General Conference30th Session, Paris 1999

30 C

30 C/438 October 1999Original: English

Item 9.10 of the provisional agenda

IMPLEMENTATION OF PERSONNEL POLICYAND GEOGRAPHICAL DISTRIBUTION OF THE STAFF

OUTLINE

Source: 29 C/Resolution 77; 29 C/Resolution 78.

Background: The Director-General submits to the GeneralConference a progress report on the implementation of PersonnelPolicy in Part I of the document, in accordance with29 C/Resolution 77 and in Part II a report on trends in thegeographical distribution of the Secretariat staff at 1 June 1999, inaccordance with 29 C/Resolution 78.

Purpose: Part I of the document highlights developments duringthe course of the biennium, identifies the achievements andoutstanding problems in the light of the experience gained over thelast decade, and proposes a revised personnel policy in line withUNESCO’s needs and requirements. In Part II, the Director-General provides a brief survey of the quota calculationmethodology and one option available with a view to progressivelyimproving the formula for calculating quotas. These questions werealso submitted to the Executive Board at its 157th session. Anycomments by the Executive Board will be contained in anaddendum to this document.

Decisions required: Paragraph 45, Part I and paragraph 46, Part II.

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PART I - IMPLEMENTATION OF PERSONNEL POLICY

INTRODUCTION

1. In 1990, the Director-General introduced a new personnel policy designed to establishthe conditions required to improve and develop the Organization’s human resources. It has asits objectives:

• the drawing up and implementation of a recruitment policy;

• a fresh, updated approach to staff management;

• the development of new working relations based on initiative and trust;

• the establishment of the necessary means and methods of career planning, including areadjusted training policy and a reliable system of performance assessment;

• the development of staff consultation and coordination.

2. Since its introduction, the implementation of personnel policy has embraced allcategories of staff collaborating with the Organization for the better execution of its functions.The use of national officers, consultants and experts, particularly in field offices, has made asignificant contribution in changing and updating traditional staff profiles and structures. Atthe decision-making level, the role of special advisers has been extremely useful.

3. The progress made in the implementation of personnel policy has been reported to theGeneral Conference in subsequent biennia, including the concrete steps taken by theSecretariat in the areas of recruitment, rejuvenation of the Secretariat, performance appraisaland promotion, staff mobility and training and post classification.

4. In 1998, an audit was conducted by the External Auditor, the objective of which was todetermine the extent to which personnel policies and procedures at UNESCO were designedand applied in accordance with the objectives set out in the 1990 Personnel Policy andreaffirmed in the Medium-Term Strategy 1996-2001. The audit focused on the key areas ofrecruitment, promotion and performance management.

5. In response to the External Auditor’s report (155 EX/27 Add.), the Director-Generalindicated that a revised personnel policy would be submitted to the 157th session of theExecutive Board and to the 30th session of the General Conference that would, inter alia, bebased on an effective, modern and dynamic human resource management approach.

6. The purpose of the present document is to report on the implementation of personnelpolicy since the 29th session of the General Conference, to identify the achievements andoutstanding problems in the light of the experience over the last decade, and to propose arevised policy in line with the Organization’s changing needs and evolving requirements. Inso doing, and in order to facilitate comparisons with other United Nations organizations, theDirector-General will focus on the regular staff of the Organization, even though othercategories of staff have also played a role in the implementation of UNESCO’s programmes.

RECRUITMENT

7. UNESCO’s recruitment policy is aimed at obtaining through a competitive andtransparent process, the best staff members with qualifications and skills matching the

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functions of the posts open to recruitment, while at the same time maintaining an equitablegeographical and gender balance. During the period under review, efforts continued toimprove the recruitment process. This has included the production and wide internaldissemination of a recruitment handbook for staff at Headquarters and in the field who areinvolved with recruitment and selection. The importance of substantive interviews has beenhighlighted, and such in-depth interviews are now an integral part of the recruitment process.Reduced deadlines have been introduced in the evaluation of candidates by the sectors in aneffort to accelerate the recruitment process.

8. A recruitment mission was undertaken in December 1998 to southern Africa in order toidentify potential sources of candidates from non-represented Member States. With the activeparticipation of the National Commissions, the mission succeeded in clarifying outstandingissues in relation to the wide and effective dissemination of vacancy notices within thecountries and resulted in useful contacts with various institutions and government ministries.

9. Notwithstanding the efforts to improve the recruitment process and the quality of newrecruits, the maintenance of high standards within the Organization is hampered by the legaldifficulties in separating poor and mediocre performers. Even though the Director-General hasdiscontinued granting indeterminate contracts, the judgements of the International LabourOrganzation Administrative Tribunal (ILOAT), which are not subject to appeal, are such thateven the separation of mediocre staff holding only fixed-term appointments is extremelydifficult.

10. Table 1 shows the total number of appointments of Professional staff, includingAssociate Experts and staff financed from extrabudgetary funds, for the 1996-1997 bienniumcompared with the first 18 months of the current biennium.

Table 1 - Appointments of Professional staff

Period Gender DDG ADG D-2 D-1 P-5 P-4 P-3 P-2 P-1 Total

1996-1997

Male 0 3 1 2 22

11 15 24 10 88

Female 0 0 4 1 8 5 9 23 19 69 Total 0 3 5 3 30 16 24 47 29 157

1/1/98-1/7/99

Male 0 2 1 5 14 15 13 20 20 90

Female 0 0 1 0 6 8 15 27 24 81 Total 0 2 2 5 20 23 28 47 44 171

GEOGRAPHICAL DISTRIBUTION

11. Part II of this document provides detailed information on the status of representation ofall Member States, including the number of external applications for advertised posts over aone-year period. The average number of applications from non- and under-representedcountries remains disappointingly low and is a significant impediment in achieving a moreequitable geographical balance. While special measures aimed at improving the representationof non- and under-represented countries can be adopted, the significance of the contributionfactor in determining the quotas of Member States should be taken into account whencomparing figures from different regions.

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REPRESENTATION OF WOMEN IN UNESCO

12. The significant progress reported to the 29th session of the General Conference in thelevel of representation of women in the Professional category has continued. Figure 1 showsthe progression of women’s representation since 1995 compared with the specific targetsestablished by the Director-General for the year 2001. Particularly worthy of note is theprogress made during the biennium in women’s representation at the more seniorlevels (P-4 to D-1).

Figure 1 - Representation of women by grade and objective for the year 2001

YOUNG PROFESSIONALS PROGRAMME

13. The Young Professionals Programme continues to be a valuable source of youngqualified staff members from non- and under-represented countries. Since the 29th session ofthe General Conference, a further 14 young professionals have been recruited of which eightare women. This brings the total of new recruits to 69 since the programme was reactivated in1989, 24 from non-represented States and 45 from under-represented States. Fifty-four percent of the young professionals recruited are women.

14. During their first year, the cost of which is charged to the programme, youngprofessionals benefit from valuable on-the-job experience and an intensive tailor-madetraining programme. After one year, performance is rigorously assessed prior to their beingassigned to a regular post. However, it is becoming increasingly difficult to identify suitableposts in the sectors due to the shortage of resources. Under scenario A, provision is made tohire 10 young professionals during the biennium in lieu of 20 under scenario B.

PERFORMANCE APPRAISAL SYSTEM

15. UNESCO’s current performance appraisal system was introduced in 1990 and wassubstantially revised in 1994. Its overall aim is to increase the efficiency of the Secretariatthrough the overall improvement of staff performance.

16. In continuing the Organization’s efforts to improve the performance appraisal system,and to highlight the importance of setting objectives at the beginning of the appraisal periodagainst which staff members are subsequently evaluated, training sessions on objective settingbegan in March 1999. The training focuses on the purpose and the fundamentals ofperformance appraisal, with a view to sensitizing the supervisors to the importance of theprocess. Up to 30 June 1999, 50 participants have attended the programme.

010203040506070

P-1 P-2 P-3 P-4 P-5 D-1 D-2 ADG &above

1995199701.07.99

Objective MAX. 2001Objective MIN. 2001

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17. During the first 18 months of the current biennium, 13 cases of contested performancereports were examined by the Reports Board. The Board maintained the rating in seven cases.Of the 72 cases examined since 1991, the Board maintained the ratings in 55 cases. Since1991, 19 staff members, whose cases were examined by the Board, have been separated ongrounds of unsatisfactory performance.

MERIT BASED PROMOTION

18. The merit based promotion system was introduced in 1994 with the objective ofensuring that staff members are promoted on merit, in a fair and rigorous way. It established amechanism to identify the most meritorious staff members with the required potential toassume higher-level responsibilities. Three lists have been established since the system’sinception, one for 1995-1996 with 203 names; a second for 1997-1998 with 175 names, and athird for 1999-2000 with 176 names.

19. Since the last reporting period, 182 of the eligible staff in the first list, and 109 of theeligible staff on the second list have been promoted in accordance with the provisions ofAdministrative Circular 1917 of 31 March 1994.

