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2016 年第一届常会 | First regular session 2016 |
2016 年 1 月 25 日至 29 日，纽约 | 25 to 29 January 2016, New York |
临时议程项目 6 | Item 6 of the provisional agenda |
人口基金–审计委员会的建议 | UNFPA — Recommendations of the Board of Auditors |
联合国人口基金 | UNITED NATIONS POPULATION FUND |
对联合国审计委员会 2014 年报告的后续行动：各项建议的执行情况 | Follow-up to the report of the United Nations Board of Auditors for 2014: status of implementation of the recommendations |
执行主任的报告 | Report of the Executive Director |
摘要 | Summary |
根据执行局第 97/2 号决定，人口基金执行主任欣然提交关于联合国审计委员会 2014 年 12 月 31 日终了财政期间报告(A/70/5/Add.8)所载建议执行情况的本报告。 | Pursuant to decision 97/2 of the Executive Board, the Executive Director, UNFPA, is pleased to submit the present report on the implementation of the recommendations contained in the report of the United Nations Board of Auditors for the financial period that ended on 31 December 2014 (A/70/5/Add.8). |
人口基金收到联合国审计委员会对其 2014 年 12 月 31 日终了年度财务报表发表的无保留审计意见。联合国审计委员会报告(A/70/5/Add.8)确认人口基金财政状况良好。人口基金执行局网站单独用表列出了各项审计建议执行情况的最新资料。人 | UNFPA received an unqualified audit opinion from the United Nations Board of Auditors for its financial statements for the year that ended on 31 December 2014. The report of the United Nations Board of Auditors (A/70/5/Add.8) acknowledges that UNFPA is in good financial health. |
人口基金执行局网站单独用表列出了各项审计建议执行情况的最新资料。人口基金对审计和调查处处长提交执行局 2015 年年度会议的关于 2014 年人口基金内部审计和调查活动报告(DP/FPA/2015/7)提及的问题给出了管理层答复。 | A separate table, available on the UNFPA Executive Board website, provides an updated status of the implementation of the audit recommendations. UNFPA provided a management response to the issues mentioned in the report of the Director, Office of Audit and Investigation Services, on UNFPA internal audit and investigati... |
决定要点 | Elements of a decision |
执行局不妨注意有关人口基金为落实审计委员会对 2014 年 12 月 31 日终了财政期间所提各项建议而采取和计划进一步采取的行动的本报告。 | The Executive Board may wish to take note of the present report on the actions taken by UNFPA and the further actions planned by the organization to implement the recommendations of the Board of Auditors for the financial period that ended on 31 December 2014. |
一． 导言 | I. Introduction |
1. 根据执行局第 97/2 号决定，人口基金执行主任欣然提交关于联合国审计委员会(下称审计委员会)对 2014 年 12 月 31 日终了年度所提建议(A/70/5/Add.8)执行情况的本报告。行政和预算问题咨询委员会审查了审计委员会的主要审计结果和结论(A/70/380)及联合国秘书长相应报告(A/70/338)的摘要。 | 1. Pursuant to decision 97/2 of the Executive Board,the Executive Director of UNFPA is pleased to submit the present report on the implementation of the recommendations of the United Nations Board of Auditors (Board of Auditors) for the year that ended on 31 December 2014 (A/70/5/Add.8). The Advisory Committee on Admin... |
2. 审计委员会的报告确认人口基金财政状况良好。人口基金欣然收到审计委员会对 2014 年 12 月 31 日终了年度财务报表发表的无保留审计意见。这印证了人口基金为把解决审计委员会的关切和继续推动建设问责文化作为第一要务而作出的持续努力。 | 2. The report of the Board of Auditors acknowledges that UNFPA is in good financial health. UNFPA is pleased to have received an unqualified audit opinion for its financial statements for the year that ended on 31 December 2014. This affirms the continued efforts of UNFPA to accord the highest priority to resolving the... |
