FIFTH COMMITTEE TO COMMENCE CONSIDERATION OF HUMAN RESOURCES ON 1 NOVEMBER
Press Release
GA/AB/3398
FIFTH COMMITTEE TO COMMENCE CONSIDERATION OF HUMAN RESOURCES ON 1 NOVEMBER
20001031 Background ReleaseOn Wednesday, 1 November, the Fifth Committee (Administrative and Budgetary) is going to take up its agenda item on human resources management, which it considers in depth every second year.
Most recently, this detailed discussion of personnel and administrative issues took place during the fifty-third session of the General Assembly, and culminated in the adoption of resolution 53/221, which consists of 104 operative paragraphs. That multifaceted text covers numerous issues, including the principles of human resources management; human resources planning; the role of the Office of Human Resources Management; delegation of authority and accountability; recruitment and placement; staff development and performance management; composition of the Secretariat; and employment of retirees and contractors.
As 1999 was not a "personnel year", only certain aspects of human resources were raised at the fifty-fourth session. Among the questions discussed were the representation of women in the Secretariat; hiring of consultants and individual contractors; the decline in the number of posts at the P-2 level; a large number of resignations of junior- and mid-level Professional staff; and procedures for recruitment. Further discussion of some items was deferred to the fifty-fifth session of the Assembly, including the question of realignment of the so-called G to P examinations with the national competitive exams and possible removal of the concept of equitable geographical distribution as a factor in that alignment; and delegation of authority.
One of the recurring items is the contractual status of United Nations staff. Differences of opinion among Member States on that matter date back to the early years of the Organization. While some countries traditionally favoured a system of permanent contracts, the Soviet Union and its allies expressed preference for fixed-term appointments and the "secondment" (that is, "loan") to the United Nations of staff from national governments. Opposition to permanent contracts also came from new Member States seeking openings for their nationals. Some believe that permanent contracts present a barrier to the introduction of "new blood" and skills into the Organization. As a result of the financial crisis and staff cuts in the 1990s, the granting of new permanent contracts was virtually suspended, with the consequential increase in the number of staff serving on short- and fixed-term contracts.
In that connection, the Office of Human Resources Management (OHRM) has recently presented for discussion a proposal that would eliminate permanent contracts for new appointments (the contractual status of current holders of permanent appointments would remain unchanged), replacing them with a new
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"continuing contract", similar to the "indefinite" appointment under the existing Staff Rules. Staff holding such contracts would serve, subject to satisfactory performance, for as long as their services are needed. Where they are no longer required, the Organization would make every effort to identify alternative posts or, failing to do so, pay severance benefits aligned with those payable under current permanent contracts.
Only two other types of appointments would be granted for all functions: short-term, for up to six months; and fixed-term, with extensions up to a maximum total of five years. If the proposal is accepted, a one-time review of all fixed- term contract holders with at least five years of service will be conducted to determine whose contracts should be converted to "continuing" ones. All staff (except for short term) would join the Organization initially on a fixed-term appointment, with a specified term of up to five years which would serve as a probationary period.
Secretary-Generals Report on Human Resources Management Reform
This proposal is contained in the report of the Secretary-General on human resources management reform (document A/55/253), which is among numerous human resources documents before the Fifth Committee this year.
The report sets forth the goals of human resources management reform, provides information on the initiatives the Secretary-General has been developing under his own authority, and sets forth a number of proposals and provisions for consideration and approval by the General Assembly. The Secretary-General requests specific action from the Assembly in support of his initiatives with regard to recruitment, placement and promotion and mobility.
The document presents 10 integrated "building blocks" of human resources reform in the areas of human resources planning, streamlined rules and procedures, recruitment, placement and promotion, mobility, contractual arrangements, administration of justice, competencies and continuous learning, performance management, career development, and conditions of service. Dialogue between staff and managers has been among the Secretary-Generals priorities, and accountability mechanisms are of central importance for all aspects of human resources management, the report states. The proposals contained in the report seek to improve and simplify or supplement existing mechanisms, placing people at the centre of those efforts.
The report says that, until recently, corporate human resources objectives were defined globally, while the staff goals were managed at the department/office level. The goal now is to establish an integrated human resources planning system that specifies corporate objectives at the level of individual departments and offices. A Secretariat-wide human resources management information system (HRMIS) has been set up and is being further refined. Further progress will include a skills inventory of existing staff and longer-term planning.
Regarding recruitment, placement and promotion, the Secretary-General says that the existing process is complex, adequate planning is often absent, and decision-making is diffused, which leads to a lack of personal accountability on the part of managers. The process is not fully trusted by staff, and managers find it paper-intensive. Under the new system, posts will be filled within a maximum of 120 days (the present average is 275 days) and managers will be held accountable for making selection decisions based on objective criteria. Among other elements of the proposal are the development of a roster of qualified candidates, advance preparation of evaluation criteria, and replacement of the current candidate by a review of processes by a central review body, composed of management and staff.