STAFF MOBILITY

20. The Director-General remains committed to the principle of staff mobility and rotation,in particular from Headquarters to the field and vice versa, in order to make maximum use ofthe Organization’s human resources. Mobility and rotation also develop the skills and capacityof the staff and enhance career prospects. In line with the practice of other United Nationsorganizations belonging to the common system, mobility and other allowances are paid tostaff members as an incentive when changing duty stations. Figure 2 below shows theevolution of staff movements between Headquarters and other established offices over thepast decade. The figures show that there has been a significant increase in the number of staffmovements from Headquarters to the field and between field offices, particularly in the lasttwo years.

Figure 2 - Staff movements

0

10

20

30

40

50

60

1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998

From HQ

Betw een OEO*

To HQ

* other established offices.

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STAFF TRAINING

21. Staff training and development is one of the cornerstones of human resourcemanagement processes with the aim of ensuring that the staff have the necessary skills,knowledge and other competences required to fulfil the Organization’s mandate.

22. As an extension of the Management Development Programme introduced in 1989, andin view of the need to reinforce best management practices that focus on strategicorganizational issues, a Senior Management Symposium was held in May 1998. With theassistance of outside consultants and the participation of the Director-General, the symposiumaimed to identify a specific set of best practices for managers at all levels within UNESCOthat would form the basis of a long-term management development programme. Eighteensenior managers participated in the symposium, which resulted in a shared understanding ofeffective management and a review of a series of principles on the desired managementculture of UNESCO for the future.

23. Increased emphasis has been placed on training field staff, especially in ensuring thesmooth and efficient functioning of field offices. Since the last session of the GeneralConference, four regional training programmes for Administrative Officers in field officeshave been conducted in Bangkok, Harare, Dakar and Caracas. A total of 73 participants from48 different field offices attended the programmes.

24. Staff members’ skills in informatics have been further upgraded through an expandedrange of courses covering the latest software applications. From 1 January 1998 to 30 June1999, a total of 140 courses have been organized, covering 12 software applications. Thesecourses were attended by 927 participants.

25. Other courses organized during this period included language training, orientationcourses and miscellaneous courses including presentation skills and performance appraisal.Internships within UNESCO for periods of up to three months were organizedfor 986 individuals consisting of national officials, researchers, graduate students andsecretaries/clerks.

THE DECADE IN REVIEW

26. Over the past decade a great deal has been achieved in the implementation of personnelreforms. In spite of ever-decreasing resources, significant progress has been made intransforming the structure and composition of the staff establishment by the relocation of staffto meet changing programme requirements and increased decentralization of activities. Therepresentation of women at the Professional level in the Secretariat has increased significantly,making UNESCO one of the leading United Nations agencies in this respect. As of July 1999,the overall percentage of women in the Professional category is 44 per cent. The revival of theYoung Professionals Programme has played a significant role in promoting more geographicaldiversity and in rejuvenating the Secretariat. Moreover, these achievements have beenaccomplished against a background where the number of staff has reduced significantly since1986.

27. Notwithstanding these achievements, experience has shown that a number of problemareas persist and need to be addressed. Recruitment procedures need to be further enhancedand a more equitable geographical representation achieved. Performance appraisal andpromotion systems need to be further developed taking into account the initiatives and

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reforms introduced in the United Nations system, which acknowledge the complexity andconstraints of intergovernmental and multicultural organizations. Rotation and mobilitypolicies need to be developed in line with UNESCO’s decentralization strategy. Managerialskills throughout the Organization need to be enhanced. The Secretariat needs to be furtherrejuvenated and to become less top-heavy. The further computerization of human resourceprocesses in the framework of an integrated management software package is crucial ifUNESCO is to modernize and simplify its methods of work. Furthermore, the importance ofadhering to approved policies and principles needs to be underlined by ensuring that they getwidely disseminated both within and outside the Secretariat. At the inter-agency level, morecould be done within the United Nations system concerning the complicated litigationprocedures of ILOAT when dealing with staff performance issues, as ILOAT does not acceptthe democratic principle of appeal. ACC meetings of heads of agencies could become moreproductive through the active cooperation of staff representatives who in the last years haveappeared divided themselves before ACC. Closer coordination with the International CivilService Commission (ICSC) is also indispensable in order to avoid the imposition of policiesand conditions of service on participating organizations.

THE WAY FORWARD

28. In further developing an effective, modern and dynamic human resource managementapproach, the Director-General’s continued objective is to increase the Organization’sefficiency and effectiveness, increase productivity and improve the quality of servicesprovided. Anticipating, managing and improving were the key words used by the Director-General for the 1990 policy, and are still valid today in terms of the initiatives required todevelop personnel policy in UNESCO further. It is also the hope of the Director-General thatthe staff associations will continue to serve their constituents and pursue a global approach inaddressing the needs of all the staff, particularly General Service staff and those staff servingoutside Headquarters.

29. Much will depend on UNESCO’s mission and programme priorities in the twenty-firstcentury. Organizational structures will need to be changed in line with these priorities whichwill in turn affect the decentralization strategy and the staffing policy of the Organization.UNESCO will have to have staff members with the appropriate skills, knowledge, experienceand other attributes required to fulfil its changing mandate. This will involve a thoroughreview of the staffing requirements, defining core and non-core functions and reviewingdifferent contractual arrangements to ensure the optimal mix of such arrangements for theimplementation of UNESCO’s future programmes. In this respect, particular attention will bedevoted to the use of consultant services and temporary assistance. It will also be crucial thatchanges in the human resource area take into account and support other major managementreform initiatives, such as the new result-oriented programming and budgeting system.

30. In order to give it further impetus, and to highlight the areas that need to be addressed,the further revision and development of personnel policy will be guided by five strategicpriorities from which changes, innovations and reforms in human resource management willderive. These global strategic priorities are:

• Promote ethics;

• Foster an achievement culture;

• Improve managerial capacity;

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• Improve internal communication;

• Simplify human resource processes.

Promote ethics

31. The successful implementation of personnel policy requires the full commitment of themanagement and staff of UNESCO, as well as the governing bodies. In developing newinitiatives in the area of human resource management which will promote productivity andaccountability among the staff, it is important that the underlying principles governing servicein all United Nations organizations are observed, namely the allegiance of staff to theorganization alone and the reciprocal duty of Member States to refrain from violating theindependent nature of the Secretariat, and the maintenance of the highest standards ofefficiency, competence and integrity.

32. Respect for and compliance with these principles need to be reinforced if real change isto be effective. Core values and behaviours will be developed which will be reinforced atinduction and other learning forums, and the importance for managers to act as role modelsfor their staff will be highlighted.

Foster an achievement culture

33. In common with other United Nations organizations that are experiencing restrictedbudgetary growth, UNESCO is confronted with the tasks of motivating its staff and enhancingperformance to meet the demands of a rapidly changing world where visible, concrete resultsare expected. Securing the commitment of staff in this endeavour is of paramount importance.In fostering an achievement and results-oriented culture, every effort must be made to createan institutional climate where effective performance, efficiency, accountability and jobsatisfaction are prized objectives. This will require a systematic review of the current systemsof performance appraisal and promotion, including the use of a competency-based approach tosuch systems. The development of other forms of incentive and reward, both monetary andnon-monetary, will also be explored.

34. Teamwork as a means of promoting productivity and enhancing job satisfaction will bereinforced. The development of a career management scheme, including mobility and rotationschemes, will contribute further to a supportive working environment that will complementUNESCO’s goals and objectives together with the legitimate career aspirations of its staff.The introduction of “SISTER”, the new results-based programming and budgeting system,will also require a culture shift towards results and achievement. This strategic priority in thehuman resource area is consistent with the need for such a culture change at the level of theOrganization; the development of new human resource policies and systems will clearly comeas a support to the creation of such an achievement culture across the organization.

Improve managerial capacity

35. In line with modern approaches to human resource management, and with the activeparticipation of managers house-wide, UNESCO will adopt a competency-based approach tofurther develop the management capacity of the Organization. This will involve theidentification of the knowledge, skills and behaviours which are typical of an effectivemanager, developing agreed standards, and applying these standards as criteria in recruitmentand selection, performance management and promotion, and in training and development.

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Special attention will be paid, in particular, to the recruitment of managers, to ensure that thehighest standards of competence are upheld.

36. The Management Development Programme will play a major role in facilitating thesechanges and in promoting the concept of UNESCO as a learning organization that will resultin greater motivation and confidence among the staff. In addition to devoting more resourcesto developing the competences and skills of existing managers, the application of improvedselection procedures for managers and the identification and use of alternative sources ofrecruitment will enhance the calibre of new staff being appointed at the managerial level,while at the same time ensuring an equitable geographical and gender balance.

Improve internal communication

37. The increased availability and use of electronic media has created many opportunitiesfor organizations to communicate information on their programmes and activities bothinternally and to the outside world. For an organization with such diverse programmes asUNESCO, the communication of information to its staff both at Headquarters and in the fieldis crucial in fostering a sense of organizational identity and commitment.