3. 人口基金对审计委员会确认人口基金管理层改进了监督表示赞赏。人口基金致力于解决审计委员会确定的所有问题，并计划到 2015 年底完成执行所有建议。人口基金继续采取加强控制并确保遵守建议的全面和系统方法来加强其对建议的回应。 | 3. UNFPA appreciates the acknowledgment by the Board of Auditors of the improved oversight by UNFPA management. The organization is committed to addressing all issues identified by the Board of Auditors, and plans to complete the implementation of all recommendations by the end of 2015. UNFPA has further enhanced its r... |
4. 另外，人口基金对审计和调查处处长提交执行局 2015 年年度会议的关于2014 年内部审计和调查活动报告(DP/FPA/2015/7)提及的问题给出了管理层答复。 | 4. Furthermore, UNFPA provided a management response to address the issues mentioned in the report of the Director of Office of Audit and Investigation Services on internal audit and investigation activities in 2014 (DP/FPA/2015/7), which was shared at the 2015 annual session of the Executive Board. |
二． 审计建议执行情况 | II. Status of implementation of the audit recommendations |
5. 审计委员会 2014 年提出了 10 项新建议，而 2013 年提出了 11 项建议。下表 1 和表 2 汇总了截至 2015 年 10 月对 2014 年 12 月 31 日终了财政期间所提建议的执行情况。 | 5. The Board of Auditors made 10 new recommendations for 2014, compared to 11 for 2013. Tables 1 and 2 below summarize the status of implementation of the recommendations, as of October 2015, for the financial period that ended on 31 December 2014. |
表 1 | Table 1 |
2014 年主要建议的执行情况 | Status of implementation of the main recommendations for 2014 |
负责部门 建议数量 不接受 | Department responsible |
负责部门 建议数量 不接受 | Not accepted |
已执行或已被要求结束 执行中 | Implemented or closure requested |
被要求结束 执行中 | In progress |
设有目标日期 | Target date set |
执行主任办公室 1 – 1 1 | Office of the Executive Director 1 – 1 1 |
管理事务司 1 – 1 1 | Division for Management Services 1 – 1 1 |
方案司 1 – 1 1 | Programme Division 1 – 1 1 |
方案司和人力资源司 1 – – 1 1 | Programme Division and Division for Human Resources 1 – – 1 1 |
共计 4 – 3 1 4 | Total 4 – 3 1 4 |
表 2 | Table 2 |
2014 年主要建议执行情况 | Status of implementation of all recommendations for 2014 |
负责部门 建议数量 不接受已执行或已被要求结束 执行中 | Department responsible Number of recommendation s Not accepted Implemented or closure requested In progress Target date set |
日期执行主任办公室 2 – 2 2 | Office of the Executive Director 2 – 2 2 |
管理事务司 4 – 3 1 2 | Division for Management Services 4 – 3 1 2 |
人力资源司 1 – 1 1 | Division for Human Resources 1 – 1 1 |
方案司和人力资源司 1 – – 1 1 | Programme Division and Division for Human Resources 1 – – 1 1 |
方案司 2 – 1 1 2 | Programme Division 2 – 1 1 2 |
共计 10– 7 3 10 | Total 10 – 7 3 10 |
6. 本报告介绍审计委员会2014年和以往各期就下列问题所提建议的执行情况：(a) 内部控制系统；(b) 治理、问责和业务转型进程；(c) 成果管理制；(d) 方案管理；(e) 人力资源管理；(f) 库存管理；(g) 账户和财务管理；以及(h) 上述部分未述及的对 2014 年前各财政期间提出的其他建议。 | 6. This report presents the status of implementation for all recommendations of 2014 and prior periods made by the Board of Auditors, addressing the following issues: (a) internal control systems (b) governance, accountability, and business transformation process; (b) selecting, monitoring and auditing implementing par... |
A. 内部控制系统 | A. Internal control system |
企业风险管理框架和风险登记册 | Enterprise risk management framework and risk register |
