Security Council should, inter alia, play a critical role of conflict prevention in addressing, as early as possible, the potential security implications of climate change.", "Mr. Mashabane (South Africa): We would like to thank the Secretary-General for his statement this morning. Equally, we wish to express our sincere gratitude to Mr. Achim Steiner, Executive Director of the United Nations Environment Programme, for his extensive briefing. We welcome the presence of His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, in this room. His presence here today can only be a demonstration of the real challenge that sea-level rise presents to his country and to other low-lying areas.", "At the outset I wish to associate my delegation with the statements to be made by the representative of Argentina on behalf of the Group of 77 and China and by the representative of Egypt on behalf of the Non‑Aligned Movement.", "South Africa reaffirms General Assembly resolution 63/281, which invites the relevant organs of the United Nations, as appropriate and within their respective mandates, to intensify their efforts in considering and addressing climate change, including its possible security implications. In that regard, the convening of this debate is timely and opportune to highlight the reality of climate change and the threat it poses to African and developing countries in general and to the small island developing States (SIDS) and least developing countries (LDCs) in particular. It is those countries who bear the disproportionate impact of climate change.", "We would like to reiterate the well-known principled position of the Group of 77 and China that climate change threatens not only development prospects and the achievement of sustainable development, but also the very existence and survival of societies.", "The Fourth Assessment Report of the Intergovernmental Panel on Climate Change makes it clear that if no action on climate change is taken in the next few years, there will be dire consequences, in particular for the small island developing States that are already experiencing slow onset effects of this phenomenon. This enjoins us to deal with this global problem in an equitable manner. In that regard, we join other delegations in calling for the full and effective implementation of the commitments under the Barbados Programme of Action for the Sustainable Development of Small Island Developing States and the Mauritius Strategy for the Further Implementation of the Programme.", "Developing countries are working hard to eradicate poverty and underdevelopment and to improve quality of life for our people. However, we continue to be confronted by a lack of resources and are relatively less prepared to deal with the consequences of climate change. Least developed countries, especially in Africa and Asia, as well as small island developing States, cannot shoulder those costs. It is for that reason that we continue to call for, first, the scaling up of resources; secondly, the transfer of technology and, thirdly, capacity-building to help developing countries to deal with the grave consequences of climate change.", "South Africa firmly believes that the United Nations Framework Convention on Climate Change (UNFCCC) and the Kyoto Protocol remain the best instruments to deal with the broader challenges of climate change. It is important that we all continue honour our obligations under the UNFCCC and the Kyoto Protocol if we are to effectively deal with the challenges precipitated by climate change. That has to be in accordance with the fundamental principle of common but differentiated responsibilities. The UNFCCC affords all Member States, including small island developing States and LDCs, an opportunity to advance their cause while ensuring robust engagement with the partners.", "The contribution that the members of the Security Council can make to these UNFCCC processes is to ensure that the architecture of the climate change regime is strengthened and not fragmented. Such a global challenge can be effectively dealt with only through a strong rules-based international system. The UNFCCC and the Kyoto Protocol should be strengthened, and a second commitment period should be finalized as soon as possible.", "Finally, for South Africa, as President of the seventeenth Conference of the Parties to the UNFCCC, this debate provides an opportunity to raise awareness and exchange views in order to intensify global efforts to address climate change, first as a sustainable development issue and, secondly, to re-emphasize the need to retain the climate change debate within the UNFCCC and the Kyoto Protocol.", "For our part, we will spare no effort in ensuring that the parties strive for a balanced and credible outcome in Durban that is party-driven. In that regard, we will rely on the bureau, work optimally with the secretariat of the UNFCCC and consult with the parties and their regional groups in an inclusive and transparent manner.", "Mr. Moungara Moussotsi (Gabon) (spoke in French): Combating climate change is one of the main thrusts of His Excellency President Ali Bongo Ondimba’s L’avenir en confiance project. My delegation therefore fully supports Germany’s initiative to have the Security Council consider, for the second time, the security implications of climate change, which is a phenomenon that has been at the heart of the international community’s concerns for many years.", "We would like to thank the Secretary-General and the Executive Director of the United Nations Environment Programme for their detailed statements.", "As members are aware, on 17 April 2007, under the presidency of the United Kingdom, the Council held a historic debate on this important issue, focused on the issues of energy, security and climate. As witnessed by the negotiations on the draft presidential statement, which unfortunately did not enjoy consensus, many continue to express strong reservations as to the relevancy of the Security Council taking up this issue. My delegation remains convinced of the contrary.", "It is increasingly clear that climate change leads to water scarcity, which is a source of tensions among riparian countries, such as those in Central Asia, and among communities in those countries. This also happens in numerous African countries. In other cases, climate change helps to exacerbate conflicts and imbalances in the world’s ecosystems. Without effective cooperation, climate change could not only lead to cross-border population movements; it could also significantly contribute to making energy, biological, forest and aquatic resources even more scarce. It is precisely because of the cross-cutting nature of this phenomenon that greater involvement by the Security Council is required.", "Given developments on the international stage, the maintenance of international peace and security is no longer unidimensional. The military perspective continues to be important, but it alone cannot be how we define the convergence of threats that today impact our collective security. Faced with new threats to international peace and security, the Council should have the tools to allow it to assess both the scope and gravity of a situation, and therefore to act in advance. In our view, preventive diplomacy is a tool that can help States, as part of a synergistic effort, to reduce the effects of new threats. In that regard, my delegation welcomes the considerable assistance provided to States by United Nations regional offices in developing and implementing prevention strategies.", "Beyond our differences of opinion on this central issue, it is crucial that the Security Council define, in cooperation with other relevant United Nations bodies, a framework for cooperation aimed at more effectively combating this phenomenon. The effects of climate change are real and are already having an impact on our daily lives. Temperatures are rising, and extreme weather events are becoming more frequent.", "Owing to its low adaptation capacity, Africa is one of the continents that is most vulnerable to climate change. We draw the international community’s attention to the need to help Africa to address this phenomenon. The same goes for island States, which are increasingly exposed to the devastating effects of climate change and whose survival depends upon our commitment to act with the greatest urgency. The concerns of those States will be set out in the statement to be made later by His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, whose presence at this debate I would like to welcome.", "Lastly, I would like to assure the Council that, for its part, Gabon will continue to closely associate itself with international efforts aimed at reducing the negative effects of climate change.", "Mr. Hardeep Singh Puri (India): At the outset, I would like to thank the Secretary-General and Executive Director Achim Steiner of the United Nations Environment Programme for their statements. The interest and participation that today’s open debate has evoked testifies to the importance that we all attach to the subject of climate change. I would therefore like to particularly acknowledge the presence of His Excellency the President of Nauru and of other dignitaries in our midst today. I look forward to hearing their views on the issue under our consideration. It is a challenge that lies at the forefront of the global development agenda and that is close to the hearts of small island States, for which it poses an existential threat.", "Climate change, in an overarching sense, is beginning to impact the security of the global community in the same way as poverty, food security and underdevelopment continue to undermine international well-being. Sweeping generalizations about climate change leading to droughts, floods, changes in weather patterns, water and food scarcity, and violent conflicts are, however, yet to be fully tested against empirical and scientific analyses.", "The Fourth Assessment Report of the Intergovernmental Panel on Climate Change and other scientific authorities unequivocally speak of this uncertainty. This is also corroborated by the Secretary‑General’s report entitled “Climate Change and its possible security implications”, which concludes that", "“[w]hile climate modelling has made considerable advances in forecasting the future behaviour of natural systems over long time spans, the science of climate change and its physical impacts still confronts a number of uncertainties” (A/64/350, para. 8).", "Sea-level rise, on the other hand, is happening. There is verifiable evidence to suggest sea-level increases of a metre or more by 2100, which could lead to the disappearance of several small island States and the submergence of low-lying coastal areas in many littoral States. We are particularly aware of its gravity, given the vulnerability of our own people living on island chains and in coastal areas. There are also issues of statelessness and the displacement of people that are deeply worrisome.", "Faced with these challenges, what must the global community do? The answer quite clearly lies first and foremost in taking remedial action today rather than in focusing on the implications of such climate-induced disasters in the distant future.", "The concept paper for this debate (S/2011/408, annex) states that the purpose of today’s engagement is to allow the Council to deliberate the security implications of climate change, consistent with its mandate, and to advance the dialogue on this issue from the security perspective. In this context, it is worth keeping in mind that while the Security Council can debate the issue and may recognize the vulnerabilities and threats induced by climate change, it does not have the wherewithal to address the situation. The existential threat to island States or the emergence of food insecurity as a result of climate change cannot be resolved or remedied by the Council under Article 39 of the United Nations Charter. Clearly, these issues need a broader approach anchored in development, adaptive capacity, risk assessment and institutional build-up. We therefore have some difficulty in accepting the assertion that the effects of climate change go beyond the mandate of the United Nations Framework Convention on Climate Change (UNFCCC).", "If we are serious about addressing the vulnerabilities arising out of climate change, then our deliberations on climate change must focus on reducing greenhouse gas emissions and strengthening the adaptive capacities of vulnerable countries. Our agreed global goal for climate stabilization by limiting the increase in global average temperature below 2ºC above preindustrial levels needs to be backed by mitigation commitments based on the principles of common but differentiated responsibilities and respective capabilities and equity. Preserving the structure of the Kyoto Protocol and its second commitment period, the early disbursement of the Fast Start Finance agreed at Cancún and the operationalization of the Green Climate Fund, the Technology Mechanism and the Adaptation Committee are vital to imparting a renewed momentum to the UNFCCC process.", "Those who are historically responsible for climate change must come forward with firm greenhouse gas commitments and ensure that there is adequate resource and technology flow to developing countries, in particular the small island States, to allow them to adapt to climate change. If we are successful in undertaking the necessary mitigation and adaptation measures, our preoccupations about the security implications of climate change, which in any case are yet to be fully established, would to a large extent be put to rest. This would also lighten the burden of preventive diplomacy, which has been so passionately argued for by some delegations.", "In our view, what constitutes a bigger concern for international peace and security today is the threat that developing countries face from possible conflicts arising out of inadequate resources for development and poverty eradication. Sustained economic growth and development must therefore be pursued in order to allow developing countries to alleviate poverty and meet basic standards of living for all. This in itself will make them more resilient to climate change vulnerabilities.", "The concept paper also highlights the vulnerability of food security while postulating its veritable nexus with climate change impact. That may well be the case. However, our recent experience of food scarcity, as arose in 2008, and high inflation this year point to the preponderance of factors far removed from climate change that are holding global food security to ransom. Agricultural protectionism, excessive speculation in food commodity trading and the diversion of crops to non-food purposes are leading us to an unsustainable global food situation. This calls for urgent global attention.", "Our efforts to deliberate the possible security implications of climate change will bear fruit only if we realize where the centre of gravity on this issue lies. We must not confuse political motion with action. Climate change needs the collective understanding and support of all Member States. Action must therefore lie in the UNFCCC. When confronted with the question of an existential threat to the small island States, I am reminded of the words of Mahatma Gandhi that “all compromise is based on give and take, but there can be no give and take on fundamentals”. Let us do our best for the small island States and for humankind.", "Mr. Moraes Cabral (Portugal): Like you, Sir, I wish to warmly His Excellency the President of the Republic of Nauru to the Council. His presence does indeed illustrate the seriousness of the challenges facing his country and other small island developing States (SIDS).", "I thank the German presidency and you yourself, Mr. President, for having organized this debate on the security implications of climate change, an issue to which Portugal has been strongly attached for many years. I thank the Secretary-General for his important statement, and I also wish to thank Mr. Steiner for his very useful presentation. These are indeed serious threats to some regions of our planet, as Mr. Steiner eloquently illustrated.", "As I have repeatedly stated, Portugal does not see the Security Council as the forum for climate change negotiations or even for discussions on measures to mitigate and adapt to environmental vulnerabilities. These issues belong to other contexts that have the legitimacy and the appropriate tools to address them. It is, however, the Council’s role to recognize and deal with new challenges and to ensure that such challenges do not lead to tensions and ultimately to conflict. Therefore, there is, in our view, an added value in the Security Council discussing the impact that certain consequences of climate change may have for international stability, peace and security. For the same reason, Portugal hopes that we may still be able to find a consensus on an outcome for our discussions today.", "We strongly believe that we should be able to develop concrete strategies for coherent, integrated and comprehensive responses of United Nations institutions, including the Security Council, to address these risks. The case for such an approach is particularly relevant when it is called for by those Members of the United Nations particularly affected by climate change and whose very existence is at risk. I would like to mention again the particular case of the Pacific SIDS, for which the negative effects of climate change are no longer a possible scenario but a very concrete reality. Sea-level rise may, in time, lead to the loss of entire territories, but those island States may become uninhabitable long before that.", "When that occurs, there are a number of issues that need to be answered and that have clear international implications. How do we deal with populations that need to be resettled? Where do they go? How do they get there? How does one manage and defuse the tensions that resettlement entails? How do we address the legal consequences of the loss of territory, such as the definition of borders, economic zones and continental shelf rights? Our failure to deal collectively with such questions may lead not only to humanitarian disaster but also to a surge of serious tensions in a vast region, threatening peace. I am sure that President Marcus Stephen will give us a very vivid analysis of those problems in all their complexity.", "Desertification and its effects on food production and water availability should also merit our attention in this debate, since its consequences are often felt across national borders. Let us remember that 47 per cent of all land area falls within international river basins and that over 200 river basins are multinational. As water demands increase, tensions or even conflict over water resources will also increase.", "Desertification and increasing food scarcity as an effect of climate change are also reasons for the involuntary displacement of populations, a link recently recognized by the United Nations High Commissioner for Refugees, Mr. António Guterres, in his report on climate change, natural disasters and human displacement. This is first and foremost a humanitarian and development issue but, as we are all aware, the strongest impact of desertification is felt in countries with social and economic vulnerabilities, some of them emerging from long periods of conflict and instability. If the movement of populations due to desertification has a cross-border or even a regional dimension, then it is very likely that its security implications will go beyond the borders of a particular State and may derail progress in post-conflict stabilization and peacebuilding efforts.", "If properly addressed, the security challenges whose effects are amplified by climate change do not necessarily lead to conflict. As with many other issues that the Security Council discusses on a regular basis, we believe that in this domain we should likewise give priority to a preventive approach and to the development of early-warning mechanisms. We should also actively discuss the security impact of climate change with other international organizations that are already addressing the issue from a security perspective, including the European Union and the African Union. We must consider how our actions may complement and reinforce each other for a more effective response. In that context, Portugal, as a member of the European Union, naturally shares the position that will be later expressed by Ambassador Pedro Serrano on these issues. Indeed, global problems call for collective responses, and this is particularly important when resources are scarce.", "In conclusion, the effects of climate change are likely to increase in the near future. What we are discussing here today as possible security implications will likely become increasingly evident. That is why we believe that today’s debate should not be a one-off event, but rather a step towards a consistent and regular consideration of the issue by the Security Council, based on reliable information on specific situations where climate-related phenomena are negatively affecting peace and security. That would allow us to have a more complete understanding of the complex links between climate, development and security, and therefore strengthen our capacity to prevent conflict and promote international cooperation.", "The President: I shall now make a statement in my national capacity.", "Germany aligns itself with the statement to be made by the observer of the European Union.", "At the outset, I would like to join others in thanking the Secretary-General for participating in today’s debate. His remarks and his presence are a strong signal of the engagement of the United Nations in the debate on climate change and its security implications. Let me also join my colleagues in thanking the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his insightful and very instructive briefing.", "Over one year ago, the Pacific small island States urged the Security Council to consider the security implications of climate change. They appealed to the Security Council to fulfil its mandate for the maintenance of international peace and security. The reason why those countries urged the Security Council to act is clear: already today they suffer from the security implications of climate change. They have to deal with rising sea levels, loss of land and increasing scarcity of resources. The Governments of those countries have to resettle their people and ensure that the distribution of basic commodities does not turn into violent fights for survival. For them the security dimension of climate change is crystal clear. It is their daily challenge.", "The situation of the small island States is a compelling reason in and of itself to discuss today’s matter in the Security Council. At this point, it might be useful to remember that the United Nations has always drawn its unique legitimacy from the equality of States. Big or small, rich or poor, each State has the same right for its existential fears and threats to be addressed.", "There is, however, even more reason for the Council to debate the security dimension of climate change, because what happens to some small island States today might well happen to other countries tomorrow. Most national security establishments consider the threat of global warming as one of the biggest challenges of the twenty-first century. If we take a look at the conflicts on the agenda of the Council, we will easily see that quite a few of these conflicts are, already today, driven by desertification, lack of water and increased trans-border migration. We have no doubt that the environmental degradation due to climate change very often acts as a driver of conflict. We all know that conflicts of this sort do not remain isolated within a single country but, on the contrary, tend to destabilize whole regions. We should also keep in mind that not all States and societies have the same capacity to adapt to the dramatic changes in their environment.", "The mandate of the Security Council is the maintenance of international peace and security. We are convinced that it is the Council’s duty to act with foresight and to do its best to prevent crises before they become acute. We therefore welcome the fact that the Council has successfully debated structural aspects of conflicts before, such as the interrelatedness of development or HIV/AIDS with security.", "Keeping in mind the mandate of the Security Council, we suggested that today’s debate be focussed strictly on the security implications of climate change. Let me be very clear: Germany does not want the Council to infringe upon the competences of the United Nations Framework Convention on Climate Change or other United Nations organs. We did not, and do not, intend to advance any kind of encroachment.", "We regret that it was not possible, at least up to now, to find agreement on an outcome document for today’s meeting. I would like to reiterate that Germany has a keen interest in a Security Council that rises beyond the day-to-day management of acute crises but takes into consideration the underlying causes of conflict. It was our intention to ask the Secretary‑General for a sound basis for these discussions. While we would have preferred, and still prefer, that the Council find common ground on this request, the strong interest of the membership in today’s debate makes one thing clear, namely, that the Members want to see this topic on the agenda of the Council.", "I now resume my functions as President of the Council.", "I request the Protocol Officer to escort His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, to a seat at the Council table.", "Mr. Marcus Stephen, President of the Republic of Nauru, was escorted to a seat at the Council table.", "The President: I now give the floor to His Excellency Mr. Marcus Stephen, President of the Republic of Nauru.", "President Stephen: I would like to begin by thanking Germany for hosting this important debate on climate change and its implication for the maintenance of international peace and security.", "I have the honour to speak on behalf of the Pacific small island developing States — the region most vulnerable to climate change — namely, Fiji, the Marshall Islands, Micronesia, Palau, Papua New Guinea, Samoa, Solomon Islands, Tuvalu, Tonga, Vanuatu and my country, the Republic of Nauru — as well as the countries of Maldives, Seychelles and Timor-Leste.", "Last month, the International Energy Agency announced that in 2010 carbon dioxide emissions reached their highest level in history. Last year also tied as the hottest year on record, and the volume of Arctic sea ice dropped to its lowest level since measurements began, while catastrophic droughts, forest fires and floods wreaked havoc on countries around the world. Scientists now project that seas will rise by a metre or more by the end of the century — a level that could wipe out many small islands in the Pacific and elsewhere. All this happened despite 20 years of negotiations to reduce greenhouse gas emissions to a safe level.", "We must now come to terms with an unsettling reality: there is so much carbon dioxide in the atmosphere that serious impacts are now unavoidable, and we must prepare.", "In my frustration, I often wonder where we would be if the roles were reversed. What if the pollution coming from our island nations was threatening the very existence of the major emitters? What would be the nature of today’s debate be under those circumstances? But that is not the world that we live in, and this is not a hypothetical exercise for us. Many of our countries face the single greatest security challenge of all, that is, our survival. For that reason, we have come to the Security Council today.", "Because of climate change, our islands face dangerous and potentially catastrophic impacts that threaten to destabilize our societies and political institutions. Our food security, water security and public safety are already being undermined. Sea-level rise is eroding our coastlines and in some cases is damaging critical infrastructure. Loss of territory could disrupt traditional systems of land ownership and spark conflicts over land and other increasingly scarce resources. Eventually, some islands may disappear altogether, and with them thousands of years of cultural heritage. That would force large numbers of our citizens to relocate, first internally, then across borders. Even with an ambitious new agreement to address climate change, many of these impacts are now unavoidable.", "The Security Council has recognized that it has a role in preventing conflict before it occurs, not just in facilitating its resolution afterwards. For that reason, it has recognized the necessity of addressing the root causes of conflict, unconventional security threats that can give rise to social tension and civil unrest, such as poverty, underdevelopment, competition over natural resources and HIV/AIDS. For such issues and others, the Security Council has evaluated the problems and, in concert with other organs of the United Nations, has deployed a variety of tools to address them.", "Today, we ask no less of the Council. The international response to climate change must be comprehensive, particularly given its global nature and implications for every aspect of society.", "Make no mistake: the United Nations Framework Convention on Climate Change — the UNFCCC — is and must remain the primary forum for developing an international strategy to mitigate climate change, mobilize financial resources, and facilitate adaptation, planning and project implementation. The General Assembly must continue to address the links between climate change and sustainable development.", "Likewise, the Security Council has a clear role in coordinating a response to the security implications of climate change. In the 2009 General Assembly resolution on climate change and its possible security implications (resolution 63/281), we agreed that all relevant organs of the United Nations, within their respective mandates, should intensify their efforts to address climate change, including its possible security implication. An effective international response requires disaster planning and preparedness, detailed assessments of vulnerability and risk, more effective multilateral coordination and preventive diplomacy.", "In our conversations with Security Council members, we have heard loud and clear that they understand the security challenges faced by the Pacific and other island nations and that they stand in solidarity with us. However, solidarity demands more than sympathetic words demonstrated by formally recognizing that climate change is a threat to international peace and security. It is a threat as great as nuclear proliferation or terrorism, and it carries the potential to destabilize Governments and ignite conflict. Neither nuclear proliferation nor terrorism has ever led to the disappearance of an entire nation, though that is what we are confronted with today.", "The Security Council has also asked us what concrete steps it can take to address the issue. Allow me to tell it.", "The Council should start by requesting the immediate appointment of a special representative on climate and security. That individual’s primary responsibility should be to analyse the projected security impacts of climate change so that the Council and all Member States can understand what lies ahead. The Council should also request an assessment of the capacity of the United Nations system to respond to such impacts so that vulnerable countries can be assured that it is up to the task.", "These proposals are the absolute minimum required to move the international community from a culture of reaction to one of preparedness. As the Secretary-General concluded in his report on climate change and its possible security implications, “the international community must anticipate and prepare itself to address a number of largely unprecedented challenges posed by climate change for which existing mechanisms may prove inadequate” (see A/64/350, p.28).", "Many countries have expressed concerns about the Security Council encroaching on the mandate of the General Assembly and the UNFCCC. We understand and share this concern, which is why our proposals have been narrowly tailored to address the security implications of climate change. However, we are more concerned about the physical encroachment of the rising seas on our island nations.", "We are deeply disappointed that there will be no formal outcome to this debate. Let history recall that once again we have sounded the alarm and the world chose not to act. The Security Council must reflect current geopolitical realities if it is to remain relevant, both in its membership and in the substance of its work. We applaud its recent decision to explore the security implications of such divergent topics as development; cultural and religious tolerance; HIV/AIDS; and women, peace and security. Yet the Council would render itself irrelevant if it chose to ignore the biggest security threat of our time.", "Let me be absolutely clear: The security risks of climate change are all the more reason to urgently reach a legally binding agreement under the UNFCCC. The international community must work towards more ambitious emissions reductions from all major emitters. The current pledges are grossly inadequate and would condemn many small Pacific States, Members of the United Nations that belong to the Alliance of Small Island States, and the world to a future marked by widespread conflict and unrest.", "The Security Council is entrusted with the maintenance of international peace and security under the United Nations Charter. Representative of many of the world’s current and aspiring Powers sit before me today. I urge them not to bury their heads in the sand and to seize this opportunity to lead. I implore them to fulfil their mandate by dealing responsibly with the security implications of climate change.", "The President: I now give the floor to the representative of Australia.", "Mr. Marles (Australia): May I start by thanking Germany for the opportunity to address the Council on the security implications of climate change. May I also say what an honour it is for me to follow, in addressing the Council, my colleague and good friend, His Excellency Mr. Marcus Stephen, President of Nauru.", "Climate change is a global threat, not an abstract concern. It is already seriously affecting the planet. Carbon dioxide levels are at their highest point in more than a million years. It is an existential threat to many small island developing States and low-lying countries. The effects of climate change could reshape the future global security environment by affecting the political and social stability and economic security of vulnerable countries. Increased extreme weather events could further worsen food and water security challenges, undermine community development, compromise critical infrastructure, weaken State governance and strain social cohesion. All countries will face the adverse impacts of climate change, but the most vulnerable peoples worldwide, who are least responsible for the global challenges we are now facing, will suffer the most.", "As the Australian Parliamentary Secretary for Pacific Island Affairs, I have travelled to some of the countries that will be most affected by climate change. Indeed, 20 of Australia’s 22 closest neighbours are developing countries, most of them small island developing States.", "In our region, one of the most significant impacts of climate change will likely be sea-level rise caused by a thermal expansion of the world’s oceans and melting glaciers and ice caps. Sea levels may rise by up to 1 metre by the end of this century, resulting in more severe storm surges, coastal inundation and loss of territory. Never before has the international community had to grapple with the reality that islands and low-lying territories might become uninhabitable as a result of sea-level rise. For low-lying island States such as the Marshall Islands, a 1-metre rise in sea level could result in the erosion and loss of as much as 80 per cent of the nation’s capital, the Marshall Islands Majuro Atoll.", "When one stands on Majuro as I have, with nowhere else to go, and sees the sea on either side of that thin and flat strip of land, there is a sense of the intense vulnerability felt by those living on small islands. The sea, which is everywhere and has long been a source of food, sustenance and comfort, is being transformed into a source of anxiety and threat. In the short-to-medium term, a combination of sea-level rise, storms of greater intensity and inundation will put greater pressure