38. Because managers play a significant role in the dissemination of information to theirstaff, enhanced communication skills for managers will become a priority. Regular informalinformation meetings that foster a climate of confidence and trust will be encouraged. In timesof organizational change, managers at all levels must seize the initiative in conveying policydecisions and in addressing the legitimate concerns of staff. An efficient communicationnetwork within UNESCO will contribute significantly to harmonious staff/managementrelations.

Simplify human resource processes

39. Many of the reforms taking place within organizations of the United Nations systementail the simplification of human resource processes. These include empowerment, thedelegation of responsibility, the elimination of bureaucratic procedures and petty controls, andthe development of flexible and innovative processes that facilitate the human resourcemanagement function. Administrative processes will need to be re-engineered to eliminateunnecessary steps and increase cost-effectiveness. Procedures will have to be simplified,brought up-to-date, and made easily accessible and understandable to all staff.

40. The recent emergence of comprehensive human resource software packages on themarket has made a significant impact on the way in which such processes are managed. Theacquisition of such packages by other United Nations agencies has had positive results and hasbeen a significant factor in the simplification of their procedures and in the provision ofhuman resource information. Given the need to modernize our systems and in view of thepositive impact observed elsewhere, serious consideration must be given to the acquisition ofa human resource software package suitable for UNESCO’s needs. It is currently proposedthat such a package be introduced in 2002-2003 for human resource management and payroll.

41. It should be stressed that the implementation of such a software package in UNESCOwould have a significant impact on the change process in human resource management, andwould greatly facilitate and accelerate the changes by introducing flexible and user-friendlysupporting tools and operating procedures. It would also directly contribute to thesimplification of processes.

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THE ROLE OF THE BUREAU OF PERSONNEL

42. Implementation of all the above changes will require a change in the role of the Bureauof Personnel, with increased emphasis being placed on its role as a strategic partner, and thereinforcement of its policy development and planning function. It will also need to change theway it operates on a daily basis, being more pro-active in its interactions with staff and sectorsand providing services which add value. Its approach will be more service-oriented, givingprofessional and pertinent advice to managers, empowering them to assume the role as humanresource managers of their own staff, while at the same time ensuring the maintenance of thehighest standards of efficiency and best practices for UNESCO to accomplish its objectives.

43. Furthermore, the successful implementation of the above changes will require the fullcommitment of senior management, the cooperation of the sectors and the support of MemberStates. Taking into account all the factors including the constraints in terms of availability ofresources, the implementation of the revised policy will be conducted on a gradual, prioritizedbasis in the framework and timeframe of UNESCO’s Medium-Term Strategy. The use ofoutside expertise will also be essential to the process.

44. In conclusion, the importance of the staff - all the staff of the Organization who havecontributed to the successful implementation of the programmes approved by the GeneralConference - cannot be underestimated. Human resources represent the wealth of allorganizations, and particularly so in the case of UNESCO, the intellectual body of the UnitedNations. While the Director-General would like to have seen an expansion in the scope of theOrganization and provide it with the personnel necessary for the full accomplishment of amission more urgent and crucial now than ever before, the harsh realities of budgetary andstaff reductions cannot be avoided and UNESCO must adapt accordingly. The Director-General hopes that this situation will improve and that as a result, the role of the UnitedNations system as a forum for international cooperation and peace-building will bestrengthened.

45. The General Conference may wish to adopt the following resolution:

The General Conference,

Having examined document 30 C/43 (Part I) on the implementation of personnel policyand the achievements made in this respect,

Recognizes the efforts of the Director-General in modernizing UNESCO’s approach tohuman resource management in line with the latest developments in this field and thechanging needs of the Organization;

Endorses the five global strategic priorities as a basis for the further development ofpersonnel policy;

Invites the Director-General to develop new tools and procedures in line with bestpractices in the field of human resource management;

Invites also the Director-General to submit a progress report on this subject to theExecutive Board at its 162nd session.

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PART II - GEOGRAPHICAL DISTRIBUTION OF THE STAFF

I. INTRODUCTION

1. This document is submitted in pursuance of 29 C/Resolution 78 inviting the Director-General to submit a report to the Executive Board and to the General Conference on thesituation regarding the geographical distribution of staff members and on the implementationof the medium-term objectives for a better geographical balance with a view to re-examination of the question of quotas. Account should be taken in this connection of theprogressive reduction of staff numbers as a consequence of budgetary reductions and thewishes expressed by the Member States.

2. To assist in understanding this document, Annex I contains a glossary of technical termsand a table listing the most relevant decisions on geographical distribution adopted by theExecutive Board since its 56th session. Annex II contains various tables, numbered from1 to 10. The table on the first page of Annex II shows changes in geographical representationby group between 1 June 1998 and 1 June 1999. The tables on pages 2 to 7 show changes ingeographical representation for each country. The table on page 8 shows all movements (since1 June 1998) affecting the situation as to geographical representation. A list of countrieswhose representation level has changed is given in the table on page 9. This information isbroken down by regional group, status of representation (+, =, -, 0)1 and by the direction of thechange (in, out). The table on page 10 of Annex II shows the level of over- or under-representation of over-represented and under-represented countries as compared with theupper and lower limits of their respective quotas. Finally, the table on page 11 of Annex IIprovides a comparative analysis of the global representation of nationals of host countries inthe secretariats of the various organizations of the United Nations common system. Annex IIIshows the number of candidatures received during the period covered by this report.Annex IV, page 1, shows UNESCO’s position within the United Nations common system asregards the method for establishing quotas; pages 2 to 4 contain information concerningthe 35/65 option as against the 30/70 option currently in force.

II. TRENDS IN THE GEOGRAPHICAL DISTRIBUTION OF STAFFSINCE 1 JUNE 1998 (ANNUAL REPORT)

A. General trends

3. The number of Member States (186) has not changed since 1 June 1998. Table 1 belowgives a retrospective view of trends in the overall situation regarding geographical distributionsince 1 July 1997. Among the salient aspects of these trends, it should be noted that inJuly 1994 there were 182 Member States, 135 (74.2 per cent) of which were represented; inJuly 1997 there were 186 Member States, 145 (78 per cent) of which were represented; andsince 1997 the number of Member States has remained unchanged at 186, ofwhich 151 (81.2 per cent) were represented in June 1998, and 149 (80.1 per cent) inJune 1999. Over the five-year period covered, and with four more Member States, thepercentages of countries represented and of countries unrepresented in the Secretariat havethus changed favourably (80.2 per cent as against 74.2 per cent, and 19.9 per cent as against25.8 per cent respectively).

1. +: over-represented; =: within range; -: under-represented; 0: unrepresented.

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Table 1

Variation sinceLevel of representation 1 July 1997 1 June 1998 1 June 1999 1 June 1998 1 July 1997

Above range (+) 25 (13.4%) 28 (15.1%) 34 (18.3%) +6 +9Within range (=) 80 (43.0%) 82 (44.1%) 69 (37.1%) -13 -11Below range (-) 40 (21.5%) 41 (22.0%) 46 (24.7%) +5 +6Total represented 145 (78.0%) 151 (81.2%) 149 (80.1%) -2 +4Unrepresented (0) 41 (22.0%) 35 (18.8%) 37 (19.9%) +2 -4Total Member States 186 (100%) 186 (100%) 186 (100%)

4. Closer examination of the situation over the last two years shows that the number ofunrepresented countries has fallen noticeably: 37 as against 41 two years ago, although therewas a slight rise during the period covered by this report (1 June 1998-1 June 1999): a yearago, only 35 countries were unrepresented. It should also be noted that there has been a dropin the number of countries within range (69 in June 1999 as against 82 one year ago and 80two years ago). In other words, with respect to the growth in the number of Member Statesrepresented, there are now greater numbers of over- and under-represented Member States(respectively 34 and 46 as against 28 and 41 one year ago and 25 and 40 two years ago),which constitutes an overall improvement: 149 represented Member States as against 145 twoyears ago. The current trend towards over-representation may be explained on the one hand bya lack of applications from under-represented Member States to “absorb” the posts of retiringstaff members, and on the other hand by the large number of applications from Member Stateswhich are within range or over-represented. It is also interesting to note that only two changesof representation category (Hungary and Ukraine) have occurred as a result of changes in theupper and lower limits of the quotas of Member States following the recent modifications tothe scale of contributions to the regular budget. Both countries are now represented withinrange.

5. The balance of “positive” actions (in, that is to say entries into the geographicalcategory: appointments, transfers and promotions from the General Service category to theProfessional category) against “negative” ones (out, that is to say departures from thegeographical category: separations and movements to another category) was 97 as against 51(a difference of +46 in terms of individuals) during the period covered by the preceding report(1 July 1997 to 1 June 1998, document 155 EX/29). However, the overall balance for theperiod under consideration (1 June 1998-1 June 1999) is relatively unfavourable, with76 “positive” actions (28 appointments and 48 other entries into the geographical category) asagainst 54 “negative” actions (42 separations and 12 other movements out of the geographicalcategory), giving a difference of +22 in terms of individuals.

