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议程项目 148：刑事法庭余留事项国际处理机制经费的筹措(续)(A/C.5/71/L.23) | Agenda item 148: Financing of the International Residual Mechanism for Criminal Tribunals (continued) (A/C.5/71/L.23) |
决议草案 A/C.5/71/L.23：为刑事法庭余留事项国际处理机制阿鲁沙分支修建新设施 | Draft resolution A/C.5/71/L.23: Construction of a new facility for the International Residual Mechanism for Criminal Tribunals, Arusha branch |
5. 决议草案 A/A/C.5/71/L.23 获得通过。 | 5. Draft resolution A/C.5/71/L.23 was adopted. |
议程项目 133：审查联合国行政和财政业务效率(续)(A/C.5/71/L.24 和 A/C.5/71/L.28) | Agenda item 133: Review of the efficiency of the administrative and financial functioning of the United Nations (continued) (A/C.5/71/L.24 and A/C.5/71/L.28) |
决议草案 A/C.5/71/L.24：加强联合国秘书处内问责制方面的进展 | Draft resolution A/C.5/71/L.24: Progress towards an accountability system in the United Nations Secretariat |
6. 决议草案 A/C.5/71/L.24 获得通过。 | 6. Draft resolution A/C.5/71/L.24 was adopted. |
决定草案 A/C.5/71/L.28：推迟到以后审议的问题 | Draft decision A/C.5/71/L.28: Questions deferred for future consideration |
7. 决定草案 A/C.5/71/L.28 获得通过。 | 7. Draft decision A/C.5/71/L.28 was adopted. |
完成第五委员会在大会第七十一届会议续会第一期会议的工作 | Completion of the work of the Fifth Committee at the first part of the resumed seventy-first session of the General Assembly |
8. Pereira Sotomayor 女士(厄瓜多尔)代表 77 国集团和中国发言，感谢行预咨委会不懈地作出建设性努力，在分配的时限内完成工作方案。她相信，所有代表团都将努力确保，第七十一届会议续会第一期会议期间不分昼夜的非正式磋商不会成为行预咨委会的典型工作方法。 | 8. Ms. Pereira Sotomayor (Ecuador), speaking on behalf of the Group of 77 and China, expressed her gratitude to the Committee for working tirelessly and constructively to complete its programme of work within the time frame allotted. She trusted that all delegations would work to ensure that the late evenings and early mornings that had characterized the informal consultations at the first part of the resumed seventy-first session did not become typical of the Committee’s working methods. |
9. 她赞赏地注意到本届会议就所有议程项目达成共识，欢迎在审议过程中体现的公开和透明精神。 | 9. She noted with appreciation the consensus reached on all agenda items at the current session and welcomed the spirit of openness and transparency that had characterized the deliberations. |
10. Abdallah 先生(乍得)代表非洲国家组发言，赞赏地注意到行预咨委会在分配的时间内完成其工作，尽管非正式磋商的最后阶段非常忙碌。他欢迎各代表团表现出的灵活性，尽管有时所采取的战略需要非洲国家组重新界定其立场。 | 10. Mr. Abdallah (Chad), speaking on behalf of the Group of African States, noted with appreciation that the Committee had completed its work within the time allotted, despite the hectic final stretch of informal consultations. He welcomed the flexibility shown by delegations, even though the strategies adopted had sometimes required the Group to reframe its positions. |
11. 行预咨委会讨论了对非洲国家组特别重要的若干问题。关于联合国埃博拉应急特派团(埃博拉特派团)的协调活动所取得的经验教训，非洲国家组注意到与特派团领导层的根本作用有关的困难，还注意到协调、伙伴关系以及业务影响和交付的重要性。非洲国家组认识到埃博拉特派团发挥了催化作用，调动必要的人力和财政资源以加强应对，并协调全球和外地各级应急人员之间的信息交流，同时注意到特派团的活动与其他专门组织的活动之间存在统一、协调和重叠方面的挑战。为了避免今后可能发生的卫生危机，非洲国家组强调必须改进和调整现有的协调机制并支持国家和地方机构，以期加强与已经在当地的行为体、非洲联盟以及受影响国家的互动协作。在这方面，非洲国家组期待收到审计委员会关于埃博拉特派团财务报表的下一份报告，以及关于制定用于开办阶段和危机情况的常设行政措施并在危机或紧急情况认定后立即生效的信息。 | 11. The Committee had discussed a number of issues of particular importance to the Group. With respect to the lessons learned from the coordination activities of the United Nations Mission for Ebola Emergency Response (UNMEER), the Group had noted difficulties relating to the fundamental role of the Mission’s leadership, as well as the importance of coordination, partnerships, and operational impact and delivery. While recognizing the catalytic role of UNMEER in mobilizing the human and financial resources needed to scale up the response and facilitating the exchange of information among responders from the global to the field levels, the Group had noted challenges relating to harmonization, coordination and overlap between the activities of the Mission and those of other specialized organizations. To avoid potential future health crises, the Group had underscored the importance of improving and adapting existing coordination mechanisms and supporting national and local institutions, with a view to strengthening engagement with actors already on the ground, the African Union, and the affected countries. In that regard, the Group looked forward to the next report of the Board of Auditors on the financial statements of UNMEER, as well as information on the establishment of standing administrative measures for start-up and crisis situations that would take effect upon confirmation of a crisis or emergency. |
12. 非洲国家组还注意到，为刑事法庭余留事项国际处理机制阿鲁沙分支修建新设施的工作完成情况令人满意。特别是，非洲国家组赞赏将当地资源和知识纳入该项目，并按照可持续建筑的最佳做法进行设计，以期最大限度地减少能源、水和其他资源的消耗，并减少长期运行费用和温室气体排放。他感谢坦桑尼亚联合共和国政府和人民无偿为本组织项目提供的捐助。除了为阿鲁沙房地捐赠土地之外，政府完成了最后的电力设施连接以及互联网和电信连接，并修建了一条通往大院的临时通道，大院内的水电系统已经接通。为了减少本组织的费用，这种捐助行动应该得到效仿。 | 12. The Group had also noted the satisfactory completion of the new facility for the International Residual Mechanism for Criminal Tribunals, Arusha branch. In particular, it appreciated that the project had incorporated local resources and knowledge and had been designed in line with best practices for sustainable building, with a view to minimizing consumption of energy, water and other resources and reducing long-term operating costs and greenhouse gas emissions. He thanked the Government and people of the United Republic of Tanzania for the contributions that they had provided to the project at no cost to the Organization. In addition to donating land for the Arusha premises, the Government had completed the final electrical utility connection and the Internet and telecommunications connection, and had constructed a temporary access route to the complex, with connection to the water and electricity systems. Such contributions should be emulated in the interest of reducing costs to the Organization. |
13. 非洲国家组欢迎就联合国秘书处问责制达成妥协方案。在预防和打击欺诈、实施成果管理制和机构风险管理、评价各方案以及加强包括采购授权在内的高级管理人员职责界定方面，必要的部分已经到位。非洲国家组还高度重视性剥削性虐待零容忍政策，并期待在续会第二期会议期间讨论这一问题。 | 13. The Group welcomed the compromise reached on the accountability system in the United Nations Secretariat. The necessary elements were in place for preventing and combating fraud; implementing results-based management and institutional risk management; evaluating programmes; and strengthening the definition of responsibilities of senior managers, including the delegation of authority for procurement. The Group also attached high importance to the policy of zero tolerance for sexual exploitation and abuse and looked forward to the discussions on that issue at the second part of the resumed session. |
14. 行预咨委会已经就联合国信息和通信技术政策的要素以及为执行关于安全、有序和正常移民全球契约政府间谈判方式的决议草案 A/71/L.58 而分配必要资源达成一致意见。关于推迟到今后审议的问题，非洲国家组希望，关于联合国秘书处对联合国发展集团驻地协调员制度分担费用安排的拟议缴款，在秘书长向大会第七十二届会议提交关于安排和这方面资金筹措管理的修订提案之后，能够找到持久的解决办法。 | 14. The Committee had reached agreement on the elements of the United Nations information and communications technology policy and on the allocation of necessary resources for the implementation of the draft resolution A/71/L.58 on modalities for the intergovernmental negotiations of the global compact for safe, orderly and regular migration. With respect to the questions deferred for future consideration, the Group hoped that a lasting solution would be found with regard to the proposed United Nations Secretariat contribution to the United Nations Development Group cost-sharing arrangement for the resident coordinator system, following the submission by the Secretary-General of a refined proposal on the arrangement and on management of the financing thereof at the seventy-second session of the General Assembly. |