7. 审计委员会建议人口基金(a) 加快建立企业风险管理框架的进程，该框架概述风险管理和减轻战略的基本做法，以指导人口基金管理层发现、评估和处理各级的业务风险；(b) 建立业务风险登记册和战略风险综合登记册，概述可能影响人口基金执行任务的风险种类和性质。 | 7. The Board of Auditors recommended that UNFPA (a) accelerate the process of developing an enterprise risk management framework that outlines the underlying approaches to risk management and mitigation strategies to guide UNFPA management in identifying, assessing and addressing risks at all levels of operations; and ... |
8. 根据这项建议，人口基金通报称，其企业风险管理战略由 12 个重点企业风险领域(11 个战略风险领域外加欺诈风险)组成，该战略已在 2015 年 6 月 10 日举行的执行委员会会议上讨论并获得批准。已选择执行委员会成员组成人口基金风险委员会。这些风险所有人将主持风险处理工作组，定期与相关专家开会处理具体的组织风险，并协调减轻风险战略。人口基金企业风险管理战略强调管理当局提供明确支持，逐步进行变革，充分利用现有资源，协调统一现有的风险管理活动，并将目前企业风险管理的各项改进、知识分享和持续教育纳入本组织的企业文化。 | 8. In response to this recommendation, UNFPA informed that its enterprise risk management (ERM) strategy, comprising 12 top corporate risk areas (11 strategic risk areas plus fraud), was discussed and approved at the Executive Committee meeting held on 10 June 2015. The Executive Committee formed from among its members... |
9. 2015 年 7 月，人口基金启动了首次机构风险评估，内容包括两个部分：战略风险评估和欺诈风险评估。这两项评估都得到战略信息系统的支持。在战略风险评估期间，业务单位需要为每个确定的风险因素确定关键程度级别，指派一名有能力并获得授权的工作人员来应对这一具体风险因素。开展欺诈风险评估是为了在全组织提高风险意识，交流最佳做法，提供反馈意见，以改进内部控制和政策。要求业务单位首先评估每个已确定风险因素的固有风险水平(即采取应对措施之前的风险)，然后评估现有风险应对措施的效力，再评估残余风险水平(即采取应对措施之后的风险)。9 月是风险应对周期开始之期。此外，每年 3 月，风险委员会将再次评估现有风险，以进一步改进企业风险管理战略。 | 9. In July 2015, UNFPA launched the first corporate risk assessment, consisting of two elements: strategic risk and fraud risk. The Strategic Information System (SIS) supports both assessments. During the strategic risk assessment, business units are required to assign a criticality rating for each of the identified ri... |
B. 治理、问责和业务转型进程 | B. Governance, accountability and business transformation process |
权力下放办事处的设立 | Establishment of decentralized offices |
10. 审计委员会建议人口基金：(a) 更新权力下放办事处准则，明确界定和概述权力下放办事处建立和管理业务的不同安排；(b) 继续开展综合业务论证，为其余权力下放办事处补办批准文书；以及(c) 把权力下放办事处的组织结构图及上下级关系纳入国家办事处的组织结构。 | 10. The Board of Auditors recommended that UNFPA (a) update the guidelines for decentralized offices to clearly define and outline the different arrangements for decentralized offices for establishing and managing operations; (b) continue to develop comprehensive business cases and seek retroactive approval for the rem... |
11. 根据这项建议，人口基金对权力下放办事处进行了全面审查，内容涉及区域办事处是否有业务论证和批准，并视需要补办了批准文书。人口基金正在按照人力资源统一框架更新其准则，以界定和概述不同类型权力下放办事处的安排，包括它们与国家办事处组织结构之间的关系。 | 11. In response to this recommendation, UNFPA undertook a comprehensive review of its decentralized offices regarding the availability of business cases and approvals from regional offices, and secured retroactive approvals, where required. UNFPA is in the process of updating its guidelines for decentralized offices un... |
业绩评估缺陷 | Performance assessment deficiencies |
12. 审计委员会建议人口基金：(a) 确保进行监测和评估访问以有效评价权力下放办事处活动的执行情况；(b) 明确权力下放办事处协调人的作用，就协调人应提供的支持和监督提出明确指导；(c) 制订业绩目标，制定协调人系统监测和评估标准，确保按照人口基金的任务开展活动。 | 12. The Board further recommended that UNFPA (a) ensure that monitoring and assessment visits are undertaken for effective evaluation of the implementation of activities at decentralized offices; (b) define the role of the focal points for decentralized offices and provide clear guidance on what support and oversight t... |