6. In addition to budgetary and/or programming factors, this instability may be attributed tomomentary depletion of the “stock” of applications from unrepresented or under-representedMember States. Clearly, progress towards equitable geographical distribution must beaccompanied by a stable flow of applications from unrepresented and under-representedMember States. Moreover, given the significant reduction in posts and staff over the past15 years, the prospect of a zero nominal growth scenario, coupled with the 3 per cent lapsefactor, will make it even more difficult to rectify the geographical balance in the short term.

7. Moves to enhance the geographical distribution of staff must be accompanied bycorresponding actions in respect of posts (which, in turn, depend on the needs of programmeactivities). Looking at the period in question, we see that 90 posts subject to geographical

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distribution were created, as against 64 abolished (a net variation of +26 posts). Amongthe 76 “positive” actions noted above, 22 appointments and nine other movements(making 31 in all) took place in order to fill posts created during the same period. On the otherhand, with respect to existing posts, 27 appointments and 18 other movements were recorded(making 45 in all).

8. While the number of in actions for over-represented or within-range Member Stateschanged very little (respectively 30 and 42 as against 31 and 42 for the preceding period), withregard to under-represented or unrepresented Member States an unfavourable changeoccurred. The number of out actions concerning them rose as compared with the precedingperiod. As a result, the number of out actions was greater than the number of in actions:2/5 and 1/0 respectively2 (see tables on page 8, Annex II) as against 17/2 and 7/0 respectivelyfor the preceding period. These negative changes are due in large part to the suspension ofappointments of Young Professionals following budgetary restrictions (as against13 appointments in the previous period). In addition, there were 14 promotions of staffmembers from the General Service category to the Professional and higher category.

B. Over-represented countries

9. The number of over-represented Member States has increased by six (from 28 to 34)since 1 June 1998. Belgium, Benin, Cameroon, China, Denmark, Mali, Mauritania and Spainentered this category, while Hungary and the Philippines moved to the category of within-range countries.

10. It should be noted that 23 of the 34 over-represented Member States are over-represented by no more than four units, 13 by one unit and 10 others by two to four units.These 23 Member States account for only 39 units beyond the upper limit of their respectivequotas. However, the other 11 over-represented countries account for 149 units over andabove their ceilings.

11. In June 1998, over-representation with respect to the ceiling of 10 Member States(whose over-representation included at least five occupied posts) came to 131 occupied posts(out of a total of 161 posts and 28 over-represented Member States). The following year, inJune 1999, the situation as gauged by the same criteria had worsened: the same 10 MemberStates, which were still over-represented, had 144 occupied posts in all (out of a totalof 188 posts and 34 over-represented Member States). Table 2 below indicates changes withrespect to over-representation:

2. It should be noted that no negative action can occur in respect of an unrepresented country.

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Table 2

Over-representation with respect to ceilings

Changes in terms of staffsubject to geographical

distribution

at 1 June 1998 at 1 June 1999 +/-Canada 5 5 0France 64 69 +6United Kingdom 5 6 +2RussianFederation

12 19 +1

Argentina 6 6 +1Peru 5 6 +1Algeria 8 8 0Jordan 9 8 -1Tunisia 7 6 -1Senegal 10 11 +1Total 131 144 +10

It should be noted that the increase in total over-representation of 13 units (144 - 131 = 13)corresponds in the total balance of actions to 12 entries into the geographical category(nationals of France, United Kingdom, Russian Federation, Argentina and Peru) and twomovements in the opposite direction (one less national each for Jordan and Tunisia), whichmakes a total of 10 units (+12 - 2 = +10).3

12. The net result of these actions was that only six Member States became even more over-represented following “entry” actions by their nationals into the geographical category. Theseactions were distributed as follows:

Table 3

GS to Ppromotions

Conversionsfrom temp. Appointments Transfers Total

Argentina 2 2 France 1 3 3 7 Peru 1 1 Russian Federation 1 1 Senegal 1 1 United Kingdom 2 1 3 Total 5 5 4 1 154

From these figures it is apparent that only one third of the actions involved promotions fromthe General Service category to the Professional category (the only acceptable action). On theother hand, there were four direct appointments and five appointments by conversion oftemporary contracts to fixed-term contracts, which is scarcely compatible with the principlesthat must be observed in order to achieve equitable geographical representation.

3. The difference of three units is attributable to the fact that between the two dates there was a change in the

quotas (following changes in the regular assessed contributions). In particular, the ceiling for France, theUnited Kingdom and Argentina rose by one unit each; on the other hand, the ceiling for the RussianFederation dropped by six units (the overall difference is thus +3 -6 = -3).

4. For some of the Member States mentioned here, “entry” actions were offset by “out-movement” actions. Fordetails, see Annex II, pages 2, 3, 4 and 7.

30 C/43 - page 14

C. Within-range countries

13. The number of countries within range has fallen from 82 to 69 since 1 June 1998. Thischange was marked by the following movements:

On the one hand, Turkey and Ukraine, hitherto under-represented, and Hungary and thePhilippines, previously over-represented, entered this category;

Furthermore, 17 countries previously in this category are now either over-represented(Belgium, Benin, Cameroon, China, Denmark, Mali, Mauritania and Spain), or under-represented (Comoros, Czech Republic, Gambia, Haiti, Iceland, Libyan ArabJamahiriya, Malaysia, Viet Nam and Zambia).

14. It should be noted that 27 of the Member States within range are at the lower limit oftheir respective quotas and only 12 at the upper limit.

D. Under-represented countries

15. The number of Member States falling below the lower limit of their quota has increasedfrom 41 to 46 since 1 June 1998. This is the result of various movements during the periodconcerned. One previously unrepresented Member State (the former Yugoslav Republic ofMacedonia) and nine previously within-range Member States (Comoros, Czech Republic,Gambia, Haiti, Iceland, Libyan Arab Jamahiriya, Malaysia, Viet Nam and Zambia) are nowunder-represented. Among the 46 Member States under-represented as at 1 June 1999, 43 fallonly one unit below range, two fall two or three units below, and just one falls 19 units below.

E. Unrepresented countries

16. In this category there are 37 Member States. As is apparent from the precedingparagraphs, a single country entered the category of under-represented countries (the formerYugoslav Republic of Macedonia) following the appointment of a national of that country.This improvement was cancelled out by three movements in the opposite direction: the takingof leave without pay by one staff member (Afghanistan) and two separations (Azerbaijan andKuwait).

17. As mentioned above, these unsatisfactory changes are due in large part to the suspensionof implementation of the Young Professionals programme. Furthermore, there were moreretirements and staff members taking leave without pay than in the preceding period (five asagainst two).

F. Regional groups

18. Table 4 below shows the changes in Member States’ situations from 1 June 1998 to1 June 1999, broken down by status of representation and regional group:

30 C/43 - page 15

Table 4

Groups* Above range (+) Within range (=) Below range (-) Unrepresented (0) Total

01.06.98 01.06.99 01.06.98 01.06.99 01.06.98 01.06.99 01.06.98 01.06.99 01.06.98 01.06.99

Group I 4 7 13 10 8 8 1 1 26 26

Group II 2 1 10 11 4 4 8 8 24 24

Group III 7 7 12 11 9 10 5 5 33 33

Group IV 4 4 13 11 9 10 13 14 39 39

Group V(Ar) 6 6 4 3 3 3 4 5 17 17

Group V (Af) 5 9 30 23 8 11 4 4 47 47

Total 28 34 82 69 41 46 35 37 186 186

* Electoral groups: I - Western Europe and North America; II - Eastern Europe; III - Latin America and the Caribbean;IV - Asia and the Pacific; V(Ar) - Arab States; V(Af) - Africa.

19. It should be noted that the presentation of the situation by regional group, which is theusual practice in the report by the Director-General on geographical distribution, in no wayimplies any official recognition of regional quotas, which remains a purely unofficial concept.5

The principle of individual quotas for each Member State is the sole official criterion of theOrganization. In this annual report, Member States are divided into regional groups solely forstatistical purposes.

20. Table 5 below summarizes the trends in the number of staff occupying posts subject togeographical distribution between 1 June 1998 and 1 June 1999 within the different regionalgroups:

Table 5

1 June 1998 1 June 1999 Variation

Group I 317* 334** +17

Group II 64 66 +2

Group III 107 107 0

Group IV 116*** 120*** +4

Group V(Ar) 71 71 0

Group V(Af) 135 134 -1

Total 810 832 +22

* Including 36 United States nationals.** Including 34 United States nationals.*** Including 2 Singapore nationals.

21. The changes are the result of the combined effect of several different events havingeither a direct, immediate impact on geographical distribution (appointments, separations andtransfers) or an indirect, delayed effect (changes in the number of Member States or in theassessment of contributions, etc.). After bringing all these factors up to date, the situation withregard to geographical representation appears as shown in Annex II, pages 1 to 7, where thechanges in the geographical representation of each Member State may be seen, both within itsregional group and in relation to the Member States as a whole.

5.

. Some agencies of the United Nations common system do not apply national quotas, but only use regionalquotas. For the most part, these are agencies without enough geographical posts to ensure that national quotascan be met.