on coastal settlements and may lead to further local displacements of populations. In the longer term, if internal resettlement is no longer an option, climate change could cause destabilizing population movements as peoples’ lives and livelihoods are increasingly subject to risk.", "Vulnerability to climate change is not limited, of course, to island countries. Drought, flooding and soil erosion exacerbated by climate change pose significant threats to agricultural productivity and food and water security in Africa and elsewhere. Desertification has already consumed significant areas of land and will continue to reduce the amount of arable land as climate change worsens.", "The only way to tackle the global challenge of climate change is through robust global cooperation and strong domestic action. Both are indispensable. Both are complementary. We know that there has been some concern about where responsibility for addressing climate change lies within the United Nations system. First, let me reaffirm that, in Australia’s view, the United Nations Framework Convention on Climate Change (UNFCCC) is the primary intergovernmental instrument for addressing climate change. Australia’s commitment to that process was demonstrated by our domestic policy reform inspired by the UNFCCC. On 10 July, Australian Prime Minister Gillard announced that we will legislate a carbon price to take effect from 1 July 2012. This has been a difficult political debate in Australia but a fundamentally critical piece of public policy reform. In 2020, our carbon price will have reduced Australia’s carbon pollution by 160 million tons — the equivalent of taking 45 million cars off the road by 2020.", "Secondly, let me equally reaffirm our commitment to the fundamental role of the General Assembly. Its unique and indisputable legitimacy reflects the voice of its 193 members. Our commitment to that role of the General Assembly is why Australia was such a strong proponent of its resolution 63/281 in June 2009, which specifically stated that the overarching responsibility for sustainable development issues, including climate change, rests with the General Assembly and the Economic and Social Council. We considered it right and essential that this matter be first addressed by the General Assembly. It was the General Assembly that then invited all the relevant organs of the United Nations to intensify their efforts in order to consider all aspects of climate change, including its possible security implications.", "In this process, it seems to us that the Security Council has a role to play as the principal organ directly responsible for maintaining international peace and security. That role includes consideration of the root causes of conflict and political and social crises. The Council addresses those issues through many topics, including, for example, poverty and HIV/AIDS. A focus on the potential security implications of climate change is therefore relevant to its mandate and does not — and should not — compete with the mandates of the General Assembly, the Economic and Social Council or the United Nations Framework Convention on Climate Change.", "But ultimately, the question as to where the responsibility for the issue of climate change lies is an easy one. The overwhelming nature of the challenge of climate change means that the responsibility lies with all of us, in every forum. Australia remains seriously committed to helping developing countries tackle climate change. Least developed countries, small island developing States and Africa have been given the highest priority in the allocation of Australia’s fast-start package because they need it most urgently. These are not the countries most responsible for the current crisis we face, but they are the countries that will bear the greatest burden. Of our $599 million fast-start funding commitment made at Copenhagen, Australia has so far allocated $498 million, more than 80 per cent.", "In conclusion, Australia recognizes that climate change is a threat to the stability of individual countries and regions and has broad implications for future global security. That is why we have supported this debate. We also support calls for a report from the Secretary-General on the capacity of the United Nations system to respond to those impacts and on how that capacity can be improved. Failure to act now on the potential security implications of climate change will exacerbate risks in the future. Improving resilience, integrating climate risk into vulnerable sectors of our economies, and strengthening our disaster management capabilities are just some of the urgent responses we must make to address these security challenges. No serious Member State can deny that climate change is a primordial threat to our planet. We owe it to ourselves, to future generations, and to the future of the planet itself to anticipate and act to reduce that threat.", "The President: Once again, let me remind all speakers that, in accordance with the understanding reached among Council members, statements should be limited to no more than four minutes in order to enable the Council to carry out its work expeditiously. Longer versions of statements can be distributed in writing.", "I now give the floor to the representative of Egypt.", "Mr. Abdelaziz (Egypt): I have the pleasure to deliver this statement on behalf of the States members of the Non-Aligned Movement (NAM) in the open debate on the impact of climate change on the maintenance of international peace and security. I would like to begin by expressing the Movement’s appreciation to the Secretary-General and Mr. Steiner for their statements to the Council today.", "The Movement’s position regarding the Security Council’s repeated attempts to deal with climate change issues is reflected in a letter dated 12 April 2007 from the Chargé d’affaires ad interim of the Permanent Mission of Cuba on behalf of the Non‑Aligned Movement, addressed to the President of the Security Council (S/2007/203); in the statement delivered by the representative of Cuba on behalf of the Movement at the 2007 meeting (S/PV.5663 (Resumption 1)); and in a letter dated 14 July addressed to the President from the Permanent Representative of Egypt in his capacity as current Chair of the Coordinating Board of the NAM (S/2011/427), as well as my statement today on behalf of the Movement.", "The Movement also takes note of the concerns expressed in the letter dated 1 July from the Permanent Representative of Nauru in her capacity as Chair of the group of Pacific Small Island Developing States (SIDS), addressed to the Member States of the United Nations, and expresses its appreciation for the presence of His Excellency President Stephen of the Republic of Nauru, and for his statement on this issue on behalf of the Pacific SIDS.", "General Assembly resolution 63/281 on climate change and its possible security implications recognizes the respective responsibilities of the principal organs of the United Nations, including the primary responsibility for maintaining international peace and security conferred on the Security Council, and the responsibility for sustainable development issues, including climate change, conferred on the General Assembly and the Economic and Social Council. The final document of the Sixteenth Ministerial Conference of the Non-Aligned Movement, held in Bali from 23 to 27 May, and General Assembly resolution 63/281 both stress that the United Nations Framework Convention on Climate Change (UNFCCC) is the key instrument and central multilateral framework for addressing all aspects of climate change, and the primary forum for considering the risks associated with and the actions needed to address climate change, in accordance with the principles enshrined in the Convention.", "In this context, the Security Council’s continued encroachment on the functions and powers of the General Assembly, the Economic and Social Council and the relevant subsidiary organs, by addressing issues that traditionally fall within the competence of those organs, remains a source of deep concern for the Movement. The Non-Aligned Movement stresses that the Security Council must fully observe all provisions of the Charter establishing the delicate balance among the competencies of all principal organs. The Movement also stresses that close cooperation and coordination among the principal organs is indispensable to enabling the United Nations to remain effective and capable of meeting existing, new and emerging threats and challenges.", "The Movement also stresses that climate change and its adverse impacts must be addressed from the perspective of sustainable development, promoting a comprehensive approach to addressing the root causes of the problem. This can happen only in the relevant frameworks, which are the UNFCCC, the General Assembly, the Economic and Social Council and the Commission on Sustainable Development. Those bodies are the most competent to address climate change and its related issues in a substantive way through due and harmonious cooperation in dealing with situations arising from the consequences of climate change.", "The Movement is fully aware of the severity and urgency of the issue of climate change and its adverse impacts, and acknowledges the challenges faced by developing countries — including but not limited to least developed countries, SIDS and Africa — and the enormous pressure those impacts put on developing countries’ national capacities and institutions.", "The Movement stresses the importance of fulfilling the international commitments undertaken according to the UNFCCC and its Kyoto Protocol. Action must be taken by all, in accordance with the principles of common but differentiated responsibilities and respective capacities. Developed countries have a historical and particular responsibility to reduce emissions and support developing countries’ actions to adapt to and mitigate climate change by providing new, additional and predictable financing, as well as technology transfer and capacity-building.", "The Non-Aligned Movement therefore emphasizes that the Council’s decision to hold this debate should not be considered a precedent, and that this debate should not result in any form of outcome that undermines the authority or mandate of the relevant bodies, processes and instruments of wider membership that already address climate change.", "The President: I give the floor to the representative of Argentina.", "Mr. Argüello (Argentina): I would like to thank the Secretary-General and Mr. Steiner for their statements. I also particularly welcome the presence here today of His Excellency the President of the Republic of Nauru, Mr. Marcus Stephen.", "I have the honour to deliver this statement on behalf of the Group of 77 and China in the context of today’s open debate, held in accordance with the letter dated l July from the Permanent Representative of Germany to the Council (S/2011/408), on the subject of the impact of climate change on the maintenance of international peace and security. The Group of 77 and China wishes to reaffirm its position on this subject.", "The Council’s primary responsibility is the maintenance of international peace and security, as set out in the Charter of the United Nations. Other issues, including those related to economic and social development, are assigned by the Charter to the Economic and Social Council and the General Assembly. The ever-increasing encroachment by the Security Council on the roles and responsibilities of other principal entities of the United Nations represents a distortion of the principles and purposes of the Charter, infringes on their authority and compromises the rights of the general membership of the United Nations.", "The Group of 77 and China underlines how important it is that the General Assembly, the Security Council and the Economic and Social Council work within their respective mandates, as set out in the Charter.", "General Assembly resolution 63/281 recognized the respective responsibilities of the principal organs of the United Nations, including the primary responsibility for the maintenance of international peace and security conferred upon the Security Council and the responsibility for sustainable development issues, including climate change, conferred upon the General Assembly and the Economic and Social Council, and invited the relevant organs of the United Nations, as appropriate and within their respective mandates, to intensify their efforts in considering and addressing climate change, including its possible security implications. The relevant bodies in the field of sustainable development are the General Assembly, the Economic and Social Council and the relevant subsidiary bodies, including the Commission on Sustainable Development and the United Nations Environment Programme.", "The Group of 77 and China is of the view that it is vital for all Member States to promote sustainable development in accordance with the Rio Principles, in particular the principle of common but differentiated responsibilities, and fully implement Agenda 21 and the outcomes of other relevant United Nations conferences in the economic, environmental and social fields, including the Millennium Declaration.", "We further emphasize the critical role of the international community in the provision of adequate, predictable, new and additional financial resources, the transfer of technology and capacity-building to developing countries.", "We maintain that the United Nations Framework Convention on Climate Change (UNFCCC) is the primary international intergovernmental forum for negotiating the global response to climate change. In that context, we would recall that an appropriate response to this challenge should address not only the consequences but also the roots of the problem. Let me emphasize that there is a strong case for emission reductions and mitigation actions on the part of developed countries so as to avert the adverse impacts of climate change.", "In this context, we are extremely concerned that under current climate change negotiations, there has not yet been any clear indication on the part of the developed countries that they will adopt a second commitment period under the Kyoto Protocol. Moreover, current mitigation pledges from developed countries participating in the UNFCCC negotiations are not sufficient to reduce global greenhouse-gas emissions enough to hold the increase in global average temperature at a level that would accord with what is required by science. Developed countries must be more ambitious in this respect.", "We reiterate the need to coordinate international efforts and mobilize partners to assist the observation networks through regional initiatives such as the South Pacific Sea Level and Climate Monitoring Project and the Caribbean Community Climate Change Centre. In this regard, we call on the relevant agencies and organs of the United Nations, including the Office for the Coordination of Humanitarian Affairs, to reinforce regional broadcasting systems to help island communities during a disaster and increase the effectiveness of observation in those regions. Any measures taken in this context must ensure that an integrated approach is adopted in responding to environmental emergencies.", "The response to the impacts of climate change and disasters must include the strengthening of the Hyogo Framework for Action for disaster risk reduction, as well as an increase in assistance to developing countries and affected States, including by supporting efforts to enhance their national and regional capacities for the implementation of plans and strategies for preparedness, rapid response, recovery and development.", "The Group would like to underline the fact that developing countries continue to suffer from the adverse impacts of climate change and the increasing frequency and intensity of extreme weather events. Developing countries are the most vulnerable to climate change, and support for their efforts needs to be stepped up. In this regard, we call for the full and effective implementation of the commitments under the Barbados Programme of Action for the Sustainable Development of Small Island Developing States, the Mauritius Declaration and the Mauritius Strategy for the Further Implementation of the Programme of Action for the Sustainable Development of Small Island Developing States.", "We reiterate that sea-level rise continues to pose a significant risk to small island developing States and to their efforts to achieve sustainable development and that, for some, it represents the gravest of threats to their survival and viability.", "The Group of 77 and China will continue to pursue the achievement of sustainable development and the eradication of poverty, which are our first and overriding priorities, as well as the fulfilment of the commitments made by developed countries in all relevant bodies.", "We strongly reiterate our expectation that the initiative of the Council to hold this debate will not create a precedent that undermines the authority or mandate of the relevant bodies, processes and instruments that already address these issues in all their complexity.", "The President: I now give the floor to the representative of El Salvador.", "Mr. García González (El Salvador) (spoke in Spanish): Mr. President, we welcome your initiative to convene this open debate of the Security Council on the impact of climate change on the maintenance of international peace and security.", "The world is now facing one of the greatest challenges in its entire history. Climate change is directly affecting millions of people, all species and ecosystems in general. Various international forums and organizations have been warning us for many years about the impact of climate change on agriculture, livestock and fisheries, particularly in countries located in tropical and subtropical regions. This had had negative consequences for small-scale rural subsistence economies in marginalized areas of Africa, Asia and Latin America.", "El Salvador and the other Central American countries, owing both to their geographical location and natural environment and to their poverty levels and social deficit, are among the regions that are most vulnerable to and threatened by climate change. Our country is experiencing heavy rainfall, storms, drought and extreme weather events, which are having a negative impact on public resources, the social and economic base of the country and its democratic governance.", "Just as serious is the situation of small island developing States (SIDS), which are suffering as a result of the direct impacts of climate change. They are affected mainly by problems that include coastal flooding, the disappearance of some islands into the sea, a reduction in freshwater resources, severe drought, crop losses and an increased incidence of disease, as well as threats to fish stocks, which represent the main food source for many communities in those States. All of the foregoing was stated by His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, speaking on behalf of the SIDS. My country aligns itself fully with his statement.", "In the face of such a situation, a greater commitment is necessary on the part of developed countries so as to make progress on negotiations to adopt a second commitment period under the Kyoto Protocol and hence to achieve its objective of reducing greenhouse gases.", "Developing countries are the most affected by the adverse effects of climate change, and they are the least responsible for creating this problem. One example of this, according to scientific studies, is the estimate that by 2030, Central America will produce less than 0.5 per cent of greenhouse gases; however, it is already one of the regions that is most vulnerable to the effects of this phenomenon.", "Here we should recall the commitment made by the developed countries to provide technical and financial assistance to developing countries to enable them to fulfil their commitments in terms of adaptation to climate change and with respect to the adoption of low-carbon development models.", "One of the principles of international law is that no State can exercise its rights if doing so harms another State. International environmental law establishes limits on sovereignty in the sense that no State can use its territory in such a way that causes serious environmental damage to other States. The Framework Convention on Climate Change goes beyond this principle, declaring the change in the Earth’s climate a common concern of humanity.", "In this context, we welcome the appeal made by the Chair of the Group of 77 and China, Ambassador Argüello of Argentina, for the main bodies of the United Nations, within their mandates as accorded by the Charter of the United Nations, to devote greater efforts to addressing the impact of climate change and its security implications.", "In this case, there is a crucial need for the Security Council to clearly recognize the threat that climate change poses for international peace and security and thus be able to respond with appropriate actions to the impacts of this phenomenon in this specific area. Climate change conditions and reduces economic growth and social progress, multiplies and magnifies territorial vulnerability and exacerbates environmental degradation, and thus constitutes a human security problem.", "El Salvador is participating in various projects and initiatives at the regional level aimed at reducing vulnerability and adapting to climate change. The Regional Climate Change Strategy is a reflection of the common objective and the position of the Central American countries to tackle head on the challenge posed by climate change and its impact on the population of the region. We appreciate the initiative of the Security Council to debate this important topic, which will require a great deal of political will in multilateral negotiations for positive results to be seen in the medium and long terms.", "The President: I now give the floor to Mr. Pedro Serrano, Acting Head of Delegation the European Union to the United Nations.", "Mr. Serrano (European Union): I thank you, Sir, for giving me to floor to speak on behalf of the European Union (EU) and its member States and for organizing this important debate.", "The candidate countries Croatia, the former Yugoslav Republic of Macedonia and Montenegro; the countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, and Serbia; as well as Ukraine and the Republic of Moldova, align themselves with this statement.", "At the outset, I wish to welcome the participation in this meeting of the President of the Republic of Nauru and to thank him for his important statement. I also thank the Secretary-General and the representative of the United Nations Environment Programme for their presentations.", "The European Union and its member States believe that climate change has important security implications, since it acts as a threat multiplier. The scarcity of natural resources, economic damage, sea-level rise, desertification, migratory pressures and energy supply tensions may increase instability in fragile States and pressures on international governance. The European Union and its member States are examining these issues jointly with the United Nations, notably through the United Nations Interagency Framework Team for Preventive Action.", "I would like to focus on two issues for our debate today: sea-level rise and food security.", "The European Union fully shares the view that small island developing States are among the world’s countries hardest hit by climate change. In particular, Pacific islands face unique structural constraints due to the combination of their remoteness, small size, limited natural resources and vulnerability to natural hazards. Adaptation to climate impact is indeed vital for the future of Pacific islanders, but the Pacific Ocean also represents a vital resource for the future of our planet.", "In the Pacific area, the European Union has a longstanding development partnership, with 15 countries and 4 overseas countries and territories associated with the European Union. Climate-targeted activities have been addressed through a comprehensive mix of EU policies and instruments. We are currently reflecting on how to further enhance the EU-Pacific development partnership.", "Long before any island might be submerged, progressive deterioration may render some islands uninhabitable. We should reflect on a common strategy for the region while considering actions tailored to meet specific needs. Coordination between international donors and regional bodies will be crucial to ensure efficient implementation.", "Increasing global temperatures will multiply extreme weather events such as drought, flooding and tropical cyclones, and their effects will become more intense and destructive. Coastal areas, where urban centres, economic activity, population and critical infrastructure are often located, are particularly vulnerable.", "While moving forward towards a global agreement under the United Nations Framework Convention on Climate Change, meaningful measures can already be taken. Support to the poorest and most vulnerable countries should come first. Disaster preparedness should be enhanced, as the economic impact of natural disasters significantly curtails sustainable development and thus increases instability and can lead to conflict. Close links between countries’ national adaptation plans and their disaster preparedness plans are necessary, and investment in technology and innovation should be promoted.", "I move next to food security. Ensuring food security for the world’s growing population is one of the major challenges we must address as a global community. The impact of food insecurity is both local and global. It results in the erosion of individual and family livelihoods, breaks up communities and causes malnutrition. It undermines children’s and nations’ abilities to reach their full potential.", "Climate change stands at the centre of a confluence of pressures that will have an impact on food security over the coming decades. It is already having a dramatic impact on crop yields, livestock production and the availability of water. These trends are predicted to worsen in the future and make it ever more unlikely that we will achieve the increase in food production needed to feed the world’s growing population.", "The cost of not addressing climate change is further instability of food supplies, increased volatility of food prices, additional pressure on water resources and greater migratory pressures — all of which threaten the political stability of already fragile States and risk undermining progress towards the Millennium Development Goals.", "The European Union and its member States actively support food security through development and humanitarian policies. In March 2010, we adopted a policy framework aimed at strengthening coordination between the EU and its member States in the fight against world hunger and malnutrition. Ensuring that all food security assistance is based on environmentally sustainable practices is a crucial step to achieve success.", "As it is clear that the effects of climate change will hit the most vulnerable the hardest, particular attention should be devoted to the empowerment of people and communities facing poverty and hunger with limited resilience, as well as of countries and regions exposed to multiple stress factors and fragile States characterized by weak institutions and vulnerability to conflict.", "Work on security implications must proceed in tandem with action to address climate change itself. The EU will continue to do so in the context of its policies for global climate action, development, humanitarian aid, conflict prevention, crisis management and post-conflict reconstruction.", "Just two days ago, on 18 July, the EU Foreign Affairs Council recognized the need to act to reduce systemic risks resulting from climate change before they trigger systemic crises. The Council also noted that climate change and environmental deterioration should be monitored by EU early-warning mechanisms, particularly in vulnerable regions, and called for the work undertaken on climate change and international security to be built upon.", "Climate-induced risks are numerous and straddle development and security. Much more analysis remains to be done. We could suggest two issues that merit deeper research: water security and deforestation. Access to water and water availability may be both a great human security threat and a threat to regional stability, which may lead to serious disputes. Forests are a major source of food and subsistence for those who live in forest areas and their surroundings and are an essential means to combat climate change. Unsustainable deforestation may lead not only to displacement of population and environmental degradation, but also to damage to indigenous civilizations and their cultural and spiritual heritage.", "In closing, I would like to underscore that the EU remains committed to broadening its understanding and mainstreaming climate change and its security implications in its foreign and security policies.", "The President: There are still a number of speakers remaining on my list for this meeting. I therefore intend, with the concurrence of the members of the Council, to suspend the meeting until 3 p.m.", "The meeting was suspended at 1.10 p.m." ]

[ "Mr. Wittig (Germany) Members: Ms. Zolaković, Bosnia and Herzegovina Ms. Brazil Mrs. Viorti, China Mr. Wang Minjoo, Colombia Mr. Osorio, France Mr. Araud, Gabon Mr. Mongara Musochi, India Mr. Hardeep Singh Puri, Mrs. Ogwu, Nigeria Mr. Edokpa, Portugal Mr. Moraes Cabral, Russian Federation Mr. Pankin, South Africa Mr. Mashabane, United Kingdom of Great Britain and Northern Ireland Ms. Rice", "Agenda", "Maintenance of international peace and security", "Impact of climate change", "Letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General (S/2011/408)", "The meeting was called to order at 10.20 a.m.", "Adoption of the agenda", "The agenda was adopted.", "Maintenance of international peace and security", "Impact of climate change", "Letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General (S/2011/408)", "The President: I would like to welcome the presence of the Secretary-General, the President of the Republic of Nauru and the Parliamentary Under-Secretary for Pacific Islands Affairs of Australia. Their presence here confirms the importance of the issue we are discussing.", "I invite Argentina, Australia, Bangladesh, Barbados, Belgium, Bolivia (Plurinational State of), Canada, Chile, Costa Rica, Cuba, Denmark, Ecuador, Egypt, El Salvador, Fiji, Finland, Ghana, Honduras, Hungary, Iceland, Ireland, Iran (Islamic Republic of), Israel, Italy, Japan, Kazakhstan, Kenya, Kyrgyzstan, Kuwait, Luxembourg, Mexico, Nauru, New Zealand, Palau, Papua New Guinea, Pakistan, Peru, Philippines, Poland, Republic of Korea, Singapore, Slovenia, Spain, Sudan, Turkey, United Republic of Tanzania and Venezuela (Bolivarian Republic of) to participate in the meeting in accordance with rule 37 of the Council ' s provisional rules of procedure.", "I invite Mr. Achim Steiner, Executive Director of the United Nations Environment Programme, to participate in the meeting in accordance with rule 39 of the Council ' s provisional rules of procedure.", "I invite His Excellency Mr. Pedro Serrano, Acting Head of the Delegation of the European Union to the United Nations, to participate in this meeting in accordance with rule 39 of the Council ' s provisional rules of procedure.", "The Security Council will now begin its consideration of the item on its agenda.", "I draw the attention of the members of the Council to document S/2011/408, which contains a letter dated 1 July 2011 from the Permanent Representative of Germany to the United Nations addressed to the Secretary-General, transmitting a concept paper on the item under consideration.", "I now give the floor to Secretary-General Ban Ki-moon.", "The Secretary-General: I thank the German presidency of the Security Council for organizing this very important meeting at this juncture.", "When the Security Council first considered the issue of climate change in 2007 (see S/PV.5663), the debate was preceded by a very lively exchange of views on the appropriateness of considering the issue. I said then, and I say today, that it is not only appropriate but also essential to consider this issue. I am pleased to see that we have moved forward and that this well-deserved debate is taking place today on what the Council and all Member States can do to address the twin challenges of climate change and international security.", "We should not make mistakes. The facts are clear. Climate change is real and is accelerating development in a dangerous manner. Climate change not only exacerbates threats to international peace and security, but in itself constitutes a threat to international peace and security.", "Extreme weather events are becoming more frequent and more serious, both in rich and poor countries, destroying not only lives but also infrastructure, institutions and budgets, a dangerous mix that could create a dangerous security vacuum. The examples of Pakistan, the Pacific Islands, Russia, Western Europe, the Philippines, Colombia, Australia, Brazil, the United States, China and the Horn of Africa should all remind us of the urgency of the problems we face.", "Just today, the United Nations declared two parts of southern Somalia in a state of famine. Hundreds of millions of people around the world are at risk of food and water shortages. This undermines the most fundamental foundations of local, national and global stability. The increasing competition for scarce resources, especially water, between communities and countries is exacerbating old security dilemmas and creating new ones. Environmental refugees are changing the human geography of the planet and this trend will only increase as deserts advance, forests are cut and sea levels rise. Large-scale crises may become a new normal. These are threats to human security and to international peace and security.", "Since my report to the General Assembly in 2009 (A/64/350), the international community has reached some agreements in Copenhagen and Cancún in the context of the United Nations Framework Convention on Climate Change. These agreements provide an important but incomplete basis for action to reduce greenhouse gas emissions and to enable all countries to adapt to climate change. We must now accelerate the implementation of the agreements reached at Cancún, including on the protection of forests, adaptation and technology.", "Climate finance is a prerequisite for progress and must move from conceptual discussions to the practical provision of fast-start finance and agreement on long-term sources of financing. The next Conference of the Parties to the United Nations Framework Convention on Climate Change, to be held in Durban in December this year, must play a decisive role in that regard. A minimalist approach will not work.", "Negotiations cannot stop there. We need ambitious targets to ensure that the increase in global average temperatures remains below 2°C. The Durban Conference must move forward clearly in terms of mitigation commitments and actions by all parties in accordance with their responsibilities and capacities. The developed countries must take the lead, while the emerging economies must shoulder their responsibilities. We cannot ignore history. But it must be clear to us that no one can stand idly by to ensure the future of our planet.", "In view of the fact that the first commitment period of the Kyoto Protocol will expire next year, a political solution must be found without delay to ensure that existing and future commitments and actions required are not delayed by the manipulation of the means of negotiation.", "The Security Council has a crucial role to play in clarifying the link between climate change and peace and security. Council members have a special responsibility to mobilize national and international action to address the real threat of climate change and the resulting specific threat to international peace and security. Of course, nothing can create a lasting foundation for a more peaceful world than ensuring sustainable development for all our citizens.", "In that regard, I urge all States Members of the United Nations to take full advantage of the opportunity provided by the United Nations Conference on Sustainable Development next year. In Rio, we need to bridge the gap between energy security, food and nutrition security, water security, climate security and development so that our peoples can enjoy prosperity, peace and international security.", "Once again, I thank