13. 人口基金将按照组织结构准则发展重新审视这项建议。个人(包括协调人)的业绩目标、监测和评估标准通过企业考绩和发展系统来管理，而人口基金业务单位的业绩目标、监测和评估标准通过战略信息系统来管理。 | 13. UNFPA will revisit this recommendation in light of the development of the guidelines on organizational structuring. The performance targets and the monitoring and assessment criteria of individuals (including focal points) are managed through the corporate Performance Appraisal and Development (PAD) application and... |
C. 成果管理制 | C. Results-based management |
执行伙伴工作计划的业绩指标、基准和目标 | Performance indicators, baselines, and targets in the workplans of implementing partners |
14. 审计委员会建议人口基金(a) 纳入所有核准执行伙伴工作计划预期产出的业绩指标、目标和基准；和(b) 确保按照执行伙伴核准工作计划的业绩指标、目标和基准评估执行伙伴执行人口基金核心任务的业绩。 | 14. The Board of Auditors recommended that UNFPA (a) include performance indicators, targets and baselines for expected outputs in the workplans of all its approved implementing partners; and (b) ensure that the assessment of the performance of implementing partners in delivering the UNFPA core mandate is based on thos... |
15. 根据这项建议，全球方案编制系统现在包括这项功能，这项功能确保所有2016 年工作计划，包括这些执行伙伴的工作计划，将包括产出指标、目标和基准。下文(见第 21 段)述及执行伙伴的业绩评估。 | 15. In response to this recommendation, the Global Programming System (GPS) now includes functionality that ensure that all 2016 workplans, including those of implementing partners, will include output indicators, targets and baselines. The performance assessment of implementing partners is addressed below (see paragra... |
D. 方案管理 | D. Programme management |
对执行伙伴工作计划监测不力 | Inadequate monitoring of the workplans of implementing partners |
16. 审计委员会建议人口基金：(a) 加强对执行伙伴的监测程序，确保方案执行活动得到充分执行；(b) 编制在时间框架内可实现的监测计划。 | 16. The Board of Auditors recommended that UNFPA (a) strengthen its monitoring procedures for implementing partners to ensure the adequate performance of programme implementation activities, and (b) prepare monitoring plans that can be achieved within the time frame. |
17. 根据这项建议，人口基金将启动全球方案编制系统第二阶段功能，预计这项功能将在 2016 年底或 2017 年初投入使用，其中将包括执行伙伴工作计划进展报告。给执行伙伴的付款将以适当和及时报告执行情况进展和结果为条件。全球方案编制系统第二阶段的功能还需要及时提交出资授权和支出证明表，这是向执行伙伴付款的前提条件。 | 17. In response to this recommendation, UNFPA will be launching a GPS phase II functionality, expected to be operational by the end of 2016 or the beginning of 2017, which will include workplan progress reporting of implementing partners. Payments to implementing partners will be subject to proper and timely reporting ... |
交付情况综合报告与出资授权和支出证明表数据的核对 | Reconciliation of data between combined delivery reports and funding authorization and certificate of expenditure forms |
18. 审计委员会建议人口基金按照国家执行审计指南的规定每季度定期对交付情况综合报告与出资授权和支出证明表中的数据进行核对。 | 18. The Board of Auditors recommended that UNFPA reconcile the data in the combined delivery reports with those recorded in the funding authorization and certificate of expenditure (FACE) forms on a quarterly basis, in accordance with the national execution audit guide. |