The report also says that the new system will facilitate both lateral (placement) and vertical (promotion) mobility throughout the Secretariat. It will provide opportunities for staff, based on merit, with respect to the principles of geographical representation and gender balance. Proposals for a new recruitment, placement and promotion process are not radical, however. Rather, they are more of the nature of rationalizing the existing approaches. They also incorporate such elements as establishment of a global electronic job bank, which will allow recruitment to be initiated in advance of an expected vacancy date.
The report goes on to say that the key proposal to entrust programme managers with final responsibility for the selection of candidates has been a source of considerable concern. It is essential to increase accountability, which would involve putting several internal monitoring and training mechanisms in place. Programme managers' decisions would be subject to confirmation by central review bodies, consisting of an equal number of members designated by the management and staff. They would oversee the process at duty stations, verifying the evaluation criteria and compliance with the process. Problematic cases would be referred to the Assistant Secretary-General for Human Resources Management or to the Under-Secretary-General for Management -- depending on the category and grade level concerned -- who would suspend cases or require corrective action if the facts of the case so warranted.
To implement the proposals of the Secretary-General in this area, no change is needed in the Staff Regulations, but Staff Rule 104.14 would need to be revised, the report states. Under the revised rule, three central review bodies would be established -- a Board, a Committee and a Panel -- which would advise the Secretary-General on appointments and promotion of staff (with some exceptions) and review personnel decisions.
Improving the mobility of staff requires providing the Organization with mechanisms to move people between functions, departments, occupational groups and duty stations, providing them with varied career opportunities. This implies creation of occupation networks among departments, time-limited post occupancy, mission service and the encouragement of lateral mobility. Some of the proposals under consideration envision recognition of promotion obtained while on secondment upon return to the parent organization, and reciprocal recognition of service in participating organizations. A Participating Agencies Mobility System is already in place -- a central Web site to record individual staff experience, as well as skills of their spouses. Only minor amendments to the Staff Rules would be necessary to implement the Secretary-General's proposals in this respect.
The report further states that human resources reform proposals are predicated on a strong central role for the OHRM. Improvements in management imply major changes in the future role of that Office. In principle, departments will undertake all day-to-day personnel administration, and while providing more professional human resources services, the Office will cease duplicating work already done in other offices without adding to the workload on either side.
Secretary-Generals Report on Accountability and Responsibility
A separate report of the Secretary-General on the subject of accountability and responsibility (document A/55/270) describes efforts to establish a comprehensive system of accountability as part of the reform process. The Organization now has at its disposal such means as legal instruments and guidance and a set of mandates, rules and regulations, as well as the Performance Appraisal System (PAS), the internal justice system and the oversight bodies. To ensure accountability, it is important to: specify responsibility and results to be achieved; provide guidance and support to staff; monitor authority; and take appropriate action. Four steps for ensuring accountability are contained in Annex I to the document, and Annex II presents the chain of accountability within the Organization.
According to the document, measures to ensure that increased managerial authority is accompanied by a commensurate strengthening of accountability include: performance management plans for department heads; strengthened monitoring by the Department of Management and the Office of Internal Oversight Services; and creation of an Accountability Panel.
Beginning in February 2000, the Secretary-General has put in effect a new instrument that requires the heads of department to define clearly the goals and results they seek to achieve. Called the performance management plan, this is a compact for the most senior managers which is directly linked to Member States' mandates, as set out in the medium-term plan. Through an annual review process, guidance and feedback on previous achievements and new objectives, this will allow comparison of actual performance to the indicators established in the previous year.
Further, according to the report, in 1995 a new PAS was introduced. The key feature of this system is the mutual agreement by a staff member and a manager on work objectives and associated performance indicators, which are used to measure whether the objectives have been achieved. It also includes ongoing feedback, staff development and appraisal of performance. The PAS establishes a process for achieving responsibility and accountability in the execution of programmes approved by the General Assembly. It is applicable at all levels.
Monitoring of programme performance is the responsibility of the heads of department, line managers and the Office of Internal Oversight Services. In order to strengthen monitoring at the most senior level, an additional mechanism has been established in the form of the Accountability Panel, which is chaired by the Deputy Secretary-General and comprises up to four Under-Secretaries-General. The Panel meets annually or on an ad hoc basis to review the exercise of managerial authority and recommend to the Secretary-General actions required to remedy systemic managerial weaknesses.
Furthermore, extensive consultations with staff have been completed on the subject of accountability. Amended staff rules and regulations came into effect on 1 January 1999. By its resolution 53/207 of December 1998, the General Assembly adopted revised regulations governing programme planning, programme aspects of the budget, monitoring of implementation and methods of evaluation. Associated revised rules have been issued and are effective from 1 May 2000.