you, Mr. President, for convening this debate and for exerting the political influence of the Security Council to raise awareness of this important issue. I call climate change the defining issue of our time. Indeed, we must go further. We must consider sustainable development for all as the defining issue of our time, because only within this broader framework can we address climate change and the needs of our citizens. It is the responsibility of all of us to rewrite this history.", "The President: I thank the Secretary-General for his statement.", "I now give the floor to Mr. Steiner.", "Mr. Steiner: It is an honour for me to address the Security Council this morning from the perspective of the knowledge, science and expertise that we have acquired for some 30 years in understanding the significant and profound impacts of climate change. What do we know today and what we still don't know about the meaning and impact of climate change, how the world needs to prepare for the changes that are going to take place and what may be unprecedented in terms of time, scale and global impact on modern civilization?", "For the international community, the Intergovernmental Panel on Climate Change (IPCC) remains the first measure of what science can tell us today and what science still cannot tell us. I would like to reassure the Council that, despite some discussions on some of the Panel's reports, the IPCC Fourth Assessment Report is an uncontroversial document in the international peer review, which begins with a very clear reference to the fact that climate change is happening. It is not only happening, it is accelerating. Not only is it accelerating, but in fact scientific discourses being published by global scientific institutions have in many ways surpassed the rather conservative scenarios, projections and models brought to our attention by the Panel four years ago.", "Whether we examine the linear warming trend over the past 50 years — an average of 0.13°C per decade, nearly twice the temperature we have seen in the past 100 years — or extreme weather events such as storms and cyclones, or thermal expansion of the oceans, or the melting of the Arctic ice in the summer, these are not speculative data on the climate change that actually occurs today. These are proven trends.", "But we see that almost every day that passes, our scientific findings have gained new proof that all those in the institutes of the North-West and the South are convinced that the nature and scale of these changes, whether from the point of view of natural sciences, economics or sociology, have reached such a level that we simply cannot regard them as a challenge of changing our energy systems or adjusting our export economies. Indeed, this series of developments is triggering reactions and impacts far beyond any single sector of our economies and societies.", "Let me say that, while we are still trying to find a way to keep us within 2°C — on which the international community is reaching consensus in the climate change negotiations — the latest projections we have obtained from scientists in certain parts of the world refer to 3°C and 4°C in this century. This means that the global warming that the world is facing is far beyond what we believe would be possible to contain these changes and trends if we were to conclude negotiations under the United Nations Framework Convention on Climate Change.", "The Arctic Monitoring and Assessment Programme also projects that sea level rise could reach 1 metre by the end of the century. IPCC's Fourth Assessment Report was too conservative, referring to sea level rises of about 0.18 to 0.59 metres - - About half of the maximum. What we are saying now is that sea levels in this century could rise by one metre.", "If we look at the world map and are aware of how many tens of thousands of kilometres of coastline will be affected and, in a sense, how we will change the world map, not only geographically, but also in the exclusive economic zone and many other impacts, we are beginning to realize that the level of scientific knowledge that we are really facing now is sufficient to begin to understand that what we are talking about is a major impact, not just a territorial but also a geopolitical one. In fact, another recent report by the Royal Society of the United Kingdom states that under current conditions, the worst scenario is a possible warming of 4°C in 2060.", "I do not want to go into further science; I have given many other examples in my written statement. I just want to tell the Council that it is already a fact that we are talking about climate change today. We are well aware of what is happening, but we still do not know how fast and in how many different areas it will appear. Perhaps most importantly, we have yet to understand clearly the impact of these changes on our social, economic and life-support systems on the planet.", "That is why I believe that the term “threat multiplier” may have an important connotation in national defence institutions and analysis, but it is not irrelevant to examine the impact of climate change in the area of international peace and security. As the Secretary-General has just pointed out, as we, the international community and nations, seek to move forward on the path of sustainable development, we face today the fact that a number of threats are beginning to undermine our fragile achievements in sustainable development. Our global economy and society are faced with natural resource shortages, drought and floods, and the corresponding volatility in global food and other commodity markets, which has called into question some of the gains we have made in sustainable development in recent decades.", "Indeed, natural disasters are essentially destructive events and, if some of the facts put forward by IPCC and many scientists are true, their scale, frequency and nature will multiply. If we recall Hurricane Mitch in Honduras, the President of that country called it the greatest catastrophe in the history of that country, and it is true that 50 years of development were lost in a few hours. Since approximately 70 per cent of the country ' s infrastructure has been destroyed, the country ' s maps used to find settlements, towns and roads have essentially to be redrawn.", "We are all familiar with natural disasters in various parts of the globe — whether floods in Pakistan or the drought just mentioned by the Secretary-General — which are on an accelerated trend in regions such as the Horn of Africa. As we can see, their impact on the number of people affected and the ability of societies to respond to these natural disasters is increasing daily. The Norwegian Refugee Council estimates that 42 million people were displaced by natural disasters in 2010, 90 per cent of which are actually associated with extreme weather events, such as floods and droughts. These are only official figures. They do not even give a sense of human tragedy or of the reconstruction efforts needed in that regard.", "I would also like to mention that the concept of food security is not just about providing food. We know today that extreme weather events in one part of the world can change global commodity markets overnight and effectively exclude millions of people from food markets. Today our global economy is so intertwined. Food insecurity is expected to become more widespread and severe in the coming decades. It is clear that if food is inadequate and cannot be supplied at affordable prices, the result will be major social instability and disruption.", "Climate science has evolved. A recently published report analysed the results of 20,000 African maize trials in recent decades. Studies indicate that, with a temperature increase of 1°C, about 65 per cent of the current area under cultivation in Africa will not yield crops during the century. Whatever the angle of its impact and consequences, we must recognize that this trend undermines the path of sustained national development and the economic, social and environmental stability of our societies, our economies and our planet. Moreover, part of the reason for this destruction is because we cannot predict its magnitude.", "On this issue, I would like to point out two very important concepts currently in the emerging science of climate change: critical points and feedback mechanisms. In seeking to understand these global systems, it is most disturbing that we cannot assume that everything evolves in a linear manner. We cannot assume that after several degrees of global warming over several years something will certainly happen.", "There are various critical points in our natural Earth system. About two years ago, the Brazilian Environmental Protection Agency published a study on the possible consequences of temperature increases of 2°C, 3°C and 4°C in the Amazon region. In terms of ecology, the study shows that, after temperature rises to a certain extent, the entire ecosystem ceases to operate today, not only in terms of its biodiversity. Amazon is the world's largest “pump”. The entire hydrological system in much of South America depends on the functioning of the Amazon ecosystem.", "The second idea I want to talk about is a feedback mechanism. If the Arctic ice really continues to melt and if permafrost continues to unfreeze, the carbon currently stored in these soils for long periods will be released. According to one report, there is evidence that the carbon equivalent released at the end of the century may be equivalent to 270 years of today's carbon emissions — a secondary effect of permafrost unfrozen by rising temperatures.", "Another example is the melting of glaciers. Worldwide, whether in the Hindu Kush, the Andes or in the Central Asian region, glaciers are melting as a result of climate change, and global warming undermines the hydrological cycle and flow that societies can develop in their agriculture, infrastructure and residential areas. It also casts doubt on the arrangements for sharing water resources that have been developed in various countries. Currently, 145 countries share more than one transboundary river. Increased difficulties in accessing water resources have begun to increase tensions within communities and between countries around the world. Studies by Beijing University and other Chinese institutions on the melting of glaciers have shown that, at the source of the Yangtze river, the area covered by the river has been significantly reduced, which will determine the future flow and flow of the river.", "The circumstances that I have pointed out here today are very serious. Climate change is not an academic issue, and we should at least view climate change as an essential element of future stability, cooperation and security in the world. I pointed out that issue in full knowledge of the debate among Member States on the role that the Security Council can play. I do not wish to express my personal opinion on this issue, which is not my responsibility. But I do want to say a few words today to this entity within the international system and within the United Nations.", "I hope that 50 years later historians will see the international community take a decision on what we know today — including the inevitable uncertainty — on the phenomenon of the unprecedented impact of civilization. We must address, adjust and manage changes that occur simultaneously, with their magnitude and scope, which pose a serious threat in many ways. However, if the international community took appropriate measures to respond to those changes, it would not only have the opportunity to make the transition to a low-carbon economy, but would also create more stable mechanisms for international cooperation.", "The path of sustainable development in individual countries today depends on the ability of the international community to take collective action. Many of the development goals, attempts and paths that countries seek to achieve are threatened, exceeding the means by which sovereign States traditionally determine policies within their territories. If we take into account food insecurity, natural disasters and potential conflicts and tensions over the quest for increasingly scarce resources, together with displacement and the possible disappearance of entire countries from our world map within 50 to 100 years — including their culture, identity and sovereignty — we must look at climate change not only from the scientific and technical aspects of managing carbon emissions, but also from the geopolitical and security perspective. Our response may unite us for cooperative action, and it may divide us towards chaos, tension and possible conflict.", "The President: I thank Mr. Steiner for his briefing.", "In accordance with the understanding reached among Council members, I should like to remind all speakers to limit their statements to no more than four minutes in order to enable the Council to carry out its work expeditiously. Longer texts can certainly be circulated in writing.", "I shall now give the floor to those members of the Security Council who wish to make statements.", "Ms. Rice (United States of America): I thank the Secretary-General and the Executive Director, Mr. Steiner, for their excellent and very important statements this morning.", "The United States welcomes today's debate. We thank Germany for taking the lead in this important discussion and for placing climate change on the global security agenda in a timely manner.", "President Obama made it clear at the Secretary-General's summit on climate change, held approximately two years ago, that the security and stability of all the countries and peoples of the world are at stake. Our prosperity, health and safety are also at risk. Time is not only moving forward, it is fast losing. Climate change is a major problem for peace and security, and its implications are far-reaching and complex, many of which have already come to us. In many areas, climate change has reduced the availability of food and water, threatening biodiversity and affecting sea level rise and weather patterns. Climate change can put additional strains on scarce resources and place vulnerable communities in greater instability at a time when the ravages of storms and floods have hit coastlines and ravaged populations more frequently.", "As has often been the case in the past, the most vulnerable populations have suffered the most. Post-conflict countries are rebuilding their infrastructure, strengthening their institutional capacities and overcoming social instability. They must now also often suffer the ravages of extreme weather and prolonged drought, leading to the collapse of already overburdened systems. Climate change can also slow down or even reverse the key development achievements of ordinary civilians trying to escape the yoke of poverty.", "Climate change can also further reduce national capacities, especially in countries affected by past conflicts, poverty, unrest or disasters. As the sea level rises, small island States may well see their countries inundated by the sea, posing the threat of a new and previously unimaginable State of death.", "We have just witnessed the birth of the newest country in the world, the Republic of South Sudan. South Sudanese leaders now tell us that agricultural production is one of their top priorities in their efforts to consolidate peace. However, the severe drought in the Horn of Africa is causing a humanitarian catastrophe and exacerbating the challenges they face. We must not forget that a decade ago the drought and rapid desertification in the Sudan were widely recognized as contributing factors to the conflict and the humanitarian crisis in Darfur, which, like the crisis caused by the drought in Somalia a decade ago, eventually led to the deployment of a United Nations force, and the result was fresh.", "While it is certain that mechanisms are complex and that some of the impacts of climate change have long emerged, the Council needs to begin to act today and in the near future on the understanding that climate change exacerbates the risks and dynamics of conflict. We need to strengthen and adapt our means to prevent and respond to such conflicts. The United States itself is taking important steps through a series of initiatives to work with our partners to address the growing challenges of global poverty, food insecurity, disease, water scarcity and depletion of natural resources and to help lay the foundations for a more peaceful and prosperous future for all.", "Let me now turn to the role of the Security Council in this matter. While we recognize the important work of the United Nations system as a whole and other partners in addressing various aspects of global climate change, we strongly believe that the Council has a fundamental responsibility to address the obvious impact of changing climates on peace and security.", "We have discussed and addressed many emerging security issues in the Council, from the link between development and security to HIV/AIDS. This week, however, we were unable to reach consensus on a simple draft presidential statement on the potential of climate change to affect peace and security, despite clear evidence of that potential. There are dozens of countries in this Chamber whose presence has been threatened. They have asked the Council to show that we recognize that their security has been seriously threatened. But, on the contrary, the silence of the Council, because a few countries refuse to accept our responsibilities, is tantamount to “unlucky”. This is not only disappointing, but also tragic, short-sighted and, frankly, negligent.", "The Council needs to keep up with the new threats of the twenty-first century. The fact that old threats have not disappeared and that new ones have emerged requires that we not do business as usual. The Council has shown in the past that it is well placed to shoulder its responsibilities in combating new threats to peace and security and that, over the past two decades, the Council has adapted its traditional means of peacekeeping to address new and more complex political and security crises emerging around the world.", "Climate change is no different and needs to be done by the Council. We need improved early warning systems to increase pre-action lead time. We need to expand cooperation to address the effects of climate change, particularly at the local and regional levels; we need to better understand information on basic human needs, namely, water, food, livelihoods and energy, so that we can anticipate and prevent resource-driven conflicts. We also need to improve our capacity to better predict and prevent the risks of conflict, including by building local and national capacity to respond to climate change-related threats and to prevent climate change-related threats through diplomatic means that help Governments to deal with potential disputes over scarce resources.", "Our goal is clear. The Council needs to be prepared to deal with crises that are exacerbated or amplified by the effects of climate change. The question is not whether we will face climate-related threats, but when and how. We need to be better prepared to deal with one of the major threats of our time. It is high time for the Security Council to enter the twenty-first century and assume our core responsibilities.", "Mrs. Viotti (Brazil): I thank the Secretary-General for his presence and his statement today. I would like to welcome Mr. Achim Steiner and thank him for his very interesting briefing. Brazil aligns itself with the statement to be made by the representative of Argentina on behalf of the Group of 77 and China.", "Brazil has long been strongly committed to addressing climate change. We have translated that firm commitment into concrete actions and constructive programmes. Climate change is a complex and difficult issue. There are no shortcuts or easy solutions. The only effective way forward is to achieve ambitious goals under the United Nations Framework Convention on Climate Change (UNFCCC) and the Kyoto Protocol. Our mitigation and adaptation efforts must be based on the principle of common but differentiated responsibilities and national capacities. This is essential to ensure a just, balanced and effective solution.", "The Security Council must have a comprehensive vision of conflict. Violence arises not only from ethnic or religious disputes, but also from hunger, poverty and competition for scarce resources. In some cases, the negative effects of climate change may exacerbate these disputes. But even so, climate change is not the only factor. This is often the result of underdevelopment, lack of access to the resources and technologies needed for adaptation.", "We recognize the interrelationship between development, security and human rights. The link between climate change and development, security and development is clear and has been clearly recognized by the United Nations. But the security implications of climate change are less obvious. Environmental impacts themselves do not threaten international peace and security. In some cases, the adverse effects of climate change may exacerbate pre-existing threats to international peace and security.", "The relatively indirect relationship between security and climate change does not diminish the urgency of supporting the countries and peoples most vulnerable to climate change, especially small island developing States, many of which face real survival challenges. Such challenges require political, economic and humanitarian solutions, not necessarily a security response.", "The severe consequences of sea-level rise, if unchecked, could lead to a humanitarian catastrophe. The United Nations must work under the UNFCCC to strengthen prevention and build resilience through adaptation measures. Humanitarian instruments need to be further developed to address the specific impacts of sea-level rise on the population.", "In that regard, I thank and welcome the presence of Mr. Marcus Stephen, President of Nauru. We recognize his concern and the tireless efforts of his country and other small island developing States to place the issue of sea-level rise high on the international agenda. Brazil expresses its full solidarity with them. We agree with them that concerns or political declarations are no substitute for concrete action. We need to take more measures and take them faster. Climate change negotiations must produce tangible results and contain emissions in a balanced and equitable manner. Priority must be given to implementing adaptation programmes and providing them with adequate funding.", "The issue of food security is an important issue on the Brazilian agenda. At the international level, we must all support the leadership of the Food and Agriculture Organization and the World Food Programme. We must redouble our efforts to eradicate the scourge of hunger. Effective political will was needed to improve market access for food products from developing countries through the reduction of agricultural subsidies and the successful conclusion of the Doha Round. Efforts must also be made to increase productivity in developing countries, particularly in Africa. When food insecurity leads to increased instability in conflict or post-conflict situations, the work of the Council should be coordinated with that of other relevant actors of the United Nations system, as well as the World Bank.", "The United Nations system has the necessary tools to address the challenges of climate change. The wealth of knowledge, experience, political leverage and legal instruments available to the system must be fully utilized.", "Security tools are appropriate to address specific threats to international peace and security, but they are not sufficient to address such complex and multidimensional issues as climate change. An effective response to climate change and its impact in all its aspects must be a priority for the international community. To do so, we must make full use of all the tools available to the United Nations system and redouble our efforts to achieve ambitious results in international negotiations on climate change.", "Mr. Wang Min (China) (spoke in Chinese): I thank Secretary-General Ban Ki-moon for his statement and Mr. Steiner, Executive Director of the United Nations Environment Programme, for his briefing. China supported the statement to be made by Argentina on behalf of the Group of 77 and China.", "Global climate change, which profoundly affects the survival and development of humankind, is a major challenge for all. In recent years, countries have made remarkable achievements in their common efforts to protect the global environment and address climate change. However, addressing climate change and achieving sustainable development remains an urgent and long-term task before us, requiring the continued and tireless efforts of all countries.", "Addressing climate change is of global common interest and, more importantly, the interests of developing countries and the well-being of their people. The United Nations Framework Convention on Climate Change and its Kyoto Protocol have become recognized as the main channel for addressing climate change. The principle of common but differentiated responsibilities had become the basis for enhanced cooperation among all parties. Following the path of sustainable development and achieving harmony between human beings and nature has become a common goal.", "Climate change may have security implications, but climate change is fundamentally a sustainable development issue. The Council has no expertise on climate change and lacks the necessary means and resources. At the same time, the Council is not a universal forum for decision-making. The Council ' s discussions did not contribute to a widely acceptable formula, much less could replace negotiations among 193 Member States within the framework of the United Nations Framework Convention on Climate Change.", "There is a broad consensus among developing countries that the Council ' s involvement in climate change discussions will neither contribute to national efforts to mitigate climate change nor help affected developing countries to respond effectively to climate change. This legitimate fear should be fully respected and understood.", "In addressing climate change, the international community must take fully into account the stage of development and the basic needs of developing countries, take into account the difficult situation of developing countries, listen to the voices of developing countries, respect the demands of developing countries and effectively implement commitments in the areas of finance, technology and capacity-building.", "China attaches great importance to the concerns of small island States with regard to climate change. As a country with many islands, China shares the difficulties that small island States face in achieving sustainable development. The international community should take practical measures to help small island States to meet the challenges posed by climate change. In particular, developed countries must fulfil their commitments in the areas of finance, technology and capacity-building. China is ready to work with small island States to continue to actively implement the Mauritius Strategy and to work together to promote global sustainable development.", "Ms. Čolaković (Bosnia and Herzegovina): I would like to thank you, Mr. President, and the delegation of Germany for convening this important and timely debate. I would also like to thank Secretary-General Ban Ki-moon and the Executive Director of the United Nations Environment Programme, Mr. Achim Steiner, for their briefings today.", "In an increasingly interdependent and interconnected world, changes caused by a growing population or by increasing demand for natural resources have the potential to create social tensions, political unrest or conflict. The Council's primary responsibility — the maintenance of international peace and security — clearly requires it to prevent conflicts. Recognizing the urgency of security issues, we cannot ignore the potential security risks posed by climate change, the impact of which is a natural consideration.", "In addition, the negative effects of climate change can have adverse consequences for the most vulnerable regions and populations. Additional pressures from climate change may increase the risk of conflict in fragile States or interfere with conflict prevention, peacebuilding or post-conflict stabilization.", "In some cases, the adverse effects of climate change may exacerbate existing threats to international peace and security. In this regard, the Security Council must be aware of the potential security implications of climate change, including the potential for humanitarian crises, migration pressures or external shocks to countries most affected by climate change. At the same time, the mandates and responsibilities of the relevant United Nations bodies, particularly the General Assembly and the Economic and Social Council, in addressing climate change must be respected.", "The importance of the United Nations Framework Convention on Climate Change as a key instrument in addressing climate change cannot be overemphasized. In the same spirit, the global nature of climate change calls for the broadest possible cooperation on an effective and appropriate international response, in accordance with the principle of common but differentiated responsibilities, while respecting existing institutional arrangements.", "Bosnia and Herzegovina believes that a coordinated, integrated and comprehensive United Nations response is the only way to make a meaningful contribution to addressing this issue. In the same spirit, we believe that the Secretary-General should, as appropriate, alert the Security Council to climate-related crisis situations that may endanger peace and security. It is essential that the relevant United Nations bodies strengthen their capacity to deal with different crises, including those resulting from climate change. Their work should focus on forecasting, preventing or addressing issues related to climate change. In this context, it is crucial to assist countries in addressing external pressures and low adaptive capacity.", "We believe that there is a need for stronger support for developing countries to adapt to climate change, including investment in capacity-building at all levels. The international community must respond with determination and full support when national capacities are inadequate, underdeveloped or overwhelmed by natural disasters or other dangerous events. Developed countries must also strengthen their efforts to meet their international commitments in the area of development assistance. We believe that the mainstreaming of climate change issues into the relevant United Nations bodies and their activities should continue and be strengthened. In addition, increased information flows between regional and international organizations, the sharing of early warning assessments and the exchange of data are essential.", "Finally, climate change is a global challenge that can only be addressed at the global level. No State can deal with this issue alone. It is therefore essential that actors coordinate their efforts to fully implement their commitments and responsibilities. As a party to the United Nations Framework Convention on Climate Change and as a State that has ratified the Kyoto Protocol, Bosnia and Herzegovina stands ready to contribute to that effort.", "Mrs. Ogwu (Nigeria): I would like to thank you, Mr. President, for convening this open debate and for the concept paper circulated by your delegation (S/2011/408, annex). I would also like to thank the Secretary-General and Mr. Achim Steiner for their in-depth and inspiring statements. This debate is timely and provides us with an opportunity to assess the progress made in the implementation of the internationally agreed development goals, conventions and protocols, which determine our response to climate change. We can also contribute effectively to the preparations for the 2012 United Nations Conference on Sustainable Development through this discussion.", "The challenges posed by climate change are enormous and have far-reaching implications for peace and security. All aspects of our lives, from food security to resource management, are threatened by this phenomenon. As we see at this point in the food crisis in the Horn of Africa, political instability and insecurity exacerbate threats to water management, livestock health and crop production. Lack has caused panic, which in turn fuels conflict. This chain reaction requires greater vigilance on the part of the Security Council. Unless we take concerted action to mitigate and adapt to the effects of climate change, the risks will only increase. For example, the Intergovernmental Panel on Climate Change has estimated that a 1 metre rise in sea level could flood 18,000 square kilometres of Nigeria's coastal land, cost $89 billion in asset losses and force 5 million Nigerians to relocate. The cost of protecting Nigeria from such sea-level rise is estimated at $3 billion.", "Based on those facts, we are deeply concerned about the possible impact of changing climatic conditions. Nigeria is working with bilateral and multilateral partners at the regional and international levels to find solutions to those challenges. My Government has also sought to integrate climate change mitigation and adaptation strategies into development policies aimed at significantly reducing carbon emissions and continuing to combat desertification.", "Nigeria remained committed to achieving the Millennium Development Goals and the Great Green Wall of the Sahara (Nigeria) programme, which sought to ensure sustainable consumption and production. We have initiated mechanisms to address natural gas combustion and are determined to gradually transform it into a liquid gas treatment. We are studying ways to reduce CO2 in petroleum products.", "While we are aware that not every country is in a position to make a fundamental change in policy, it is important that every country, however small, make a modest contribution. My delegation is concerned about the slow progress in achieving agreement on an international agreement to mitigate climate change. States often failed to meet their commitments to such frameworks, and the impact of such failures was felt everywhere. In many cases, the efforts of developing countries and small island developing States to adapt to the adverse effects of climate change are undermined by natural disasters and often by conflicts. Our fight to protect the environment should therefore reflect these additional challenges facing those countries and should be reflected in our broad peacebuilding framework.", "I firmly believe that, as long as we support political stability, we can create an environment conducive to long-term capacity-building that incorporates climate change best practices and national policies. The United Nations system is well placed to guide the implementation of existing commitments under the United Nations Framework Convention on Climate Change and its Kyoto Protocol, the Johannesburg Plan of Implementation and the Mauritius Declaration.", "Those sitting at this table can encourage developed countries to fulfil their commitments to reduce emissions and provide the necessary technical and financial assistance to support developing countries in effectively addressing climate change. Nigeria therefore called for increased efforts to equitably allocate funds and capacity-building programmes for adaptation to climate change and to promote the Global Environment Facility programme managed by the United Nations Development Programme.", "Our response to climate change must be rooted in political and technological innovation. Our response to climate change in the area of sustainable development should be equally robust. The General Assembly, the Economic and Social Council, the Commission on Sustainable Development and the United Nations Environment Programme are concrete and credible forums for effective discussion and appropriate measures to address climate change. I would like to reaffirm my Government ' s commitment to working collectively and tirelessly to support, promote and fulfil regional and international obligations to mitigate climate change and to seek to ensure the well-being of our generation and future generations. We will make determined and collective efforts to ensure the maintenance of peace and stability in the world.", "Sir Mark Lyall Grant (United Kingdom): The impact of climate change is felt all over the world. Today, we are discussing the impact of climate change on international peace and security. We thank the German presidency for introducing this important issue to the Council. The