19. 根据这项建议，人口基金 2013 年印发的国家执行审计指南要求业务单位按季度进行交付情况综合报告与出资授权和支出证明核对。随后，在 2014 年国家执行审计指南中，每季度核对只是建议，不再要求，以便消除对业务单位的不当负担。不过，审计指南强调，必须在年底进行核对。管理层已采取措施确保按照2014 年国家执行审计指南，在年底账户关闭指示和后续培训中通报这项要求。这项要求的提醒内容常被纳入业务单位已完成的问卷调查中，作为执行伙伴审计准备阶段的一部分。人口基金关于业务审计统一准备工作质量的全球审计反馈，包括交付情况综合报告与出资授权和支出证明表核对，表明 84%的业务单位一丝不苟地进行了这些核对，并可供国家执行审计员查阅(而 20... | 19. In response to this recommendation, the UNFPA national execution (NEX) audit guide issued in 2013 required business units to perform combined delivery reports (CDR) to FACE reconciliations quarterly. Subsequently, in the 2014 version of the NEX audit guide, quarterly reconciliations were only recommended and no lon... |
对执行伙伴的评估 | Assessment of implementing partners |
20. 在 2014 年之前期间，审计委员会建议人口基金考虑对执行伙伴能力评估工具和统一现金转移方式进行协调统一，以改进对执行伙伴的整体评估。 | 20. During the period prior to 2014, the Board of Auditors recommended that UNFPA consider harmonizing the Implementing Partner Capacity Assessment Tool (IPCAT) and the harmonized approach to cash transfers (HACT) to improve the overall assessment of implementing partners. |
21. 作为统一现金转移方式框架的一部分，执行伙伴能力评估工具将被纳入统一的(开发计划署、人口基金和儿基会)微观评估。不同评估的制定已经完成；有关治理结构、人力资源、金融和采购的相关问题将被纳入微观评估。统一现金转移方式机构间小组正在完成统一的微观评估，并预计将在 2015 年底之前发布。正如同其他机构商定的那样，与伙伴的技术能力及其在任务领域的比较优势相关的问题将被纳入人口基金针对执行伙伴的甄选程序。目前正在修正人口基金甄选和评估执行伙伴的政策，以反映这些变化。 | 21. As part of the HACT framework, the IPCAT will be integrated into a harmonized (UNDP, UNFPA and UNICEF) micro-assessment. A mapping of the various assessments was completed; relevant questions on governance structures, human resources, finance and procurement will be incorporated into the micro-assessment. The HACT ... |
签署年度工作计划方面出现延迟 | Delays in signing annual workplans |
22. 在 2014 年之前期间，审计委员会建议人口基金与执行伙伴达成一致，遵守其合作条款，并确保在任何新项目执行周期之前签署年度工作计划。 | 22. During the period prior to 2014, the Board recommended that UNFPA agree with implementing partners to abide by the terms of their engagement and ensure that the signing of annual workplans is completed in advance of the implementation cycle of any new project. |
23. 根据这项建议，人口基金修正了编制和管理工作计划的政策和程序以及与执行伙伴的法律合同(均发布于 2014 年 7 月)，强调目前要求及时签署工作计划。自 2014 年 11 月启动人口基金全球方案编制系统以来，工作计划完全透明，包括其签署日期。 | 23. In response to this recommendation, UNFPA revised the policy and procedures for preparation and management of workplans as well as the legal contract with implementing partners (both issued in July 2014), to emphasize the existing requirement of a timely workplan signing. Since the launch of the UNFPA Global Progra... |
E. 人力资源管理 | E. Human resources management |
E. 人力资源管理Atlas 电子服务的管理(休假应用程序) | Management of the Atlas eServices (leave application) |
24. 审计委员会建议人口基金(a) 在年终前对电子服务应用中的数据进行清理和手工调整以准确记录休假负债，此后应始终通过系统监测休假记录；和(b) 对电子服务应用进行配置，避免出现超过政策允许最多预支休假天数的休假结余负数。 | 24. The Board of Auditors recommended that UNFPA (a) clean up the data and manual adjustments in the eServices application before the end of the year to record the leave liability accurately and thereafter monitor leave records consistently through the system; and (b) configure the eServices application so that it does... |