Also according to the report, to ensure coordination at the senior level, in 1997 the Secretary-General created the Senior Management Group comprising heads of Secretariat departments and United Nations funds and programmes. He also created four executive committees in the areas of peace and security, development, humanitarian affairs and economic and social issues. The Advisory Panel on Management and Finance has been superseded by the Steering Committee on Reform and Management, which aims to ensure effective coordination of issues relating to the reform and management policy. To improve coordination at the field level, the United Nations Development Assistance Framework (UNDAF) has been formed.
Systems have also been developed to facilitate monitoring of programme delivery. The Integrated Monitoring and Documentation Information System (IMDIS) is an Intranet-based programme, which strengthens accountability by providing regularly updated records regarding the work of those responsible. A training programme has been made mandatory for all staff at the D-1 and D-2 levels, as well as for all P-4 and P-5 staff with supervisory responsibilities. Training is also offered on human and financial resources management.
Secretary-Generals Report on Developments in Post Structure of Secretariat
Also before the Committee will be a report of the Secretary-General (document A/53/955) on the developments in the post structure of the Secretariat over the past 10 years, on the forward-looking human resource management policy to be developed in the short and medium term to rejuvenate the Organization, and on the impact that such a policy should have on developments in post structure in the future. Information on the number of authorized (established and temporary) posts for the past five biennia is presented in a table annexed to the document.
The Secretary-General states that the post structure of the Secretariat is directly linked to the functions of its various entities. New posts are proposed only on a highly selective basis by the Secretary-General at the time of the presentation of the proposed programme budget. From 1988 to 1999, the total number of authorized posts in the Secretariat decreased by 1,155 (11.7 per cent). The number of posts in the Professional and higher categories declined by 216 (5.6 per cent). Over the same period, the number of posts in the General Service and related categories dropped by 939 (15.5 per cent).
According to the report, the number of posts at the level of Under- Secretary-General has remained relatively constant, whereas the number of Assistant Secretary-General posts has declined by 18 per cent. The number of D-2 posts has dropped by 12 per cent, D-1 posts by 5 per cent, P-4 posts by 4 per cent, P-3 posts by 1.5 per cent and P-2/1 posts by 23 per cent. The number of P-5 posts has increased by 0.6 per cent. There was a particularly pronounced reduction in the number of overall posts during the biennium 1998-1999.
In the Professional and higher categories, the reduction since last biennium was 343 posts. In the General Service and related categories, the number of posts has decreased during the two latest biennia by 1,204. The ratio between posts in the Professional and the General Service categories has not altered significantly over the past decade. Within the Professional and higher categories, during the biennium 1988-1989, the ratio of P-1 to P-3 staff, compared with the total, was 42 to 58 per cent, compared with 41 to 59 per cent during the biennium 1998-1999. The ratio of staff at the Director level to the overall total similarly showed little change.
The Secretary-General concludes that each department/office must be viewed as a separate entity to ensure that the requisite resources are available to programme managers. The detailed elements of the mandates for each department/office determine the number of posts at each grade. The post structure thus reflects programme decisions. The Department of Management is analysing human resources trends and monitoring changes in the post structure within specific departments/offices in order to forecast vacancies and identify losses through retirement and other forms of attrition.
Secretary-Generals Note on Personnel Practices and Policies
According to the note by the Secretary-General on personnel practices and policies (document A/C.5/54/21), the Secretariat would require more experience with implementation of the most recent resolution in human resources management -- resolution 53/221 -- before presenting an analysis of it. The Secretariat is currently working on simplification of complex personnel regulations, development of a new recruitment and placement procedure, and mechanisms to expedite the mobility of staff.
Several issues can already be noted in connection with the implementation of resolution 53/221, the Secretary-General says. More flexibility is needed in conducting P-3 examinations, which may impede career possibilities for staff at the P-2 level. There is also an inconsistency between the requests to make existing recruitment procedures more timely and to double the time for circulation of vacancy announcements. The Secretary-General notes that the lack of flexibility in assigning staff (sect. II, para. 5, of resolution 51/226 links his discretionary power of appointment and promotion to staff for his Executive Office and those at the Under-Secretary-General and Assistant Secretary-General level) hinders the development of managed reassignment systems for junior staff. He also addresses the question of equitable geographic distribution as a factor in the G to P examinations.
Secretary-Generals Report on Amendments to Staff Rules
The Committee also has before it a report of the Secretary-General containing the full text of amendments to the Staff Rules (document A/55/168), which the Secretary-General proposes to implement as of January 2001. The changes to some rules of the 100 and 200 series are proposed to simplify provisions and clarify their application; the rationale for other amendments is of a technical nature.