large number of speakers at this debate is vivid proof of the importance of this issue. In particular, I would like to thank the Secretary-General and Mr. Achim Steiner for their strong contributions to our discussions.", "Scientific evidence suggests that climate change impacts will include more droughts, shorter growing seasons and more frequent extreme weather events. Those effects will be felt more strongly in those parts of the world already under pressure from food, water and energy shortages. It is in these places that Governments do not always have the capacity to respond. That is why climate change must be seen as a doubling factor of the threat, which exacerbates existing tensions and increases the likelihood of conflict.", "As a result of climate change, crop yields are expected to decline in the long term. This has serious implications for farming-dependent communities. At the same time, the Food and Agriculture Organization of the United Nations estimates that global food demand will increase by up to 70 per cent by 2050. Declining productive capacity, coupled with increased demand, will affect all countries. In areas where food security has become a source of instability, the impact of climate change is clearly likely to exacerbate tensions.", "We have also heard this morning about the impacts of sea-level rise caused by climate change. Such impacts are felt most strongly in low-lying small island developing States. I am pleased that many of them will participate in today's debate.", "Resource scarcity, floods and droughts can all lead to large-scale population movements, in some cases across borders, as we have seen in the Horn of Africa today. The possibility of tensions and conflict increases if people move to areas that do not themselves have sufficient resources or infrastructure to meet their needs.", "Some delegations questioned whether the Council had a mandate to discuss the issue. We agree that the roles, functions and mandates of the United Nations bodies dealing with climate change should be fully respected. But like the Secretary-General and Mr. Steiner, we do not believe that this debate will do them any harm at all.", "The Council has a responsibility for the maintenance of international peace and security. It can and should therefore consider emerging threats. Conflict prevention is an essential element of the Council's work. The United Kingdom believes that the Council can best fulfil its responsibility to prevent future conflicts only through discussion and a better understanding of new challenges in various areas, including the consequences of climate change.", "We therefore hope that, even at this late hour, we will be able to reach agreement on the presidential statement prepared by the German presidency. This will send a strong message of the importance that the Security Council attaches to mitigating the security risks posed by climate change. History will not judge us well if we shirk this great responsibility for complacency or for reasons of consciousness.", "If we are to effectively mitigate the security implications of climate change, we should focus on the following three areas.", "First and foremost, the United Nations must continue its efforts to reach a comprehensive and globally binding agreement on climate change. Current efforts within the framework of the United Nations Climate Change Convention are crucial. The United Kingdom will do its utmost to support the work of the seventeenth session of the Conference of the Parties to the United Nations Framework Convention on Climate Change, to be held in Durban later this year, including the South African presidency.", "Secondly, we need to work to deepen understanding of the interlinkages between the impacts of climate change and the drivers of conflict. Then we need to build on that understanding in identifying the tools and actions needed to prevent conflict.", "Finally, we need to better share the results of the analysis and share experiences among the United Nations agencies, bodies and programmes that have begun to consider this issue. Since food, water, energy and climate security are interlinked, a coordinated response is necessary.", "If unchecked, climate change increases the likelihood of instability, resource conflicts and poverty. Therefore, the United Kingdom took the lead in bringing this issue to the Council in 2007. Today, the Council's consideration of these implications is more important and valuable than ever. Again, I thank Germany for convening today's debate.", "Mr. Pankin (Russian Federation) (spoke in Russian): We thank the Secretary-General, Mr. Ban Ki-moon, for his statement and the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his assessment.", "Russia has always made addressing global climate change a priority area for international cooperation. We have consistently and continue to advocate that a global instrument covering all countries, in particular the largest emitters, should be drafted and implemented, taking more account of the potential of Russian forests as carbon sinks. Russia had adopted a constructive policy in that regard, as reflected in its announcement that, within the framework of a new world climate agreement, greenhouse gas emissions would be reduced by 10 to 25 per cent by 2020 from 1990 levels.", "However, we also believe that nuclear energy should play a specific role in the process of human transformation to a carbon-free economy. Russia will continue to invest in the development of nuclear energy, while, of course, improving the safety systems of nuclear reactors and power plants. We believe that the ongoing review of climate change within the United Nations enables us to respond to emerging threats in this area.", "We also believe that the United Nations Framework Convention on Climate Change, as the universal mechanism to address global climate change, should play a priority role in this regard and should continue to do so. It has the necessary and adequate mechanisms in place to establish an effective international climate regime in the long term, together with concrete measures to respond effectively to new threats in this regard.", "We share the concerns of small island developing States, particularly in the Pacific, about the continued rise in sea levels. We welcome the presence at this meeting of the President of Nauru, Mr. Stephen. Nauru faces such challenges. We believe that an appropriate solution to this problem requires the effective use of the existing potential of the UNFCCC, the most important of which is adaptation to climate change, including through the Adaptation Fund. We call on all interested donor countries to consider the possibility of providing immediate and targeted assistance to the countries concerned in order to adapt to climate change.", "In view of this, Russia is sceptical about the repeated attempts to place on the agenda of the Security Council the issue of the threat posed by climate change to international peace and security. As a compromise, we joined the consensus when the General Assembly adopted resolution 63/281 on climate change and its possible security implications. While we recognize the prerogatives of the Security Council as the organ entrusted with the primary responsibility for the maintenance of international peace and security, we believe that it is incorrect to invoke this resolution as a basis for considering this issue in the Council. The resolution, which was the result of months of difficult negotiations involving all States Members of the United Nations, reflects the fact that many States do not wish to see climate issues on the Council's agenda.", "We would also like to point out that the General Assembly ' s report (A/64/350), which was prepared under the same title and in accordance with that resolution, does not contain serious arguments to justify the position of those who advocate the inclusion of this issue on the Council ' s agenda. The report refers only to the hypothetical effects of climate change on security and does not accurately anticipate them. It did not provide empirical data to specify any correlation between these phenomena. Although the report contained very balanced conclusions and recommendations on further work in that area, it was illustrative that the Security Council had not been mentioned in any of the reports.", "In view of this, we believe that the involvement of the Security Council in the periodic review of climate change will in no way add value, but will only lead to a further politicization of the issue and an increase in differences among States, which would be an extremely negative consequence, especially after the successful conclusion of the Cancún Conference of the Parties and before the Durban Conference.", "Mr. Osorio (Colombia) (spoke in Spanish): At the outset, allow me to thank you, Mr. President, and Germany for convening this open debate and for your great efforts and work to highlight and promote the importance of this topic. I would also like to welcome His Excellency Mr. Marcus Stephen, President of Nauru, and to express our understanding of his solidarity and concern.", "The presentations by Secretary-General Ban Ki-moon and the Executive Director of the United Nations Environment Programme, Mr. Achim Steiner, were very thought-provoking and important and highlighted the scale of the climate change problem that we must address.", "Climate change, a global phenomenon that affects present and future generations, is undoubtedly one of the greatest challenges in the history of humankind. Its present-day effects have consequences for almost all activities in the world, from life itself, desertification and sea-level rise to food supplies, migration and the destruction of biodiversity. It is clear that action must be taken through the relevant institutions and in the appropriate context, where the reduction of anthropogenic emissions of gases is essential. There is no reason why the major contributors to anthropogenic emissions should not shoulder their responsibilities to the world. There was also a need to provide for the dissemination and transfer of clean new technologies, equitable market access and the protection of biodiversity. These are concepts related to the debate on the right to development, a legitimate aspiration that cannot be abandoned.", "Increased temperatures, conventional rainfall and increased intensity and frequency of extreme weather events such as hurricanes and typhoons have forced serious discussions in relevant forums to consider measures to adapt our societies to climate change.", "In that context, Colombia believes that there are direct challenges that the Security Council must consider. While the response measures required to minimize the effects of climate change fall outside the mandate of the Council, we believe that this body indeed has the responsibility to play its role in providing humanitarian protection when cases and conflict situations on its agenda are exacerbated by the effects of climate change, and we believe that this should not apply to other issues. Furthermore, the Security Council should help to address this issue in an atmosphere of mutual trust among States, based on respect for the mandates of the various bodies of the international system.", "Ten decades ago, we aspired to a comprehensive vision of progress, which we call sustainable development. The achievement of that goal has proved elusive, as our societies and economies are based on short-term, sector- and emergency-specific approaches. We believe that the problems posed by climate change must be addressed in an integrated manner, encompassing all aspects and structures of human activity and the need for new behaviour. This is a challenge that most countries are ill-prepared to make only modest progress in all aspects of development.", "How should we prioritize the use of resources and efforts? How should we deal with the continued loss of coastlines, the flooding of rivers, the melting of glaciers, the expansion of deserts and the years of freezing and drought? There is no single State, group of States or specific body that has the answer. Just as curbing and reducing greenhouse gas emissions will require concerted action at the global level, as will concerted international action to address the impacts of climate change.", "Colombia has just experienced two rare cold periods, unprecedented in the history of our country, which, according to experts, are 10 times more devastating than Hurricane Katrina. We have had to mobilize additional resources and request international assistance to mitigate the damage and ensure the well-being of the affected populations. The integrity of the natural ecosystems on which we depend is seriously affected.", "The problem, therefore, is not just about future generations, but it is the reality we face today. The survival of millions of people depended on action based on international solidarity to reduce emissions, secure food supplies and respond positively to many serious situations such as climate impacts, disease and pest vectors, infrastructure investments, the disappearance of thousands of species, ocean acidification and the inequitable distribution of freshwater worldwide.", "Colombia clearly has the political will to work together to defend our planet. We believe that a collective commitment is needed to achieve sustainable development in conditions of peace and prosperity.", "Mr. Araud (France) (spoke in French): France aligns itself with the statement to be made on behalf of the European Union.", "Since the last Council debate on climate change in 2007 (see S/PV.5663), scientific progress has been made, facts have been confirmed and risks have been further analysed, as Mr. Steiner pointed out in his statement. I therefore commend the initiative of the German presidency of the Security Council to hold a debate on the implications of climate change for international peace and security.", "Climate threats are of concern to us all. It threatens, in particular, our small island Pacific partners, whose existence is at stake, as is the survival of their territories, cultures and identities. The President of the Republic of Nauru, Mr. Marcus Stephen — whom I welcome today — is more qualified than I to speak of the enormous challenges affecting the island States of his region. I regret very much that we were unable to respond to his appeal.", "In addition, agricultural productivity is threatened. My country has made food security a priority of our presidency of the Group of 20. How can we maintain international peace and security if there is a chronic food shortage?", "It is also a threat and a source of tension in areas where water resources are scarce. If water resources are increasingly scarce, how can we ensure their proper management?", "It is also a threat to the viability of coastal areas. Two thirds of the world ' s population lives in those regions.", "The truth is clear: climate change has great potential for destabilization and can multiply threats to peace and security in the most vulnerable regions and countries.", "The international community is taking active action to address the challenges posed by climate change. There is still time to avoid its worst effects, but we must act quickly. There is only one way to do this: international cooperation.", "We must start a new phase in developing ambitious multilateral responses at the Durban Conference. We must act to advance the implementation of the agreements negotiated at Cancún. We must also defend the Kyoto Protocol and develop a broader legal instrument.", "We must also work to address sector-specific threats and promote partnerships. This is the goal of the World Water Forum to be held in Marseille in March 2012.", "Clean energy for all is another priority, as development in itself is a way to address climate change and can contribute to the prevention and mitigation of conflict. It is in this context that France and Kenya jointly launched the Paris-Nairobi Initiative last April.", "Finally, we must revitalize the global partnership for sustainable development and adopt in Rio in June 2012 an ambitious road map to advance the global transition to a green economy supported by solid, adequately funded and effective institutions.", "The international community had seen the diversity of risks associated with climate change and was taking steps in various forums. In that context, the impact of climate change on the maintenance of international peace and security should be taken into account. The Security Council must therefore shoulder its responsibilities in accordance with its mandate.", "The Council has not encroached on the functions of other United Nations bodies and does not wish to replace other forums, particularly those under the Convention on Climate Change. Today the Council is only facing a new type of threat, which is diverse, complex and proliferation-wide. In that spirit, we are today exploring the impact of those threats and the Council's ability to respond to them. Thus, last February, the Council held a useful debate on peace, security and development under the Brazilian presidency (see S/PV.6479). It is in the same spirit that the Council is today considering the issue of climate change, particularly in the area of conflict prevention, while strictly observing its mandate and the Charter of the United Nations.", "My delegation therefore regrets that the response of the Council differs from its approach in the debate on security and development. Despite the efforts of the President, the Council is not prepared today to issue a collective statement on the impact of climate change on the maintenance of international peace and security. The painful appeals made by our partners against the threat posed by climate change on the grounds of bureaucratic concerns are incompatible with the seriousness of the issues involved. That's disrespectful.", "But we have to face reality. The Security Council still needs to work to analyse these threats and to better understand the causes of conflicts that will be most directly affected by climate change. The Council must also consider the impact of its own decisions. For example, the Council must take measures from today to ensure that peacekeeping operations reduce carbon emissions and environmental impacts. I am therefore pleased to see the measures taken by the Secretariat in this regard.", "Today's debate is only the first stage. It must be the horn of action for all Members of the United Nations. Climate threats mean that we must mobilize ourselves: first, in the short term, to ensure the success of the Durban Climate Conference and the Rio Climate Change Conference; in the medium term, to prevent potential conflicts; and, in the long term, to save the planet. My delegation firmly believes that the Security Council must take up this issue once again and speak with one voice in the future. This is not so ambitious as to take into account the unfortunate reality we face.", "Mr. Salam (Lebanon): I would like to thank Secretary-General Ban for his important introductory statement, as well as the Executive Director of the United Nations Environment Programme, Mr. Steiner, for his inspiring briefing. I would also like to thank you, Mr. President, for organizing this Security Council debate on the impact of climate change in the context of the maintenance of international peace and security.", "At the outset, let me join my partners in the Arab Group, the Non-Aligned Movement and the Group of 77 and China in stressing our belief that, in accordance with General Assembly resolution 63/281, responsibility for addressing sustainable development issues, including climate change, within the United Nations system is vested in the General Assembly and the Economic and Social Council, and that the United Nations Framework Convention on Climate Change is the main instrument for addressing climate change.", "However, our focus today on the possible security implications of climate change does not constitute an encroachment by the Security Council on the functions and powers of other organs of the United Nations, as the same resolution — resolution 63/281 — also", "“Invites relevant United Nations bodies, as appropriate and in accordance with their respective mandates, to intensify their efforts to consider and address climate change, including its possible security implications”.", "Along the same lines, our debate today, in addition to increasing awareness of the possible security implications of climate change, should be seen as an expression of complementarity in the work of the different organs of the United Nations.", "There is broad agreement in the scientific community that our planet is warming, largely as a result of human activity since at least the eighteenth century, and that the rate of warming in the last century reached historical heights. In 2007, the Intergovernmental Panel on Climate Change confirmed that these changes have never been as serious as they are and warned of their possible impact on the planet and its inhabitants.", "With regard to the relationship between climate change and conflict, including armed conflict, the 2009 report of the Secretary-General (A/64/350) identified climate change as a multiplication of the threat, which could exacerbate the threats posed by chronic poverty and weak institutions for resource management and conflict resolution. New threats related to climate change, including sea-level rise, could lead to the total disappearance of countries such as small island States; desertification and the accelerated loss of agricultural land could lead to food insecurity, increased poverty and a reversal of development; the movement of migrants and displaced persons could become a source of social and political tension in neighbouring areas; and water scarcity could exacerbate competition for natural resources.", "No region of the planet is unaffected. However, it must be emphasized that the impact of climate change will be exacerbated where vulnerability factors already exist. This is the case for the least developed countries.", "The global nature of climate change requires that all countries cooperate in accordance with their common but differentiated responsibilities and respective capabilities. It is also important to bear in mind that the international community will not be able to overcome the adverse effects of climate change unless all the relevant instruments at its disposal are put into action.", "In that regard, United Nations bodies should, within their respective mandates, mobilize all their resources for mitigation, adaptation, financing, technology development and transfer and capacity-building in order to address and mitigate the negative impacts of global warming. In this regard, the Security Council should play a key role in conflict prevention, inter alia, in addressing the possible security implications of climate change as early as possible.", "Mr. Mashabane (South Africa): We would like to thank the Secretary-General for his statement this morning. Likewise, we would like to express our sincere appreciation to Mr. Achim Steiner, Executive Director of the United Nations Environment Programme, for his comprehensive briefing. We welcome the presence of His Excellency Mr. Marcus Stephen, President of the Republic of Nauru. His presence here today reflects the real threat that rising sea levels pose to his country and other low-lying areas.", "At the outset, I would like to associate my delegation with the statements to be made by the representative of Argentina on behalf of the Group of 77 and China and by the representative of Egypt on behalf of the Non-Aligned Movement.", "South Africa reaffirms General Assembly resolution 63/281, in which the Assembly invited relevant United Nations bodies, as appropriate and in accordance with their respective mandates, to make further efforts to consider and address climate change, including its possible security implications. In this regard, the convening of this debate is timely and appropriate in order to highlight the realities of climate change and the threat it poses to African countries and developing countries in general, and small island developing States and least developed countries in particular. It is these countries that bear the brunt of the effects of climate change.", "We would like to reiterate the well-known principled position of the Group of 77 and China that climate change threatens not only the prospects for development and the achievement of sustainable development, but also the very existence and survival of societies.", "The Fourth Assessment Report of the Intergovernmental Panel on Climate Change had shown that inaction on climate change in the coming years would have terrible consequences, particularly in small island developing States, which were already suffering from the slow onset of the phenomenon. This obliges us to address this global problem in a fair manner. In that regard, we join other delegations in calling for the full and effective implementation of the commitments of the Barbados Programme of Action for the Sustainable Development of Small Island Developing States and the Mauritius Strategy for the Further Implementation of the Barbados Programme of Action.", "Developing countries are working to eradicate poverty and underdevelopment and to improve the quality of life of our people. However, we continue to face a lack of resources and relatively poor preparedness to address the consequences of climate change. The least developed countries, particularly those in Africa and Asia, and small island developing States were unable to meet those costs. For that reason, we continue to call for an increase in resources, followed by a transfer of technology, and then for capacity-building to help developing countries cope with the severe consequences of climate change.", "South Africa strongly believes that the United Nations Framework Convention on Climate Change (UNFCCC) and the Kyoto Protocol remain the best tools to address the broader challenges of climate change. In order to effectively address the challenges posed by climate change, we must all continue to fulfil our obligations under the UNFCCC and the Kyoto Protocol. This must be consistent with the fundamental principles of common but differentiated responsibilities. The UNFCCC provides an opportunity for all Member States, including small island developing States and least developed countries, to do their utmost, while ensuring active interaction with partners.", "The contribution that members of the Security Council can make to these UNFCCC processes is to ensure that the climate regime architecture is strengthened rather than fragmented. This global challenge can be effectively addressed only through a strong, rule-based international system. The UNFCCC and the Kyoto Protocol should be strengthened and the elaboration of a second commitment period should be completed as early as possible.", "Finally, as Chair of the seventeenth session of the Conference of the Parties to the UNFCCC, South Africa believes that this debate provides an opportunity to raise awareness and exchange views in order to strengthen global efforts to address climate change, first as a sustainable development issue and, secondly, as a renewed emphasis on the need to keep the climate change debate within the UNFCCC and the Kyoto Protocol.", "For our part, we will spare no effort to ensure that every effort is made to achieve a balanced and credible outcome in Durban that is driven by all. In this regard, we will rely on the Bureau to optimize its collaboration with the UNFCCC secretariat and to consult with all parties and their regional groups in an inclusive and transparent manner.", "Mr. Moungara Moussozi (Gabon) (spoke in French): The fight against climate change is one of the main thrusts of the project “In confidence for the future” of His Excellency President Ali Bongo Ondimba. My delegation therefore fully supports the German initiative to consider for the second time in the Security Council the security implications of climate change, which has been a major concern of the international community for many years.", "We would like to thank the Secretary-General and the Executive Director of the United Nations Environment Programme for their detailed statements.", "As members are aware, on 17 April 2007, under the presidency of the United Kingdom, the Council held a historic debate on this major issue, focusing on energy, security and the environment. As the debate on the draft presidential statement shows, it unfortunately did not enjoy consensus, and many continue to express strong reservations about the appropriateness of the Security Council addressing this issue. My delegation takes the opposite view.", "It is becoming increasingly clear that climate change leads to water scarcity, creating tensions between riparian countries, such as in Central Asia, and among communities within those countries. This also happens in numerous African countries. In other cases, climate change has exacerbated conflicts and imbalances in the world ' s ecosystems. Without effective cooperation, climate change could lead not only to cross-border migration, but also to a significant increase in energy, ecological, forest and water scarcity. It is precisely because of the cross-cutting nature of this phenomenon that the Security Council must become more involved.", "In the light of developments on the international scene, the maintenance of international peace and security is no longer a monolithic exercise. The military dimension continues to occupy a prominent place, but we cannot define the cross-cutting threats that affect our collective security today simply by military dimensions. In the face of new threats to international peace and security, the Council should have the tools to enable it to assess the scope and seriousness of the situation and thus to take action in advance. We believe that preventive diplomacy tools can help countries in their synergistic efforts to reduce the impact of new threats. In that regard, my delegation welcomes the substantial assistance provided by the United Nations regional offices to States in developing and implementing preventive strategies.", "In addition to our differences of opinion on this core issue, the Security Council, in cooperation with other relevant bodies of the United Nations, must develop a framework of cooperation to combat this phenomenon more effectively. The effects of climate change are real and have already affected our daily lives. Temperatures are rising and extreme weather events are becoming more frequent.", "Because of its low adaptive capacity, Africa is one of the most vulnerable to climate change. We draw the attention of the international community to the need to help Africa address this phenomenon. The same applies to island States, which are increasingly suffering from the devastating effects of climate change and whose survival depends on our commitment to act with the utmost urgency. His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, will raise the concerns of those countries in his statement later on, and I would like to welcome him to this debate.", "In conclusion, I would like to assure the Council that Gabon will continue to participate closely in international efforts aimed at reducing the negative effects of climate change.", "Mr. Hardeep Singh Puri (India): At the outset, I would like to thank the Secretary-General and the Executive Director of the United Nations Environment Programme, Achim Steiner, for their statements. The level of interest and participation in today's open debate attests to the importance we all attach to the subject of climate change. I would therefore particularly like to welcome His Excellency the President of Nauru and other dignitaries to our meeting today. I look forward to hearing their views on the issues before us. This is a challenge at the forefront of the global development agenda and is a matter of great concern to small island States and a threat to their survival.", "Overall, climate change is beginning to affect the security of the global community, just as poverty, food security and underdevelopment continue to undermine international well-being. The general determination that climate change leads to droughts, floods, changes in weather patterns, lack of food and violent conflict also requires adequate scientific analysis and practice.", "This uncertainty was unequivocally addressed in the Fourth Assessment Report of the Intergovernmental Panel on Climate Change and other scientific bodies. This is also confirmed by the report of the Secretary-General entitled \" Climate change and its possible security implications \" , which concludes that:", "“Despite the significant progress made by climate models in predicting the future long-term behaviour of natural systems, the science of climate change and its actual impacts still faces some uncertainty” (A/64/350, para.", "On the other hand, sea-level rise is taking place. There is verifiable evidence that sea levels could rise by one metre or more by 2100, which could lead to the disappearance of several small island States and the inundation of low-lying coastal areas in many coastal States. We are particularly aware of the seriousness of the problem, as people living in our island chain and in our coastal areas face the same vulnerability. There are also serious concerns about the disappearance of States and the forced displacement of populations.", "What must be done by the international community in the face of these challenges? The answer is clear, first and foremost, that immediate remedial action must be taken, rather than focusing on the impact of such a disaster in the distant future.", "The concept paper for this debate (S/2011/408, annex) states that the purpose of today ' s debate is to enable the Council, in accordance with its mandate, to discuss the security implications of climate change and to promote dialogue on the issue from a security perspective. Against this background, it is important to bear in mind that, while the Security Council can debate this issue and affirm the vulnerability and threats posed by climate change, it has no means of addressing this situation. The Council is not in a position to address or remedy the threats to the survival of island States or food insecurity caused by climate change, in accordance with Article 39 of the Charter of the United Nations. These issues clearly need to be addressed in a broader way, based on development, adaptive capacity, risk assessment and institution-building. It is therefore difficult for us to accept that the effects of climate change have exceeded the mandate of the United Nations Framework Convention on Climate Change (UNFCCC).", "If we are serious about addressing the vulnerabilities posed by climate change, our discussions on climate change must focus on reducing greenhouse gas emissions and strengthening the adaptive capacity of vulnerable countries. The global goal of limiting global average warming to a level no higher than 2°C at the pre-industrial level, as agreed on a stable climate, needs to be supported by a commitment to emission reductions based on the principles of common but differentiated responsibilities, respective capabilities and fairness. The maintenance of the architecture of the Kyoto Protocol and its second commitment period, the early release of the “quick-start finance” agreed at Cancún and the formal launch of the Green Climate Fund, the Technology Mechanism and the Adaptation Committee are all of critical importance to inject new momentum into the UNFCCC process.", "Countries that have a historical responsibility for climate change must make a firm commitment to reduce greenhouse gas emissions and ensure that adequate resources and technology are made available to developing countries, in particular small island States, to enable them to adapt to climate change. If we succeed in taking the necessary mitigation and adaptation measures, concerns about the security implications of climate change will be largely addressed, and these concerns have not yet been sufficiently proven. This would also lighten the burden of preventive diplomacy, which some delegations tried to stress at the meeting.", "We believe that one of the larger problems facing international peace and security today is that developing countries face the threat of potential conflict due to insufficient resources for development and poverty eradication. Sustained economic growth and development must therefore be pursued to enable developing countries to reduce poverty and meet the basic standard of living for all. This in itself will enable developing countries to better respond to the vulnerabilities created by climate