15. 关于飞机舱位标准，非洲国家组没有得到足够的资料，无法确定提高秘书长关于公务差旅的行政指示(ST/AI/2013/3)所规定并经大会有关决议核准的联合国人员有资格乘坐公务舱的所需旅行时间是否适当。非洲国家组不会同意任何不以公平、统一、透明方式适用于所有人员并且考虑到旅行时间以及根据医师评估确定的旅行者健康状况的解决方案。虽然应尽力节约费用，但不应造成歧视。 | 15. With regard to the standards of accommodation for air travel, the Group had not been provided with sufficient information to determine the appropriateness of increasing the travel time needed for United Nations personnel to qualify for business class beyond the number of hours stipulated in the Secretary-General’s administrative instruction on official travel (ST/AI/2013/3) and endorsed in the relevant resolutions of the General Assembly. The Group would not agree to any solution that did not apply to all personnel in an equitable, uniform and transparent manner, taking into account the length of the journey and medical condition of the traveller as determined on the basis of a physician evaluation. While cost-saving efforts should be made to the extent possible, they should never result in discrimination. |
16. 非洲国家组感到遗憾的是，行预咨委会很晚才对采购活动问题进行审议，希望秘书长关于这一专题的下一次报告将提供信息，除其他外介绍以下方面的情况：维持和平行动和特别政治任务东道国和次区域投标人的参加情况；采购授权；在发展中国家注册子公司的公司；可持续采购的概念；为确保使用外地特派团东道国官方语言发布投标而做出的努力；能力建设举措；促进发展中国家供应商机会平等。 | 16. The Group regretted the Committee’s late consideration of the issue of procurement activities and hoped that the next report of the Secretary-General on that topic would include information on, inter alia, the participation of bidders from countries and subregions that hosted peacekeeping operations and special political missions; delegation of procurement authority; companies with subsidiaries registered in developing countries; the concept of sustainable procurement; efforts to ensure that bids were published in the official languages of countries hosting field missions; capacity-building initiatives; and the promotion of equal opportunities for vendors from developing countries. |
17. 为了实现共识决策，各代表团必须避免将行预咨委会审议的行政、财务和预算事项政治化。本届会议的经验再次表明，要改进行预咨委会的工作方法，就需要调整谈判方式。如会员国本着相互尊重和透明精神开展工作，非洲国家组就愿意考虑所有代表团的关切。 | 17. In the interest of consensus-based decision making, delegations must avoid politicizing the administrative, financial and budgetary matters before the Committee. The experience of the current session had once again demonstrated that improving the Committee’s working methods entailed adjusting approaches to negotiation. When Member States worked in a spirit of mutual respect and transparency, the Group of African States stood ready to take into account the concerns of all delegations. |
18. De Preter 先生(欧洲联盟观察员)赞赏地注意到续会第一期会议的文件及时印发，同时强调需要作出集体承诺改进行预咨委会的工作方法。随着续会第二期会议准备工作的开始，应继续监测文件编制情况，特别是考虑到预期的繁重工作量以及行预咨委会在历史上曾经超出分配的审议时限的情况。 | 18. Mr. De Preter (Observer for the European Union) noted with appreciation the timely issuance of documentation for the first part of the resumed session, while underscoring the need for a collective commitment to improving the Committee’s working methods. The status of preparedness of documentation should continue to be monitored as preparations for the second part of the resumed session began, particularly given the anticipated heavy workload and the Committee’s history of exceeding the time frame allotted for its deliberations. |
19. 欧洲联盟代表团欢迎就以下方面达成共识：关于安全、有序和正常移民全球契约政府间谈判方式的决议草案；信息和通信技术战略；关于联合检查组的决议草案所涉方案预算问题等。欧洲联盟代表团还赞赏地注意到埃博拉特派团活动的经验教训得到了建设性的审议和及时总结，还注意到在制订秘书处问责制框架方面的进展。在这方面，欧洲联盟欢迎秘书长强调问责制与透明度对本组织所有政策和活动、包括管理领域的核心意义。 | 19. His delegation welcomed the consensus reached on, inter alia, the programme budget implications of the draft resolution on the modalities for the intergovernmental negotiations of the global compact for safe, orderly and regular migration, the information and communications technology strategy and the draft resolution on the Joint Inspection Unit. It also noted with appreciation the constructive deliberations and timely conclusion of the lessons learned exercise on the activities of UNMEER, as well as the progress made to develop the accountability framework of the Secretariat. In that regard, the European Union welcomed the Secretary-General’s emphasis on the centrality of accountability and transparency to all of the Organization’s policies and activities, including in the area of management. |
20. 他关切地注意到，朝鲜民主主义人民共和国问题专家小组核准追加资源几乎不能满足所需人员配置，并回顾说，确保为特别政治任务及时、充足地提供资金是行预咨委会的核心职能。在这方面，欧洲联盟认识到，核准禁止化学武器组织/联合国联合调查机制所需资源具有重大的政治意义。 | 20. He noted with concern that the approved additional resource requirements for the Panel of Experts on the Democratic People’s Republic of Korea barely met the staffing requirements of the Panel and recalled that ensuring timely and adequate financing of special political missions was a core function of the Committee. In that regard, the European Union recognized the political importance of the approval of the resource requirements for the Organization for the Prohibition of Chemical Weapons-United Nations Joint Investigative Mechanism. |
21. 令人遗憾的是，秘书处是联合国发展集团中唯一没有向驻地协调员制度提供商定资金份额的成员，鉴于 2016 年四年度全面政策审查获得通过，这种做法尤其令人遗憾。这一情况对第五委员会的严肃性产生不利影响，并可能影响《2030 年可持续发展议程》在国家一级的执行工作。因此，欧洲联盟代表团期待在大会第七十二届会议上再次审议该项目。 | 21. Particularly in the light of the adoption of the 2016 quadrennial comprehensive policy review, it was regrettable that the Secretariat was the only member of the United Nations Development Group that did not contribute its agreed share of the financing for the resident coordinator system, a situation that reflected poorly on the seriousness of the Fifth Committee and could affect the implementation of the 2030 Agenda for Sustainable Development at the country level. His delegation therefore looked forward to considering the item again at the seventy-second session of the General Assembly. |
22. 令人遗憾的是，行预咨委会未能就飞机舱位标准达成一致意见。一些代表团坚持认为某些特定群体应享受头等舱差旅待遇，并反对更为审慎地使用公务舱，这有悖于促进一个更现代、更高效和更负责任的联合国的承诺。欧洲联盟代表团将欢迎秘书长在这方面提出强有力的建议，并鼓励秘书长重新考虑联合国人员在旅行中使用头等舱的问题。最后，秘书处应促进更好地理解在联合国实行可持续采购做法带来的益处。 | 22. It was regrettable that the Committee had been unable to reach agreement on the standards of accommodation for air travel. The insistence of some delegations on first class travel entitlements for particular groups and resistance to more judicious use of business class were at odds with the commitment to promoting a more modern, efficient and accountable United Nations. His delegation would welcome robust proposals from the Secretary-General in that regard and encouraged him to reconsider the use of first class travel by United Nations staff. Lastly, the Secretariat should promote a greater understanding of the benefits of sustainable procurement practices in the context of the United Nations. |
23. 傅道鹏先生(中国)说，本着合作的精神，行预咨委会就问责制、信息和通信技术、特别政治任务和联合检查组达成了共识。健全的财务管理对于联合国的治理至关重要，会员国正在寻求改进财务效率的途径，这属于行预咨委会的任务范围。中国将与其他会员国一道加强在行预咨委会工作中的合作。 | 23. Mr. Fu Daopeng (China) said that the Committee had reached consensus, in a spirit of cooperation, on accountability, information and communications technology, special political missions and the Joint Inspection Unit. Sound financial management was essential to United Nations governance, and the Member States were seeking ways of improving financial efficiency, which fell under the Committee’s mandate. China would join other Member States in strengthening cooperation in the Committee’s work. |