Secretary-Generals Note on Administrative Issuances on Delegation of Authority
On the same aspect of human resources management, the Committee has before it a note by the Secretary-General containing administrative issuances on delegation of authority (document A/54/257), submitted in response to the General Assembly's request for a consolidated and comprehensive compendium of all administrative circulars on that matter. The list does not include circulars on delegation of authority with respect to programmes, the management of funds, assets, procurement matters, or administrative arrangements concluded between the United Nations and treaty organs. It contains attachments on the administration of the 100, 200 and 300 series of the Staff Rules and on additional delegations of authority.
Secretary-Generals Reports on Composition of Secretariat
The Committee also has before it two reports of the Secretary-General on the composition of the Secretariat (documents A/54/279 and Corr.1 and A/55/427), which contain information on changes in the numbers of the various nationalities of staff, and analyse the main characteristics of the staff of the Secretariat, as well as the results of an inventory of staff skills.
According to the first of those reports, as of 30 June 1999, the total number of staff of the United Nations who held appointments of one year or more was 32,856, with 14,319 people assigned to the Secretariat and 18,537 to other entities of the United Nations. A more limited group of 2,410 has been recruited under the system of desirable ranges, referred to as staff in posts subject to geographical distribution.
The number of States not represented at the Secretariat (24) had not changed since June 1998: Andorra, Azerbaijan, Bahrain, Bosnia and Herzegovina, Brunei Darussalam, Federated States of Micronesia, Guinea-Bissau, Kuwait, Kyrgyzstan, Lao Peoples Democratic Republic, Liechtenstein, Maldives, Marshall Islands, Monaco, Mozambique, Palau, Republic of Moldova, San Marino, Sao Tome and Principe, Solomon Islands, Tajikistan, Turkmenistan, Uzbekistan, and Vanuatu.
Thirteen Member States were under-represented, compared with 10 in June 1998: China, Democratic Peoples Republic of Korea, Denmark, Germany, Indonesia, Italy, Japan, Kazakhstan, Norway, Portugal, Saudi Arabia, Slovenia, and the United Arab Emirates. Thirteen countries were over-represented (the same number as in 1998): Cameroon, Canada, Chile, Ethiopia, India, Pakistan, Peru, Philippines, Poland, Russian Federation, Thailand, Trinidad and Tobago, and Ukraine. All other Member States were within range. On the question of gender distribution, the report notes that during the period 1 July 1995 to 30 June 1999, the number of female staff members at the D-1 grade and above went up from 57 to 92 -- an increase of 61.4 per cent.
According to this year's report, as of 30 June 2000, the total number of staff of the United Nations who held appointments of one year or more was 33,049. Of this total, 13,164 staff were assigned to the Secretariat and 19,885 to other entities of the United Nations. Within this 33,049, those staff in posts subject to geographical distribution numbered 2,389.
This year, 21 Member States (including the three newly admitted Member States of Kiribati, Nauru and Tonga) were unrepresented (compared with 24 in June 1999): Andorra, Bahrain, Brunei Darussalam, Guinea-Bissau, Kiribati, Kyrgyzstan, Liechtenstein, Marshall Islands, Monaco, Nauru, Palau, Republic of Moldova, Samoa, San Marino, Sao Tome and Principe, Tajikistan, Tonga, Turkmenistan, United Arab Emirates, Uzbekistan, and Vanuatu.
Eight Member States were under-represented compared with 13 in June 1999: Denmark, Germany, Indonesia, Japan, Kazakhstan, Kuwait, Norway, Saudi Arabia. Fourteen countries were over-represented (one more than in June 1998): Cameroon, Chile, Egypt, Ethiopia, India, Lebanon, Pakistan, Peru, Philippines, Russian Federation, Senegal, Thailand, Ukraine, and Venezuela. All other Member States were within range.
On the question of gender distribution, the report notes that during the period 1 July 1996 to 30 June 2000, the number of female staff members at the D-1 grade and above went up from 59 to 95 -- an increase of 62.1 per cent.
The report also explains that during its fifty-third session, the Assembly requested the Secretary-General to determine whether racial discrimination existed in the recruitment, promotion and placement process. Upon review of the question, a working group composed of representatives of staff and management found that it was problematic to establish the parameters of such an exercise, for the Secretariat does not record the "race" of staff members. That makes it impossible for the Secretariat to generate meaningful statistics based on race. Nationality could not be used as the basis for such a review of career progression patterns, as staff members of the same nationality might be of different ethnic or racial backgrounds.
Annexed to both reports are tables containing figures for staff in a number of categories; appointments to posts subject to geographical distribution and those with special language requirements by nationality, grade and gender; staff in the Professional and higher categories appointed for mission service, by nationality, grade and gender; desirable range and distribution for staff in posts subject to geographical distribution and actual and weighted staff position; and gender distribution of staff in the United Nations Secretariat, by department or office and grade, as of 30 June 1999 and 2000, respectively.