25. 根据这项建议，人口基金证实，将确保按照休假政策规定，到 2015 年底之前及时清理数据；并手工调整电子服务应用。关于预支休假天数，电子服务应用已进行重新配置，从而避免出现超过政策允许最多预支休假天数的休假结余负数。 | 25. In response to this recommendation, UNFPA confirmed that it would ensure the timely data clean-up; a manual adjustment in the eServices application will be carried out before the end of 2015, as prescribed by the leave policy. Regarding advance leave days, the eServices application has already been reconfigured so ... |
咨询人和服务合同全球数据库的维护 | Maintenance of the global database for consultants and service contracts |
26. 审计委员会建议人口基金开发全球综合数据库，维护、记录和定期更新咨询人和服务合同重要信息，以改进对外地办事处特别服务协定和服务合同的控制、监测和报告。 | 26. The Board of Auditors recommended that UNFPA continue to develop a global comprehensive database for maintaining, recording and periodically updating key information on consultants and service contracts to improve control, monitoring and reporting on special service agreements and service contracts at field offices... |
27. 根据这项建议，人口基金注意到，本组织已对 Atlas 中的服务合同数据进行了维护(Atlas 是其企业资源规划系统的名称)，并一直持续更新该系统，从而始终与时俱进。关于单个咨询人，人口基金将充分利用现有的咨询人名册(已取代特别服务协定模式)。 | 27. In response to this recommendation, UNFPA notes that the organization already maintains service contract data in Atlas – the name of its enterprise resources planning (ERP) system – and is continuously updated so that it is always current. For individual consultants, UNFPA will leverage the use of the current consu... |
服务合同和特别服务协定的使用 | Use of service contracts and special service agreement |
28. 在 2014 年之前期间，审计委员会建议人口基金遵守征聘指南(a) 确保不以聘用服务合同持有者来代替征聘定期任用人员；(b) 在聘用服务合同持有者时，其合同期限不应超过服务合同用户指南中规定的合同期；以及(c) 重新配置基于网络的工具，以改进对特别服务协定和服务合同执行情况的及时监测和评价。 | 28. During the period prior to 2014, the Board of Auditors recommended that UNFPA adhere to the recruitment guide by (a) ensuring that the hiring of service contract holders is not used as a substitute for the recruitment of fixed-term officers; (b) whenever hired, contractors should not exceed contract periods stipula... |
29. 根据这项建议，人口基金对所有现行服务合同进行了一次性审查，以视需要调整订约模式。随后，人力资源战略伙伴将在目前基础上审查新服务合同的职权范围，从而确保遵守服务合同政策。 | 29. In response to this recommendation, UNFPA conducted a once-off review of all existing service contracts to adjust contract modalities, where necessary. Subsequently, human resource strategic partners will examine the terms of reference of new service contracts on an ongoing basis to ensure compliance with the servi... |
未依据政策使用特别服务协定 | Use of special service agreements not in line with the policy |
30. 在 2014 年之前期间，审计委员会再次建议人口基金加强对特别服务协定的使用的控制，仅允许采用符合其政策的特别服务协定。 | 30. During the period prior to 2014, the Board of Auditors reiterated its earlier recommendation that UNFPA enhance control over the use of special service agreements and only allow special service agreements that are consistent with its policy. |
31. 根据这项建议，人口基金于 2015 年 7 月发布了经修正的综合单个咨询人政策。之前关于依照特别服务协定聘用咨询人的三项单独政策(“人口基金总部的咨询人”、“人口基金外地工作地点的咨询人”和“人口基金外地工作地点的地方咨询人”)已合并为一项精简的个体咨询人政策，这项政策对所有地点的国际和地方咨询人的聘用作了规定，并根据为作为管理、评价和保留优质咨询人的工具而创建的咨询人名册的结构进行了调整。尽管按照特别服务协定模式聘用咨询人的权力下放给了外地的管理人员，不过新的咨询人名册将使管理人员能够获得咨询人的综合信息，并加强对使用特别服务协定的控制。人口基金将密切监测审计委员会小组在其外地访问期间审查的执行情况。 | 31. In response to this recommendation, UNFPA issued a comprehensive revised individual consultant policy in July 2015. Three previously separate policies (‘Consultants at UNFPA headquarters’; ‘International consultants at UNFPA field duty stations’; and ‘Local consultants at UNFPA field duty stations’) on hiring consu... |