24. Connelly 女士(美利坚合众国)说，关于问责制，美国代表团将要求提供进一步的资料，说明本组织在成果管理制方面的努力。虽然经修订的保护举报人政策受到欢迎，但秘书长必须建立一种保护不当行为举报人的文化。虽然行预咨委会为执行禁止化学武器组织 - 联合国联合调查机 制 任 务 和 安 全 理 事 会 第1874(2009)号决议所设专家小组任务核准了资源，但未能就采购、应急基金、驻地协调员制度和飞机舱位标准作出决定。在续会第二期会议上，美国代表团将密切关注维和事项，审查节约费用的机会，并促进基于共识的办法。 | 24. Ms. Connelly (United States of America) said that, with regard to accountability, her delegation would seek further information regarding the efforts of the Organization in results-based management. While the revised whistle-blower protection policy was welcome, the Secretary-General must establish a culture of protection for those who reported misconduct. Although the Committee had approved resources for implementation of the mandates of the Prohibition of Chemical Weapons-United Nations Joint Investigative Mechanism and the Panel of Experts established pursuant to Security Council resolution 1874 (2009), it had failed to take decisions on procurement, the contingency fund, the resident coordinator system and standards of accommodation for air travel. At the second part of the resumed session, her delegation would pay close attention to peacekeeping, examine opportunities to cut costs and promote a consensus-based approach. |
25. Imada 先生(日本)说，行预咨委会应充分审议维和事项，使资源得到有效使用。 | 25. Mr. Imada (Japan) said that the Committee should give adequate consideration to peacekeeping, with a view to effective resource use. |
26. Burity 先生(安哥拉)说，行预咨委会的讨论必须具有包容性，必须以协商一致的方式作出决定。遵守道德高标准和相互尊重，将防止使用可能对谈判产生不利影响的手法。 | 26. Mr. Burity (Angola) said that the Committee’s discussions must be inclusive and decisions must be taken by consensus. Adherence to high ethical standards and mutual respect would prevent the use of tactics that could adversely affect negotiations. |
27. Khalizov 先生(俄罗斯联邦)说，尽管行预咨委会审议的事项较少，但续会第一期会议的审议非常复杂，各代表团未能就审议的一些项目达成一致意见。由于没有就采购作出决定，大会无权在这一领域实施任何新的改革。俄罗斯代表团愿意在第七十三届会议续会第一期会议上重新考虑这种改革。 | 27. Mr. Khalizov (Russian Federation) said that, despite the comparatively small number of matters before the Committee, the deliberations at the first part of the resumed session had been complicated and delegations had been unable to reach agreement on some of the items under consideration. Because no decision had been taken on procurement, the General Assembly had no mandate to implement any new reforms in that area. His delegation stood ready to reconsider such reforms at the first part of the resumed seventy-third session. |
28. García Landa 先生(墨西哥)说，行预咨委会已经承担责任，为许多重要任务保证了财政资源，特别是关于安全、有序和正常移民全球契约政府间谈判方式的决议草案所规定的任务。 | 28. Mr. García Landa (Mexico) said that the Committee had assumed its responsibility for ensuring financial resources for many important mandates, in particular those set out in the draft resolution on modalities for the intergovernmental negotiations of global compact for safe, orderly and regular migration. |
29. 主席说，第五委员会完成了大会第七十一届会议续会第一期会议的工作。 | 29. The Chair said that the Fifth Committee had completed its work at the first part of the resumed seventy-first session of the General Assembly. |
和平利用外层空间委员会 | Committee on the Peaceful |
科学和技术小组委员会 | Scientific and Technical Subcommittee |
科学和技术小组委员会第三十七届会议 | Thirty-seventh session |
2000 年 2 月 7 日至 18 日 维也纳 | Vienna, 7-18 February 2000 |
议程项目 7 | Agenda item 7 |
载人空间飞行领域的国际合作 | International cooperation in human space flight |
国际空间站 概况 | The International Space Station: overview |
美利坚合众国提交的工作文件 | Working paper submitted by the United States of America |
1. 美利坚合众国提交国际空间站的概况是为了促进科学和技术小组委员会第三十七届会议上有关载人航天飞行国际合作的讨论 本概况是美国根据第三届联合国探索及和平利用外层空间会议报告第 401 段所载建议作出的几项努力之一 1 | 1. The United States of America is submitting the present overview of the International Space Station to complement the discussion of international cooperation in human space flight at the thirty-seventh session of the Scientific and Technical Subcommittee. This overview represents one of several efforts by the United States pursuant to the recommendation contained in paragraph 401 of the report of the third United Nations Conference on the Exploration and Peaceful Uses of Outer Space.1 |
2. 国际空间站是人类历史上规模最大 最复杂的国际性科学项目 空间站建成后总质量约为 468,000 公斤 国际空间站宽 106.8 米 长 87 米 装有面积几乎为 1 英亩的太阳能光板 为六个最先进的实验室提供电能 | 2. The International Space Station is the largest and most complex international scientific project in history. The completed Space Station will have a mass of about 468,000 kilograms. It will measure 106.8 metres across and 87 metres long and will include almost an acre of solar panels to provide electrical power to six state-of-the-art laboratories. |
3. 在美国的领导下 国际空间站将汇聚了 15 个伙伴国的科学和技术资源 加拿大日本 俄罗斯联邦 欧洲航天局 欧空局 的 11 个国家和美国 加拿大 日本 俄罗斯联邦和欧空局将对空间站作出下述关键贡献 | 3. Led by the United States, the International Space Station will draw upon the scientific and technological resources of 15 partner nations: Canada, Japan, Russian Federation, 11 member States of the European Space Agency (ESA), and the United States, Canada, Japan and the Russian Federation, together with ESA, will contribute the following critical elements to the Space Station: |
(a) 加拿大 一个 16.5 米长的机器人手臂 用于空间站上的组装和维修任务 | (a) Canada: a robotic arm, 16.5 metres long, to be used for assembly and maintenance tasks on the Space Station; |
(b) 日本 一个配备外装实验平台的实验室及后勤运输装置 | (b) Japan: a laboratory with an attached exposed exterior platform for experiments as well as logistics transport vehicles; |
(c) 俄罗斯联邦 两个研究舱 一个配备维持生命和居住环境系统的早期生活区即服务舱 一个由太阳能电池阵组成的科学动力平台 后勤运输装置 联盟号机组人员返回和转移航天器 | (c) Russian Federation: two research modules; an early living quarters called the Service Module with its own life support and habitation systems; a science power platform of solar arrays; logistics transport vehicles; and Soyuz spacecraft for crew return and transfer; |
(d) 欧空局 一个增压实验室和后勤运输装置 | (d) ESA: a pressurized laboratory and logistics transport vehicles. |
4. 根据与美国单独达成的协议 意大利提供三个多用途后勤运载器 为空间站运送设备和再补给物资 巴西提供一个非增压后勤运载器 另外 匈牙利提供一个紫外线测量计 测量空间站上的辐射量 | 4. In separate agreements with the United States, Italy is providing three multi-purpose logistics carriers to ferry equipment and resupply materials to the Space Station, and Brazil is providing an unpressurized logistics carrier. In addition, Hungary is providing a dosimeter to measure radiation aboard the Space Station. |
国际空间站的研究工作 | Research on the International Space Station |
5. 空间站将在轨道上建立一个最先进的实验室综合体 实验室进行的研究将有助于医学 物质和基础科学方面的发现 给全世界的人带来惠益 空间站还将通过其研究和技术 在准备未来的人类空间探索的过程中 成为一个不可或缺的步骤 有关空间站上研究项目的进一步资料 请查阅网址 www.hq.nasa.gov/office/olmsa | 5. The International Space Station will establish a state-of-the-art laboratory complex in orbit. Research in the laboratories will lead to discoveries in medicine, materials and fundamental science that will benefit people all over the world. Through its research and technology, the Space Station will also serve as an indispensable step in preparation for future human space exploration. For more information on research opportunities aboard the Space Station, see the web site at www.hq.nasa.gov/office/olmsa. |
6. 美国将在空间站上进行各类研究 例如 | 6. Examples of the type of United States research that will be performed aboard the Space Station include: |
(a) 蛋白晶体研究 在太空生成的蛋白晶体要比地球上生成的蛋白晶体更纯 对晶体的分析结果有助于科学家更好地了解蛋白质 酶和病毒的性质 或许还会研制出新药品 更好地了解生命的基本组块 在航天飞机上已进行过类似的实验 但是有限 | (a) Protein crystal studies: More pure protein crystals may be grown in space than on Earth. Analysis of these crystals helps scientists better understand the nature of proteins, enzymes and viruses, perhaps leading to the development of new drugs and a better understanding of the fundamental building blocks of life. Similar experiments have been conducted on the Space Shuttle, although they are limited by the short duration of Shuttle flights; |
(b) 培埴细胞组织 在空间实验室环境中 可以在不受重力干扰的情况下培埴活细胞 美国国家航空和航天局(美国航天局)已为进行这种培埴研制出一种生物反应堆装置 在地球上模拟失重产生的影响 不过 这种装置仍受重力的限制 在空间站进行 | (b) Tissue culture: Living cells can be grown in a laboratory environment in space where they are not distorted by gravity. The National Aeronautics and Space Administration (NASA) already has developed a Bioreactor device that is used on Earth to simulate, for such cultures, the effect of reduced gravity. Still, these devices are limited by gravity. Growing cultures for long periods aboard the Space Station will further advance this research; |