30 C/43 - page 16

22. As suggested in paragraph 4 of this report, this tendency may be broadly explained onthe one hand by a lack of applications from under-represented Member States, and on theother hand by the great number of applications from within-range or over-represented MemberStates. The table in Annex III gives the number of applications received6 during the periodunder consideration for posts open to recruitment, broken down by regional group and statusof geographical representation at the beginning of the period (1 June 1998).

23. These statistics show that the average number of applications per unrepresented orunder-represented Member State has remained unchanged or has even fallen slightly:respectively two and four applications as against two and five for the preceding period. On theother hand, the average number of applications per over-represented Member State hasincreased from 28 to 36.

III. CONCLUSION

24. In conclusion, geographical distribution within the Secretariat, which is cyclic in nature,has entered a phase of relative regression. In order to achieve better results, the application ofa rigorous policy guided by the following basic principles has acquired greater importance inthe present situation:

maintenance of a margin for external recruitment, so as to allow the appointment ofnationals of unrepresented or under-represented countries whenever possible;

maintenance of the programme for the appointment of young professionals, for nationalsof unrepresented or seriously under-represented countries;

non-appointment, as far as possible, of outside candidates from over-representedcountries, or countries which are likely to become so, to posts subject to the principle ofgeographical distribution;

observance of the criteria of integrity, efficiency and technical competence whenrecruiting staff, as stipulated in Article VI of the Organization’s Constitution;

limitation and, as far as possible, elimination of the conversion of temporary contracts(including the secondment of civil servants at no cost to the Organization) of nationalsof over-represented Member States.

25. To the above list of basic principles should be added a further principle, which is in noway contrary to the spirit of the Constitution (Article VI), but implements it constructively.Member States must endeavour to submit candidates who match the requirements arisingfrom the multidisciplinary nature of the Organization’s activity.

26. In order to ensure that the trend becomes stable, each (hitherto fleeting) success must beconsolidated and strengthened. This can only be done on the basis of cooperation between theSecretariat and the Member States, and such cooperation will be the guarantee of theOrganization’s success.

27. Given the levels of non-representation, under-representation and over-representation,together with a scenario of budgetary restrictions, it is clear that equitable geographical

6. A single individual may make several applications for different posts.

30 C/43 - page 17

distribution may only be re-established by stages over several biennia. The concrete measuresenvisaged consist in: (a) sending fresh recruitment missions to unrepresented and under-represented countries;7 (b) building awareness among the National Commissions of theimportance of widely publicizing vacancy announcements; and (c) identifying other potentialsources of recruitment. Efforts will also be made to replace retiring nationals of over-represented countries by qualified staff from unrepresented and under-represented countries.

28. In addition, the policy of limiting transfers from a non-geographical post to ageographical one must be applied more strictly. Only promotions from the General Servicecategory to the Professional and higher category deserve to be maintained. This policy formspart of the implementation of the career development policy.

IV. CRITERIA FOR GEOGRAPHICAL POSTS

29. This section is included in this report in pursuance both of 155 EX/Decision 7.5 of theExecutive Board, which invited the Director-General “to submit a report on the situationconcerning the geographical distribution of the staff to it at its 157th session, withconsideration of the criteria determining whether or not a post is subject to geographicaldistribution”, and of 29 C/Resolution 78 of the General Conference, which decided topostpone re-examination of the question of quotas to a later date.

30. Thus, the purpose of this section is to clarify the position taken by UNESCO indetermining the norms of geographical representation. Firstly, it should be borne in mind thatthe principles governing the method of calculating the quotas assigned to the Member Statesare the result of a long process marked by decisions and resolutions adopted by the governingbodies and whose key points are set out in Annex I, pages 4 to 8. The procedures and methodsfor calculating the quotas for the distribution of geographical posts among the Member Statesrest on the application of three concepts: the base figure, the desirable mid-point and theapplicable range.

31. The base figure - as explained in the glossary of technical terms in Annex I - is a fixednumber of geographical posts used as the basis for calculating the quotas. This number mustbe as close as possible to the number of posts existing within the administration. The basefigure covers only the posts subject to the principle of geographical distribution, whichinclude all established posts in the Professional category and the Principal Officer andDirector category (including Assistant Directors-General) financed from the regular budget ofthe Organization. The only exception traditionally made to this rule concerns the “language”posts (interpreters, translators and revisers). On the other hand, posts regarded as “semi-linguistic” (drafting and editorial staff) have, since 1984, been counted as posts subject togeographical distribution.8

32. In short, it can be seen that the definition of the status (geographical/non-geographical)of a post is based on two more essential criteria:

7. A mission was sent by the Bureau of Personnel in December 1997 to seriously under-represented countries.

Another recruiting mission went to unrepresented and under-represented countries in the second half of 1998.8. They also include a very small number of “technical” posts (maintenance and operation of the buildings and

specific systems).

30 C/43 - page 18

its source of funding - this funding must consist of contributions provided by all theMember States with a view to the execution of the programmes voted by the GeneralConference. Only the regular budget (regular programme) meets these conditions;

the nature of the functions, which must be performed by a competent specialist who maybe a national of any Member State whatsoever (as opposed to the linguistic functions,which can only be properly performed by incumbents whose mother tongue is one of theOrganization’s working languages).

33. In accordance with the above-mentioned norms and in pursuance of 25 C/Resolution 40adopted at the 25th session of the General Conference, the base figure for posts subject togeographical distribution was set at 850 posts, with effect from 1 January 1990. The history ofUNESCO has been marked by frequent alterations in the base figure to reflect changing trendswithin the Organization (initially from 400 to 1,100 and subsequently from 1,100 to 850).

34. The desirable mid-point (or ideal number of posts) is the first factor calculated whendetermining the quota to be assigned to each Member State.9 When the method used is basedon the two main factors - membership and contribution - the desirable mid-point is calculatedon the basis of the value of these factors. The membership factor, which is the same for allMember States, is obtained by dividing the fraction of the base figure reserved for this factor(70 per cent of 850) by the number of Member States (186), which gives a figureof 3.1989 posts:

850 x 0.70186

The rest of the base figure is distributed among the Member States in proportion to theircontribution to the regular budget:

Cn x 850 x 0.30100

where Cn = the assessed contribution of a State “n” to the regular budget (percentageshare of the budget)

The sum of the two parts thus calculated for each Member State represents the mid-point ofthe applicable range for the Member State concerned and corresponds to its idealrepresentation.

35. The upper and lower limits of the range of the quota represent a 25 per cent disparityabove and below the mid-point and are rounded off to the nearest whole number. Anexception is made in the case of the smallest quotas, whose limits are extended to 4/2,5/2 or 6/2.

36. The Executive Board and the General Conference have both, on various occasions,examined the problem of the method of calculating quotas and, in particular, one of itselements: the membership/contribution ratio. Thus, the Executive Board and the GeneralConference at their 152nd and 29th sessions respectively, after studying the options of a65/35 ratio and a 60/40 ratio, decided to keep the 70/30 ratio that had previously been adopted(in 1995 at the 28th session of the General Conference). The reason for the decision taken on

9. And to them alone; see 23 C/Resolution 09, Part III, paragraph 7.

30 C/43 - page 19

that occasion to maintain the status quo was that important changes had recently been made tothe method of calculation (the establishment in 1993 of a fixed parity: the ratio fixed at 76/24and then altered in 1995 to 70/30). The governing bodies wisely decided that it was muchbetter to wait, so as to become accustomed to the changes that have already taken place.

37. Finally, with regard to the concept of the desirable mid-point, it is worth noting that anychange from the current ratio of 70/30 to 65/35 would bring the base figure distributed equallyamong all the Member States from 595 posts (which is equivalent to 3.1989 posts per MemberState) to 552.5 posts (which comes to 2.9704 posts per Member State). The differenceof 42.5 posts would be allocated to that part of the base figure which is distributed among theMember States in proportion to their contribution to the regular budget of the Organization.However, estimates show that the minimum quota would remain unchanged: 4/2 (seeAnnex IV, pages 2 to 4).

38. To come back to the question of the interdependence of the elements that influence thenorms of geographical representation, it should be noted that the room for manoeuvre isrelatively limited, since the applicable range of posts available for each Member State dependson the mid-point of its quota, which is directly related to the number of Member States, thenumber of posts subject to geographical distribution (the base figure) and their assessedcontributions to the budget. Given that the number of Member States and their assessedcontributions are factors that cannot be easily and/or arbitrarily altered so as to raise the levelsof representation, there remains only one factor where action is possible - an increase in thebase figure used for calculating geographical distribution.

39. As at 1 June 1999, the total number of staff in the Professional category and aboveoccupying posts not subject to geographical distribution was 268, of whom 104 came underthe regular programme,10 37 under the funds-in-trust (seven funds), 69 under special-purposefunds of Member States (14 funds corresponding to 14 States) and 58 under other funds of thecommon system (11 funds).