32. 在 2014 年之前期间，审计委员会建议人口基金遵守服务合同政策，在服务合同到期日前两个月进行评价，并提出续延合同的理由。 | 32. During the period prior to 2014, the Board of Auditors recommended that UNFPA adhere to the service contract policy by conducting evaluations of service contracts two months prior to their expiration dates and by providing justification for renewals. |
33. 经修正的人口基金服务合同政策(2014 年 7 月发布)述及这项建议，这项政策规定国家办事处能够查阅开发计划署新的服务合同手册，并探讨了审计委员会就服务合同的使用提出的其他问题，包括绩效评价。人口基金与开发计划署合作，将服务合同数据输入 Atlas。已开发了一个新的在线工具，以便在终止或延续合同之前进行服务合同绩效评估。人口基金将监测执行委员会小组在其外地访问期间的审查执行情况。 | 33. This recommendation is addressed in the revised UNFPA policy on service contracts (issued in July 2014), which provides country offices access to the new UNDP service contract handbook and addresses other issues noted by the Board of Auditors regarding the use of service contracts, including performance evaluation.... |
F. 库存管理 | F. Inventory management |
34. 审计委员会建议人口基金：(a) 建立强有力的供应链机制，确保外地办事处向预定受益人有效交付和分配采购物品；(b) 开发各种工具使国家办事处能够监测物品分配的及时性和有效性，包括定期跟踪分配计划执行率和服务交付点库存持有水平等重要参数。 | 34. The Board of Auditors recommended that UNFPA (a) establish a robust supply chain mechanism to ensure that there is effective delivery and distribution of procured inventories to the intended beneficiaries by field offices; and (b) develop tools that will enable country offices to monitor the timeliness and effectiv... |
35. 根据这项建议，人口基金正继续努力改进其制度，以促进有效的库存管理。作为这些努力的一部分，人口基金正在启动一个新的企业资源规划综合存货跟踪系统，该系统称为货物追踪(Shipment Tracker)系统(取代现有的 Channel 系统)。这个库存跟踪系统跟踪从请购到向人口基金执行伙伴和受益人进行最终分配的整个采购至支付周期内的商品流动情况。该系统还将为用户和管理人员随时随地提供商品状况的实时资料。还能利用该系统来开发分析和诊断工具，为管理层提供可用于分配的货物量、过期存货节余等重要参数。Shipment Tracker 生成的数据将为管理层提供必要信息，使其及时处理交付时间长或当地后勤链瓶颈等已查明的不足之处。 | 35. In response to this recommendation, UNFPA is working on improving its systems to facilitate effective inventory management. As part of these efforts, UNFPA has launched a new ERP-integrated inventory tracking system, called ‘Shipment Tracker’ (replacing the ‘Channel System’). This inventory tracking system tracks t... |
36. Shipment Tracker 于 2015 年 10 月推出，2015 年 7 月 1 日为生效日期。要求所有人口基金办事处依据 Shipment Tracker 数据，在 2015 年第三季度末之前清理库存量和确认库存结余。这使得能够收集汲取到的经验教训，并及时改进系统，以便进行第四季度库存确认，这将作为 2015 年 12 月 31 日终了财年年度财务报表库存结余的依据。 | 36. Shipment Tracker was launched in October 2015, with effective date of 1 July 2015. All UNFPA offices were directed to hold stock counts and certify inventory balances, as of the end of the third quarter 2015, based on Shipment Tracker data. This makes it possible to collect lessons learned and introduce system impr... |
G. 账户和财务管理 | G. Accounts and financial management |
37. 审计委员会建议人口基金(a) 加快对发现的个人薪金预支款账户中贷方余额异常情况的调查；(b) 考虑建立自动系统对外地和总部办事处工作人员的预支款进行控制。 | 37. The Board of Auditors recommended that UNFPA (a) speed up the investigation on the unusual credit balances in the individual salary advance accounts; and (b) consider instituting an automated system to control staff advances at field and head offices. |