(c) 低重力状态下的生命 在空间站上将研究长期失重对人体产生的影响 肌肉弱化 心脏 动脉和静脉的工作方式改变 骨质疏松等等 研究结果会加强认识人体系统以及地球上的类似疾病 要为人类未来长期探索太阳系作好准备 就有必要深 | (c) Life in low gravity: The effects of long-term exposure to reduced gravity on humans (weakening muscles, changes in how the heart, arteries and veins work; and the loss of bone density, among others) will be studied aboard the Space Station. Studies of these effects may lead to a better understanding of the body’s systems and similar ailments on Earth. A thorough understanding of such effects and possible methods of counteracting them is needed to prepare for future long-term human exploration of the solar system; |
(d) 太空中的火焰 液体和金属 液体 火焰 金属溶液及其他材料将是空间站基础研究的课题 在没有重力的情况下 连火焰的燃烧都是异样的 失重会减弱对流而在地球上对流使热空气或液体上升 使冷空气或液体下降 在没有对流的情况下轨道上火焰的形状发生变化 便于进行在地球上无法做到的燃烧过程研究 即燃烧学的这一研究领域 轨道上没有对流 金属溶液或其他材料的融合比在地球上更彻底 | (d) Flames, fluids and metal in space: Fluids, flames, molten metal and other materials will be the subject of basic research on the Space Station. Even flames burn differently without gravity. Reduced gravity reduces convection currents, the currents that cause warm air or fluid to rise and cool air or fluid to sink on Earth. This absence of convection alters the flame shape in orbit and allows studies of the combustion process that are impossible on Earth, a research field called Combustion Science. The absence of 1 Report of the Third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, Vienna, 19-30 July 1999 (United Nations publication, Sales No. E.00.I.3). convection allows molten metals or other materials to be mixed more thoroughly in orbit than on Earth; |
(e) 空间的本质 在空间站舱体的外部将进行一些实验 机外实验可能有助于研究空间环境以及长期在空间 真空和碎片会如何影响物质 这项研究可使未来的航天器设计者和科学家更好地了解空间的本质 改进航天器的设计 有些实验将研究基本自然力 即基础物理学的这一领域 将利用无重状态研究各种微弱的力量以及在地球上因受重力影响而难以研究的力量 这一领域中的实验将有助于解释宇宙是如何形成的 用激光把原子冷却到接近绝对零值的研究能更好地认识重力本身 除了研究自然的基本问题之外 还有助于实用性的开发 包括制作比当今的原子钟精确 1000 倍的时钟 更准确地预报天气 并造出更坚固的材料 | (e) The nature of space: Some experiments aboard the Space Station will take place on the exterior of its modules. Such exterior experiments can be useful in studying the space environment and how long-term exposure to space, the vacuum and the debris, affects materials. Such research can provide future spacecraft designers and scientists with a better understanding of the nature of space and enhance spacecraft design. Some experiments will be aimed at studying the basic forces of nature, a field called Fundamental Physics, where weightlessness is used in experiments to study forces that are weak and difficult to study when subject to gravity on Earth. Experiments in this field may help explain how the universe developed. Investigations that use lasers to cool atoms to near absolute zero may help to provide a better understanding of gravity itself. In addition to investigating basic questions about nature, this research could lead to down-to-Earth developments that may include clocks a thousand times more accurate than today’s atomic clocks, better weather forecasting and stronger materials; |
(f) 观测地球 从轨道上观测地球 可对大规模 长期的环境变化进行研究 可增进对森林 海洋和山脉的了解 可研究火山 古陨石冲击 飓风和台风的影响 另外 还可以观测人类给地球造成的变化 空气污染 如城市上空的烟雾 破坏森林和砍伐树木 石油溢漏造成水污染 这一切的后果都可以从太空清楚地观测到 也可用图片捕捉到 提供从地面无法获得的全球景观 | (f) Watching the Earth: Observations of the Earth from orbit help the study of large-scale, long-term changes in the environment. Studies in this field can increase understanding of the forests, oceans and mountains. The effects of volcanoes, ancient meteorite impacts, hurricanes and typhoons can be studied. In addition, changes to the Earth that are caused by the human race can be observed. The effects of air pollution (such as smog over cities), deforestation (the cutting and burning of forests) and water pollution (such as oil spills) are visible from space and can be captured in images that provide a global perspective unavailable from the ground. |
轨道组装 | Assembly in orbit |
大 会 Distr.: General | General Assembly Distr.: General |
3 March 2015ChineseOriginal: English030315 030315 | 3 March 2015 |
030315 030315 | Original: English (E) 030315 |
*1503087* | *1503087* |
第六十九届会议 | Sixty-ninth session |
议程项目 131 | Agenda item 131 |
审查联合国行政和财政业务效率 | Review of the efficiency of the administrative and financial functioning of the United Nations |
关于联合国秘书处问责制的第四次进展报告 | Fourth progress report on the accountability system in the United Nations Secretariat |
行政和预算问题咨询委员会的报告 | Report of the Advisory Committee on Administrative and Budgetary Questions |
一. 导言 | I. Introduction |
1. 行政和预算问题咨询委员会审议了秘书长按照大会第 68/264 号决议提交的关于联合国秘书处问责制的第四次进展报告(A/69/676)。行预咨委会在审议该报告时，会见了秘书长的代表，他们提供了补充资料和说明，包括最后于 2015 年 2月 27 日作了书面答复。 | 1. The Advisory Committee on Administrative and Budgetary Questions has considered the fourth progress report of the Secretary-General on the accountability system in the United Nations Secretariat (A/69/676), submitted pursuant to General Assembly resolution 68/264. During its consideration of the report, the Advisory Committee met with representatives of the Secretary-General, who provided additional information and clarification, concluding with written responses received on 27 February 2015. |
2. 第四次进展报告提供资料说明下列方面的问责制：(a) 企业风险管理制度和内部控制框架；(b) 成果管理制；(c) 个人问责制；(d) 加强外地特派团的问责制；(e) 国际公共部门会计准则(公共部门会计准则)和企业资源规划系统(“团结”项目)；(f) 道德操守与问责；(g) 加强采购工作问责制。 | 2. The fourth progress report provides information on the following aspects of the accountability system: (a) enterprise risk management system and intern al control framework; (b) results-based management; (c) personal accountability; (c) strengthening accountability in field missions; (d) International Public Sector Accounting Standards (IPSAS) and the enterprise resource planning system Umoja; (e) ethics and accountability; and (f) strengthening accountability in procurement. |
二. 意见和建议 | II. Observations and recommendations |
A. 全秘书处企业风险评估 | A. Secretariat-wide enterprise risk assessment |
3. 秘书长第四次进展报告提供资料，说明开展企业风险评估、建立风险登记册、查明 6 个重大风险领域和企业风险管理的治理结构的进程(A/69/676，第 3 至 43段)。 | 3. In his fourth progress report, the Secretary-General provides information on the process for the conduct of the enterprise risk assessment; the establishment of a risk register; the identification of six critical risks areas; and a governance structure for enterprise risk management (A/69/676, paras. 3-43). |
4. 秘书长在其报告中指出，按照管理委员会的授权进行了全秘书处风险评估，并与秘书处各部/厅和总部以外的办事处协商建立了初步风险登记册。秘书处的高级管理人员已共同查明了 23 种风险，分为以下五大类：战略(5 种风险)；治理(7种风险)；业务(5 种风险)；财政(2 种风险)；合规(1 种风险)。在这 23 种风险中，9 种属“极高”风险类，其中包括被认为需要高级管理人员立即注意的 6 种重大风险；10 种属“高”风险及 4 种属“中等”风险。所确定的风险如该报告第 10段下列出的风险仪表板所示。 | 4. In his report, the Secretary-General indicates that a Secretariat-wide risk assessment was conducted under the authority of the Management Committee and a preliminary risk register established in consultation with Secretariat offices/departments and offices away from Headquarters. The senior managers of the Secretariat collectively identified 23 risks, which were grouped under the following five main categories: strategic (5 risks); governance (7 risks); operational (8 risks); financial (2 risks); and compliance (1 risk). Of the 23 risks, 9 were categorized as “very high”, including 6 considered critical, requiring the immediate attention of senior managers; 10 as “high” and 4 as “medium”. The risks identified are represented in a risk dashboard set out under paragraph 10 of the report. |