40. On the same date, 44.6 per cent of staff in the Professional category and above notsubject to geographical distribution were nationals of countries in Group I (119 out of a totalof 268 persons). The “representation” of the other regional groups was considerably smaller(from 4.9 per cent for Group II to 19.1 per cent for Group IV).

41. The staff members in non-geographical posts are nationals of 79 different States. Theirrepresentation status on 1 June 1999 breaks down as follows:

Table 6

Level of representation Number of states concerned

Above range (+) 29Within range (=) 33Below range (-) 16Unrepresented (0) 1

_______

Total 79

10.

In addition to the post of Director-General, which is traditionally regarded as a non-geographical post, therewere 43 language posts; 33 NPOs (National Professional Officers); 15 staff members in the GS category whohave been promoted on a personal basis to the Professional category; and 12 temporary staff members.

30 C/43 - page 20

42. It is clear from this table that the level of geographical representation would not showany dramatic improvement if the previously “non-geographical” staff members were to bebecome “geographical”. On the contrary, such a change would increase the over-representation of the Member States that are already over-represented or those currentlyrepresented within range would become over-represented.

43. As things now stand, all the possible “reserves” of posts financed under the regularprogramme are exhausted. Indeed, it is difficult to imagine a situation in which the languageposts - the only posts escaping geographical distribution - were subject to this system. Inaddition, the rationale of the system of funding from extrabudgetary resources is hardlycompatible with geographical distribution.

44. It is worth recalling that the idea of subjecting extrabudgetary posts sources to thesystem of geographical distribution is not new. One of the first attempts of this kind goes backto the 17th session of the General Conference and the 92nd session of the Executive Board.After examining the question, the governing bodies concluded that there were no grounds forincluding posts requiring special linguistic proficiency or posts financed from extrabudgetaryresources within the system of geographical distribution.

45. The two main reasons that have prevailed each time are the following:

some of these posts are funded from voluntary contributions not paid by all MemberStates;

if these posts became geographical posts it would follow logically that the quotasassigned to the Member States would have to be changed so as to reflect theircontributions to these extrabudgetary funds, which would result in an inordinateincrease in the levels of representation of some States.

46. The General Conference may wish, in the light of the considerations set out in thisdocument, to adopt the following resolution:

The General Conference,

1. Recalling 29 C/Resolution 78 and 155 EX/Decision 7.5,

2. Having considered document 30 C/43 (Part II) and, in particular, the informationrelating to the criteria for geographical posts,

3. Takes note of the information contained in the document;

4. Confirms the need to strengthen the cooperation of the Member States representedbelow the ideal levels in order to ensure a sufficient number of applications tomeet the Organization’s needs;

5. Recommends that the General Conference at its 30th session fix the ratiosapplicable to the membership factor and the contribution factor at …;

6. Invites the Director-General to apply the principles set out in document 30 C/43(Part II), paragraph 24, with a view to improving the geographical distribution ofthe staff;

30 C/43 - page 21

7. Invites the Director-General to submit to the Executive Board, at its 160th session,in accordance with the normal practice, a report on the situation concerning thegeographical distribution of the staff.

30 C/43Annex I

ANNEX I

GLOSSARY OF TECHNICAL TERMS

Base figure Total number of geographical posts fixed as the basis forcalculating the quotas. In accordance with established practice,this number is slightly higher than the number ofadministratively existing posts (so as to cover possiblefluctuations).

Contribution factor Concept expressed as a fraction or a percentage determiningthat part of the base figure to be distributed among MemberStates on the basis of their assessed contributions to theregular budget.

Disparity, weighteddisparity

Difference between the number of a State’s nationals and itsmid-point (preceded by the mathematical sign +/-). For theweighted disparity - this is the same thing divided by the valueof the mid-point.

Equitable (representation,geographical distribution)

Situation when the number of nationals is as close as possibleto the mid-point (ideal representation).

Geographical posts (postssubject to the principle ofgeographical distribution)

Posts in the Professional category and above financed from theregular budget of the Organization, except for “language” posts(interpreters, translators and revisers). Posts regarded as “semi-linguistic” (drafting and editorial staff) are subject to theprinciple of geographical distribution.

Internal movement (ofstaff)

In this document the term refers to staff movements whichaffect geographical distribution (transfer from a non-geographical post to a geographical post and vice versa,promotion from the GS category to the Professional category,departure on/return from unpaid leave, etc.). Movements intothe geographical category are accompanied by a + sign, whilemovements in the opposite direction have a - sign.

Major factor(s) Term referring to the contribution factor and the membershipfactor.

Membership factor Right of each Member State to a number of posts (equal for allStates). This concept may be expressed as a fraction or as apercentage in determining that part of the base figure to beshared among Member States.

Method of calculation Calculation of the quotas begins with the calculation of themid-points. Since the methodology used by UNESCO is basedon two major factors, namely the membership factor and thecontribution factor, the mid-point is made up of these twoparts. The part of the mid-point corresponding to the

30 C/43Annex I - page 2

membership factor is equal for all Member States and is fixedas a fraction of that part of the base figure belonging to themembership factor divided by the number of Member States. Inthe case of the current ratio (70/30) and with 186 MemberStates, the part of the mid-point belonging to the membershipfactor is as follows:

850 x 0.70 186

The remaining part of the base figure is distributed amongMember States in proportion to their contribution to the regularbudget:

C‘n’ x 850 x 0.3 100

where C‘n’ is the assessed contribution of a Member State ‘n’to the regular budget

100 is the constant determined on the basis of theassessed contributions of all Member States.

The two parts calculated in this way and then added togetherfor each Member State represent the mid-point (or idealgeographical representation of each Member State).

The upper and lower limits of the quotas extend 25 per centabove and below the mid-point (except in the case of thesmallest quotas, whose limits are extended to 4/2, 5/2 or 6/2)and rounded off to the nearest whole number.

Population ordemographic factor

Term used to identify that part of the base figure to bedistributed among Member States on the basis of theirpopulation.

Quota Number of posts assigned to a Member State of theOrganization under the principle of geographical distribution. Itis defined by the desirable mid-point and the applicablerange (upper and lower limits of the quota).

Rates of under- or over-representation

Quantitative notion used to measure the extent to whichrepresentation deviates from the mid-point (ideal situation). Itrepresents the value of the weighted disparity multiplied bythe modulus of the disparity (or the square of the disparitydivided by the value of the mid-point preceded by the algebraicsign of the disparity).

Scale of contributions orassessed contributions

Contribution of a Member State to the regular budget expressedas a percentage.

30 C/43Annex I - page 3

Situation or status of(geographical)representation

Correlation between the number of a Member State’s nationalswho are staff members and the limits of its quota:

(+) over-represented or represented above range (thenumber is above the upper limit of the quota);

(=) within range (the number is within the limits of thequota);

(-) under-represented or represented below range (thenumber is below the lower limit of the quota);

(0) unrepresented (no national as staff member).

Weighting (system of) System of (geographical) distribution which takes into accountthe level of the posts occupied by the nationals of each MemberState. This system may be applied separately, without affectingthe main system. It enables career development to be taken intoaccount in geographical distribution.

CHANGES IN THE METHOD OF ESTABLISHING THE QUOTASASSIGNED TO THE MEMBER STATES OF UNESCO

YEAR PRINCIPLES RANGE/BASE FIGURE OBSERVATIONS

1960 56 EX/Decision 11.5

The contribution of 1 per cent to the budgetcorresponds to a base figure of 1 per cent of theposts assigned

For Member States whose contribution to thebudget exceeds 10 per cent, the upper marginof 25 per cent does not have to be applied

The minimum quota must not be less than two

Max. = MP + 25 per cent

Min. = MP - 25 per cent

The total number of posts corresponding to themid-points of all Member States exceeds thenumber of posts in the base figure

1972 17 C/Resolution 22.1 Increase in the minimum number of posts from2 to 2-3

Same observation

1976 19 C/Resolution 26.1 Gradual widening of range from 2-3 to 2-5(1 January 1977) then to 3-5 (1 January 1979)

Request for a study to streamline the method ofcalculating quotas (104 EX/47)

1974 18 C/Resolution 26.1

Departure from the principle:

1 per cent of the budget ≈ 1 per cent of posts

Introduction of the principle of recruitmentplanning with a view to obtaining moreequitable geographical distribution

Since the introduction of the principle ofrecruitment planning with a view to obtainingmore equitable geographical distribution, thetotal number of posts corresponding to the mid-points of all Member States is equal to thenumber of posts in the base figure

YEAR PRINCIPLES RANGE/BASE FIGURE OBSERVATIONS

1983 22 C/Resolution 38.12 Widening of the range from 3-5 to 2-8 andincrease in base figure to 1,100 posts(1 January 1984)

1989 25 C/Resolution 40 Narrowing of range from 2-8 to 2-6 anddecrease in base figure to 850 posts(1 January 1990)

Request for study on a more equitable methodof calculating ranges for quotas assigned toMember States

1990 135 EX/Decision 7.7

Suspension of the standard governing thesystem of geographical distribution reservedfor Member States whose contribution to thebudget exceeds 10 per cent(see 56 EX/Decision 11.5)