change.", "The concept paper also emphasized the vulnerability of food security, assuming that it had a true relationship to climate change. This may be the case. But the food shortages that we have experienced recently, such as in 2008 and this year ' s high inflation, show that climate change is far from the main constraint on global food security. Agricultural protectionism, excessive speculation in the trade in food commodities and the use of crops for non-food purposes are leading us to an unsustainable global food situation. This requires urgent global attention.", "Our efforts to consider the possible security implications of climate change can bear fruit only if we recognize the centrality of the problem. We must not confuse political motions with action. Climate change requires the collective awareness and support of all Member States. Action must therefore be consistent with the UNFCCC. When I faced the threat to the survival of small island States, I thought of Mahatma Gandhi, who said, “All compromises are based on mutual tolerance, but not on fundamental principles”. Let us do our best to help small island States and humanity as a whole.", "Mr. Moraes Cabral (Portugal): I join you, Sir, in warmly welcoming the President of the Republic of Nauru to the Council. His presence did illustrate the seriousness of the challenges faced by Nauru and other small island developing States.", "Mr. President, I thank the German presidency of the Council and you yourself for organizing this debate on the security implications of climate change. Portugal has attached great importance to this issue for many years. I thank the Secretary-General for his important statement and Mr. Steiner for his very useful briefing. As Mr. Steiner eloquently put it, some parts of our planet do face serious threats.", "As I have repeatedly stated, Portugal does not see the Security Council as a forum for negotiating climate change issues or even for discussing measures to mitigate and adapt to environmental vulnerability. These issues fall within the purview of other bodies, which have the legitimacy and appropriate tools to address them. However, the Council has the role of identifying and addressing new challenges to ensure that they do not lead to tension and ultimately to conflict. We therefore believe that the Security Council's discussion of certain consequences of climate change could be useful in promoting international stability, peace and security. For the same reason, Portugal hopes that we can still reach consensus on the outcome of today ' s discussion.", "We strongly believe that we should be able to develop concrete strategies to enable United Nations bodies, including the Security Council, to respond to these risks in a comprehensive, integrated and coherent manner. It is particularly relevant when States Members of the United Nations that are disproportionately affected by climate change and whose national presence is at risk call for such an approach. Once again, I would like to refer to the specific example of the Pacific small island developing States, where the negative impact of climate change is no longer a possible situation, but a very specific reality. The rise in sea level may eventually lead to the loss of entire territory, but these island States may have been uninhabitable long ago.", "When this occurs, there are a number of questions that clearly have international implications that need to be answered. How do we deal with populations in need of resettlement? Where are they going? How do they get there? How can we manage and ease the tensions caused by resettlement? How do we deal with the legal consequences of the disappearance of territories, such as the definition of borders, economic zones and continental shelf rights? If we fail to address these issues collectively, there is a risk of causing not only a humanitarian catastrophe, but also a major upsurge of tension in the wider region, thus threatening peace. I am sure that President Marcus Stephen will analyse very vividly the complexities of these issues.", "Desertification and its impact on food production and access to water also deserve our attention in this debate, as its effects often transcend national borders. Let us remember that 47 per cent of all land areas belong to international river basins, which are shared by more than 200 countries. As demand for water increases, tensions or even conflicts over water resources will increase.", "The increasing food insecurity caused by desertification and climate change is also a cause of forced displacement, as recently recognized by the United Nations High Commissioner for Refugees, Mr. António Guterres, in his report on climate change, natural disasters and human displacement. This is first and foremost a humanitarian and development issue, but we all know that those countries whose societies and economies are socially vulnerable are the most affected by desertification, some of which are emerging from long-standing conflicts and instability. If the population movements caused by desertification have a cross-border or even a regional dimension, their impact on security is likely to transcend the borders of a given country and threaten to undermine progress in post-conflict stabilization and peacebuilding efforts.", "If properly addressed, the security challenges that are exacerbated by climate change do not necessarily lead to conflict. We believe that, like many other issues regularly discussed by the Security Council, we should also give priority to a preventive approach and to early warning mechanisms in this area. We should also actively discuss this issue with other international organizations, including the European Union and the African Union, that are already addressing the security implications of climate change from a security perspective. We must reflect on how our actions can be mutually reinforcing and mutually reinforcing in order to respond more effectively to problems. In this context, Portugal, as a member of the European Union, has rightly endorsed the position to be expressed later by Ambassador Pedro Serrano on these issues. Indeed, global issues required a collective response, which was particularly important when resources were scarce.", "Finally, the effects of climate change are likely to increase in the near future. The possible security implications that we are discussing here today will likely become increasingly evident. That is why we believe that today's debate should not be a one-off event, but a step towards the continued and regular consideration of this issue by the Security Council on the basis of reliable information on the specific circumstances of climate phenomena that negatively affect peace and security. This will enable us to understand more fully the complex linkages between climate, development and security, thus strengthening our capacity to prevent conflict and promote international cooperation.", "The President: I shall now make a statement in my national capacity.", "Germany aligns itself with the statement to be made by the observer for the European Union.", "At the outset, I would like to join others in thanking the Secretary-General for his participation in today's debate. His statement and presence were a strong signal of United Nations engagement in the debate on climate change and its security implications. Allow me also to join my colleagues in thanking Mr. Steiner, Executive Director of the United Nations Environment Programme, for his insightful and informative briefing.", "More than a year ago, the Pacific small island States urged the Security Council to consider the security implications of climate change. They called on the Security Council to fulfil its mandate of maintaining international peace and security. The reasons why those States urged the Security Council to act are clear: They are already suffering today from the security implications of climate change. They have had to cope with rising sea levels, the disappearance of land and the increasing scarcity of resources. The Governments of those countries had to resettle their populations and ensure that the distribution of basic supplies did not turn into a war of violence for survival. For them, the security dimension of climate change is clear. This is their daily challenge.", "The situation of small island States in itself shows that the Security Council has every reason to discuss today's issues. At this juncture, it may be worth recalling that the unique legitimacy of the United Nations has always come from the equality of States. Every country, large and small, rich and poor, has the same right to address concerns and threats to its survival.", "But there are more reasons for the Council to debate the security dimension of climate change, because what happens today in some small island States may happen tomorrow in others. Most national security agencies consider the threat of global warming to be one of the greatest challenges of the twenty-first century. If we look at the various conflicts on the Council's agenda, it is easy to find that today a significant part of these conflicts have been triggered by desertification, lack of water and increased cross-border migration. We have no doubt that environmental degradation as a result of climate change is often a source of conflict. As we all know, such conflicts do not exist in isolation in a single country; on the contrary, they often destabilize entire regions. We should also bear in mind that not all countries and societies have the same capacity to adapt to radical changes in their environment.", "The Security Council is mandated to maintain international peace and security. We firmly believe that it is incumbent upon the Council to take forward-looking action and to do its utmost to prevent crises before they escalate. We therefore welcome the fact that the Council has previously successfully debated the structural dimensions of conflict, such as the interrelationship between development and security or the relationship between HIV/AIDS and security.", "Bearing in mind the mandate of the Security Council, we suggest that today's debate focus strictly on the security implications of climate change. Let me make one point: Germany does not want the Council to encroach on the United Nations Framework Convention on Climate Change or the competence of other United Nations organs. We have not intended and do not intend to support any violations.", "We regret that, at least so far, it has not been possible to agree on an outcome document for today's meeting. I would like to reiterate that Germany very much hopes that the Security Council will go beyond day-to-day management of serious crises to consider the root causes of conflicts. We intend to request the Secretary-General to provide a sound basis for those discussions. While we had hoped and continue to hope that the Council would find common ground on that request, the strong interest shown by Member States in today's debate is a sign of their willingness to see the subject placed on the Council's agenda.", "I now resume my functions as President of the Council.", "I invite the Protocol Officer to escort His Excellency Mr. Marcus Stephen, President of the Republic of Nauru, to a seat at the Council table.", "Mr. Marcus Ustifin, President of the Republic of Nauru, was escorted to a seat at the Council table.", "The President: I now give the floor to His Excellency Mr. Marcus Stephen, President of the Republic of Nauru.", "President Stephen: At the outset, I would like to thank Germany for presiding over this important debate on climate change and its impact on the maintenance of international peace and security.", "I have the honour to speak on behalf of the Pacific small island developing States — the most vulnerable countries in the region — namely, Fiji, the Marshall Islands, Micronesia, Palau, Papua New Guinea, Samoa, Solomon Islands, Tuvalu, Tonga, Vanuatu and my own country, the Republic of Nauru, as well as Maldives, Seychelles and Timor-Leste.", "Last month, the International Energy Agency announced that carbon dioxide emissions had reached their highest levels ever in 2010. Last year, the most hot year record was also flat, and Arctic sea ice capacity fell to its lowest level since the introduction of measurements. At the same time, catastrophic droughts, forest fires and floods have devastated countries around the world; scientists now expect that by the end of the century the oceans will rise by more than one metre — with the result that many small islands in the Pacific and elsewhere could be submerged. This occurred despite 20 years of negotiations to reduce greenhouse gas emissions to safe levels.", "We must now accept the disturbing reality that so much carbon dioxide is present in the atmosphere, that its serious impact is now inevitable and that we must be prepared.", "I am frustrated, and I am often wondering where we would be if we changed our roles. What if pollution from our island countries threatens the survival of the major emitters? In these circumstances, what would be the nature of today's debate? But this is not the world we live in, and it is not an assumption for us. Many of our countries face one of the greatest security challenges: survival. For that reason, we have come to the Security Council today.", "Our islands are facing dangerous and potentially catastrophic impacts as a result of climate change. These effects have the potential to destabilize the social and political institutions of our countries. Our food security, water security and public safety have been undermined. Sea-level rise is eroding our coastline and, in some cases, damaging vital infrastructure. Territorial loss could undermine traditional land ownership systems and trigger conflicts over land and other increasingly scarce resources. Some islands could disappear completely, with thousands of years of cultural heritage. This will force a large number of our citizens to migrate, first to the interior and then abroad. Even with an ambitious new deal to address climate change, many of these impacts are now inevitable.", "The Security Council recognizes that it has a role to play in preventing the outbreak of conflicts and not only in promoting their resolution. For that reason, the Council recognized the need to address the root causes of conflict — non-traditional security threats that could cause social tension and civil unrest, such as poverty, underdevelopment, competition for natural resources and HIV/AIDS. On such and other issues, the Security Council has assessed them and, together with other United Nations bodies, has developed tools to address them.", "That is exactly what we are asking of the Council today. The international response to climate change must be comprehensive, particularly given the global nature of climate change and its impact on all aspects of society.", "There is no doubt that the United Nations Framework Convention on Climate Change (UNFCCC) is, and must remain, the main forum for developing international strategies to reduce climate change, mobilize financial resources and promote adaptation, planning and project implementation. The General Assembly must continue to address the link between climate change and sustainable development.", "Similarly, the Security Council has a clear role to play in coordinating efforts to address the security implications of climate change. In the 2009 General Assembly resolution on climate change and its possible security implications (resolution 63/281), we agreed that all relevant United Nations bodies should make further efforts to address climate change, including its possible security implications, in accordance with their respective mandates. An effective international response requires disaster planning and preparedness, a detailed assessment of vulnerability and risk, more effective multilateral coordination and preventive diplomacy.", "In our conversation with Council members, we heard a loud and clear voice that understood the security challenges facing the Pacific and other island States and expressed solidarity with us. However, the demand for solidarity is not merely an expression of sympathy, but a formal recognition that climate change is a threat to international peace and security. It is a threat as large as nuclear proliferation or terrorism, which threatens to destabilize Governments and trigger conflict. Nuclear proliferation or terrorism have never led to the disappearance of a State, even though that is the reality we face today.", "The Security Council has also asked us what concrete measures it can take to address this issue. Allow me to inform the Council.", "The Council should first demand the immediate appointment of a special representative on climate and security. The primary responsibility of that representative should be to analyse the security implications of projected climate change, so that the Council and the membership as a whole can understand the challenges ahead. The Council should also request an assessment of the capacity of the United Nations system to respond to such impacts in order to reassure fragile States that the United Nations system has the capacity to do so.", "These recommendations are the absolute minimum required to move the international community from a culture of reaction to a culture of preparation. As the Secretary-General concluded in his report on climate change and its possible security implications, “the international community must anticipate and be prepared to meet some of the unprecedented challenges posed by climate change, which may not be adequately met by existing mechanisms” (see A/64/350, p. 26).", "Many countries expressed concern that the Security Council was overstepping its authority to exercise the mandates of the General Assembly and the UNFCCC. We understand and share that concern, and that is why we have specifically limited the scope of our proposal to addressing the security implications of climate change. However, we are even more concerned about the actual erosion of our island countries as sea levels rise.", "We are deeply disappointed that this debate will not produce a formal outcome. Let history prove that once again we ring the alarm, but the world has made the choice of inaction. If the Security Council is to continue to play its role, it must reflect current geopolitical realities, both in terms of its membership and the content of its work. We commend the Council's recent decision to address the security implications of a wide range of issues, including development, cultural and religious tolerance, HIV/AIDS and women, peace and security. However, if the Council chooses to ignore climate change, the greatest security threat of our time, it will make itself irrelevant.", "Let me be clear: The security risks posed by climate change are precisely the reason for the urgent conclusion of a legally binding agreement under the UNFCCC. The international community must move all major emitters towards significant reductions. The current commitment is seriously inadequate and will plunge many small Pacific island States, the States Members of the United Nations that are members of the Alliance of Small Island States and the world as a whole into a future characterized by widespread conflict and insecurity.", "The Security Council is responsible under the Charter of the United Nations for the maintenance of international peace and security. Many of the world ' s present-day Powers and emerging forces are sitting before me today. I urge them not to be buried in sand, but to seize this opportunity to take the lead. I call on them to fulfil their responsibilities and responsibly address the security implications of climate change.", "The President: I now give the floor to the representative of Australia.", "Mr. Marles (Australia): Allow me at the outset to thank Germany for the opportunity to address the Council on the security implications of climate change. Allow me also to say that it is an honour for me to address the Council immediately after my colleague and good friend His Excellency Mr. Marcus Stephen, President of Nauru.", "Climate change is a global threat, not an abstract concern. It's already seriously affecting the planet. The carbon dioxide content of air is at its highest level in over a million years. For many small island developing States and low-lying countries, climate change is a threat at stake. The effects of climate change have the potential to affect the political and social stability and economic security of fragile States, thereby changing the future global security environment. The increase in extreme weather events has the potential to further exacerbate food and water security challenges, damage community development, damage vital infrastructure, weaken State governance and strain social cohesion. All countries will face the adverse effects of climate change, but the world ' s most vulnerable people, who are least responsible for the global challenges we now face, will suffer the most.", "As Parliamentary Under-Secretary for Pacific Islands Affairs of Australia, I have visited a number of countries that will be most affected by climate change. Indeed, 20 of Australia ' s 22 immediate neighbours are developing countries, most of them small island developing States.", "In our region, one of the most serious impacts of climate change is likely to be sea-level rise caused by the expansion of the world ' s oceans and seas and the melting of glaciers and ice sheets. By the end of the century, sea-level rise could be as high as 1 metre, leading to more severe storms, coastal flooding and land losses. More than ever before, the international community needs to understand the reality that islands and low-lying countries may be rendered uninhabitable by rising sea levels. For low-lying island countries such as the Marshall Islands, sea-level rise of 1 metre could result in the erosion and depletion of 80 per cent of the capital, Majuro.", "If someone had stood in Majuro, like me, and had nowhere else to go, to see the sea surrounding this narrow and flat land, they would have shared the strong sense of vulnerability of those living in small islands. The oceans are ubiquitous and have long been a source of food, livelihood and comfort and are now becoming a source of anxiety and threat. In the short to medium term, the combination of sea-level rise, more intense storms and inundated land will put additional pressure on coastal habitats and could lead to regional population displacement. In the long run, climate change threatens to destabilize population movements if internal settlements are no longer an option, as people ' s lives and livelihoods are increasingly at risk.", "The vulnerability to climate change is certainly not limited to island States. Droughts, floods and soil erosion exacerbated by climate change pose a serious threat to agricultural production and food and water security in Africa and elsewhere. Desertification consumes large tracts of land and, as climate change worsens, the number of cultivated land continues to decline.", "The only way to address the global challenge of climate change is through strong global cooperation and strong national action. One cannot be the other; the other is the other. We know that there is some concern about where climate change should be addressed within the United Nations system. Allow me at the outset to reiterate Australia's view that the United Nations Framework Convention on Climate Change (UNFCCC) The UNFCCC is the most important intergovernmental instrument to address climate change. Australia is committed to this process, as reflected in domestic policy reforms driven by the UNFCCC. On 10 July, Australian Prime Minister Gilad announced that we would legislate a levy on carbon emissions, effective 1 July 2012. This is a difficult political debate in Australia, but it is also a vital component of public policy reform. In 2020, our carbon emissions bill will reduce Australia ' s carbon pollution by 160 million tons, equivalent to a 45 million car-to-car ride by 2020.", "Secondly, let me equally reaffirm our commitment to the fundamental role of the General Assembly. The unique and unquestionable legitimacy of the General Assembly embodies the voice of its 193 Member States. We are committed to that role of the General Assembly, and Australia therefore strongly supported General Assembly resolution 63/281 in June 2009, which clearly states that the General Assembly and the Economic and Social Council are primarily responsible for sustainable development, including climate change. We believe that it is both right and essential to address this issue first in the General Assembly. It is the General Assembly that has since asked all relevant United Nations bodies to intensify their efforts to consider all aspects of climate change, including its possible security implications.", "In this process, it seems to us that the Security Council has a role to play as the principal organ directly responsible for international peace and security. This role includes considering the root causes of conflict and political and social crises. The Council addresses these issues through a number of issues, including poverty, HIV/AIDS and others. The focus on the potential security implications of climate change is therefore relevant to the Council ' s mandate. It does not and should not compete with the mandates of the General Assembly, the Economic and Social Council or the UNFCCC.", "Ultimately, however, it is a simple question of who is responsible for climate change. The important nature of the challenge of climate change means that responsibility lies with us all and in all forums. Australia remains seriously committed to helping developing countries address climate change. Australia places the highest priority on the least developed countries, small island developing States and Africa when it deploys its fast-start package, as their needs are most urgent. They are not the countries that bear the greatest responsibility for the current crisis we face, but they will bear the greatest burden. Of the $599 million in fast-start funds that we committed in Copenhagen, Australia has now allocated $498 million, more than 80 per cent.", "Finally, Australia recognizes that climate change is a threat to the stability of countries and regions and has a broad impact on future global security. That is why we support this debate. We also support the call for a report from the Secretary-General on the capacity of the United Nations system to address these impacts and how that capacity can be improved. Failure to act now on the possible security implications of climate change will deepen future risks. Improving resilience, taking climate risks into account in the vulnerable sectors of our economies and strengthening our capacity to manage disasters are just some of the urgent responses that we must take to these security challenges. No serious Member State can deny that climate change poses a fundamental threat to our planet. We should anticipate this threat and act to reduce it for ourselves, for future generations and for the future of the planet itself.", "The President: Allow me once again to remind speakers that, in accordance with the understanding reached among Council members, statements should be limited to four minutes to enable the Council to carry out its work expeditiously. Longer copies may be distributed in writing.", "I now give the floor to the representative of Egypt.", "Mr. Abdelaziz (Egypt): I am pleased to make this statement on behalf of the members of the Non-Aligned Movement in the open debate on the impact of climate change on the maintenance of international peace and security. At the outset, I would like to express the Movement's appreciation to the Secretary-General and Mr. Steiner for their statements to the Council today.", "Letter dated 12 April 2007 (S/2007/203) from the Chargé d ' affaires a.i. of the Permanent Mission of Cuba addressed to the President of the Security Council on behalf of the Non-Aligned Movement; statement made by the representative of Cuba on behalf of the Movement at its 2007 session (see S/PV.5663 (resumed I)); letter dated 14 July from the Permanent Representative of Egypt, in his capacity as current Chairman of the Coordinating Committee of the Non-Aligned Movement, addressed to the President of the Security Council (S/2011/427); and my statement today on behalf of the Movement, reflecting the Movement ' s position on repeated attempts by the Security Council to address climate change.", "The Movement also takes note of the concerns expressed by the Permanent Representative of Nauru, in his capacity as Chairman of the Pacific Small Island Developing States Group, in his letter to the States Members of the United Nations on 1 July and expresses its appreciation for the presence of His Excellency President Stephen of the Republic of Nauru and for his statement on this issue on behalf of the Pacific small island developing States.", "In its resolution 63/281 on climate change and its possible security implications, the General Assembly recognized the respective responsibilities of the principal organs of the United Nations, including the primary responsibility entrusted to the Security Council for the maintenance of international peace and security and to the General Assembly and the Economic and Social Council for sustainable development, including climate change. The Final Document of the Sixteenth Ministerial Conference of the Non-Aligned Movement, held in Bali from 23 to 27 May, as well as General Assembly resolution 63/281, emphasize that the United Nations Framework Convention on Climate Change (UNFCCC) (see para. The UNFCCC is the main instrument and central multilateral framework for addressing all aspects of climate change and the main forum for considering the risks associated with climate change and taking the necessary action to address it, in accordance with the principles enshrined in the Convention.", "In this regard, the continued encroachment by the Security Council on the functions and powers of the General Assembly, the Economic and Social Council and relevant subsidiary bodies, as well as on issues traditionally within the purview of those bodies, remains a matter of deep concern to the Movement. The Non-Aligned Movement stresses the need for the Security Council to comply fully with all the provisions of the Charter that strike a delicate balance between the terms of reference of all principal organs. The Movement also stresses that close cooperation and coordination among the principal organs is essential in order for the United Nations to continue to be effective and capable of responding to existing, new and emerging threats and challenges.", "The Movement also stresses the need to address climate change and its negative impacts from a sustainable development perspective and to promote a comprehensive approach to address the root causes of the problem. This can only be done within the relevant frameworks of UNFCCC, the General Assembly, the Economic and Social Council and the Commission on Sustainable Development. Through appropriate and coordinated cooperation in addressing the situation created by climate change, these bodies are best placed to address climate change and related issues in a substantive manner.", "The Movement is fully aware of the magnitude and urgency of climate change issues and their negative impacts, and recognizes the challenges faced by developing countries, including, but not limited to, least developed countries, small island developing States and Africa, and the enormous pressure these impacts place on the national capacities and institutions of developing countries.", "The Movement stresses the importance of fulfilling international commitments under the UNFCCC and its Kyoto Protocol. All parties must act in accordance with the principle of common but differentiated responsibilities and respective capabilities. Developed countries have a historic and special responsibility to reduce emissions and to support actions by developing countries to adapt to and mitigate climate change, by providing new, additional and predictable financial resources, technology transfer and capacity-building.", "The Non-Aligned Movement therefore stresses that the decision of the Council to convene this debate should not be seen as a precedent and that it should not result in any form that undermines the authority or mandate of the relevant bodies, processes and instruments of the wider membership that already address climate change.", "The President: I give the floor to the representative of Argentina.", "Mr. Argüello (Argentina): I would like to thank the Secretary-General and Mr. Steiner for their statements. I would also like to welcome in particular the presence today of His Excellency Mr. Marcus Stephen, President of the Republic of Nauru.", "I have the honour to speak today on behalf of the Group of 77 and China in an open debate convened pursuant to a letter dated 1 July from the Permanent Representative of Germany addressed to the Council on the issue of the impact of climate change on the maintenance of international peace and security. The Group of 77 and China wished to reiterate its position on the subject.", "In accordance with the Charter of the United Nations, the primary responsibility of the Council is the maintenance of international peace and security. Other issues, including those relating to economic and social development, are referred to the Economic and Social Council and the General Assembly in the Charter. The increasing encroachment by the Security Council on the roles and responsibilities of other major United Nations entities is a distortion of the principles and purposes of the Charter, a violation of their powers and a weakening of the rights of all Members of the United Nations.", "The Group of 77 and China emphasizes the importance of the work of the General Assembly, the Security Council and the Economic and Social Council within their respective mandates, as provided for in the Charter.", "In its resolution 63/281, the General Assembly recognized the respective responsibilities of the principal organs of the United Nations, including the primary responsibility of the Security Council for the maintenance of international peace and security and the responsibility of the General Assembly and the Economic and Social Council for sustainable development, including climate change, and invited the relevant organs of the United Nations, as appropriate and in accordance with their respective mandates, to intensify their efforts to consider and address climate change, including its possible security implications. The relevant bodies in the area of sustainable development are the General Assembly, the Economic and Social Council and subsidiary bodies, including the Commission on Sustainable Development and the United Nations Environment Programme.", "The Group of 77 and China believes that all Member States must promote sustainable development in accordance with the Rio principles, in particular the principle of common but differentiated responsibilities; and fully implement Agenda 21 and other relevant United Nations conferences in the economic, environmental and social fields, including the Millennium Declaration.", "We further emphasize the important role of the international community in providing adequate, predictable, new and additional financial resources, technology transfer to developing countries and capacity-building.", "We believe that the United Nations Framework Convention on Climate Change (UNFCCC) is the primary intergovernmental international forum for negotiating a global response to climate change. In that regard, we would like to point out that an appropriate response to this challenge should address not only its consequences but also its root causes. Let me stress that there is every reason to demand that developed countries reduce emissions and take mitigation actions to avoid the adverse effects of climate change.", "In this regard, we are very concerned that, in the current climate change negotiations, there are no clear indications on the part of developed countries that they will adopt a second commitment period under the Kyoto Protocol. In addition, existing emission reduction pledges already made by developed countries participating in the UNFCCC negotiations are insufficient to adequately reduce global greenhouse gas emissions, so that the increase in global average temperatures can be kept within scientifically determined needs. In this regard, developed countries must do more.", "We reiterate the need to coordinate international efforts to mobilize partners to assist observation networks through regional initiatives such as the South Pacific Sea Level Rise