5. 秘书长还在其进展报告中指出，秘书处将积极主动地降低并集中注意已查明的 6 种“重大”风险领域，其中包括：(a) 组织结构和同步；(b) 组织转型；(c) 战略规划和预算分配；(d) 安全和安保；(e) 预算外供资和管理；(f) 人力资源战略、管理和问责制。他还指出，风险登记册将汇总机构风险责任和重大风险动因，并以此为基础针对这 6 种重大风险制订详细的风险处理行动计划。 | 5. The Secretary-General also indicates in his progress report that the Secretariat will proactively mitigate and focus its attention on the six critical risk areas identified, which include: (a) organizational structure and synchronization; (b) organizational transformation; (c) strategic planning and budget allocation; (d) safety and security; (d) extrabudgetary funding and management; and (f) human resources strategy, management and accountability. He further indicates that the risk register will summarize corporate risk ownership and key risk drivers that provide the basis for the development of detailed risk treatment action plans with regard to the six critical risks. |
6. 企业风险管理系统的治理结构已经建立，由 4 个主要部分组成：(a) 管理委员会，同时承担机构风险管理委员会的职能；(b) 机构风险负责人，为助理秘书长级及以上官员并负责在各自责任领域查明、减轻和管理风险；(c) 风险处理工作组，由具有专门知识的不同部厅的工作人员组成，为机构风险负责人提供支助；(d) 负责管理事务部的副秘书长办公室的企业风险管理职能，为企业风险管理系统制定共同的方法和工具，协调会议和报告进展情况。秘书长在报告中指出，由于已查明的主要、重大风险相互密切关联，需要密切协调各工作组的活动。常务副秘书长已受权负责确保不同风险处理工作组之间的适当对话和协调。 | 6. A governance structure for the enterprise risk management system has been established comprising four main components: (a) the Management Committee, which also functions as the Enterprise Risk Management Committee; (b) corporate risk owners who are officials at the level of Assistant Secretary-General and above and are responsible for identifying, mitigating and managing risks in their respective areas of responsibility; (c) risk treatment working groups comprised of staff members with specialized knowledge from different departments and offices to support the work of the corporate risk owners; and (d) an enterprise risk management function in the Office of the Under-Secretary-General, Department of Management, to provide a common methodology and tools for the enterprise risk management system, coordinate meetings and report on progress. The Secretary-General indicates in his report that since the primary critical risks that have been identified are closely interrelated, there is a need for close coordination of the activities of the working groups. The Deputy Secretary-General has been entrusted with the responsibility for ensuring proper dialogue and coordination across the different risk treatment working groups. |
7. 秘书长指出，企业风险管理系统是秘书长问责制框架中的一个关键要素，将有助于在秘书处日常工作中嵌入风险管理文化并增强利益攸关方的信心。他在其报告第 38 至 40 段中指出，审计委员会和独立审计咨询委员会对企业风险管理系统的实施方面所取得的进展表示称赞。 | 7. The Secretary-General states that the enterprise risk management system is a critical element in the accountability framework of the Secretary-General and will help to embed a culture of risk management in the daily work of the Secretariat and enhance stakeholder confidence. He notes, in paragraphs 38 to 40 of his report, that the Board of Auditors and the Independent Audit Advisory Committee have commented favourably on the progress made in the implementation of the enterprise risk management system. |
8. 行预咨委会欣见迄今取得的进展，包括进行风险评估工作、建立风险登记册、查明重大风险，正式确立企业风险管理治理结构和为 6 种已查明重大风险的每一种指定一名机构风险负责人。行预咨委会强调，将需要各级治理结构继续做出承诺，以确保在秘书处的工作习惯中有效嵌入问责文化。行预咨委会还期望，将积极主动地管理和降低实现各项组织目标过程中的重大风险，以支持成功和及时地完成任务并按时以及在预算范围内实施重大举措。行预咨委会相信，秘书长将尽一切努力确保企业风险管理不会只是纸上谈兵，而会有助于以具体方式为加强组织问责制。 | 8. The Advisory Committee welcomes the progress made thus far, including the conduct of a risk assessment exercise, the establishment of a risk register, the identification of critical risks, the formalization of a governance structure for enterprise risk management and the designation of a corporate risk owner for each of the six critical risks identified. The Committee emphasizes that continued commitment at all levels of the governance structure will be required to ensure that a culture of accountability is effectively embedded in the working habits of the Secretariat. The Committee also expects that key risks to the achievement of the organizational goals will be proactively managed and mitigated in a manner that supports the successful and timely delivery of mandates and the implementation of major initiatives on time and within budget. The Committee trusts that the Secretary-General will make every effort to ensure that enterprise risk management does not become simply a paper exercise but contributes in a concrete manner towards strengthening organizational accountability. |
B. 成果管理制 | B. Results-based management |
9. 秘书长在其报告第 47 至 52 段中提供了最新资料，说明采取了哪些行动来执行其第三次进展报告中概述的各项活动(A/68/697，第 22 段)，以在秘书处加快执行成果管理制。他表示，这些活动在本两年期内正分阶段开展，并将在 2016-2017年继续开展。迄今完成的主要活动包括：(a) 方案规划、预算和账户厅在 2014 年2 月和 4 月之间为 25 个部厅的方案主管提供关于编制 2016-2017 年预算和逻辑框架的专门培训；(b) 主管管理事务副秘书长办公室在 2014 年 8 月和 12 月之间为纽约、维也纳和日内瓦的 25 个部厅的工作人员各举办 9 次方案监测和报告培训班；(c) 实施一个加强管理事务部内自我评价能力的试点项目，以解决缺乏用于落实全秘书处强有力的评价框架的资源问题。行预咨委会欣见迄今在拟订逻辑框架及方案监测和报告问题上提供培训方面所作的努力。行预咨委会还期待获得说明加强管理事务部内部自我评价能力的试点项目结果的进一步资料。 | 9. In paragraphs 47 to 52 of his report, the Secretary-General provides an update on the actions taken to implement the activities outlined in his third progress report (A/68/697, para. 22) to accelerate the implementation of results-based management in the Secretariat. He indicates that these activities are being undertaken in a phased approach over the current biennium and will continue in 2016-2017. Key activities completed thus far include: (a) the delivery of tailored training by the Office of Programme Planning, Budget and Accounts on the preparation of the 2016 -2017 budget and logical frameworks to the programme managers of 25 departments and offices between February and April 2014; (b) the delivery of nine training sessions on programme monitoring and reporting by the Office of the Under-Secretary-General for Management to staff from 25 departments and offices in New York, Geneva and Vienna from August to December 2014; and (c) implementation of a pilot for strengthening the self-evaluation capacity within the Department of Management to address the lack of resources for implementing a strong evaluation framework Secretariat-wide. The Advisory Committee welcomes the efforts made thus far to deliver training on the formulation of logical frameworks and programme monitoring and reporting. The Committee also looks forward to receiving further information on the results of the pilot for strengthening the self-evaluation capacity in the Department of Management. |
10. 在机构或集体问责制方面，行预咨委会回顾，秘书长在其题为“建立联合国秘书处问责制度”的报告(A/64/640)中指出，战略框架、方案预算及维持和平预算文件清楚地具体说明了联合国必须在某个周期内借助会员国划拨本组织的资源取得的成果，这些文件是问责制度的核心所在。大会在第 64/259 号决议中决定，问责制的定义中应包括及时、以符合成本效益的方式实现各项目标和取得高质量成果；真实、客观、准确并及时地报告业绩成果；负责任地管理资金和资源。行预咨委会还回顾，秘书长在其关于联合国问责制度方面进展的报告(A/66/692)中表示，2011 年已经调整了各项契约，以纳入下列部分：实现各项目标和取得高质量成果，反映出规划和预算文件所载每一名高级管理人员的个人目标和机构目标；负责任地管理资源；执行监督机构的建议；遵守规章和规则；遵守道德标准。秘书长该报告第 28 至 33 段还提供资料，说明为加强高级管理人员的业绩和机构问责制而采取的若干措施。 | 10. With regard to institutional or collective accountability, the Advisory Committee recalls that in his report entitled “Towards an accountability system in the United Nations Secretariat (A/64/640), the Secretary-General stated that the strategic framework, the programme budget and peacekeeping budgets documents, which clearly specify the results the United Nations must achieve in a given cycle with the resources appropriated to the Organization by Member States, are at the core of the accountability system. In its resolution 64/259, the General Assembly decided that the definition of accountability should include, inter alia, achieving objectives and high-quality results in a timely and cost-effective manner; truthful, objective, accurate and timely reporting on performance results; and responsible stewardship of funds and resources. The Committee further recalls that in his report on progress towards an accountability system in the United Nations (A/66/692) the Secretary-General indicated that in 2011, the compacts had been adapted to include the following sections: achieving objectives and high-quality results, reflecting both the personal objectives of each senior manager and the institutional objectives contained in the planning and budget documents; responsible stewardship of resources; implementation of the recommendations of oversight bodies; compliance with regulations and rules; and compliance with ethical standards. In paragraphs 28 to 33 of that report, the Secretary-General also provided information on a number of measures taken to strengthen the performance of senior managers and institutional accountability. |