1991 137 EX/Decision 8.1 Decision to continue examination of thequestion of the method of calculation ofquotas. Request for a study on the subject forthe 140th session of the Executive Board

1992 140 EX/Decision 7.6 The Group of Experts decides not to take intoaccount the “population” factor in the methodof calculating quotas. Request for a study onthe introduction of the system of “weighting ofposts”

YEAR PRINCIPLES RANGE/BASE FIGURE OBSERVATIONS

1993 141 EX/Decision 8.5 The question of introducing the “population”factor into the method of calculating quotas israised again. Request for a new presentation ofthe various options (for possible modificationof the method of calculating quotas) includingthat adopted in the United Nations which takesinto account the “population” factoraccompanied by an evaluation of geographicaldistribution based on the principle of“weighting of posts”

142 EX/Decision 8.727 C/Resolution 32.1

Replacement of the outdated system of ratios(membership and contribution factors) whichare automatically established a posteriori,without any fixed limit, by a system involvingthe a priori setting of reasonable limits (76 percent for the membership factor and 24 per centfor the contribution factor)

Slight narrowing of the minimum range(0.4 per cent of a point in terms of the mid-points) with effect for the smallest contributors(0.01 per cent): 5-2 (instead of 6-2)

Decision to maintain the status quo forcalculating quotas for geographicaldistribution, which amounts to 76 per centmembership factor, and 24 per centcontribution factor. Deferment of study of thequestion of the options until the 144th sessionof the Executive Board

1994 144 EX/Decision 6.7 Decision to continue examination of themethod of calculating quotas. Request for awide-ranging study (analysis of recruitmentover the last four years, information on quotason the assumption that certain States willreturn to the Organization). Request for a newpresentation of the various options, includingtaking account of population and the grade ofthe post (population factor and gradeweighting)

YEAR PRINCIPLES RANGE/BASE FIGURE OBSERVATIONS

145 EX/Decision 7.6 Decision not to take into account thepopulation factor and grade weighting,decision to recommend that the GeneralConference gradually improve the current76/24 formula, taking into account thepractices of the other organizations of theUnited Nations system; invitation to formulateproposals including options aimed at achievingthese results

1995 147 EX/Decision 7.1228 C/Resolution 29.2

Slight narrowing of the minimum range witheffect for the smallest contributors (0.01 percent): 4-2 (instead of 5-2)

Decision to alter the ratios for the membershipfactor and the contribution factor to 70 per centand 30 per cent respectively. Request for thepreparation of the next phase of the medium-term objectives with a view to achieving amore equitable geographical distribution

1996 150 EX/Decision 6.7 Confirmation of the principles set out in thedocument concerning the medium-termobjectives with a view to achieving a moreequitable geographical distribution

1997 152 EX/Decision 8.5 Decision to recommend that the GeneralConference maintain the status quo regardingthe ratios for the membership factor and thecontribution factor (70 per cent and 30 per centrespectively)

YEAR PRINCIPLES RANGE/BASE FIGURE OBSERVATIONS

29 C/Resolution 78 Decision to apply the principles outlined indocument 29 C/41 (maintenance of a marginfor external recruitment, so as to allow theappointment of nationals of unrepresented orunder-represented countries; non-appointment,as far as possible, of candidates from over-represented countries, or countries likely tobecome so, to posts subject to the principle ofgeographical distribution) with a view toimproving the geographical distribution of thestaff, bearing in mind Article VI.4 of theConstitution

1998 155 EX/Decision 7.5 Confirmation of principles with a view toimproving the geographical distribution of thestaff. Invitation to submit a report on thegeographical distribution of staff, withconsideration of the criteria determiningwhether or not a post is subject to geographicaldistribution

1999 157 EX/Decision ... Modification of the quotas for all MemberStates following changes to the scale ofassessments (assessed contributions)

General Conference30th Session, Paris 1999

30 C

30 C/43 Add.27 October 1999Original: English

IMPLEMENTATION OF PERSONNEL POLICYAND GEOGRAPHICAL DISTRIBUTION OF THE STAFF

ADDENDUM

OUTLINE

In accordance with 29 C/Resolution 77 and 29 C/Resolution 78, theDirector-General reports to the General Conference at its 30th sessionon the implementation of personnel policy and the progress made inthis respect since the 29th session, and on the trends in thegeographical distribution of the Secretariat.

This report (30 C/43) was also submitted to the Executive Boardat its 157th session. The Board adopted the decisions specified inparagraphs 2 and 3.

1. In accordance with 29 C/Resolution 77 and 29 C/Resolution 78, reports on theimplementation of personnel policy and on the geographical distribution of staff were submittedto the Executive Board at its 157th session.

2. At the end of its deliberations on the implementation of personnel policy, the ExecutiveBoard adopted the following decision:

The Executive Board,

1. Having examined document 157 EX/24 and Add.,

2. Recalling 29 C/Resolution 77 of the 29th session of the General Conference,

3. Further recalling 154 EX/Decision 6.6 and 156 EX/Decisions 5.5 and 8.2,

4. Keeping in mind the External Auditor’s report for the biennium 1996-1997(155 EX/27 Add.),

5. Notes the strategies developed to support the personnel policy;

30 C/43 Add. - page 2

6. Considers that there have been too many exceptions in the application of personnelpolicy and the personnel management system and that these should be strictly appliedinter alia in the interest of maintaining staff morale;

7. Underlines that implementation of personnel policy is initially aimed at the effectiveexecution of the Organization’s programmes;

8. Considers that the personnel policy has to be reviewed taking fully into account theneeds for competitiveness, expertise, efficiency and universality;

9. Notes that, to that end, the General Conference at its 30th session could consider thecriteria for the implementation of such personnel policy;

10. Invites the Director-General to develop new tools and procedures for recruitment,promotion (including for senior posts) and classification of posts in line with bestpractices in the field of human resource management and compliant with establishedprinciples of the United Nations common system;

11. Also invites the Director-General to make an inventory of all existing humanresources and an analysis of the needs in personnel in relation with the core functionsof the Organization;

12. Further invites the Director-General to develop and present to the Executive Board atits 159th session the results of the above studies together with a strategy and detailedplan of action to implement it to ensure the following objectives:

(a) an appropriate structure for regular and temporary staff, taking into account theuse of consultants;

(b) a balanced structure of the Secretariat in the Professional category, betweenposts at P-1 to P-5 levels and D-1 to ADG levels by reducing their number atthe highest levels (ADG, D-1, D-2);

(c) an appropriate structure for Professional and General Service staff;

(d) the rejuvenation of the staff; and

(e) a better gender balance, especially at the higher levels;

13. Recommends that the External Auditors examine all aspects of the reclassification ofposts and promotion of staff at ADG, D-1 and D-2 levels which occurred during thebiennium 1998-1999 and its anticipated impact during the biennium 2000-2001 andpresent the results in a separate report to it no later than at its 160th session.

3. On the issue of geographical distribution of the staff, the Executive Board adopted thefollowing decision:

The Executive Board,

1. Recalling 29 C/Resolution 78 and 155 EX/Decision 7.5,

2. Having considered document 157 EX/25 and, in particular, the information relating tothe criteria for geographical posts,

30 C/43 Add. - page 3

3. Urges the Director-General, in the appointment of staff:

(a) to strictly observe the criteria of securing the highest standards of integrity,efficiency and technical competence as stipulated in Article VI.4 of theUNESCO Constitution;

(b) in cases where more than one candidate satisfies the criteria presented insubparagraph (a), to give priority to candidates from non- and under-representedcountries;

4. Reminds the Director-General and Member States of the need to strictly observe theirrespective responsibilities and duties, as specified in Article VI.5 of the UNESCOConstitution, in the selection of candidates for posts in the Secretariat;

5. Recommends that the General Conference at its 30th session, fix the ratios applicableto the membership factor and the contribution factor at 35/65;

6. Invites the Director-General to take concrete action to improve the geographicaldistribution of the staff, in particular, by giving preference to candidates from non- orunder-represented member countries in staff recruitment on the basis of equalqualifications and technical competence;

7. Requests the Director-General to improve the Young Professionals programmethrough a systematic allocation of posts each year and the elaboration of careerdevelopment paths within the sectors for Young Professionals recruited to theOrganization;

8. Also invites the Director-General to propose clear criteria to determine which postsare to be included and which posts are to be excluded from the principle ofgeographical distribution, for submission to the Executive Board at its 160th session;

9. Further invites the Director-General to submit to it at its 160th session, in accordancewith the normal practice, a report on the situation concerning the geographicaldistribution of the staff;

10. Also requests the Director-General to ensure that all vacant posts, includingupgradings, are open to recruitment and advertised for at least 90 days to allow for alarge pool of qualified candidates to apply, in particular, from non- and under-represented countries;

11. Urges the Director-General to take into account paragraph 10 in the recruitment of theDirector of the World Heritage Centre, which is taking place at the moment;

12. Notes with satisfaction the Secretariat’s acceptance of the recommendation to present,according to national status, information relating to the level of external applicationsto the posts advertised by UNESCO.