and Climate Monitoring Project and the Caribbean Community Climate Change Centre. In this regard, we call upon relevant United Nations agencies and organizations, including the Office for the Coordination of Humanitarian Affairs, to strengthen regional broadcasting systems to assist island communities during disasters and to improve the efficiency of monitoring in those areas. Any measures taken in this regard must ensure an integrated approach to environmental emergencies.", "Addressing the impact of climate change and disasters must include strengthening the Hyogo Framework for Action on disaster risk reduction and increasing assistance to developing and disaster-affected countries, including support for strengthening their capacity to implement preparedness, rapid response, recovery and development plans and strategies.", "The Group would like to stress that developing countries continue to be adversely affected by the increasing frequency and intensity of climate change and extreme weather events. Developing countries were the most vulnerable to the effects of climate change and needed enhanced support for their efforts. In this regard, we call for the full and effective implementation of the commitments set out in the Barbados Programme of Action for the Sustainable Development of Small Island Developing States, the Mauritius Declaration and the Mauritius Strategy for the Further Implementation of the Programme of Action for the Sustainable Development of Small Island Developing States.", "We reaffirm that sea-level rise continues to pose a serious threat to small island developing States and their efforts to achieve sustainable development, and poses the most serious threat to the survival and viability of some of them.", "The Group of 77 and China will continue to pursue the pursuit of sustainable development and the eradication of poverty, an overriding priority for us and for the developed countries to fulfil their commitments in all relevant institutions.", "We strongly reiterate our expectation that the Council's initiative to hold this debate will not set a precedent and undermine the authority and mandate of the relevant bodies, procedures and instruments, which have addressed the complex aspects of these issues.", "The President: I now call on the representative of El Salvador.", "Mr. García González (El Salvador) (spoke in Spanish): We welcome your initiative, Sir, to convene this open debate of the Security Council on the impact of climate change on the maintenance of international peace and security.", "The world now faces one of the most serious challenges in its history. Climate change directly affects millions of people and all species and ecosystems. Over the years, various international forums and organizations have consistently warned us that climate change will affect agriculture, livestock and fisheries, particularly in countries in tropical and subtropical areas. Climate change has had negative consequences for small-scale subsistence economies in rural areas in marginalized regions of Africa, Asia and Latin America.", "El Salvador and other Central American countries, owing to their geographical location, natural environment and poverty levels and social deficits, are among the most vulnerable to climate change. My country is now experiencing the ravages of heavy rains, storms, droughts and extreme weather events, which have a negative impact on our public resources, social and economic foundations and democratic governance.", "The situation of small island developing States is no less serious and they are directly affected by climate change. The main problems they encounter include coastal flooding, the sinking of some islands into the sea, the decline of freshwater resources, severe drought, crop losses and rising disease rates, and the threat of fish stocks, which are an important source of food for many communities in those countries. The President of the Republic of Nauru, H.E. Mr. Marcus Stephen, has made a presentation on behalf of the small island developing States. My country fully associates itself with his statement.", "In the face of this situation, further commitments by developed countries are needed to negotiate progress towards the adoption of a second commitment period under the Kyoto Protocol, which will lead to the goal of reducing greenhouse gas emissions.", "Developing countries were least responsible for climate change, but were most adversely affected by it. For example, according to scientific research, it is estimated that less than 0.5 per cent of global greenhouse gases will come from Central America by 2030, but Central America has become one of the most vulnerable regions to this phenomenon.", "In this regard, it should be noted that developed countries have committed to providing technical and financial assistance to developing countries to enable them to fulfil their commitments to adapt to climate change and to adopt low-carbon development models.", "One of the principles of international law was that no State could exercise its rights if it would cause harm to another State. International environmental law provided for the limitation of sovereignty, namely that no State should use its territory in a manner that would cause serious environmental harm to other States. The Framework Convention on Climate Change builds on this principle. It declares climate change on Earth to be a common concern of all humankind.", "In this regard, we welcome the appeal made by the Chairman of the Group of 77 and China, Ambassador Argüello of Argentina, to the principal organs of the United Nations to make greater efforts to address the impact of change and its security implications, in accordance with their mandates under the Charter of the United Nations.", "In this context, there is an urgent need for the Security Council to clearly recognize the threat that climate change poses to international peace and security in order to address, with appropriate action, the impact of this phenomenon in this specific area. Climate change, which constrains and weakens economic growth and social progress, increases the vulnerability of territories and causes further environmental degradation, thus constituting a human security issue.", "El Salvador is participating at the regional level in various projects and initiatives aimed at mitigating vulnerability and adaptation to climate change. The Regional Climate Change Strategy reflects the common goal and position of Central American countries to face up to the challenges posed by climate change and its impact on the population of the region. We appreciate the initiative taken by the Security Council to debate this important issue, which will require a great deal of political will in multilateral negotiations to bring about positive results in the medium to long term.", "The President: I now give the floor to Mr. Pedro Serrano, Acting Head of the Delegation of the European Union to the United Nations.", "Mr. Serrano (European Union): I thank you, Mr. President, for the opportunity to speak on behalf of the European Union (EU) and its member States, and for organizing this important debate.", "The candidate countries Croatia, the former Yugoslav Republic of Macedonia and Montenegro, the countries of the Stabilization and Association Process and potential candidates Albania, Bosnia and Herzegovina and Serbia, as well as Ukraine and the Republic of Moldova, align themselves with this statement.", "At the outset, I would like to welcome the President of the Republic of Nauru to this meeting and to thank him for his important statement. I also thank the Secretary-General and the representative of the United Nations Environment Programme for their statements.", "The European Union and its member States believe that climate change has a significant security impact, as it is a multiplier of threats. The scarcity of natural resources, the destruction of the economy, sea-level rise, desertification, migration pressures and energy supply constraints can all exacerbate instability in fragile States and pressure on international governance. The European Union and its member States are working with the United Nations, in particular through the United Nations Inter-Agency Framework for Action Task Force, to examine these issues.", "I would like to focus on two issues that we are considering today in our debate: sea level rise and food security.", "The European Union fully shares the view that small island developing States are among the countries most affected by the global climate change. In particular, Pacific island countries face unique structural constraints because of their remoteness, small size, limited natural resources and vulnerability to natural disasters. Adaptation to the effects of climate change is indeed important for the future of Pacific island countries, but the Pacific is also an important resource for the future of our planet.", "In the Pacific region, the European Union maintains long-standing development partnerships with 15 countries and four overseas countries and territories associated with the European Union. We have undertaken climate-specific activities through a series of integrated EU policies and tools. We are currently exploring ways to further strengthen the EU-Pacific development partnership.", "Long before any island is inundated, a gradual deterioration of the situation could render some islands uninhabitable. We should explore the development of a common strategy for the region, while considering targeted actions to meet specific needs. Coordination between international donors and regional institutions will be essential to ensure effective implementation.", "The rise in global temperatures will dramatically increase extreme weather events, such as droughts, floods and tropical cyclones, whose consequences will be more severe and destructive. Urban centres, economic activities, population and critical infrastructure are often located in coastal areas, but those areas are particularly vulnerable.", "While working towards a global agreement within the framework of the United Nations Framework Convention on Climate Change, some meaningful steps have been taken. Support for the poorest and most vulnerable countries should be at the forefront. Disaster preparedness should be strengthened, as the economic impact of natural disasters significantly limits sustainable development, thus exacerbating instability and leading to conflict. Close linkages must be established between national adaptation plans and their preparedness plans, and investment in technology and innovation should be promoted.", "I turn next to food security. Ensuring food security for the world ' s growing population is one of the major challenges that we as a global community must address. The impact of food insecurity is both local and global. It has led to the destruction of individual and family livelihoods, the disintegration of communities and malnutrition. Food insecurity also undermines the ability of children and countries to realize their full potential.", "Climate change is at the heart of a series of pressures that will affect food security in the coming decades. It has had a significant impact on crop yields, livestock production and water supply. These trends are expected to intensify in the future, making it even more impossible for us to achieve the increased production of the food necessary to feed the growing world population.", "If climate change is not addressed, the price we will pay is more precarious food supplies, more passive food prices, further pressure on water resources and increased pressure on migration. All of this threatens the political stability of an already fragile State and threatens to undermine progress towards achieving the Millennium Development Goals.", "The European Union and its member States actively support food security through their development and humanitarian policies. In March 2010, we adopted a policy framework aimed at strengthening coordination between the EU and its member States in the fight against world hunger and malnutrition. Ensuring that all assistance for food security is based on an environmentally sustainable approach is a key step towards success.", "It is clear that the consequences of climate change will have the greatest impact on the most vulnerable, and special attention should therefore be given to empowering those people and communities facing poverty and hunger and limited resilience, countries and regions facing multiple pressures and fragile States with weak institutions and vulnerability to conflict.", "While addressing security implications, action must be taken to address climate change itself. The EU will continue to do so within the framework of its policies in the areas of global action against climate change, development, humanitarian assistance, conflict prevention, crisis management and post-conflict reconstruction.", "Just two days ago, on 18 July, the European Union Foreign Affairs Council recognized the need to take action to reduce the systemic risks posed by climate change and to prevent them from triggering a systemic crisis. The Council also noted that the EU early warning mechanism should monitor climate change and environmental degradation, particularly in vulnerable areas, and called for further work on climate change and international security.", "Climate-induced risks are numerous and cut across development and security. We still need more analysis. We believe that there is a need for more in-depth research on both water security and deforestation. Access to water resources and water supply may be a major threat to human security as well as to regional stability, which can lead to serious disputes. For those living in and around forest areas, forests are a major source of food and livelihood and an indispensable means of addressing climate change. Unsustainable deforestation not only leads to population displacement and environmental degradation, but also undermines indigenous civilization and its cultural and spiritual heritage.", "In conclusion, I would like to emphasize that the EU remains committed to broadening its understanding and mainstreaming climate change and its security implications into its foreign and security policies.", "The President: There are still a number of speakers remaining on my list for this meeting. I therefore intend, with the concurrence of the members of the Council, to suspend this meeting until 3 p.m.", "The meeting was suspended at 1.10 p.m." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11日至22日", "国际海底管理局理事会关于财政和预算事项的决定", "国际海底管理局理事会，", "考虑到财务委员会的建议，[1]", "建议国际海底管理局大会：", "(a) 敦促管理局成员按时全额缴付预算摊款；", "(b) 呼吁管理局成员尽快支付未缴纳的管理局往年预算摊款，请秘书长酌情继续努力收缴这些款额；", "(c) 对在第十七届会议期间宣布向捐赠基金和自愿信托基金捐款的管理局成员表示赞赏；", "(d) 大力鼓励各成员向管理局的捐赠基金和自愿信托基金提供自愿捐助，请秘书长就捐赠基金资本金的投资问题寻求专家意见并同联合国总部有关当局协商；", "(e) 对秘书长就预算执行情况给财务委员会的报告以及在管理局2011-2012财务期间预算内为节省费用而做出的努力表示赞赏,并敦促秘书长继续做出这些努力；", "(f) 任命普华永道会计师事务所为2011和2012年独立审计员，并请审计人员在今后的报告中就管理局内部控制的效果发表意见；", "(g) 请财务委员会在其下一次会议上就采用国际公共部门会计准则一事进行审议并提出建议；", "(h) 请财务委员会在其下一次会议上就国际海底管理局是否应当签署公务员制度委员会章程一事进行审议并提出建议；", "(i) 授权秘书长在必要时作为特殊情况，从捐赠基金的应计利息中预付最多30 000美元来补贴自愿信托基金。", "第170次会议", "2011年7月20日", "[1] 见ISBA/17/A/3-ISBA/17/C/3。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council relating to financial and budgetary matters", "The Council of the International Seabed Authority,", "Taking into account the recommendations of the Finance Committee,[1]", "Recommends that the Assembly of the International Seabed Authority:", "(a) Urge the members of the Authority to pay their assessed contributions to the budget on time and in full;", "(b) Appeal to the members of the Authority to pay outstanding contributions to the budget of the Authority from previous years as soon as possible and request the Secretary-General, at his discretion, to continue his efforts to recover those amounts;", "(c) Express appreciation to those members of the Authority which announced contributions to the Endowment Fund and the Voluntary Trust Fund during the seventeenth session;", "(d) Strongly encourage members to make voluntary contributions to the Endowment Fund and the Voluntary Trust Fund of the Authority and ask the Secretary-General to seek expert advice on the investment of the capital of the Endowment Fund and consult the relevant authorities at United Nations Headquarters;", "(e) Express its appreciation to the Secretary-General for the report to the Finance Committee on the implementation of the budget and for the efforts being made to effect savings in the budget of the Authority during the 2011-2012 financial period, and urge the Secretary-General to continue those efforts;", "(f) Appoint PricewaterhouseCoopers as independent auditor for 2011 and 2012 and request the auditors to express, in future reports, an opinion on the effectiveness of the internal controls of the Authority;", "(g) Request the Finance Committee, at its next meeting, to consider and make recommendations on the adoption of the International Public Sector Accounting Standards;", "(h) Request the Finance Committee, at its next meeting, to consider and make recommendations on whether the International Seabed Authority should subscribe to the statute of the International Civil Service Commission;", "(i) Authorize the Secretary-General, to the extent necessary and on an exceptional basis, to make an advance of up to $30,000 from the interest accrued on the Endowment Fund to supplement the Voluntary Trust Fund.", "170th meeting 20 July 2011", "[1] See ISBA/17/A/3-ISBA/17/C/3." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Decision of the Council of the International Seabed Authority on financial and budgetary matters", "The Council of the International Seabed Authority,", "Taking into account the recommendation of the Finance Committee, [1]", "Recommends that the Assembly of the International Seabed Authority:", "(a) Urge the members of the Authority to pay their assessed contributions to the budget on time and in full;", "(b) Call upon the members of the Authority to pay their outstanding contributions to the budget of the Authority for previous years as soon as possible, and request the Secretary-General to continue his efforts, as appropriate, to collect those amounts;", "(c) Expressed its appreciation to the members of the Authority who had announced their contributions to the Endowment Fund and the Voluntary Trust Fund during the seventeenth session;", "(d) Strongly encouraged members to make voluntary contributions to the Endowment Fund and the Voluntary Trust Fund of the Authority, and requested the Secretary-General to seek expert advice on the investment of the capital of the Endowment Fund and to consult with the appropriate authorities at United Nations Headquarters;", "(e) Expressed its appreciation for the efforts made by the Secretary-General to report to the Finance Committee on budget performance and to achieve cost savings in the budget of the Authority for the financial period 2011-2012, and urged the Secretary-General to continue those efforts;", "(f) To appoint PricewaterhouseCoopers as an independent auditor for 2011 and 2012, and to request the auditor to comment in future reports on the effectiveness of the internal controls of the Authority;", "(g) Requested the Finance Committee to consider and make recommendations on the adoption of IPSAS at its next meeting;", "(h) Requested the Finance Committee to consider and make recommendations at its next meeting on whether the International Seabed Authority should sign the statute of ICSC;", "(i) Authorize the Secretary-General, on an exceptional basis and as necessary, to advance up to $30,000 from interest accrued from the Endowment Fund to subsidize the Voluntary Trust Fund.", "170th meeting", "20 July 2011", "[1] See ISBA/17/A/3-ISBA/17/C/3." ]

[ "消除对妇女歧视委员会", "第四十九届会议", "第989次会议简要记录", "2011年7月20日星期三上午10时在纽约总部举行", "主席： 阿姆利纳女士(副主席)", "目录", "审议缔约国根据《公约》第18条提交的报告(续)", "尼泊尔的第四次和第五次合并定期报告(续)", "因主席缺席，阿姆利纳女士(副主席)代行主席职务。", "上午10时05分宣布开会。", "审议缔约国根据《公约》第18条提交的报告(续)", "尼泊尔的第四次和第五次合并定期报告 (CEDAW/NPL/4-5；CEDAW/NPL/Q/4-5和CEDAW/ NPL/Q/4-5/Add.1)", "1. 应主席邀请，尼泊尔代表团成员在委员会议席就座。", "2. Acharya先生(尼泊尔)在介绍定期报告(CEDAW/ NPL/4-5)时说，通过与所有利益攸关方协商编制的关于《公约》的《2003年国家行动计划》奠定了尼泊尔改革倡议的基础。由妇女、儿童和社会福利部协调执行。", "3. 继2006年4月的人民运动之后，尼泊尔经历了影响深远的政治变革。妇女的参与被视为是那场史无前例的变革所必不可少的，因此下议院在2006年5月通过了一项决议，呼吁让妇女在国家结构各部分的代表率至少达到33%。制宪会议是第一个遵守这一最低限额的机构，地方和平委员会和社区组织的妇女参与率至少为33%。", "4. 《2007年尼泊尔临时宪法》体现了向前迈进的另一重大步伐，它明确规定结束性别歧视，规定妇女参与国家机器的所有部分，并首次明确声明妇女的基本权利。", "5. 《公约》的各项原则在尼泊尔的发展政策中也有所体现，政府遵循使性别平等因素成为发展的所有方面的主流并鼓励妇女参与各级主管当局的政策。妇女在例如公务员、警察和其他机构的代表比例明显增加，而这些机构在前几年还在限制妇女参与。现行的《三年计划》(2010/2011-2012/2013年)旨在消除针对妇女的所有类型的歧视和暴力，并设想让妇女在国家机构的代表比例超过33%这一标志，并且强调在发展和治理所有方面增强性别平等主流化。对两性平等问题的不断宣传促使政府部委制定针对具体部门的政策作为回应，例如地方发展部的《2009年性别平等和社会包容政策》。", "6. 在地方一级，该进程由地区发展委员会主席主持的基础广泛的主流化委员会领导，由妇女发展干事推动。", "7. 已经认识到实现性别平等的总体目标需要采取综合方法和广泛共享的所有权：财政部协调促进两性平等的预算编制，总行政部带头开展平等权利改革，法律和司法部已经启动法律改革进程，教育部和卫生部特别强调在其工作领域内的妇女赋权问题。", "8. 将各项政策转化为实际方案一直是政府的优先事项。妇女发展方案以估计为390万人的农村妇女为对象，她们在早年失学或错失其他发展机会。事实证明该方案在创立有利于参与的论坛和培养妇女领导的微型企业方面是有效的。", "9. 2007-2008年启动的政府战略的一部分旨在通过促进性别平等的预算编制增加对重点方案的供资。在2011-2012财政年度的总预算支出中，19%将直接用于以妇女为中心的方案，45%将用于更多与两性平等问题有关的间接方案。", "10. 政府将应对暴力侵害妇女行为作为优先事项，宣布2010年为反基于性别的暴力年。编制了一个《国家行动计划》；在总理办公室设立基于性别的暴力投诉管理和监测股；在地区警察局设立妇女和儿童股，在15个区建立藏身处网络。", "11. 同时，增加了打击贩运行动，包括一些解决家庭暴力的行动，家庭暴力行为通常使人更易遭到贩运。帮助弱势少女的方案推广了到边远的农村地区，在国内8个地区建立了贩运幸存者康复中心。", "12. 在1991年和2001年人口普查期间，尼泊尔妇女的预期寿命超过了男性，达到64.5岁。孕产妇死亡率从1996年的每10万活产539例降低为2006年的281例。 在初级教育实现了两性均等，差距正在缩小，在其他领域的差距也在缩小，尽管速度较慢。例如，2001年，总识字率达到53.7%，男女之间的比例相差22.6个百分点。2010年，总识字率增加到63.7%，男女差距缩小到22.3个百分点。", "13. 但是，在一些发展指标上体现的性别差距依然令人担忧。即使采取了暂行特别措施并且取得了一些进展，但妇女在公务员队伍中的代表比例仅为13.29%，要达到33%的目标，还需要开展大量工作。", "14. 人力和财政资源匮乏是结束歧视妇女和增强妇女能力的诸多努力无法迅速取得进展。尼泊尔希望，建设性对话将有助于审查其自身的国家进展和挑战，并鼓励国际社会增加支助。", "第1条至16条", "15. Patten女士询问安排了哪些优先事项，以废除《宪法》第9条，该条规定不允许妇女将尼泊尔国籍传给其子女或外国配偶。她还询问何时能通过目前正在审议的新《宪法》，以及何时废除尼泊尔法律中仍然存在的大量歧视性条款。", "16. 在谈到达利特妇女时，她询问政府设想采取哪些措施实现她们的权利，允许她们平等获得教育、卫生和就业，并禁止基于种姓的歧视。", "17. 在谈到收到的关于军警人员对越过边境进入尼泊尔的西藏妇女实施包括性暴力在内的各类攻击的报告时，她询问采取了哪些措施惩罚犯罪人。她回顾不驱回原则，敦促政府避免把西藏妇女递解回中国。", "18. Šimonović女士在提到国际条约在尼泊尔法律制度中的等级问题时询问，这些条约是否享有与《宪法》同等的法律地位，是等同于法律还是高于法律。她还询问是否将直接适用这些条约。", "19. 还不清楚第2条所要求的性别平等原则是否纳入了2006年《修正尼泊尔若干法令以确保性别平等法令》等法律，如果没有，尼泊尔是否考虑在新《宪法》中加入类似规定。她请求澄清尼泊尔现行法律是否禁止直接和间接歧视，是否禁止所有国家和非国家行为者在所有生活领域实行歧视。她还询问新《宪法》相应条款的范围。", "20. Schulz女士响应对西藏难民问题表示的关注，询问尼泊尔政府是否会考虑批准《关于难民地位的公约》。", "21. 如果法律制度没有提供包括补偿在内的纠正歧视机制，她想知道缔约国何时以及如何计划纳入此类机制。", "22. 她询问缔约国采用了哪些措施解决多重歧视问题，也即除了性别歧视之外，基于种族、种姓制度中的地位、性取向或其他此类个人因素的其他歧视。由于妇女在社会中处于次要地位，遭受饥饿的妇女多于男子，因此了解政府解决与食物权有关的歧视的计划将会有所帮助。", "23. Arocha Dominguez女士询问妇女、儿童和社会福利部在致力于提高妇女地位时运用的主要工具，以及哪些方面可以在某种意义上被视为是附属或补充性的。", "24. 其次，她请求澄清妇女、儿童和社会福利部极其复杂的结构，包括其内部哪个实体具体负责妇女问题，以及其可用的人力资源和资金的组成情况。", "25. 她询问如何安排经济部门各部之间的协调。她清楚各部都有一名两性平等问题协调人，但她想更多地了解他们对部门政策的执行情况和结果的协调及问责。", "26. 她注意到报告第18段提到向各部委大多数女性工作人员提供关于性别平等、生殖保健和社会包容的培训，她询问为什么只有妇女而没有制定政策的男性接受此类培训。", "27. 她希望澄清对问题清单的答复(CEDAW/C/NPL/Q/ 4-5/Add.1)第6段中的说法的理由，也即政府认为做出有关全国妇女委员会宪法地位的承诺还为时尚早。", "28. Acharya先生(尼泊尔)提到在国籍方面对妇女的歧视性待遇时说，《宪法》本身即规定了国籍问题。由于正在重新起草《宪法》，参与起草的各委员会正在积极审议该问题，目的是在完成新《宪法》时找到解决方案。", "29. 关于法律中的歧视性条款，他解释说成立了一个高级别委员会，以确保不仅从宪法一级撤销此类条款，而且从较低级别的所有法律文书中撤销此类条款。高级别委员会进行审查之后，于2006年9月颁布了《修正尼泊尔若干法令以确保性别平等法令》，修订或撤销各类法律中发现具有歧视性的条款共计65条。", "30. 他对妇女难民问题表示惊讶，因为他从未见到任何关于性骚扰的报告。尼泊尔一直为难民提供人道主义庇护，从未将任何人遣返回来源国。并未强迫难民进入难民营，如果他们入住难民营，可根据自身意愿自行出入。", "31. Kedar Poudyal先生(尼泊尔)解释说，尼泊尔不仅正在制定符合平等原则的新的民主宪法，而且还在根据国际标准更新和整理其法律制度。其法律制度的所有组成部分都在审议当中。", "32. 除了对已经提到的和尚未结束的歧视性法律进行修订之外，政府还加大了对某些侵害妇女行为，例如婚内强奸的惩治力度。2010年，制定一项禁止工作场所性骚扰的法律，以及一项面向各界人士，面向所有男子妇女征募公务人员的法律。2010年，宣布禁止基于种姓的歧视。", "33. Sharma女士(尼泊尔)提到了在获取保健方面的歧视问题，其中特别提到了达利特妇女。卫生部将《性别平等和社会包容战略》纳入了2010年开始实施的五年计划。一周前核准的下年度预算中包括为边远社区和边缘化群体划拨的特别经费。", "34. 关于食物权，她说为孕妇和儿童提供了微量元素补充营养。补铁方案实施以后，1996-2006年人口统计调查显示，贫血患病率大幅下降。正在进行的为食物匮乏地区的孕妇和儿童提供食物的特别方案已于2010年启动。驱虫方案也是常规产前保健的一部分，以减少营养不良现象。", "35. 开展了一项重要研究，以确定需要进一步实施有效行动的具体领域。因此，相关经济部门各部各自都在制定具体方案，增强全国协调努力。", "36. Pokhrel先生(尼泊尔)回答有关其所在部委的结构问题，他将其描述为三级结构。第一级是该部本身。接下来是妇女和儿童司，地区一级设有75个妇女发展办事处。应当注意的是，妇女、儿童和社会福利部规模很小，工作人员约为1 000名。", "37. 培训基本由培训中心提供，但是培训中心却隶属于地方发展部，而不是妇女、儿童和社会福利部。培训涉及技能发展、小额贷款使用培训和储蓄计划等。地区妇女发展办事处实施的以宣传倡导为主的方案负责处理性别主流化和社会包容问题。妇女和儿童司负责监督这些方案，妇女、儿童和社会福利部的作用是制定政策和总预算编制。全国规划委员会负责协调各职能部委的活动，财政部负责分配资源。", "38. Acharya先生(尼泊尔)澄清说，妇女、儿童和社会福利部的直接预算为20亿卢比，但有更多与两性平等有关的方案是由不同部委操作的，总计约为680亿卢比(10亿美元)。已经为2011年提出了730亿卢比的预算。", "39. 关于国际条约的地位问题，尼泊尔《条约法案》规定已经批准的条约享有与国内法同等的地位。", "40. 关于所提出的多重歧视问题，他解释说政府竭力顾全大局并考虑妇女可能面临的各种形式的歧视——性歧视、宗教歧视、种族歧视等。因此，有各种干预措施来应对多重歧视问题。", "41. 关于不同部委之间的协调问题，他申明尽管经济部门各部正在开展多项不同方案，但是各部委两性平等问题协调人之间的相互沟通是协调工作的第一步，其次是与妇女、儿童和社会福利部进行沟通以实现总体协调。为男子和妇女提供了关于两性平等问题的培训。只有在有关问题确实仅与妇女有关时，才仅对妇女进行培训。", "42. Schulz女士询问是否系统化地监测和评估平等权利行动方案，是否根据评估结果做出必要修订。她征询委员会对所收到信息的评论，因为报告中所述正在开展的许多措施实际上并未执行。", "43. 她询问尼泊尔是否打算长期采用过去曾经实施并经证明取得成功的某些暂行特别措施。例如，她想知道尼泊尔是否打算把议会中的妇女定额规则固定下来，如果是的话，将会设定多少定额。", "44. 在提到土地和房屋所有权存在严重不平等时，她询问尼泊尔是否打算超越她迄今为止发现的唯一的具体措施，也即妇女的土地注册费减收25%。考虑到土地所有权不平衡并且妇女遭受饥饿的风险高，向妇女发放土地的计划可能是解决食物权和享受平等待遇权利的有效方法。", "45. 她听取了上述解释，但仍不清楚尼泊尔是如何解决特定妇女群体面临的多重歧视的。", "46. Awori女士询问已经采取或规划了哪些提高认识运动，因为许多妇女，特别是农村妇女不了解她们的权利，因此也不知道她们遭受的歧视、习惯做法和偏见是非法的。", "47. 她请求澄清对问题清单的答复第8段中所做声明，也即提出了多项法案对各种法律条款进行修订，其中“载有保护受害人和废除嫁妆制度、童婚、歧视寡妇、一夫多妻和巫术等有害传统习俗的适当措施”。特别是，她要求获得关于这些法案的内容以及它们将如何保护妇女不受此类做法危害的信息。她还询问这些法案在立法进程中的进展，以及其完成时限。", "48. Patten女士询问政府采取了哪些措施来打击强奸和其他形式的基于性别的暴力、打击有罪不罚现象以及加强问责。她特别想知道在签署2006年和平协定之后随即采取了哪些措施使妇女能够对在最近的冲突中遭受的暴力提出诉讼并通过主管法庭寻求补偿。她询问开展了哪些努力来加强国家能力和国家机构，包括司法系统收集证据起诉犯罪人的能力，或相关部门提供基本保健服务、产妇护理以及心理或社会咨询的能力。", "49. 她还希望知道政府采取了哪些特别措施确保境内流离失所者和其管辖范围内的难民免遭一切形式的性别暴力。", "50. Gabr女士询问政府是否将采取任何措施取消在尼泊尔社会的社会和文化结构仍然根深蒂固的宗法价值体制，以及媒体和学校教科书长期以来对妇女的定型观念。", "51. 她在提到贩运问题时询问尼泊尔是否考虑成为《巴勒莫议定书》的签字国，是否可能设立国家机器处理贩运问题并协调相关的全国行动。制定一项方案教育移徙女工了解其权利的同时警告她们当心贩运危险并使她们对如何避免这些危险有所准备可能也会有所帮助。这在尼泊尔是一个重要的问题，因为每个月有近30 000名尼泊尔人移徙国外寻找工作。官方数据反映妇女人数不多，而非官方数据预计妇女比例高达30%。她询问尼泊尔是否会成为国际劳工组织关于家庭雇工的新公约的签字国。", "52. Awori女士询问尼泊尔是否已采取任何具体措施开发关于贩运和卖淫的可靠的数据收集系统，也就是对问题清单的答复中承认缺少的系统。尼泊尔已经提供了关于2007年《人口贩运和运输(管制)法》各项条款的综合信息，确保有效执行该法与其他类似法律至关重要。", "53. 她注意到在对问题清单的答复第18段中，缔约国表示政府官员绝不可能参与贩运、或者部分拥有酒吧以及其他为性剥削目的的贩运提供便利的类似场所，她询问缔约国是否打算采取任何措施调查此类指控并采取适当行动。", "54. Acharya先生(尼泊尔)说，在包括教育、法律和政治在内的许多部门已经实施了特别措施，以加快实现男女之间事实上的平等；提高认识运动将确保在实现这一平等方面不断取得进展。据报告，妇女拥有的土地在过去6年增加了3倍。政府还制定了特别方案，解决最边远地区的多重歧视问题和民族社区代表人数最低的问题。由于资源短缺，一些方案尚未在农村地区全面推开。但是，已经注意到产生了一些变化，尤其是在一夫多妻制等有害传统习俗方面，而且国家也已经开始起诉虐待行为。自由和包容性媒体的存在促进提高了妇女对自身权利的认识，包括在农村地区。", "55. 他在谈到性暴力问题时说，尼泊尔宣布2010年为结束基于性别的暴力年并为此实施了许多倡议，包括为性暴力受害人提供咨询，全国妇女委员会特别参与了这方面的工作。政府继续审查立法草案以保证增强妇女能力并防止歧视。", "56. Ghimere先生(尼泊尔)说，尼泊尔对暴力侵害妇女行为实行零容忍政策。为了解决基于性别的暴力的最核心问题，政府通过了一项旨在建立由各部委、议会和民间社会代表组成的各种委员会的行动计划。已经成立了监测该行动计划执行情况的联合协调委员会。新成立的中央基于性别的暴力管理股已经收到了大量投诉。该股旨在加快解决与基于性别的暴力有关的问题，绝不是用于替代起诉相关犯罪的有关法律机构。在全国各警察局设立了110间妇女和儿童牢房；另外，为贩运受害者成立了8个康复中心，250名受害者已经获得康复中心的服务。政府计划在所有75个行政区成立类似中心。", "57. 根据2008年《人口贩运(管制和处罚)法》和2009年《家庭暴力(犯罪和处罚)法》，政府在15个区成立了为暴力受害者提供护理的中心。迄今为止，已经有约990名妇女从此类服务中受益。2010年，成立了一个预防基于性别的暴力的基金，以便为受害者提供包括咨询在内的康复服务。关于基于性别的歧视，政府最近通过了一项法律，为性歧视受害者提供赔偿。", "58. Pokhrel先生(尼泊尔)说，政府正在完成关于废除有害传统做法和保护此类做法受害人的决议草案，预计不久将通过该草案。尼泊尔已经开展了促进两性平等的大量措施，包括定额制度、组织措施和提高认识运动。确保妇女在所有政府部门的代表率都达到33%。另外，立法规定妇女参与预算编制和规划进程。除了为增强对妇女权利的保护而设立的全国妇女委员会之外，还成立了一个妇女议会核心小组，审议所有与妇女问题有关的立法草案。", "59. Acharya先生(尼泊尔)说，在尼泊尔冲突期间，从未将强奸作为一种战争武器。对于境内流离失所者和难民，除可能有个别案例之外，没有已经确认的系统性的性暴力行为。政府做好了应对具体投诉的准备。", "60. 贩运依然是尼泊尔面对的主要挑战。政府进行了大量机构和政策变革，定期与非政府组织合作执行有效措施。由于贩运与贫穷和缺乏教育等其他重要问题相关联，因此是更加难以处理的问题。", "61. Hari Poudyal先生(尼泊尔)说，政府采取了大量措施应对人口贩运问题，其中包括成立一个负责监测所有反贩运措施的地区委员会以及通过2008年《人口贩运(管制和处罚)法》。最高法院还公布了多项旨在打击对妇女和儿童进行性剥削的指令。仅在2010年，已经在不同地区举行了6场关于反贩运区域培训研讨会。一项改善国家反贩运行动计划的倡议促使在2011年举行了5场区域研讨会。最后，在非政府组织的帮助下，已经设立了8个贩运受害者康复中心。", "62. Acharya先生(尼泊尔)说，尼泊尔正在区域一级与其他国家开展合作，并与国际机构、非政府组织和社区组织开展了合作，以解决贩运问题及其跨境影响。他在谈到关于商人和警务人员参与经营舞厅为卖淫提供方便的问题时说，政府处理了一至两个涉及初中级警务人员的案例，但是没有证据表明这是一个系统性问题。实际上，根据最高法院的指令，地区长官领导由官员和非政府组织代表组成的委员会，由其负责监督舞厅等场所。实施贩运犯罪的人面临最高20年的监禁。还有一个补偿贩运受害者的机制。", "63. 关于移徙工人的问题，他说所有离开尼泊尔出国工作的妇女事先都接受了培训。政府努力收集尽可能多的关于移徙女工的资料，但是资料收集工作仍然是重大挑战。在确认存在歧视性做法的领域，实行了康复措施并且向康复中心下达关于处理移徙工人问题的具体指令。", "64. Šimonović女士说，应阐明各项国际条约在尼泊尔新《宪法》中的地位。另外，代表团应说明《宪法》是否将具体提及男女平等原则和禁止歧视。她询问战争期间的强奸案例是否受到现行的关于举报和起诉一般强奸案件的90天诉讼时效的限制。", "65. Murillo de la Vega女士表示赞扬尼泊尔设立各种委员会提高关于基于性别的暴力的认识，但她说很遗憾定期报告中没有关于此类犯罪的相关罪行定罪数量的信息。她在提到贩运问题时说，委员会收到的信息称有33 000名左右妇女在没有留下任何行踪的情况下失踪，如能提供关于这方面的详细情况将不胜感激。该代表团还应说明为起诉贩运嫌疑人和网络而实行的措施，以及与贩运有关的定罪数量。", "66. Rasekh女士说，尼泊尔设立委员会和通过打击暴力侵害妇女行为的行动计划值得赞扬；但是，只有政府要求这些委员会担负责任并为其提供充分的资源和领导权，才能实现真正的进展。为了确保执行《公约》和妇女权利，在新《宪法》完成之前这么做尤为重要。", "67. Patten女士说，很难理解为什么代表团在新《宪法》起草工作正在进行之际无法对在新《宪法》中加入歧视性的第9条给出明确回答。在提到代表团说没有关于境内流离失所者和难民遭受系统性的性暴力的信息的评论时，她询问是否有任何尚未完成的对此类暴力个案的调查。了解是否鼓励身处这种境地的妇女报告性暴力也将有所帮助。", "68. Schulz女士询问保护免遭国家行为者歧视与免遭非国家行为者歧视之间是否有任何区别。了解政府是否打算修订关于自然人之诉和非自然人之诉的立法或至少规范对此类立法的可能的解读也将有所帮助。", "69. Gabr女士说，如能回答她提出的关于尼泊尔是否打算批准《联合国打击跨国有组织犯罪公约关于预防、禁止和惩治贩运人口特别是妇女和儿童行为的补充议定书》和国际劳工组织新的《家庭工人体面劳动公约》的问题，她将不胜感激；由于尼泊尔移徙工人众多，因此后一项公约尤为重要。", "70. Acharya先生(尼泊尔)说，尼泊尔法律已经规定，将国际条约当作国内法予以执行。因此，没有必要提到国际条约在新《宪法》中的地位。关于男女平等原则，临时《宪法》有专门关于男女平等的章节，虽然他无法断言新《宪法》有类似部分，但这似乎极有可能。同样地，相关议会委员会仍在审议《宪法》第9条。关于基于性别的暴力的问题，虽然他认为在当地的最终影响应当是绝对的优先事项，但他说执行进程，包括设立相关委员会在内的也是至关重要的。", "71. 法律规定保护免受国家行为者和非国家行为者的歧视。尽管没有特别提及男女同性恋、双性恋和变性者，他们也从反歧视立法中受益。最后，他说政府已经开始讨论《家庭工人体面劳动公约》，并将采取多利益攸关方办法来审议具体条款。", "72. Pokhrel先生(尼泊尔)说，尼泊尔正在努力建立完善的数据收集制度。由于警察部门提供的数据不可靠，因此政府希望使用2011年人口普查收集的数据。许多部委已经参与制定专门针对贩运妇女问题的指标和数据收集制度。", "73. Hari Poudyal先生说，2006/2007、2007/2008、 2008/2009和2009/2010财政年度地区法院收到的人口贩运案件数量分别为119、120、110和152起。同一时期定罪率在70.27%至59.42%之间波动。《关于预防、禁止和惩治贩运人口特别是妇女和儿童行为的议定书》正在批准过程之中。", "74. Kedar Poudyal先生说，尼泊尔完全认识到有义务执行其作为缔约国的国际公约和制定符合国际标准的法律制度。因此，当前的法律改革以平等和非歧视原则为基础。尼泊尔致力于推动包括性别少数群体在内的少数群体权利，致力于实施非歧视法。不论性别如何，任何人都有权获得公民身份。尼泊尔已经采取了一项国家行动计划，便利执行普遍定期审议的建议。该行动计划提出的倡议之一是制定关于女同性恋、男同性恋、双性恋和变性者群体的政策和立法，以确保执行最高法院关于性别少数群体的公民权利的判决。最后，法律和司法部建议政府应批准新的《家庭工人体面劳动公约》；希望政府在不久之后将这样做。", "75. Acharya先生(尼泊尔)说，一名委员会专家提到据称有33 000 名妇女失踪，这可能与2001年执行不力的人口普查有关，户主在人口普查时如果不愿透露家庭成员的行踪，有时会声称他们不在场。这可能出于多种原因，但是对于不在家的妇女和女孩而言，不在家并不意味着被贩运。最新的人口普查较上一次有所改进，是从每家每户收集综合信息而得出的。因此，政府在今后将拥有更加具体、分类更加细化的数据。总体来说，正在开展机构改革，与非政府组织和执法工作人员合作，纠正缺乏关于贩运和卖淫数据的现象。", "第7至9条", "76. Šimonović女士说，妇女参与政治在冲突后局势下具有特别的重要意义。她注意到定额制度促使2011年妇女议员的人数大幅增加，询问为什么自2008年以来妇女在政府任职的总人数会减少。如能提供关于尼泊尔为确保妇女在司法部门和最高法院有更多代表而采取措施的补充信息，她将不胜感激。她还想知道更多关于土著妇女在政治中的状况的信息，以及国家是否正在考虑对其实行定额制度。最后，如能了解政府正在考虑哪些措施，实现妇女参与安全理事会第1325(2000)号决议涉及的所有领域，将会有所帮助。", "77. Bareiro-Bobadilla女士请求获得更多关于政党定额制度，以及为培养妇女的领导能力而制定的其他措施的信息。她注意到不仅妇女、儿童和社会福利部现任部长是男性，而且代表团绝大多数成员也都是男", "性，并询问尼泊尔有多少女部长和女大使。", "78. Belmihoub-Zerdani女士赞扬尼泊尔政府实行议员定额制度并且不做保留地批准《公约》，她说想要了解更多关于达利特和巴迪妇女的信息，包括30%的女议员定额中是否有她们的代表。如能提供关于在国家人权机构工作、被任命为法官或者在地方政府负责的妇女人数(如有)的补充信息，她将不胜感激。", "79. Hayashi女士赞扬尼泊尔自上次与委员会进行建设性对话以来取得的成就，赞扬其批准了《公约任择议定书》。但是她对新《宪法》的一条条款草案表示关切，该条款规定只有父母双方同为尼泊尔公民才能授予公民身份。由于绝大多数在尼泊尔出生的跨国婚姻儿童无法自动获得尼泊尔公民身份，因此他们有成为无国籍者的风险，因为入籍仍然是一个国家自行裁决的问题。因此，代表团应指出多少儿童依据新《公民身份法》获准入籍。", "80. 她注意到2007年外交部向符合资格的人签发了公民身份证明，她说还有上千人仍然没有获得关键文件。另外，其他消息来源称，已婚妇女在申请公民身份证明之前必须获得丈夫或他家人的同意。代表团应解释尼泊尔打算如何确保外国妇女有效获得公民身份。", "81. Acharya先生(尼泊尔)对自2008年以来妇女在政府任职人数减少的说法表示惊讶。相反，尼泊尔一直以来都竭尽全力增加妇女在所有部门的比例，包括在执法或军队等一向由男性占据主导地位的部门。关于保留意见，他说针对妇女通过的保留意见规定妇女之间相互竞争上岗；在保留意见中，也有针对土著妇女的定额。妇女同样也可与男子竞争非保留职位。", "下午1时散会。" ]

[ "Committee on the Elimination of Discrimination", "against Women", "Forty-ninth session", "Summary record of the 989th meeting", "Held at Headquarters, New York, on Wednesday, 20 July 2011, at 10 a.m.", "Chair: Ms. Ameline (Vice-Chair)", "Contents", "Consideration of reports submitted by States parties under article 18 of the Convention (continued)", "Combined fourth and fifth periodic reports of Nepal", "In the absence of the Chair, Ms. Ameline (Vice-Chair) took the chair.", "The meeting was called to order at 10.05 a.m.", "Consideration of reports submitted by States parties under article 18 of the Convention (continued)", "Combined fourth and fifth periodic reports of Nepal (CEDAW/NPL/4-5; CEDAW/NPL/Q/4-5 and CEDAW/NPL/Q/4-5/Add.1)", "1. At the invitation of the Chair, the members of the delegation of Nepal took places at the Committee table.", "2. Mr. Acharya (Nepal), introducing the periodic report (CEDAW/NPL/4-5), said that the 2003 National Action Plan on the Convention, prepared in consultation with all stakeholders, had formed the basis of Nepal’s reform initiatives. Its implementation was coordinated by the Ministry of Women, Children and Social Welfare.", "3. Following the popular movement of April 2006, Nepal had undergone far-reaching political changes. Women’s participation had been deemed indispensable to that unprecedented transformation, and accordingly, the House of Representatives had adopted a resolution in May 2006 calling for at least 33 per cent representation of women in all parts of the State structure. The Constituent Assembly had been among the first to abide by that minimum, and there was at least 33 per cent women’s participation in local peace committees and community-based organizations.", "4. The Interim Constitution of Nepal 2007 represented another major step forward, explicitly providing for an end to gender discrimination, for women’s participation in all parts of the State machinery and for the first-ever explicit statement of women’s fundamental rights.", "5. The principles of the Convention had also found expression in Nepal’s development policy, with the Government pursuing a policy of mainstreaming gender considerations in all sectors of development as well as encouraging women’s presence at all levels of authority. Women’s presence was visibly increasing, for example, in the civil service, the police and other institutions where it had been limited only a few years ago. The current Three-Year Plan (2010/11-2012/13) aimed to eliminate discrimination and violence of all types against women, envisaged their representation in the State apparatus passing the 33 per cent mark, and emphasized the strengthening of gender mainstreaming in all aspects of development and governance. Continued advocacy of gender issues had led government ministries to craft sector-specific policies in response, the 2009 Gender Equality and Social Inclusion Policy of the Ministry of Local Development, for example.", "6. At the decentralized level, the process was led by a broad-based mainstreaming committee chaired by the President of the District Development Committee and facilitated by the Women Development Officer.", "7. It had been realized that the overall goal of achieving gender equality called for a comprehensive approach and widely shared ownership: the Ministry of Finance coordinated gender-responsive budgeting, the Ministry of General Administration took the lead in affirmative reforms, the Ministry of Law and Justice had initiated legal reform processes and the Ministries of Education and Health laid particular emphasis on women’s empowerment in their areas of work.", "8. Translating policies into practical programmes had been a Government priority. The Women Development Programme was aimed at an estimated 3.9 million rural women who had missed schooling or other opportunities for development in their early life. The Programme had proved to be effective in creating forums for participation and in fostering women-led microenterprises.", "9. Part of the Government’s strategy, initiated in 2007-2008, was to increase funding for focused programmes by way of gender-responsive budgeting. Of the total budgeted expenditure for fiscal year 2011-2012, 19 per cent would go directly to women-centred programmes and 45 per cent to more indirect gender-related programmes.", "10. The Government had made it a priority to confront violence against women, declaring 2010 the Year against Gender-related Violence. A National Action Plan had been prepared; a Gender-based Violence Complaint Management and Monitoring Unit had been set up in the Office of the Prime Minister; women and children units had been created in district police offices and networks of safe houses had been established in 15 districts.", "11. At the same time, anti-trafficking actions had been stepped up, including some to address domestic violence, which often increased vulnerability to trafficking. Programmes to help vulnerable adolescent girls had been extended to remote rural areas, and rehabilitation centres for trafficking survivors had been established in eight districts of the country.", "12. Between the 1991 and the 2001 censuses, Nepalese women’s life expectancy had overtaken that of men, at 64.5 years. Maternal mortality had been reduced from 539 per 100,000 live births in 1996 to 281 in 2006. Gender parity had been achieved in primary education and gaps were closing, albeit slowly, in other areas, too. For example, in 2001, the overall literacy rate had been 53.7 per cent with a gap of 22.6 percentage points between male and female rates. In 2010, the overall rate had gone up to 63.7 per cent and the male-female gap had narrowed to 22.3 percentage points.", "13. However, gender disparities in some development indicators were still a matter of concern. Even with temporary special measures, and despite some progress, women’s representation in the Civil Service was only 13.29 per cent, indicating that much remained to be done to meet the 33 per cent target.", "14. A lack of human and financial resources had impeded speedy progress in many efforts to end discrimination against women and to empower them. Nepal hoped