Secretary-Generals Reports Containing Lists of Secretariat Staff
The Committee also has before it two reports by the Secretary-General containing lists of the staff of the United Nations Secretariat (documents A/C.5/54/L.3 and A/C.5/55/L.3), showing, by office, department and organizational element, name, functional title, nationality and grade of all staff members, holding an appointment of one year or more as at 1 July, for the latest two respective years.
Secretary-Generals Note on G to P Examination
In his note on the competitive examination for promotion to the Professional category (document A/C.5/54/2), the Secretary-General states that the G to P examination has been brought into broad alignment with the national competitive examination, as requested by relevant General Assembly resolutions. The same examination is offered to all candidates, all of whom must possess a university degree in an area related to the subject of the examination. In view of the fact that the objectives of the two differ, the upper age-limit for a candidate sitting for the national competitive examination is 32, while candidates for the G to P examination must have five years of experience with the United Nations, but no age criterion apply.
According to the document, the Assistant Secretary-General for Human Resources Management drew attention of the General Assembly to the implications of the inclusion of the concept of equitable geographical distribution in the administration of the exam. Grave concern about implications of that change was expressed by over 1,000 staff in a letter to the Secretary-General and repeated at the annual global Staff-Management Coordination Committee meeting in July.
Pending Assembly consideration, the Assistant Secretary-General for Human Resources Management informed staff that all eligible candidates would be allowed to take the examination, but the results, including the marking of the papers of nationals of over-represented countries, would be subject to the outcome of the review of the issue by the Assembly. In view of expressed concerns, the Secretary-General asks the Assembly to reconsider the issue removing the concept of equitable geographical distribution as a factor in the alignment of the examinations.
ACABQ Report on Human Resources Management
The report of the Advisory Committee on Administrative and Budgetary Questions (ACABQ) on human resources management (document A/54/450), contains that bodys views on some of the following subjects it considered: the competitive examination for promotion to the Professional category; the use of consultants and individual contractors in the Secretariat; administrative issuances on delegation of authority; and amendments to the Staff Regulations.
On the first of these, the ACABQ recommends that the General Assembly provide a policy decision on whether the G to P examination is a recruitment or a promotion exercise. That, in turn, could lead to a decision on whether to abolish the G to P examination, with all eligible applicants for Professional posts taking the national competitive examination.
The Advisory Committee also says the presentation of expenditures for consultants and individual contractors needs refinement. It is necessary to improve the method of accounting for costs and their classification between extra- budgetary and regular budget funding. Also, the definitions of consultants and individual contractors are too broad, and the definition of individual contractors, in particular, includes arrangements that might better be described as outsourcing. The ACABQ also says that there is an urgent need to simplify and streamline the rules for delegation of authority.
ACABQ Report on Human Resources Management Reform
In its report on human resources management reform, accountability and responsibility, personnel practices and management irregularities (document A/55/499), the ACABQ notes with satisfaction the improvement in the format of the report on human resources management reform, which is, in general, much clearer and better focused than previous ones.
Regarding the departmental action plan in human resources and other human resources planning issues, the ACABQ recommends that the reporting/planning period be reviewed in the light of experience, given the overall responsibilities of programme managers for reporting on finance, programme and personnel matters. It further notes that the unprecedented number of vacancies presents an opportunity
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for rejuvenating the Organization and retaining younger staff, and stresses the importance of giving priority to this issue.
According to this report, full development of HRMIS should receive priority, as many proposed reforms are dependent on the dissemination of information throughout the system. It recommends that the Secretariat consider measures to maximize staff response to the questionnaire used for compiling the new skills inventory, as the rate of response has been fairly low during phase I of that exercise. The Advisory Committee also expects that concrete steps will be taken to produce identifiable results in streamlining existing rules and procedures.
The report contains detailed information on the proposed system of recruitment, placement and promotion as compared with the current one. The ACABQ welcomes efforts to promote mobility of staff in the P-3 to D-2 levels, stating that due consideration should be given to the importance of institutional memory and expertise, which, however, should not impede staff mobility. Staff members requested by the Organization to remain on mission assignment longer than two years should retain the guarantees they had prior to that extension.
The ACABQ has requested additional information on contractual arrangements, as it believes that the differences between the permanent contract and the proposed continuing contract have not been adequately explained. It is also concerned about the practice of offering 11-month contracts, which are frequently renewed after a break of one month. The issuance of 11-month contracts should be discontinued and strict controls should be put in place to prevent future misuse of general temporary assistance funds.
Further, according to the report, a competitive package of conditions of service is essential for the success of the goals set out in the report of the Secretary-General. This should be fully taken into account when the proposals of the International Civil Service Commission (ICSC) are considered by the General Assembly. The proposal to remove operational and transactional processes from the OHRM and give them to programme managers is timely, and the ACABQ urges the Secretary-General to move forward with this as expeditiously as possible.