11. 秘书长在第三次进展报告中指出，本组织的业绩评估是通过两年期方案执行情况报告予以评估的(见 A/69/144)，自 2012 年以来还通过中期执行情况报告予以评估。他进一步指出，为同时评估个人和机构业绩，高级主管业绩委员会每年举行一次专门会议，根据方案预算所载指标审查本组织业绩，并根据高级管理人员年度契约所载目标审查他们的业绩。 | 11. In his fourth progress report, the Secretary-General indicates that the performance of the Organization is assessed through the biennial programme performance report (see A/69/144) and, since 2012, also through an interim programme performance report. He further indicates that in order to assess individual and institutional performance simultaneously, the Management Performance Board holds a dedicated meeting each year to review the performance of the Organization against the indicators in the programme budget as well as the performance of senior managers against the targets in their annual compacts. |
12. 行预咨委会询问后得到一份高级管理人员契约中用于业绩评估的标准管理指标清单，其中详细说明了 2011 年至 2013 年三年期间记录的业绩情况(见附件一)。行预咨委会获悉，高级管理人员业绩中确定的最薄弱的环节涉及征聘时间的遵守情况，2013 年的资料显示该年只有 13%的案例的业绩令人满意，而该年担任高级职位(P-5、D-1 和 D-2)的女性工作人员令人满意度被认为是 53%。关于及时提交报告供大会和会议管理部处理情况的业绩数据表明，执行情况在 2011年至 2012 年减弱，不再列入 2013 年的契约(见附件一)，委员会获悉，根据大会部记录的数据，总合规率上升到 2013 年的 81%，总部为 60%。关于财务披露要求，行预咨委会获悉，所提供的比率(见附件一)反映了截至 3 月 31 日申报数据初步截止日期时的业绩，但合规率到 6 月份往往增加到 95%以上，到年底申报季节正式结束时达到 100%。行预咨委会获得了关于监督机构建议执行情况的进一步数据(见附件二)。 | 12. Upon enquiry, the Advisory Committee was provided with a list of the standard managerial indicators in the senior manager compacts used to assess performance, with details on performance recorded over a three-year period, from 2011-2013 (see annex I). The Committee was informed that the most serious weaknesses identified in the performance of senior managers related to compliance with the recruitment timeline which, in 2013, showed satisfactory performance in only 13 per cent of the cases that 2013 and to the proportion of female staff in senior posts (P-5, D-1 and D-2), which was deemed to be satisfactory in 53 per cent of cases that year. With regard to performance data on the timely submission of reports for processing to the Department for General Assembly and Conference Management, which showed that performance weakened from 2011 to 2012 and was no longer included in the compacts in 2013 (see annex I), the Committee was informed that, based on data recorded by the Department, the overall compliance rate rose to 81 per cent in 2013, including 60 per cent at Headquarters. With regard to financial disclosure requirements, the Committee was informed that the rates provided (see annex I) reflected performance as at 31 March, the annual initial due date for filing, but that compliance rates typically increased to over 95 per cent by the month of June and reached 100 per cent by the end of the year when the filing season officially ended. The Committee was provided with further data on the implementation status of the recommendations of oversight bodies (see annex II). |
13. 根据其最近对秘书长提交的各报告的审议，行预咨委会认为，除了上述指标外，仍然存在严重的业绩管理问题需要解决，特别是管理人员对有效和高效地利用其管理的资源的责任问题。这些问题的一些例子包括，(a) 因项目最初执行阶段未采取解决严重内部困难的及时行动及面临领导危机而使“团结”项目的执行出现延迟和费用上涨；(b) 预算执行情况报告继续显示，个别支出类与预算经费相比出现重大差异，行预咨委会认为这并非总是反映出授权活动的变动或业务限制，而且反映出方案规划和预算编制方面的缺陷；(c) 如委员会在其关于飞机舱位标准的报告(见 A/69/787)中所述，没有提供足够的资料用于大会关于资源分配的决策；(d) 秘书处各部厅继续毫无协调地各自为政，造成信息和通信技术结构重复，最近一个例子是审计委员会关于维持和平行动的报告(A/69/5(Vol.II)，第 371至 374 段)所述在未事先进行成本效益分析情况下以 Microsoft Exchange system 邮件服务器取代了维持和平行动中使用的 Lotus Notes 电子邮件系统。 | 13. Based on its recent consideration of a variety of reports submitted by the Secretary-General, the Advisory Committee is of the view that in addition to the above mentioned indicators, there remain serious managerial performance issues that need to be addressed, in particular on the question of the responsibility of manag ers for the effective and efficient use of resources under their stewardship. Some examples of such issues include: (a) delays and cost escalation in the implementation of the Umoja project because of the lack of timely action in addressing severe internal difficulties and the leadership crisis faced during the initial implementation phase of the project; (b) as budget performance reports continue to show, significant variances under individual categories of expenditure compared with the budgetary provisions, which in the view of the Committee do not always reflect changes in mandated activities or operational constraints but also reflect weaknesses in programme planning and budgeting; (c) lack of availability of adequate information for decision-making by the General Assembly on the allocation of resources, as observed by the Committee in its report on the standards of accommodation for air travel (A/69/787); and (d) Secretariat departments/offices continue to work in silos without coordination, resulting in duplicative information and communications technology (ICT) structures, the most recent example of such being the replacement of the Lotus Notes e-mail system with the mail server Microsoft Exchange system for use in peacekeeping operations, without a prior cost-benefit analysis having been undertaken, as indicated in the report of the Board of Auditors on United Nations peacekeeping operations (A/69/5 (Vol. II), paras. 371-374). |
14. 如同上文实例所示，缺乏迅速的管理行动和有效决策以及缺乏协调与合作，造成重大损失并致使资源利用效率低下。行预咨委会认为，除了高级管理人员契约的现有管理指标外，应更加重视有效和高效地管理资源方面的业绩评估，包括更准确地规划和估计所需预算经费和严格的财政管理。考虑到由大会通过的问责制的定义(见上文第 10 段)，行预咨委会建议大会请秘书长考虑在高级管理人员的契约中列明更多的目标和指标，以评估他们的业绩并追究其负责任地管理资金和人力资源的责任。 | 14. As shown in the above-mentioned examples, the lack of prompt managerial action and effective decision-making, as well as a lack of coordination and cooperation, have resulted in significant costs and the inefficient use of resources. The Advisory Committee considers that, in addition to the existing managerial indicators in the senior manager compacts, greater emphasis should be placed on assessing performance with respect to the effective and efficient management of resources, including more accurate planning and estimation of budgetary requirements and rigorous financial management. Taking into account the definition of accountability adopted by the General Assembly (see para. 10 above), the Advisory Committee recommends that the General Assembly request the Secretary-General to consider introducing additional objectives and indicators in the senior manager compacts, with a view to assessing their performance and holding them to account for the responsible stewardship of financial and human resources. |