that the constructive dialogue would contribute to a review of its own national progress and challenges and also encourage scaled-up support from the international community.", "Articles 1 to 6", "15. Ms. Patten asked what priority had been assigned to the repeal of article 9 of the Constitution, which precluded a woman from passing Nepalese nationality to a child or a foreign spouse. She also inquired as to a time frame for adoption of the new Constitution, currently under review, and for repeal of the large number of discriminatory provisions remaining in Nepalese law.", "16. Turning to the issue of Dalit women, she asked what measures were envisaged by the Government to make their rights a reality, to allow them equal access to education, health and employment and to outlaw caste-based discrimination.", "17. Referring to reports received of attacks, including sexual violence, perpetrated by army and police personnel against Tibetan women crossing the border into Nepal, she asked what measures had been taken against the perpetrators. Recalling the principle of non‑refoulement, she urged the Government to refrain from deporting Tibetan women to China.", "18. Ms. Šimonović, referring to the ranking of international treaties in the Nepalese legal system, asked if they had the same legal status as the Constitution, were equal to laws, or had a standing higher than laws. She also asked if they would be directly applicable.", "19. It was unclear whether the principle of gender equality, as required under article 2, was embodied in, for example, the Act to Amend Some Nepalese Acts to Maintain Gender Equality 2006, or, if not, whether Nepal was considering a provision to that effect in the new Constitution. She requested clarification whether current Nepalese law outlawed both direct and indirect discrimination, as well as discrimination in all fields of life by all State and non-State actors. She also asked about the scope of the corresponding provision in the new Constitution.", "20. Ms. Schulz, echoing the concerns expressed on the issue of Tibetan refugees, asked whether the Nepalese Government might consider ratifying the Convention relating to the Status of Refugees.", "21. If the legal system did not afford mechanisms for redress against discrimination, including compensation, she would like to know when and how the State party planned to include such mechanisms.", "22. She asked what measures the State party had adopted to address the issue of multiple discrimination, in other words additional discrimination on such grounds as ethnic origin, position in the caste system, religion, sexual orientation or other such personal factors, over and above gender discrimination. It would be helpful to hear the Government’s plans to address discrimination relating to the right to food, given that more women than men suffered hunger owing to their secondary status in society.", "23. Ms. Arocha Dominguez asked what was the main instrument of the Ministry of Women, Children and Social Welfare for its work towards the advancement of women, and what aspects could in some sense be regarded as collateral or complementary.", "24. Secondly, she asked for clarification of the very complex structure of the Ministry, including which entity within it dealt specifically with women’s issues, its composition in terms of human resources and the funding available to it.", "25. She asked how coordination was arranged between the sectoral ministries. She understood that in every ministry there was a gender focal person, but would like to hear more about their coordination and accountability for the implementation and results of sectoral policies.", "26. Noting that paragraph 18 of the report stated that training on gender, reproductive health and social inclusion had been given to most female staff in the various ministries, she asked why such training had been received only by women and not the men who decided the policies.", "27. She sought clarification of the reasons for the statement in paragraph 6 of the responses to the list of issues and questions (CEDAW/C/NPL/Q/4-5/Add.1) that the Government considered it premature to express a commitment concerning the constitutional status of the National Women Commission.", "28. Mr. Acharya (Nepal), referring to the discriminatory treatment of women in the area of nationality, said that the matter of nationality was dealt with in the Constitution itself. As its redrafting was still under way, the matter was under the active consideration of the various committees involved in the process, the aim being to achieve a resolution by the time the new Constitution was completed.", "29. With reference to discriminatory provisions in the law, he explained that a high-level committee had been established in order to ensure that such provisions were eliminated not only at the constitutional level but also removed from all legal instruments at lower levels. Following the examination by the high-level committee, the Act to Amend Some Nepal Acts to Maintain Gender Equality had been promulgated in September 2006, amending or repealing a total of 65 provisions in various laws that had been found discriminatory.", "30. He was surprised at the questions relating to women refugees, as he had never seen any reports of sexual harassment. Nepal had been providing humanitarian shelter to refugees, and had not sent anyone back to their country of origin. Refugees were not forced into camps, and if they were accommodated in camps they were free to come and go as they wished.", "31. Mr. Kedar Poudyal (Nepal) explained that Nepal was not only in the process of framing a new democratic constitution which would be consistent with the principle of equality, but was also engaged in modernizing and codifying its legal system, in line with international standards; all components of the system were under consideration.", "32. In addition to the amendments to discriminatory laws already described and those still to be completed, the Government also increased the penalties for certain offences against women, such as marital rape. A law against sexual harassment in the workplace had been created in 2010, as well as one to make the public service inclusive and open to all men and women. Caste-based discrimination had been outlawed in 2010.", "33. Ms. Sharma (Nepal) addressed the issue of discrimination in access to health, in particular with reference to Dalit women. The Ministry of Health had incorporated the Gender Equality and Social Inclusion Strategy into its five-year plan which had commenced in 2010. The budget for the coming year, approved a week earlier, included special provisions for remote communities and marginalized groups.", "34. With reference to the right to food, she said that pregnant women and children were provided with micronutrient supplementation. As a result of the iron distribution programme, anaemia prevalence had been significantly reduced, as measured by a demographic survey covering the years 1996-2006. An ongoing special programme to provide food to pregnant women and children in food-deprived zones had been started in 2010. A deworming programme was also a part of routine antenatal care to reduce nutritional deprivation.", "35. A major study had been carried out to identify specific areas that needed further effective action. As a result, the relevant sectoral ministries were each developing specific programmes, as well as strengthening national collaborative efforts.", "36. Mr. Pokhrel (Nepal), responding to the question about the structure of he Ministry, described it as having three tiers. The top level was the Ministry itself. Under that came the Women and Children Department and at the district level there were 75 Women Development Offices. It should be noted that the Ministry of Women, Children and Social Welfare was very small, with a staff of about 1,000.", "37. Training was basically provided by a training centre, which, however, came under the Ministry of Local Development, rather than the Ministry of Women, Children and Social Welfare. It covered such areas as skills development and training in the use of microcredit and saving schemes. Gender mainstreaming and social inclusion were handled under an advocacy-based programme, implemented by the district Women Development Offices. The Department was responsible for overseeing those programmes, with the role of the Ministry being formulation of policy and central budgeting. The National Planning Commission had the role of coordinating the activity of the various line ministries, while the Finance Ministry was responsible for the allocation of resources.", "38. Mr. Acharya (Nepal) clarified that while the figure of 2 billion rupees was the direct budget for the Ministry of Women, Children and Social Welfare there were many more gender-related programmes operated by different ministries, totalling about 68 billion rupees, or $1 billion. A budget of 73 billion rupees had been presented for 2011.", "39. With regard to the status of international treaties, Nepal’s Treaty Act stipulated that a ratified treaty had the same standing as a national law.", "40. With regard to the questions raised about multiple discrimination, he explained that the Government tried to see the whole picture and take account of the various forms of discrimination — sexual, religious, ethnic, and so on — that women might be facing. Thus, there were multiple interventions to deal with multiple discrimination.", "41. With regard to the questions about coordination between different ministries, he confirmed that while there were many different programmes being operated by the sectoral ministries, the gender focal persons in the various ministries communicated with one another for a first level of coordination, and with the Ministry of Women, Children and Social Welfare to achieve overall coordination. Training on gender issues was given to both men and women. It would be restricted to women only in cases where the issue at hand was truly of concern only to them.", "42. Ms. Schulz asked whether affirmative action programmes were systematically monitored and evaluated, and modified as necessary in the light of the results of the evaluations. She sought comment on information received by the Committee to the effect that many of the measures described in the report as being operational were not, in fact, being implemented.", "43. She asked whether Nepal planned to adopt permanently certain of the temporary special measures that it had introduced that had proved successful. For instance, she wondered whether Nepal planned to keep the quota rule for women in parliament as a permanent feature, and if so, what the quota would be.", "44. Referring to the profound inequality in land and home ownership, she asked whether Nepal planned to go beyond the only concrete measure she had found thus far, namely the 25 per cent discount on land registration fees for women. Considering the imbalance in the ownership of land and the high risk of women facing hunger, a plan for distribution of land to women might be an efficient way of addressing both the right to food and the right to equal treatment.", "45. She had listened to the explanations given, but still did not clearly understand how Nepal was addressing the multiple discrimination confronting specific groups of women.", "46. Ms. Awori asked what awareness-raising campaigns were undertaken or planned, since many women, particularly rural women, were unaware of their rights and thus unaware that the discrimination, customary practices and prejudices to which they were subjected were illegal.", "47. She sought clarification of the assertion in section 8 of the responses to the list of issues and questions that bills tabled to amend various legal codes “contain adequate measures for the protection of victims and abolishment of harmful traditional practices, such as dowry system, child marriage, discrimination against widows, polygamy and witchcraft”. In particular, she asked for information on the content of those bills and how they would protect women from such practices. She also inquired as to the progress of the bills in the legislative process and the time frame for completion.", "48. Ms. Patten asked what measures had been taken by the Government to act against rape and other forms of gender-based violence, counter impunity and strengthen accountability. She would particularly like to hear what measures had been taken immediately after the signing of the 2006 peace agreement to enable women to lodge complaints about violence suffered during the recent conflict, and to seek remedies through competent tribunals. She asked what efforts had been undertaken to strengthen national capacity and institutions, including the capacity of the judicial system to collect evidence for prosecution of perpetrators, or the capacity of the relevant departments to provide basic health services, maternal care and psychological or social counselling.", "49. She also wished to know what specific measures had been taken by the Government to ensure that internally displaced persons and refugees under its jurisdiction were protected from all forms of sexual violence.", "50. Ms. Gabr asked whether the Government would be taking any measures to eliminate the patriarchal value system which remained deeply entrenched in the social and cultural structure of Nepalese society, and the stereotypes about women which were perpetuated in the media and in school textbooks.", "51. Turning to trafficking, she asked whether Nepal might consider becoming a signatory to the Palermo Protocol, and if national machinery might be set up to deal with the issue of trafficking and to coordinate related national activities. It might also be useful to develop a programme to teach migrant women workers to be aware of their rights, to warn them about the dangers of trafficking and to prepare them to avoid those dangers. That was an important issue in Nepal because every month some 30,000 Nepalese emigrated in search of work. Officially not many were women; unofficial estimates put the proportion of women as high as 30 per cent. She asked whether Nepal might become a signatory to the new convention of the International Labour Organization on domestic workers.", "52. Ms. Awori asked whether Nepal had taken any specific steps to develop a reliable data-collection system with respect to trafficking and prostitution, something that the responses to the list of issues and questions had acknowledged as lacking. While Nepal had provided comprehensive information on the provisions of the Human Trafficking and Transportation (Control) Act of 2007, ensuring effective implementation of the Act and others like it was of paramount importance.", "53. Noting that under section 18 of the responses to the list of issues and questions, the State party had denied any possible involvement of Government officials in trafficking, or of their part ownership of bars and similar establishments that facilitated trafficking for the purposes of sexual exploitation, she asked whether the State party intended to take any measures to investigate such allegations and take appropriate action.", "54. Mr. Acharya (Nepal) said temporary special measures were already in place in a number of sectors, including education, law and politics, to accelerate de facto equality between men and women; awareness-raising campaigns would ensure continued progress towards such equality. Ownership of land by women had reportedly increased three-fold over the previous six years. The Government had also developed specific programmes to address multiple discrimination in the most remote regions and for the least represented ethnic communities. Some programmes had not been fully implemented in rural areas owing to shortage of resources. Changes had already been observed, nevertheless, especially with regard to harmful traditional practices such as polygamy, and the State had begun prosecuting abuses. The existence of a free and inclusive media had contributed to raising awareness among women about their rights, including in rural areas.", "55. Turning to the issue of sexual violence, he said that Nepal had declared 2010 as the year to end gender-based violence: accordingly, many initiatives had been carried out, including the provision of counselling for victims of sexual violence, in which the National Commission on Women had been particularly involved. The Government continued to examine draft legislation to guarantee the empowerment of women and to prevent discrimination.", "56. Mr. Ghimere (Nepal) said that Nepal had a zero tolerance policy with regard to violence against women. To address the issues at the core of gender-based violence, the Government had adopted an action plan establishing various committees that comprised representatives of ministries, parliament and civil society. A joint coordination committee had been set up to monitor implementation of the action plan. A newly established central unit for the management of gender-based violence had already received a number of complaints. The unit aimed to facilitate resolution of issues relating to gender-based violence and was in no way designed to substitute for the relevant legal authorities in prosecuting related offences. There were 110 cells designated for women and children in police stations throughout the country; in addition, eight rehabilitation centres had been built for trafficking victims, 250 of which had already availed themselves of the centres’ services. The Government planned to build similar centres in all 75 administrative districts.", "57. Pursuant to the 2008 Human Trafficking (Control and Punishment) Act and the 2009 Domestic Violence (Offence and Punishment) Act, the Government had established centres in 15 districts to provide care to victims of violence. Thus far, some 990 women had benefited from such services. In 2010, a fund for the prevention of gender-based violence had been established to provide rehabilitation services, including counselling, to victims. With regard to gender-based discrimination, the Government had recently passed a law that provided for compensation of victims of gender-based discrimination.", "58. Mr. Pokhrel (Nepal) said that the draft legislation on the abolition of harmful traditional practices and on the protection of victims of such practices was being finalized by the Government and was expected to be adopted shortly. Nepal had taken a number of steps to promote gender equality, including quota systems, institutional measures and awareness-raising campaigns. Women were ensured 33 per cent representation in all Government sectors. Furthermore, legislation provided for women’s involvement in budgeting and planning processes. In addition to the National Commission on Women, which had been established to enhance protection of women’s rights, there was a women’s parliament caucus group, which considered all draft legislation with regard to women’s issues.", "59. Mr. Acharya (Nepal) said that rape had never been used as a weapon during the conflict in Nepal. As for internally displaced persons and refugees, while there might be individual cases, no systemic sexual violence had been identified. The Government stood ready to respond to specific complaints.", "60. Trafficking continued to be a major challenge for Nepal. The Government had made a number of institutional and policy changes and worked with NGOs regularly to implement effective measures. Trafficking was all the more difficult to deal with as it was bound up with other important issues, such as poverty and lack of education.", "61. Mr. Hari Poudyal (Nepal) said that the Government had taken a number of steps to address the issue of human trafficking, including establishing a district-level committee responsible for overseeing all anti-trafficking measures and adopting the 2008 Human Trafficking (Control and Punishment) Act. The Supreme Court had also issued directives the goal of which was to combat the sexual exploitation of women and children. In 2010 alone, six regional training seminars on counter-trafficking had been held in various districts. An initiative to improve the national action plan on trafficking had led to the holding of five regional seminars in 2011. Lastly, eight rehabilitation centres for trafficking victims had been set up with the help of NGOs.", "62. Mr. Acharya (Nepal) said that Nepal was cooperating with other countries on a regional level, as well as with international agencies, NGOs and community-based organizations, to deal with trafficking and its cross-border implications. Turning to the question on the involvement of business persons and police officers in the operation of dance bars to facilitate trafficking, he said the Government had dealt with one or two cases involving junior-level police officers, but there was no evidence of a systemic problem. In fact, a chief district officer headed a committee comprised of officers and NGO representatives who were responsible for surveillance of venues such as dance bars, in accordance with the directives of the Supreme Court. Perpetrators of trafficking offences faced up to 20 years’ imprisonment. A compensation mechanism also existed for trafficking victims.", "63. On the question of migrant workers, he said that all women leaving Nepal to work abroad were given prior training. The Government strove to gather as much information as possible regarding women migrant workers, but such data collection remained a major challenge. Where discriminatory practices were identified, rehabilitation measures were in place and specific instructions had been given to rehabilitation centres on dealing with migrant workers.", "64. Ms. Šimonović said that the status of international treaties in Nepal’s new Constitution should be clarified. In addition, the delegation should indicate whether specific reference to the principle of equality between men and women and to prohibition of discrimination would be made in the Constitution. She asked whether cases of rape during the war would be subject to the 90-day statute of limitation that existed for the reporting and prosecution of rape in general.", "65. Ms. Murillo de la Vega, while commending Nepal on its establishment of various committees to raise awareness on gender-based violence, said she regretted the lack of information in the periodic report regarding the number of convictions for offences related to such violence. Turning to the issue of trafficking, she said the Committee had received information that some 33,000 women had disappeared without leaving any trace of their whereabouts; details on that situation would be appreciated. The delegation should also specify the measures in place for prosecuting persons and networks suspected of trafficking, as well as the number of trafficking-related convictions.", "66. Ms. Rasekh said that Nepal’s creation of committees and adoption of action plans to combat violence against women was praiseworthy; however, no real progress would be achieved unless the Government demanded accountability from those committees and provided them with adequate resources and leadership. It was especially important to do so before the new Constitution was finalized, in order to ensure implementation of the Convention and women’s rights.", "67. Ms. Patten said that it was difficult to understand why the delegation could not provide a definitive answer as to the inclusion of discriminatory article 9 in the new Constitution, the drafting of which was well under way. Referring to the delegation’s comment that there was no information on systemic sexual violence with regard to internally displaced persons and refugees, she enquired about any pending investigations into individual cases of such violence. It would also be useful to learn whether women in those situations were encouraged to report sexual violence.", "68. Ms. Schulz enquired as to any distinction between protection from discrimination by the State and discrimination by non-State actors. It would also be useful to learn whether the Government had plans to modify legislation referring to natural and non-natural acts or, at the very least, to regulate the potential interpretations of such legislation.", "69. Ms. Gabr said that she would appreciate an answer to her question on Nepal’s plans to ratify the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime and the new Convention concerning Decent Work for Domestic Workers of the International Labour Organization; the latter Convention was especially important given the number of Nepalese migrant workers.", "70. Mr. Acharya (Nepal) said that the law in Nepal already provided for the implementation of international treaties as if they were domestic law. There was therefore no need to refer to the status of international treaties in the new Constitution. As for the principle of equality between men and women, the interim Constitution had a section devoted to the equality of women with men and while he could not say for certain whether the new Constitution would feature a similar section, it seemed very likely. Likewise, article 9 of the Constitution was still under consideration by the relevant parliamentary committees. On the question of gender-based violence, while he agreed that the ultimate impact on the ground should be the absolute priority, he said that the implementation process, including the establishment of relevant committees, was also of paramount importance.", "71. The law provided for protection against discrimination from both State and non-State actors. The lesbian, gay, bisexual and transgender community also benefited from anti-discrimination legislation, even if it was not named specifically. Lastly, he said that the Government had begun discussing the Convention concerning Decent Work for Domestic Workers and would seek a multi-stakeholder approach to consider its specific provisions.", "72. Mr. Pokhrel (Nepal) said that Nepal was making efforts to establish a sound data-collection system. Because data from police units was unreliable, the Government hoped instead to use data collected during the 2011 census. Many ministries were already involved in developing indicators and data collection systems specifically for trafficking in women.", "73. Mr. Hari Poudyal said that the number of cases of human trafficking filed in the district courts in fiscal years 2006/07, 2007/08, 2008/09 and 2009/10, respectively, was 119, 120, 110 and 152. The conviction rate over the same period had fluctuated between 70.27 per cent and 59.42 per cent. The Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children was in the process of being ratified.", "74. Mr. Kedar Poudyal said that Nepal was fully aware of its obligations to implement the international treaties to which it was a party and to develop its legal system in accordance with international standards. Accordingly, current legal reforms took as their basis the principles of equality and non-discrimination. Nepal was committed to promoting the rights of minorities, including gender minorities, and to implementing non-discrimination laws. Any person, regardless of gender, was entitled to obtain citizenship. Nepal had adopted a national action plan to facilitate implementation of the universal periodic review recommendations. One of the initiatives under the plan was to develop policies and legislation relating to the lesbian, gay, bisexual and transgender community and to ensure enforcement of the Supreme Court judgement on citizenship rights of gender minorities. Lastly, the Ministry of Law and Justice had recommended that the Government should ratify the new Convention concerning Decent Work for Domestic Workers; it was hoped the Government would do so shortly.", "75. Mr. Acharya (Nepal) said that the alleged disappearance of 33,000 women referred to by a Committee expert was probably linked to a poorly conducted census in 2001, in which heads of household sometimes claimed family members were absent if they preferred not to give their whereabouts. There could be many reasons, however, for women and girls not to be at home, and their absence did not necessarily mean they were being trafficked. The latest census was an improvement on the previous one, having been formulated in such a way as to collect comprehensive information from every household. The Government thus would have more specific, disaggregated data in the future. Generally, it was making institutional reforms and working with NGOs and law enforcement officials to rectify the lack of statistics on trafficking and prostitution.", "Articles 7 to 9", "76. Ms. Šimonović said that women’s participation in politics was of special importance in post-conflict situations. Noting that a quota system had led to a significant increase in the number of women parliamentarians in 2011, she asked why there had been a decline in the number of women in Government positions overall since 2008. Additional information on the measures taken by Nepal to secure higher representation for women in the judiciary and the Supreme Court would be appreciated. She would also like more information on the situation of indigenous women in politics and whether the State was considering a quota system for them. Lastly, it would be useful to learn what steps the Government was considering to achieve the participation of women in all the areas covered in Security Council resolution 1325 (2000).", "77. Ms. Bareiro-Bobadilla requested further information on the quota system for political parties, as well as any other measures developed to foster women’s leadership. Noting not only that the current Minister of Women, Children and Social Welfare was a man, but that the overwhelming majority of the members of the delegation were also men, she asked how many women ministers and women ambassadors Nepal had.", "78. Ms. Belmihoub-Zerdani, praising the Nepalese Government for its quota system for parliamentarians and for having ratified the Convention without reservations, said that she would like more information on the Dalit and Badi women, including whether they were represented in the 30 per cent quota for women parliamentarians. Additional data on the number of women, if any, working in the national human rights institution, having been appointed as judges or having responsibilities in local government would also be appreciated.", "79. Ms. Hayashi commended Nepal on the progress made since its last constructive dialogue with the Committee and on its ratification of the Optional Protocol to the Convention. She nevertheless expressed concern at a draft provision of the new Constitution, which stated that citizenship would be granted only if both parents had Nepalese citizenship. As the vast majority of children born in Nepal of mixed marriages would not be granted Nepalese citizenship automatically, they were at risk of becoming stateless, since naturalization remained a matter of State discretion. In that connection, the delegation should indicate how many children had been granted naturalization under the new Citizenship Act.", "80. Noting that in 2007 the Ministry of Foreign Affairs had distributed citizen certificates to qualified persons, she said that thousands of people nevertheless remained without key documents. According to alternative sources, moreover, a married woman had to obtain the consent of her husband or of his family before applying for a citizenship certificate. The delegation should explain how it planned to ensure the effective access of foreign women to citizenship.", "81. Mr. Acharya (Nepal) expressed surprise at the alleged decline in the number of women in Government positions since 2008. Nepal had, on the contrary, been doing all it could to increase the percentage of women in all sectors, including in traditionally male-dominated ones like law enforcement or the military. Regarding reservations, he said that the reservation adopted for women provided for women to compete with each other for posts; within that reservation, there was also a quota for indigenous women. Women could compete with men for non-reserved posts as well.", "The meeting rose at 1 p.m." ]