Commenting on the report of the Secretary-General on accountability and responsibility (document A/55/270), the ACABQ states that a fifth element should be added to the four proposed steps to ensure accountability. That should be access to an impartial, fair system of internal administration of justice. An efficient system for the administration of justice, as well as a comprehensive system of accountability, will be key to the success of the procedures outlined by the Secretary-General.
Joint Inspection Unit Report on Administration of Justice
A report of the Joint Inspection Unit (JIU) on the administration of justice at the United Nations (document A/55/57) describes the system of administration of justice in the Organization and its subsidiary bodies and formulates proposals aiming at reforming it. Annex I of the report illustrates the options open to the staff contesting administrative decisions. Annex II shows the workload of the appellate bodies at various duty stations. Finally, Annex III contains lists of the organizations recognizing the jurisdiction of the Administrative Tribunal.
According to the report, the administration of justice at the United Nations is slow, costly and cumbersome. It also appears to be less effective than it could or should be. The issue demands further consideration from a global, system-wide perspective, particularly as regards the highest instances of appeal in respect of decisions of the lower judicial and semi-judicial bodies.
The first stage of administration of justice at the United Nations takes place before internal bodies, whose role is advisory only, the report notes. The second stage, before the Administrative Tribunal, provides binding decisions. The Inspectors note that a comparatively high proportion of all recommendations -- including unanimous ones -- are rejected by the Administration. The present flaws in the justice system at the United Nations are compounded by the fact that international civil service is not subject to any domestic legal system and may fail to benefit from the most dynamic labour legislation developments. Such important international instruments as the Universal Declaration of Human Rights and the two Human Rights Covenants are not incorporated into the United Nations internal regulations.
Four major issues identified by the Inspectors are the need to enhance informal conciliation and mediation prior to formalized procedures and to ensure independence of the Secretariats of the Joint Appeals Board), the Joint Disciplinary Committee, and the Administrative Tribunal. Other important questions involve establishment of a higher recourse instance in respect of Administrative Tribunal decisions involving the Charter and other constitutional issues; and the need for proper legal advice and representation for staff who are at a disadvantage compared with the Administration.
The Inspectors recommend creation of an office for settlement of disputes and administration of justice, which should encompass all units at present concerned with that issue. It should report directly to the Executive Office of the Secretary-General and include an ombudsman function. The ombudsman should be an independent senior official appointed by the Secretary-General in consultation with staff representatives. The Statute of the Administrative Tribunal should be amended to eliminate restrictions on the Tribunal's authority. That body should have power to order the rescinding of a contested decision and decide on the appropriate amount of compensation to be paid. To overcome the backlog of cases, the secretariat of the Administrative Tribunal should be strengthened by the addition of a post of Deputy Secretary.
The JIU also recommends publishing annual reports on cases heard, containing general statistics on the disposition of cases. The feasibility of holding oral hearings before all United Nations appellate bodies should be further studied. The report also recommends increased use of information technology, including video conferencing. Further consideration should be given to reviving the advisory function of the International Court of Justice in the internal recourse procedure. Proper legal advice should be available to staff members.
Secretary-Generals Note Transmitting JIU Report
Also before the Committee is a note by the Secretary-General transmitting the report of the JIU on the administration of justice at the United Nations (document A/55/57/Add.1). Responding to the Inspectors reference to international instruments not incorporated in the United Nations internal regulations, the Secretary-General says that the issue of applicable legislation is distinct from the machinery of administration of justice. The instruments mentioned in the report are applicable only to the States that have ratified them and not to any intergovernmental organizations. He believes, however, that all relevant basic labour standards enshrined in the Universal Declaration of Human Rights are fully reflected in the United Nations staff conditions of service.
Regarding the JIU recommendation that a new office for the administration of justice be created, the Secretary-General says that the suggestion lacks clarity in respect to the lines of authority between the different units within the new office and does not indicate who would be taking the final decision on appeals. Further clarification is needed on how the change would improve the current system.
Regarding the creation of a high-level post for an ombudsman function, the Secretary-General concludes that this could be an effective means of strengthening the informal mediation process in the United Nations. Following an assessment of the precise responsibilities, level and operational requirements of the proposed post, he would ask the General Assembly to establish and finance that post.
Concerning the United Nations Administrative Tribunal, the report says that acceptance of the Inspectors recommendation would seriously restrict the Secretary-General's authority as chief administrative officer of the United Nations. The matter would require consideration by the Assembly for subsequent amendment of the statue of the Tribunal.