15. 行预咨委会建议大会请秘书长在下次进展报告中提出评估机构问责制的基线。它还建议大会请秘书长在今后关于问责制的进展报告中考虑到上文各段所述行预咨委会的评论和意见而对业绩进行分析。行预咨委会认为，监督机构建议的执行情况是问责制的一个重要部分，因此建议大会请秘书长还在今后的进展报告中列入监督建议的最新执行情况(见附件)。 | 15. The Advisory Committee recommends that the General Assembly request the Secretary-General to provide in his next progress report a baseline for the assessment of institutional accountability. It further recommends that the Assembly request the Secretary-General to provide in future progress reports on the accountability system, an analysis of performance, taking into account the comments and observations of the Committee set out in the paragraphs above. The Committee considers that the implementation of the recommendations of oversight bodies is an essential part of the system of accountability and therefore recommends that Assembly request the Secretary-General to also include in future progress reports an update of the implementation status of oversight recommendations (see annex). |
16. 如秘书长在第四次进展报告第 53 段所述，“团结”项目第二扩展部分的预算编制模块将包括方案规划、监测、报告和相应的培训，预计将在 2015 年至 2017年期间设计、建成并推出(另见下文第 26 段)。在这方面，行预咨委会回顾，曾注意到自从联合国采用成果预算制以来，业绩计量和报告工作因目前的信息系统遇到联接方案、财务和人力资源数据方面的困难而受到阻碍。委员会还强调，需要为方案规划、方案预算执行情况监测及评价和执行情况报告建立全面、综合的信息系统，以便提出将资源与产出和成绩挂钩等要求(见 A/58/759，第 14 至 17 段)。行预咨委会建议大会请秘书长在下次进展报告中进一步详细说明为满足本组织在方案规划、监测和报告领域中的数据和信息需求而设计的解决方案。 | 16. As indicated by the Secretary-General in paragraph 53 of the fourth progress report, the budget formulation module of Umoja Extension 2 will include programme planning, monitoring and reporting, and the corresponding training, and is expected to be designed, built and rolled out between 2015 and 2017 (see also para. 26 below). In that connection, the Advisory Committee recalls having noted that, since the introduction of results-based budgeting in the United Nations, performance measurement and reporting have been hampered by the difficulties experienced in linking programmatic, financial and human resources data in current information systems. The Committee has also stressed the need for a comprehensive, integrated information system for programme planning, monitoring of programme budget implementation and evaluation and performance reporting, which would allow, inter alia, requests for resources to be related to outputs and accomplishments (see A/58/759, paras. 14-17). The Advisory Committee recommends that the General Assembly request the Secretary-General to include in his next progress report further details on the solution being designed to address the Organization’s data and information needs in the area of programme planning, monitoring and reporting. |
C. 个人问责 | C. Personal accountability |
17. 在其关于业绩管理的报告(A/69/190/Add.2 和 Corr.1)中，秘书长指出，他已就修订业绩管理政策和电子业绩管理工具提出有关提议，预计他的这些提议将在2015 年 4 月实施，但须得到大会核可(另见 A/69/572，第 87 至 97 段)。秘书长在第四次进展报告第 56 段提供了进一步资料，说明问责行动计划涉及业绩管理方面的情况以及在下列方面所开展活动的情况：业绩管理培训、加强报告能力、颁布奖励和表彰指南以及推出关于工作人员考绩和处理业绩不佳情况的详尽指南。 | 17. In his report on performance management (A/69/190/Add.2 and Corr.1), the Secretary-General indicates that he has presented proposals for revisions to the performance management policy and electronic performance management tools, which are expected to be implemented in April 2015, subject to endorsement of his proposals by the General Assembly (see also A/69/572, paras. 87-97). In paragraph 56 of the fourth progress report, the Secretary-General provides further information on the status of the accountability action plan as it relates to performance management and the activities undertaken in the areas of training on performance management; improving reporting capabilities; the promulgation of guidance on awards and recognition; and the issuance of detailed guidance on evaluating staff and handling underperformance. |
18. 关于高级管理人员契约的信息见进展报告第 57 至 59 段，特别是根据大会第68/264 号决议第 18 段的要求而采取的行动情况。据秘书长报告，高级主管业绩委员会 2014 年首次对契约进行了年中审查，目的是查明在年底之前需要高级管理人员关注的薄弱领域。他表示，该委员会还决定让秘书长办公厅更积极主动地参加 2015 年契约的起草和周期终了业绩审查，以及参与解决那些妨碍高级管理人员实现契约目标的系统性问题，如在契约业绩几乎都薄弱的一个领域，即征聘时间表方面的目标(见上文第 12 段)。秘书长还报告说，高级管理人员契约 2013年 3 月结束的业绩周期考绩完成率为 70%。而高级管理人员契约列入了与完成周期终了考绩有关的一项指标后，2014 年的完成率增至 86%。 | 18. Information on the senior manager compacts is provided in paragraphs 57 to 59 of the progress report, in particular on the actions undertaken in response to paragraph 18 of General Assembly resolution 68/264. The Secretary-General reports that the Management Performance Board conducted for the first time in 2014 a midyear review of the compacts to identify areas of weakness requiring attention by senior managers before the end of the year. He indicates that the Board also decided to involve the Executive Office of the Secretary-General more proactively in the drafting of the 2015 compacts and the end-of-cycle review of performance and in addressing systemic issues that prevent senior managers from meeting their targets, such as recruitment timelines, where compact performance was uniformly weak (see para. 12 above). The Secretary-General also reports that the completion rate for performance appraisals has increased from 70 per cent for the performance cycle that ended in March 2013 to 86 per cent in 2014, following the introduction of an indicator related to the completion of end-of-cycle performance appraisals in the senior manager compacts. |
19. 此外，秘书长在第四次进展报告中表示他打算与负责联合国合办工作人员养恤基金资产投资的秘书长代表(这是一个新的职位)签署一份修订的契约，并将扩大年终业绩评估进程，增加其行政首长由秘书长领导的某些其他联合国实体。 | 19. In addition, the Secretary-General states in the fourth progress report his intention to introduce a modified compact for the new position of representative of the Secretary-General for the investment of the assets of the United Nations Joint Staff Pension Fund and to include in the process of year-end performance assessments certain other United Nations entities whose executive heads are under his authority. |
20. 行预咨委会注意到为建立完善联合国个人问责制度而继续采取的步骤。行预咨委会期待收到关于进一步加强这一制度，包括在经大会核可的前提下执行修订业绩管理政策情况的信息。行预咨委会关于秘书长业绩管理提议的意见和建议载于其最新一份关于人力资源管理的报告(A/69/572，第 87 至 97 段)。 | 20. The Advisory Committee notes the steps that continue to be taken to develop the personal accountability system of the United Nations. The Committee looks forward to receiving information on the further strengthening of the system, including implementation of the revised performance management policy, subject to its endorsement by the General Assembly. The observations and recommendations of the Advisory Committee on the propo sals of the Secretary-General on performance management are contained in its latest report on human resources management (A/69/572, paras. 87-97). |
21. 行预咨委会回顾，审计委员会关于 2014 年 6 月 30 日终了期间维持和平行动的报告提到若干因工作人员拖延、缺乏监测和及时行动或明显疏忽而导致浪费或资源利用效率不高，甚至给本组织造成相当大经济损失的案件(见 A/69/5(Vol.II)，第 117、119、209 和 391 段)。1 不过，行预咨委会指出，秘书长在其第四次进展报告中没有反映问责制在这些案件中的执行情况。 | 21. The Advisory Committee recalls that the report of Board of Auditors on peacekeeping operations for the period ended 30 June 2014 cites several cases in which delays, the lack of monitoring and timely action by staff or apparent carelessness resulted in waste or inefficient use of resources and, in some cases, considerable financial loss to the Organization (see A/69/5 (Vol. II), paras. 117, 119, 209, 391 and 393).1 The Committee notes, however, that in his fourth progress report, the Secretary-General does not reflect how accountability is applied in such cases. |
22. 行预咨委会认为，这是联合国问责制度中存在的不足之处，应加以弥补。行预咨委会建议大会请秘书长在其下次报告中提供资料，说明在实施联合国工作人员个人和财务责任制、以便高效和有效管理所管资源方面的监管框架和现行做法。行预咨委会还建议大会请秘书长在其下次报告中提出有关标准，用于评价这方面的业绩和加强个人问责制度，包括加强问责制的执行机制。 | 22. The Advisory Committee believes that there is a need to address what, in its view, is a gap in the system of accountability of the United Nations. The Committee recommends that the General Assembly request the Secretary-General to provide, in his next report, information on the regulatory framework and current practice regarding the application of personal and financial responsibility of United Nations staff members for the efficient and effective management of resources placed under their stewardship. The Committee further recommends that the Assembly request the Secretary-General to provide, in his next report, proposals on the criteria to be used for evaluating performance in this regard and for strengthening the system of personal accountability, including mechanisms for enforcing accountability. |