General Conference30th Session, Paris 1999

30 C

30 C/43 Add. 22 November 1999Original: English/French

Item 9.10 of the agenda

IMPLEMENTATION OF PERSONNEL POLICY ANDGEOGRAPHICAL DISTRIBUTION

ADDENDUM

COMMENTS BY THE DIRECTOR-GENERALON THE OBSERVATIONS OF THE UNESCO STAFF UNION (STU)

1. The UNESCO Staff Union (STU) submitted to the Director-General comments on document30 C/43, which is to be considered by the General Conference at its current session. Thesecomments are reproduced in full in the annex to the present addendum.

2. Much of the STU document is taken up with an alleged lack of consultation betweenmanagement and staff. The document incorrectly states that the last meeting of the AdministrativeCommission on Personnel Policies (ACPP) was held in 1994 - it was actually held in 1997.Furthermore, the document fails to mention the monthly meetings between representatives of STUand PER, at which frank exchanges of views take place in relation to personnel policy. It shouldalso be mentioned that the Director-General has recently designated a personal representative toensure a closer exchange of views with the staff associations with respect to the conversion fromsix to seven grades for the GS salary scale, in an effort to put an end to a situation of conflict thatdeveloped last month. He subsequently approved the report submitted to him by his personalrepresentative.

3. The issue of whether the STU can address or answer questions from the Executive Board orthe General Conference is a matter for the governing bodies to decide upon.

4. As the Director-General has previously pointed out, the development of personnel policy is amanagement function. While consultations may be held with staff representatives and others, it isimportant that the issue of management responsibility for personnel policy is not compromised.

5. The Director-General welcomes the positive comments made by STU in relation topersonnel policy, and wishes to stress the common goal of administration and staff in maximizingthe human resource potential of the Organization.

30 C/43 Add.2Annex

ANNEX

IMPLEMENTATION OF PERSONNEL POLICY ANDGEOGRAPHICAL DISTRIBUTION

OBSERVATIONS OF THE UNESCO STAFF UNION (STU)

Document 30 C/43 (Implementation of personnel policy and geographical distribution)submits for the consideration of the General Conference the Administration’s proposals concerningpersonnel policy. The present addendum puts forward the observations of the Staff Union on thesame subject. These will be grouped under two headings: method and general comments. Forreasons that will be seen from the second section, it has not been deemed relevant to discussdocument 30 C/43 in detail.

I. METHOD

It is very disquieting to find that, at the end of the twentieth century, the Administration ispreparing a document on personnel policy without taking the trouble to consult the peopleprimarily concerned, namely the personnel. A personnel policy has to be drawn up in closeconsultation and coordination with those concerned, if only for the reason that it has to be a sourceof inspiration and encouragement.

The failure to consult is bound to be prejudicial to the smooth running of the Organization,since it does not take account of the aspirations and opinions of the different categories of staffmembers both at and away from Headquarters.

Lack of communication has been the hallmark of the Administration now drawing to a closeand has given rise to many instances of social unrest which disrupted the functioning of theOrganization in 1990, 1996 and 1999. By way of example, the STU wishes to inform the GeneralConference that the statutory consultative body, the Advisory Council on Personnel Policies(ACPP), has not met since 1994.

It may also be recalled that, in 1990, the Director-General laid down a new personnel policyin the same way, namely without any consultation whatsoever, the results of which are familiar toeverybody.

This attitude likewise points to the profound contempt shown for the women and men whoare dedicating the bulk of their time and energies to the Organization. The staff members are lucidand conscientious adults who are capable of understanding the constraints of the environment inwhich they work and of making constructive proposals in a bid to find answers to the problemsarising.

The systematic lack of consultation, or the fact that any consultations that do take place arepurely formal, without any real willingness to listen or engage in dialogue, let alone negotiations,are the sign of a retrograde and contemptuous attitude symptomatic of authoritarian systems, not touse a more specific term.

The STU hopes that the new Administration will adopt a more open-minded outlook in thiskey respect. The STU accordingly requests the Member States to insist that, in future, theAdministration consult the personnel in a systematic and formal manner whenever it isrequired to take collective action concerning it.

30 C/43 Add.2Annex - page 2

Systematic disregard for the personnel is particularly prejudicial in instances wherecommunication with the governing bodies is involved. The representatives of the personnel maytake the floor at commission meetings only after the Member States have made their positionknown. This was not the case prior to 1985.

The information which the representatives of the personnel may be in a position to provide istherefore completely useless, since the debate has already been concluded when they finally cometo speak. For example, at the last session of the Executive Board, the Chairperson of theFA Commission would have liked to give the floor to the President of the STU a second time, inorder to enable her to reply to the questions which delegates wished to raise following herpresentation. This proved in vain, since the Administration objected, in spite of the fact that theLegal Adviser was consulted and saw no grounds for refusing the request.

The Staff Union again asks permission to present its views in commission immediatelyafter the representative of the Director-General, during both the Executive Board and theGeneral Conference, and requests that this practice becomes the rule once more, as it used tobe. Likewise, it is important that the commission chairpersons can give the floor to the Uniona second time during a debate, should the need be felt. This is not an excessive demand, as staffrepresentatives of the International Telecommunication Union have the statutory right to addressthe plenary.

II. GENERAL POINTS

Document 30 C/43 submitted by the Administration sets out a list of limited andunconnected points that are far from constituting an overall, coherent personnel policy. Nor was thepolicy laid down by the Director-General in 1990. Both documents, ten years apart, are a mixtureof wishful thinking (for instance, promoting ethics) and short-term solutions (for instance,recruitment missions).

A personnel policy must set out its objectives, the constraints of the general situation, and themeans to be employed in order to achieve those objectives. There is nothing of the sort in thedocuments in question. The UNESCO Staff Union (STU) proposes, as a basis for discussion, thetwo following objectives for a personnel policy:

1. Ensuring that the Organization has the human resources to match its objectives

The staff are recruited and paid to execute the programme of the Organization aslaid down by the Member States. Personnel policy must include all the ingredientsneeded to ensure that the governing bodies are satisfied by the results.

2. Ensuring the best possible working conditions given all the constraints of thesituation.

These constraints are numerous: limited financial resources, the legal and regulativeconditions of the international civil service set by the International Civil ServiceCommission (ICSC), and material and human constraints, such as geographicaldispersal (offices and institutes away from Headquarters), linguistic and culturaldiversity, hierarchical structure and the age pyramid at any given time.

In view of these constraints, the objective of a personnel policy is to maintain astimulating and rewarding environment so that the staff, adult and responsible, remain

30 C/43 Add.2Annex - page 3

motivated and contribute in full to the objectives of the Organization. It is a question ofrespect for individuals and also of profitability, since motivated staff are moreefficient.

Moreover, the Administration and the staff can work together to try and change certainaspects of the situation that they judge to be restrictive, for instance, the methods of ICSC or thehierarchical structure.

There must be no confusion between personnel policy and the minimum conditions requiredto implement it. STU considers that a personnel policy can only be implemented under thefollowing conditions:

Respect for ethical principles such as honesty and respect for individuals (physical and moralintegrity). Promoting ethics cannot be, as the Administration appears to think, a strategicpriority;

Respect for justice and equity, which includes the principle of equal pay for equal work; and,when qualifications are the same, priority for seniority;

Respect for law and procedure including in particular, the application of the rules in force(Staff Regulations and Staff Rules, Statute of the Administrative Tribunal of theInternational Labour Organization, Administrative Circulars), non-retroactivity ofregulations, the right to be heard in individual cases and to negotiate collective issues, andthe maintenance of accrued benefits.

Unfortunately, these three conditions are far from being met. At the same time, they are notcomponents of a personnel policy and to include them in such a document would be to disregardthe very basis of UNESCO as enshrined in its Constitution. The Director-General and theAdministration must undertake to respect them, and it is for the governing bodies to ensure thatthey do so.

There is one essential way of ensuring that the above conditions are respected, and that isthrough openness. An Administration which complies with ethical and legal rules has nothing tohide. It passes on any information it has and submits collective and individual decisions to theappropriate joint bodies. The Administration has exercised its “royal” prerogative excessively inthe past by taking decisions which go against the recommendations of the joint bodies, withoutbothering to give the reasons for these decisions. The results of this approach in the areas ofrecruitment and promotion can be seen in the report by the External Auditor (30 C/34 and Add).

Once the objectives of a personnel policy have been laid down, the various elements ofpersonnel management must be examined in order to identify clear objectives, for example in theareas of recruitment, career development, remuneration, training, mobility, ratio of men to women,geographical distribution, performance appraisal, etc. This is a complex, technical task and, bearingin mind the contrast to date between what the Administration has tried to do and the results actuallyobtained, one wonders whether recourse should not be had to outside expertise.

The STU therefore calls upon the Administration and staff representatives to worktogether, in a process of sincere, open negotiation, to come up with a genuine, coherent andcomprehensive personnel policy to be submitted to the Director-General as soon as possible.