On the recommendation to replace the present Joint Disciplinary Committee with a Committee on Professional Responsibility, the Secretary-General says that it is not clear why the JIU calls for greater emphasis on the ethical aspects of cases submitted to the Committee. The mandate of the Joint Disciplinary Committee is to advise the Secretary-General on disciplinary, not ethical, matters. Also, the Staff Regulations and Rules provide the basis for determining whether there has been any misconduct. There may be financial implications resulting from the implementation of this recommendation.
ACABQ Report on Administration of Justice
According to the report of the ACABQ on the administration of justice in the United Nations (document A/55/514), the ACABQ agrees with the Joint Inspection Unit on the need for the secretariat of the Administrative Tribunal to be independent. However, its recommendation does not really solve the problem of independence. In view of that, the ACABQ believes that the Secretary-General should revisit the issue in the future. The Advisory Committee has requested the comments and observations of the Administrative Tribunal on the matter, which will be transmitted to the Fifth Committee.
The ACABQ further welcomes the proposal to establish an ombudsman mechanism, which would replace the panels on discrimination and other grievances, and strengthen the informal mediation process. The ACABQ is also of the opinion that the inability of the Administrative Tribunal to order specific performance and to decide on the amount of compensation to be paid seriously limits the staffs right of redress. The time has come to consider closing this gap. It adds that the Secretary-General should make such staffing proposals as he considers necessary to the General Assembly in the context of the proposed programme budget for 2002- 2003.
The ACABQ welcomes the proposal to offer basic legal courses to new members of the Joint Appeals Board and the Committee on Professional Responsibility. As for the revival of the advisory function of the International Court of Justice, the Committee has serious doubts regarding the appropriateness of involving it in staff disputes.
Oversight Office Report on Investigation of Education Grant Entitlement
In his note transmitting a report of the Office of Internal Oversight Services on the proactive investigation of the education grant entitlement (document A/55/352), the Secretary-General takes note of the findings on the matter, remarking on the potential for fraud in the application of the education grant. He says that the claimant should bear total responsibility for the veracity of his or her declaration and welcomes the recommendation to simplify the payment of the entitlement and minimize the risk of violations in that area.
According to the Oversight Office report, of the 16 reports of alleged fraud between 1995 and 1999, 10 were substantiated and four active ongoing cases. In two cases, staff members involved were completely cleared of charges. As a result of investigation of the substantiated cases, five staff members were terminated, three became the subject of administrative or disciplinary action, and two staff members resigned.
The report further states that during 1998, more than 1,300 staff members based at United Nations Headquarters (including staff on mission) submitted education grant claims for approximately 3,300 dependants. Total payments for the education grant exceeded $25 million, the average annual payment being approximately $19,000 per staff member. Most of these claims, which the Office of Internal Oversight Services did not examine, are likely to be genuine. The Office has sought to determine the weaknesses that allowed the identified cases of fraud to occur.
The report also contains information on the cases of fraud in education grant submissions. The amount involved in the substantiated cases averages $26,500 per case, but in one case it was over $69,000. The Office of Internal Oversight Services notes that in its current form, the administration of the education grant benefit is cumbersome, prone to error and open to opportunistic behaviour. The report recommends corrective measures to lessen the risk of fraud.
In particular, the Oversight Office recommends that serious consideration be given to providing the education grant on a lump-sum basis for each country involved. This option would reduce the processing costs and allow more time to spot-check for fraud. Another recommendation involves centralized processing of grants at each duty station. The requirement for proof of qualification for instructors in the mother tongue should be strengthened, and the rule permitting staff members to receive a special education grant should be further examined, the report states.
Secretary-Generals Note on Follow-up Audit of Recruitment Process
Another document before the Committee is a note by the Secretary-General on the follow-up audit of the recruitment process in the Office of Human Resources Management (document A/55/397). According to this text, in the three years since the Office of Internal Oversight Services issued its management audit report on recruitment, numerous task forces, newsletters, Staff Management Coordination Committee meetings and reform initiatives have been devoted to improving the recruitment process. In April 2000, a reform proposal was submitted by the OHRM to the Staff Management Consultative Committee.
While the original audit focused mainly on administrative aspects, the current document assesses progress in the Organizations recruitment process. On the positive side, the OHRM has created departmental action plans, sustained by newly developed human resources indicators. It has also reduced recruitment time by one third. Management of the national competitive examination programme has improved, and the roster has been updated, which increased the number of candidates recruited. Other actions include elimination of requirements for pre- review letters and collateral reviews, and introduction of a system to monitor the recruitment process. Core values and competencies have been included in vacancy announcements and interview processes.
The report further states that now that many initiatives have been developed, the OHRM needs to establish a strategic plan that would integrate them under a single umbrella. An increased number of retirements expected over the next few years makes this type of planning even more urgent. To date, the OHRMs emphasis has been on the process itself, including administrative rule changes and the creation of databases. From a policy perspective, the Office needs to determine its management and recruitment goals and accomplish them in line with departmental business plans.