D. 外地特派团的问责 | D. Accountability in field missions |
23. 行动计划状况涉及在外地特派团中加强问责制的内容见第四次进展报告第63 至 67 段。秘书长表示：(a) 外地特派团行为与纪律问责政策已经完成，将在2015 年 1 月提交给高级管理小组通过；(b) 各特派团已设立了风险管理协调人，2014/15 年度预算期间计划举行培训活动；(c) 对各维持和平特派团的特派团支助事务主管和全球服务中心主任发来的所有申明函均已进行审查，这些信函显示，首席受托人已根据适用的联合国条例和细则管理其负责管理的资源；(d) 2015 年1 月计划在联合国组织刚果民主共和国稳定特派团(联刚稳定团)试点实施企业风险管理(见下文第 25 段)。 | 23. Information on the status of the action plan as it relates to strengthening accountability in field missions is provided in paragraphs 63 to 67 of the fourth progress report. The Secretary-General indicates that: (a) a policy on accountability for conduct and discipline in field missions has been finalized and will be presented for adoption by the senior management team in January 2015; (b) risk management focal points have been established in missions, and training activities are planned in the 2014/15 budget period; (c) letters of representation received from the directors and chiefs of mission support of the peacekeeping missions and the Global Service Centre indicating that the chief fiduciaries had managed the resources placed under their stewardship in compliance with the applicable United Nations regulations and rules have been reviewed; and (d) a pilot implementation of the enterprise risk management system was conducted at the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO) in January 2015 (see para. 25 below). |
24. 秘书长在其报告中表示，上述新政策详细说明了有关职能和责任，以确保通过预防、执法和补救行动，执行联合国处理外地特派团不当行为的战略，特别是处理性剥削和性虐待问题的战略。经询问，行预咨委会获悉，供高级管理人员通过的行为与纪律政策，其提出的时间被推迟至 2015 年 2 月的最后一周，原因是须优先编写秘书长关于防止性剥削和性虐待特别保护措施的报告。行预咨委会还获悉，新政策不会改变现有适用于各类别人员的规则，而是将之合并为一份单一文件。该政策还将阐明为确保对所有在维持和平和政治特派团任职的工作人员进行行为与纪律问责而实施的现行框架。经询问，行预咨委会还获得了进一步的资料，即过去三年多记录在案的案件总数，并按各特派团和按案件类型分列。行预咨委会获悉，受处罚的工作人员无人被监禁，也无涉及贩运儿童的案件。行预咨委会将在审议即将提交的秘书长关于防止性剥削和性虐待特别保护措施的报告时，就此问题进一步发表意见，而这些意见也将列入行预咨委会下一份关于维持和平行动共有问题的报告以及其关于有关维持和平特派团 2013/14 年度预算执行情况的报告之中。 | 24. The Secretary-General states in his report that the above-mentioned new policy on accountability for conduct and discipline in field missions details roles and responsibilities for ensuring the implementation of the United Nations strategy to address misconduct in field missions, in particular sexual exploit ation and abuse, through prevention, enforcement and remedial actions. Upon enquiry, the Advisory Committee was informed that the presentation of the policy on conduct and discipline for adoption by senior management was postponed to the last week of February 2015, owing to priority being given to the preparation of the report of the Secretary-General on special measures for protection from sexual exploitation and sexual abuse. The Committee was further informed that the existing rules applicable to different categories of personnel will not be changed in the new policy, but they will be consolidated into a single document. The policy will also set out the existing framework to ensure accountability for the conduct and discipline of all personnel serving in peacekeeping and special political missions. Upon enquiry, the Committee was also provided with further information on the overall number of cases recorded over the past over three years, with a breakdown by missionand type of case. The Committee was informed that none of the staff members against whom a sanction was imposed had been imprisoned and that none of the cases involved the trafficking of children. The Committee will make further observations on the subject in the context of its consideration of the forthcoming report of the Secretary-General on special measures for protection from sexual exploitation and sexual abuse, which will be included in the next report of the Committee on cross-cutting issues related to peacekeeping operations and in its reports on the budget performance of relevant peacekeeping missions for the period 2013/14. |
25. 经询问，行预咨委会获悉，联刚稳定团企业风险管理的试点实施已于 2015年 1 月第二个星期进行，现正在编制该特派团的风险登记册，而随后该特派团将确定如何处理任何已查明的关键、高度优先的风险。在汲取经验教训基础上，维持和平行动部和外勤支助部将在其他特派团推广实施这一风险评估程序。此外，计划将在 2014/15 维持和平预算期间的第四季度，向风险管理协调人提供关于开展风险评估所需技能的培训。 | 25. Upon enquiry, the Advisory Committee was informed that the pilot implementation of the enterprise risk management system had been conducted at MONUSCO in the second week of January 2015 and that the preparation of a risk register for the Mission was under way. The Mission will then determine how to address any of the critical, high priority risks identified. Based on the lessons learned, the Departments of Peacekeeping Operations and Field Support will replicate the implementation of the risk assessment process in other missions. In addition, training on the skills required to carry out risk assessments was planned to be delivered to risk management focal points during the fourth quarter of the 2014/15 peacekeeping budget period. |
E. 《国际公共部门会计准则》和“团结”项目 | E. International Public Sector Accounting Standards and Umoja |
26. 关于“团结”项目对问责制的影响，秘书长指出，在实施该项目后似乎出现了一些积极的趋势，其中包括：(a) 在采购方面采用了货品和服务统一名录，在财务方面采纳了中央综合会计科目表，从而使管理流程更为一体化；(b) 通过提供更多、更高质量的信息，例如整合的供应商记录、秘书处不动产组合的透明信息以及日益全面的资产信息，从而提高管理效力；(c) 工作流程更加高效，问责线更为明确(另见上文第 14 段)。 | 26. With regard to the impact of Umoja on accountability, the Secretary-General indicates that some positive trends appear to be developing following its implementation, including: (a) increased integration of management processes in the areas of procurement and finance, through the implementation of a centralized catalogue of goods and services and a common chart of accounts; (b) increased management effectiveness by making available more and higher-quality information, such as a consolidated vendor database, a transparent view of the Secretariat’s real estate portfolio and increasingly comprehensive information on assets; and (c) workflows that are more efficient and clearer lines of accountability (see also para. 14 above). |
27. 秘书长还指出，符合《公共部门会计准则》的会计方法可提高透明度，即借以更详细和全面地了解本组织的财务状况、财务执行情况、现金流及资源使用状况。这种会计办法还能更好地追踪管理决定，帮助确定本组织业绩和状况具体方面的责任归属，而这些反过来又有助于改进问责。如进展报告第 77 段所述，在第一套符合《公共部门会计准则》的维和行动财务报表(截至 2014 年 6 月 30 日)中，本组织列报了财产、厂房和设备结余 14 亿美元，库存 4 亿美元，职工福利负债(精算价值)14 亿美元，可能的未来现金支出拨备 5 亿美元。 | 27. The Secretary-General also indicates that IPSAS-compliant accounting significantly augments transparency through the availability of much more detailed and comprehensive information on the Organization’s financial position, financial performance and cash flows, as well as on its use of its resources. It also allows for better traceability of management decisions and enables establishing responsibility for accounting transactions and specific aspects of the Organization’s performance and position, which in turn, will allow for improved accountability. As indicated in paragraph 77 of the progress report, in its first IPSAS-compliant financial statements for peacekeeping operations as at 30 June 2014, the Organization presented property, plant and equipment balances of $1.4 billion, inventory of $0.4 billion, actuarially valued employee benefit liabilities of $1.4 billion and provisions for probable future cash outlays of $0.5 billion. |
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