38. 根据这项建议，人口基金编制了详细的行动计划，以重点审查和清理其余未清的过期余额和贷方余额；已在落实方面取得了进展。人口基金已编制了总部和外地办事处工作人员预支款管理的 Atlas 综合解决办法。从 2015 年 10 月起，申请薪金预支款通过专门的 Atlas 电子服务薪金预支款工具进行，并由总部核准，这就在薪金预支款发放与追回程序之间建立了重要联系。 | 38. In response to this recommendation, UNFPA has prepared a detailed action plan to prioritize review and clear the remaining outstanding aged and credit balances; it has made good progress in its implementation. UNFPA has developed an Atlas integrated solution for management of staff advances at both headquarters and... |
H. 2014 年之前财政期的其他建议 | H. Other recommendations from financial periods prior to 2014 |
39. 在 2014 年之前期间，审计委员会建议人口基金(a) 明确规定区域办事处应在何种程度上监督国家办事处；(b) 为区域办事处配置工作人员和工具，使其具备行使监督职能的能力；以及(c) 设计和执行业绩评估制度，以评估区域办事处的成效和业绩。审计委员会进一步建议人口基金根据审计和调查处的建议，解决区域办事处架构的薄弱环节。 | 39. During the period prior to 2014, the Board of Auditors recommended that UNFPA (a) provide clarity on the extent of oversight that regional offices should provide to country offices; (b) equip regional offices with staff and tools to enable them to carry out oversight functions; and (c) design and implement a perfor... |
40. 根据这些建议，人口基金修正了其组织手册。经修正的组织手册探讨了区域办事处对国家办事处进行监督的问题。区域办事处架构的薄弱环节已通过征聘资源调动和宣传干事解决。此外，人力资源战略伙伴目前设在各区域办事处中。所有业务单位(包括区域及国家办事处)的业绩和成果监测现在都通过战略信息系统进行。这一系统为人口基金所有单位对成果的规划、监测和报告提供了一个标准化办法。 | 40. In response to these recommendations, UNFPA has revised its organizational handbook. The revised organization handbook addresses the issue of oversight of country offices by regional offices. Weaknesses in the regional office architecture have been addressed through the recruitment of resource mobilization and comm... |
常用服务长期协定的订立 | Establishment of long-term agreements for regular services |
41. 在2014年之前期间，审计委员会建议人口基金与联合国其他机构进行协作，就外地办事处的常用服务与供应商订立长期协议。 | 41. During the period prior to 2014, the Board of Auditors recommended that UNFPA collaborate with other United Nations agencies to establish long-term agreements (LTAs) with suppliers for services utilized by the field offices on a regular basis. |
42. 根据这些建议，人口基金采购程序(关于合作的第 14 节)载有关于与其他实体合作的明确准则，特别是在合同的订立和使用方面。另外，管理问题高级别委员会(高管会)采购网络 2012 年发布的更新后的联合国共同采购准则也可广泛获取。这些准则列举了许多实例显示在国家办事处协作采购的各种类型，包括订立联合长期协定、共同采用现有长期协定或使用另一个联合国机构的采购服务。 | 42. In response to these recommendations, the UNFPA Procurement Procedures (Section 14 on cooperation) contain clear guidelines on cooperation with other entities, especially concerning the creation and use of contracts. Further, the updated Guidelines on Common United Nations Procurement, published by the Procurement ... |
43. 2015 年，人口基金采购处接触了一个成员国，寻求支持在一些已取得更大影响的国家进行的采购合作。这个理念是通过有效利用高管会采购网络统一小组开发的统一政策和共同工具来加大在国家一级的联合采购工作。采购处随后与联合国发展集团(发展集团)发展业务协调办公室(发展协调办)和联合国系统行政首长协调理事会(首协会)共同参加了这项倡议，并请各国提交创新建议，以加快合作型采购。人口基金采购处、发展集团和首协会正在联合审查和评价收到的建议；这三项建议将于 2015 年 11 月提交供甄选。 | 43. In 2015, the UNFPA Procurement Services Branch approached a Member State, seeking its support for procurement collaboration in select countries where a greater impact could be achieved. The idea was to increase joint procurement efforts at country level through the effective use of harmonized policies and common to... |
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