Specific actions to improve the recruitment process should include: operational guidance to achieve geographic distribution and gender balance; individual recruitment approaches; benchmarks for recruitment monitoring; in-depth analysis of human resources statistics as a basis for strategic planning; ensuring operational efficiency and effectiveness, particularly regarding vacancy announcement circulation and roster management; and evaluation of the effectiveness of the national competitive examination programme.
Regarding national competitive examinations, the report says that despite certain improvements in that area, some managers are still reluctant to recruit these candidates, leaving many P-2 posts vacant. As of 31 December 1999, of the 444 regular budget P-2/1 posts, 57 (13 per cent) were vacant. Only 73 candidates were recruited under the national competitive examination in 1999. The Examinations and Tests Section is planning an extensive review of the effectiveness of the national exam process. The Oversight Office supports this effort and reiterates the importance of assessing programme managers' needs to better identify their expectations of the programme.
The report also includes a preliminary assessment of the recent proposal on recruitment, promotion and placement, which had not progressed beyond the conceptual framework status at the time of the audit. Although many of the necessary operational details governing the process had not yet been developed at the time of the audit, the Oversight Office supported the proposal and encouraged the Office of Human Resources Management to actively pursue its adoption.
Secretary-Generals Follow-up Report on Management Irregularities
And the last document for consideration on Wednesday is the Secretary- General's follow-up report on management irregularities causing financial losses to the Organization (document A/54/793), which outlines procedures developed for determining gross negligence and for the effective implementation of Staff Rule 112.3 on financial recovery.
According to the United Nations Administrative Tribunal, "Gross negligence involves an extreme and reckless failure to act as a reasonable person would with respect to a reasonably foreseeable risk." It has been the policy of the United Nations since 1969 that proof of gross negligence or wilful misconduct is required to justify a staff member being held accountable for losses to the Organization.
Implementation of Staff Rule 112.3, as called for by the Assembly, must ensure that due process rights of staff members will be protected, the report notes. This would generally require at least notifying the staff member of the allegation and providing an opportunity to rebut it. The Secretary-General is developing procedures necessary for the application of the rule, including those for preliminary fact-finding, notifying the staff member, rebuttal of the allegation, and referral to an advisory body which would make a recommendation on the alleged gross negligence and possible restitution to the Secretary-General.
The Secretary-General considers that preliminary investigation of allegations should be conducted by heads of departments, with legal guidance from the OHRM and the Office of Legal Affairs if necessary. Another body that may be asked to conduct a preliminary investigation is the Office of Internal Oversight Services. Following the investigation, they would report whether the allegation appeared to be substantiated (including the amount involved) and whether proceedings for recovery should be instituted. Allegations of misconduct could be considered in the course of the same proceedings.
Based on this report, the Secretary-General will consider appropriate action. When evidence indicates gross negligence, the Secretary-General could refer the case to the Joint Disciplinary Committee or another body. The mandate of the Joint Disciplinary Committee should be expanded to address such cases, and its membership expanded on a case-by-case basis to take account of the level of the staff members concerned. An experienced legal officer would participate in its deliberations on an ex-officio basis to guide members.
When financial losses result from loss of property, cases are referred to the Local Property Survey Board and, if required, to the Headquarters Property Survey Board, the report notes. The criteria and guidelines for determining gross negligence resulting in property losses have been established. The Secretary- General states that property losses are not necessarily related to "management irregularities". However, it appears that existing mechanisms for assessing financial liability for property losses are functioning satisfactorily.
Regarding the feasibility of recovery from pension benefits, the report says that previously such attempts were rejected by the United Nations Administrative
Tribunal, which held that the United Nations Joint Staff Pension Fund regulations precluded such recovery. Unless the United Nations Joint Staff Pension Board recommends and the General Assembly approves an amendment to the Fund's Regulations, such recovery procedures are not feasible, although individual consensual arrangements have been made to recover from pension benefits.
Risk factors that might expose the Organization to management irregularities include unclear procedures and guidelines and inadequate segregation of duties, as well as a lack of management monitoring, training, adequate security arrangements and adequate supervision, the report notes. Management monitoring is central to prevention, assessment and correction of such irregularities.
The Secretary-General has taken measures to improve internal controls, by employing strengthened budgetary and accounting controls, publication of the Guidelines for Internal Control Standards, revision of article I of the Staff Regulations and chapter I of the 100 Series of the Staff Rules, streamlining human resources rules and procedures, and updating the 1954 Standards of Conduct in the International Civil Service.
The Secretary-General has also taken a comprehensive approach to enhancing accountability at all levels of the Secretariat, the report notes. Other recent developments include more effective management monitoring (oversight) and performance systems, the establishment of the Office of Internal Oversight Services, the defining of the Organization's core values and competencies, and management training.
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