[ "Committee on the Elimination of Discrimination against Women", "Forty-ninth session", "Summary record of the 989th meeting", "Held at Headquarters, New York, on Wednesday, 20 July 2011, at 10 a.m.", "Chairperson: Ms. Amlina (Vice-Chairperson)", "Contents", "Consideration of reports submitted by States parties under article 18 of the Convention (continued)", "Combined fourth and fifth periodic reports of Nepal (continued)", "In the absence of the Chairperson, Ms. Amlina (Vice-Chairperson) took the Chair.", "The meeting was called to order at 10.05 a.m.", "Consideration of reports submitted by States parties under article 18 of the Convention (continued)", "Combined fourth and fifth periodic reports of Nepal (CEDAW/NPL/4-5; CEDAW/NPL/Q/4-5 and CEDAW/NPL/Q/4-5/Add.1)", "At the invitation of the Chairperson, the members of the delegation of Nepal took places at the Committee table.", "2. Mr. Acharya (Nepal), introducing the periodic report (CEDAW/NPL/4-5), said that the 2003 National Action Plan on the Convention, which had been prepared in consultation with all stakeholders, had laid the foundation for Nepal ' s reform initiatives. Coordinated by the Ministry of Women, Children and Social Welfare.", "3. Following the April 2006 popular movement, Nepal experienced far-reaching political changes. Women ' s participation was seen as essential to that unprecedented change, and the House of Representatives had adopted a resolution in May 2006 calling for a minimum of 33 per cent representation of women in all parts of the State structure. The Constituent Assembly was the first body to comply with this minimum, with a minimum of 33 per cent participation of women from local peace committees and community-based organizations.", "4. The Interim Constitution of Nepal of 2007 represented another significant step forward, which explicitly provided for an end to gender discrimination, provided for the participation of women in all parts of the State apparatus and, for the first time, a clear statement of women ' s fundamental rights.", "5. The principles of the Convention were also reflected in Nepal ' s development policy, and the Government followed the policy of mainstreaming gender equality in all aspects of development and encouraging women ' s participation at all levels of authority. There has been a marked increase in the representation of women, for example in the civil service, the police and other institutions, which have restricted their participation in previous years. The current three-year plan (2010/2011-2012/2013) was aimed at eliminating all types of discrimination and violence against women and envisaged a representation of women in the national machinery of over 33 per cent, with emphasis on gender mainstreaming in all aspects of development and governance. Ongoing advocacy on gender issues has prompted government ministries to develop sector-specific policies in response, such as the Ministry of Local Development ' s Gender Equality and Social Inclusion Policy 2009.", "6. At the local level, the process is led by a broad-based mainstreaming committee chaired by the Chairperson of the District Development Committee and facilitated by the Women ' s Development Officer.", "7. It has been recognized that the overall goal of achieving gender equality requires an integrated approach and broad-based ownership: the Ministry of Finance coordinates gender-responsive budgeting, the Ministry of General Administration takes the lead in implementing equal rights reforms, the Ministry of Law and Justice has initiated legal reform processes, and the Ministries of Education and Health have placed special emphasis on women ' s empowerment in their areas of work.", "8. Translating policies into practical programmes has been a priority for the Government. The Women ' s Development Programme targets rural women, estimated at 3.9 million, who miss out on school or other development opportunities at an early age. The programme has proved to be effective in creating participatory forums and developing women-led microenterprises.", "9. Part of the Government strategy launched in 2007-2008 aims to increase funding for priority programmes through gender-responsive budgeting. Of the total budget expenditure for the financial year 2011-2012, 19 per cent will be directed to women-centred programmes and 45 per cent to more indirect programmes related to gender equality.", "10. The Government had made it a priority to address violence against women and had declared 2010 the year against gender-based violence. A National Plan of Action has been prepared; a Gender-based Violence Complaints Management and Monitoring Unit has been established in the Prime Minister ' s Office; a Women and Children Unit has been established in district police stations and a network of safe houses has been established in 15 districts.", "11. At the same time, there has been an increase in anti-trafficking activities, including some to address domestic violence, which often makes people more vulnerable to trafficking. Programmes to assist vulnerable adolescent girls had been extended to remote rural areas and rehabilitation centres for trafficking survivors had been established in eight regions of the country.", "12. During the 1991 and 2001 censuses, life expectancy of Nepalese women exceeded that of men, reaching 64.5 years. The maternal mortality rate decreased from 539 per 100,000 live births in 1996 to 281 in 2006. Gender parity had been achieved in primary education, the gap was narrowing and in other areas, albeit at a slower pace. For example, in 2001, the overall literacy rate reached 53.7 per cent, with a difference of 22.6 percentage points between men and women. In 2010, the overall literacy rate increased to 63.7 per cent and the gender gap narrowed to 22.3 percentage points.", "13. However, the gender gap reflected in some development indicators remains worrying. Even with temporary special measures and some progress, the representation of women in the civil service was only 13.29 per cent, and much remained to be done to reach the 33 per cent target.", "14. Lack of human and financial resources meant that many efforts to end discrimination against women and empower women could not make rapid progress. Nepal hoped that constructive dialogue would help to review its own national progress and challenges and encourage the international community to increase its support.", "Articles 1 to 16", "15. Ms. Patten asked what priorities had been set to repeal article 9 of the Constitution, which did not allow women to transmit Nepalese nationality to their children or foreign spouses. She also asked when the new Constitution currently under consideration would be adopted and when a large number of discriminatory provisions still in Nepalese law would be repealed.", "16. Turning to Dalit women, she asked what measures the Government envisaged to realize their rights, allow them equal access to education, health and employment, and prohibit caste-based discrimination.", "17. Referring to reports received of various attacks, including sexual violence, by uniformed personnel against Tibetan women crossing the border into Nepal, she asked what measures had been taken to punish the perpetrators. Recalling the principle of non-refoulement, she urged the Government to avoid deporting Tibetan women to China.", "18. Ms. Šimonović, referring to the hierarchy of international treaties in the Nepalese legal system, asked whether those treaties enjoyed the same legal status as the Constitution, equal to or higher than the law. She also asked whether those treaties would be directly applicable.", "19. It was not clear whether the principle of gender equality required by article 2 had been incorporated into laws such as the 2006 Amendment of Certain Nepalese Acts to Ensure Gender Equality Act and, if not, whether Nepal was considering including a similar provision in the new Constitution. She asked for clarification as to whether the laws in force in Nepal prohibited direct and indirect discrimination and whether all State and non-State actors prohibited discrimination in all spheres of life. She also asked about the scope of the corresponding provisions of the new Constitution.", "20. Ms. Schulz, responding to the concerns expressed about the Tibetan refugee problem, asked whether the Government would consider ratifying the Convention relating to the Status of Refugees.", "21. If the legal system did not provide mechanisms for redressing discrimination, including compensation, she wondered when and how the State party planned to include such mechanisms.", "22. She asked what measures the State party had taken to address multiple discrimination, namely, discrimination based on race, status of the caste system, sexual orientation or other such personal factors, in addition to gender discrimination. It would be useful to know what the Government ' s plans to address discrimination related to the right to food were, since women were in a secondary position in society and more women than men suffered from hunger.", "23. Ms. Arocha Dominguez asked about the main tools used by the Ministry of Women, Children and Social Welfare in its efforts to advance the status of women and what aspects could be considered, in a sense, subsidiary or complementary.", "24. Secondly, she requested clarification of the extremely complex structure of the Ministry of Women, Children and Social Welfare, including which entity within it had specific responsibility for women ' s issues and the composition of its available human and financial resources.", "25. She asked how coordination among sectoral ministries was organized. She was aware that each ministry had a gender focal point, but would like to know more about their coordination and accountability for the implementation and results of sectoral policies.", "26. Noting that paragraph 18 of the report referred to the provision of training on gender equality, reproductive health and social inclusion for the majority of female staff in ministries, she asked why such training was provided only to women and not to men who had adopted policies.", "27. She wished to clarify the reasons for the statement in paragraph 6 of the responses to the list of issues (CEDAW/C/NPL/Q/4-5/Add.1), that the Government considered it premature to make a commitment to the constitutional status of the National Commission for Women.", "28. Mr. Acharya (Nepal), referring to discriminatory treatment against women with regard to nationality, said that the Constitution itself provided for nationality. As the Constitution was being redrafted, the committees involved in the drafting were actively considering the issue with a view to finding a solution when the new Constitution was completed.", "29. With regard to discriminatory provisions in the law, he explained that a high-level committee had been established to ensure that such provisions were removed not only from the constitutional level but also from all legal instruments at lower levels. Following a review by the High Level Committee, the Amendment of Certain Nepal Acts to Ensure Gender Equality Act was enacted in September 2006, amending or repealing a total of 65 discriminatory provisions found in various laws.", "30. He expressed surprise at the problem of women refugees, as he had never seen any reports of sexual harassment. Nepal has been providing humanitarian asylum to refugees and has never returned anyone to their country of origin. Refugees are not forced to enter camps, and if they do so, they can do so on their own.", "31. Mr. Kédar Poudyal (Nepal) explained that his country was not only developing a new democratic constitution in line with the principle of equality, but was also updating and consolidating its legal system in accordance with international standards. All components of its legal system are under consideration.", "32. In addition to amending the discriminatory laws that had been mentioned and were still pending, the Government had increased its penalties for certain violations against women, such as marital rape. In 2010, a law prohibiting sexual harassment in the workplace was enacted, as was a law for all categories of people and for all men and women. In 2010, caste-based discrimination was declared prohibited.", "33. Ms. Sharma (Nepal) referred to discrimination in access to health care, with particular reference to Dalit women. The Ministry of Health has incorporated the Gender Equality and Social Inclusion Strategy into the five-year plan, which began in 2010. The next annual budget approved a week ago included special allocations for remote and marginalized communities.", "34. Turning to the right to food, she said that micronutrients were provided to pregnant women and children. Following the iron supplementation programme, the 1996-2006 demographic survey showed a significant decrease in anaemia. The ongoing special programme for pregnant women and children in food-deficit areas was launched in 2010. Deworming programmes are also part of routine antenatal care to reduce malnutrition.", "An important study was undertaken to identify specific areas where further effective action was needed. As a result, individual ministries of the relevant sectors of the economy are developing specific programmes to enhance national coordination efforts.", "36. Mr. Pokhrel (Nepal), responding to questions about the structure of his ministry, described it as a three-tiered structure. The first is the Ministry itself. This is followed by the Women and Children Division, which has 75 women ' s development offices at the district level. It should be noted that the Ministry of Women, Children and Social Welfare is small and has approximately 1,000 staff.", "37. Training is largely provided by training centres, which are subordinated to the Ministry of Local Development rather than the Ministry of Women, Children and Social Welfare. Training involves skills development, training in the use of microcredit and savings schemes. The gender mainstreaming and social inclusion issues are addressed in the advocacy-oriented programme implemented by the Regional Women ' s Development Offices. The Department of Women and Children was responsible for monitoring those programmes, and the role of the Ministry of Women, Children and Social Welfare was to develop policy and general budgeting. The National Planning Commission coordinates the activities of line ministries and the Ministry of Finance is responsible for allocating resources.", "38. Mr. Acharya (Nepal) clarified that the direct budget of the Ministry of Women, Children and Social Welfare was Rs.2 billion, but that more gender-related programmes were run by different ministries, totalling approximately Rs. 68 billion (US$ 1 billion). A budget of 73 billion rupees has been proposed for 2011.", "39. With regard to the status of international treaties, Nepal ' s Treaty Act provides that ratified treaties have the same status as domestic law.", "With regard to the issue of multiple discrimination that had been raised, he explained that the Government had made every effort to take into account the broader picture and the various forms of discrimination that women might face — sexual discrimination, religious discrimination and racial discrimination. As a result, there are various interventions to address multiple discrimination.", "41. With regard to coordination between different ministries, he affirmed that, although various programmes were being carried out by the sectoral ministries, communication between the gender focal points of the ministries was the first step in coordination, followed by communication with the Ministry of Women, Children and Social Welfare to achieve overall coordination. Training on gender equality was provided to men and women. Women are only trained when the problem is indeed only women.", "42. Ms. Schulz asked whether affirmative action programmes were systematically monitored and evaluated and whether they were revised as necessary on the basis of the results of the evaluation. She sought the Committee ' s comments on the information received, since many of the measures described in the report were being implemented in practice.", "43. She asked whether Nepal intended to use some temporary special measures that had been applied and had proved successful in the past on a permanent basis. She wondered, for example, whether Nepal intended to fix quotas for women in Parliament and, if so, how many.", "44. Referring to the significant inequalities in land and housing ownership, she asked whether Nepal intended to go beyond the only concrete measure she had found to date, namely, a 25 per cent reduction in the cost of land registration for women. Given the imbalance in land ownership and the high risk of women suffering from hunger, land distribution schemes for women may be an effective way to address the right to food and to equal treatment.", "45. She had heard that explanation, but it was not clear how Nepal addressed the multiple discrimination faced by specific groups of women.", "46. Ms. Awori asked what awareness-raising campaigns had been taken or planned, as many women, especially rural women, were unaware of their rights and therefore of the illegality of the discrimination, customary practices and prejudices to which they were subjected.", "She requested clarification of the statement made in paragraph 8 of the responses to the list of issues, namely, the introduction of bills amending various legal provisions, which “included appropriate measures to protect victims and abolish harmful traditional practices such as dowry, child marriage, discrimination against widows, polygamy and witchcraft”. In particular, she requested information on the content of those bills and how they would protect women from such practices. She also enquired about the progress of those bills in the legislative process and the time frame for their completion.", "48. Ms. Patten asked what measures the Government had taken to combat rape and other forms of gender-based violence, combat impunity and strengthen accountability. In particular, she would like to know what measures had been taken immediately after the signing of the 2006 peace agreement to enable women to take action against violence suffered during the recent conflict and to seek redress through the competent courts. She asked what efforts had been made to strengthen national capacities and institutions, including the capacity of the justice system to gather evidence to prosecute offenders or the capacity of relevant sectors to provide basic health services, maternal care and psychological or social counselling.", "She also wished to know what special measures the Government had taken to ensure that internally displaced persons and refugees under its jurisdiction were protected from all forms of gender-based violence.", "50. Ms. Gabr asked whether the Government would take any measures to eliminate patriarchal value systems, which remained deeply entrenched in the social and cultural fabric of Nepalese society, and the persistent stereotypes of women in the media and school textbooks.", "51. Turning to the issue of trafficking, she asked whether Nepal was considering becoming a signatory to the Palermo Protocol and whether it would be possible to establish a national machinery to deal with trafficking and coordinate related national action. It might also be helpful to develop a programme to educate women migrant workers about their rights, while warning them of the dangers of trafficking and preparing them to avoid them. This is an important issue in Nepal, where nearly 30,000 Nepalese migrate for work every month. Official data reflect the low number of women, while non-official data predict a high proportion of women as high as 30 per cent. She asked whether Nepal would become a signatory to the new ILO Convention on Domestic Workers.", "52. Ms. Awori asked whether Nepal had taken any concrete measures to develop a reliable data collection system on trafficking and prostitution, a system that had been acknowledged in the responses to the list of issues. Nepal has provided comprehensive information on the provisions of the Trafficking in Persons and Transport (Control) Act 2007, and it is essential to ensure the effective implementation of this and other similar laws.", "53. Noting that, in paragraph 18 of the replies to the list of issues, the State party had indicated that Government officials could never be involved in trafficking or in the partial possession of bars and other similar places that facilitated trafficking for the purpose of sexual exploitation, she asked whether the State party intended to take any measures to investigate and take appropriate action on such allegations.", "54. Mr. Acharya (Nepal) said that special measures had been implemented in many sectors, including education, law and politics, to accelerate the achievement of de facto equality between men and women; awareness-raising campaigns would ensure continuous progress towards that equality. It was reported that land owned by women had tripled over the past six years. The Government had also established special programmes to address multiple discrimination in the most remote areas and the low representation of ethnic communities. Owing to a lack of resources, some programmes have not yet been fully rolled out in rural areas. However, some changes had been noted, particularly with regard to harmful traditional practices such as polygamy, and the State had begun to prosecute ill-treatment. The existence of free and inclusive media contributed to raising women ' s awareness of their rights, including in rural areas.", "55. Turning to the issue of sexual violence, he said that Nepal had announced 2010 as the year to end gender-based violence and had implemented a number of initiatives to that end, including counselling for victims of sexual violence, in which the National Commission for Women was particularly involved. The Government continued to review draft legislation to ensure the empowerment of women and prevent discrimination.", "56. Mr. Ghimele (Nepal) said that Nepal had a zero-tolerance policy on violence against women. To address the most core issues of gender-based violence, the Government had adopted a plan of action to establish committees comprising representatives of ministries, Parliament and civil society. A joint coordination committee has been established to monitor the implementation of the action plan. The newly established Central Gender Based Violence Management Unit has received a large number of complaints. The Unit aims to accelerate the resolution of issues related to gender-based violence and is in no way a substitute for the relevant legal bodies for the prosecution of related crimes. There were 110 women ' s and children ' s cells in police stations throughout the country; in addition, eight rehabilitation centres for victims of trafficking had been established and 250 victims had been provided with rehabilitation centres. The Government plans to establish similar centres in all 75 administrative districts.", "57. Under the Trafficking in Persons (Control and Punishment) Act 2008 and the Domestic Violence (Crime and Punishment) Act 2009, the Government has established centres in 15 districts to provide care to victims of violence. To date, some 990 women have benefited from such services. In 2010, a fund for the prevention of gender-based violence was established to provide rehabilitation services, including counselling, for victims. With regard to gender-based discrimination, the Government had recently adopted a law providing compensation to victims of sexual discrimination.", "58. Mr. Pokhrel (Nepal) said that the Government was finalizing the draft resolution on the elimination of harmful traditional practices and the protection of victims of such practices, which was expected to be adopted shortly. Nepal had undertaken a number of measures to promote gender equality, including a quota system, organizational measures and awareness-raising campaigns. Ensure 33 per cent representation of women in all government departments. In addition, legislation provides for the participation of women in budgeting and planning processes. In addition to the National Women ' s Commission established to enhance the protection of women ' s rights, a Women ' s Parliamentary Caucus had been established to consider all draft legislation relating to women ' s issues.", "59. Mr. Acharya (Nepal) said that rape had never been used as a weapon of war during the conflict in Nepal. For internally displaced persons and refugees, there are no identified cases of systematic sexual violence, with the exception of individual cases. The Government is ready to respond to specific complaints.", "60. Trafficking remained a major challenge in Nepal. The Government has made a number of institutional and policy changes and has regularly cooperated with NGOs to implement effective measures. Trafficking was more difficult to address because it was linked to other important issues, such as poverty and lack of education.", "61. Mr. Hari Poudyal (Nepal) said that the Government had taken a number of measures to address human trafficking, including the establishment of a regional commission to monitor all anti-trafficking measures and the adoption of the Trafficking in Persons (Control and Punishment) Act of 2008. The Supreme Court has also issued a number of directives aimed at combating the sexual exploitation of women and children. In 2010 alone, six regional training seminars on anti-trafficking have been held in different regions. An initiative to improve the national anti-trafficking action plan led to five regional seminars in 2011. Lastly, eight rehabilitation centres for victims of trafficking had been established with the help of non-governmental organizations.", "62. Mr. Acharya (Nepal) said that his country was working at the regional level with other countries and with international agencies, non-governmental organizations and community-based organizations to address the problem of trafficking and its cross-border effects. Turning to the question concerning the participation of businessmen and police officers in the operation of dance halls to facilitate prostitution, he said that the Government had dealt with one or two cases involving police officers at the lower secondary level, but there was no evidence that it was a systemic problem. In fact, by order of the Supreme Court, the Regional Administrator heads a committee composed of officials and representatives of non-governmental organizations, which supervises places such as dance halls. Persons who commit trafficking offences face imprisonment for up to 20 years. There is also a compensation mechanism for victims of trafficking.", "63. Turning to the issue of migrant workers, he said that all women who had left Nepal to work had received prior training. Efforts have been made to collect as much information as possible on women migrant workers, but data collection remains a major challenge. In areas where discriminatory practices had been identified, rehabilitation measures had been introduced and specific instructions had been given to rehabilitation centres to deal with migrant workers.", "64. Ms. Šimonović said that the status of international treaties in Nepal ' s new Constitution should be clarified. In addition, the delegation should indicate whether the Constitution would make specific reference to the principle of equality between men and women and the prohibition of discrimination. She asked whether cases of rape during the war were subject to the current 90-day statute of limitations for reporting and prosecuting cases of rape in general.", "65. Ms. Murillo de la Vega commended Nepal for the establishment of committees to raise awareness on gender-based violence, but said she regretted the lack of information in the periodic report on the number of convictions for crimes related to such crimes. Referring to the issue of trafficking, she said that the information before the Committee that some 33,000 women had disappeared without leaving any trace would be appreciated if details were provided in that regard. The delegation should also indicate the measures taken to prosecute trafficking suspects and networks and the number of trafficking-related convictions.", "66. Ms. Rasekh said that Nepal was to be commended for the establishment of committees and the adoption of an action plan to combat violence against women; however, real progress could be achieved only if the Government held those committees accountable and provided them with adequate resources and leadership. To ensure the implementation of the Convention and women ' s rights, it was particularly important to do so before the new Constitution was completed.", "67. Ms. Patten said that it was difficult to understand why the delegation had been unable to provide a clear answer to the inclusion of a discriminatory article 9 in the new Constitution at a time when the drafting of the new Constitution was under way. Referring to the delegation ' s comment that there was no information on systematic sexual violence against internally displaced persons and refugees, she asked whether there were any outstanding investigations into cases of such violence. It would also be useful to know whether women in such situations were encouraged to report sexual violence.", "68. Ms. Schulz asked whether there was any distinction between protection from discrimination by State actors and protection from discrimination by non-State actors. It would also be useful to know whether the Government intended to amend the legislation on complaints against natural persons and non-natural persons or at least to regulate the possible interpretation of such legislation.", "69. Ms. Gabr said that she would appreciate an answer to her question as to whether Nepal intended to ratify the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime, and the new International Labour Organization Convention on Decent Work for Domestic Workers, which was particularly important given the large number of migrant workers in Nepal.", "70. Mr. Acharya (Nepal) said that Nepalese law already provided for the implementation of international treaties as domestic law. There was therefore no need to mention the status of international treaties in the new Constitution. With regard to the principle of equality between men and women, the Interim Constitution contained a specific section on equality between men and women, although he could not assert that the new Constitution had a similar section, which seemed highly probable. Similarly, article 9 of the Constitution is still under consideration by the relevant parliamentary committees. On the issue of gender-based violence, while he believed that the ultimate impact on the ground should be an absolute priority, he said that the implementation process, including the establishment of relevant committees, was also crucial.", "71. The law provides protection against discrimination by both State and non-State actors. Although LGBT persons were not specifically mentioned, they also benefited from anti-discrimination legislation. Lastly, he said that the Government had begun discussing the Convention on Decent Work for Domestic Workers and would take a multi-stakeholder approach to the consideration of specific provisions.", "72. Mr. Pokhrel (Nepal) said that his country was working to establish a sound data collection system. Because the data provided by the police were unreliable, the Government wished to use the data collected by the 2011 census. Many ministries have been involved in developing indicators and data collection systems specifically for trafficking in women.", "73. Mr. Hari Poudyal said that in fiscal years 2006/07, 2007/2008, 2008/2009 and 2009/2010, the district courts had received 119, 120, 110 and 152 cases of human trafficking, respectively. The conviction rate fluctuated between 70.27 and 59.42 per cent over the same period. The Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children is in the process of ratification.", "74. Mr. Kédar Poudyal said that Nepal was fully aware of its obligation to implement the international conventions to which it was a party and to develop a legal system that complied with international standards. The current law reform is therefore based on the principles of equality and non-discrimination. Nepal was committed to promoting minority rights, including gender minorities, and to implementing non-discrimination laws. Everyone, regardless of sex, has the right to citizenship. Nepal had adopted a national plan of action to facilitate the implementation of universal periodic review recommendations. One of the initiatives set out in the action plan is the development of policies and legislation on the lesbian, gay, bisexual and transgender community to ensure the implementation of Supreme Court judgements on the civil rights of gender minorities. Lastly, the Ministry of Law and Justice recommended that the Government should ratify the new Convention on Decent Work for Domestic Workers; it was hoped that the Government would do so in the near future.", "75. Mr. Acharya (Nepal) said that an expert of the Committee had referred to the alleged disappearance of 33,000 women, which could be linked to the poor implementation of the 2001 census, in which heads of household sometimes claimed to be absent if they did not wish to reveal the whereabouts of family members. This may be for a number of reasons, but for women and girls who are not at home, being away does not mean being trafficked. The latest census, which was an improvement over the previous one, resulted from the collection of comprehensive information per household. The Government will therefore have more specific and disaggregated data in the future. Overall, institutional reforms are under way to correct the lack of data on trafficking and prostitution in cooperation with non-governmental organizations and law enforcement personnel.", "Articles 7 to 9", "76. Ms. Šimonović said that women ' s participation in politics was of particular importance in post-conflict situations. Noting that the quota system had led to a significant increase in the number of women parliamentarians in 2011, she asked why the total number of women in government had decreased since 2008. She would appreciate additional information on measures taken to ensure that women were more represented in the judiciary and the Supreme Court. She would also like to know more about the situation of indigenous women in politics and whether the State was considering introducing a quota system for them. Finally, it would be helpful to know what measures the Government was considering to achieve women ' s participation in all areas covered by Security Council resolution 1325 (2000).", "77. Ms. Bareiro-Bobadilla requested more information on the party quota system and other measures developed to develop women ' s leadership. She noted that not only was the current Minister of Women, Children and Social Welfare a man, but that the vast majority of the members of the delegation were men.", "Sex and asked how many women ministers and ambassadors Nepal had.", "78. Ms. Belmihoub-Zerdani, commending the Government for introducing a quota system for parliamentarians and ratifying the Convention without reservations, said that she would like more information on Dalit and Badi women, including whether they were represented in the 30 per cent quota for women parliamentarians. She would appreciate additional information on the number, if any, of women working in national human rights institutions, appointed judges or in local government.", "79. Ms. Hayashi commended Nepal for its achievements since its last constructive dialogue with the Committee and for its ratification of the Optional Protocol to the Convention. However, she was concerned about a draft article in the new Constitution, which provided that citizenship could be granted only if both parents were Nepalese citizens. Since the vast majority of children born in Nepal in transnational marriages cannot automatically acquire Nepali citizenship, they risk becoming stateless, as naturalization remains a matter for the State to decide on. The delegation should therefore indicate how many children had been naturalized under the new Citizenship Act.", "80. Noting that the Ministry of Foreign Affairs had issued certificates of citizenship to eligible persons in 2007, she said that thousands remained without access to key documents. In addition, other sources indicate that a married woman must obtain the consent of her husband or his family before applying for a certificate of citizenship. The delegation should explain how Nepal intended to ensure the effective acquisition of citizenship by foreign women.", "81. Mr. Acharya (Nepal) expressed surprise at the statement that women ' s representation in government had declined since 2008. On the contrary, Nepal has been making every effort to increase the proportion of women in all sectors, including those traditionally dominated by men, such as law enforcement or the military. With regard to reservations, he said that the reservations adopted with regard to women provided for competition among women for employment; there were also quotas for indigenous women in the reservations. Women can also compete with men for unreserved positions.", "The meeting rose at 1 p.m." ]

[ "第十七届会议", "牙买加金斯敦", "2011年7月11日至22日", "理事会与财务和预算事项有关的决定草案", "国际海底管理局理事会，", "考虑到财务委员会的建议，[1]", "建议国际海底管理局大会：", "(a) 敦促管理局成员按时全额缴付预算摊款；", "(b) 呼吁管理局成员尽快支付未缴纳的管理局往年预算摊款，请秘书长酌情继续努力收缴这些款额；", "(c) 大力鼓励各成员向管理局的捐赠基金和自愿信托基金提供自愿捐助，请秘书长就捐赠基金资本金的投资问题寻求专家意见并同联合国总部各有关当局协商；", "(d) 任命普华永道会计师事务所为2011和2012年独立审计员，并请审计人员在今后的报告中就管理局内部控制的效果发表意见；", "(e) 请财务委员会在其下一次会议上就采用国际公共部门会计准则一事进行审议并提出建议；", "(f) 请财务委员会在其下一次会议上就国际海底管理局是否应当签署国际公务员制度委员会章程一事进行审议并提出建议；", "(g) 授权秘书长从捐赠基金的应计利息中预付最多30 000美元来补贴自愿信托基金。", "[1] 见ISBA/17/A/3-ISBA/17/C/3。" ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decision of the Council relating to financial and budgetary matters", "The Council of the International Seabed Authority,", "Taking into account the recommendations of the Finance Committee,[1]", "Recommends that the Assembly of the International Seabed Authority:", "(a) Urge the members of the Authority to pay their assessed contributions to the budget on time and in full;", "(b) Appeal to the members of the Authority to pay outstanding contributions to the budget of the Authority from previous years as soon as possible and request the Secretary-General, at his discretion, to continue his efforts to recover those amounts;", "(c) Strongly encourage members to make voluntary contributions to the Endowment Fund and the Voluntary Trust Fund of the Authority and ask the Secretary-General to seek expert advice on the investment of the capital of the Endowment Fund and consult the relevant authorities at United Nations Headquarters;", "(d) Appoint PricewaterhouseCoopers as independent auditor for 2011 and 2012 and request the auditors to express, in future reports, an opinion on the effectiveness of the internal controls of the Authority;", "(e) Request the Finance Committee, at its next meeting, to consider and make recommendations on the adoption of the International Public Sector Accounting Standards;", "(f) Request the Finance Committee, at its next meeting, to consider and make recommendations on whether the International Seabed Authority should subscribe to the statute of the International Civil Service Commission;", "(g) Authorize the Secretary-General, to the extent necessary and on an exceptional basis, to make an advance payment of up to $30,000 from the interest accrued from the Endowment Fund to supplement the Voluntary Trust Fund.", "[1] See ISBA/17/A/3-ISBA/17/C/3." ]

[ "Seventeenth session", "Kingston, Jamaica", "11-22 July 2011", "Draft decisions of the Council relating to financial and budgetary matters", "The Council of the International Seabed Authority,", "Taking into account the recommendation of the Finance Committee, [1]", "Recommends that the Assembly of the International Seabed Authority:", "(a) Urge the members of the Authority to pay their assessed contributions to the budget on time and in full;", "(b) Call upon the members of the Authority to pay their outstanding contributions to the budget of the Authority for previous years as soon as possible, and request the Secretary-General to continue his efforts, as appropriate, to collect those amounts;", "(c) Strongly encouraged members to make voluntary contributions to the Endowment Fund and the Voluntary Trust Fund of the Authority, and requested the Secretary-General to seek expert advice on the investment of the capital of the Endowment Fund and to consult with relevant authorities at United Nations Headquarters;", "(d) To appoint PricewaterhouseCoopers as an independent auditor for 2011 and 2012, and to request the auditor to comment on the effectiveness of the internal controls of the Authority in future reports;", "(e) Requested the Finance Committee to consider and make recommendations on the adoption of IPSAS at its next meeting;", "(f) Requested the Finance Committee at its next meeting to consider and make recommendations on whether the International Seabed Authority should sign the statute of the International Civil Service Commission;", "(g) Authorize the Secretary-General to advance up to $30,000 from interest accrued from the Endowment Fund to subsidize the Voluntary Trust Fund.", "[1] See ISBA/17/A/3-ISBA/17/C/3." ]